Tier 4 Compliance Guidelines
What this
document is
for
To provide guidance to faculties in the recruitment, appointment and monitoring of
those overseas students who will require sponsorship from the University in order to
obtain a Tier 4 visa.
These guidelines have been compiled with reference to the Home Office publication
‘Tier 4 of the Points Based System – Policy Guidance’ which can be found at1
https://www.gov.uk/government/uploads/system/uploads/attachment_data/file/45391
3/T4_Migrant_Guidance_August_2015.pdf
This document outlines the University’s policy in ensuring that it adheres to the
requirements of the UK Visas & Immigration (UKVI). The University is committed to
safeguarding the visas of all of its students. Consequently the policy has been
designed to ensure that the University can demonstrate to the UKVI that it is
compliant with Immigration Law through well documented audit trails.
Who should
use it
All staff involved in the recruitment, selection and supervision of overseas research
students.
1
Please note that this link refers to the 08/15 version of the document. Updates to the guidance occur on a regular basis so please ensure that you
refer to the latest version on the Home Office website.
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For RDO Use
Last Updated Sept. 15
Tier 4 Compliance Guidelines
Roles and
responsibilities
The responsibility for ensuring that the University is compliant with Immigration Law
lies primarily with the UKVI Compliance Group. However all those involved in the
selection, recruitment, supervision and progress monitoring of overseas students in
receipt of a Tier 4 visa share responsibility for ensuring adherence to the University’s
UKVI policies.
The Research Degrees Office (RDO) is responsible for implementing the
University’s UKVI policies. It has primary responsibility for ensuring that the following
information is kept:

Up to date copies of all relevant student documents including passport and
visa details

Current and historic contact details

Evidence that demonstrates confirmation of attendance and engagement
In addition the RDO is responsible for:

Providing the Faculty with notification of any changes in UKVI policy that will
impact upon the terms of a student’s visa
The Faculty is responsible for ensuring that:


Students comply with the monitoring requirements
That the RDO is made aware of any changes in study that may impact on the
students visa status
The Student will be responsible for ensuring that:
Advice

He/she provides the RDO with up to date copies of his/her passport and visa.

He/she informs the RDO of any changes to his/her visa status

He/she provides all current contact details – in a situation where he/she
changes residential address and/or study location, he/she must ensure that the
RDO is informed immediately

He/she completes and submits the annual leave/ authorised absence forms as
appropriate on any occasion where he/she will be absent from his/her normal
place of study.

He/she must ensure that all points of contact as determined by The Open
University are met.

He/she must comply with the annual Tier 4 document check undertaken by the
RDO.
Please note that it is not the responsibility of anyone within the University to give
immigration guidance. Nor should individuals seek to interpret UKVI guidelines. The
University has a Premium Customer Service Team - Licence Manager through whom
the University’s UKVI Compliance Group may direct queries on matters of policy and
interpretation.
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Tier 4 Compliance Guidelines
Immigration advice for applicants is available from the UKVI at:
http://www.ukba.homeoffice.gov.uk/visas-immigration/studying/adult-students/
The UK Council for International Student Affairs (UKCISA) at
http://www.ukcisa.org.uk/ has an excellent range of factsheets on international
student issues and rights.
Procedure
Receipt of
Application
It is essential that the following documents2 are submitted to the RDO together
with the completed Application Form and the Applicant Recommendation Form for
all overseas students3:
 Copies of the students Passport and any Visas
 Copies of Qualifications
 Evidence of previous study in the UK
 Evidence of Maintenance, Funds and Fees
Passport Details:
This is so that the University can determine the basis on which the student has the
leave to be in the UK.
If they have a valid:

Tier 1 or 2 visa – the student can commence their studies as normal, however
it is the expectation that the student will apply for a Tier 4 visa.

Dependant’s visa – the student can commence their studies as normal, the
expectation being that they will apply for a Tier 4 visa. It is recommended that
the student applies for a visa in their own right because their right to remain in
the UK will be at risk if the visa of the person on whom they are dependant is
cancelled or changes.
Please note that in order to get a Tier 4 visa, the student will need to apply from their
country of origin and may wish to do so before they commence their studies.

Tier 4 visa – if the student already has a Tier 4 visa from another sponsor,
they will still have to apply for a new visa. This is because the original sponsor
will withdraw sponsorship upon or prior to the student registering with The Open
University. Once a Tier 4 visa has been issued under an Open University
sponsorship, the University is responsible for the student, even if they have yet
to register.

Settlement or other permanent leave to remain – the student can commence
their studies as normal as they do not fall under Tier 4 of the Points Based
System.
2
Please note that any document that is not in English or Welsh must be accompanied by a certified translation. The translator’s credentials should be
given along with their official declaration that the translation is accurate.
3 Please note that incomplete forms cannot be processed as much of the information requested is needed by the UKVI when the University applies for a
Confirmation of Acceptance for Study – see section below.
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Tier 4 Compliance Guidelines
Qualifications:

The UKVI requires that the University has evidence of the qualification(s)
upon which a student is submitting his/her application for registration onto the
research degree programme

Where the qualification is from outside the UK, it is a requirement that the
RDO undertakes a UK NARIC check. UK NARIC4 is the National Agency with
designated responsibility in providing advisory services on comparing
international qualifications.

The UKVI requires confirmation from the University of the student’s English
language ability. There is an exemption for students from:

Antigua and Barbuda

Guyana

Australia

Jamaica

The Bahamas

New Zealand

Barbados

St Kitts and Nevis

Belize

St Lucia

Canada

St Vincent and the Grenadines

Dominica

Trinidad and Tobago

Grenada

United States of America
Or for those who have completed a degree in the UK or a majority English
speaking country from the following list:
 Antigua and Barbuda
 Jamaica
 Australia
 New Zealand
 The Bahamas
 St Kitts and Nevis
 Barbados
 St Lucia
 Belize
 St Vincent and the Grenadines
 Dominica
 Trinidad and Tobago
 Grenada
 United States of America
 Guyana
Where this cannot be demonstrated, University policy is to request an English
language test certificate that has been issued in the past two years. These should
demonstrate competence in all four elements; reading, writing, speaking and
listening, at SELTS level B2 or above. Level C1 is more appropriate to
postgraduate study. Faculties are required to submit copies of a student’s English
language assessment certificate(s).The list of approved English language
qualifications can be found in Appendix O of the Immigration Rules:
4
http://ecctis.co.uk/naric/
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Tier 4 Compliance Guidelines
https://www.gov.uk/government/publications/immigration-rules-appendix-o%20
Previous Study in the UK
Where applicable the student’s previous study in the UK must be checked to
determine whether there is any conflict with the UKVI’s academic progression rule
or total amount of time spent studying.
Academic Progression:

The UKVI requires that we only accept students whose qualification aim is
higher than that of any previous qualification that they may hold.
Time Spent Studying in the UK:
The total amount of time that a student has spent, or will spend, studying in the UK
is limited to eight years. Consequently if by the time the student completes their
PhD they will have spent more than 8 years on at Tier 4 visa (because of previous
study in the UK), they will not be granted any further leave to remain. The total
time spent studying must therefore be considered should the student subsequently
apply for an extension to their registration.
Maintenance Funds and Fees
Please ensure that the student is either:



In receipt of a grant (note start and end date)
Is sponsored (fees and stipend, note start and end date)
If self-funding, aware that they must be able to demonstrate that they have
enough money to pay the fees and support themselves and any
dependents that they intend to bring to the UK.
https://www.gov.uk/government/publications/guidance-fordependants-of-uk-visa- applicants-tiers-1-2-4-5
ATAS
Academic Technology Approval Scheme (ATAS)
Any overseas student, regardless of the type of visa and mode of study, who is
applying to undertake study in certain sensitive areas which could contribute to the
spread of knowledge or skills used in the proliferation of weapons of mass
destruction and their means of delivery, will need to apply for an Academic
Technology Approval Scheme (ATAS) Certificate prior to embarking on their
research.
The requirement for ATAS is based upon JACS5 codes. Faculties are required to
identify the JACS code on the Applicant Recommendation Form and where ATAS
is required to provide a proposed thesis title and a 300 word summary of the
student’s project. This will mostly affect, but is not exclusive to, students in MCT
and Science.
An up-to-date list of all JACS codes which need ATAS clearance can be found on
the FCO website at:
5
JACS (Joint Academic Coding System) is used by HESA to code subjects offered by HEIs.
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Tier 4 Compliance Guidelines
http://www.fco.gov.uk/en/about-us/what-we-do/services-we-deliver/atas/whoatas/phd-or-other , or
https://www.gov.uk/government/publications/immigration-rules-appendix-6
The Government periodically changes the list, so faculties are asked to refer to the
websites for the latest codes.
The RDO will send a student requiring ATAS a document with the offer letter
which provides them with the information that they will require to apply for an
ATAS certificate (Appendix 1). A student must register within six months of the
ATAS certificate been issued. Where registration is deferred it may be necessary
to reapply for an ATAS certificate.
Please note that if during the course of study the research changes substantially it
may be necessary to reapply for an ATAS certificate.
CAS –
Confirmation
of Acceptance
for Study
The Open University has Tier 4 Sponsor status and therefore has the right to
assign a Confirmation of Acceptance for Study (CAS) to its students. In order to
remain a Tier 4 Sponsor the University must meet the following benchmarks:
refusal should be below 20%, enrolment above 90%, completion above 85%,
attendance above 90%.
A CAS is required before a student can apply for a Tier 4 visa.
Issuing a CAS
Once a student has accepted an offer and, where required, the University is in
receipt of a copy of the ATAS certificate, a CAS can be applied for through the
UKVI online site. Upon receipt of the CAS the University will send a CAS letter
(Appendix 2) to the student which provides them with the information that they
require to apply for their visa.
NHS Surcharge
At the point of submitting a visa application or visiting the immigration centres
students who are to be based in the UK for more than six months are required to
pay a Health Surcharge. This is currently £150 per year. The fee for the duration of
the visa must be paid in advance. Students should therefore be advised that the
total cost is likely to be £600.
Further details can be found at:
https://www.gov.uk/healthcare-immigration-application/when-you-need-to-pay
Registration
and Record
Keeping
When a student registers, the University is required to:
(a) ensure that it has the students contact details in the UK; this includes
domicile, email address and telephone number
(b) view the original and take copies of current passport pages showing all
personal identity details (including biometric details), leave stamps, or
immigration status document including their period of leave to remain
(permission to stay) in the UK
(c) view the original and take a copy of the original examination certificates
which demonstrate that the student met the entry criteria for the programme.
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(d) view the original and take a copy of any English language certificates
(e) check that
 photos are consistent with the person’s appearance
 dates of birth are consistent across documents
 documents are genuine have not been tampered with and belong to
the holder
 additional supporting documents (i.e. marriage certificate) are
provided where the two documents are in different names
(f) ensure that it has a copy of the ATAS certificate on file.
Monitoring
Attendance
and Ongoing
Record
Keeping
Records of the above have to be maintained so that they can be made available to
the UKVI upon request. No data can be destroyed until such a time as the UKVI
authorises the destruction.
The monitoring engagement with study is the responsibility of the Faculty and the
RDO. The Faculty is responsible for ensuring that the students complete, and the
supervisors confirm, the Record of expected contacts form (see appendix 5). This
should be completed on a monthly basis. RDO is responsible for maintaining the
records of student engagement with study.
It is very important that the supervisor/Faculty informs the RDO if they have not
seen a student or if they have any concerns regarding their attendance or their
academic progress.
The University is also required to be in a position to locate the student if required.
Contact details
The University is required to keep a record of the students contact details, current
and historic.
The RDO send monthly reminders to students to check that the contact details that
the University holds are up to date. It is an expectation that the University is in a
position to maintain contact with the student at all times, should the need arise.
Contact details are therefore needed for those times when the student is away
from the University.
Absence Records
Sickness
Where a student is absent for more than a week a sick note is required. The RDO
will keep a copy of the note on the students UKVI file.
Students who suspend their studies (i.e. are no longer actively studying) as a
consequence of ill health for more than 60 days may continue to be sponsored
providing that they can still complete their course within their existing period of
leave to remain (i.e. before their visa end date)6. During the absence the
6
For information on how periods of suspension may impact on any stipend payments please contact the RDO.
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University is required to continue to fulfil its sponsorship duties (i.e. maintain
contact and monitoring duties) and to provide evidence as to why this decision
was taken. If this is not possible then the University has to withdraw sponsorship
and advice the student to leave the UK. Once the student is ready to resume their
studies a new CAS will be assigned and the student must apply for a new visa.
Annual Leave
Where a student is intending to take annual leave they must complete an annual
leave request form (Appendix 3). These can be downloaded from the VRE and
must be authorised by the supervisor and submitted to the RDO before the annual
leave takes place.
Where a student has travelled overseas during annual leave they will be required
to bring their passport to the RDO as soon as possible after their return to the UK.
This is so that the University can maintain up to date copies of the passport
including all pages that have been stamped.
Authorised Absence
Where a student is intending to take authorised absence e.g. attending a
conference or undertaking field work they must complete an authorised absence
request form (Appendix 4). These can be downloaded from the VRE and must be
authorised by the supervisor and submitted to the RDO before the absence takes
place.
Where a student has travelled overseas during annual leave they will be required
to bring their passport to the RDO as soon as possible after their return to the UK.
This is so that the University can maintain up to date copies of the passport
including all pages that have been stamped.
Annual Review
As a Tier 4 Sponsor the University is required to check students’ documentation
annually.
In September, all Tier 4 students are sent a request that they comply with the
annual document check
Maternity and
Paternity
Document
Expiry
Monitoring
Change of Visa
Status
Students who are pregnant, have had a baby, or are adopting a child will need to
contact the UKVI directly about the immigration status of the child, and any impact
on their visa. The RDO cannot provide advice in these situations but can provide
supporting documentation, e.g. a letter confirming the maternity leave, if required
by the student.
A CIRCE report is run monthly to pick up any passports/visas due for expiry in the
coming 3 months. Any students with a visa due to expire who are not due to
complete are contacted as a prompt to renew their passport/visa. The email is
copied to the supervisor(s) and Associate Dean (Research).
If a student’s visa status changes, it is important that the RDO is informed so that
the UKVI can be informed. This will include a change in their location of study e.g.
should they undertake a work placement; a change of course e.g. if the course aim
changes from PhD to MPhil – following an adverse outcome at probation; anything
suggesting that they are breaking the conditions of their permission to remain in
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the UK.
Visa
Extensions
Where the student has limited leave to enter or remain in the UK and wishes to
extend their visa, they must apply within 28 days of their current visa expiring.
Applications for further leave will be refused if they have overstayed their visa by
more than 28 days when they apply. A student who had not made a timely
application for an extension to their visa would have to leave the UK. Please note
that a student will not be permitted to extend their visa if such an extension would
breach the total time allowed for studying in the UK (see section on Time spent
studying in the UK above).
ATAS for visa extensions
Students should be advised that, where required, they will need to apply for a new
ATAS certificate if they apply for an extension of leave in order to complete the
course. This must be done before they can apply for a visa extension.
CAS for visa extensions
Students will need a new CAS.
Reporting
Completions
and
Withdrawals
If a student is leaving the University, we are required to report this to the UKVI and
to provide information about what the student is intending to do (e.g. return home,
apply for a different kind of visa, change sponsor). Students who have completed
their research degree may under the Doctoral Extension Scheme (see section
below) seek to remain in the UK an additional 12 months in order to seek work.
Completion
Once a student completes the University is required to inform the UKVI within 10
working days.
Withdrawal/De-registration
Where a student choses to withdraw or is de-registered, the University is required
to inform the UKVI within 10 working days.
Doctoral
Extension
Scheme
Eligibility
Students who are about to complete, or have recently completed, their research
degree, and are still covered by a Tier 4 visa, can apply from within the UK to
remain in the UK for a further 12 months after their completion date, to find skilled
work or set up as an entrepreneur. Under the extension scheme, students will
have full unrestricted working rights (some professions are exceptions) once the
University confirms they have completed their degree.
Students will not be prevented for applying to the extension scheme if the
extension of their leave would take them beyond the maximum of 8 year permitted
study time in the UK. Policy documents currently refer to ‘PhD’ students but
other doctoral level research degrees are also considered valid.
Students whose Tier 4 visa has expired are not allowed to apply for the extension
scheme
CAS requirements
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A new CAS will be required – students must apply for the new CAS no more than
60 days before the course end date.
Standard Tier 4 conditions continue to apply while the student is still studying.
ATAS clearance is not required for any period spent in the UK under the extension
scheme.
Monitoring arrangements – (by the RDO only)
Sponsors are expected to have oversight of any students they are sponsoring on
the Doctoral Extension Scheme; however, formal points of contact are less
frequent.
We are expected to:
 remain in contact with the student, with at least two scheduled contact points
during the extension period,
 provide support if required, to be agreed with the student on an individual basis.
 request up to date contact details from them
Doctoral Extension Scheme Agreement Form
The Doctoral Extension Scheme Agreement form should be completed when a
student wishes to apply for a new CAS (see Appendix 6)
Maintaining
Compliance
and Good
Practice
The Senior Manager, Research Degrees is signed up to UKVI news feeds,
UKCISA email updates, and attends conferences on the subject to aid ‘horizon
scanning’. A quarterly check and update of procedures and forms is also
scheduled (June / September / December / March), although ad-hoc updates will
be made when required in line with changes in policy.
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Appendix 1
Date
Academic Technology Approval Scheme (ATAS)
This document which accompanies your research degree registration offer letter, dated
Date, provides the information you need from The Open University to apply for the ATAS Clearance
Certificate that you are required to have before you apply for a UK student entry visa. The ATAS
application form which you must complete is available at https://www.atas.fco.gov.uk.
Student Name:
Date of Birth:
Enter DoB
Student Personal Identifier:
Passport Number:
JACS Code:
same as HESA code
Funding Period:
Grant start and end date
Funding Source:
Funder
Registration Period:
Registration start and end date
Full-time Research Degree Project
Thesis title
Enter Project Text - max 300 words - Abstract of project
{Insert name}
Research Degrees Office
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Appendix 2
Research Degrees Office
The Open University
Walton Hall
Milton Keynes
United Kingdom
MK7 6AA
Tel +44 (0) 1908 654 882
research-degreesoffice@open.ac.uk
www.open.ac.uk
DATE
TO WHOM IT MAY CONCERN
Confirmation of Acceptance of Studies Statement
Applicant Details
Name:
NAME AS ON PASSPORT
Date of Birth
DoB
CAS Number:
ENTER CAS NUMBER FROM BORDER AGENCY WEBSITE
Sponsor Details
License Number:
Y1B0GDNK6
NAME has been given an unconditional offer for a full-time programme of study at The Open
University. The address of the sponsoring institution is as the letterhead.
Course Details
Title:
THESIS TITLE
Course Start Date
REGISTRATION START DATE
Course End Date:
SUBMISSION DEADLINE DATE
Hours per week:
Full-time (i.e. a minimum of 35 hours per week)
Documents should be included as part of an application to prove qualifications
NAME has been assessed as being able to continue on this programme of study on the basis of
progress to date. OR Documents that should be included as part of an application to prove
qualifications
Degree Certificates and (where appropriate)
LIST QUALIFICATIONS IF NEW STUDENT
certified transcripts of the following
VISA
qualifications:
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[ENGLISH LANGUAGE] e.g the Candidate completed a Masters degree at [University in majority English
speaking Country] in [YEAR] in the medium of English. His/her proficiency in English was assessed at
interview as being at a level equivalent to B2 in the CEFR.
An ATAS Certificate IS/IS NOT required for this programme of study.
Details of Financial Sponsorship:
The Open University has provided a maintenance grant to NAME in order to allow HER/HIM to study for a
postgraduate degree, Master of Philosophy (MPhil), progressing to Doctor of Philosophy (PhD).
The studentship will be funded for a period of three years from REG START DATE and covers all fees
and living costs. The studentship consists of a maintenance grant of £AMOUNT per annum and all fees
are waived by The Open University.
We understand that the maintenance grant will also be used to support the living costs of NAME's
WIFE/CHILD, NAME.
Please note that although NAME'S funded studentship for the MPhil/PhD ends on GRANT END DATE,
subject to HER/HIS satisfactory progress, S/HE is entitled to remain registered as a full-time student until
SUBMISSION DEADLINE DATE in order to allow HER/HIM to complete and submit HER/HIS thesis for
examination for the degree of Master of Philosophy (MPhil) progressing to Doctor of Philosophy (PhD).
If you need further advice, please contact me, either by email:
research-degrees-faculty@open.ac.uk or phone (0044 (0) 1908 number), in the first instance.
Yours sincerely,
name of adviser
Research Degrees Adviser
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Request for Annual Leave
Appendix 3
What this form is for
To request Annual Leave:

Who should complete it
For research degree students who have entered the UK on a Tier 4 visa
sponsored by The Open University
To initiate a request for annual leave, the student and supervisor should first discuss
and agree the duration of the leave. The policy is detailed below.
The form must be completed by the student in consultation with the student’s
supervisor(s) or Director of Studies (Affiliated Research Centre (ARC) students).
It must be endorsed by the supervisor, and the ARC research degree coordinator
(ARC students) and submitted to the Research Degrees Office prior to the
beginning of the period of leave:
How it should be
submitted
For directly supported students the form should be submitted directly from the
supervisor’s institutional email address. For ARC students the form should be
submitted from the research degree coordinator’s email address copied to the
supervisor’s institutional email address. The form must be submitted, using the
appropriate email address from the list below:
For students in ARCS, use research-degrees-arc-se@open.ac.uk
For directly supported students, use:









Policy
Research-degrees-Arts@open.ac.uk
Research-degrees-CREET@open.ac.uk
Research-degrees-EdD@open.ac.uk
Research-degrees-HSC@open.ac.uk
Research-degrees-KMi@open.ac.uk
Research-degrees-MCT@open.ac.uk
Research-degrees-OUBS@open.ac.uk
Research-degrees-Science@open.ac.uk
Research-degrees-SocSci@open.ac.uk
Full-time research students on the OU’s directly supported research degrees
programme are entitled, with the prior agreement of their supervisors, to take up to
eight weeks’ holiday each year including public holidays and University closure
dates. The academic year begins on 1 October and ends on 30 September.
For those students who are registered with the University through the Affiliated
Research Centre (ARC) programme your holiday entitlement is determined by your
ARC. Please consult the Research Degree Coordinator in your ARC.
For more information refer to the Research Degrees Student Handbook at:
http://www3.open.ac.uk/res-handbook/p6_9.shtml (directly supported students) or
http://www3.open.ac.uk/arc-handbook/ (ARC students).
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Further advice is available from the Research Degrees office on:

+44 (0)1908 654882, or email research-degrees-office@open.ac.uk (directly
supported students)

+44 (0)1908 653117 or email research-degrees-arc-se@open.ac.uk
(ARC students)
Tier 4 Compliance:
It is a general principle that, as a sponsor, the Open University is aware of the
current location of all of the Tier 4 students it sponsors. This form provides evidence
of that location. The form may be made available to the UKVI as evidence of the
University’s commitment to ensuring compliance with its responsibilities as a Tier 4
Sponsor.
Resources
For advice and support before submitting a request please contact the Research
Degrees office on

+44 (0)1908 654882, or email research-degrees-office@open.ac.uk (directly
supported students)

+44 (0)1908 653117 or email research-degrees-arc-se@open.ac.uk (ARC
students)
This form is available to download from the Forms and Guidance notes page of the
Virtual Research Environment (VRE) at www.open.ac.uk/students/research The
Research Degrees student handbook is at
http://www3.open.ac.uk/res-handbook/index.shtml
http://www3.open.ac.uk/arc-handbook/
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Request for Annual Leave
Name of student:
Personal identifier:
Affiliated Research Centre (ARC) (if applicable):
ARC Collaborating Establishment (if applicable):
Registration date:
Programme of study (check box):
MPhil/PhD
MRes*
EdD*
*Directly-supported students only
Discipline:
Date thesis is due for submission:
Supervisor(s):
Director of Studies (ARC students only):
Date leave to start:
/
/
Date leave to end:
/
/
/
/
Total number of days:
Leave remaining, should this leave period be
approved:
Supervisor authorisation:
ARC research degree coordinator authorisation:
(ARC students only)
Date:
Contact details whilst on leave:
Address:
Telephone No.:
Will the leave take you outside of the UK?
Yes
If Yes, confirm the date after your return that you
will take your passport to the Research Degrees
Office/ARC Research Degree Coordinator / ARC
responsible officer in collaborating
establishment:
/
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No
/
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Tier 4 Compliance Guidelines
Student Signature:
Date of submitting this form to Research
Degrees Office/ARC Research Degree
Coordinator:
/
/
(updated 16 March 2105)
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Tier 4 Compliance Guidelines
Request for Authorised
Absence
Appendix 4
What this form is for
To request Authorised Absence:

Who should complete it
For research degree students who have entered the UK on a Tier 4 visa
sponsored by The Open University
To initiate a request for authorised absence, the student and supervisor should first
discuss and agree the rationale for, and duration of, the absence. The policy is
detailed below.
The form must be completed by the student in consultation with the student’s
supervisor(s) or Director of Studies (Affiliated Research Centre (ARC) students).
It must be endorsed by the supervisor, and the ARC research degree coordinator
(ARC students) and submitted to the Research Degrees office prior to the beginning
of the absence period:
How it should be
submitted
For directly supported students the form should be submitted directly from the
supervisor’s institutional email address. For ARC students the form should be
submitted from the research degree coordinator’s email address copied to the
supervisor’s institutional email address. The form must be submitted, using the
appropriate email address from the list below:
For students in ARCS, use research-degrees-arc-se@open.ac.uk









Policy
For directly registered students, use:Research-degrees-Arts@open.ac.uk
Research-degrees-CREET@open.ac.uk
Research-degrees-EdD@open.ac.uk
Research-degrees-HSC@open.ac.uk
Research-degrees-KMi@open.ac.uk
Research-degrees-MCT@open.ac.uk
Research-degrees-OUBS@open.ac.uk
Research-degrees-Science@open.ac.uk
Research-degrees-SocSci@open.ac.uk
Full-time research students may during the course of their studies be required to be
absent from their main place of study, be it the Open University or an ARC. These
periods of absence will include, but are not restricted to, periods during which a
student is undertaking fieldwork, visiting another laboratory, library, or attending a
conference. For maternity leave, sick leave and suspension requests please use
the Research Degrees Suspended Registration form.
For more information refer to the Research Degrees Student Handbook at:
http://www3.open.ac.uk/res-handbook/p6_9.shtml (directly supported students) or
http://www3.open.ac.uk/arc-handbook/ (ARC students).
Further advice is available from the Research Degrees Office on:
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Tier 4 Compliance Guidelines

+44 (0)1908 654882, or email research-degrees-office@open.ac.uk (directly
supported students)

+44 (0)1908 653117 or email research-degrees-arc-se@open.ac.uk
(ARC students)
Tier 4 Compliance:
It is a general principle that, as a sponsor, the Open University is aware of the
current location and maintains contact with, all of the Tier 4 students it sponsors. This
form provides evidence of that location and method of maintaining contact. The form
may be made available to the UKVI as evidence of the University’s commitment to
ensuring compliance with its responsibilities as a Tier 4 Sponsor.
Resources
For advice and support before submitting a request please contact the Research
Degrees Office on

+44 (0)1908 654882, or email research-degrees-team@open.ac.uk (directly
supported students)

+44 (0)1908 653117 or email research-degrees-arc-se@open.ac.uk (ARC
students)
This form is available to download from the Forms and Guidance notes page of the
Virtual Research Environment (VRE) at www.open.ac.uk/students/research The
Research Degrees student handbook is at
http://www3.open.ac.uk/res-handbook/index.shtml
http://www3.open.ac.uk/arc-handbook/
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Tier 4 Compliance Guidelines
Request for Authorised Absence
Name of student:
Personal identifier:
Affiliated Research Centre (ARC) (if applicable):
ARC Collaborating Establishment (if applicable):
Registration date:
Programme of study (check box):
MPhil/PhD
MRes*
EdD*
*Directly-registered students only
Discipline:
Date thesis is due for submission:
Supervisor(s):
Director of Studies (ARC students only):
Date absence from normal place of study to start:
/
/
Date absence from normal place of study to end:
/
/
/
/
Total number of days:
Reason for absence:
Method of maintaining contact with the supervisory team
during the absence period:
Supervisor authorisation:
ARC research degree coordinator authorisation:
(ARC students only)
Date:
Contact details whilst on authorised absence:
Address:
Telephone No.:
Will the absence take you outside of the UK?
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Yes
No
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Tier 4 Compliance Guidelines
If Yes, confirm the date after your return that you will
take your passport to the Research Degrees Office/ARC
Research Degree Coordinator /ARC collaborating
establishment responsible officer:
/
/
/
/
Student Signature:
Date of submitting this form to Research Degrees
Office/ARC Research Degree Coordinator:
(Updated 16 March 2015)
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Tier 4 Compliance Guidelines
Appendix 5
RESEARCH STUDENT ATTENDANCE RECORD
Name: ……………………………………..
PI:
………………………………………...
Department: …………………………………
Faculty:
Month
………………………………
Expected Contact / Reports
Date
Who Attended
Notes, Comments or Other Contacts
Year 1:
September
International Student Registration
& Conference
October
[Registration]
Which staff from
faculty,
department,
RDO, Research
career Dev staff
or trainers,
supervisors,
other students,
lab staff
Student Induction: Welcome to the
OU
Faculty Induction
Supervisory Meeting
Third party monitor meeting
Note here the main point of the event. If a
supervisory session, note a couple of
sentences about the discussion and what
was achieved.
Example:
viva
The point of this
column is to
consolidate the
evidence
presented that
Other contact7 (please specify
under ‘Notes/Comments/Other
contacts’)
Discussion on how the MRes Study
could be designed; what should be the
focus of the MRes Period; Exploring
option of Indian Support
7
Expected contacts could also include attendance at research methods seminars or doctoral workshops organised by the
Department/Faculty/Research Centre, submission of interim reports, submission of thesis and viva.
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Tier 4 Compliance Guidelines
the student did
attend the
specified event.
Could include
MRes modules
Doctoral Workshops
Seminars
Other departmental meetings
Journal club
Daily attendance in lab
Probation assessment –
presentation, discussion of lit
review, mini viva
etc.
November
December
January
February
March
April
May
June
July
August
September
Year 2-3-4
etc.
October
Add months and years as
appropriate. Monitoring must
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Tier 4 Compliance Guidelines
continue until the student has
completed their degree. Please
note – this includes when the
student is writing up, the time
period when a student has
submitted and is awaiting an
examination and when completing
corrections.
If the student leaves the UK for
any reason, a form for authorised
absence should be completed. In
consultation with Research
Degrees office, a decision will be
taken as to whether the OU can
continue to sponsor the student. In
these circumstances, contact
Research Degrees office for
advice. If monitoring cannot
continue, the University may have
to withdraw sponsorship for the
student.
Failure to comply with UKVI
attendance monitoring
requirement puts your
individual visa and the
University’s Highly Trusted
Sponsor status at risk.
Please provide details for the reason for any missed contact(s) in the box below:
Please provide details of any absence, including annual leave, sick leave or other authorized absences
below:
Reason for absence
Date of absence
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Date of return
Confirmation student has
returned and that the
relevant forms have been
submitted to the Research
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Tier 4 Compliance Guidelines
Degrees Office
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Tier 4 Compliance Guidelines
Appendix 6
Research Degrees Office
The Open University
Walton Hall
Milton Keynes
United Kingdom
MK7 6AA
Tel +44 (0) 1908 654 882
Email research-degreesoffice@open.ac.uk
www.open.ac.uk/students/researc
Doctoral Extension Scheme Agreement Form
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Tier 4 Compliance Guidelines
Student Name:
Student PI:
RDO Officer:
Supervisors Names:
Date:
Prepared by:
Doctoral Extension Scheme Agreement
Purpose of the Agreement
The purpose of this agreement is to ensure that [insert name of student] is aware of his/her responsibilities to
the University under the Doctoral Extension Scheme agreement.
This agreement serves as the guidelines and ground rules enabling both [insert student name] and the Open
University to ensure that they comply with the requirements of the UKVI.
Responsibilities
8

The Research Degrees Office will retain responsibility for ensuring that the following information is
kept:
 Up to date copies of the passport and visas
 Contact details
 Confirmation of engagement
 Provide [insert student name] with notification of any changes in UKVI policy that will have an
impact on the terms of his/her visa

[insert student name] will be responsible for ensuring that:
 He/she provides the Research Degrees Office with up to date copies of his/her passport and
visa.
 He/she informs the Research Degrees Office of any changes to his/her visa status
 He/she provides current contact details (including address of domicile, e-mail address and
telephone number) – in a situation where he/she relocates he/she must ensure that the
Research Degrees Office is informed
 He/she in order to apply with The Open University requirements for maintaining contact 8
either
(a) Visits the Research Degrees Office in person on the following dates
……………………….. and ………………………... These should be no less than
four months apart.
The UKVI requires the University to maintain contact with the students sponsored under the Doctoral Extension Scheme.
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(b) Visits the Research Degrees Office in person on the following date
………………….9 and contacts the Research Degrees Office in person on the
following three dates …………., ……………… and …………….
In addition he/she will respond to all e-mails sent to him/her by the University10.
Should [insert student name] fail to comply with any of these requirements the Open University will
withdraw their sponsorship.
Signed by [insert student name] …………………………………
Date: ……………………….
Approved by:
________________________________________________
Head of Research Degrees
________________________________________________
Senior Manager; Research Degrees/ Collaborative Provision
________________________________________________
____________________
Date:
____________________
Date:
____________________
9
This date should be at the mid-point of the sponsored year.
Please note that should [insert student name] miss any of these contacts without reasonable explanation or fail to reply to
any email within five working days without reasonable explanation The Open University will withdraw its sponsorship.
10
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