Document Reference :
Identifier :
Version :
Approved By
Originator :
:
Formal Assessment Procedure for PhD
QH: L3b
1 00
Academic Board
Graduate School
Date : Feb 10
Application to collaborative provision: Not applicable
Responsibilities :
Contacts :
Heads of departments
Research Degrees Committee
Graduate School
Applications for exemptions to :
Report Exemptions to :
Research Degrees Committee
QSC
Further Guidance :
QAA Code of Practice Section 1
University Programmes Regulations - Chapter XII: PhD by thesis
University Programmes Regulations - Chapter XIII: Masters by thesis
Academic Appeals: QH:E1
Termination of Programme of Study: QH:L4
Standards and Criteria for Research Degrees: QH:L5
Summary/ Description :
This code sets out the minimum requirements for Formal Assessment Procedure of a PhD candidate to ensure candidates are working at a level consistent with PhD standards and criteria.
Heads of departments are responsible for ensuring that an effective and transparent mechanism is in place which is communicated to candidates at the outset of their studies.
This university Code has been written in accordance with the approach approved by QSC to enhance clarity
(Quality Handbook section A:2) involving the following terminology: must = mandatory should = advisable
Where these terms are used they are emphasised in bold. may = desirable.
QH:L3b: 1 Formal Assessment Procedure for PhD
Graduate School
Version 1 00 – Feb 10

1. Where candidates have been admitted directly onto a PhD programme, candidates must undergo a Formal Assessment Procedure in accordance with the following sections. Departments must ensure that candidates are informed in writing
(through the departmental handbook) of the requirements of this code, and the timescale which will apply to the Formal Assessment Procedure.
Timescale
2. Applications must be submitted for consideration before the end of the first year of full-time registration or end of the second year of part-time registration.
Required written work
3. The requirements for consideration of the Formal Assessment Procedure must be specified in writing at initial registration. While the specific requirements will vary from discipline to discipline the following should be adhered to:
 An overall summary of the research and theme(s)/questions to be addressed
 The organisation of the thesis and the chapter headings
 A statement of progress to date
 A schedule and plan for further research
 A literature review
 A draft chapter or evidence of substantive critical writing (such as an introduction to the research problem or a discussion of methodology).
Evaluation Process
4. The department must establish a mechanism for evaluating the Formal
Assessment Procedure, which must involve no fewer than two members of academic staff who are not one of the candidate’s supervisors.
5. The supervisors must be involved provided they are acting in addition to the one or more members referred to in the above paragraph.
6. No fewer than two written reports, or a single report written jointly by those referred
to in paragraph 4, evaluating the work submitted
must be produced by the department.
7. The department must establish an interview panel to meet with the candidate and consider the written report or reports. The panel must comprise no fewer than two academic members of staff including, if appropriate, the departmental Director of
Postgraduate Studies/Graduate Studies Officer.
8. As a result of the reports and the interview with the candidate the department must produce an agreed recommendation which must be recorded on the Postgraduate
Research Students Special Cases Form , counter-signed by the head of department and forwarded to the Graduate School.
9. The final decision whether to approve the Formal Assessment Procedure will be made by the chair of Research Degrees Committee (acting on the advice of the relevant Graduate Research Director where the chair sees fit) .
Formal Assessment Procedure for PhD
Graduate School
Version 1 00 – Feb 10
QH:L3b: 2

Evaluation criterion
10. In evaluating the Formal Assessment Procedure the department must have regard to the criterion that that aim is to determine whether the candidate is working at
PhD level. Reference must be made to the Standards and Criteria for Research
Degrees (QH:L5) for the comparison between Masters and PhD.
Rejection of application
11. If the chair of Research Degrees Committee determines that the candidate should not continue with PhD study, the candidate must be provided with a copy of the
report or reports produced in accordance with paragraph 6 and a statement of
reasons for the decision.
12. A candidate may appeal in accordance with the University’s Academic Appeals
Regulations (Quality Handbook E1).
13. A candidate whose Formal Assessment Procedure is not approved is entitled to continue with a Masters degree. Candidates will be transferred to the appropriate
Masters programme unless progress is deemed unsatisfactory in accordance with the procedure governing termination of programme (QH:L4).
Postgraduate Training Scheme (PGTS)
14. A candidate may seek credits for work completed as part of the above process, subject to any departmental training requirements. Relevant modules are published annually in the Postgraduate Training Scheme Handbook (which must be provided to candidates at the start of their programme and at the start of each subsequent academic session).
15. Departments are responsible for providing the Graduate School with written evidence that the candidate has satisfied the requirements for relevant modules.
The award of credits is subject to the approval of Research Degrees Committee.
Formal Assessment Procedure for PhD
Graduate School
Version 1 00 – Feb 10
QH:L3b: 3