UNIVERSITY OF
PLYMOUTH
THE GRADUATE SCHOOL
Research Degrees Handbook
Guidance for
research degree students
and staff
July 2007
2007/2008 Edition
UNIVERSITY OF PLYMOUTH
LIST OF CONTENTS
RESEARCH DEGREES HANDBOOK
Introduction .............................................................................................................. 2
Student details.......................................................................................................... 2
The Graduate School ............................................................................................... 3
Who to contact concerning information, advice and queries .............................. 4
Sources of additional useful information ............................................................... 6
Finance ................................................................................................................... 6
Research ................................................................................................................. 6
Prospects Postgraduate study ................................................................................ 7
National Postgraduate Committee (NPC)................................................................ 7
EURODOC .............................................................................................................. 8
The U.K. GRAD programme ................................................................................... 8
University of Plymouth Graduate School ................................................................. 9
Research degree registration - timetable ............................................................. 10
Personal information and data protection ........................................................... 12
Freedom of information ......................................................................................... 16
Regulations and code of practice ......................................................................... 20
Enrolment and registration .................................................................................... 22
Fee paying structure here and web page for fee amounts .................................... 27
Induction ................................................................................................................ 28
Lack of academic progress ................................................................................... 35
Loss of contact with a candidate ........................................................................... 36
Termination of registration..................................................................................... 36
Minimum benchmark facilities .............................................................................. 51
Notes of guidance for examiners .......................................................................... 55
Framework for higher education qualifications .................................................. 61
Masters level ......................................................................................................... 61
Descriptor for qualifications at Masters (M) level: Masters degree ........................ 59
Doctoral level......................................................................................................... 60
Descriptor for qualifications at Doctoral (D) level: Doctoral degree ....................... 60
Briefing notes for internal examiners ................................................................... 65
Ethical principles for research .............................................................................. 69
Code of good practice in research ....................................................................... 71
Procedure in the case of suspected research misconduct ................................ 75
Appendix 1 - presentation of a thesis ................................................................... 77
Appendix 2 - postgraduate supervision ............................................................... 84
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2007/2008 Edition
INTRODUCTION
Welcome to the University of Plymouth
This handbook has been produced by the Graduate School to provide information
and guidance for research degree candidates and their supervisors, which includes
the rules governing the registration as well as guidance through the registration
process.
The Research Degree Regulations and Code of Practice cover the mandatory
aspects of registration. Additional information has also been included which you may
find useful. If there is any information which you would like to see included in a
future edition then please let us know. If you have any queries concerning this
Handbook or any aspect of research degree registration please get in touch.
The Graduate School
STUDENT DETAILS
Use this section to record your personal details.
Name: .................................................................................................
Student reference number: .................................................................
Faculty: ...............................................................................................
School: ................................................................................................
Office location: ....................................................................................
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2007/2008 Edition
Introduction
THE GRADUATE SCHOOL
University of Plymouth
Plymouth Campus
Drake Circus
Plymouth
PL4 8AA
Tel.: 01752 587640
Fax: 01752 587634
E-mail: GraduateSchool@plymouth.ac.uk
http://www.plymouth.ac.uk/graduateschool
http://intranet.plymouth.ac.uk/gradsch
Director of Graduate Studies and Head of the Graduate School:
Professor Mick Fuller
Tel.: 01752 587635
E-mail: mick.fuller@plymouth.ac.uk
To ensure the effective application of quality assurance processes in relation to the
supervision of research students, the monitoring of progression and completion of
research degrees, liaison with University Support Services on postgraduate matters
and Associate Deans (Postgraduate), management of facilities provided by the
Graduate School for postgraduate students, provision of an induction and skills
development programme, support for new graduate initiatives where appropriate.
Senior Administrator (Graduate School): Dr. Cristina Rivas
Tel.: 01752 587636
E-mail: cristina.rivas@plymouth.ac.uk
Research students matters, secretary to the Graduate Committee, admissions,
enrolments, student records system, matters relating to registration and research
degree regulations, Research Council surveys and confirmation of enrolment,
research degree handbook, tuition fees.
Postgraduate Skills Development Officer: Ms. Sarah Kearns
Tel.: 01752 587637
E-mail: sarah.kearns@plymouth.ac.uk
Responsible for the generic skills development programme for postgraduate
research students, overview of the postgraduate student portal and the postgraduate
study pages on the extranet, liaising with students and the Postgraduate Society,
marketing and publications.
Skills Programme Administrator: Ms. Julia Crocker
Tel.: 01752 587633
E-mail: julia.crocker@plymouth.ac.uk
Julia is responsible for the administration of the Skills Development Programme,
postgraduate induction events and Postgraduate Society.
Administrative Assistant (Research): Mrs. Glynis Hockey
Tel.: 01752 587639
E-mail: glynis.hockey@plymouth.ac.uk
Issuing offer letters for postgraduate research students, examination arrangements,
submission of research degree theses, external examiners expenses, research
degree certificates, research candidate database/files, University Scholarships
Scheme (USS), Overseas Research Scheme (ORS).
IT Administrative Assistant (Job share):
Ms. Anna Johnsson and Mrs. Ann Treeby
Tel.: 01752 587638
E-mail: anna.johnsson@plymouth.ac.uk or ann.treeby@plymouth.ac.uk
Developing the postgraduate portal and maintaining the Graduate School and
postgraduate study pages on the extranet. General administrative tasks in the
Graduate School particularly with IT systems and production of documentation.
Clerical/Secretarial Assistant (Graduate School): Mrs. Sandra Eccleston
Tel.: 01752 87640
E-mail: sandra.eccleston@plymouth.ac.uk
General enquiries, clerical and secretarial support.
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Introduction
2007/2008 Edition
WHO TO CONTACT CONCERNING INFORMATION, ADVICE AND QUERIES
Director of Studies
Your Director of Studies will be your main contact in all project-related matters. You
will work under the guidance of your Director of Studies throughout your research
programme but will be required to work independently for a substantial part of the
time and ultimately you are responsible for the submission of your thesis. As a result
of the close working relationship between supervisor and candidate difficulties may
arise from time to time most of which can be dealt through consideration on both
parts and the establishment of good communications. Your Director of Studies will
aim to assist in every aspect of your work, to build your confidence in your work and
support you in any other matters that might affect your studies.
Second Supervisor(s)
Your second supervisor is appointed to provide joint support with your Director of
Studies to assist you on your research project. He/she may provide specialist
knowledge in one particular aspect of your project and may also help to provide a
balanced perspective. You, your Director of Studies and second supervisor(s) will be
expected to work together as a team throughout your research degree programme.
Research Degree Coordinator
The local Research Degree Coordinator will be a member of academic staff who
may have been appointed at School level or at Faculty level. This person will be able
to advise and assist you on local research matters and the local processes and will
normally be responsible for the annual monitoring of progress, research seminars
and local induction. If you wish to raise a query with someone outside your
supervision team then this is the person to contact. Personal issues will be dealt with
in a confidential manner.
Personal Tutor
In many cases the Research Degree Coordinator will act in this role but in some
areas an individual will be responsible for dealing with personal issues and general
welfare.
Research Degree Administrator
All Faculties have appointed an administrator, who deals with day to day
administrative matters for research students. Queries relating to bursaries,
resources, facilities, logbook, Graduate Committee deadlines, enrolment, annual
monitoring as well as other issues can often be resolved with the administrator.
Research Student Representative
The School and/or Faculty will have a research candidate representative on their
local Graduate Committee. Contact your Research Degree Coordinator or Research
Degree Administrator to find out who this is and how they can be contacted if you
wish to raise an issue at one of these meetings.
The Graduate Committee also has one research student member, selected from and
by the postgraduate research students, as well as the Chair of the PG Society
representing the Students’ Union. Please contact the Graduate School if you would
like further information.
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2007/2008 Edition
Introduction
Local Research Coordinator, Head of School, Associate Dean (with Faculty
responsibilities for research students) and Dean of Faculty
The final decision concerning issues raised at local level normally rests with the
Local Research Coordinator, Head of School, Associate Dean with Faculty
responsibilities for research students or the Dean of Faculty. Issues are normally
only referred to the Dean when other channels have been exhausted. In most cases
if issues are raised directly with the Dean these will initially be referred back to the
School, Research Coordinator or Associate Dean with Faculty responsibilities for
research students.
The Graduate School
The Graduate School provides information, advice and assistance to staff, students
and external bodies concerning research and all related matters. As a central office
with knowledge and contacts spanning all Faculties we are often a useful point of
contact for queries.
Particular areas dealt with by the school that relate to research degree candidates
include: admissions procedures, research degree enrolment and registration,
transfer, examination, tuition fees and research funding.
The Graduate School is also responsible for the coordination of certain workshops,
generic skills training sessions, facilities, etc. for research students. Please visit the
Graduate School webpages (http://www.plymouth.ac.uk/graduateschool/) for up to
date information.
If problems or queries arise which candidates would like to discuss with a member of
staff outside their Faculty they may contact the Graduate School. An 'open door'
policy is maintained and all matters are dealt with in a confidential and impartial
manner.
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2007/2008 Edition
SOURCES OF ADDITIONAL USEFUL INFORMATION
FINANCE
Some educational trusts and charities give small grants to fund study and
programmes of research. Information can be obtained from the following books,
which are available in the University and public libraries:



L. Baynes (ed): The Grants Register: Macmillan Publications.
A. Villemur (ed): The Directory of Grant Making Trusts: Charities Aid
Foundation.
International Awards 2001+: Association of Commonwealth Universities (The
1997-1999 edition appears to be the most recent).
Information on the web:






Research Councils studentship information can be obtained from the
appropriate website: http://www.(BBSRC, EPSRC, ESRC, MRC, NERC, PPARC
or AHRC).ac.uk. Students cannot obtain funding directly from these sources and
should apply through the relevant University School.
The Prospects Postgraduate Funding Guide which is available on the web at:
http://www.prospects.ac.uk/
FindAPhD.com and FindAPostDoc.com, which is available on the web at:
http://www.findaphd.com/
The Association of Commonwealth Universities (ACU), available on the web
at: http://www.acu.ac.uk/
The British Council web pages: http://www.britcoun.org/
The National Postgraduate Committee (NPC) Postgraduate Funding Guide
web pages available through: http://www.npc.org.uk/
The Graduate School’s webpages (http://www.plymouth.ac.uk/graduateschool/)
include links to the Research Councils’ web sites and to those of a number of other
research funding bodies.
RESEARCH
Various publications are available on the research process, methodology, writing
techniques, supervision and teaching. The following publications should be available
in the University and public libraries:


E.M. Phillips, D.S. Pugh: How to Get a Ph.D.: A Handbook for Students and
their Supervisors. O.U. Press. This book is a handbook and a survival manual
which discusses the nature of a Ph.D. qualification, methodology and the overall
process of research degree registration. The difficulties in achieving a Ph.D. are
discussed in a chapter entitled 'How Not to Get a Ph.D.'. Included in the book are
many honest quotes from candidates and supervisors which many candidates
will relate to.
P. Cryer: The Research Student's Guide to Success. Open University Press.
Described as providing practical information for the process of research study.
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








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Introduction
L. Orna, G. Stevens: Managing Information for Research. Open University
Press: Described as a book for first-time researchers, which addresses time
management, organising information, producing written work, etc.
SERC: Research Student and Supervisor: An Approach to Good
Supervisory Practice. A useful common sense booklet particularly useful for
supervisors. Copies are available from the Graduate School.
R. Murray: How to Write a Thesis. Open University Press.
M. Wilkin: Learning to Teach in Higher Education. CEDAR. Described as a
manual for teaching assistants and graduate students who are teaching
undergraduate students for the first time. It includes practical advice on
preparing handouts, using audio-visual aids, giving a lecture and evaluating a
teaching session.
J. Bell: Doing Your Research Project: A Guide for First-Time Researchers in
Education and Social Science. Open University Press.
P. Salmons: Achieving a Ph.D. - Ten Students' Experience. Trentham Books.
H.S. Becker: Writing for Social Scientists: How to Start and Finish Your
Thesis, Book or Article. University of Chicago Press.
J.W. Cresswell: Research Design; Qualitative and Quantitative Approaches.
Sage Publications.
P. Cunleavy: Authoring a Ph.D. How to Plan, Draft, Write and Finish a
Doctoral Thesis Dissertation. Palgrave Macmillan.
R. Murray: How to Survive your Viva. Open University Press.
S. Delamont, P. Atkinson, O Parry: Successful Research Careers: a Practical
Guide. Open University Press.
This provides an overview of the many different writing practices and processes
involved in the production of a doctoral thesis.
PROSPECTS POSTGRADUATE STUDY
The Prospects Postgraduate Directory provides national information on graduate
study and research opportunities and is available in University Careers Offices and
Libraries. It can also be accessed on the web at http://www.prospects.ac.uk/.
NATIONAL POSTGRADUATE COMMITTEE (NPC)
This organisation was formed in 1982 with the aim of representing and advancing
publicly the interests of postgraduate students within the U.K., of promoting the
welfare of postgraduate students at institutions of Higher Education in the U.K. and
promoting communication and cooperation between postgraduate student
associations and societies. The Committee provides a series of guidelines in regard
to postgraduate research and courses and organises various events around the
country.
Membership of the Committee is not restricted to postgraduate students and may
well be of interest to academics and administrators. Details about individual
membership and/or events, publications or information can be obtained from its
General Secretary:
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2007/2008 Edition
Mr. Jim Ewing
Please note NPC will move offices to University of Glasgow)
National Postgraduate Committee
University of Surrey Students' Union
Union House
University of Surrey
Guildford
Surrey
GU2 7XH
Telephone: 01483 683921
Fax: 01483 534749
Email: npc@npc.org.uk
Web address: http://www.npc.org.uk/
EURODOC
The council for postgraduate students and junior researchers in Europe. Officially
created in February 2002, EURODOC was founded by the Ph.D. student
associations and unions of the European states.
EURODOC's targets:
 To give an official frame for the collaboration of Europe's doctoral/postdoctoral
students' unions.
 To represent the European doctoral students and young researchers at a
European level towards all political and administrative institutions.
 To be a discussion platform for doctoral students and young researchers, senior
scientists and science policymakers (discussing the current and future problems
of science policy and those of young scientists in particular).
 To make propositions to achieve the amelioration of the status of Ph.D. students
and young researchers.
Further information on EURODOC can be found on their website or via the board
members (August 2004):
Mr. Renzo Rubele, President of EURODOC board (president@eurodoc.net)
All board members: board@eurodoc.net
Website: http://www.eurodoc.net/
THE U.K. GRAD PROGRAMME
These programmes are run by the Research Councils on dates throughout the year
at venues across the U.K. Details are normally advertised between September and
December of each academic year.
The Course normally runs for three, four or five days and is structured around a
series of business problems and personal skills sessions. The programme is
designed specifically for Ph.D. candidates and is aimed at enabling candidates to
achieve their full potential, broaden their view of career opportunities and develop
personal and communication skills.
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Introduction
Who should attend? These programmes are open to all penultimate or final year
Ph.D. candidates of any discipline.
If you are eligible for a funded place, your accommodation, meals and course
materials will be covered. However you will have to pay your own travelling
expenses. Students not entitled for a funded place are still eligible to attend. Your
department or Ph.D. sponsor may pay this cost for you. Fees cover five, four or
three night accommodation (depending on the course), all meals and course
materials. You pay for your travelling expenses. Transport from the nearest railway
station is provided where appropriate.
Some courses have facilities for disabled students. Please contact
admin@grad.ac.uk or course location information.
Places are limited and are all allocated on a first come, first served basis.
Full details of this programme and other useful information for research students is
available at: http://www.grad.ac.uk/
UNIVERSITY OF PLYMOUTH GRADUATE SCHOOL
The Graduate School is also offering workshops and seminars that are designed to
support research students in their studies and in their professional development.
Information about the workshops available can be found on the Graduate School
website (http://www.plymouth.ac.uk/graduateschool/) and in the portal
(http://intranet.plymouth.ac.uk/postgrad/ - for internal staff and students use only).
Queries related to the generic skill sessions can be addressed via e-mail to
research.skills@plymouth.ac.uk.
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Introduction
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RESEARCH DEGREE REGISTRATION - TIMETABLE
Key tasks and milestones are detailed below. This list of tasks should be used as a
‘check-list’ to ensure that milestones are achieved within the stipulated time. Please
also refer to the University-wide quality procedures and faculty annexes.
This table applies to those research students who started their programme of
study before 1st August 2003.
MILESTONE
FORM
Enrolment
Preliminary
registration
Registration of
research degree
programme
TASK
Candidate enrols with University (or
Partner College if from Dartington
College of Arts or University College
Falmouth)
Day 1
RDC.0
Day 1
Complete RDC.0 with supervisor(s)
RDC.1
Month 1 – 6
Complete RDC.1 with supervisors
Submit RDC.1 to Local Research
Committee
By month 6
Submit RDC.1 to Graduate Committee
Every
September/
October
Candidate re-enrols with University
Every
academic
year
Assessment at local level and Faculty
summary report sent to Graduate
Committee
=< Month 18
(FT)
Submit RDC.2, transfer report and
reports from Expert Commentator and
DoS to Local Research Committee
and then to Graduate Committee
Re-enrolment
Annual monitoring
Confirmation of
route
WHEN
RDC.2
=< Month 24
(PT)
Examination
arrangements
RDC.3
6 months
prior to
submission
Faculty to submit RDC.3 to Graduate
Committee for consideration
Candidate submits thesis to Graduate
School
Submission of
thesis
Viva voce
examination
>= 1 month
Director of Studies to arrange date,
after
location and time of examination
submission
Research Degree Candidate (RDC) forms are available via the Graduate School
Community in the portal (http://intranet.plymouth.ac.uk/gradsch):
RDC.0
RDC.1
RDC.1A
RDC.2
RDC.3
Application for Research Degree: Preliminary Registration
Application to Register for M.Phil., M.Phil./Ph.D. or Ph.D. direct (now obsolete)
Changes to Research Degree Registration
Confirmation of Route
Examination Arrangements
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Introduction
This table applies to those research students who started their programme of
study on or after 1st August 2003.
MILESTONE
FORM
Enrolment
WHEN
Day 1
Preliminary
registration
RDC.0
Day 1
Project Approval
RDC.1
Month 1 – 6
By month 6
Every
September/
October
Re-enrolment
Annual monitoring
Confirmation of
route
Every
academic
year
RDC.2
=< Month 18
(FT)
=< Month 24
(PT)
Examination
arrangements
RDC.3
6 months
prior to
submission
Submit RDC.2, transfer report and
reports from Expert Commentator and
DoS to Local Research Committee
and then to Graduate Committee
Faculty to submit RDC.3 to Graduate
Committee for consideration
Candidate submits thesis to Graduate
School
Submission of
thesis
Viva voce
examination
TASK
Candidate enrols with University (or
Partner College if from Dartington
College of Arts or University College
Falmouth)
Complete RDC.0 with supervisor(s)
(only for Partner College students)
Complete RDC.1 with supervisors.
Submit RDC.1 to Local Research
Committee
Submit RDC.1 to Faculty Graduate
Committee (to the University Graduate
Committee only for Partner College
students)
Candidate re-enrols with University (or
Partner College if from Dartington
College of Arts or University College
Falmouth)
Assessment at local level and Faculty
summary report sent to Graduate
Committee
>= 1 month
after
submission
Director of Studies to arrange date,
location and time of examination
Research Degree Candidate (RDC) forms are available via the Graduate School
Community in the portal (http://intranet.plymouth.ac.uk/gradsch):
RDC.0
RDC.1
RDC.1A
RDC.2
RDC.3
Application for Research Degree: Preliminary Registration
Project Approval
Changes to Research Degree Registration
Confirmation of Route
Examination Arrangements
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UNIVERSITY OF PLYMOUTH
PERSONAL INFORMATION
AND DATA PROTECTION
This is a statement about the use made by the University of student personal data.
The statement also appears in the University web pages and is referred to in the
Students Handbook, containing information which will help students to find out what
they need to know about University life, policies, procedures and services. Please
check the following link for further information
(http://www.plymouth.ac.uk/studenthandbook/ - important information).
1.
Why we need to hold personal data
The University processes students’ personal data as part of the necessary
functioning of the institution. Personal data is information that can be used to
identify you as an individual and which you provide by completing your
application and enrolment form – as well as necessary information which we
process while you are a student, such as your assessment results, hall of
residence records, etc. All personal information provided by or about you will
be treated strictly in terms of the Data Protection Act 1998. This means that
confidentiality will be respected and that measures will be taken to prevent
unauthorised disclosure.
We also ask you for a photograph which will appear on the new style
University ID card. Your photograph will be stored electronically and will be
accessible to staff of the University. Your photograph may be used for
identification purposes within the University but will not be released to any
external agency. You may also appear on CCTV records which the University
keeps for security purposes.
2.
Disclosure of data
In common with all universities, Plymouth is required to send data about
individual students (and members of staff) to the Higher Education Statistics
Agency (HESA) which acts on behalf of the Higher Education Funding
Councils and other Government agencies to collect data for use in planning
for education. We may also provide limited data to Council Tax Offices of
local authorities to enable them to assess whether you are liable for Council
Tax. We shall report on your attendance and performance to your local
education authority or the Student Loan Company on request, if you have
been assessed for eligibility for support.
In certain circumstances, the University may be required to disclose personal
data by the police or courts for the purposes of the prevention or detection of
crime, or where it is necessary to protect your vital interests, in an extreme
emergency. We do ask you to provide on your enrolment form the name,
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Personal Information and Data Protection
address and telephone number of someone who we can contact in an
emergency.
The University archives student records for a limited number of years after
graduation in order to be able to confirm requests from prospective employers
etc. We may provide references or confirm marks to potential employers on
receipt of an official written request from them. It is assumed that by citing the
University on an employment/further study application, you are giving us
permission to release relevant personal data.
Reports may also be provided to a sponsoring body, sponsoring employer or
LEA, provided that the receipt of information on your progress forms part of
the conditions of your sponsorship.
As part of a government-sponsored scheme, the University, in association
with other institutions in the south west region, records data within an
accumulating lifelong learning record to which you will have long-term e-portal
access. You will have control via the e-portal of approving any third-party
access to your record (or parts of it that you select), for example to
prospective employers. Information will be provided to you about the e-portal
shortly after enrolment. If you do not wish to be part of this scheme, you
should write to the Secretariat on the Plymouth campus.
At the end of your studies, limited personal data will be passed to the
Graduates Association in order that we can maintain contact with you. If you
are in debt to the University, we will disclose sufficient personal data to a third
party to enable it to pursue and recover the monies owing.
Where the student is undertaking taught module(s), it is normal University
practice to produce official results lists, showing the results of all students on
a programme. A copy of the list is given to each student on the programme
and may be placed on appropriate Departmental noticeboards. If you feel that
the publication of your results in this way will cause you significant damage
and/or distress, you may ask for your details not to be shown on the list. Such
a request must be made in writing to your Head of Faculty Administration.
The University will also transfer summary details to the Students Union so
that the Union can provide you with appropriate services. If you do not wish
this information to be disclosed, you should write to the Secretariat on the
Plymouth campus.
The University may occasionally supply limited personal data to members of
staff or external organisations for research purposes (e.g. postal
questionnaires). If you do not wish your data to be used in this way, please
write to the Secretariat on the Plymouth campus.
This list is not intended to be exhaustive but to give you an idea of the various
kinds of processing of information which the University may need to
undertake. These are also listed in the University’s Data Protection
registration. We will not normally release data about you to your parents,
partner or other relative or external enquirer under any other circumstances,
without having received your specific written consent.
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Access to data
The Data Protection Act gives you certain rights of access to your personal
data records held by the University. Almost all of the data held is printed out
on your enrolment form for you to check every year. If you are undertaking a
taught module, your confirmed assessment results may be forwarded to you
on a transcript after they have been agreed by the Award Assessment Board.
If you do want additionally to be notified of all the information the University
holds about you, you should write to the University Secretary and Academic
Registrar (contact details are given in the Student Handbook). The Office of
the Data Protection Commissioner lays down a standard charge for this
information.
4.
Accuracy
It is a requirement of the Act that information processed about individuals is
accurate. It is essential therefore that you keep your Faculty or School Office
informed if you change personal details such as your address, or name. We
will need to write to you several times during your time as a student, for
example to give you your assessment results and to tell you about Awards
Ceremonies.
5.
Sensitive Data
Some personal data is defined as ‘sensitive’ under the 1998 Data Protection
Act, including the following:

Race or ethnic origin

Physical or mental health

The commission or alleged commission of an offence, and any
proceedings arising therefrom
Your explicit consent is normally required to process this data (although there
are circumstances where that consent is not required such as where data is
used solely for monitoring equality of opportunity, where data is used by
health professionals, or in an emergency). In signing your enrolment form you
are giving us consent to process. If you have any questions, or wish to
withhold your consent to our processing ‘sensitive’ data, please contact the
Secretariat on the Plymouth campus. You can be advised of the
circumstances under which we are required to process ‘sensitive’ data,
although the following paragraphs set out in some detail how we do use that
data.
6.
Ethnic origin
We ask you to tell us your ethnic origin. We are required to pass this data on
to the Higher Education Statistics Agency (HESA). HESA and the University
will use this data only for the purposes of monitoring equality of opportunity.
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7.
Personal Information and Data Protection
Health and disability
We ask you to tell us if you are disabled and also if you are in receipt of a
disability allowance. Disability includes mental health. We are required to
pass this data on to the Higher Education Statistics Agency (HESA) and it will
be used by HESA only for the purposes of monitoring equality of opportunity.
Within the University data about disability will be used for the purposes of
monitoring equality of opportunity. It will also be used by the Disability Assist
Services (DAS) as an essential part of the provision of a service to students
with disabilities. If you declare a disability, DAS may contact you to see if the
Centre can provide any further help for you. Data about disability may also be
made available to members of the University Student Health Service
(including the University Chaplain) or to the Accommodation Office (if you are
in hall).
There may be circumstances when we have to release information in an
extreme emergency, for example if you were taken ill and health professionals
outside the University need to know about a disability. The Data Protection
Act recognises that it is not always possible to seek your consent to the
release of sensitive data in an emergency.
You may disclose information about your health when you complete an
Extenuating Circumstances form or a Changes to Research Degrees
Registration form (RDC.1A). The full regulations regarding Late Coursework
and Extenuating Circumstances are available on the University website at:
http://www.plymouth.ac.uk/studenthandbook/.
8.
Commission of an offence
Any person with a criminal conviction will have been asked to declare that on
the University application form, and the University has a published policy and
procedure for dealing with such applications. Information about a criminal
conviction is used as part of the admission procedure alone.
The University Student Code of Conduct and Disciplinary Procedure are
available at the following website:
http://www.plymouth.ac.uk/studenthandbook/.
The Disciplinary Procedure makes it clear in which cases any record will be
kept on file of misbehaviour or other breaches of discipline.
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2007/2008 Edition
UNIVERSITY OF PLYMOUTH
FREEDOM OF INFORMATION
INFORMATION FOR STAFF
1.
What is the Freedom of Information Act?
The Freedom of Information Act (FOIA) came into force on 1 January 2005. It
gives everyone a right of access to information held by public bodies,
including Universities.
2.
What is likely to be the impact of the FOIA?
The University of Plymouth strives to be open and transparent and has
historically responded positively to the majority of requests for information
from both within and outside the University, so for many people there may be
no significant impact. However, the Act does make more information publicly
available and does impose a timescale for responses.
3.
How does the FOI Act differ from the Data Protection Act?
The Data Protection Act (DPA) covers personal information. Individuals may
request their own personal data (known as a “data subject request”) from the
University, but data on other parties will normally remain confidential. There is
a statutory £10 fee for responding to a DPA data subject request. The FOIA
enables anyone to request information from the University and requires that
the University makes that information available subject to certain exemptions
(see below); these exemptions include all personal data (whether about the
individual making the request or anyone else).
4.
What kinds of information does the FOI Act cover?
The FOI Act covers all information, whether held electronically or in printed
form. This covers not only strategy or policy documents and committee
papers, but also correspondence, emails, audio and video tapes. It covers all
the information the University holds, whether current or historic.
As part of its responsibilities under the Act, the University has devised a
Publication Scheme. This describes the information that we will routinely
make available either in hard copy or, increasingly, electronically. The
Publication is accessible via both the Intranet (for those within the University)
and the Extranet (for those outside).
Enquirers not able to access the Publication Scheme electronically may be
sent a hard copy.
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2007/2008 Edition
5.
Freedom of Information
How are requests for information made?
Requests can be made to anyone in the University, but must be put in writing
(this includes email and fax). The University has devised a form to help
individuals make a request - this can be found on the Freedom of Information
community on the staff portal or on the extranet (by following the links from
the “Information about the University” heading). A copy is also appended to
this document. Requests do not have to be made on the form. The requester
must however, give a name and address for correspondence.
A request does not have to identify specifically that it is made under the
provisions of Freedom of Information – neither does it need to explain why the
requester wants the information.
6.
What if I receive a telephone request?
If you receive a telephone request for information, you should check whether
it is a Data Protection request or a request for other information. Then ask the
person concerned to put the request in writing and send them a copy of the
relevant form.
7.
What should I do if I receive a request for information to which I do not
have access?
If you receive a written request for information which you do not have access
to, you will need to send it as soon as possible to the person who does have
the information. If in doubt, check with your line manager. It is important that
you send it on urgently since the timescale for response (see below) starts
from the day the request arrives, no matter where in the University it is
received,
8.
How long do I have to respond?
Any request must receive a response within 20 working days or the University
will be in breach of the Act, so any written request for information must be
responded to rapidly.
The Act does not cover requests made by telephone, but does cover those
received via email. This will mean that if you are absent from the University
for any period which might create difficulties in dealing with a request for
information, you will need to ensure that the Outlook “Out of Office Assistant”
is on and that the message refers enquirers seeking information under the
Freedom of Information Act to another School/Faculty email address.
All requests must receive a response which:

Confirms whether or not the University holds the information requested
and
 Either provides a copy or summary of the information, or arranges for
the enquirer to inspect the information
 Or gives reasons why the information is being withheld.
Some responses may, of course, include more than one of the above,
depending on the range of information requested.
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Freedom of Information
9.
2007/2008 Edition
Is any information exempt from the Act?
Exemptions to the Act are very limited. Some exemptions are absolute; others
require the University to make an assessment of whether the public interest in
the information being made freely available overrides any potentially negative
consequences of disclosure (known as a “public interest test”).
If information is withheld because it falls into an exempt category, you must
explain that this is the reason why the information is not being disclosed.
Exemptions (except that relating to personal data) only apply to information
less than 30 years old.
The list of exemptions in full can be found in http://intranet.plymouth.ac.uk/foi
- only for staff or students.
10.
What is meant by the exemption ‘Information accessible by other
means’?
This generally means information which is already in the public domain (e.g.
programme information on the Extranet or information published in the
University’s annual report). In such cases it would not be necessary to
produce a specific response to a query – supply of the relevant URL or a copy
of the report would be sufficient.
The University intend over time to make more of its official documents
available via the Extranet, so that enquirers can be directed to this source.
11.
What is meant by the exemption ‘Information intended for publication’?
Information will be exempt from the Act if the University has a clear intention
to publish it in the future (i.e. there is no need to provide it within the 20
working day limit if it is intended that it be published at some future date). This
would apply specifically to research findings which are due for later
publication.
12.
Is information exempt if it marked ‘Confidential’?
Just because information is marked “confidential” does not mean that it is
covered by an exemption. The Act does provide for some circumstances in
which a request for information may be refused on the grounds of
confidentiality. These are, in summary:

Data Protection; information relating to named individual should not be
released if it is protected under the Data Protection Act.

Commercial confidentiality; if disclosing the information would prejudice
the commercial interests of the University or any other body.

Information intended for future publication (see above).

Legally confidential information, such as advice from the University’s
lawyers about potential litigation; or information provided in confidence
where disclosure could give rise to an action for breach of confidence.
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13.
Freedom of Information
What if I am asked for a document which includes some exempt
information?
If a document contains exempt information, those pieces of information can
be withheld (e.g. by blocking out text or cutting and pasting) but the rest of the
document must still be released.
14.
What are the implications for Committee papers and minutes?
The Act gives everyone, within and outside the University, a right of access to
University records, which includes Committee papers and minutes at all
levels. If you are the Secretary to any Committee or group or are providing
papers, you need to be aware that minutes and papers may be subject to an
access request under the Act and you should write them bearing that in mind.
There may be cases where disclosure of information recorded in Committee
papers or minutes is covered by an exemption (see above). Even so, the
remainder of the information contained in a paper or minutes is likely to be
covered by the Act. It is therefore good practice to ensure that where
information which is exempt from the Act is provided/minuted, it is contained
in a separate appendix, referred to in the paper/minute as “Appendix xx, for
Committee members only, on the grounds of Data Protection/Commercial
Confidentiality”, etc.
If you are concerned about releasing information, check first with the Chair of
the Committee, who may refer the question to the Secretariat.
15.
Can we charge a fee for providing information?
We can only charge a fee if we can demonstrate that putting the information
together will take more than 18 working hours. If so, we can charge £25 an
hour for the 18 hours and any hour in addition, but we would need to let the
enquirer know that in advance.
16.
What if I get a request from a journalist?
Journalists are one of the groups of people who have most frequently used
similar legislation in other countries and they have a legitimate right to do so.
However, if you receive a request from a journalist, please feel free to refer it
to the Secretariat so that we can keep track of such requests.
17.
Who can I go to if I have a query?
If you are in any doubt as to whether information is exempt from disclosure or
not, or if a fee should be charged, or any other query, please contact the
Secretariat (email foi@plymouth.ac.uk or telephone 01752 233456) for
advice.
Further information is available via the intranet
(http://intranet.plymouth.ac.uk/foi).
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2007/2008 Edition
UNIVERSITY OF PLYMOUTH
REGULATIONS AND
CODE OF PRACTICE
FOR THE DEGREES OF
RESEARCH MASTER
AND
MASTER OF PHILOSOPHY
AND
DOCTOR OF PHILOSOPHY
NOTE: Current Regulations for Approved Programmes of Study Leading to the
University of Plymouth’s Awards will apply to all candidates. These can be found
from the Faculty Office or at http://www.plymouth.ac.uk/studenthandbook.
These Regulations and Code of Practice should be read in conjunction with the
University-wide quality procedures for Research Degrees (available at
http://www.plymouth.ac.uk/researchdegreehandbook) and the University Student
Handbook, available at http://www.plymouth.ac.uk/studenthandbook.
Professional Doctorates candidates should also refer to Regulatory Framework for
Professional Doctorates.
Where “Local Research Coordinator” and/or “Head of School and/or Dean of
Faculty” appears then “Head of Research” and/or “Vice Principal and/or Principal”
should be read as equivalent for Accredited Partner Colleges (Dartington College of
Arts and University College Falmouth).
Separate regulations apply to candidates registered with the Peninsula College of
Medicine and Dentistry (PCMD) – please contact PCMD for further information
(http://www.pcmd.ac.uk).
1.
Introduction
1.1.
A University of Plymouth Research Degree Regulations and Code of
Practice have been prepared to help define the obligatory aspects of
research degree registration. This document is intended to provide
research degree candidates and supervisors with guidance through
the research degree registration process and to assist Research
Degree Management Units to establish good management practice.
1.2.
These regulations are to be used in conjunction with the approved
University-wide quality procedures and the Faculty quality procedures
which have been approved by Graduate Committee
(http://www.plymouth.ac.uk/researchdegreehandbook). Faculty quality
procedures take account of the differences between subject areas.
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Regulations and Code of Practice
The two documents together provide guidance on the processes for
research. A copy of these procedures will be made available at
enrolment by the faculty research degrees administrator.
2.
1.3.
Research degree administration will be referred to in this document as
the Research Degree Management Unit. In all cases final
responsibility rests with the relevant Deputy Vice Chancellor in
consultation with the Dean of Faculty.
1.4.
Definition of a research student – all research degree candidates are
referred to as research students and are recorded in the University
student registration database (UNITe).
1.5.
A Research Degree Coordinator is nominated at School level. This
person is responsible for dissemination of information between the
School and the Graduate Committee. This person will normally be the
main contact for research degree matters at school level and will act
as an advisor to applicants, candidates and supervisors.
1.6.
An Associate Dean within a Faculty will be nominated and is
responsible for over-arching research student matters and will ensure
that the faculty meets the Minimum Benchmarks for research students
and will ensure that all research students are allocated to a research
group and that research group will provide a seminar series, journal
clubs and access to appropriate facilities. The Associate Dean will be
responsible overall for admission and selection procedures,
supervision team nomination, quality assurance, annual monitoring
and upgrade from M.Phil. to Ph.D. (if appropriate) and examinations.
Subject specific skills training will also be the responsibility of the
Faculty and where appropriate developed collaboratively across
Faculties. Generic skills training will be the responsibility of the
Graduate School. The Associate Deans are also responsible for
ensuring that the Faculty is meeting requisite standards and will
provide Graduate Committee with appropriate reports and updates.
General Conditions
2.1.
Research students can be registered for the degree of:
a.
ResM - Research master
A 2 year full-time research degree.
b. MPhil - Master of Philosophy direct
A 3 year full-time research degree (including a 1 year writing-up
period)
c. MPhil/PhD - Master of Philosophy with transfer possibility to
Doctor of Philosophy
A 4 year full-time research degree (including a 1 year writing-up
period) if successfully transferred to PhD
d. Integrated PhD
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Regulations and Code of Practice
e.
f.
2007/2008 Edition
A 5 year full-time degree (including a 1 year writing-up period) if
successfully transferred to PhD, including an integrated set of
taught M-level modules (New Route PhD).
Professional Doctorates
A 3 year FT or 5 year PT research degree (including an initial set
of taught D-level modules). Note: separate Regulations are
approved for Professional Doctorates.
Staff candidature
A presentation for a research degree on the basis of previously
published works. Note: separate Regulations and guidelines exist
for Staff Candidature.
2.2.
Candidates whose work forms part of a wider group project may
register for a research degree but each registered project must be
distinguishable for the purposes of assessment.
2.3.
All research degrees will be assessed by means of a written thesis
and an oral defence (viva voce examination).
2.4.
Candidates may undertake a programme of research in which creative
work forms a significant part of the intellectual enquiry (practicebased). In such cases, assessment may include a presentation in
addition to the other elements of assessment (thesis and viva voce
examination).
2.5.
Candidates may undertake a programme of research of which the
principal focus is the preparation of a scholarly edition of a text or
texts, musical or choreographical work or other original artefacts.
2.6.
All research students shall undertake a programme of related studies,
where it is deemed necessary, in order to gain competence in
appropriate research methods and related knowledge of the subject of
the thesis.
For the ResM this comprises a minimum of 40 credits up to a
maximum of 120 credits of M-level modules (may include up to 30
credits of stage 3 level modules). For MPhil and PhD this is up to 30
credits of M-level modules. The taught components will normally
include formal research methods training.
3.
Starting a Research Degree Programme
Enrolment and registration
3.1.
Research students (including staff registered for a research degree)
are required to enrol on their first day and again at the beginning of
every academic year whilst registered for a research degree.
Research students should contact the relevant administrator in the
Faculty (or College for University College Falmouth students) for
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Regulations and Code of Practice
details of when and where enrolment will take place. Online enrolment
is possible for most research students.
3.2.
3.3.
3.4.
At enrolment candidates will normally be required to:
a. produce a copy of their offer letter (initial enrolment only),
b. produce confirmation of award or sponsorship arrangements or
credit/debit cards details if appropriate (the Finance department or
the Graduate School should be contacted if any queries arise
concerning the payment of tuition fees),
c. complete and sign an enrolment form, and
d. Students from University College Falmouth should complete and
sign a Preliminary Registration form RDC.0.
If on-line enrolment is available, students will need to print an
enrolment certificate, sign it and send it to the Faculty Research
Degree Administrator. Candidates are advised to keep a copy of this.
Candidates will normally receive at enrolment:
a.
a copy of the enrolment form which they have completed and
signed,
b. an ID card (initial enrolment only and not for students from
University College Falmouth) - this card enables candidates to
access the library, Student’s Union, and access certain buildings
and offices and sports facilities (after payment of a joining fee)
c. a “Welcome pack” (initial enrolment only) and Research Degrees
Handbook. A copy of the University-wide and the Faculty quality
procedures and Faculty/School handbooks may also be provided,
and
d. a copy of the Research Student Logbook (initial enrolment only).
3.5.
If on-line enrolment is available, the above documentation will be given
at an induction session or be sent by post (especially for students
carrying out research mainly based overseas).
3.6.
Initial enrolment subsequent annual enrolment defines the registration
for the research degree and:
a.
enables the administrators to complete the full registration of the
research student into the university registration system (UNITe),
b. clarifies and formalises the research programme, the supervisory
team, research training, mode of study (FT, PT or WU) and
qualification aim, and
c. provides a base on which the candidate, supervisors and
Research Degree Management Unit can focus.
For all students at University College Falmouth:
3.7.
As soon as possible after enrolment and preliminary registration (via
form RDC.0) a research student should prepare the registration form
(RDC.1) with the assistance of the research administrator. Copies of
the form can be obtained from the College or the Graduate School.
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Regulations and Code of Practice
2007/2008 Edition
The form is available in hard copy or electronically on the portal
(http://intranet.plymouth.ac.uk/gradsch).
3.8.
A maximum of six months is permitted from enrolment and preliminary
registration to formal approval of an application to register.
3.9.
The application to register will be assessed at local level. Stages of
consideration will include consideration by the local Research Degree
Management Unit at a local Graduate Committee meeting adjustments may be recommended at this stage to ensure a suitable
package is provided before registration is approved at local level,
signed by the Head of School, Dean or Local Research Degree
Coordinator.
For students who started on or after 1st August 2003
3.10. Enrolment and registration are a combined process. Students who are
enrolled are also registered. Assessment of registration is done before
the offer of a place is made.
3.11. Registration will be confirmed at the project approval stage (form
RDC.1), between 3 and 6 months for full time students and 6 to 12
months for part time students. This approval will include a review
undertaken by an expert commentator, whose role is to confirm the
appropriateness of the research degree project and to offer
independent constructive comment.
3.12. For students registered on an integrated PhD programme the periods
above commence 12 months after the start of the programme of study
for full time students and 24 months for part time students.
For all students:
3.13. Assessment of the project plan for a research degree candidate will
include:
a.
consideration of the academic content and quality of the
programme of work to ensure that it is set at the appropriate level
and achievable within the limits of the research programme,
b. review of the project by an expert commentator out-with the
supervisory team,
c. consideration of the appropriate level of study of the candidate
and programme and thus the route of study and qualification aim
d. consideration of the availability of financial support, project
resources, research training, supervision for the duration of the
programme,
e. consideration of the extent of the relationship with any
collaborating establishment and the protection of intellectual
property rights and copyright of the final thesis,
f. consideration of the candidates qualifications/experience and
potential, and
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Regulations and Code of Practice
g. assurance that the candidate and research degree programme
meet the requirements of the University Research Degree
Regulations.
h. ethical considerations and/or approval if appropriate and not
considered before.
3.14. A candidate must re-enrol at the beginning of the Autumn semester for
each year the programme of study is pursued. No candidate is entitled
to re-enrol unless the prescribed fees for the academic year or any
other outstanding debt with the University have been paid (or
arrangements with the Finance office been put in place).
3.15. Any student who has not enrolled for the current academic year
without a formal Suspension approved by the Graduate Committee will
have their registration automatically terminated and their status will be
recorded as Withdrawn. The University will endeavour to contact the
research student by registered post to determine if the student intends
to enrol prior to terminating their registration. It is imperative that the
University is informed (via the research administrator if necessary) of
any change in address.
For students who started before 1st August 2003:
3.16. The normal maximum and minimum periods of supervised study and
registration for a research degree shall be:
Registration type
M.O.A.
Minimum
Maximum
M.Phil.
full-time
part-time
12 months
24 months
36 months
48 months
Ph.D.
full-time
24 months
60 months
(either direct of via
transfer from M.Phil.
part-time
36 months
72 months
registration)
The period of study for a research degree ends when the thesis is
submitted.
3.17. Where candidates change from full-time study to part-time study or
vice versa, the maximum registration period is calculated on a pro rata
basis.
3.18. In exceptional circumstances, and on the recommendation of the
supervisors, a candidate’s registration may be extended by the
Graduate Committee by not more than twelve months at any one time.
The registration of a candidate for whom the maximum period of
registration has ended, and for whom no further extension has been
granted, may be deemed by the Graduate Committee to have lapsed.
3.19. For those students registered for a 1+3 award or a New Route or
Integrated Ph.D., the above deadlines will be increased by one year
for full-time students and by two for part-time students.
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Regulations and Code of Practice
2007/2008 Edition
For students who started after 1st August 2003:
3.20. The normal maximum and minimum periods of supervised study and
registration for a research degree shall be:
Registration type
M.O.A.
Minimum
Maximum
ResM
full-time
part-time
18 months
24 months
24 months
36 months
M.Phil.
full-time
part-time
12 months
24 months
36 months
48 months
Ph.D.
full-time
24 months
48 months
(via transfer from
M.Phil. registration)
(integrated Ph.D. add
part-time
36 months
72 months
12/24 months FT/PT)
The period of study for a research degree ends when the thesis is
submitted for examination.
3.21. The Graduate Committee may permit a candidate who has started a
programme of study and research at another university to complete it
as a registered candidate of the University of Plymouth. The Graduate
School shall determine the minimum and maximum periods of study
and research on a case by case basis in consultation with the
research students previous establishment.
3.22. The first 6 months of registration are considered a probationary period
and registration may be terminated by the University if insufficient
progress is being made by the research student.
Extension to registration
3.23. In exceptional cases with extenuating circumstances, and on the
recommendation of the supervisors, a candidate’s registration may be
extended by the Graduate Committee. Extensions may be granted for
a 5th year if FT Ph.D. (4th for M.Phil. students, 3rd for ResM students)
and for 7th if PT (6th for M.Phil. students) by not more than twelve
months at any one time. The registration of a candidate for whom the
maximum period of registration has ended, and for whom no further
extension has been granted, may be deemed by the Graduate
Committee to have lapsed and will be automatically Withdrawn.
3.24. For those students registered for an Integrated Ph.D. (New Route), the
above deadlines will be increased by one year for full-time students
and by two for part-time students.
Suspension of registration
3.25. Where the candidate can demonstrate good reason for not making
progress with the research programme, the registration may be
suspended for a period not exceeding twelve months. In exceptional
circumstances such suspension of registration may be renewed.
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Regulations and Code of Practice
Periods of suspension shall not count towards the maximum period of
study and if the period of suspension exceeds 4 months and 1 day
then appropriate fees will be suspended and refunded. Outstanding
fees or fees held in credit will be reallocated when the student returns
from suspension.
3.26. During the period of suspension the University has the right to
suspend access to laboratories, office or other workspace and to the
library since the student will no longer be covered by the University’s
insurance. However, the University will normally attempt to keep
access to the library and online accounts live during the period of
suspension. During the period of suspension the supervisors are not
obliged to engage with the student in pursuit of their project progress
since no fees are being paid.
Fee paying structure
3.27. The amount of fee payable depends on the mode of attendance (full
time or part time) and the year of registration. The table below shows
the level of fees for each case (please note that the years in italics are
only granted after formal approval by Graduate Committee of
extensions to registration periods).
3.28. From 2008/09 entry, fees for overseas and Channel Islands students
are fixed for the duration of the registration at the level pertaining at
the commencement of their programme of study.
3.29. Further information on standard tuition fees can be found on the
extranet at http://www.plymouth.ac.uk/pgfees or
http://intranet.plymouth.ac.uk//gradsch/PGRfees for internal users.
Mode of
attendance
Full time
Part time
M.Phil./Ph.D.
M.Phil.
ResM
3 years FT fees
plus
1 year of writing up
(reduced fee)
extension
appropriate
½ FT fees
4 years PT fees
plus
2 years of writing
up (reduced fee)
extension
appropriate
½ PT fees
2 years FT fees
plus
1 year of writing up
(reduced fee)
extension
appropriate
½ FT fees
3 years PT fees
plus
1 year of writing up
(reduced fee)
extension
appropriate
½ PT fees
2 year FT fees
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extension
appropriate
writing-up fee
3 years PT fees
extension
appropriate
writing-up fee
Regulations and Code of Practice
2007/2008 Edition
Induction
3.30. The local Research Degree Management Unit will provide essential
and useful information for all new candidates undertaking a research
degree. The process for imparting this information will vary according
to the local Research Degree Management procedures but will
normally be provided through an induction
workshop/event/programme.
3.31. A University-wide Induction will be available twice a year for all
research degree candidates.
3.32. Professional Doctorate students attend an induction for their
programme and are not required to attend the University-wide
induction for research degree students.
3.33. Induction aims to ensure that:
a.
b.
c.
d.
e.
f.
g.
h.
i.
j.
candidates are informed of the local research degree
management structure, staff and procedures, the formal and
informal channels of communication at local and University level,
candidates new to the University of Plymouth are introduced to the
library, computing, sports/social facilities, etc. and that
international candidates are introduced to the additional
facilities/services available to them,
candidates are made aware of their responsibilities as a research
degree candidate and the responsibilities of their supervisors to
them,
candidates are informed of facilities and resources available to
them within the Faculty and School including availability and
access to photocopiers, computers, etc.,
candidates are introduced to the extent of research training
available and/or required,
candidates are informed of University health and safety
procedures - where appropriate specific local guidelines will be
provided and candidates may be required to sign a statement to
confirm that they have read and agree to these procedures,
candidates are informed of the University ethics policy particularly
in those areas where research involves human participants,
candidates are informed of the University policy on ownership of
copyright of theses and intellectual property rights arising from
their work,
candidates are made fully aware of the timescale for completion of
their research degree including the normal minimum and
maximum periods for completion, the liability of payment of fees
once sponsorship period is ended, and the structure of amount of
fees to be paid,
candidates are informed of the process and schedule for
registration or confirmation of route, transfer from M.Phil. to Ph.D.
(if appropriate) and examination arrangements, including the
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Regulations and Code of Practice
deadlines for local Graduate Committees and University Graduate
Committee meetings for consideration of these matters,
k. candidates are informed of normal expectations for progress and
informed of the six month probationary period and the annual
monitoring process,
l. candidate are informed of the local systems and procedures in
place to monitor the use of the logbook and their responsibilities,
m. candidates are informed of pastoral support and counselling
services available and are encouraged to make use of the support
network for personal and work related matters when needed, and
n. candidates are aware of opportunities to voice views and input into
local decision making - a research candidate representative is
normally elected annually at local level and local associations
established.
4.
The Candidate/Supervisor Relationship
4.1.
It is recommended that the candidate and supervisor work together to
maintain and complete the Research Student Logbook.
4.2.
All candidates shall normally have at least two supervisors and not
normally more than three supervisors. One of the supervisors shall be
nominated as the Director of Studies. The Director of Studies shall be
a member of the Academic Staff of the University of Plymouth. The
Director of Studies shall have had previous successful UK/CNAA
supervision and experience of the degree for which the candidate is
registered. An Emeritus Professor can act as a member of the
supervisory team but not normally as Director of Studies.
4.3.
The Graduate Committee may appoint a replacement or additional
supervisor at any time if it deems this to be necessary and shall do so
if there is a sole University-based supervisor who ceases to be a
member of staff of the University or is on extended leave of absence,
study leave or sabbatical.
4.4.
The Local Research Degree Management unit will ensure that
supervisors:
a.
are appropriately experienced and qualified for supervision and
the Director of Studies has supervised to completion at the
relevant level,
b. the maximum total number of students supervised by a single
supervisor will normally be eight FTE research students at any one
time. (The role of Director of studies will be equivalent to 1.0 FTE,
the role of second supervisor will be equivalent to 0.3 and the role
of third supervisor will be equivalent to 0.1).
c. are able to provide supervision in the subject area and at the
appropriate level,
d. are not registered for a research degree themselves, and
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e.
4.5.
4.6.
have undertaken appropriate supervisory training by no later than
the end of the first year of the student registration.
The supervisors shall be responsible for the supervision of the design
and progress of the candidate’s research project and for providing
academic advice to the candidate. They shall report to the Head of
School or his/her nominee on the candidate’s work and progress
annually.
The responsibilities of the Director of Studies of a candidate are as
follows:
a.
b.
c.
d.
e.
f.
g.
h.
i.
j.
k.
l.
m.
to provide the leadership of the supervisory team and to provide
support to the research student on a regular and frequent basis,
to impart knowledge in the area of the candidate's research
programme and/or the theoretical approach to be taken,
to develop an effective working relationship with the candidate and
to provide an encouraging and supportive environment,
to maintain regular contact through meetings and to co-ordinate
meetings with the other supervisors as well as being responsive to
students' needs outside of agreed meeting times,
to keep a record of supervisory meetings,
to introduce the candidate to external publications, professional
bodies, contacts and sources in the related field
to involve the research student in the activities of a research
group and its workshops and conferences,
to assist with the planning of the research programme, advise on
literature sources, investigative and analytical techniques and
arrange a programme of advanced training in generic and specific
aspects of the research programme,
to provide assistance with a project structure, work plan and
milestones, in conjunction with the candidate and other
supervisors, advise the candidate on timing for the various stages
of work and ensure the thesis is submitted within the required time
period,
assist the research student in the self assessment of the personal
and professional skills,
to request written or creative work regularly and arrange for oral
presentations of work and provide constructive criticism and
feedback,
to ensure that the research student is aware of what is expected of
them and to ensure that they are informed as to whether they are
attaining the standard expected. and where progress is not of the
required standard to provide support and assistance to improve
performance,
to ensure that the intellectual property rights and copyright of all
written works are protected and that any period of confidentiality of
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4.7.
Regulations and Code of Practice
the thesis is requested as soon as possible after registration and
prior to making the examination arrangements,
n. to advise on University regulations and deadlines,
o. where appropriate links with a collaborating organisation exist,
encourage the development of a mutually beneficial relationship
between the organisation and the research student,
p. to provide close and regular monitoring and to ensure that annual
monitoring reports are completed by the student and supervision
team,
q. propose an appropriate examination team,
r. contact examiners if pre-viva report forms have not been received
within 10 working days of viva voce examination date by the
Graduate School.
The responsibilities of the second supervisor and any other
supervisors are as follows:
a.
4.8.
to provide additional, often specialist, guidance, support and
feedback,
b. to maintain an awareness of the status of the candidate's progress
and to assist in the progression of the candidate where possible,
c. to attend regular meetings with the candidate and Director of
Studies, and
d. to provide primary support on a temporary basis, in the absence of
the Director of Studies.
The responsibilities of the research student are as follows:
a.
b.
c.
d.
e.
f.
g.
h.
to develop an effective working relationship with the Director of
Studies and other supervisors,
to pursue the research project with a positive commitment, taking
full advantage of the resources and facilities offered by the Faculty
and School and where appropriate the collaborating
establishment,
to maintain record of formal supervisory sessions,
to submit written or creative work to the supervisory team
regularly, as required, and provide oral presentations of work in
seminars,
to agree a schedule of regular meetings with the supervisors (for
candidates conducting their research mainly based overseas, it is
compulsory to spend at least 6 weeks a year at the University of
Plymouth),
to take the initiative in raising problems and difficulties,
to undertake a personal training needs analysis and ensure that
the supervisors are aware of areas where particular training may
be necessary,
to maintain progress in accordance with the schedule agreed with
the Director of Studies and other supervisors,
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i.
4.9.
5.
to engage in self-assessment of personal and professional skills
development and appropriate skills training,
j. to provide an annual report of progress,
k. to agree with the Director of Studies the amount of time devoted to
the research and the timing of vacations and leave of absence,
l. to make the ultimate decision to submit the thesis (the Director of
Studies' advice should be taken as to when the thesis is ready for
submission but this cannot be taken as a guarantee that the
examiners will find the thesis acceptable for the award of a higher
degree),
m. to be responsible for the preparation of the thesis, binding and
submission and any corrections required post-examination and to
ensure that the content is complete, accurate and the research
students’ own work,
n. to enrol every year and to ensure that all tuition fees are paid, as
appropriate, including the payment of the fee when sponsorship
has ceased.
In consultation with the supervisors, the Associate Dean with Faculty
responsibilities for research students may recommend to the Graduate
Committee that a candidate’s registration should be terminated if
he/she is dissatisfied with the candidate’s progress. In such case, the
candidate shall be given notice of such dissatisfaction in writing at
least one month in advance of making the recommendation.
Confirmation of route
5.1.
Confirmation of Route: “Professional Doctorate candidates are not
required to undertake a process of transfer from MPhil to PhD.”
5.2.
The Confirmation of Route process should normally be made, via the
supervisors, not earlier than one year after initial registration. Transfer
is possible between all three levels of the research degrees (ResM to
MPhil or PhD and MPhil to PhD).The transfer (if appropriate and
approved) is retrospective to the date of initial registration.
5.3.
Transfer will only take place upon satisfactory completion of the
transfer process.
5.4.
Professional Doctorate students are not required to undertake a
process of transfer from MPhil to PhD.
5.5.
Confirmation of route should normally take place within 18 months of
initial registration (or 24 months if part-time). For research students on
an Integrated PhD (New Route) this process should occur adding 12
months if full time (or 24 months if part time).
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Regulations and Code of Practice
5.6.
The confirmation of route is considered to be:
5.7.
a. a useful step on the path to the final award,
b. a gauge of the current level of progress and a check that the
programme is on target, and
c. a useful stage in the write-up of the final thesis.
The confirmation of route process involves:
a.
production of a transfer report by the candidate (guideline is 6,000
words) detailing:

a literature review and description of methods or 2 or 3 draft
chapters or draft research paper,

a statement of progress against the project Gantt chart

the plan for a higher level of study differentiating between the
ResM, M.Phil. or Ph.D. level of work (as appropriate)if the
transfer is to PhD then the originality and contribution to
knowledge that the project will make will be required ,
b. the specific and generic research training undertaken so far and
details of any planned future training. Assessment and
consideration of the confirmation of route will involve a School or
Faculty-based Panel to review the reports and confirm the route
(refer to Faculty quality procedures for detailed information on the
process at each Faculty). The review will contain:

a report from the Director of Studies on the progress of the
student.

5.8.
5.9.
6.
completion of the confirmation of route form (RDC.2) by the
candidate, supervisors and expert commentator, duly signed.
Faculties will provide Graduate Committee with a summary of the
confirmation of route approved at Faculty level in readiness for each
meeting of Graduate Committee.
In exceptional extenuating circumstances a research student. may be
permitted to submit their thesis for a lower award than that for which
they are registered if it is clear that they will not be able to complete a
satisfactory thesis at the higher award aim.
Research Training
6.1.
The Research Training Policy is as follows:
a.
to provide a high quality and professional training in research,
tailored to the individual needs and aspirations of each research
candidate,
b. to supply this training partly through the individual attention of a
well-trained, professional, Director of Studies and supervisory
team, who will meet regularly with the candidate at agreed times
and for set periods in an atmosphere of support, encouragement,
constructive criticism and debate,
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c.
6.2.
6.3.
7.
to provide access to a selection of professional level short training
courses, comprising both specialist and non-specialist topics,
d. to support the student and supervisor(s) by the actions of a
Research Degree Management Unit at Faculty or School level, as
appropriate, which will be responsible for regular monitoring and
peer review of candidate progress,
e. to require the Research Degree Management Unit to assess an
annual candidate progress report or other submitted work - this
may be carried out by such means as interview with an internal
'commentator' and opportunities will be given for confidential
disclosure of candidate's views on progress to the commentator,
Research Degree Coordinator or Head of School,
f. to provide adequate opportunity for regular oral presentation by
research degree candidates of research results to groups of
contemporaries and peers within the University,
g. to expect all research degree candidates in the local unit and as
many staff as possible to attend and participate in such
presentations,
h. to support attendance and delivery of research results by
candidates at appropriate external venues e.g. via conference
attendance, and
i. to support and encourage the operation of a Postgraduate Society
for discussion and representation of student views, for mutual
support and development of extra-mural activities.
Due to the diverse research training requirements within areas of the
University, Research Degree Management Units will identify the
particular local research training process within their procedures.
The level and requirements for individual training of candidates will be
detailed prior to enrolment and within the Research Student Logbook,
and which will be scrutinised at local level.
Monitoring of Progress
7.1.
It is the responsibility of the Research Degree Management Unit to
monitor progress of research students towards their award aim.
Assessment of progress will be identified in the Faculty procedures
and will normally include
a.
student led research seminars during which oral presentations of
work are made to other research students s and staff,
b. written reports,
c. interviews, in some cases, may be a part of the monitoring
process,
d. an annual written report of progress, and
e. a completed annual monitoring form.
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2007/2008 Edition
8.
Regulations and Code of Practice
7.2.
It is recognised good practice that a third party (independent from the
supervisory team) will review student’s progress, normally following an
interview.
7.3.
The monitoring process will:
7.4.
a. give candidates the opportunity to demonstrate progression,
b. where appropriate, deal with matters in a confidential manner,
c. provide the opportunity for candidates and supervisors to report
separately on progress, and
d. where necessary assist the candidate and supervision team to
bring the programme back on schedule at the earliest opportunity.
The Research Student Logbook shall assist in this process.
Failure to Progress
Lack of academic progress
8.1.
Concerns about progress should be identified as early as possible in
order that corrective measures can be taken. Concerns about
progress will normally include failure to meet deadlines, failure to
produce work or provide work of a suitable standard or failure to attend
supervisory meetings.
8.2.
A research student will initially receive a verbal warning from the
Director of Studies if there is concern on progress. A written warning
will follow a verbal warning if progress continues to give cause for
concern.
8.3.
A research degree candidate may not be required to withdraw from the
University without having first received a formal written warning about
their academic progress and without having had the opportunity to
improve performance within a reasonable time period. The definition of
a 'reasonable period' will depend on the circumstances of each case,
but normally a period of months rather than weeks might be suggested
as a minimum.
8.4.
A Director of Studies or Supervisor who has concerns about the
progress of a research degree candidate should:
a. make those concerns known to the candidate,
b. give the candidate the opportunity to discuss any difficulties they
may have encountered in their research or outside the project
environment which may be affecting performance and progress,
c. agree with the candidate a written plan for improvement of
progress with appropriate milestones, targets and review dates,
copies of which should be retained by the Director of Studies and
candidate,
d. ensure that the second Supervisor(s), the Research Degree
Coordinator and Management Unit are kept informed and if
necessary become involved, and
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2007/2008 Edition
e.
8.5.
8.6.
formally review progress as identified in the plan. Annual
monitoring is one opportunity for consideration of progress;
however review is not limited to these occasions.
Supervisors may not be able to help with all the problems that a
candidate may encounter. The Research Degree Coordinator,
Pastoral Adviser, the Graduate School, and other staff, mentioned
below in section 12, are also available to provide support and advice
for candidates as required.
If, following review, academic performance has not improved to an
appropriate level:
a.
8.7.
8.8.
the Director of Studies should inform the candidate in writing of
their concerns, the agreed course of action to address those
concerns and the period identified for improvement; and
b. the second Supervisor(s), the Research Degree Coordinator and
Management Group should be kept informed and if necessary
become involved.
If, after the period identified, the Director of Studies, the second
Supervisor(s) and Research Degree Coordinator, in consultation with
the Research Degree Management Unit, remain concerned at the
academic progress of the candidate, they are advised to consult the
Graduate School.
The University reserves the right to terminate the registration of a
research student in the case of persistent unacceptable progress.
Loss of contact with a candidate
8.9.
The principles set out above will also apply if a candidate fails to keep
in contact with their Director of Studies and to submit evidence of
progress with the research project.
8.10. The Director of Studies, Research Degree Coordinator and
Management Group should make every effort to:
a.
b.
c.
d.
contact the candidate,
identify any obstacles to progress,
agree a plan for improvement, and
continue to monitor and review the plan.
8.11. Following failure to re-establish contact the candidate should be
issued with a formal written warning that registration will be terminated
unless the candidate re-establishes contact with his/her Director of
Studies within an appropriate period. If the candidate fails to respond
the termination procedure should follow.
Termination of registration
8.12. The candidate will receive a formal letter from the University, normally
his/her Head of School or the Graduate School, requiring him/her to
withdraw if it is agreed that the University has:
a.
discharged all its responsibilities towards the candidate, and
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b. the candidate has received adequate and formal warning of
inadequate progress, and
c. has not improved and shows no likelihood of improvement.
8.13. If a candidate fails to enrol for the current academic year without a
formal agreed suspension they will have their registration automatically
terminated.
9.
Amendments to Registration
9.1.
Changes may occur during the period of registration which may need
consideration, approval or notification at Faculty or University level. In
all cases a request for an amendment to the registration should be
made in writing by the Director of Studies to the Local Research
Degree Management Unit. The request may be approved at local level
or may be forwarded to the Graduate School for consideration by the
Graduate Committee using the RDC.1A form. The most common
amendments affecting registration are detailed below.
9.2.
Change in mode of study.
The maximum period of study varies according to the mode of study
and the award aim, the total remaining registration period and tuition
fee status will therefore be affected by any such changes. Requests
for changes must be approved by the local Research Degree
Management Unit and reported to Graduate Committee.
9.3.
Change to the source of funding.
Candidates and supervisors often assume that information concerning
a change in source of funds is automatically forwarded to the
appropriate staff. Notification of any such changes should be reported
to the Faculty Finance Administrator/Research Administrator and the
Graduate School.
9.4.
Change of supervision.
Changes to supervision usually occur as a result of the change in
direction of the project or departure of a supervisor from the University.
A request for the removal/addition of a supervisor may affect the total
supervision experience of the team, or the role of supervisors within
the team.
Any changes of supervision will require approval by the local Research
Degree Management Unit and reporting to Graduate Committee.
9.5.
Suspension of registration.
Suspensions of registration are usually requested as a result of illness,
maternity leave, severe personal problems or commitments unrelated
to the research project, but not for trivial matters. A maximum period of
12 months may be requested at any one time. The suspension period
will not count towards the total registration period. Approval by the
local Research Degree Management Unit and report to Graduate
Committee will be required.
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Regulations and Code of Practice
9.6.
2007/2008 Edition
Extension of registration.
The request for an extension of registration may not exceed a period
of 12 months at any one time. Such requests are exceptional. The
extension will count towards the total registration period. Approval by
the local Research Degrees Management Unit and the University
Graduate Committee will be required. See also “11.21. Extensions to
resubmission of thesis”.
9.7.
Transfer to a degree programme other than that for which a candidate
is registered.
Exceptionally a candidate may decide to submit for an award lower
than the one for which they are registered. Approval by the local
Research Degrees Management Unit will be required.
9.8.
Transfer from one institution to another.
A candidate who has started a programme of study may, due to a
change in circumstances, request to transfer registration to another
institution. The institution to which the candidate is intending to
transfer must provide written confirmation, that they are willing to
accept the candidate. If an external candidate wishes to transfer into
the University of Plymouth the same process should take place.
9.9.
Withdrawal of registration.
If a candidate decides to withdraw from their research degree
registration then written confirmation including the reason for
withdrawal and date of departure should be notified in writing to the
local Research Degree Management Unit, usually via the Director of
Studies. A copy of the withdrawal must be forwarded to the Graduate
School as soon as possible to ensure that the tuition fees, enrolment
and registration are cancelled. The matter will be reported to the
Graduate Committee.
9.10. Change to thesis title.
The final title of thesis is required on the examination arrangements
form RDC.3. Permission for a change to the title after approval of the
examination arrangements should be sought in writing to the Graduate
School by the Director of Studies.
10.
Presentation and submission of the thesis
10.1. The thesis is the work of the research student and they must decide
when they consider the thesis is ready for submission, although it is
advisable to heed the advice of the supervisory team. The research
student will be required to submit a signed copy of the declaration of
submission form (RDC3.SC) with the thesis to certify that they are
submitting the thesis.
10.2. Candidates with disabilities are advised to contact Disability ASSIST
(DAS) to discuss whether special procedures for the oral defence of
the thesis are appropriate. Normally an independent Chair will be
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appointed to the examination team in these cases to ensure that any
special procedures are adhered to.
10.3. Work submitted for a research degree at the University of Plymouth
may not form part of any other degree either at the University or at
another establishment. Contravention of this condition will mean that
the degree will be revoked by the University.
10.4. Theses may be submitted for examination in a temporary bound form
such as ‘perfect binding’ or comb binding. A loose leaf copy in a ring
folder will not be accepted. A thesis submitted in a temporary bound
form must be in its final form in all respects save the final binding.
10.5. The thesis should be written in English. Any exception to this
condition must be sought in writing to the Graduate Committee.
10.6. The requirements for presentation of the thesis are detailed in Appendix
1.
10.7. Copies of the thesis should be submitted to the Graduate School at
least one month prior to the viva voce examination. One copy of the
thesis should be submitted for each examiner. If a Chair has been
appointed he/she should also receive a copy of the thesis.
10.8. When a candidate wishes the thesis to remain confidential for a period
of time after completion, application for approval of this should
normally be made at the time of the submission of the thesis. The
period approved will not normally exceed two years.
10.9. The main text of the thesis shall normally be below the following limits
(excluding ancillary data, appendices, bibliography, etc.):
a.
b.
c.
d.
for ResM.: 25,000 words
for M.Phil.: 40,000 words,
for Ph.D.: 80,000 words
Professional Doctorates project thesis may vary in word limit
depending on the subject area. The prescribed word must not
exceed that for a PhD (80,000 words)
Where the thesis is accompanied by material other than that written in
the hard copy or the research involves creative writing or the
preparation of a scholarly edition, then the written thesis should
normally be shorter than the above limits.
In the case of practice-based research degrees, application may be
made to the Graduate Committee for the UoP regulations regarding
the normal form and format of the thesis to be waived in whole or part.
Any such request must be made by the Director of Studies before
commencement of the final year of study and must also meet with the
written approval of the appointed examiners. (The anticipated form of
the final submission should have been outlined in a statement at the
end of year one which makes a case and is approved by the Associate
Dean with responsibility for research students for that Faculty, which is
then submitted to the Graduate Committee for final approval).
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In agreeing to such a request the Graduate Committee shall ensure
that the proposed thesis form and format:
a.
will be legible to the candidate, examiners, peer community and
intelligent lay reader;
b. will include a satisfactory record of the ‘practice’ element;
e. will serve to contextualise the practice intellectually;
f. will clearly demonstrate its contribution to knowledge;
g. will be of a scale and form which can be reasonably stored in a
library;
h. will be archive stable for a reasonable length of time;
i. makes clear what is being examined.
10.10. It is the responsibility of the Director of Studies and/or candidate to
satisfy the Graduate Committee in these respects. Where the research
involves Creative and Performing Arts (e.g. practical research in Arts
and Design, Creative Writing or Performance) it will be accompanied
by a written thesis which helps to substantiate the research outcome
as a contribution to knowledge. The thesis will be a text which situates
the creative and performing arts within an appropriate intellectual
context. Research students should include a statement at the front of
their thesis with the word count. The thesis will not be accepted by the
Graduate School unless the word count is mentioned and is below the
above limits. The only exception to this rule would be if the greater
word count has been agreed with the examiners prior to submission.
10.11. The thesis and appropriate paperwork will be sent out from the
Graduate School within one working day of receipt. The external
examiner’s copies will be sent out first class recorded delivery.
10.12. If a Chair has been appointed, they will receive:
a.
a copy of the thesis with a letter confirming that the Director of
Studies will be making the arrangements for the viva voce
examination,
b. a copy of the Research Degrees Handbook, which includes an
extract of the Framework for Higher Education Qualifications
(FHEQ) for doctoral examinations,
c. a copy of the notes “Roles and responsibilities of Chairs at viva
voce examinations of M.Phil. and Ph.D.”,
d. a copy of the pre-viva report (form RDC.4P) for their information
only, and
e. the examiners’ report form RDC.4 to be completed jointly by the
examiners and the Chair (or in the case of a resubmission report
forms RDC.4A or RDC.4B as appropriate). It is the Chair’s
responsibility to arrange for the post-viva report to be filled in and
sent to the Graduate School.
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10.13. The external examiner(s) will receive:
a.
a copy of the thesis with a memorandum confirming that the
Director of Studies will be making the arrangements for the viva
voce examination,
b. a copy of the Research Degrees Handbook, which includes the
University of Plymouth ”Notes for Guidance for M.Phil. and Ph.D.
Examiners” and an extract of the Framework for Higher Education
Qualifications (FHEQ) for doctoral examinations,
c. a copy of the pre-viva report (form RDC.4P), and
d. expenses and fee claim forms and details of the limits for travel
and expenses claims.
10.14. The internal examiner will receive:
a.
a copy of the thesis with a memorandum confirming that the
Director of Studies will be making the arrangements for the viva
voce examination,
b. University of Plymouth “Notes for Guidance for M.Phil. and Ph.D.
Examiners” and an extract of the Framework for Higher Education
Qualifications (FHEQ) for doctoral examinations,
c. a copy of the pre-viva report (form RDC.4P), and
d. the examiner's report form RDC.4 to be completed jointly (or in the
case of a resubmission report forms RDC.4A or RDC.4B as
appropriate). Unless a Chair has been appointed (see 10.10) it is
the responsibility of the internal examiner to arrange for the postviva report to be filled in and sent to the Graduate School.
10.15. The Director of Studies will receive a memorandum:
a.
confirming that copies of the thesis have been sent to the
examiners,
b. indicating any amendments to the presentation of the thesis which
have been identified by the Graduate School, and
c. asking to arrange for the viva voce examination, checking with
Disability Assist Services (DAS) where appropriate for any special
needs.
10.16. The candidate will receive a letter:
a.
confirming that copies of the thesis have been sent to the
examiners,
b. indicating any amendments to the presentation of the thesis which
have been identified by the Graduate School,
c. mentioning that the Director of Studies will make the necessary
arrangements for the viva voce examination, and
d. outlining the general procedures with regard to the exam and the
possible outcomes.
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11.
2007/2008 Edition
Examination and outcome of examination
11.1. The stages of consideration of the examination arrangements will
involve:
a.
discussion between the supervisors and possibly other members
of the local Research Degree Management Unit to consider the
most appropriate examination team,
b. submission of the examination arrangements (form RDC.3) and a
brief CV of the proposed External Examiner to a local Research
Degree Management Unit meeting - if the Director of Studies and
supervisors are agreed on a proposed examination team and are
satisfied that the criteria specified within the Research Degree
Regulations for M.Phil. and Ph.D. have been met, then the
Director of Studies will complete form RDC.3 and forward this to
the local Research Degree Management Unit for approval,
c. submission to the University Graduate Committee - following
approval at local level form RDC.3 will be signed by the Dean of
Faculty, Head of School or Research Coordinator and forwarded
to the Graduate School for formal consideration by the University
Graduate Committee at the next meeting,
d. formal consideration by University Graduate Committee examination arrangements should be forwarded in plenty of time
for the agenda deadlines of one of the four meetings held each
academic year. Examination arrangements will not normally be
considered outside Committee meetings; and
e. confirmation by the Graduate School on behalf of the University
Graduate Committee of the outcome of consideration.
Confirmation of all matters will be sent to the Research Degree
Coordinator or Research Student Administrator who will ensure
that an appropriate process is in place at local level to
communicate these matters to candidates, supervisors and other
appropriate staff.
11.2. The selection of external examiners is subject to the University’s
general requirements. Details of any past or current association with
the University, its staff or students must be declared at the time the
examination arrangements are considered.
11.3. The regulations relating to the examination of ResM, M.Phil. or Ph.D.
require that:
a.
two examiners are appointed for each research student. One of
these examiners will be external to the University (the external
examiner) and the other will be internal and independent of the
research student and their project (the internal examiner) - if the
candidate is a member of academic or technical staff of the
University (other than a Research Assistant), or of a Partner
Institution, then two external and one internal examiners are
required,
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b. the research student must not have been formally advised or
supervised or had any close association with the examiners
although the internal examiner may have acted as the
independent assessor for the student for annual review or
transfer,
c. the thesis is defended in an oral examination (the viva voce
examination), normally held in the U.K.
11.4. The following criteria are used in selecting examiners for ResM,
M.Phil. and Ph.D. examinations:
a.
the internal examiner:

should not be registered for a research degree,

should not have supervised the candidate or had any formal
advisory or supervisory relationship with the candidate,

should have appropriate knowledge in the field and/or
examining experience - the internal examiner is not required
to have previously examined but is requested to attend the
University’s Internal Examiners Briefing Session before the
oral examination takes place
 should be present at the viva voce examination.
b. the external examiner(s):

should not be registered for a research degree,

should have experience of examining U.K. research degree
candidates at the same level (where an overseas external
examiner is nominated with no previous experience of
examining a UK research degree reasons for this nomination
need to be submitted by the Director of Studies; if approved,
then normally a Chair will be appointed to the examination
team),

should not have supervised the candidate or had any formal
advisory or supervisory relationship with the candidate and
should be independent of the supervision team and/or any
collaborating establishment, and should not be an imminent
employer of the research student,
 should be present at the viva voce examination.
11.5. The examination team must have at least experience in a total of 3
U.K. examinations between the examiners at the level of the
examination, with the External Examiner having at least 1 of these.
11.6. Approval of examiners: “For the examination of Professional
Doctorates, previous experience of examining professional doctorates
will be considered as appropriate for the approval of the examining
panel. All other regulations regarding the appointment of the
examining team for MPhil/PhD will apply equally to Professional
Doctorates.”
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11.7. External examiners must be actively involved in research and with
substantial/significant research experience in the subject. Recently
retired distinguished researchers or Emeritus professors are
acceptable as external examiners.
11.8. The Director of Studies is expected to make the following
arrangements:
a.
arrange the viva voce examination date, time and location with the
examiners, the research student and the Graduate School either
just prior to or soon after the thesis is received by the examiners,
b. check whether the candidate wishes any of the supervisors to be
present, as observers, at the examination,
c. ensure that accommodation and travel for the external
examiner(s) has/have been booked, usually via the local Research
Management Unit, and
d. book an appropriate quiet room for the duration of the examination
(normally 3 or 4 hours) taking into account any requirements from
Disability Assist Services (DAS) where appropriate and arrange for
refreshments during this period.
11.9. Supervisors may, with the consent of the candidate, attend the oral
examination as observers. They may not participate in the discussion
unless invited by the examiners. Exceptionally the examiners may
request a discussion in private with the supervisor prior to making their
final decision. The supervisor must withdraw with the research student
prior to the deliberations of the examiners on the outcome of the
examination.
11.10. If none of the supervisors are present during the viva voce then they
should leave instructions as to how to be contacted by the examiners
in case they are needed and normally they are required to accompany
the research student to hear the decision of the examiners at the end
of the examination.
11.11. Before the viva voce examination all examiners (not the Chair) shall
submit a pre-viva report (RDC4P) to the Graduate School. These
reports will be exchanged between examiners (and copied to the
Chair). If reports are not submitted on time it will be the Director of
Studies’ responsibility to ensure the report is forwarded prior to the
viva voce examination. A copy of the pre-viva reports will be held in
the research students file and is confidential throughout the duration of
the examination, even if requested by the candidate under the Data
Protection Act.
11.12. After the viva voce examination the examiners shall, where they are in
agreement, jointly report on the thesis and the viva voce examination
and return report form RDC.4 (or RDC.4A or RDC.4B in the case of a
resubmission) to the Graduate School as soon as possible after the
examination (normally within a day or two). Unless a Chair has been
appointed (see 10.10) it is the responsibility of the internal examiner to
arrange for the post-viva report to be filled in and sent to the Graduate
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School. Where the examiners are not in agreement, separate reports
and recommendations shall be submitted to the University.
11.13. Following the examination the examiners can make one of the
following recommendations:
a. Pass: the degree be awarded, or
b. Pass: the degree be awarded subject to corrections to the
satisfaction of the internal/external examiner(s) by a fixed date, or
c. Defer: the candidate be permitted to resubmit for the degree (with
detailed advice) and be re-examined on one further occasion with
or without an oral examination and with or without further research
by a fixed date, or
d. Compensatory Award: the degree for which the research student
is examined is not awarded but a lower level research degree be
awarded subject to amendments to the satisfaction of the
examiners by a fixed date (i.e. MPhil or ResM instead of PhD or
ResM instead of MPhil), or
e. Fail: that the degree be not awarded and the candidate be not
permitted to be re-examined.
f. In the case of Professional Doctorates the appropriate Master
level degree may be awarded (refer to relevant approval
documentation)
11.14. Where the examiners’ recommendations are not unanimous separate
report forms will be issued for the decisions to be reported separately.
The University:
a.
will normally appoint an additional external examiner to arbitrate
and shall consider the reports of all examiners before reaching a
decision.
b. may exceptionally accept the recommendation of the external
examiner(s);
11.15. The recommendation of the examiners will be confirmed to the
candidate informally after the viva voce examination.
11.16. Formal written confirmation of the outcome of the examination will be
issued to the candidate by the Graduate School on receipt of the
report form(s).
11.17. If the degree is awarded without any corrections the candidate will be
required to submit to the Graduate School:
a.
one final permanently bound copy of the thesis (the candidate
should also supply the Director of Studies and any collaborating
establishments with a copy if requested to do so but this is for the
candidate to arrange),
b. a copy of the abstract (unbound),
c. a copy of the title page (unbound), and
d. a list of contents (unbound).
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The award will not be given until the hardbound copy of the thesis has
been received by the Graduate School and any outstanding debts to
the University have been paid.
11.18. If the degree is awarded subject to corrections/amendments the
corrections must be made and submitted to the internal examiner
(and/or the external examiner if requested) by the date identified by
the examiner(s) on the report form (RDC.4). Following approval of the
corrections by the examiner(s) the Graduate School will require:
a.
confirmation in writing from the internal and/or external examiner
that corrections have been made to their satisfaction, and
b. one final permanently bound copy of the thesis, a copy of the
abstract, title page and list of content, as detailed above.
The award will not be given until the hardbound copy of the thesis has
been received by the Graduate School and any outstanding debts to
the University have been paid.
11.19. If a candidate is permitted to resubmit for re-examination for the
award:
a.
the research student may be required to carry out further research
and may require a further viva voce examination - details of these
requirements must be submitted by the examiners to the Graduate
School who will then forward them to the research student,
b. the research student must submit the revised thesis to the
Graduate School by the date indicated by the examiners on the
report form (RDC.4) and confirmed to the candidate by the
Graduate School. Failure to submit by the required date will
normally result in failure of the award. Any request for an
extension to the due date of the corrections must be made in
writing to the Graduate School (supported by the supervisory team
and the faculty Research Management team) who will obtain the
approval of the examiners before deciding on the period of
extension.
c. the resubmitted thesis will be sent out to the examiners, in the
same manner as the first submission. The internal examiner will
be responsible for arranging the joint completion of the relevant
report form (RDC.4A for a resubmission without a further viva
voce and RDC.4B for a resubmission with a further viva voce).
The award will not be given until the hardbound copy of the thesis has
been received by the Graduate School and any outstanding debts to
the University have been paid.
Possible outcome after a resubmission are:
Need to look exactly at what RDC.4A&B say.
11.20. If a research student is awarded the degree of M.Phil. following a
Ph.D. examination. The Graduate School will require:
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a.
confirmation in writing from the internal and/or external examiner
that corrections, if required, have been made to their satisfaction,
as indicated on the report form, and
b. one final permanently bound copy of the thesis, a copy of the
abstract, title page and list of content, as detailed above (the
candidate should also supply the Director of Studies and any
collaborating establishments with a copy if requested to do so but
this is for the candidate to arrange) - all references to Ph.D. will
need to be changed to M.Phil.
The award will not be given until the hardbound copy of the thesis has
been received by the Graduate School and any outstanding debts to
the University have been paid.
11.21. If a research student is not awarded a ResM, then they can be
awarded either a PGCert or PGDip if they have satisfactorily
completed either 60 or 120 M-level credits respectively.
11.22. Following receipt of the final bound thesis a research student will
receive a congratulations letter from the Vice-Chancellor and will be
invited to the next appropriate award ceremony. The degree certificate
will normally be issued at the ceremony, or in advance if requested.
11.23. Research students are expected to upload (voluntarily; to be
compulsory in the near future) an electronic version of the final thesis
into the University of Plymouth e-thesis repository. Further information
on the e-thesis repository can be obtained from Library staff or the
Graduate School.
11.24. A research student who fails to submit a corrected or revised thesis by
the date set by the examiners shall normally be regarded as having
failed the examination and the recommendations of the examiners
shall lapse.
11.25. Request for extensions to resubmission of thesis should be made in
advance of the deadline and with the support of the supervisors. The
Graduate School will liaise with the examiners with regard to the
approval or not for these extensions.
12.
Posthumous Degree and Aegrotat Award
12.1. The degree of ResM, M.Phil. or Ph.D. may be awarded
posthumously on the basis of a thesis completed by a candidate
which is ready for submission for examination.
12.2. The University may award an aegrotat degree to students who will be
unable to complete in the usual way due to irreversible health
problems.
12.3. In both cases the Graduate Committee shall seek evidence that the
candidate would have been likely to have been successful had the oral
examination taken place.
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12.4. The degree can also be considered if the research was at its final
stages. The Faculty (normally the supervisors) will need to compile a
thesis in readiness for examination.
12.5. A request from the Associate Dean with responsibilities for research
students matters to the Graduate Committee to proceed with the
examination will be required. A brief report explaining that the thesis
and work carried out by the candidate are of enough quality for a
MPhil or PhD award should accompany the request.
12.6. If the research work was not concluded by the research student the
supervisors should include reasons as to why the work should be
considered for examination, taking into account how far the research
had advanced, if the student had a understanding of the topic, etc.
12.7. In the case of an Aegrotat degree, the request should be made after
all other avenues have been investigated and exhausted when
appropriate, such as suspensions, change to part time, termination at
MPhil, etc.
12.8. Two examiners, at least one of them external, should assess the
thesis and report independently on whether the degree should be
awarded or whether a lower award is more appropriate e.g. an ResM
or an MPhil instead of a PhD. If the student was an academic or
technical member of staff (other than a Research Assistant) of the
University or one of its partner institutions two external examiners will
normally be required. Other requirements for examiners as in normal
MPhil/PhD regulations need also be fulfilled.
12.9. Outcomes of the examination should be as for normal degrees
excluding the possibility of corrections/amendments and resubmission.
12.10. Other form of research outcomes may be included and/or considered
in the examination, such as conference presentations, papers, annual
reports, etc.
12.11. The permanently bound copy of the thesis will mention it was
submitted in partial fulfilment of a posthumous/aegrotat award. A copy
will be lodged with the University of Plymouth library and details with
the British Library and the UK Index to British Theses as for all other
thesis.
13.
Problems and Queries
13.1. Candidates will be expected to work independently and on a one-toone basis with their Director of Studies and other supervisors for the
majority of the registration period. Consideration and sensitivity shown
on the part of the candidate and supervisors, particularly initially, will
help to forge rewarding and productive relationships.
13.2. At some period(s) during their registration research students may face
practical, professional or personal difficulties which may affect their
work. If problems arise, whether related to health, finances, academic
progress, work or personal matters research students should be
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encouraged to deal with these problems, or highlight them to staff as
soon as possible, so that delays or disruptions to work will be
sympathetically received. In most cases a research student’s Director
of Studies will be the most appropriate person to approach.
13.3. The staff detailed below are experienced in research degree matters
and will be familiar with most of the problems that research students
face. If feel unable to discuss a problem with their Director of Studies,
or it is inappropriate, then one of the following members of staff may
be available to provide practical, confidential advice and support:
a.
b.
c.
d.
e.
second or third supervisor,
Research Degree Coordinator,
Research Degree Administrator,
Pastoral Tutor,
Associate Dean with Faculty responsibility for research students
(or their equivalent),
f. the Graduate School, and
g. student/staff counsellor or chaplain.
h. In the case of Professional Doctorates there will also be a
Programme Manager for each Professional Doctorate programme.
14.
Complaints Procedure for Research Degree Candidates
14.1. Minor complaints should normally be dealt with informally by
consultation between the candidate and staff concerned (e.g. the
Director of Studies, second Supervisor(s), Research Coordinator,
Head of School, relevant Associate Dean with Faculty responsibility for
research students (or their equivalent), Dean).
14.2. If the complaint cannot be resolved at an informal level, then the
Research Degree Candidate must put their complaint in writing to the
Head of the Graduate School, indicating what remedy they are
seeking. This will then be put forward for consultation with the relevant
Associate Dean.
14.3. If the response is not to the satisfaction of the research student,
he/she must then write to the University Complaints Office using the
appropriate form stating the nature of their complaint and indicating
the deficiencies in the response received. This matter will then be
investigated and referred to a University Complaints Review Panel.
This will be a representative body comprised of two members of staff
taken from the Graduate Committee and from Faculties other than that
of the complainant and one Student Union Officer.
14.4. If the complaint is still not resolved to the satisfaction of the research
student, the complainant will have the right to take their complaint to
the Office of the Independent Adjudicator (OIA).
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14.5. This procedure does not apply to candidates from the Accredited
Partner Colleges (University College Falmouth) where their local
complaints procedure should be followed.
Further information concerning this procedure can be found at
(http://www.plymouth.ac.uk/researchdegreehandbook).
15.
Appeals Against Examination Decisions
15.1. Where, as a result of a recommendation of the examiners, a candidate
has not been awarded the degree for which he/she was registered and
has not been permitted to submit a revised thesis for the same
degree, the candidate may appeal in writing to The Head of the
Graduate School within fourteen working days of the formal notification
of the result of the examination in accordance with the Appeals
Procedure.
Please follow the link below or contact the Graduate School for further
details (http://www.plymouth.ac.uk/researchdegreehandbook).
APPROVED BY THE ACADEMIC BOARD ON 23 JUNE 1993
and with minor subsequent amendments by the Academic Board
on 19 June 1996 and 26 June 2002.
Minor amendments approved by the Deputy Vice-Chancellor
(Academic) and by the Graduate Committee June 2003 and by
the Head of the Graduate School August 2004.
................................................................
Vice Chancellor
13 August 1993, amended 19 June 1996 and 26 June 2002,
June 2003, August 2004, July 2007.
Major amendments, including approval of the new award of
Research Master approved February 2009.
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UNIVERSITY OF PLYMOUTH
MINIMUM BENCHMARK FACILITIES
FOR
POSTGRADUATE RESEARCH STUDENTS
1.
Need for minimum benchmarking
Postgraduate research (PGR) students are those students undertaking MPhil or PhD
degrees by research. They are governed by the Procedures, Processes and
Regulations regarding postgraduate research students which are based upon the
QAA Code of Practise for postgraduate research students. PGR students can be
enrolled in full-time (FT) or part-time (PT) mode and may be based at a campus of
the University of Plymouth, a partner Institution or a site remote from the University
or its Partners (distance mode). The subject of study and discipline in which the
PGR resides/studies places differing needs on the hosting Research Group or
School. Despite these differing needs all PGR students have minimum requirements
which it is the University of Plymouth’s duty through the Graduate School and the
Faculties to provide in order for the student to meet the expectations of the
University to complete their studies within the required time period.
2.
All students
All PGR students will be provided with:
 A suitably qualified supervision team
 Access to the University of Plymouth’s computer system which will supply email,
intranet, extranet and web access. This access will be available at remote
locations via web access and will include access to the electronic library
resources
 Library access and an entitlement to a defined quantity of Inter-library loans
 Access to a suitable programme of generic and subject specific Skills workshops
 Access to at least one subject relevant taught postgraduate module run either by
the University of Plymouth, a Partner Institution or an approved 3 rd party
 Access to the Graduate School facilities
 Access to the Staff Counselling services
 Access to the Disability Assist services
 Access to the Staff Catering facilities on the University of Plymouth campuses
 Access to the Staff Recreation Services on the University of Plymouth campuses
 Access to the Students Union
 Access to Nursery provision where available to Staff
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Minimum benchmarks for PGR students
3.
2007/2008 Edition
Full-time students resident at a campus of the University of Plymouth
All FT PGR students based at the University of Plymouth will normally be provided
with:
 A work-space with the following minimum attributes:
o A desk or workbench for sole use (sometimes both are appropriate)
o A lockable space for personal items
o A computer
o Access to printing facilities
 Access to appropriate facilities to conduct their research
 Access to photocopying facilities with a defined limit or agreed method of
recharge
4.
Part-time students resident at a campus of the University of Plymouth
All PT PGR students based at a campus of the University of Plymouth will normally
be provided with:
 A work-space with the following minimum attributes:
o A desk or workbench which may be shared or “hot-desked”
o A lockable space for personal items
o Shared access to a computer
o Access to printing facilities
 Access to appropriate facilities to conduct their research
 Access to photocopying
5.
Distance students
Distance PGR students include those students based at home and those based at
cooperating Institutions remote from the University of Plymouth or one of its Partner
Institutions.
Where PGR students are based either FT or PT at a cooperating Institution then it is
expected that the Institution will provide facilities in line with those outlined above.
The University of Plymouth is not obliged to provide any facilities beyond the
minimum for all PGR students outlined above for students who are home-based.
These students however can expect good access to their supervisory team by email
(and webcam where possible), fax or telephone and a number of face-to-face
meetings at pre-determined intervals. Access to appropriate research facilities by
distance students where appropriate, must be determined prior to enrolment on the
research programme.
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6.
Minimum benchmarks for PGR students
Library entitlements
Special library services are available for part-time students, students living more
than 25 miles from the nearest University campus and for students with disabilities.
The service includes the postal loan of books and photocopies, help with
reservations and renewals, and collection of material by proxy.
Part-time or distance PGT students can use the UK Libraries Plus scheme, which
allows students to borrow from other university libraries that are members of the
scheme (138 libraries).
PGR students (full or part-time) can use the SCONUL Research Extra scheme,
which allows borrowing from other University libraries that are members of the
scheme (157 libraries).
The reciprocal schemes above do not normally include access to IT or electronic
library services.
APPROVED BY GRADUATE COMMITTEE
December 2005
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2007/2008 Edition
UNIVERSITY OF PLYMOUTH
NOTES OF GUIDANCE FOR EXAMINERS
OF THE DEGREE OF
MASTER OF PHILOSOPHY
AND
DOCTOR OF PHILOSOPHY
1.
Appointment of Examiners
1.1.
Candidates are usually examined by one internal and one external
examiner. If the candidate is a full-time member of staff of the
University of Plymouth (other than a Research Assistant) or one of its
partner institutions, an additional external examiner will be appointed.
1.2.
Examination arrangements are approved by the Graduate Committee,
normally six months prior to the examination, on the recommendation
of the Research Coordinator, the Head of School and/or the Dean of
the Faculty.
1.3.
Requirements of examiners:
a.
no examiner, unless there are exceptional circumstances, will
have acted as supervisor or advisor to the candidate,
b. an external examiner will not normally have held any appointment
of the University, or one of the former institutions from which the
University has developed during the period in which the candidate
has been registered for the degree, nor had any formal
supervisory or advisory relationship with the candidate,
c. at least one external examiner must have substantial experience
of examining U.K. Research Degree candidates. In an
examination for Ph.D. at least one examiner must have
experience of Ph.D. examining,
d. no person who is registered for a research degree may act as an
examiner, and
e. the selection of external examiners is subject to the University’s
general requirements. Details of any past or current association
with the University, its staff or students must be declared at the
time the examination arrangements are considered. There will
normally be an interval of at least three years before an individual
is considered again as an external examiner.
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Notes of Guidance for Examiners
2.
3.
2007/2008 Edition
Thesis
2.1.
The degree of M.Phil. should include the results of an appropriate
research programme or a critical analysis of existing knowledge in a
defined field.
2.2.
The degree of Ph.D. should include a distinct contribution to the
current knowledge of the subject. The thesis should show systematic
study and independent, critical and original powers and should be
capable of publication in whole or in part.
2.3.
Work submitted for another degree may not form part of the
submission for the degree of M.Phil. or Ph.D.
2.4.
The thesis must be presented in English. The presentation should be
of a high standard in line with the University of Plymouth “Research
Degrees Handbook – Regulations and Code of Practice”. Any
amendments required to the presentation of the thesis will be detailed
to the candidate (and copied to the Director of Studies) by the
Graduate School for inclusion in the final permanently bound thesis.
2.5.
Sufficient copies, for distribution to each examiner must be submitted
to the Graduate School in a “perfect” temporary or permanently bound
form.
Procedure
3.1.
The Graduate School will distribute copies of the thesis to each
examiner as soon as possible on receipt, with the Research Degree
Handbook, Notes of Guidance for M.Phil. and Ph.D. Examiners, Previva Report Form (RDC.4P), Recommendation of Examiners Form
(RDC.4) and expenses claim and fee forms, as appropriate.
3.2.
The Director of Studies will make arrangements for the viva voce
examination and keep the internal and external examiners, the
candidate and the Graduate School informed of the date and schedule
for the examination.
3.3.
It is the responsibility of the Graduate School to determine and pay
fees and expenses to the external examiners.
3.4.
Before the viva voce examination (normally 10 working days in
advance) each examiner shall submit a pre-viva report (RDC.4P) to
the Graduate School. These reports will be exchanged between
examiners. If reports are not submitted on time it will be the Director of
Studies’ responsibility to ensure the report is forwarded prior to the
viva voce. A copy of the pre-viva reports is to be held by the Graduate
School. Under the Data Protection Act students do have the right to
request to see examiners comments If examiners wish their comments
to remain confidential, they should advise the University when they
submit them and explain the issues which give rise to their concern.
3.5.
The Recommendation of Examiners Form (RDC.4) is sent to the
internal examiner for completion after the viva voce examination, in
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Notes of Guidance for Examiners
consultation with the external examiner(s). The form should be
completed and returned to the Graduate School as soon as possible
after the examination so that appropriate action can be taken.
4.
5.
Oral Examination
4.1.
The candidate is examined viva voce, normally in the United Kingdom.
At least one external and one internal examiner shall be present.
Supervisors may, with the consent of the candidate attend the oral
examination and participate in the discussion if requested by any of
the examiners, but must withdraw prior to the deliberations of the
examiners on the outcome of the examination. Under the Data
Protection Act students do have the right to request to see examiners
comments. If examiners wish their comments to remain confidential,
they should advise the University when they submit them and explain
the issues which give rise to their concern.
4.2.
The Director of Studies will inform the examiners before the
recommendation is determined, of any exceptional circumstances
which might have affected the candidate’s performance adversely.
4.3.
After the viva voce examination the examiners will, where they are in
agreement, jointly report on the thesis and examination. The RDC.4
report form should be returned to the Graduate School as soon as
possible. Where the examiners are not in agreement, separate reports
and recommendations must be submitted to the Graduate School.
Outcome of the Examination
5.1.
5.2.
Following the viva voce examination the examiners may recommend
that:
a. the degree be awarded, or
b. the degree be awarded subject to minor corrections and/or
amendments being made to the permanently bound copies of the
thesis to the satisfaction of the examiners by a specified date, or
c. the candidate be permitted to resubmit for the degree and be reexamined on one further occasion with or without further oral
examination, by a specified date and with or without further
research, or
d. the degree be not awarded and the candidate be not permitted to
be re-examined, or
e. in the case of a Ph.D. examination, the degree be not awarded but
the degree of M.Phil. be awarded subject to the presentation of
the thesis being amended to the satisfaction of the examiners.
Where the examiners’ recommendations are not unanimous the
University may:
a. accept the recommendation of the external examiner(s), or
b. appoint an additional external examiner to arbitrate and will then
consider the report of all examiners before reaching a decision.
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Notes of Guidance for Examiners
6.
2007/2008 Edition
Award of the Degree of M.Phil. or Ph.D. without Amendments
6.1.
On agreement by the examiners that the degree of M.Phil. or Ph.D. be
awarded, one permanently bound copy of the thesis will be required by
the Graduate School. The student should also provide a copy of the
thesis to their Director of Studies and any collaborating establishment
if requested to do so.
6.2.
The degree will take effect from the date of the viva voce examination.
The examiners’ report will only be authorised when the permanently
bound thesis is received by the Graduate School.
The award will not be given until the hardbound copy of the thesis has
been received by the Graduate School and any outstanding debts to
the University have been paid.
7.
6.3.
Copies of all successful theses will be deposited for reference in the
University Library. Details of these are sent to the British Library and to
the UK Index to British Theses for cataloguing and microfilming if a
copy is requested.
6.4.
If for any reason a case has been made for confidentiality, the thesis
will be kept in the Graduate School for the required period before
being released to the University Library. The University Library and the
British Library may be notified of the details of the thesis and the
request for confidentiality. The thesis will be catalogued but with a note
stating the end of the confidentiality period.
6.5.
The Graduate School will arrange for the certificate to be produced
and an invitation to the relevant awards ceremony to be sent out at the
appropriate time from the Awards Office.
Minor Corrections to the Thesis
7.1.
The student should be informed of the corrections required to the
thesis and the date by which these should be made (maximum one
year from the viva date). Corrections should be made and a note from
the internal examiner, and/or external examiner (as appropriate), sent
to the Graduate School confirming that corrections have been made to
the satisfaction of the examiners.
7.2.
The degree will take effect from the day the corrected permanently
bound copy of the thesis is received by the Graduate School. The
student should also provide a copy of the thesis to their Director of
Studies and any collaborating establishment if requested to do so.
The award will not be given until the hardbound copy of the thesis has
been received by the Graduate School and any outstanding debts to
the University have been paid.
7.3.
Copies of all successful theses will be deposited for reference in the
University Library. Details of these are sent to the British Library for
cataloguing.
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8.
Notes of Guidance for Examiners
7.4.
If for any reason a case has been made for confidentiality, the thesis
will be kept in the Graduate School for the required period before
being released to the University Library. The University Library and the
British library may be notified of the details of the thesis and the
request for confidentiality. The thesis will be catalogued but with a note
stating the end of the confidentiality period.
7.5.
The Graduate School will arrange for the certificate to be produced
and an invitation to the relevant awards ceremony to be sent out at the
appropriate time from the Awards Office.
Re-Examination
8.1.
A thesis may be re-examined on one occasion with or without a further
viva voce examination and with or without further research.
8.2.
The examiners must provide the candidate, with detailed notes of
amendments or improvements required for resubmission. The
deadline for resubmission must be clearly indicated (maximum one
year from the viva date). Copies of correspondence and any details of
the required amendments must be sent to the Graduate School.
8.3.
Sufficient copies of the revised thesis must be resubmitted to the
Graduate School by the deadline. Failure to resubmit by the date set
will normally be regarded as failure of the examination.
8.4.
The internal examiner is responsible for obtaining the joint report of
the examiners either on the form RDC.4A (recommendation of the
examiners following resubmission without a further viva voce) or
RDC.4B (recommendation of the examiners following resubmission
with a further viva voce).
8.5.
Complete copies of forms RDC.4A (Recommendation of the
examiners following resubmission without a further viva voce) or
RDC.4B (Recommendation of the examiners following resubmission
with a further viva voce) and return them to the Graduate School.
8.6.
If the degree is awarded it will take effect from the date that the
candidate resubmits his/her thesis to the Graduate School.
The award will not be given until the hardbound copy of the thesis has
been received by the Graduate School and any outstanding debts to
the University have been paid.
9.
Appeals Against Examination Decisions
Details of the regulations on Appeals against examination decisions can be
found at http://www.plymouth.ac.uk/researchdegreehandbook/.
APPROVED ON 10 NOVEMBER 1993
Minor amendments approved July 1996, September 2002,
June 2003 and August 2004
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2007/2008 Edition
UNIVERSITY OF PLYMOUTH
QAA FRAMEWORK FOR
HIGHER EDUCATION QUALIFICATIONS
(EXTRACT)
Masters level
Much of the study undertaken at Masters level will have been at, or informed by, the
forefront of an academic or professional discipline. Students will have shown
originality in the application of knowledge, and they will understand how the
boundaries of knowledge are advanced through research. They will be able to deal
with complex issues both systematically and creatively, and they will show originality
in tackling and solving problems.
They will have the qualities needed for employment in circumstances requiring
sound judgement, personal responsibility and initiative, in complex and
unpredictable professional environments.
Masters degrees are awarded after completion of taught courses, programmes of
research, or a mixture of both. Longer, research-based programmes often lead to
the degree of MPhil. Most Masters courses last at least one year (if taken full-time),
and are taken by persons with Honours degrees (or equivalent achievement). Some
Masters degrees in science and engineering are awarded after extended
undergraduate programmes that last, typically, a year longer than Honours degree
programmes. Also at this level are advanced short courses, often forming parts of
Continuing Professional Development programmes, leading to Postgraduate
Certificates and Postgraduate Diplomas.
(Note: the MAs granted by the Universities of Oxford and Cambridge are not
academic qualifications.)
Descriptor for qualifications at Masters (M) level: Masters degree
Masters degrees are awarded to students who have demonstrated:
a. a systematic understanding of knowledge, and a critical awareness of current
problems and/or new insights, much of which is at, or informed by, the
forefront of their academic discipline, field of study, or area of professional
practice;
a. a comprehensive understanding of techniques applicable to their own
research or advanced scholarship;
b. originality in the application of knowledge, together with a practical
understanding of how established techniques of research and enquiry are
used to create and interpret knowledge in the discipline;
c. conceptual understanding that enables the student:
 to evaluate critically current research and advanced scholarship in the
discipline; and
 to evaluate methodologies and develop critiques of them and, where
appropriate, to propose new hypotheses.
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QAA FHEQ
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Typically, holders of the qualification will be able to:
a. deal with complex issues both systematically and creatively, make sound
judgements in the absence of complete data, and communicate their
conclusions clearly to specialist and non-specialist audiences;
b. demonstrate self-direction and originality in tackling and solving problems,
and act autonomously in planning and implementing tasks at a professional or
equivalent level;
c. continue to advance their knowledge and understanding, and to develop new
skills to a high level;
and will have:
d. the qualities and transferable skills necessary for employment requiring:
 the exercise of initiative and personal responsibility;
 decision-making in complex and unpredictable situations; and
 the independent learning ability required for continuing professional
development.
Doctoral level
Doctorates are awarded for the creation and interpretation of knowledge, which
extends the forefront of a discipline, usually through original research. Holders of
doctorates will be able to conceptualise, design and implement projects for the
generation of significant new knowledge and/or understanding.
Holders of doctorates will have the qualities needed for employment requiring the
ability to make informed judgements on complex issues in specialist fields, and
innovation in tackling and solving problems.
The titles PhD and DPhil are commonly used for doctorates awarded on the basis of
original research. Doctoral programmes, that may include a research component,
but which have a substantial taught element lead usually to awards that include the
name of the discipline in their title (eg EdD for Doctor of Education). A doctorate
normally requires the equivalent of three years' full-time study.
Descriptor for qualifications at Doctoral (D) level: Doctoral degree
Doctorates are awarded to students who have demonstrated:
a. the creation and interpretation of new knowledge, through original research or
other advanced scholarship, of a quality to satisfy peer review, extend the
forefront of the discipline, and merit publication,
b. a systematic acquisition and understanding of a substantial body of
knowledge which is at the forefront of an academic discipline or area of
professional practice,
c. the general ability to conceptualise, design and implement a project for the
generation of new knowledge, applications or understanding at the forefront
of the discipline, and to adjust the project design in the light of unforeseen
problems;
d. a detailed understanding of applicable techniques for research and advanced
academic enquiry.
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QAA FHEQ
Typically, holders of the qualification will be able to:
a. make informed judgements on complex issues in specialist fields, often in the
absence of complete data, and be able to communicate their ideas and
conclusions clearly and effectively to specialist and non-specialist audiences;
b. continue to undertake pure and/or applied research and development at an
advanced level, contributing substantially to the development of new
techniques, ideas, or approaches;
and will have:
c. the qualities and transferable skills necessary for employment requiring the
exercise of personal responsibility and largely autonomous initiative in
complex and unpredictable situations, in professional or equivalent
environments.
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UNIVERSITY OF PLYMOUTH
BRIEFING NOTES
FOR INTERNAL EXAMINERS
1.
The Role of the Internal Examiner
The Internal Examiner is nominated by the School/Faculty to serve as a full member
of the examination team.
This means that, prior to the viva voce examination, the Internal Examiner must:
a. read the thesis carefully;
b. identify shortcomings in the thesis/research;
c. prepare appropriate questions with which to challenge the candidate; and
d. identify any minor errors/corrections needed to improve the final version of the
thesis prior to submission. This list should be given to the candidate at the
close of the examination.
As an examiner, it is inappropriate to discuss the thesis with either the candidate or
supervisor(s) prior to the examination.
2.
Preparation for the Examination
It is normal that the Director of Studies should organise the time, location and
arrangements for the examination in conjunction with both examiners and the
candidate. The candidate should let his/her Director of Studies know whether they
wish any of his/her supervisors present at the viva voce examination. The
candidate’s wishes should be passed on to the Internal Examiner.
The examination should be held in the University of Plymouth whenever possible,
but is sometimes necessary to meet elsewhere. If this is the case, The Graduate
School should be informed. This is also important if the examination is to be
conducted by videoconferencing. This option should only be considered as the last
resort when all other possibilities have been exhausted.
It is important that the viva voce examination:
a. be held in an appropriate location;
b. be held in a room that is quiet and not subject to telephone or other
interruptions;
c. takes into account any special requirements for students with special needs;
d. uses a table large enough to accommodate the required number of theses,
papers, diagrams, etc.;
e. has drinking water available and (possibly), coffee or tea on request;
f. has sufficient time allowed - (the Director of Studies should ask the examiners
in advance about the anticipated duration of the examination) although
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candidates should not have to face an excessively long examination without
good reason; and
g. has available a waiting area for the candidate and supervisor to use that is not
within hearing range of the examination room.
In most viva voce examinations, the External Examiner will act as Chair, but the
Internal Examiner must be prepared to take on this role if required.
Before the examination, the Internal Examiner will be sent:
a. a copy of the thesis;
b. information regarding the confidentiality of the thesis when this has been
agreed by the Graduate Committee.
c. a copy of the Notes for Guidance;
d. a copy of the Pre-viva report (RDC.4P); and
e. a copy of the RDC.4 form that must be completed at the end of the
examination and returned to The Graduate School;
3.
The viva voce examination
At the outset of the examination the candidate, and the supervisor(s) if they are to
be present at the viva, must retire and allow the examiners to discuss the thesis and
agree an agenda.
At this point the Internal Examiner must ensure that the External Examiner has sight
of the RDC.4 form and is aware of the questions that are to be answered at the
close of proceedings.
It is impossible to lay down a format for the examination as every examiner has a
view as to how the event is to be organised. This will clearly vary in response to the
quality of the thesis. The following are intended as a guide as to what should or
could be covered:
a. the originality of the work;
b. the methodology employed;
c. the problems encountered;
d. the relationship with other research being pursued in the same department, or
to work being undertaken by a researcher,
e. the relationship with previous work;
f. the future of research in the subject area;
g. the wider implications of the research;
h. the way in which the work is presented (quality of the thesis);
i. the quality of the candidate's responses to questions.
Some examination boards decide that they want to tell the candidate immediately
that they are going to pass the examination, and then pursue an extended
discussion of the work. Others leave the candidate wondering about the outcome
right through to the end of the available time. In the case where the outcome is in
doubt, care must be taken to ensure that the line of questioning achieves its goal
and does not ramble on for an over-extended period.
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Notes of Guidance for Examiners
The Internal Examiner must ensure that:
a. the questioning of the candidate is fair, and that signs of undue stress in the
candidate are detected in advance of breakdown;
b. that the supervisor(s), when present, do not enter into the discussion too
freely and hinder the candidate;
c. that the discussion moves on if it is clear that a line of questioning is fruitless;
and
d. that the full agenda for the examination is completed.
4.
Outcome of the Examination
It must be remembered that the main grounds for appeal against a result are related
to the conduct of the examination. This must always be fair and if the Internal
Examiner feels that something is going wrong, then he/she should ask the candidate
and supervisor(s) to leave the room temporarily while the issue is raised with the
external.
After the completion of the examination, then either:
a. the examiners may tell the candidate direct that he/she has passed and that
they require a few minutes to complete the paperwork (at which point the
candidate and supervisor(s) must withdraw; or
b. the examiners ask that the candidate and supervisor(s) withdraw while they
reach a decision and complete the paperwork. In exceptional circumstances,
the supervisor(s) may be asked to withdraw and the candidate asked further
questions (where it is thought that student/supervisor relationships may have
affected the thesis/research). There may be a situation where the candidate is
asked to withdraw and the supervisor(s) are asked further questions. This is
usually the case if it appears that the student has failed to heed advice given
and, as a result, has encountered unnecessary difficulties.
Once the decision is agreed and the RDC.4 completed, the candidate and
supervisor(s) should be invited back into the examination room for a statement of
the outcome. If this is not 'good news' then it must be given with as much tact and
sensitivity as possible.
The RDC.4 form is quite clear in the response required to many of the questions but
the examiners must pay particular attention to the recommendations. The normal
maximum time for a re-submission (2.3, 2.5) is within one year from the date of the
examination. Corrections (2.2) may be submitted within a time frame selected by the
examiners, in liaison with the candidate, or left as the maximum of one year.
In the case of recommendation 2.2 it must be agreed as to whom will check the final
version of the thesis (Internal Examiner or External Examiner or - rarely - both) and
that the candidate is told precisely the nature of the corrections to be made.
In the case of recommendation 2.3 the candidate must be absolutely clear as to the
nature of the work to be done. As well as section 3 being completed, Examiners may
give the candidate additional sheets, but when this is done, copies of these must be
given to The Graduate School with the RDC.4. Candidates must have clear
instructions, as they will be judged solely on their response to those instructions at
the time of resubmission. This is to ensure that Examiners do not ask for further
modifications at that time.
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Notes of Guidance for Examiners
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In the case of recommendation 2.4, section 3 and any supporting papers must be
very clear about the grounds for rejection of the thesis.
In the case of recommendation 2.5, the response and requirements are as detailed
in 2.3 above.
In the event of an outcome not being agreed by the Internal and External Examiner,
each must present a separate report and RDC.4 form to The Graduate School as
soon as possible. If this scenario is possible, the Internal Examiner must not agree
with the External Examiner as a matter of course; both are of equal status in the
examination. In the event of a disagreement, the candidate should be told and it
should be explained to him/her that individual reports are being lodged with The
Graduate School. If there is a disagreement, it is always possible to telephone The
Graduate School and, if available, the Head of The Graduate School or the Faculty
Associate Dean responsible for postgraduate students may be able to come to the
examination room or give advice by telephone.
In the event of a total disagreement, the normal procedure would be for The
Graduate School to seek advice on the appointment of another examiner who will be
asked to undertake an additional scrutiny of the thesis. This may involve another
viva voce examination if that is thought to be in the interests of the candidate.
In some cases (e.g. staff candidates) there may be three examiners. It is preferable
that all agree on the outcome. But if there is a disagreement, voting, in order to
obtain a decision, is not recommended, as it will undoubtedly leave the 'loser' feeling
aggrieved. However, if that is the only way to resolve the issue then it may be a
solution. In the case of total deadlock, the Examiners may request that another
Examiner be appointed, in which case, all three must prepare reports and submit
these, with the RDC.4, to The Graduate School.
If there are any doubts about the completion of the RDC.4, please contact The
Graduate School.
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UNIVERSITY OF PLYMOUTH
ETHICAL PRINCIPLES
FOR RESEARCH
INVOLVING HUMAN PARTICIPANTS
1.
Informed Consent
The researcher should, where possible, inform potential participants in
advance of any features of the research that might reasonably be expected to
influence their willingness to take part in the study.
1.1.
Where the research topic is sensitive, the ethical protocol should
include verbatim instructions for the informed consent procedure and
consent should be obtained in writing.
1.2.
2.
Where children are concerned, informed consent may be obtained
from parents or teachers acting in loco parentis, or from the children
themselves if they are of sufficient understanding. However, where the
topic of research is sensitive, written informed consent should be
obtained from individual parents.
Openness and Honesty
So far as possible, researchers should be open and honest about the
research, its purpose and application.
Some types of research appear to require deception in order to achieve their
scientific purpose. Deception will be approved in experimental procedures only if the
following conditions are met:
a.
deception is completely unavoidable if the purpose of the research is
to be achieved,
b.
the research objective has strong scientific merit,
c.
any potential harm arising from the proposed deception can be
effectively neutralised or reversed by the proposed debriefing
procedures (see section 5).
Failing to inform participants of the specific purpose of the study at the outset is not
normally considered to be deception, provided that adequate informed consent and
debriefing procedures are proposed.
Covert observation should be resorted to only where it is impossible to use other
methods to obtain essential data. Ideally, where informed consent has not been
obtained prior to the research it should be obtained post hoc.
3.
Right to Withdraw
Where possible potential participants should be informed at the outset of the
study that they have the right to withdraw at any time without penalty.
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Ethical Principles
2007/2008 Edition
In the case of children, those acting in loco parentis or the children themselves if of
sufficient understanding, shall be informed of the right to withdraw from participation
in the study.
4.
Protection from Harm
Researchers must endeavour to protect participants from physical and
psychological harm at all times during the investigation.
Note that where stressful or hazardous procedures are concerned, obtaining
informed consent whilst essential, does not absolve the researcher from
responsibility for protecting the participant. In such cases, the ethical protocol must
specify the means by which the participant will be protected, e.g. by the availability
of qualified medical assistance.
Where physical or mental harm nevertheless does result from research procedure,
investigators are obliged to take action to remedy the problems created.
5.
Debriefing
Researchers should, where possible, provide an account of the purpose of the
study as well as its procedures. If this is not possible at the outset, then
ideally it should be provided on completion of the study.
6.
Confidentiality
Except with the consent of the participant, researchers are required to ensure
confidentiality of the participant’s identity and data throughout the conduct
and reporting of the research.
Ethical protocols may need to specify procedures for how this will be achieved. For
example, transcriptions of the interviews may be encoded by the secretary so that
no written record of the participant’s name and data exist side by side. Where
records are held on computer, the Data Protection Act also applies.
7.
Ethical Principles of Professional Bodies
This set of principles is generic and not exhaustive of considerations which
apply in all disciplines. Where relevant professional bodies have published
their own guidelines and principles, these must be followed and the current
principles interpreted and extended as necessary in this context.
APPROVED BY THE ACADEMIC BOARD ON 21 JUNE 1995
................................................................
Vice Chancellor (1995)
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2007/2008 Edition
UNIVERSITY OF PLYMOUTH
CODE OF GOOD PRACTICE
IN RESEARCH
1.
Introduction
All researchers within the University of Plymouth have a duty to society, to
their profession, to the University and to those funding their research, to
conduct their research in the most conscientious and responsible manner
possible. The University seeks to encourage and foster an environment
where good research practice is encouraged and where there is adequate
mentoring and supervision at all relevant levels. It is a responsibility of School
heads to convey clearly the standards for research in their departments and
relevant areas, and to ensure that adherence to those standards is a matter
of course.
Many professional associations and research funding bodies have ethical
codes and guidelines for the conduct of research. The University would
expect that compliance with this Code of Good Research Practice will meet
the generic requirements of such bodies, but where additional specialist
requirements are incorporated, University personnel are expected to comply
as appropriate.
2.
Scope
This Code applies to all employees, research students and visiting
researchers of the University, including persons holding honorary University
appointments, conducting research within, or on behalf of, the University.
3.
Professional Standards
The Nolan Committee on Standards in Public Life identified Seven Principles
of Public Life, namely, selflessness, integrity, objectivity, accountability,
openness, honesty and leadership. Universities are bound by these
principles.
4.
Honesty
At the heart of all research endeavour, regardless of discipline or institution, is
the need for researchers to be honest in respect of their own actions in
research and in their responses to the actions of other researchers. This
applies to the whole range of research, including experimental design,
generating and analysing data, publishing results, and acknowledging the
direct and indirect contributions of colleagues, collaborators and others. All
University personnel must refrain from plagiarism, piracy or the fabrication of
results and any instances of such acts will be taken most seriously and the
relevant University disciplinary procedure invoked, if appropriate.
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Code of Good Practice in Research
5.
2007/2008 Edition
Openness
While recognising the need for researchers to protect their own research
interests in the process of planning their research and obtaining their results,
the University encourages researchers to be as open as possible in
discussing their work with other researchers and with the public. Once results
have been published, where appropriate, the University expects researchers
to make available relevant data and materials to others, on request.
In addition, the University expects researchers to observe any appropriate
standards of practice set out in guidelines published by funding bodies,
scientific societies and other relevant professional bodies.
6.
Leadership and Cooperation in Research Groups
The culture of any organisation must be set by individuals in authority. Within
the University, it is the responsibility of Chancellery, Deans, Heads of Schools
and senior staff to ensure that a climate which encourages good practice in
research is maintained.
Within a research group, the group leader is expected to create a research
environment of mutual cooperation, in which all members of a research team
are encouraged to develop their skills and in which the open exchange of
research ideas is fostered. They must also ensure that appropriate direction
of research and supervision of researchers and research students are
provided.
7.
Documenting Results and Storing Primary Data
Throughout their work, researchers are required to keep clear and accurate
records of the research procedures followed and of the results obtained,
including interim results. This is necessary not only as a means of
demonstrating proper research practice, but also in case questions are
subsequently asked about either the conduct of the research or the results
obtained. For similar reasons, data generated in the course of research must
be kept securely in paper or electronic form, as appropriate. The University
expects such data to be securely held for a period of ten years after the
completion of a research project.
8.
Publishing Results
It is usually a condition of research funding that the results are published in
an appropriate form, usually papers in refereed journals. This has long been
widely accepted as the best system for research results to be reviewed and
made available to the research community for verification or replication.
The issue of authorship is important in the context of good research practice.
The University expects anyone listed as an author on a paper to accept
personal responsibility for ensuring that they are familiar with the contents of
the paper, and that they can identify their contributions to it. The practice of
honorary authorship is unacceptable.
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Code of Good Practice in Research
9.
2007/2008 Edition
Acknowledging the Role of Collaborators and other Participants
In all aspects of research, the contributions of formal collaborators and all
others who directly assist or indirectly support the research must be properly
acknowledged. This applies to any circumstances in which statements about
the research are made, including provision of information about the nature
and process of the research, and in publishing the outcome. Failure to
acknowledge the contributions of others is regarded as unprofessional
conduct. Conversely, collaborators and other contributors carry their share of
the responsibility for the research and its outcome.
10.
The Needs of New Researchers
Researchers who are new to the research community may need careful
briefing on the University’s expectations of good research practice.
Responsibility for ensuring new researchers understand good research
practice lies with all members of the community, but particularly with
departmental heads, group leaders and the supervisors of research students.
11.
Integrity in Submitting Research Proposals
Principal Investigators and other named investigators should take all
reasonable measures to ensure the accuracy and completeness of
information which is contained in applications for funding.
12.
Integrity in Managing Research Projects
Principal Investigators and other named investigators should take all
reasonable measures to ensure compliance with sponsor, institutional, legal,
ethical and moral obligations in managing projects.
13.
Conflict of Interest
Anyone involved in any way in the conduct or management of research must
identify and declare any conflicts of interest, whether legal, ethical, moral,
financial, personal or other nature.
14.
Research Misconduct
The University takes seriously any allegation of research misconduct and has
established a procedure for dealing with such allegations.
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2007/2008 Edition
UNIVERSITY OF PLYMOUTH
PROCEDURE
IN THE CASE OF SUSPECTED
RESEARCH MISCONDUCT
1.
Research misconduct includes the following, whether deliberate,
reckless or negligent:

failure to obtain appropriate permission to conduct research,

deception in relation to research proposals,

unethical behaviour in the conduct of research (the University’s policy on
Ethical Principles for Research Involving Human Participants applies but
other ethical issues may also be involved),

unauthorised use of information which was acquired confidentially,

deviation from good research practice, where this results in unreasonable
risk of harm to humans, other animals or the environment,

fabrication, falsification or corruption of research data,

distortion of research outcomes, by distortion or omission of data that do
not fit expected results,

dishonest misinterpretation of results,

publication of data known or believed to be false or misleading,

plagiarism, or dishonest use of unacknowledged sources,

misquotation or misrepresentation of other authors,

inappropriate attribution of authorship,

fraud or other misuse of research funds or research equipment,

attempting, planning or conspiring to be involved in research misconduct,

inciting others to be involved in research misconduct,

collusion in or concealment of research misconduct by others, and

failure to comply with relevant legislation, including that relating to health
and safety, data protection, intellectual property and animal
experimentation.
The above list is not exhaustive and other misconduct specifically related to
research activity may be dealt with under this procedure.
2.
The University has a responsibility to investigate allegations of research
misconduct fully and expeditiously. It also has a responsibility to
protect researchers from malicious, mischievous, or frivolous
allegations.
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Procedure in Case of Suspected Research Misconduct
2007/2008 Edition
3.
Anyone who has good reason to suspect misconduct should report it in
confidence with their Head of School, Dean or the Deputy ViceChancellor (Academic). Those who raise concerns in good faith will not
be penalised in any way for doing so. The safeguards for individuals
raising genuine concerns are detailed in the University’s Public Interest
Disclosure Procedure. Allegations should normally be made in writing,
accompanied by any available supporting evidence. Allegations raised
anonymously will be considered at the discretion of the Vice-Chancellor.
All allegations will be dealt with under the appropriate disciplinary
procedure (staff or student).
4.
In cases where an allegation implicates someone who is not subject to
the University's disciplinary procedures, the Vice-Chancellor shall bring
the matter to the attention of their employer or any other appropriate
body.
5.
Where the research is funded in whole or part by an outside grant, the
Vice-Chancellor shall have regard to the guidance issued by the relevant
funding body. The Vice-Chancellor shall ensure that any such body is
given appropriate and timely information as to the instigation and
progress of an investigation and any referral under disciplinary
regulations.
6.
In the event of a finding of misconduct, where the person responsible is
subject to the regulation of a professional body such as the General
Medical Council, the Vice-Chancellor shall consider whether it is
appropriate to inform the professional body of any finding.
7.
Where the person responsible has published research, especially
research to which the misconduct relates, the Vice-Chancellor shall
consider whether it is appropriate to inform journal editors or others of
any finding.
8.
If an allegation has been made publicly, the Vice-Chancellor shall
consider whether it is appropriate to make public the outcome of its
investigation into the matter.
9.
If at any stage an allegation is found to have been malicious or
mischievous in nature, the matter may result in disciplinary action being
taken against those making the allegation.
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APPENDIX 1 - PRESENTATION OF A THESIS
PRESENTATION
Except with specific permission of the Graduate Committee the thesis must be
presented in English.
Perfect/Temporary Binding
Theses can be submitted for examination in permanent or more usually "perfect"
temporary binding, which is sufficiently secure to guarantee that pages cannot be
added or removed. The University accepts temporarily bound theses which are
presented in the format of perfect binding where all pages are glued together on the
spine of the document. A thesis submitted in temporary binding must be in its final
form in all respects other than binding.
The University requires all theses, in their final form following examination, to be
submitted in permanently bound form. The award of the degree will not be made
until the permanently bound theses are received by the Graduate School.
Approximate prices for a case-bound thesis, for final presentation, are in the range
£22.00 - £25.00 (July 2001). The Graduate School does not recommend any one
binding service, but the following binders are believed to offer a satisfactory service:
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Worth Binding Associates (Plymouth)
P. Lane (Liskeard)
Bookbuild (Kingsbridge)
P. Franklin (Exeter)
01752 345272
01579 344212
01548 531294
01647 270031
Cover and Binding
The thesis should be bound for final submission in such a way that the spine is
flexible enough so that it can be opened fully for ease of reading, it is fixed so that
pages cannot be removed or replaced and the cover is rigid to support the weight of
the pages when upright
Size
The thickness of the thesis should not normally, excluding covers, exceed 70mm in
thickness and the normal word limit specified
Wording on Spine (Permanent Bound Thesis Only)
The permanent bound thesis should detail:
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surname and initials of the candidate,
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qualification aim/achieved,
year of submission, and
volume of work if the work consists of more than one volume.
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Wording on Front Cover (Permanent Bound Thesis Only)
The front cover should detail:
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title of the work,
surname and initials of the candidate,
qualification aim/achieved, and
year of submission.
Lettering on Front Cover and Spine (Permanent Bound Thesis Only)
The lettering should normally be 8 mm capital height if all in capitals, 10 mm capital
height if capitals and lower case are used.
Page Format
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Page size/type:
Margins top/bottom:
Page numbering:
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Chapter numbering:
Footnotes:
Printing:
A4; white (70 to 100 g/m2)
20 mm
Arabic numerals located bottom centre, in single
sequence throughout, including pages that carry
tables, figures, plates and appendices
In sequence from start to finish of the thesis
Single spaced
Double-sided
Justification:
Inside margin:
Outside margin:
Line length:
Spacing:
Left compulsory; right optional
40 mm
20 mm
60 to 70 characters
Text in double spacing; quotations in single spacing
Line Format
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CONTENTS
Sequence of Items
Recommended sequence of items required in a single-volume thesis:
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Copyright statement
Title page (see model)
Abstract
List of contents
List of tables, illustrations, etc.
Acknowledgements
Author's declaration and word count (see model)
Text, divided into chapters, sections, etc.
Appendices
List of references/bibliography
Bound in copies of publications
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Appendix 1
Copyright Statement
The following statement should be placed on a single page on the first page of the
thesis:
This copy of the thesis has been supplied on condition that anyone who
consults it is understood to recognise that its copyright rests with its
author and that no quotation from the thesis and no information derived
from it may be published without the author's prior consent.
Title Page
A model title page is attached.
Abstract
The text should be approximately 300 words and should provide a synopsis of the
thesis, stating the nature and scope of work undertaken and the contribution to
knowledge in the subject. The abstract should appear on a single page and should
be headed by:
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the candidate’s name in full (not initials), and
the title of thesis.
List of Contents
The list of contents should follow the abstract page. All relevant subdivisions of the
thesis should be listed in sequence including the following:
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the title of chapters, sections and subsections,
appendices,
the list of abbreviations and other functional parts of the whole thesis,
the list of references/bibliography, and
publications.
List of Illustrations and Tables
Should follow the list of contents.
1. Illustrations
Illustrations should appear near to the first reference made to them in the text. It may
be desirable to group illustrations at the back of the thesis, as appendices, if they:
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need to be compared with one another, or
are referred to frequently in the text, or
need to be separate because of their size or character.
List of Illustrations
Every illustration in the thesis, including appendices and material that cannot be
bound, should be included in the list of illustrations with page numbers or other
identification.
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Legends and Labels
A short legend should appear beneath each illustration detailing the title of the
illustration and any other necessary information e.g. meaning of codes, size and
source of item reproduced.
Numbering
Illustrations should be numbered consecutively in a single sequence.
Large Illustrations
If it is necessary to bind an illustration into the thesis which is greater than A4 in size,
it should be produced on paper that can be folded to fit within the thesis or if too
large, then it should be placed in a pocket attached to the inside back cover of the
volume. The bindery should be advised of any large illustrations.
Material that cannot be bound should be avoided if possible. Any such material that
cannot be bound near to the related text should be:
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packaged in such a way that it can be bound with the thesis, or
stored in a pocket attached to the inside back cover, or
gathered into another volume and stored in a rigid container of the
same size as the bound thesis.
2. Tables
If there are relatively few tables, each should appear near to the first reference made
to them in the text. Each table should, if possible, appear complete on one page. It
may be desirable to group tables at the back of the thesis, as appendices, if:
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they are referred to frequently in the text, or
there are many tables.
Number and Title
Each table should have a number and title, which should appear beneath the table.
The number should precede the title. The title should describe the content of the
table.
Tables within the text should be numbered in a single sequence, separate from
illustrations. Tables that are not the work of the author but that are reproduced in the
thesis should be numbered and treated as illustrations. Tables in an appendix
should have a separate sequence. If there is more than one sequence of tables, the
different sequences should be identified. If a table occupies more than one page, its
number should be given on each page, followed if necessary by 'continued'.
Character Size
The size should be large enough to allow the table to be reproduced without risk to
legibility. Numerical tables may require a larger character size than the main text. A
series of tables should be consistent in character size, use of space, etc.
3. Photographic Prints and Computer Printout
If bound within the text photographic prints should be on medium - weight
photographic paper.
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Appendix 1
Acknowledgements
The acknowledgements should normally include the reason for undertaking the
study, acknowledgements of assistance including scholarships and grants,
acknowledgements of assistance from supervisors and colleagues and thanks for
support from friends, family, etc.
Author's Signed Declaration
A model declaration is attached. The declaration page should be signed and dated
by the candidate at the foot of the page and contain:

a declaration that at no time during the registration for the degree of
M.Phil. or Ph.D. has the author been registered for any other University
award, without prior agreement of the Graduate Committee,
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a clear indication of the individual contribution of the candidate and extent
of collaboration, if the study was part of a collaborative project; and
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relevant aspects of research training undertaken such as courses
completed, conferences attended, presentations of research works and
published or other forms of presentation of creative work.
Appendices
The appendices may contain material of considerable length, lists, documents,
commentaries, tables and other matters that if included in the thesis would interrupt
the flow. The style should be consistent with the main text.
If long appendices are divided into chapters these divisions should be detailed in the
list of contents under the main heading of the appendix. Appendices should follow
the main text of the thesis, possibly with a separate list of contents, particularly if the
thesis is divided into more than one volume.
List of References/Bibliography
Full bibliographical references should be given for all works cited in the text and
should follow one of the major accepted systems. It is necessary to distinguish
between a bibliography and a reference list.
A bibliography lists all works and sources which have been read or consulted during
the course of the research but will not necessarily be an exhaustive list of all material
relevant to it.
A list of references is confined to sources mentioned in the text, and this is usually
considered more pertinent for a thesis (although sometimes important publications
which have been consulted, but not specifically referred to in the text may be
included).
Publications
Students are encouraged to publish and/or present their research material in
advance of the thesis, thereby having some peer review of their work. Copies of
published materials should be bound in with the thesis or placed in an adequately
secured pocket at the end of the thesis.
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MODEL DECLARATION
AUTHOR'S DECLARATION
At no time during the registration for the degree of Doctor of Philosophy has the
author been registered for any other University award without prior agreement of the
Graduate Committee.
This study was financed with the aid of a studentship form the Natural Environment
Research Council and carried out in collaboration with Plymouth Marine Laboratory.
A programme of advanced study was undertaken, which included a final year
honours course in colloid chemistry, supervised information technology instruction
and a postgraduate course on analysis and hazard assessment of marine pollution.
Relevant scientific seminars and conferences were regularly attended at which work
was often presented; external institutions were visited for consultation purposes and
several papers prepared for publication.
Publications (or presentation of other forms of creative and performing work):
Presentation and Conferences Attended:
External Contacts:
Word count of main body of thesis:
Signed
Date
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Appendix 1
MODEL TITLE PAGE
AN EVALUATION OF THE MEASUREMENTS OF PORT EFFICIENCY
by
ANDREW JOHN SMITH
A thesis submitted to the University of Plymouth
in partial fulfilment for the degree of
DOCTOR OF PHILOSOPHY
School of Geography
Faculty of Social Sciences & Business
In collaboration with
Rutland Port Authorities
August 2007
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APPENDIX 2 - POSTGRADUATE SUPERVISION
STUDENT LOGBOOK
Research students in their first year will be given, together with this Handbook, a
Logbook. The aim of this logbook is to help research candidates and supervisors,
both with problems that may arise and to mark successes.
The indicated schedule is a guide that may be modified to match School or Faculty
procedures as long as the minimum requirements as outlined in the University of
Plymouth Research Degree Handbook and the University Quality Procedures are
met.
The timings for the supervisory sessions have been modelled on those for a full time
M.Phil./Ph.D. student. If the candidate is registered part time or is intending to
complete a M.Phil., student and supervisors will need to adjust the timing of the
required supervisory sessions to reflect the different period of study.
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UNIVERSITY OF PLYMOUTH
DRAKE CIRCUS, PLYMOUTH PL4 8AA
JULY 2007