FACULTY OF ART, DESIGN
AND THE BUILT ENVIRONMENT
RESEARCH GRADUATE SCHOOL
Postgraduate Research in the
Faculty of Art, Design
and the Built Environment:
A Handbook
2010/11 Edition
CONTENTS
pages
1.
INTRODUCTION ............................................................................................................................ 4
1.1
2.
STUDY PROCEDURES ................................................................................................................. 6
2.1
2.2
2.3
2.4
2.5
2.6
2.7
2.7.1
2.7.2
2.7.3
2.8
2.9
2.10
2.11
3.
SELECTION PROCEDURES ................................................................................................ 6
INTERVIEWING PROCEDURES.......................................................................................... 6
RECOMMENDATION OF ADMISSION ................................................................................ 7
INTELLECTUAL PROPERTY ............................................................................................... 7
YEAR PLAN FOR POSTGRADUATE RESEARCH STUDY (FULL-TIME) ............................... 7
YEAR PLAN FOR POSTGRADUATE RESEARCH STUDY (PART-TIME) .............................. 9
POSTGRADUATE PROGRESS ASSESSMENT (FULL-TIME AND PART-TIME) ..................... 12
100 Day Viva (Initial Assessment) ............................................................................................... 12
Confirmation of Registration Viva ................................................................................................ 13
Research Student Poster Presentation and Day Conference (PhD only) ..................................... 15
SUBMISSION & EXAMINATION ARRANGEMENTS .......................................................... 15
RESEARCH STUDENT/SUPERVISOR MEETINGS .......................................................... 17
COMPLAINTS PROCEDURE ............................................................................................. 17
APPEALS PROCEDURE .................................................................................................... 18
ART, DESIGN AND THE BUILT ENVIRONMENT RESEARCH
3.1
3.2
3.3
3.4
4.
RESEARCH STUDENT AFFILIATIONS IN THE FACULTY .................................................................. 6
GRADUATE SCHOOL ....... 19
AIM ...................................................................................................................................... 19
TERMS OF REFERENCE ................................................................................................... 19
STRUCTURE ...................................................................................................................... 20
CONTACT DETAILS ........................................................................................................... 21
IMPORTANT HOUSEKEEPING .................................................................................................. 22
4.1
4.1.1
4.1.2
4.1.3
4.1.4
4.2
4.3
4.4
FINANCIAL PROCEDURES ....................................................................................................... 22
Travel Expenditure and General Consumables ............................................................................ 22
Advance Payment.......................................................................................................................... 22
Business Case ............................................................................................................................... 23
Insurance ...................................................................................................................................... 23
LEAVE OF ABSENCE ......................................................................................................... 23
EXTENSIONS ..................................................................................................................... 24
HEALTH AND SAFETY ....................................................................................................... 24
6 EDUCATIONAL SUPPORT ............................................................................................................... 29
6.1
6.2
INTRODUCTION TO TEACHING AND LEARNING ............................................................ 29
POSTGRADUATE TUTORS AND DEMONSTRATORS .................................................... 29
2
APPENDICES
APPENDIX I
Research Office Table of Forms
31
APPENDIX II
The Roles of the Supervisor and the Research
Student
32
APPENDIX III
Intellectual Property Rights: Code of Practice
36
APPENDIX IV
Code of Practice on Tutoring and Demonstrating
by Postgraduate Students
44
APPENDIX V
Code of Practice for Professional Integrity in the
Conduct of Research
48
APPENDIX VI
Procedures for Enquiring into Allegations of
Scientific Misconduct
56
APPENDIX VII
Record of Meetings between Student and
Supervisor(s)
59
APPENDIX VIII
Risk Assessment form
60
APPENDIX IX
Financial Procedures (summary)
62
3
1.
INTRODUCTION
There are currently over 100 research students, the majority of them full-time,
registered for research degrees in the Faculty of Art, Design and the Built Environment.
This represents some 10% of the University’s research student population. Teaching
and supervision in the university is deeply informed by staff research activity, with
leading researchers involved in delivering courses linked to their specialisms and in
supervising PhD-level students’ research work. The vast majority of the Faculty’s
academic staff are research active and at an international level. This is reflected by the
fact that at the last Research Assessment Exercise (RAE) the two relevant Units of
Assessment each gained excellent ratings.
All research students in the Faculty are affiliated to Faculty structures in four ways:




to a subject-based School;
to a Research Institute (RI);
to a subject-based Unit of Assessment (UoA); and
to the Faculty’s Research Graduate School (RGS).
The RGS has an administrative responsibility for all aspects of research student
education and training from initial application to final examination.
a)
The aim of the RGS is to facilitate and promote high quality postgraduate research
within the Faculty of Art, Design and the Built Environment, by ensuring projects
are completed on time, to the required standard, and that the experience adds
substantially to each research student’s understanding and ability, as well as to
the advancement of knowledge. The School’s structure and terms of reference
are outlined in Section 3.
b)
A number of forms (RS1-15), see Appendix I, are provided by the Research Office
to enable Faculties and the Research Degrees Committee (RDC) to administer
the Regulations governing research degrees. It should be noted that these are
used for authorisation of all aspects of research student progress. Particular
attention is drawn to the need to submit a corresponding RS form where approval
is sought for changes in the initial specification of the research programme,
supervision, location, mode of study or timing. The respective forms must be
submitted to the RGS in the first instance, from where they are forwarded to the
RDC for consideration.
c)
The RGS has in place well defined policies and procedures for selection and
allocation of awards, approval of research project aims and attainable objectives,
monitoring of performance, provision of appropriate training programmes,
examination procedures and complaints. The framework for this is provided by
the Research and Innovation Committee (RIC) and the RDC at university level.
d)
All full-time research students are expected to participate fully in the University of
Ulster’s (Ulster’s) postgraduate programme of Generic and Research Skills
Training (GRST) and part-time students are strongly advised to do so, where
possible.
4
e)
The RGS has agreed a research studies timetable for all postgraduate research
students within the Faculty (section 2.5). This plan has been designed to help
ensure successful completion within the expected period (for example, three years
for full-time PhD students) and must be strictly adhered to. Any problems in
meeting the required deadlines should be brought immediately to the attention of
the supervisor(s) and Head of RGS. Under no circumstances should a
research student or supervisor make direct contact with any grant awarding
authority concerning such problems. It is University policy to direct all
representation via the Research Office, following consultation with the Head
of RGS.
f)
In addition to the postgraduate assessment procedure outlined in section 2.7, it is
recommended that all full-time research students make at least one presentation
on their research to a conference or learned society, or in form of an exhibition,
during their three-year period of registration, and that their work will result in at
least one refereed paper or practice-based output where appropriate.
In conjunction with the subject-based Schools and Research Institutes, the RGS
undertakes to provide its research students with some facilities for study. The faculty
has dedicated Postgraduate Research Rooms on both the Belfast and Jordanstown
campuses, where full-time research students have access to desk space. Given
resource constraints, students are expected to share the use of these facilities and
make appropriate arrangements for this among themselves.
All students are required to obtain an e-mail address from Computer Services on their
campus. This will be the address used by the RGS for all correspondence in
relation to their research studies. It is the research student’s responsibility to
regularly access information provided by the RGS. Any research student preferring to
use a different e-mail address should set the e-mail to forward mail delivered to the
University address. It is also possible through ICT Services to forward University mail to
a private address on completion of the PhD so as not to lose any research related mail.
Research students are reminded that their first port of call for all matters of concern
should be their supervisor, or the Head of the Research Graduate School. Research
students are discouraged from approaching the Research Office directly. Contact on all
matters relating to the Research Office is normally handled by the RGS.
RGS clerical staff are based on in Room 5D01 on the Jordanstown campus. The Head
of RGS can be found in 82E33 (in Belfast), or 5D01 (Jordanstown). The RGS is the
first point of contact for all research students with queries or problems. There are
student representatives on the Board of the Graduate School (see Section 3.3 for
details).
Dr Christa-Maria Lerm Hayes
Head of Research Graduate School
Reader in History and Theory of Art
Faculty of Art, Design and the Built Environment
Tel (028) 9026 7374 (Belfast), (028) 9036 6222 (Jordanstown)
E-mail: m.lermhayes@ulster.ac.uk
5
1.1 Research Student Affiliations in the Faculty
The Dean of the Faculty of Art, Design and the Built Environment is Professor Ian
Montgomery.
Within the Faculty, all research students are affiliated to a number of structural
components. This affiliation is normally determined by the affiliation of their first
supervisor, and is not negotiable except via changes in the arrangements for
supervision. However, like their supervisors, research students may apply for associate
status to a Research Institute of their choice, and this need not be an Institute to which
either of their supervisors is attached.
Subject-based Schools



Art and Design
Architecture and Design
Built Environment
(Head of School: Dr Barbara Dass)
(Head of School: Prof. Steven Spier)
(Head of School: Prof. Greg Lloyd)
Students should maintain contact with their School to ensure that arrangements
concerning health and safety will be communicated to them effectively, that they are
trained in the use of equipment, that any accidents and dangerous occurrences are
investigated.
Research Institutes (RIs) / RAE Units of Assessment (UoAs)


2.
Art and Design (Prof Karen Fleming)
Built Environment (Prof. Stanley McGreal)
STUDY PROCEDURES
2.1 SELECTION PROCEDURES
Candidates will be selected to ensure only appropriately qualified and/or prepared
research students will be admitted onto research programmes. The selection will be
conducted by the Head of RGS, in consultation with the Research Institute Directors,
Research Group Leaders and members of academic staff within the Research Group.
The RGS will arrange the completion of Form RS2 (which details the supervisory
arrangements) and will ensure that it has been signed by the supervisor(s), adviser (if
appropriate), Head of School, Research Institute Director and Head of RGS. The RS2
form and application form (RS1), along with other materials including references and
transcripts, will be forwarded to the Research Office on the appropriate campus. The
Research Office will arrange for consideration of the application and RS2 form by the
Research Degrees Committee, on behalf of the University.
2.2 INTERVIEWING PROCEDURES
As the central part of the selection procedures, all applicants will be interviewed,
normally by a panel consisting of the appropriate Research Institute Director and senior
academic staff, chaired by the Head of the RGS or his/her nominee. Interviews will at
6
times be conducted by telephone and will be used to assess suitability and, where
relevant, language proficiency. All admissions procedures will be conducted in
accordance with the University’s Equal Opportunities Procedures.
2.3 RECOMMENDATION OF ADMISSION
If the University agrees to admission, the Research Office will send a written letter of
offer to the successful applicant, which will specify a date and place for registration, the
degree for which enrolled, the fee payable (if applicable) and details of the supervisory
arrangements.
Students are required to re-register ANNUALLY in mid September.
Please use this opportunity to view/change your registration details, including your
address by logging on to the Banner Self-Service system: http://ssb.ulster.ac.uk
Please enter your student ID number and your PIN. Your initial PIN is your date of birth
in the format DDMMYY.
Please note that it is the responsibility of the student to maintain their own
details.
The roles and responsibilities of the supervisor, advisor and research student are
detailed in Appendix II.
2.4 INTELLECTUAL PROPERTY
Successful applicants will also receive an intellectual property assignment agreement,
which they must complete and return prior to registration. Failure to return this
document will result in delayed registration or withdrawal of the offer.
Appendix III provides information on the University’s Code of Practice on Intellectual
Property Rights.
2.5 YEAR PLAN FOR POSTGRADUATE RESEARCH STUDY (Full-time)
7
This plan assumes commencement at October. For students registering at
other times the plan should be amended accordingly
Year 1
October
Students register for the degree of MPhil or PhD.
Students attend the University general and Faculty specific research
induction sessions and receive details of the generic skills training
programme.
Students who hope to undertake some demonstrating or other
teaching duties will be expected to attend a one day Ulster course
entitled ‘Introduction to Learning and Teaching’ (held early in
Semester 1).
N.B. Supervisors may suggest students attend appropriate lectures
provided within the Faculty and beyond.
100 Day Viva (Initial Assessment)
December
Students submit a Research Plan to the RGS and form RS3a to
supervisors.
January
Students present a 10-15 minute presentation, normally via
PowerPoint, followed by a question and answer session, to an
audience of research students and academic staff, including the
Assessment Panel. (See Appendix 4)
Supervisors and research students are required to submit on an
annual basis (in April), and independently of each other, a written
report on progress to the University's Research Degrees Committee
(forms RS3 and RS4).
April
Confirmation of Registration Viva
June/July
Students submit a Bibliography supported by a draft Literature
Review, or Literature Review and Journal, Conference or Review
Paper to RGS, and form RS5 to supervisors.
Students present a 10-15 minute presentation to the Assessment
Panel, after which the Panel will question the student and
supervisors.
Year 2 (PhD only)
8
March
Research students submit an A1 poster for exhibition and
assessment.
April
Supervisors and research students are required to submit on an
annual basis (in April), and independently of each other, a written
report on progress to the University's Research Degrees Committee
(forms RS3 and RS4).
Year 2 (MPhil only)
Students submit their thesis for examination.
Year 3 (PhD only)
March
Research students present a 10-15 minute paper, followed by a
question and answer session, at the Faculty’s Research Student Day
Conference.
April
Supervisors and research students are required to submit on an
annual basis (in April), and independently of each other, a written
report on progress to the University's Research Degrees Committee
(forms RS3 and RS4).
Students submit their thesis for examination.
September
The progress of research students is thus monitored by the RGS through vivas,
progress checks and annual reports and the records of student/supervisor meetings.
Regulations for research degrees, including notes of guidance for the presentation of
theses, are detailed in Appendices 1-7 of the ‘Research Studies Handbook’, issued by
the Research Office (see also link from the RGS website).
2.6 YEAR PLAN FOR POSTGRADUATE RESEARCH STUDY (Part-time)
9
This plan assumes commencement at October. For students registering at
other times the plan should be amended accordingly
Year 1
October
Students register for the degree of MPhil or PhD.
April
Supervisors and research students are required to submit on an
annual basis (in April), and independently of each other, a written
report on progress to the University's Research Degrees Committee
(forms RS3 and RS4).
100 Day Viva (Initial Assessment)
May
Students submit a Research Plan to the RGS and form RS3a to
supervisors.
June
Students present a 10-15 minute presentation, normally via
PowerPoint, followed by a question and answer session, to an
audience of research students and academic staff, including the
Assessment Panel.
Year 2
April
Supervisors and research students are required to submit on an
annual basis (in April), and independently of each other, a written
report on progress to the University's Research Degrees Committee
(forms RS3 and RS4).
Confirmation of Registration Viva
May
Students submit a Bibliography supported by a draft Literature
Review, or a Literature Review and Journal, Conference or Review
Paper to RGS and form RS5 to supervisors.
June
Students present a 15-20 minute presentation to the Assessment
Panel, after which the Panel will question the student and
supervisors.
Year 4 (PhD only)
10
March
Research students submit an A1 poster for exhibition and
assessment.
April
Supervisors and research students are required to submit on an
annual basis (in April), and independently of each other, a written
report on progress to the University's Research Degrees Committee
(forms RS3 and RS4).
Year 3 (MPhil only)
September
Students submit their thesis for examination.
Year 5 (PhD only)
March
Research students present a 10-15 minute paper, followed by a
question and answer session, at the Faculty’s Research Student Day
Conference.
April
Supervisors and research students are required to submit on an
annual basis (in April), and independently of each other, a written
report on progress to the University's Research Degrees Committee
(forms RS3 and RS4).
Students submit their thesis for examination.
September
The progress of research students is thus monitored by the RGS through vivas,
progress checks and annual reports and the records of student/supervisor meetings.
Regulations for research degrees, including notes of guidance for the presentation of
theses, are detailed in Appendices 1-7 of the ‘Research Studies Handbook’, issued by
the Research Office (see also link from the RGS website).
It is the supervisors’ responsibility to bring their students forward for vivas. Especially if
students have embarked on their projects at a time other than September / October, or
are otherwise out of synch with their cohort, it would be helpful if some dates could be
proposed to the RGS by the team, possibly already suggesting a suitable reviewer who
is also available.
We endeavour to schedule such stand-alone vivas during whole-day viva events, when
reviewers, supervisors, chairs and resources are more easily coordinated.
11
2.7 POSTGRADUATE PROGRESS ASSESSMENT (Full-time and Part-time)
During a research student’s programme of work, progress is assessed on the basis of
supervisory meetings, annual reports and viva voce examinations.
Written feedback will be provided by an Assessment Panel at each of the viva
presentation seminars, detailing any problems and recommendations for action, which
may include a recommendation for re-assessment within a specified time period.
Assessment Panels should ensure that any extenuating circumstances, e.g. illness,
which may have hindered student’s progress, have been recorded and brought to the
attention of the Head of RGS and the University’s Research Office. Recommendations
regarding action in respect of this should be included in written reports.
Students and Assessment Panels should note that time-keeping and delivery, as well
as content, of the oral presentations will be judged by the assessors.
2.7.1 100 Day Viva (Initial Assessment)
This assessment comprises a written and oral element and is held approximately 3-4
months post-registration for full-time research students and approximately 8-10 months
post-registration for part-time research students. It must be organised in close cooperation with the project supervisors, and is concerned with a precise description of
the proposed programme of work. It must include information on the:
 Project background
 Overall aim of the investigation
 Objectives to be achieved within the first 8-9 months (full-time) or 20 months (parttime) and the activities that will achieve those objectives, as well as the research
methodology
 Training needs
 Risk Assessment (if applicable)
An electronic version of the written report (Research Plan) should be submitted to the
RGS office two weeks prior to the viva date for circulation to the academic assessors.
The report should not exceed four A4 pages plus Gantt chart, with any relevant
additional information contained in appendices.
The oral element of the assessment must be illustrated with appropriate presentation
materials, e.g. PowerPoint, and will be presented in an open seminar, to an audience of
research students and academic staff. Selected staff (the Assessment Panel) is
designated to provide a report on the research plans and are empowered to
recommend changes to the programme of work and re-assessment after an agreed
period of time.
Examining staff should pay particular attention to the following:
1.
2.
3.
Is the project clearly defined?
Are the objectives realistic and achievable in the time available?
Will there be adequate research training for the student to at least MPhil level?
12
4.
5.
6.
Is the programme of work likely to provide a sufficient foundation for PhD study?
Does the research student show evidence of at least a basic understanding of the
problem, the nature of the approach being taken to investigate it and the
relationship of the work to other research in the field?
Are the supervisory arrangements satisfactory?
Full details and guidance notes are attached as Appendix IV.
2.7.2 Confirmation of Registration Viva
Purpose
Within the first year of study, at approximately month 8 for full-time students and month
20 for part-time students (assuming there are no exceptional circumstances), students
shall apply to Senate for confirmation of their registration status. As a result of this
assessment the student will either have his/her PhD registration status confirmed or will
be invited to transfer registration and continue studying for the degree of MPhil.
This assessment is comprised of a written and an oral element. It is held approximately
8 months post-registration for full-time students and 20 months post-registration for
part-time students. This assessment forms the basis for the confirmation of registration
status.
The written element comprises in Art & Design: a substantial piece of writing relevant to
the research topic; in the Built Environment more precisely: a Literature Review
(including project plan, in the form of a Gantt chart, and thesis outline) and a Journal,
Conference or Review Paper in scientific notation (in the style of a journal relevant to
the discipline and as identified by the supervisors). The Literature Review must not
exceed 30 A4 double spaced pages, with any relevant additional information contained
in appendices.
Both elements of the written material should be submitted to the RGS at least two
weeks in advance of the viva date. The RGS will schedule vivas, but it is the students’
responsibility to forward submissions (final versions) in good time to the entire panel
(including reviewers) and let the RGS know in case there are technical requirements
other than a data projector.
Form RS5 can be downloaded from the Research Office web pages at
http://research.ulster.ac.uk/rps/forms/forms08/RS5%20new.doc
The oral element of the assessment must be illustrated with appropriate presentation
materials, e.g. PowerPoint, and must include information on:





The project background
The overall aim of the investigation/detailed research objectives
The research methodology proposed
Data obtained to date
Conferences/journal publications/presentations/exhibitions to date or in hand (as
annex)
 Proposed programme for future PhD work
13
- and for those opting to complete at MPhil stage
 Proposed programme to complete practical and written work within the following 12
month period.
A maximum of one hour is set aside for each viva. The presentation will normally last
15 minutes, followed by (up to) 30 minutes for the Panel to question the student and
supervisors (s). The final 10-15 minutes will be a private discussion between the Panel
and the supervisor(s).
In advance of the viva the student will be responsible for initiating the completion of
form RS5 (Application for Confirmation of Registration Status). The student should
complete page 1 of the form and attach the requested report on progress (usually one
or two A4 pages). The form and attachment should be passed to and discussed with
the supervisors in advance of the viva.
The supervisors should complete page 2 of the RS5 form and submit to the assessment
panel on the day of the viva.
The Assessment Panel will be responsible for completing the necessary paperwork
detailing the outcome of the viva, i.e. form RS5 (pages 3 and 4).
The presentation is given to designated senior academic staff (the Assessment Panel),
who are required to complete a written report (the remainder of RS5) on the research
student’s progress and make recommendations concerning their advancement to date
and suitability for confirmation of registration status. The Assessment Panel in the Built
Environment consists of the supervisor, the Chair and a reviewer from the Faculty,
whereas in Art & Design it additionally includes a reviewer from outside f the Unit of
Assessment. The Panel may make recommendations concerning the direction of the
work and are empowered to recommend re-assessment after an agreed period, or exit
with or without MPhil if progress is deemed unsatisfactory.
Examining staff should pay particular attention to the following:
1.
2.
3.
4.
5.
Have the objectives of the first 8 (20) month period of work been achieved?
Is the proposed programme of work a logical extension of the completed studies?
Is the research methodology satisfactory and appropriate?
Are the defined objectives likely to be achieved with the available resources?
Is the work likely to produce adequate research to doctorate level by the research
student?
6.
Is the work sufficiently well defined to (potentially) provide publishable work within
a 12-18 (24-30) month period?
7.
Can the practical studies be completed within an 18 (24) month period?
8.
Does the research student show evidence of ability to critically evaluate the work
and place it within the context of related studies?
9.
Are the supervisors satisfied with the research student’s progress to date?
10. Is the research student satisfied with the current supervisory arrangements?
11. Should the research student be permitted to confirm registration status of PhD?
12. Which further research training does the student require?
and for MPhil only:
1.
Have the objectives of the first 8 (20) month period of work been achieved?
14
2.
3.
4.
5.
6.
7.
8.
9.
Is the proposed programme of work a logical extension of the completed studies?
Are the defined objectives likely to be achieved with the available resources?
Is the work likely to produce adequate research to masters level by the research
student?
Can the practical studies be completed within a 6 month (full-time) / 12 month
(part-time) period?
Does the research student show evidence of ability to critically evaluate the work
and place it within the context of related studies?
Are the supervisors satisfied with the research student’s progress to date?
Is the research student satisfied with the current supervisory arrangements?
Which further research training does the student require?
2.7.3 Research Student Poster Presentation and Day Conference (PhD only)
Poster exhibition
Research students in 2nd Year (Year 4 part-time) will present one A1 poster
summarising their project for a general audience in visually interesting and succinct
ways. The most successful poster (assessed by a panel of senior staff) will be awarded
a prize. Posters are a public showcase of the Faculty’s and the University’s
Postgraduate Research and will be presented as such in (un-invigilated) exhibitions,
which have in the past been presented at both the Belfast and Jordanstown campuses.
RGS Conference
The RGS Conference is held in early March of each year and researchers are generally
expected to present a summary of their work and their proposed outcomes, in year 2
for full-time students and year 3 for part-time students. The presentation must be
illustrated using appropriate materials, e.g. PowerPoint, and will be presented in an
open seminar to an audience of research students and academic staff. Selected staff
(the Assessment Panel) is designated to provide feedback to the students, in the form
of advice, and highlight any problems that may hinder completion.
Particular attention should be paid to the following:
1.
Has the work made, or is it likely in the very near future to make, a measurable
and worthwhile contribution to the field of study?
2.
Is the practical component (implementation) of the work completed, or almost
completed?
3.
Has an outline of the thesis been decided upon?
4.
Has the work been, or will be in the near future, subject to external review through
public presentation or full papers?
5.
Are the research student and supervisor(s) satisfied that the written thesis will be
submitted on time?
2.8 SUBMISSION & EXAMINATION ARRANGEMENTS
I.
The student submits an RS11 (Notice of Intention to Submit) form to the Research
Office three months prior to the intended submission date. Students and
supervisors should note the Code of Practice for PhD examinations at
http://research.ulster.ac.uk/policy/docs/cop.pdf
15
II.
The Research Office forwards a copy of the RS11 to the RGS with a copy of the
RS12 (Appointment of Examiners) form, requesting that the examiners should be
appointed as soon as possible.
III.
The RGS, in consultation with supervisor(s), takes steps to appoint appropriate
external and internal examiners and a Chairperson for the viva. These are listed
on the RS12 form.
IV.
The completed RS12, signed by the Head of RGS, is returned to the Research
Office. A CV must be attached to the RS12 for each external examiner, and
should refer to their previous experience of examining at research degree level
and include a current e-mail and postal address. These appointments will be
considered for approval by the Chairman of the Research Degrees Committee.
V.
Supervisors should arrange a mock viva for their students. It may be useful to hold
this either 3 or 4 months before submission, or just after submission.
VI.
The Research Office will write to the examiners formally, offering the external
examiner the appointment and asking him or her to confirm acceptance.
VII. Upon receipt, the thesis will be sent by the Research Office to the examiners and
the supervisor(s). The thesis will be accompanied by preliminary report forms to
be completed by the examiners and supervisor(s) and a letter stating that the
supervisors will be in contact with the examiners in due course to establish a date
and time for the examination.
VIII. The supervisors should contact the examiners to agree a date, time and venue for
the viva.
IX.
Once a date has been agreed by the examiners and the supervisors, the
supervisors should contact the Research Office to confirm the date and keep RGS
informed. The Research Office will send out a letter of confirmation and will
arrange a room for the viva and accommodation for the external examiner.
X.
It is expected that the examiners and the supervisors will return their completed
preliminary report forms to the Research Office one week before the examination,
except where extenuating circumstances apply.
XI.
The Research Office will provide an examination pack for the Chairman of the
examiners consisting of copies of the preliminary reports, regulations, appropriate
notes of guidance for examiners and the Chairman and a RS13b or RS14b
(Recommendation of Examiners) form to be completed and signed by the
examiners and the Chairman at the conclusion of the viva and BEFORE any
examiners have left the University.
XII. Supervisors or students will not be permitted to attend the Examiners’ premeeting, nor the deliberations after the viva. One supervisor only (at the invitation
of the researcher) can be present during the viva and should also be present
when the findings are communicated. Supervisors continue to advise students
during the period of revisions.
16
XIII. The Recommendation of Examiners form must be returned to the Research Office
immediately after the viva and must explicitly state the outcome of the
examination, which in turn must explicitly reflect the provisions of the regulations.
The form must be accompanied by notification of any minor amendments or
revisions that are required to be made by the candidate. These should be agreed
by the examiners and should be presented in such a way that they can be
forwarded to the candidate (note: minor amendments should take no longer than a
nominal three months to complete and should need to be checked by the internal
examiner only; substantive changes requiring longer than three months and which
may require to be re-examined - with or without a second viva). The examiners
may wish to indicate the outcome of the examination to the candidate but should
consider stating that this is subject to confirmation by Research Degrees
Committee.
XIV. The Recommendation of Examiners form will be forwarded by the Research
Office to the Chairman of Research Degrees Committee for consideration and
approval. When this approval has been received, the Research Office will write to
the candidate confirming the outcome of the examination (the Research Office will
attempt to address any queries raised by the Chairman of Research Degrees
Committee with the Chairman of the examiners as quickly as possible).
XV. A copy of the approved Recommendation and the comments of the Chairman of
Research Degrees Committee and the letter to the candidate will be forwarded to
the Head of the RGS for any appropriate follow-up action or monitoring.
2.9 RESEARCH STUDENT/SUPERVISOR MEETINGS
The progress made by research students will be consistently monitored and regularly
communicated to the research students. This will be carried out by regular meetings
with the supervisors (at least 10 formal, recorded) annual progress report forms, which
are completed by the student (RS3) and supervisor (RS4), and sent to the Research
Office in April of every year.
The RGS will monitor the nature and frequency of contact between the supervisor(s)
and research student. For this purpose, the standard Record of Meetings forms
(available on the RGS website and in Appendix V11) should be used and copies
retained by supervisor and research student, and regularly forwarded to the RGS.
Progress is also monitored through annual progress report forms, which are completed
by the student (RS3) and supervisor (RS4), and sent to the Research Office in April of
every year.
2.10 COMPLAINTS PROCEDURE
The University of Ulster believes it is important that its research students should feel
able to express dissatisfaction about any aspect of the services it provides or about the
actions or lack of action by its staff. Through the introduction of a research student
complaints procedure, it seeks to provide an accessible, fair and straightforward system
that enables research students to raise concerns and ensure an effective, timely and
appropriate response.
Copies of the Complaints Procedure are available from the Research Office.
17
2.11 APPEALS PROCEDURE
A research student whose studies have been discontinued, or who does not succeed in
attaining the award for which he/she has registered and who does not accept the
recommendation of the examiners may choose to appeal. This is known as A Request
for a Review of the Decision of the Examiners and must be received by the Research
Office within one month of the notification of the recommendation. Details of these
procedures can be found in Appendix 8 of the Research Studies Handbook.
The Research Office will acknowledge receipt of the appeal, will take the necessary
steps to ensure that a review panel is convened as appropriate and will keep the
appellant informed of the appropriate dates and stages of the process.
You can view Procedures for the Review of Decisions at Appendix 11 on the following
webpage http://research.ulster.ac.uk/rps/handbook/researchstudieshandbookjuly09.doc
18
3.
ART, DESIGN AND
GRADUATE SCHOOL
THE
BUILT
ENVIRONMENT
RESEARCH
3.1 AIM
The aim of the Research Graduate School is to facilitate and promote high quality
postgraduate research within the Faculty of Art, Design and the Built Environment, by
ensuring projects are completed on time, to an academically rigorous standard, and that
the experience adds substantially to each research student’s knowledge, understanding
and ability, as well as to the advancement of knowledge.
3.2 TERMS OF REFERENCE
In the context of the University’s Research Strategy and policies.
1.
Ensure consistent and equitable student progression and examination
criteria and procedures.
2.
Liaise with the University Research Degrees Sub-Committee and ensure
compliance by the Faculty with any relevant changes in the University’s
Ordinances, Statutes and Regulations and completion rates or other criteria
instituted by DENI, Research Councils or other relevant bodies.
3.
Ensure appropriate and effective publicizing of graduate research opportunities
and efficient, rapid and equitable admissions procedures.
4.
Ensure that University guidelines are followed in respect of supervision.
5.
Develop relevant development programmes for both staff and students in the
light of Faculty strategic plans.
6.
Liaise with Research Institute Directors and Heads of Schools to ensure
quality and standards of the programmes offered and the equitable allocation
of available resources amongst the Units of Assessment.
7.
Report to Faculty Research and Innovation Committee and submit minutes to
the University Research Degrees Committee for information only.
8.
Establish working groups and co-opt individuals with specific expertise to assist
in the work of the Board.
To these ends the Research Graduate School is responsible for:
1.
the allocation of postgraduate studentships and other awards to Units of
Assessment (UoAs)/Research Institutes/Schools;
2.
overseeing and approving the admission and selection of research students
(MPhil, PhD, DEng, DTech and MRes);
3.
approving the proposed area of students’ research;
4.
approving proposed supervisory arrangements;
5.
monitoring students’ progress, including monitoring of student/supervisor meetings
and review of supervisors' and students' annual reports to the University;
19
6.
approving examination arrangements including the appointment of both internal
and external examiners;
7.
the organisation of appropriate training programmes for MPhil, PhD and vocational
doctorate students;
8.
the recruitment of research students and the marketing of opportunities available;
9.
promoting social interaction between different groups of research students and
faculty academic staff on a regular basis;
10. arranging training and assistance on seminar and written paper preparation and
presentation, job application preparation, basic training in teaching and
demonstrating techniques, etc.;
11. monitoring and evaluating student feedback on all aspects of research student
training in the faculty and its research sub-groups;
for PhD students:
12. approving confirmation of registration status;
for MRes students:
13. the organisation and monitoring of Faculty-specific elements in this programme.
3.3 STRUCTURE
The RGS operates in support of current Faculty structures where the Schools (Art and
Design, Architecture and Design and Built Environment) form the sub-structure for the
Faculty's core activities, complemented by Research Institutes (Art and Design and Built
Environment) as the focus for the Faculty’s research effort. The operation of the School
is the responsibility of the Head of Research Graduate School who is responsible to the
Dean of the Faculty. The Head of RGS is responsible for the day-to-day management
of all of the School’s activities, including the formulation and implementation of policy
and practice appropriate to meeting the objectives of the School as described in its
Terms of Reference.
The RGS has a committee, termed Faculty of Art, Design and the Built Environment
Research Graduate School Board (RGSB), with the following membership:
Dean (ex officio)
Head of the Research Graduate School (Chair)
Directors of Research Institutes
One representative of Research Active Academic Staff from each Institute (co-opted
from Faculty Research & Innovation Committee)
Three research student representatives from each Research Institute
Co-opted members as appropriate
The RGSB reports to the Faculty Research and Innovation Committee and meets at
least three times per year. It also informs the University’s Research Degrees
Committee.
20
One of the RGSB research student representatives is elected, by the student body, to
sit on the Faculty’s Research and Innovation Committee and the University’s Research
Degrees Committee.
3.4 CONTACT DETAILS
Research Graduate School:
Head:
Dr Christa-Maria Lerm Hayes
Tel: 028 9026 7374 (BE)
Tel: 028 9036 6222 (JN)
e-mail: m.lermhayes@ulster.ac.uk
http://www.adbe.ulster.ac.uk/schools/graduate_school/
Secretary:
Mrs Nicola Dunbar
Tel: 028 9036 6222 (JN)
Fax: 66523
e-mail: nc.dunbar@ulster.ac.uk
Art and Design Research Institute
Director:
Prof Karen Fleming
Tel: 028 9026 7267
e-mail: k.fleming@ulster.ac.uk
Administrative Assistant:
TBC
Built Environment Research Institute
Director:
Professor Stanley McGreal
Tel: 028 90366566
Fax: 028 90366826
e-mail: ws.mcgreal@ulster.ac.uk
Administrative Assistant:
Mrs Sadie Magee
Tel: 44 (0)28 90368638
E-mail: s.magee@ulster.ac.uk
21
4.
IMPORTANT HOUSEKEEPING
4.1 Financial Procedures
The University’s Research Office, in conjunction with the Finance Department, is
responsible for the management and payment of maintenance grants and the receipt of
fees.
The RGS has a small budget to fund general consumables and travel expenses for
those research students in receipt of DEL and VCRS awards. In all instances,
authorisation for expenditure must be obtained from the Head of RGS.
Self-funded students and those funded by other grants/awards should follow the
procedures detailed below regarding documentation, but seek funding support and
authorisation from the appropriate grant holder or Research Institute Director.
4.1.1 Travel Expenditure and General Consumables
In all instances, the research student should seek the approval of his/her supervisor(s)
for any general consumables expenditure, including photocopying and binding theses.
The research student should complete a Prior Approval Form for travel (available
online at http://www.ulster.ac.uk/finance/pdfs/prior_approval.pdf), or a Purchase
Requisition Form for purchases (available from Nicola Dunbar in 5D01, Jordanstown,
ext 66222), obtain their supervisor’s signature and forward to the Head of RGS for
authorisation.
In all instances, the research student must have the approval of his/her supervisor(s) to
travel in relation to their research, i.e. to submit and/or present their research at
conferences, attend courses, meet with external bodies, etc. When a research student
expresses a need for travel funding, the supervisor should contact the RGS to discuss
the funding requirements. Once the supervisor and Head of RGS have agreed the
travel funding, the research student should complete a prior approval form (available
online at http://www.ulster.ac.uk/finance/pdfs/prior_approval.pdf) and obtain their
supervisor’s signature and then forward to the Head of RGS for authorisation.
The RGS will forward the prior approval to the Finance Department, which will issue the
research student with a claim number. This claim number can then be used to book
flights and hotel accommodation with the University’s contracted travel agents. Full
details on the Finance Department’s regulations governing travel and procurement can
be found at http://www.ulster.ac.uk/finance/travel.html
On return from travel, the research student should complete a claim form (available
online at http://www.ulster.ac.uk/finance/pdfs/uu_travel_expenses.pdf), detailing
expenditure incurred, and attach all relevant receipts. It should be noted that the
Finance Department will not reimburse expenses unless a receipt is attached. The
claim form should be signed by the supervisor and submitted to the Head of RGS for
authorisation. The RGS will forward the authorised claim form to the Finance
Department for payment. Please note that all claims must be submitted within 2
months from date of receipt.
4.1.2 Advance Payment
22
Students may make an application for an advance payment of 75% of the cost of
subsistence and travel by indicating this requirement on the prior approval form. An
advance can only be paid if application is made before the start of the business trip and
if the amount payable is in excess of £100. The Finance Department requires a
minimum of five working days notice to arrange an advance payment. Only one
advance can be paid to a claimant at any particular time, i.e. no further advance can be
paid until an outstanding advance has been accounted for and cleared.
Details of the advance payment must be included on the claim form submitted by the
student on returning to the University. By applying for an advance the student agrees
that the University may recover uncleared advances from any monies owed by the
University to the student.
4.1.3 Business Case
In exceptional circumstances for travel that will involve a total cost in excess of £1,000
the research student must also attach a business case to the prior approval form. The
business case should be set out on the pro forma provided (available from all School
and Faculty Offices and the Finance Department web site) and detail: 1)
2)
3)
4)
5)
purpose of business trip
benefits expected
costs to be incurred
justify use of business class (if applicable)
contribution to costs by any other entity and how reimbursement will be
secured (if applicable).
4.1.4 Insurance
The University’s insurance broker provides travel insurance for research students
travelling on University business. Prior to travelling, the student should contact the
Faculty Office to make the necessary arrangements. Students will be charged an
administration fee, within which travel insurance is provided free of charge, according to
the duration of the travel, as follows:
Europe
Rest of World
£3.50 per week
£5.00 per week
These costs can be included in the claim form submitted on return, provided the receipt
is retained. As the University’s insurance broker offers travel insurance at a favourable
rate, the Finance Department will not reimburse the cost of any alternative/additional
insurance purchased by the student.
Please find a short summary of financial procedures and contacts in Appendix IX.
4.2 LEAVE OF ABSENCE
There may be occasions when, for health, family or other reasons, a research student
23
may wish to interrupt his or her research studies for a period of time. In these
situations, and only then, an application for formal “Leave of Absence” should be made
using the appropriate form (RS8), which must be returned to the RGS Secretary for
processing.
The University expects full-time research students to attend on a daily basis at the
campus where their first supervisor is located. Any alternative arrangements need to be
recorded in writing, and where they involve regular and/or prolonged absence, may
require the approval of the RGS or the RDC. Applications for a period of study involving
more than three months away from the University may be made using the appropriate
form (RS7); this must be returned to the RGS for processing.
Full-time research students are entitled to 40 days annual leave. This is part of your
work year. You should consult your supervisor(s) if you are planning to be away for
more than three days. There are times during the year when it is not appropriate to
take leave, and your supervisor(s) will be able to advise you accordingly. You should
also let them know where you will be during your absence.
4.3 EXTENSIONS
If an extension of time is required, an RS9 form needs to be completed by the student,
the supervisor(s), and signed by the Head of RGS before being forwarded to the RDC
for consideration.
For students who registered before 1 September 2006 the extension fee will be £170
per six months.
For students who registered after 1 October 2006, they will get their first four months
free, then a maximum of three further months at £500.
Extensions for full-time students can, therefore, only be granted to a maximum of three
years and seven months, in order to enable the viva to be arranged two months after
submission and allow for a three months’ period for amendments.
This would take the candidate tightly to the very maximum of four years’ duration for the
PhD from the beginning to the very end. This is vital for the Faculty to avoid being
sanctioned, i.e. precluded from receiving PhD studentships in the future. Please help
us to avoid a situation that would be very damaging for the University, the
Faculty, staff and students alike.
Please note that all forms EXCEPT RS3, RS4, RS11 and RS13a-15 must be
returned in the first instance to the RGS Secretary for processing.
4.4 HEALTH AND SAFETY
In this Handbook, you have been alerted to Health and Safety concerns as part of the
24
sections informing you about the responsibilities of supervisors and students, as well as
the role of the subject schools.
Appendix VIII contains a Risk Assessment Form that is to be completed and returned to
RGS by all non-desk-based students.
In addition, please see refer to http://www.ulster.ac.uk/campus/campus_access.pdf
for campus opening hours and http://www.accommodation.ulster.ac.uk/wardens.html
for emergency contact numbers.
If there should be any reason why your project requires you to be on campus outside of
working hours, or if you require special accommodation, please let RGS know. We will
endeavour to arrange what is possible for you in collaboration with the subject School.
For campus maps, please see
http://www.ulster.ac.uk/information/location/jordanstowncampus.html and
http://www.ulster.ac.uk/information/location/belfastcampus.html
25
5.
RESEARCH SKILLS, TRAINING PROGRAMME
The Research Development Programme runs compulsory workshops for all full time
PhD students, throughout the year. Research students should check the Research
Training Website for information regularly, for available courses at:
http://www.ulster.ac.uk/staffdev/Research_Training. Timetabling information detailed
information of course content is provided for all generic skills training (GST). Those
students wishing to consolidate training into an additional University of Ulster award can
register for the Postgraduate Certificate in Professional Development (PG Cert PD
Researchers).
Training Requirements
The University of Ulster requires full time PhD students to accumulate 180
Research Training Credits (RTCs) over the three year registration period. One
day’s training is equivalent to 6 RTCs. This is equivalent to 10 days training per
year. The training requirement can be achieved in many different ways, and you
will receive credit for conference presentations, exhibitions, publications,
posters, displays. You will receive advice about what credits you can claim in
recognition of your past experience.
Why are generic skills a compulsory component?
Research in the UK has found that employers are looking for more than subject specific
expertise. Recent research highlighting the perceived shortfalls of PhD candidates
seeking employment outside of academia is instructive. This has shown that employers
observe: 1
•
•
•
•
•
difficulty in gaining commercial awareness and making transition between
working cultures
lack of flexibility and adaptability
lack of interpersonal skills, team-working skills and customer orientation
some employers: PhD graduates and research staff over-qualified and overspecialized “with a narrowness of interest and lack of self management”
high expectations in terms of salary and career progression that was
disproportionate to their experience
The University’s Research Development Programme aims to assist students to
demonstrate to future employers their efforts in continuing professional development in
addition to their subject expertise.
Participation in this programme is required by the Faculty of Art, Design and the Built
Environment in accordance with the University’s Research Degrees Committee.
Faculty requirements for Graduate Research Skills training in 2010/11 are:
GST Block Training for 1st Year
1 Morgavi, C 2007. Employers’ views of researchers’ skills. The Rugby Team
26
Those registering for the PhD in September will be invited to a Research
Induction Day, and to three additional research training days (taking place 22nd to
24th September). In December, and in preparation for the 100 day’s viva, students
will be invited to attend the Communication and Presentation skills course.
Further block training sessions will be held in April 2009.
GST Block Training for 2nd Year
The GST Block Training for students proceeding to the second year of PhD studies is
normally held towards the end of the first year (August 2009). It is designed to develop
students’ awareness of a range of research methods and develop effective presentation
skills.
GST Block Training for 3rd Year
The GST Block Training for students proceeding to the third year of PhD studies is held
towards the end of their second year (May / June 2010). A four-day programme
consisting of a combination of facilitator input and small group discussion covers topics
such as the Interview Situation, Constructing Arguments, Promoting Your Research,
Networking and Team Working, Writing Your Thesis, and Preparing for the Viva.
Other training sessions
There is a wide range of training options and pathways available to you through this
training programme, including some well-defined pathways covering:




Project Management
Teaching and Learning
Information Technology, and
Leadership Development
Please see the Research Training Skills website for an up-to-date programme and
discuss your choices for the completion of the Postgraduate Certificate in Professional
Development with your supervisor.
.
RTC Claims
Students wishing to submit RTC Claims can do so by entering the details of the
claim using their network username and password at the link below:
http://www.ulster.ac.uk/staffdev/Research_Training/student/controller.php?function=add_rtc_claim
The following should be noted


One entry claim should be made each time you long on (do not submit
multiple claims in one entry)
Once you have entered your claim it must be approved by your supervisor
who will be automatically notified.
27



After the supervisor has approved your claim (via their own online access to
the entry) the Head of Research Graduate School associated with your
Faculty will be notified.
Only after the Head of Research Graduate School has signed off the claim
will recognition be given in the RTC Record.
Queries associated with the RTC claims should be made to the RGS.
5.1 CAREERS GUIDANCE
The University has a Career Development Centre with dedicated staff, who are
available to you for individual consultations.
Our Faculty’s adviser is:
Shauna McCloy
Tel: 02890366427
E-mail: s.mccloy@ulster.ac.uk
You will continue to be eligible for Careers services and consultations until
three years AFTER you obtain your PhD/MPhil.
28
6 EDUCATIONAL SUPPORT
Postgraduate research students can make an invaluable contribution to the Faculty’s
undergraduate teaching, and gain experience and an income, by working as tutorial
assistants and demonstrators. However, students MUST obtain permission from their
supervisor(s) before agreeing to carry out any tutorial and/or demonstrating duties.
(NB some funding bodies do not allow postgraduate students to be in paid employment
or impose limits on the number of hours that can be worked or the total amount of
income earned). In all instances, the number of hours worked should not normally
exceed six per week.
6.1 INTRODUCTION TO TEACHING AND LEARNING
At the commencement of each academic year, the Head of RGS is responsible for
identifying those postgraduate students who are judged not to have the required
breadth of previous teaching experience, for liaising with Staff Development concerning
arrangements for the provision of an ‘Introduction to Teaching and Learning’ course and
for ensuring that all research students who are carrying out teaching duties have
undertaken the course.
Supervisors are responsible for ensuring that their research students are made aware
of the requirement to attend the course and of the course availability.
Staff Development is responsible for the provision of an ‘Introduction to Teaching and
Learning’ course in the autumn term and on further dates, if necessary, and for
confirming to the Faculty the attendance of research students on the course.
The Co-ordinator of Teaching and Learning is responsible for ensuring that only those
students who have completed the course are allocated teaching duties.
6.2 POSTGRADUATE TUTORS AND DEMONSTRATORS
To ensure that appropriate support, guidance and mentoring are given to postgraduate
students who will be engaged in teaching the University’s Staff Development Unit has
produced a Code of Practice on Tutoring and Demonstrating by Postgraduate Students.
The Code of Practice is attached as Appendix VI and a summary of the roles and
responsibilities of the Module Co-ordinator and the Demonstrator/Tutorial Assistant is
set out below.
Demonstration and tutorial duties may include:





Demonstration and assistance with practical classes
Delivery and co-ordination of small group activities, e.g. tutorials
Participation in student-led activities
Participation in student-led seminars
Assessment of coursework
29
Responsibilities of the Module Co-ordinator (or other nominated member of
academic staff)
Before the teaching sessions, the Module Co-ordinator will:






Explain the aims and learning outcomes of each teaching session to the assistant
and how these are to be achieved
Identify how the aims and learning outcomes of the teaching session facilitate the
achievement of the overall module aims and learning outcomes
Provide assistants with all the relevant documentation and safety information
Ensure that each assistant has the necessary skills for the teaching session
Brief the assistant on current state of knowledge and progress of the student
group and highlight areas of possible learning difficulties
Explain to the assistant(s) how they are intended to facilitate the learning and
teaching of students during the teaching session
During the teaching session, the Module Co-ordinator will:


Introduce the assistant(s) to the students and explain their role
Monitor the effectiveness of the assistant(s) and provide constructive feedback.
Responsibilities of the Demonstrator/Tutorial Assistant
Before the teaching session, the Demonstrator/Tutorial Assistant will:





Have attended relevant training courses
Be familiar with the aims and learning outcomes of the teaching session and how
they are to be achieved
Be familiar with the overall aims and learning outcomes of the module
Be familiar with and understand all documentation associated with the teaching
session
Have working knowledge of hardware, software and/or other equipment to be
employed during the teaching session (where applicable)
During the teaching session, the Demonstrator/Tutorial Assistant will:




Arrive before the students
Attend all sessions, or exceptionally, and with sufficient notice, advise academic
staff of any need to arrange a suitable replacement
Identify students in need of assistance and assist as appropriate
Modify own performance in response to helpful, constructive feedback from
academic staff.
When assessing student work, the Demonstrator/Tutorial Assistant will:



Have attended relevant training course(s)
Adhere to the marking criteria supplied by the academic member of staff
Adhere to the Faculty’s Code of Practice on Assessment
30

Declare any professional conflict of interests, e.g. when a student is a relative, and
refer that work to the academic member of staff for assessment.
At the end of the Module, the Demonstrator/Tutorial Assistant will:

If requested by the module co-ordinator, complete a brief report on
demonstrations/tutorials and how they might be improved, which will form part of
the module evaluation data, or participate in and contribute to a module forum or
other arrangement for feedback and/or quality assurance.
31
APPENDIX I
To enable faculties and the Research Degrees Committee to administer the
Regulations for the Degrees of MPhil and PhD a number of forms have been prepared.
These forms may be obtained from the Research Office at Coleraine or Jordanstown or
from the internet (http://research.ulster.ac.uk/rps/forms/research_forms.html).
RS1
RS2
RS3a
RS3
RS4
RS5
RS5A
RS6
RS6A
RS7
RS8
RS9
RS10
RS11
RS12
RS13A
RS13B
RS14A
RS14B
RS15
RS16
Application for Admission
(to be completed by student)
Recommendation for Admission to Research Studies
(to be completed by the Head of RGS)
Initial Assessment of Progress
(to be completed by student and supervisor)
Postgraduate Research Student Annual Report - Form A
(to be completed by student)
Postgraduate Research Student Annual Report - Form B
(to be completed by supervisor)
Application for Confirmation of Registration Status
(to be completed by student and supervisor)
Application for Transfer of Mode of Study
(to be completed by the student and supervisor)
Application for Change in Approved Arrangements for Supervision
(to be completed by Head of RGS)
Application for Modification of Programme of Work
(to be completed by the student and supervisor)
Application for Period of Study involving more than three months away
from the University (to be completed by student and supervisor)
Application for Leave of Absence
(to be completed by student and supervisor)
Application for Extension of Time
(to be completed by student, supervisor, and Head of RGS)
Notification of Withdrawal of Registration
(to be completed by Head of RGS)
Notice of Intention to Submit
(to be completed by the student)
Application for Approval of Examination Arrangements for the Degree
of MPhil and PhD (to be completed by the supervisor and Head of
RGS)
Preliminary recommendation of the Examiners on a candidate for the
Degree of MPhil
Recommendation of the Examiners on a candidate for the degree of
MPhil
Preliminary recommendation of the Examiners on a candidate for the
Degree of PhD
Recommendation of the Examiners on a candidate for the degree of
PhD
Preliminary Report of the Supervisor(s) for the degree of MPhil or PhD
Data Depository Form (to be completed by student and supervisor
before submission of the final, red-bound Thesis copies).
32
APPENDIX II
THE ROLES OF THE SUPERVISOR AND THE RESEARCH STUDENT
The Role of the Student
General Responsibilities of Students
 All students are expected to keep themselves reasonably informed through the
information and instruction provided by the University of the health and safety
issues which are relevant to their activities.
 Each student whilst involved in University activities, on University premises or
elsewhere must:
 take reasonable care for the health and safety of themselves and of other
persons who may be affected by their acts or omissions;
 co-operate with the University in the implementation of the health and
safety policy including following health and safety instructions given by
members of staff;
 not to intentionally or recklessly interfere with or misuse anything provided
in the interests of health, safety or welfare in pursuance of any of the
relevant statutory provisions;
 not, without the consent of the member of staff in charge of the area or
activity, introduce any equipment for use on University premises, alter any
fixed installations, alter or remove health and safety notices or equipment,
or otherwise take any action that may compromise the safety of others.
If embarking upon a project that is not desk-based, please consult your supervisor and
jointly complete the risk assessment form at Appendix VIII
Personal responsibility as a researcher and doctoral candidate
(i)
accept ultimate responsibility for completion of the agreed research project
(ii)
accept responsibility for your eligibility and preparedness for a research degree
and for adherence to relevant Faculty and University regulations and guidelines
(iii)
act as a responsible member of the academic community
(iv)
maintain satisfactory progress of the agreed programme of research
(v)
take the initiative in raising any problems or difficulties for discussion with the
supervisor(s) and/or Head of Research Graduate School as appropriate
(vi)
identify personal development and training needs in consultation with
supervisors
(vii)
make appropriate use of both formal and informal teaching and learning
opportunities provided by the University
(viii)
in collaboration with supervisor(s), assume responsibility for the direction,
timetable and progression of the research project
(ix)
act in accordance with relevant legislation and regulations in respect of health
and safety, ethics, etc.
33
(x)
ensure that the final thesis is submitted within the designated period, taking due
account of advice and recommendations of supervisor(s)
Meetings, written work and records
(i)
discuss and agree with the supervisor(s) a schedule of regular supervisory
meetings
(ii)
in collaboration with supervisors, set agenda for supervisory meetings and
address the schedule of any agreed actions in a timely fashion after each formal
meeting
(iii)
discuss and agree with the supervisor(s) the most appropriate type and extent of
guidance/feedback
(iv)
submit written work for review and comment by supervisor(s) at agreed times
(v)
maintain clear, accurate, detailed and accessible records of all relevant work
(vi)
provide adequate explanation of any failure to meet commitments, including
meetings
(vii)
prepare periodic progress reports on the research project by due dates as
required by University and Faculty procedures and (where appropriate) any
relevant external agencies
(viii)
inform the supervisor of any communications in relation to the research project,
including communications from sponsors, external agencies and other
researchers
Communication of findings
(i)
assume ultimate responsibility for the communication of research findings to
others in the academic, scientific and professional communities as appropriate to
the area
(ii)
establish, in agreement with the supervisor, a strategy for the communication
and dissemination of research outputs in a timely and effective manner
(iii)
ensure that all contributions to the work are appropriately acknowledged and
recognised, paying particular attention to the issue of co-authorship where
appropriate
(iv)
obtain appropriate consent from supervisors and any relevant co-authors to
publication of findings from work undertaken as part of the thesis
(v)
avoid inappropriate publication or duplication of others’ work
(vi)
ensure that intellectual property rights are respected in relation to output from the
research programme, both during the period of registration and subsequently
(vii)
ensure that any circumstances which might require the mode of study to be
altered (e.g. transfer to part-time or writing-up status) or the registration period to
be extended, suspended or withdrawn, are brought to the attention of his/her
supervisor(s)
34
The Role of the Supervisor
Personal responsibility as a supervisor and academic
(i)
Assume, in collaboration with the student, responsibility for the satisfactory
progress and completion of the agreed research project
(ii)
possess and maintain knowledge of the research area to provide adequate
supervision of the research project
(iii)
possess and continue to develop the appropriate skills to facilitate the production
of high quality research work by the student
(iv)
develop, in collaboration with the student, an appropriate planning schedule for
successive stages of the research project (including writing-up) so that the thesis
may be completed and submitted within the appropriate timescale
(v)
ensure, where appropriate, that ethical committee and other related approvals
have been obtained
(vi)
ensure that students are adequately informed of both general health and safety
matters and those specific to their project; communicate relevant information to
them
(vii)
assist students in identifying their development and training needs and in
selecting appropriate courses and other opportunities for training as part of their
personal development
(viii)
encourage and instil a high standard of research ethics on the part of the
student, in particular avoiding conduct which may lead to fabrication of research
results or plagiarism
(ix)
ensure that the student is made aware of any unsatisfactory progress or
standard of work, and arranging any supportive action as necessary
(x)
exercise formal duties in respect of University regulations and guidelines
(xi)
advise student when the thesis should be considered ready for submission
(xii)
make arrangements for examination of the thesis
(xiii)
providing guidance, encouragement and counsel regarding the future career
plans of the research student
Meetings, written work and records
(i)
maintain and ensure availability for regular contact with the student, making
sufficient time available to fulfil the needs of the individual research student
(ii)
review written work produced by the student and provide appropriate and
constructive criticism in a timely fashion and within two weeks of submission
(iii)
maintain and ensure that student maintains clear, accurate, detailed and
accessible records of work undertaken
(iv)
maintain and ensure that student maintains a record of supervisory meetings
and agreed actions. Ensure that a copy is sent to the RGS on a regular basis.
(v)
retain a copy of all written feedback provided to the student
35
Communication of findings
(i)
encourage students to avail of opportunities to present research work at
appropriate seminars and meetings, both intra- and extramurally
(ii)
assume an active role in introducing the student to other workers in the field, and
in encouraging attendance and membership of appropriate academic bodies and
societies
(iii)
ensure that any formal requirements on the part of external bodies or agencies in
relation to the submission of reports, observation of confidentiality, training etc
are met
(iv)
ensure that appropriate agreement has been obtained with all parties, including
external sponsors and potential co-authors, in relation to the communication of
research outputs
(v)
ensure that the student is aware of all issues regarding intellectual property
rights and intellectual contribution relating to the research project
(vi)
encourage appropriate and early dissemination of research findings
(vii)
where applicable, obtain the agreement of the student for any publication of work
contained in the thesis, and quoting the student as a co-author
The role of a recognised supervisor will include:
(viii)
contributing to the guidance and monitoring of the student in collaboration with
the University supervisor who will be a member of staff of the University
(ix)
ensuring that the student is made aware of the rules and regulations governing
the collaborating organisation’s premises and working practices including health
and safety and confidentiality
The Role of the Adviser
Under the Regulations for MPhil and PhD, an adviser will be appointed where a
supervisor or supervisors do not have experience in supervising a research student to
completion. The adviser will be a member of staff of the University from a cognate
subject area who has appropriate experience in research and student supervision.
The role of the adviser is:
i.
primarily to advise the supervisors in the execution of their role and to provide
guidance on the planning of the research programme and the standard expected
ii.
to meet the supervisors and the candidate (if appropriate) on a regular basis to
ensure as far as possible that the completion of successive stages of the work
will ensure submission within the scheduled time
iii.
to assist in resolving particular difficulties which may arise from time to time
iv.
to advise on the appointment of suitable examiners
36
APPENDIX III
INTELLECTUAL PROPERTY RIGHTS: CODE OF PRACTICE
Intellectual Property Policy and Procedures
(Effective from October 2007)
Section A: Intellectual Property Policy
1.
Policy Statement:
The University owns 100% of the intellectual property (IP) created during the
performance of the contracted duties of all employees, or assigned to the
University by students or other individuals, except where otherwise defined
within this policy. The Patents Act 1977 and the Copyright, designs and patents
Act 1988 are two pieces of legislation that, together, make it clear that IP
generated by an employee during the course of his/her normal duties belong to
his/her employer. The University will undertake to protect commercially important
IP and seek its commercial exploitation for the benefit of the region, the
University and its staff and students. Net proceeds from commercialisation will
be distributed between the inventors/creators and the University on a fair and
equitable basis.
The policy reflects the following goals of the University:
2.
*
To create an entrepreneurial environment in the University that
encourages and rewards the generation of new inventions and
knowledge, including educational materials, by staff and students.
*
To facilitate the transfer of new commercially and socially important
inventions and knowledge to society.
*
To motivate the development and exploitation of IP by providing
appropriate financial rewards to inventors/creators and the University.
*
To ensure that the financial return from the development of IP does not
distort decisions and operations of the University in a manner contrary
to the mission of the University
Definitions
Certain terms are used in this document with specific meanings, as defined in
this section. These definitions do not necessarily conform to customary usage.
*
University means University of Ulster
*
Intellectual Property (IP) refers to the legal form of protection for
inventions, brands, designs and creative works. The four main types of
IP are patents, copyright, designs and trademarks.
37
3.
*
Employees means individuals contracted by the University to perform the
duties as defined by the University Human Resources Department.
*
Research Students means any full-time or part-time student undertaking
a research degree regardless of whether the student receives financial
support from the University or from outside sources.
*
Other Students means any full-time or part-time taught postgraduate or
undergraduate student, regardless of whether the student receives
financial support from the University or from outside sources
*
Net proceeds means:
(i)
all proceeds received by the University on IP that it assigns,
sells or licenses, minus any application, litigation,
interference or marketing costs directly attributable to the IP
being licensed; or:
(ii)
all proceeds received by the University following the release
of equity that it had gained through investment, via UU
Tech Ltd, in a start-up business minus any application,
litigation, interference or marketing costs directly
attributable to the acquisition or disposal of the equity.
Deducted costs shall be reasonable and fair, and shall be properly
disclosed; the sources and amounts of compensation shall also be
properly disclosed.

Inventor/Creator means any person or persons who create an item of
IP.

Office of Innovation is that part of the University which explores
routes for commercialization of its intellectual property capital arising
from the University’s knowledge and technology base. Its
responsibilities include the protection of IP and the subsequent
generation of income either through licenses or royalties involving new
or existing businesses.

Innovation Ulster Ltd is the legal entity wholly owned by the University
which holds and manages the patents, equity and license agreements
that relate to start-up businesses, on behalf of the University.
What is Intellectual Property?
The term Intellectual Property (IP) describes the outputs of creative endeavour in
literary, artistic, industrial and scientific fields that can be protected under
legislation. In the University context this also includes the results and outcomes
of research. Intellectual Property however also includes know-how, trade
secrets and plant varieties.
Intellectual Property Rights (IPR) are specific legal rights which protect the
owners of IP, and they can be subdivided into four main categories: Patents,
Copyright, Trade Marks, and Design Rights.
38
4.
Intellectual Property may ensue from research, academic enterprise or
educational activities.
5.
The role of the Office of Innovation
The Office of Innovation advises on the protection and commercialisation of the
University’s IP, primarily that derived from research or academic enterprise.
6.
Ownership of Intellectual Property
Ownership of all IP resides with the University by virtue of this policy.
6.1
Intellectual Property Created Within Scope of Employment
As per section 39 of the 1977 Patents Act, IP created by University
employees shall be owned by the University if the IP was created in the
course of the employee’s normal or specifically assigned duties.
6.2
Internally sponsored work
Where the University provides funding for particular projects, the
University will own any IP arising from the internally sponsored activity.
6.3
Externally sponsored work
Where it is anticipated that IP may arise during the course of a
collaborative or sponsored project with an external organisation such as
industry, other universities, research organisations or government
sponsored programmes, an IP Agreement must be executed by all parties
prior to the commencement of any work. Such agreement must confirm
ownership of IP, proposed route of exploitation and basis of
compensation for the University and creators/inventors. Such
agreements are negotiated by the Office of Innovation and not by
individual members of staff, though individual staff members will have
input to advising the Office of Innovation.
6.3
Research Students
Research students are required to assign IP rights related to their
research project to the University on registration. The University therefore
owns all IP developed by research students relating to their studies
unless the University has entered into an agreement whereby all or a
portion of the rights are owned by an external sponsor. This is in common
with other UK universities.
6.4
Other Students
Other students own the IP that they create as well as being the
inventor(s). Students who create IP under a University project have the
opportunity to assign the IP to the University, which will then assist in
developing and commercializing the technology, if deemed appropriate by
the Office of Innovation.
6.5
Visiting Scholars / Sabbaticals
Where it is anticipated that IP may arise during the course of activity
39
undertaken by a visiting academic, or by academics during sabbaticals,
an IP Agreement must be executed by all parties prior to the
commencement of any work. Such agreement must confirm ownership of
IP, proposed route of exploitation and basis of compensation for the
University and creators/inventors. Such agreements are negotiated by the
Office of Innovation and not by individual members of staff.
7.
Duties of the employee in respect of Intellectual Property
It is the responsibility of all staff to disclose to the University all commercialisable
IP created or arising from duties undertaken as part of their University
employment. Staff who are unsure about IP should discuss the matter, as early
as possible, with the Office of Innovation.
It is stressed that complete confidentiality must be maintained prior to disclosure
of the technology to the University, otherwise disclosure through publication or
through any other output may jeopardise any subsequent application for
Intellectual Property Rights.
EXCEPTIONS:
Where, through publication, an employee or student is required to assign
copyright to a publisher, the University has no further involvement with
that copyright, this policy and procedures do not apply and any financial
settlement is between the employee or student and the publisher.
Where an employee or student produces material for the primary purpose
of teaching, to be delivered directly or via CampusOne or other mode, this
policy and procedures do not apply unless the creator chooses to create
an exploitation vehicle via the Office of Innovation. Considerations around
ownership and exploitation rights for all teaching materials reside
nonetheless with the University.
In the case of theses produced by research students, copyright resides
with the student. However the right to commercialize the IP resides with
the University.
Section B: Intellectual Property Procedures
1.
The Role of The Office of Innovation
1.1
Should the Office of Innovation consider that there is a profitable,
commercial opportunity for University IP, it will first seek to protect the
relevant IP generated by staff or students by patenting or other relevant
methods.
1.2
The Office of Innovation will also manage the required additional
commercial or technical development of the IP and engage / negotiate
with potential commercial partners to ensure optimal commercial
exploitation and maximum return to the University and inventors.
40
2.
Confidentiality
Staff are expected to prevent public disclosure of any invention/creation arising
from their employment and/or academic duties until approved to do so by the
Office of Innovation, and are also expected to abide by confidentiality
agreements with any external organisations. The Office of Innovation can advise
staff on all requirements relating to confidentiality and provide relevant
agreements.
3.
Technology Disclosure Process
Note: All supporting forms etc available on www.uutech.co.uk
The Office of Innovation will work closely with other University staff to facilitate
the management of IP. Staff and students must disclose new
inventions/creations prior to any public disclosure, using the Office of Innovation
Technology Disclosure Form. Following receipt of the Technology Disclosure
Form, the Office of Innovation will appraise the invention/creation for commercial
exploitation, following which protection of the IP may be initiated if appropriate.
Where the Office of Innovation does not seek to protect the technology, the
inventor/creator(s) may seek assignment from the University.
However, where the disclosed invention/creation is deemed by the Office of
Innovation to have some potential for commercialisation but to be at a precommercial stage the University will retain its interest and the disclosed
invention/creation will be developed through research channels to a point where
it is suitable for re-evaluation for commercial protection and development.
Where inventors/creators are granted assignment of IP from the University, the
assignment will exclude any foreground IP developed within the University. The
University will reserve the right to recover its investment from future exploitation
of IP assigned back to inventors/creators.
Members of staff making an IP disclosure should:
*
*
*
4.
provide as full as possible information regarding technical and other
aspects;
offer initial evidence, if any, of commercial interest;
submit to the Office of Innovation any further information they may
request at any stage of the procedure.
Technology Assessment Process
The Office of Innovation, in conjunction with expert advice, including advice on
commercial potential, from patent agents, professional advisors or other bodies,
will decide, as expeditiously as possible, whether to recommend:
*
*
that the invention is presented to a patent lawyer for initial patent opinion;
that further development of the invention/creation be undertaken prior to
41
*
*
*
filing for Intellectual Property Rights;
that the University proceeds to the full filing of a patent;
that negotiation with an industrial partner be authorised, which could
result in the sale of the invention to the industrial partner or in an
agreement jointly to fund the costs associated with the filing for a patent,
or other outcome;
that application for Intellectual Property Rights should not be undertaken.
In reaching its decision the Office of Innovation will consider all evidence
submitted by the inventors and any other advisors from whom advice has been
sought, and will inform the inventor(s) of the outcome as required. Reports will
be made periodically to the Technology and Knowledge Transfer Committee or
its sub-committees as may be required.
5.
Exploitation of Intellectual Property
Once protection has commenced the Office of Innovation will endeavour to
exploit the IP commercially. Exploitation may take various forms including
licensing, assignment, new company formation or a joint venture company.
The Office of Innovation, in frequent consultation with the inventor/creator(s) will
manage the IP and will meet regularly to review the commercialisation progress.
The Office of Innovation reserves the right to terminate protection of IP at any
time. However, in such cases the inventor/creator(s) will be notified in advance
so that they may seek assignment from the University prior to any further action
required to maintain protection.
6.
Distribution of Proceeds
6.1
Licences for royalty
Where the IP is licensed to a third party, the Office of Innovation will be
responsible for negotiating and securing the most profitable commercial
arrangement available. Revenue generated through licenses will be
distributed as follows:
Gross revenue:
Annually, 5% to the inventor(s).
Costs incurred by the Office of Innovation in supporting the application
include patent searches, patent fees, professional fees and advice,
development costs, etc.
Following the deduction of these costs and the 5% gross revenue to the
inventor(s), the net annual revenue will be distributed as follows:
Net revenue up to and including £25,000 for any one deal:
Inventor(s) 50 %
Research Institute or School
30%
The Office of Innovation 20%
42
Net revenue above £25,000 for any one deal:
Inventor(s) 33 %
Research Institute or School
34%
The Office of Innovation 33%
6.2
Licences for equity
Where the IP is licensed to a third party in return for equity, the Office of
Innovation will be responsible for negotiating and securing the most
beneficial commercial arrangement available, on a case by case basis.
6.3
Assignment
Where the IP is to be assigned to a third party, the Office of Innovation
will negotiate mutually beneficial and acceptable commercial
arrangements on a case by case basis.
6.4
Disposal of equity / Liquidation of assets
Where equity held in a third party is released by the University the net
revenue will be distributed on the following basis:
Inventor(s)
Faculty*
The Office of Innovation
*
nil
66%
34%
The Faculty of which the inventors of the IP that enabled
acquisition of the equity are members. Where more than one
Faculty is involved, the faculties will decide amongst themselves
an appropriate distribution.
No allocation is made to any inventor on the assumption that he / she has
benefited, and may continue to benefit, from the original IP agreement. If
the inventor (s) has not received any benefit from the original IP
agreement, or received any equity, then the revenue from release of the
equity will be treated as per net revenue in section 6.1
7.
Resolution of disputes
This policy constitutes an understanding, which is binding on the University and
on the staff and students upon whom it is effective, as a condition for
participating in activities of the University or for the use of University funds or
facilities. Any question of interpretation or claim arising out of or relating to this
policy, or dispute as to ownership rights of IP under this policy, will be settled by
the following procedure:
*
The issue must first be submitted to the Pro-Vice Chancellor (Research
and Innovation) in the form of a letter setting forth the grievance or issue
to be resolved.
*
The Pro-Vice Chancellor (Research and Innovation) will seek to provide
arbitration by convening a group consisting of all or some of the following:
43
the relevant Dean, relevant Head of School / Director of Department /
Director of Research Institute, the Office of Innovation representative, and
a patent agent, as required.
*
If any of the parties to the dispute is not satisfied with the decision of this
group, an application may be made to the University Visitor or the party
may seek binding arbitration from an independent UK registered
Intellectual Property lawyer.
44
Appendix IV
University of Ulster
Postgraduate Tutors & Demonstrators
Code of Practice on Tutoring and Demonstrating by Postgraduate Students
CONTEXT: The invaluable contribution made by postgraduate students working as
tutorial assistants and demonstrators is recognised in Schools and Faculties of the
University. This contribution is valued by undergraduate students and academic staff,
for its contribution to the quality of learning and teaching, and by the tutorial assistants
and demonstrators themselves in terms both of experience and of income.
PURPOSE: The purpose of this Code of Practice is to ensure a broad common
understanding across the University of the roles and responsibilities of postgraduate
tutorial assistants and demonstrators, and of the academic staff with and for whom they
work. It is offered as guidance to Faculties and Schools in establishing good practice,
recognising that the exact nature of the roles and responsibilities assigned to
postgraduate tutorial assistants and demonstrators will vary from School to School and
from one course to another.
1 Terms and conditions
1.1
Explicit information should be provided regarding the nature of the work and the
number of hours, which should not normally exceed six per week. All
postgraduate students MUST obtain permission from their supervisors before
agreeing to carry out any tutorial or demonstrating duties. (NB some funding
bodies do not allow postgraduate students to be in paid employment, and in
other cases there are limits on the number of hours worked or total amount of
income earned.)
1.2
Tutorial assistants and demonstrators should be provided with the name and
contact details of the relevant Module Co-ordinator(s), in advance of the
commencement of their duties.
1.3
Tutorial assistants and demonstrators should be informed in advance of the
applicable hourly rate of pay, and arrangements for claiming this. Payment will
be at the rate currently in force, either at ‘Demonstrator’ rate, or ‘Tutorial’ rate,
depending on the nature of the work. Tutorial work is deemed to involve greater
preparation time than demonstrating, and may include (if specified) some
marking and feedback; a higher rate of pay therefore applies.
1.4
Any additional duties which tutorial assistants and demonstrators are asked to
undertake at a later date will be subject to further payment at the relevant rate.
2 Development and Support
2.1
Prior to undertaking any tutorial or demonstration duties, all potential tutorial
assistants and demonstrators are required to attend the one day course:
45
‘Introduction to Learning and Teaching at the University of Ulster’, or its
equivalent. This course is provided annually by the Staff Development Unit.
2.2
If a Faculty wishes postgraduate tutorial assistants and demonstrators to carry
out summative assessment of student work, then those identified should attend
a half-day training session on Assessment, normally provided jointly by the Staff
Development Unit and Faculty staff.
2.3
All tutorial assistants and demonstrators must also undertake such health and
safety training as is required in relation to the laboratories or teaching rooms in
which they will be working, and should be familiar with the responsibilities of
employees under current legislation and policy, especially in the areas of Health
and Safety at Work and Equality and Diversity.
2.4
It is the responsibility of the Module Co-ordinator (or other nominated member of
academic staff) to:
2.4.1
provide tutorial assistants and demonstrators with an overview of the
Course and the Module outline (usually in Course/Module Handbook);
2.4.2
explain the purpose of the practicals or tutorials within the framework of
the overall teaching of the Module, including Lecture programme;
2.4.3
explain how the students are expected to be taught, and the role of the
tutorial assistant or demonstrator in this;
2.4.4
explain how the Module is administered and how tutorial assistants and
demonstrators should interact with the Module co-ordinator;
2.4.5
discuss how assessment (if undertaken) should be carried out, provide
copies of assessment tasks, marking criteria and guidance, and explain
arrangements for moderation of any marking;
2.4.6
provide information about the provision of feedback to students about
their work;
2.4.7
inform tutorial assistants and demonstrators about any feedback they will
be expected to provide to the Module co-ordinator about the teaching of
the Module (for Module evaluation purposes);
2.4.8
inform tutorial assistants and demonstrators which member of staff is the
Course Director and advise them of the dates when course committee
meetings are planned.
3 Resources and materials
3.1
The Module co-ordinator (or other nominated academic member of staff) will
provide copies of appropriate course handouts and reading lists (electronically or
on paper). Tutorial assistants and demonstrators may be required to assist in the
organisation or production of multiple copies as needs arise.
46
3.2
Tutorial assistants should be provided with a means of communicating with
students in their tutorial groups.
3.3
Tutorial assistants should be provided with a list of students in their tutorial
groups, together with information about the timing and location of the session. A
record of attendance should be kept at each session, and passed on to the
Module Co-ordinator.
4 Assessment of student work
4.1
If tutorial assistants or demonstrators are carrying out formal assessment of
students’ work, they must be given explicit assessment criteria together with
guidance on how these criteria are to be applied in marking and grading the
work.
4.2
No tutorial assistant or demonstrator should summatively assess the work of
students in modules that contribute to the final award and related classification.
4.3
Information should be provided regarding the deadlines for completion of
assessment and the procedures for providing assessment information to the
Module Co-ordinator (or other nominated person).
4.4
All assessment carried out by postgraduate tutorial assistants and demonstrators
will be subject to moderation by the Module Co-ordinator (or another nominated
member of academic staff), who will be responsible for the recording and issuing
of marks or grades.
5 Recruitment and selection
5.1
Tutoring and demonstrating can provide valuable experience (and income) for
postgraduate students, and opportunities to undertake such duties should be
widely publicised within the University.
5.2
Faculties and Schools should have clearly defined procedures for the
recruitment of tutorial assistants and demonstrators, which ensure that selection
is fair and non-discriminatory in accordance with current University Policy.
5.3
Each Faculty (or School) should appoint a named person, or persons, who will
take overall responsibility for the employment, development and support of
postgraduate tutorial assistants and demonstrators. Where a Faculty of School
has a base on more than one campus, there should be a named individual
holding this responsibility on each campus.
5.4
The nominated member(s) of staff in the Faculty should ensure that all tutorial
assistants and demonstrators appointed are appropriately qualified and trained
for the teaching which they are about to undertake. (Information should be held
about each applicant’s higher education qualifications, current research and
name of supervisor, and a record kept of attendance at required central and
local staff development and training.)
47
6 Quality assurance and monitoring
6.1
The quality of learner support provided by tutorial assistants and demonstrators
will be assured through careful recruitment and selection and adequate
preparation, development and support of each individual for the role undertaken.
6.2
Tutorial assistants and demonstrators will take part in appropriate aspects of
University of Ulster quality assurance and enhancement procedures such as
Module evaluation, Peer Observation and the Student Questionnaire.
48
APPENDIX V
CODE OF PRACTICE FOR PROFESSIONAL INTEGRITY IN THE CONDUCT OF
RESEARCH
1
Introduction
1.1 The University expects the highest standards of integrity to be adhered to by its
researchers. Under this code of practice the term 'researcher' applies to all staff
and students who carry out research, i.e. academic staff, research staff and other
staff involved in the research process (technical, clerical, academic - related and
administrative) employed by the University, whether involved in the research
process within the University or whilst at another institution; postgraduate research
students; undergraduate students; and visiting staff whether funded or holding
honorary appointments.
1.2 The University seeks to promote and promulgate good research practice,
emphasising integrity and rigour in research, and to create a culture in which the
following general principles and procedures can be observed.
2
Integrity
2.1 Researchers should 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 work, including experimental design, generating and analyzing
data, applying for funding, publishing results, and properly acknowledging the
direct and indirect contribution of colleagues, research students, collaborators and
others.
2.2 All researchers must refrain from plagiarism, deception or the fabrication or
falsification of results or other forms of research misconduct.
2.3 Researchers are encouraged to report cases of suspected misconduct and to do
so in a responsible and appropriate manner following the University Procedures
for Enquiring into Allegations of Research Misconduct.
2.4 Researchers should identify, declare and manage any real or potential conflicts of
interest whether legal, ethical, moral, financial, personal or of any other nature, so
that it does not become a complicating or actionable issue.
3
Openness
3.1 While recognising the need for researchers to protect their own research interests,
and to seek protection for any intellectual property identified during the course of
the research, the University encourages its researchers to be as open as possible
in discussing their work with other researchers and with the public.
3.2 Once results have been published, the University expects researchers to make
available relevant data and materials to other researchers, on request, provided
49
that this is consistent with any ethics approvals and consents, which cover the
data and materials and any intellectual property rights in them.
3.3 The University recognises that publication of the results of research may need to
be delayed for a reasonable period pending protection of intellectual property
arising from the research or the due process that may be required by a sponsoring
organisation. However, any such periods of delay in publication should be kept to
a minimum and the duration should be agreed in advance with a sponsor or other
funder.
4
Guidance from Professional Bodies
4.1 Where available, the University expects researchers to observe the standards of
research practice set out in guidelines published by scientific and learned
societies in their discipline, and other relevant professional bodies. References
and web-addresses for a range of guidelines from professional bodies are listed in
the Appendix.
4.2 All researchers should be aware of the legal requirements which regulate their
work. Researchers are expected to take steps to stay informed of governmental,
institutional and any other regulations, standards or policies in proposing,
conducting and reporting research.
5
Leadership and Co-operation
5.1 A research community should be promoted and encouraged in which
discrimination based on gender, race, age, disability, sexual orientation, religious
affiliation, political or scientific viewpoint, ethnical or national origin does not occur.
5.2 Senior academic and research staff should ensure that a research climate of
mutual co-operation is created in which all members of a research team are
encouraged to develop their skills and in which the open exchange of ideas is
fostered.
5.3 Good practice should include mentoring of young or less senior researchers.
6
Supervision of Research Students
6.1 The Head of the Research Graduate School should ensure that appropriate
direction of research and supervision of research students is provided. Heads of
School should ensure that training in supervisory skills is provided where
appropriate, i.e. for all new members of academic staff, research staff and existing
staff identified as likely to benefit from it (e.g. those having a poor record of
completion of research students or where problems in supervision have been
identified). The term “supervisor” relates to the person carrying out the formally
registered role of supervising a research student. Supervisors should be
experienced, research-active members of staff able to advise students on aspects
of their research projects and on matters relating to University procedures.
50
6.2 Senior members of staff must ensure that more junior staff have an opportunity to
gain supervisory experience and that their contribution to supervision is formally
acknowledged.
6.3 Supervisors should meet regularly with students (weekly meetings are
recommended for full-time students). It is recommended that certain meetings
(e.g. monthly) between students and supervisors are designated as formal and
that a record of these meetings is maintained either using an appropriate form or
laboratory book. In either case they should be signed off by the supervisor at each
of the regular meetings. Notes of guidance are available for research students
and
supervisors
in
the
Research
Studies
Handbook
(http://research.ulster.ac.uk/rps/handbook/research_handbook.html)
which
outlines the responsibilities of both student and supervisor for the conduct of the
research programme.
6.4 It is important to stress that supervisors of research students need to supervise all
stages of the research process, including outlining or drawing up a hypothesis,
protocol design, data recording, data analysis, preparation of manuscripts for
submission and publication, reading drafts of chapters and commenting on these
in detail both in writing and verbally and the presentation of research output.
6.5 Supervisors should be provided with all files of raw data, appropriately labelled,
before submission of the thesis.
6.6 Where there is a conflict of interest between a student and his/her supervisor, the
code of practice in Appendix 3 of the Research Studies Handbook should be
followed in relation to the admission, supervision and examining of the student.
7
Training and Mentoring
7.1 Responsibility for ensuring that students and other new researchers understand
good research practice lies with all members of the research community, but
particularly with Heads of Schools (Heads of Graduate Schools), Unit of
Assessment Co-ordinators, Research Group leaders, grantholders, supervisors
and principal investigators. To avoid confusion, the term “principal investigator” is
that used on externally-funded research projects to designate the first (or lead)
applicant in a list of applicants in the project proposal. The principal investigator
should be the line manager of staff employed on the grant and has overall
responsibility for the design, conduct and reporting of the study to the sponsor.
Staff not employed on an externally-funded research grant or contract should have
a formally designated line manager.
7.2 All researchers must undertake appropriate training, for example in research
design, regulatory and ethics approvals and consents, mentoring of junior staff,
equipment use, confidentiality, data-management, record-keeping, and data
protection. Training in all areas of research methodology should be offered by
Staff Development and should be included as modules in the Generic Skills
Training Programme offered to all research students.
7.3 Line managers/principal investigators must ensure that staff are given time to
attend appropriate staff development courses.
51
8
Primary Data/Samples
8.1 The researcher should clarify at the outset of the research programme any issues
regarding the ownership of the data and samples used or created in the course of
the research and also the results of the work. Any issues regarding ownership of
these should be resolved before the research commences.
8.2 Throughout their work, researchers are required to keep clear and accurate
records of the procedures followed and the approvals granted during the research
process, including records of the interim results obtained as well as of the final
research outcomes. 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. It is also
important in the process of protecting intellectual property rights.
8.3 Data generated in the course of research should be kept securely in paper or
electronic format, as appropriate. Back–up records of data stored on a computer
should always be kept at a different location.
8.4 Laboratory notebooks should be kept, where appropriate, and each key document
and any changes should be signed and dated. Pages should not be torn from the
notebooks and writing should not be in pencil. Data should be stored in such a
way as to allow a complete retrospective audit and records should be monitored
regularly to ensure their completeness and accuracy.
8.5 The University expects such data to be securely held for a minimum period of 6
years from completion of the work, however, research based on clinical samples
or relating to public health might require longer storage to allow for long-term
follow-up to occur.
8.6 Data or samples should be retained for more than 6 years if stipulated by the
funder of the research, e.g. The Wellcome Trust and several Research Councils
require 10 years.
8.7 All stored data and samples should be clearly marked with a “do not dispose of
before” date. Faculties should have monitoring systems in place regarding the
storage and disposal of samples. Where refrigeration is required all appliances
should be equipped with a function alarm system. Staff should be made aware of
actions to take if an alarm sounds.
8.8 In advance of submitting the final copy of the thesis, students and supervisors
must notify the Research Office of where data is deposited, using the RS16 form.
Guidance notes as to what the faculty considers to be data is to be found with the
form on the Research Office website.
52
9
Intellectual Property Rights and Ownership
9.1 Intellectual property rights (IPR) include patents, registered designs, copyright,
design rights and know-how. Creative work, including research and development,
can lead to IPR and some of these can be protected under one or more headings.
9.2 In patent law, the IPR created during an employee’s normal or specifically
assigned activities belongs to the employer. This means that most of the IPR
arising from the activities of university staff belongs to the University. Where work
is being carried out under contract with an outside agency, specific provisions
about IPR may apply. For instance, the University may be requested to assign its
rights to the sponsor, usually in exchange for some benefit.
9.3 Researchers who identify IPR should follow The University Code of Practice on
Intellectual Property Rights. Refer to website –
(http://plangov.ulster.ac.uk/governance/charter.html)
10
Ethical Approval
Research involving Human Participants
10.1 Approval from the appropriate research ethics committees must be sought for all
research involving human participants, samples or data. Approval from other
regulatory bodies such as the Human Fertilization and Embryology Authority or the
Gene Therapy Advisory Committee in the UK should also be sought where
necessary.
10.2 Research which requires ethical approval must not commence until this approval
has been obtained, nor deviate from the approved procedure without new ethical
approval i.e. ethical approval must be sought and obtained prior to implementing
any deviation from the procedures originally approved.
10.3 Researchers shall carry out investigations or interventions only with the valid
consent of participants, having taken all reasonable steps to ensure that they have
adequately understood the nature of the investigation or intervention and its
anticipated consequences.
10.4 Researchers should ensure the confidentiality of personal information relating to
the participants in research, and that the research fulfils any legal requirements
such as those of the Data Protection Act 1998, the Health and Safety at Work Act
(NI) 1978 and EU Recommendation No.R (90)3.
Research involving Animals
10.5 For research involving animals researchers should have approval under the
Animals (Scientific Procedures) Act 1986. The researchers involved should ensure
that appropriate personal and project licenses are in place. The researcher
should ensure that they have in place stringent safeguards on animal pain and
suffering and other legal requirements to ensure the care and welfare of animals.
53
10.6 Researchers should consider, at an early stage in the design of any research
involving animals, the opportunities for reduction, replacement and refinement of
animal involvement.
11
Integrity in Managing Research Projects
11.1 Researchers should take all reasonable measures to ensure they meet sponsor,
institutional, legal, ethical and moral obligations in managing projects.
11.2 Researchers are expected to familiarize themselves with the terms and conditions
of any research contract or agreement entered into by the University on their
behalf.
11.3 Researchers should follow established University financial procedures for
expenditure.
11.4 The person with overall responsibility for a research programme should ensure
that it runs within its allocated budget, and ensure that no penalties are incurred
by failure to meet sponsor’s requirements, e.g. submission of reports according to
schedule.
11.5 Where research is carried out in association with any part of the DHSSPS (NI) or
of the DoH in Great Britain, the person with overall responsibility for the research
programme must ensure that the full agreement of the DHSSPS (NI)/DoH
organisation has been obtained in accordance with their current research
governance obligations.
12
Publication Practice
12.1 There should be agreement at the outset of a project as to the convention of
authorship and the order of names to appear on publications resulting from the
work.
12.2 Results should be published in an appropriate form, such as papers in refereed
journals, authored books, etc. Researchers should make all reasonable efforts to
disseminate their research results as widely as possible to the academic
community through papers, books, presentations or other suitable media and,
where appropriate, to the public. Where a study has involved research
participants, they should normally be informed of the outcome of the study and
thanked for their participation.
12.3 The person with overall responsibility for the research programme should
authorise publication of results: authorisation should cover both the content of the
publication (integrity of results, adequacy of internal peer review, appropriate
protection of intellectual property rights, appropriate authorship) and the intended
place of publication.
12.4 The lead author on any paper must ensure that all co-authors are familiar with,
and approve of, the contents of the paper and can identify his/her contribution
prior to submission for peer review.
54
12.5 Anyone listed as an author on a paper should accept responsibility for ensuring
that he/she is familiar with the contents of the paper and can identify his/her
contribution to it. The practice of honorary authorship is unacceptable.
12.6 The contributions of formal collaborators and all others who directly assist or
indirectly support the research should be properly acknowledged.
Please see the recent Code on Good Research compiled by the UK Research
Councils:
http://www.rcuk.ac.uk/cmsweb/downloads/rcuk/reviews/grc/GoodResearchConduc
tCode.pdf
APPENDIX
American Psychological Association (2001). Ethical Principles and Code of
Conduct. Revision Draft 6. (http://anastasi.apa.org/draftethicscode/draft6_final.doc)
Biotechnology and Biological Sciences Research Council. BBSRC Statement
on Safeguarding Good Scientific Practice (2000).
(http://www.bbsrc.ac.uk/funding/overview/good_practice.pdf)
British Computer Society (2001). Code of Conduct.
http://www1.bcs.org.uk/link.asp?sectionID=673
British Psychological Society, The. Code of Conduct, Ethical Principles &
Guidelines.
(http://www.bps.org.uk/documents/Code.pdf)
British Sociological Association. Guidelines on Conduct, Ethical Practice and
Related Issues. (http://www.britsoc.co.uk/index.php?link_id=14&area=item1)
Brock, G, Sutter, S and Selwitz, AS (2002). Comprehensive Guidelines for the
Responsible Conduct of Researchers. In “Investigating Research Integrity:
Proceedings of the First ORI Research Conference on Research Integrity” (Eds.
N.H. Steneck and M.D. Scheetz), 57-63.
Department of Health and Human Services, Washington.
(http://www.ori.dhhs.gov/multimedia/acrobat/papers/brock.pdf)
Chartered Society of Physiotherapy, The. Rules of Professional Conduct.
(http://www.csp.org.uk/thecsp/rulesofconduct/rulesofprofessionalconduct.cfm)
DEFRA– Department for Environment, Food and Rural Affairs. Joint Code of
Practice for Research.
(http://www.food.gov.uk/multimedia/pdfs/Code_of_Practice.pdf)
Director General of the Research Councils & Chief Executives of UK
Research Councils (1998). Safeguarding Good Scientific Practices.
(http://www.ost.gov.uk/research/councils/safe.htm)
European Charter for Researchers.
(europa.eu/eracareers/pdf/am509774CEE_EN_E4.pdf)
The Code of Conduct for the Recruitment of Researchers.
(europa.eu/eracareers/pdf/am509774CEE_EN_E4.pdf)
General Medical Council (2002). Research: the Role and Responsibility of
Doctors. General Medical Council, London. (http://www.gmcuk.org/standards/research.htm)
HPSS – Health & Personal Social Services/Research & Development Office.
(http://www.rdo.csa.n-i.nhs.uk/rdo/index.html)
55
Market Research Society (MRS). Code of Conduct.
(http://www.marketresearch.org.uk/code.htm)
Modern Humanities Research Association, MHRS Style Guide,
(www.mhra.org.uk)
National Health and Medical Research Councils & Australian ViceChancellors’ Committee (1997). Joint NHMRC/AVCC Statement and Guidelines on
Research Practice. NHMRC & AVCC, Canberra.
(http://www.health.gov.au/nhmrc/research/general/nhmrcavc.htm)
Royal Statistical Society, The. Code of Professional Conduct.
(http://www.rss.org.uk/about/conduct.html)
University of Glasgow (2000). Code of Policy and Procedures for Investigating
and Resolving Allegations of Misconduct in Research.
(http://www.brookes.ac.uk/regulations/regulations/one-two.html)
University of Kent (2000). Good Practice and Misconduct in Academic
Research: a Policy Document. University of Kent, Canterbury.
(http://www.kent.ac.uk/res/misconduct_policy.pdf)
University of New South Wales. Code of Conduct for the Responsible
Practice of Research. UNSW, Sydney. (http://www.ro.unsw.edu.au/policies)
University of Oxford (2000). Academic Integrity in Research: Code of
Conduct. University of Oxford, Oxford.
(http://www.admin.ox.ac.uk/rso/policy/conduct.shtml)
Wellcome Trust, The (2002). Guidelines on Good Research Practice. The
Wellcome Trust, London. (http://www.wellcome.ac.uk/en/1/awtvispolgrpgid.html)
56
APPENDIX VI
PROCEDURES
MISCONDUCT
FOR
ENQUIRING
INTO
ALLEGATIONS
OF
SCIENTIFIC
It should be emphasised that these procedures are intended to assist individuals who
believe they have discovered malpractice or impropriety. They are not designed to
question financial or business decisions taken by the University; nor may they be used
to reconsider any matters that have already been addressed under harassment,
complaint or disciplinary procedures. All members of the University should use these
procedures rather than air their complaints outside the University. Members of the
University are also required to observe the University's procedures for the release of
confidential information. It is important to note that no protection from internal
disciplinary procedures is offered to those who choose not to use these procedures for
enquiring into allegations of scientific misconduct, and instead use inappropriate means
to bring matters best dealt with internally into the public domain.
Scope
The procedures for enquiring into allegations of scientific misconduct are designed to
allow employees or other members of the University to raise, at a high level, concerns,
or to disclose information, which the individual believes shows malpractice.
The procedures outlined below are intended to cover concerns that are in the public
interest and may (at least initially) be investigated separately but might then lead to the
invocation of existing procedures, such as the disciplinary procedure.
Safeguards
The procedures for enquiry into allegations of scientific misconduct are designed to
offer protection to those employees or other members of the University who disclose
such concerns, provided the disclosure is made:
i.
ii.
in good faith, and
in the reasonable belief of the individual making the disclosure that it tends to
show malpractice.
Confidentiality
The University will treat disclosures made under these procedures in a confidential and
sensitive manner. The identity of the individual making the allegation may be kept
confidential so long as it does not hinder or frustrate any investigation. However, the
investigation process may reveal the source of the information and the individual
making the disclosure will be required to provide supportive evidence to substantiate
allegations, in writing, before an investigation may proceed.
Anonymous Allegation
The procedures encourage individuals to put their name to any disclosures they make.
Concerns expressed anonymously are much less powerful, but they will be considered
at the discretion of the University.
57
In exercising this discretion, the factors to be taken into account will include:
The seriousness of the issues raised;
The credibility of the concern; and
The likelihood of confirming the allegation from attributable sources.
Untrue Allegations
If an individual makes an allegation in good faith, which is not confirmed by subsequent
investigation, no action will be taken against that individual. If however, an individual
makes a malicious or vexatious allegation, and particularly if he or she persists with
making them, disciplinary action may be taken against the individual concerned.
Stages of Procedures
The procedures for the investigation of cases of scientific misconduct consist of the
following stages:
Initial consideration, which may lead to:
Investigation, which may lead to:
Institution of the University’s staff or student disciplinary procedure currently set
out in Ordinances.
Initial Consideration
The complainant brings the matter which is the subject of the allegations to the attention
of his/her manager, and is asked to outline the allegation in writing, providing
appropriate supportive evidence.
The manager, in consultation with the Head of School (and the Head of Research
Graduate School where the allegation is within his/her area of responsibility), the
research Unit Co-ordinator, and the Research Office, decides whether a formal
investigation should be undertaken. It may be possible to resolve the matter to the
satisfaction of the complainant without proceeding to an investigation. The line
manager should indicate the outcome of this stage within two weeks of the allegation,
by writing to the complainant.
Investigation Stage
Where the allegation is to be the subject of an investigation, this will be conducted by
one or more senior academic staff who have no association with the research
activity/publication under investigation. It may be necessary to obtain external advice
where detailed knowledge of a research area is essential to conduct the investigation
satisfactorily.
The aim of the investigation will be to determine whether there is a prima facie case for
the disciplinary proceedings to be instituted.
If the investigation concludes that the allegation is not proven, this will be
communicated in writing to the complainant, and all reasonable action will be taken to
restore the reputation of the respondent.
58
If the investigation concludes that the allegation has been made with malicious intent,
the line manager of the complainant and the complainant will be so notified.
If the investigation concludes that there is a prima facie case against the respondent,
the findings will be reported to the Pro-Vice-Chancellor with responsibility for research
and to the appropriate line manager/student supervisor. Arrangements will then be
made for the appropriate level of disciplinary procedure to be instituted.
59
APPENDIX VII
Faculty of Art, Design and the Built Environment
Research Graduate School
Record of Meeting between Research Student and Supervisor/s
(This form should be completed jointly by the research student and
supervisor/s
at the conclusion of each meeting)
This is a template for the Faculty’s form. If no original forms are at hand for your
meeting, please fill in this template, print it and distribute copies as indicated below.
1.
Name of Research Student .................................................. (BLOCK LETTERS)
Name/s of Supervisor/s ....................................................... (BLOCK LETTERS)
2.
Date of Meeting ...........................................................................................
3.
Duration of meeting ......................................................................................
4.
Preparations made for meeting (Please list)
5.
Issues discussed (Please list)
6.
Tasks to be completed before next meeting (Please list)
7.
Date tasks must be submitted........................................................................
8.
Date of next meeting ....................................................................................
9.
Special comments (if any) .............................................................................
10. Signature of Research Student .......................................................................
Signature of Supervisor/s ......................................................................... .....
Date ..................................................................................... ......................
IMPORTANT INSTRUCTIONS:
Original (white copy) to be returned to
RGS
One copy to be retained by supervisor
One copy to be retained by student
60
APPENDIX VIII
Risk Assessment form
Risk Assessment Record
Faculty/School/Research Institute
Name of Chief Investigator
Room No/Campus
Project Title
Hazard(s) – Please identify and describe
Who is exposed to the hazard? (e.g. University staff/students/other research subjects)
Inherent Risk (i.e. the risk present before any precautions are put in place) – Please refer to the table overleaf to
assess the risk and then record it below
None
Low
Medium
High
Very High
Controlling the Inherent Risk
For inherent risk in the medium to very high range, please describe the precautions to be put in place:
Will these precautions eliminate, significantly reduce or otherwise reduce the inherent risk? Please comment:
61
Residual Risk
Please refer to the table overleaf to assess the remaining risk and then record it below
None
Low
Medium
High
Very High
Please note that if the residual risk is not in the none/low range, you might need to take further steps to address
the risk or consider redesigning your research proposal
I confirm that an appropriate risk assessment has been conducted
Signature…………………………………
(Chief Investigator)
Date………………………
Please use the table below to assess the inherent risk and then the residual risk. For example, where the
potential harm is assessed to be minor (e.g. slight physical discomfort or pain, temporary emotional upset or
similar) and the probability is assessed to be likely, then the risk is deemed to be in the medium range.
It is expected that research being conducted by staff or students of the University will fall within the None to
Medium range of risk. Studies that are likely to fall within the High to Very High range of risk are unlikely to be
permitted to proceed.
PROBABILITY
UNLIKELY
POSSIBLE
LIKELY
ALMOST CERTAIN
NONE
None
None
None
None
INSIGNIFICANT
Low
Low
Low
Low
POTENTIAL HARM
MINOR
MODERATE
Low
Medium
Medium
High
Medium
High
High
Very High
MAJOR
High
Very High
Very High
Very High
POTENTIAL HARM
INSIGNIFICANT – reflective of trivial, routine or commonplace day-to-day levels of harm
MINOR – unexpected event requiring minor remedial action e.g. first aid attention sufficient to treat minor injury,
interview suspended due to temporary upset of participant
MODERATE – e.g. results in time of work, broken bones, hospitalization, reversible disablement, serious
emotional upset or psychological reaction, threat of violence to researcher, potential legal challenge to the
researcher or the University
MAJOR – e.g. loss of limb, loss of sight in one or more eyes, permanent disablement, death, irreversible
psychological harm, violence against researcher
PROBABILITY
UNLIKELY – probably will never happen
POSSIBLE – might happen but would be an unusual occurrence
LIKELY – expected to happen sometimes
ALMOST CERTAIN – expected to happen frequently
62
APPENDIX IX
Financial Procedures
Originator
1st Signature
2nd Signature
Authorisation
Requisitions
Student completes
this form when
wanting to
purchase
equipment /
books etc
Student
Originator
Supervisor
Dr Lerm Hayes / leave with
Nicola Dunbar in room 5D01,
Jordanstown
Prior Approvals
Student completes
this when
planning to go on
each visit
Student
Originator
Supervisor
Dr Lerm Hayes / leave with
Nicola Dunbar in room 5D01,
Jordanstown
Claim Forms
Student completes
this after each
visit and attaches
all original
receipts (this must
be within 2
months from date
of visit)
Student
Originator
Supervisor
Dr Lerm Hayes / leave with
Nicola Dunbar in room 5D01,
Jordanstown
Prior Approval Number must be
recorded on Claim Form
Please ensure that you put your Name / Room Number / Telephone Ext on all paperwork before
submitting
Purchase Requisitions can be obtained from Nicola in room 5D01 or these can be posted to yourself
Prior Approvals can be downloaded from the website http://www.ulster.ac.uk/finance/pdfs/prior_approval.pdf
Claim Forms can be downloaded from the website http://www.ulster.ac.uk/finance/pdfs/uu_travel_expenses.pdf
For any advice on these, please do not hesitate to contact Nicola Dunbar on 028 903 66222
63