Signposts for
Postgraduate Research
Directors of Studies
This document aims to provide PGR Directors of Studies with signposts to the various
documents and other resources which define the main principles, processes, rights and
responsibilities of postgraduate study at the University of Bath, and their role within this. It
does not aim to cover local practice relating to the particular building or discipline within which
the students and staff on the programme for which you are responsible are working.
It is in three sections. The first outlines the responsibilities of PGR Directors of Studies. The
second – Essential Resources – lists the documents with which all those involved in PGR
provision, including Directors of Studies, need to be familiar. The third – What is Covered
Where? – is intended to be an easily navigated list organised by topic, and explains which
document(s) will provide guidance on each particular topic.
Part 1: RESPONSIBILITIES OF POSTGRADUATE RESEARCH DIRECTORS OF STUDIES
Overview and monitoring of PGR provision within the Department or School

Oversight and coordination of research degree provision within the department or school
(QA7 3.2) and ensuring that arrangements confirm with the regulations and QA7.

Annual monitoring of the quality of PGR provision across the department or school as
described in QA7 9.11 and QA7 18.5.

Triennial review of PGR provision, as described in QA7 18.2 and QA7 18.8.

Attendance at Faculty/School Research Students Committees (as set out in the Terms of
Reference for FRSCs). F/SRSCs report to Boards of Studies (chaired by the Dean of Faculty
or Head of School) and their minutes and recommendations also go to the University
Research Students Committee (Chaired by the PVC (Research)).

Attendance at PGR Directors of Studies Fora (Chaired by the PVC for Research, and an
increasingly important and effective way of sharing practice with PGR DoS from elsewhere
in the University).
Awareness of external requirements
Many of the University’s arrangements are driven by outside bodies, chief among them the
Quality Assurance Agency (QAA) and the Higher Education Funding Council for England
(HEFCE). Compliance with the QAA’s Code of Practice for Research Degree Programmes is a
condition of continued funding from HEFCE: in 2008 the QAA conducted the Special Review of
Research Degree Programmes to ensure that all Universities complied with the Code. All the
University’s Quality Assurance documents and Regulations are written in full compliance with
the QAA requirements. Institutional Audits are also conducted at regular interval by the QAA
and it is vital that the University continues to comply and to improve its practice.
All Universities make twice-yearly statistical returns on all their students: these are the HESES
(Higher Education Student Early Statistics) return to HEFCE, for which the census date is 1
December, and the HESA (Higher Education Statistics Agency) return, for which the census
date is 31 July. These returns are compiled from the SAMIS database, which must be kept up
to date: the consequences of inaccurate returns are serious: several other Universities have
been the subject of clawbacks of millions of pounds following audit of the returns.
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HEFCE has recently introduced a further measure of the ‘success’ or otherwise of Research
Degree Programmes: the Research Degree Qualification Rate (RDQR) tables. At the moment
this exercise is confined to full-time research students only, but it measures the rates of
students who are awarded a doctorate within 7 years of starting, regardless of delays
caused by, for example, suspensions of study, delayed examinations, or a
requirement to submit a revised thesis. Any student taking longer than 7 years, for
whatever reason, will reduce the University’s recorded completion rate, and could have an
impact on funding.
The Research Councils continue to gather information on thesis submission rates, as opposed
to award rates, within four years of a student’s registration. With the exception of the ESRC
they have stopped applying penalties to Universities whose submission rates drop below
certain levels, but it should not be assumed that this situation will continue indefinitely.
Finally, the Research Councils expect all Research-Council funded research students to receive
training in accordance with the Joint Skills Statement (JSS) (listed in Appendix 1 of QA7). The
University has a Postgraduate Skills training Coordinator (Dr Tracey Stead) who works with the
Faculty and School offices to ensure that a wide range of high quality training is on offer.
Some supervisors (and some students) may be resistant to this on the grounds that it is
distracting the student from his or her research: PGR Directors of Studies have a responsibility
to encourage as much engagement with skills training as possible.
Scrutinising the details of individual students’ candidature, with particular emphasis
on supervision arrangements
QA7 sets out clear requirements of PGR Directors of Studies in relation to the details of
students’ candidature. These are:

Advising when necessary on details of candidature and signing off the candidature form for
presentation to the F/SRSC (QA7 6.7)

Satisfying themselves that the proposed supervisory arrangements are in accordance with
the requirements of 7.6. These need to be signed off for approval by the F/SRSC (QA7
7.7.2), as do any subsequent alterations to supervisory arrangements (QA7 7.7.3)

It is especially important that PGR Directors of Studies ensure that appropriate supervisory
arrangements are recommended to the F/SRCS if a supervisor leaves (QA7 7.8)
Progression of individual students
Local practice varies in terms of whether a PGR DoS has responsibility for a single programme
or for all research students within a Department or School. Either way, the PGR DoS is
responsible for signing off all progression documentation and ensuring that it has been
completed promptly and properly (for example by not allowing bland statements such as ‘the
student needs longer in order to complete the thesis’ as the explanation for a requested
extension of registration).
It is important to note that the great majority of progression documentation is scrutinised by
the Faculty/School Research Students Committee: the exception to the rule being anything to
do with examinations and degree awards, which is handled by the Board of Studies.
Specific responsibilities set out in QA7 are as follows:

Ensuring that students are advised in writing (usually via the departmental/school
handbook) at the start of their studies of the schedule and procedures for undertaking
reviews of students’ progress in that Department/School. (QA7 9.2)

Seeking to resolve difficulties in supervisory and problems with progress encountered by
students (QA7 9.8)
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
Ensuring that annual progress reports are submitted by supervisors and students to the
F/SRSC in accordance with the annual schedule set out in 9.3. and following up on any
actions recommended by that committee (QA7 9.10)
Ensuring that teaching duties carried out by PGR students do not adversely affect
their studies
Specific responsibilities are set out in QA46, paragraphs 6.1 and 7.1 (b).
Involvement in the procedures of examination
PGR Directors of Studies’ responsibilities in the examination process are set out in QA7 as
follows:
 Giving permission, following receipt of a request from a student, for a member of the
supervisory team to be present in a viva voce examination. Note: this person may not
take any active part in the viva (QA7 12.5).

Making recommendations following consultation with a student’s supervisor to the Board of
Studies on the membership of the Board of Examiners, who must meet the criteria set out
in section 13 of QA7 (QA7 12.6).

Ensuring that the pre-viva report forms described in QA7 14.1 are submitted promptly to
the identified person in the Department or School.

Ensuring that the Examiners provide for the candidate and the lead supervisor clear written
notification of the outcome of the examination including details of any further work
required. (QA7 16.5)
Taking action when a conflict on interests arises or is suspected between a PGR
student and their supervisor(s)

See section 21 of QA7.
Postgraduate Research Funding and Prizes
The range and amount of funding available to PGR students remains 1) limited, and 2)
complex to understand and access. A separate ‘Signposts’ document is in production giving
details of the various schemes, including deadlines, eligibility rules and selection procedures:
Directors of Studies have a responsibility to keep themselves up to date with funding relevant
to their Department/School, and to make colleagues aware of this information. They may also
be asked to help to publicise prizes, such as the Ede and Ravenscroft Prize.
Generic Skills Training provision
In accordance with the requirements of the Research Councils Joint Skills Statement (JSS),
which is available as Appendix 3 of QA7, all students are required to undergo generic skills
training. Students, sometimes under the influence of their supervisor(s), may be resistant to
‘giving up research time’ to skills training. Directors of Studies should encourage students and
supervisors to ensure that students receive as much appropriate training as possible, and
should maintain regular contact with Dr Tracey Stead, Generic Skills Training Coordinator.
Encouraging students to take part in Surveys
Student responses to surveys at Bath have traditional followed a pattern of a poor response
rate but responders indicating satisfaction. The low response rate may reflect a previous lack
of co-ordination, but the establishment of a Working Group on Surveys has resulted in
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rationalisation both in terms of the number of the timing of surveys. This will result in a much
reduced burden on students, but its success does depend on significant numbers of students
taking part. Directors of Studies should make every effort to encourage students and
supervisors to take part in Surveys.
Part 2: ESSENTIAL RESOURCES
If you cannot find what you need from the documents listed below, please contact Dr Lisa
Isted in the Student Records and Examinations Office, whose website is at
http://www.bath.ac.uk/grad-office/ .
University Regulations
The University Regulations are ‘owned’ by Senate, which approves changes and additions to
them, often on the recommendation of one of its constituent committees, such as University
Research Students Committee. All the University’s academic activity must conform to the
regulations, and only Senate has the power to permit the over-ruling of a regulation. When
students register they sign a statement to confirm that they have read the regulations and
agree to abide by them, but supervisors also have a responsibility for ensuring both that the
regulations are upheld and that their students are aware of them.
Regulation 16 covers the entrance requirements and conditions for the award of higher
degrees, and is available at http://www.bath.ac.uk/regulations/pdf/Regulation16.pdf .
Regulation 16.1 covers general issues relating to all higher degrees, but each research degree
also has its own detailed regulation.
Regulation 17 covers the conduct of student academic reviews and appeals, and is available at
http://www.bath.ac.uk/regulations/pdf/Regulation17.pdf
Regulations 7 and 8 cover the Disciplinary Regulations and Disciplinary Procedures
respectively. They are at http://www.bath.ac.uk/regulations/pdf/Regulation7.pdf and
http://www.bath.ac.uk/regulations/pdf/Regulation8.pdf
Thesis specification
The University’s Specifications for Higher Degree Theses are available at
http://www.bath.ac.uk/grad-office/docs/Thesis%20Specification.pdf .
University of Bath Quality Assurance Documents
The University’s Quality Assurance Code of Practice appears at
http://www.bath.ac.uk/learningandteaching/cop/ . All the QA statements are based upon
decisions made by Senate, the Quality Assurance Committee and other relevant bodies. QA
statements supplement rather than supersede University Ordinances and Regulations. It is
vital that all engaged in postgraduate research provision at the University, especially PGR
Directors of studies, supervisors and students, are familiar with QA7, the Code of Practice on
Research Degrees. It is available at
http://www.bath.ac.uk/learningandteaching/cop/qastatements/QAX/QA07.pdf .
QA46, the Code of Practice for Postgraduate Research Students Undertaking Teaching or
Teaching Support Activities is available at
http://www.bath.ac.uk/learningandteaching/cop/qastatements/QAX/QA46.pdf .
QA53, the Code of Practice on Examination and Assessment Offences, is at
http://www.bath.ac.uk/learningandteaching/cop/qastatements/QAX/QA53.pdf . Section 5 is of
particular relevance to research degrees.
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University of Bath Postgraduate Handbook
This document is published by the Graduate Office. It is updated every year, and is at
http://www.bath.ac.uk/grad-office/handbook/index.html .
Quality Assurance Agency
The QAA Code of Practice on Research Degree Programmes is available at
http://www.qaa.ac.uk/academicinfrastructure/codeOfPractice/section1/postgrad2004.pdf and
the Report on the Special Review of Research Degree Programmes is at
http://www.qaa.ac.uk/reviews/postgraduate/OverviewRepENI.asp
WHAT IS COVERED WHERE IN UNIVERSITY DOCUMENTATION?
Approval of
Candidature
The process and requirements are set out in QA7, section 6. The
candidature form records the basis of the ‘contract’ between the
University and the student, setting out the details of the supervisory
arrangements and of the student’s research project. The process of
seeking Faculty or School approval for the candidature should be
completed as soon as possible after the student’s first registration.
Responsibilities
of supervisors
These are set out in QA7. Section 7 and Appendix 1 focus particularly on
this.
Responsibilities
of students
These are also set out throughout QA7, especially in Appendix 2
Generic Skills
Training
Skills training is an important part of a research student’s education.
Research skills development is the responsibility of supervisors. Generic
Skills Training, as recommended in the ‘Joint Skills Statement’ of the UK
Research Councils (listed in Appendix 3 of QA7), is supported within the
University by the Postgraduate Skills Training Coordinator, Dr Tracey
Stead, who oversees the central skills training programme for research
postgraduates and providing advice and support to faculties and schools
on embedding skills development to research degree programmes. In
some faculties/departments/schools the completion of certain GST units is
a compulsory element of students’ transfer from MPhil to PhD. Directors
of Studies need to be aware of any such local requirements, and to
encourage students to take advantage of the wide range of training
opportunities on offer.
Guidance on skills training for research postgraduates and supervisors
and a course booking system are all available at
www.bath.ac.uk/research/pgskills and the "Strategy for the Incorporation
of Skills Development into Research Degree Programmes at the University
of Bath" is at www.bath.ac.uk/research/gst/handbook/app2.html .
Maximum and
minimum
durations of
study
These are set out in Regulation 16. In addition to the durations set out in
the Regulations, there are constraints imposed by the Research Councils –
typically a full-time student is expected to have submitted the thesis
within four years of starting the registration, and the University is at risk
of expensive sanctions and/or reduction in the number of studentships
offered in future from the Research Council if certain submission rates are
not achieved.
Monitoring
research
students’
This is covered in QA7, section 18. Monitoring is carried out at several
different levels, but the supervisor, as the person closest to the work of
the student, has a particular responsibility for monitoring progress.
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progress
Directors of Studies have responsibility for monitoring the monitoring.
Transfer from
MPhil to PhD
The regulatory requirements are covered in Regulation 16.5 (a) (iii) and
(iv). The procedural requirements are set out in QA7 section 10.
Suspension of
study
A suspension of study is when the student stops their study for a fixed
period of time, with the effect that the expected end date moves on by
the length of the suspension: for example, a student whose registration
was originally due to expire on 30 September 2008 and who was granted
a 6-month extension would have a new expiry date of 30 March 2009.
The student should not be conducting any work during a period of
suspension, and will not receive any financial support from either
Research Councils or the University. Approval of the suspension is
required from the Faculty/School Research Students Committee, and no
more than 12 months of suspension may be granted at any one time.
Suspensions should be requested at or before the time that the reason for
the suspension takes place, and not retrospectively.
Extension of
study
An extension of study is when a student is granted additional time rather
than being permitted a gap in their studies. Regulation 16 sets out how
many periods of extension are permitted for each research degree.
Extensions should be viewed as an exception rather than a right.
Re-registration
If a student has used up the maximum period of extension permitted for
the degree, a re-registration should be sought from the Faculty/School
Research Students Committee. This will require a new candidature form
to be completed, and a recommendation about how much more time the
student is to be permitted on the new registration.
Transfer to
‘writing up’
In accordance with Regulation 16, students may transfer to ‘writing up’
only once they have completed the minimum period of study required for
the particular degree, and once they have completed the substantive
research work. For PhD students initially registered for the degree of
MPhil, the transfer from MPhil to PhD must occur before the transfer to
writing up takes place. It is important that students are not transferred
to writing up simply in order to save money.
Restriction of
access to thesis
Approval for this should be sought from the Faculty/School Research
Students Committee as early as possible in the student’s registration. No
more than 3 years’ restriction can be approved by the Faculty/School
Plagiarism
The Learning and Teaching Enhancement Office publishes guidance on the
avoidance of plagiarism at
http://www.bath.ac.uk/learningandteaching/resources/plagiarism/
Additionally, QA53 Section 5 provides detailed guidance on Examination
and Assessment Offences in relation to research degree programmes.
Ethical
considerations
Information about ethics in the context of the University’s work is
available at http://www.bath.ac.uk/internal/ethics/committee/ .
Fieldwork
If fieldwork either in the UK or overseas is involved, a risk assessment
should be made including issues of contact, safety, insurance etc. Advice
can be obtained from the Safety, Health and Environment Unit.
Additionally, Departments publish their own guidance.
Timing of, and
responsibility
for, submission
of the thesis
Although QA7 requires that the supervisor(s) provide input to the student,
ultimately it is the responsibility of the student to decide when and what
to hand in, as stated in QA7 Appendix 2.
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Changes of
supervisory
arrangements
This requires approval by the Faculty or School Research Students
Committee. If, for whatever reason, the supervisory arrangements need
to be changed, the student should be involved in the discussions. It is
not acceptable for a department to leave a student, at any stage of their
registration, without at least one official University supervisor.
Thesis
requirements
All aspects of thesis production are covered in QA7 section 11 and the
Specifications for Higher Degree Theses. It is helpful to direct students to
the Specification document as early as possible in the writing-up process.
The Regulation for the particular degree sets out regulatory requirements.
Changes to all
aspects of
registration
Regulation 16.1 (b) requires that all changes are approved by the Faculty
or School Board of Studies (although this power is delegated to the
Faculty or School Research Students Committee). This regulation sets
out the range of changes that require approval. The forms to be used to
seek permission from the Faculty or School Research Students Committee
are given on the Graduate Office website at http://www.bath.ac.uk/gradoffice/docs/index.html
Examination
process and
appointment of
supervisors
This is covered in QA7 sections 12 to 16. The Guidelines for Examiners
and all the Examination Forms and other documentation are available at
http://www.bath.ac.uk/grad-office/docs/index.html.
Reviews and
appeals
Information about Reviews and Appeals is given in Regulation 17.
Research
students
undertaking
teaching
Expectations of research students undertaking teaching are set out in
QA46.
International
students
There is a large amount of information and guidance specifically for
international students on the International Office website, which is at
http://www.bath.ac.uk/international/ . In particular it should be noted
that only correctly trained staff may give advice about visas, so please
refer any questions to the International Office. The new requirements of
the PBS system are very fluid, often unclear and full of potential hazards,
so DoS must seek advice from the International Office
Postgraduate
Research
Ombudsman
Problems that cannot be solved at Departmental/Faculty level can be
taken to the Postgraduate Ombudsman, Professor Mike Threadgill. His
website is at http://www.bath.ac.uk/postgrads/pg-ombudsman.html and
he can be contacted at m.d.threadgill@bath.ac.uk or on extension 6840.
Financial
matters
Financial advice may be sought be students from the Student Money
Service, at http://www.bath.ac.uk/students/money-service/ Information
about payment of stipends for studentships etc is available from the
Student Finance Office, which is at
http://www.bath.ac.uk/finance/student/
Further reading
The Good Supervisor: Gina Wisker, Palgrave Macmillan, 2005
Effective Postgraduate Supervision: Improving the student/supervisor relationship: Adrian R
Ely and Roy Jennings, Open University Press, 2005
The unwritten rules of PhD research: Gordon Rugg and Marian Petrie, Open University Press,
2004
A Handbook for Doctoral Supervisors: Stan Taylor, Routledge, 2005
SfPGRDOS First edition. Published by the Graduate Office June 2009
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