Policy and Code of Practice for PostGraduate Research Programmes - May 05

University of Strathclyde Policy and Code of Practice for Postgraduate Research ProgrammesIntroduction This Policy and Code of Practice for Postgraduate Research Programmes replaces the

University of Strathclyde Policy and Code of Practice for Postgraduate Research Programmes

Introduction

This Policy and Code of Practice for Postgraduate Research Programmes replaces the

Policy, Guidelines and Procedures approved by Senate in November 2000 and updated in

September 2002 It should be read in conjunction with the revised General Regulations forHigher Degrees by Research (Regulations 20.1) approved by Senate in March 2000 TheseRegulations are included in Part 3 of the University Calendar which is available on theUniversity’s web site: http://www.strath.ac.uk/Secretariat/gmpt Reference copies of the

University Calendar are held in Academic Departments, the Andersonian Library and theJordanhill Library

This revised statement takes into account the consultation document on improving standards

in postgraduate research degree programmes issued by the four UK higher education

funding bodies in May 2003 and the revised Section 1 of the QAA Code of Practice:

Postgraduate Research Programmes circulated by the QAA in September 2004.

The main differences between this document and that updated in September 2002 are:

 the strengthening of threshold standards with respect to entry qualifications, theresearch environment and progress monitoring

 the requirement that admissions are decided by two members of staff with relevantexpertise

 suggestions for strengthening arrangements for the final oral assessment arising fromexamples of good practice

 the requirement that new supervisors must complete the relevant faculty staffdevelopment programme for new Supervisors

 the requirement that Examiners submit an individual written critique to the Convenorprior to a meeting of the Examining Committee

 the requirement that the Convenor should not normally be one of the Examiners

 clarification of the requirements for skills training (see Annex 1)

This document is also available on the Governance, Management and Policy Team web siteat: http://www.strath.ac.uk/Secretariat/gmpt A limited number of hard copies will be

made available to students, departments and faculties

Students must also be informed of any supplementary Department or Faculty procedures atthe outset of their studies

Any queries about these guidelines should be addressed to the relevant Faculty Officer or tothe Governance, Management and Policy Team

4 Duration of Study _9

4.1 Minimum Period of Study _94.2 Maximum Period of Study _94.3 University Staff 104.4 Reduction in Period of Study 104.5 Extension to the Period of Study and/or Voluntary Suspension _10

5 Collaborative Provision _10

5.1 Joint Postgraduate Research Programmes 105.2 External Research Students 115.3 Jointly Supervised Students 12

6 Supervision of Postgraduate Research Students 12

6.1 General Responsibilities of Department or Faculty _126.2 Academic Counsellor 136.3 Appointment of Supervisors _136.4 The Supervisor _136.5 Responsibilities of the Supervisor 146.6 The Second Supervisor 166.7 Responsibilities of the Second Supervisor 166.8 External Supervisors 166.9 Changing Supervisor 166.10 Responsibilities of the Student _16

7 The Development of Research and Other Skills _17

7.1 Instructional Elements of Research Degrees 177.2 Key Skills Training 18

8 Feedback and Representation 18

9 Progress, Review and Assessment 18

9.1 Students Initially Registered for a Masters Level Programme _189.2 Progress Meetings, Progress Records and Progress Review _189.3 Intermediate Assessment of Doctoral Students 199.4 University Monitoring 20

10 Final Assessment 20

10.1 Submission of Thesis 2010.2 Appointment of the Examining Committee and External Examiners 2010.3 The External Examiner _2010.4 The Internal Examiner _2110.5 The Convenor 2110.6 Operation of the Examining Committee 21

10.7 Recommendations of the Examining Committee _21

11 Academic Integrity _23

12 Academic Appeals _23

13 Student Complaints other than Academic Appeals _23

14 Health and Safety 24

Annex

Skills Training Requirements for Research Students 25

POLICY AND CODE OF PRACTICE FOR POSTGRADUATE RESEARCH

PROGRAMMES

Terminology

A postgraduate research student may be admitted to a Department or to a Faculty Where a student is admitted to a Department, the Head of Department accepts certain duties and responsibilities Where a student is admitted to a Faculty, the relevant Vice-Dean of the Faculty accepts these same duties and responsibilities.

Throughout this document Responsible Person is used to mean the Head of

Department or relevant Vice-Dean of the Faculty as appropriate The Responsible Person may be advised by departmental or faculty committees and may appoint nominees (individuals or groups) to carry out some or all of these duties on his or her behalf The Responsible Person will retain overall responsibility for ensuring that any delegation is effective.

Two Supervisors are appointed for each postgraduate research student who will

throughout this document be referred to as the Supervisor and the Second

Supervisor The primary responsibility for supervision rests with the Supervisor but,

by agreement between the two supervisors, the Second Supervisor may from time to time carry out the duties of the Supervisor The Supervisor will retain overall

responsibility for ensuring that this delegation is effective

1 Institutional Arrangements

1.1 The University has a coherent framework for awards which is broadly

compatible with the UK national frameworks and level descriptors TheUniversity’s awards framework recognises two postgraduate levels:

 Masters level is broadly equivalent to Level 11 (or SHE5) in theScottish Credit and Qualifications Framework (SCQF)

 Doctoral level is broadly equivalent to Level 12 (or SHE6) in theScottish Credit and Qualifications Framework (SCQF)

1.2 The University offers the following postgraduate awards with a predominant

or significant research (or comparable project) content:

 Master of Research (MRes)

 Master of Philosophy (MPhil)

 Doctor of Business Administration (DBA)

 Doctor of Education (EdD)

 Doctor of Engineering (EngD)

 Doctor of Philosophy (PhD)

Exceptionally, at the Request of a Faculty Board of Study and with the approval of Senate, the University may offer the MPhil degree under a different title such as Master of Science (MSc) by research and Master of Laws (LLM) by research.

The research element of these programmes is not credit rated

1.3 Programmes of study leading to the awards in paragraph 1.2 above are

governed by the General Regulations for Higher Degrees by Research (seeRegulations 20.1 in Part 3 of the University Calendar) and any SpecificCourse Regulations (see Part 3 of the University Calendar)

1.4 All postgraduate research students are made aware of this Code of Practice

and Policy in their offer letter Section 6 details the responsibilities of both

supervisors and students Faculties and Departments provide more detailedinformation about research programmes and procedures relevant to the area

of study concerned

1.5 Copies of the Policy and Code of Practice are available on the Governance,

http://www.strath.ac.uk/Secretariat/gmpt

1.6 The University established the Graduate Council in November 2001 to:

 increase the number of postgraduate students at Strathclyde as aresult of effective recruitment and retention strategies;

 enhance the reputation of the University resting on the positiveexperiences of students whilst at Strathclyde; and

 provide a forum for discussion of feedback from students and otherstakeholders inside and outside the University and for thedissemination of good practice across the whole University

The Council’s remit was amended in 2004 and now includes the requirement to:

 assist the University in developing a coherent strategy for

postgraduate education, both instructional and research, including the award of postgraduate scholarships;

 monitor and evaluate existing provision and have an oversight of proposed new programmes and new modes of delivery;

 encourage improvements in postgraduate provision where necessary

It is convened by a Senior Officer and comprises a postgraduate studentrepresentative from each faculty, the President of USSA or nominee, the Vice-Dean (Research) of each Faculty or nominee, the Senior Officer withresponsibility for Learning and Teaching, the Directors of the Centre forAcademic Practice and Learning Enhancement and of the International andGraduate Office and the Head of the Academic Office

1.7 The University awards a number of Research Scholarships each year to

encourage recruitment: some are sponsored entirely by the University andsome jointly sponsored with external agencies The selection process isoverseen by the University’s Research Committee and Faculty ResearchCommittees and is supported by the Registry, Faculty Officers and theInternational and Graduate Office Some individual Faculties andDepartments also offer studentships or scholarships

2 Research Environment

2.1 The University will admit research students only where

 high quality research in cognate areas is being undertaken by acommunity of academic staff and postgraduate students;

 there are supervisors with the necessary skills and knowledge tofacilitate the successful completion of postgraduate research; and

 the student will have access to the facilities and equipment necessaryfor the successful completion of their research programme

2.2 Such a research community may be achieved by collaboration between

smaller related research units within the University or between units in theUniversity and cognate units in partner universities/institutions

3 Selection, Admission, Enrolment and Induction of Students

3.1 Applications

3.1.1 Applicants are required to complete the appropriate University application

form Application forms and information on application procedures areavailable from the University Registry, McCance Building, 16 RichmondStreet, Glasgow, G1 1XQ, or from the website at http://applicants.strath.ac.uk/3.1.2 The University accepts applications by post, facsimile or via the worldwide

web In line with other universities in the UK, the University operates ascreening procedure for all applicants in respect of previous criminalconvictions

3.2 Selection

3.2.1 The University will admit students to a postgraduate research programme

only if they are considered to have the necessary experience, qualificationsand motivation to succeed in achieving the award to which that programmeleads The minimum entry requirement for a Doctoral student is normally anupper second class honours degree from a UK University or a qualificationdeemed by the University to be of an equivalent academic standard (SeeRegulation 20.1, and the Specific Programme Regulations)

3.2.2 A postgraduate research student may be admitted to study in a Department or

in a Faculty The decision to admit or not to admit a student will be made bythe Responsible Person in the Department or Faculty and at least one othermember of staff with relevant expertise (normally the prospective Supervisor)using explicit criteria, including the following:

i whether the applicant is appropriately qualified to undertake the

proposed research programme;

ii whether the research programme proposed is consistent with the level

of study for which the applicant is to be admitted and can becompleted in the time-scale designated;

iii whether the research programme fits into the research portfolio of the

Departments or Faculty concerned and can be supported within theinstitution in terms of research supervision and community,accommodation, facilities and support services;

iv whether the applicant has adequate proficiency in the English

3.2.3 Where Departments and Faculties have additional criteria for admission,

these are made known to applicants either in the Postgraduate Prospectus or

in other information circulated to applicants

3.2.4 References will normally be sought on potential students and interviews will

be arranged wherever practicable and appropriate

3.2.5 The University’s Equal Opportunities and Racial Equality Policies will apply to

all aspects of the recruitment process

3.2.6 The Registry supports the admissions process and the International and

Graduate Office provides additional support for overseas applicants

3.3 Research Proposal

3.3.1 Applicants are normally required to suggest and agree a general area of

research with the Department or Faculty to which they are applying Oncethe general area is agreed the prospective student and his or her prospectivesupervisor (or the Responsible Person) should agree a brief outline researchproposal This should indicate the proposed area of research, the methods to

be used and how the proposed work relates to any previous research done inthis or a related field

3.3.2 Ideally, the research proposal should be agreed prior to the issue of a formal

offer letter Where logistics prevent this from occurring, the proposal should

be agreed within four weeks of the start of study A copy of the proposalshould be retained by the student and by the Supervisor or the ResponsiblePerson

3.4 Offer Letters

3.4.1 The Registry is responsible for issuing formal offer letters to postgraduate

research students on the instruction of the Responsible Person in theDepartment or Faculty as appropriate These letters will include clearstatements of the following:

i General area of research agreed with the Department (and Outline of

Research Project if available);

ii title of the award to which the study will lead;

iii name of the Supervisor (and Second Supervisor if known at this point)

[note: in exceptional cases where the name of the Supervisor is not

known (and with the approval of the relevant Vice-Dean), the circumstances will be made clear to the student and the name of the Responsible Person and Department/Faculty will be given instead];

iii expected duration of study;

iv the requirement for intermediate assessment of student progress on

doctoral programmes and the criteria for this assessment if these are

available [note: new entrants who have successfully completed an

appropriate Masters level programme may be exempt from intermediate assessment];

v fees to be paid and payment arrangements;

vi any other terms and conditions that apply to the offer

3.4.2 Details of where to find this Policy and Code of Practice on the University

website are circulated with each offer letter together with further relevantinformation on the Registry, the Finance Office and other student supportservices

3.5 Registration

3.5.1 Students are required to accept the terms of the University’s offer and agree

arrangements for payment of fees with the Finance Office before they areregistered for postgraduate study

3.5.2 Registration is renewed annually subject to satisfactory progress Students

receive a student card when they register confirming their entitlement to usestudent services and facilities

3.6 Induction

3.6.1 The University takes postgraduate research students from many different

parts of the world into almost all of its academic departments and faculties.Departments and faculties make arrangements to welcome these studentsand inform them of relevant events and activities Additionally the Universityand the City of Glasgow organise annual welcome ceremonies and events forall overseas students to introduce them to the University and the West ofScotland

3.6.2 The University provides a full range of student support services through the

 Careers Service

 Centre for Academic Practice and Learning Enhancement

 Centre for Educational Systems

 Chaplaincy Centre

 International and Graduate Office

 Registry

 Residences and Catering

 Student Advisory and Counselling Service

 Student Health Service

3.6.3 If a student has a particular difficulty that is not resolved by the normal

student support services, they may consult the University’s Director ofStudent Affairs Overseas students may wish to consult the InternationalStudent Adviser

4 Duration of Study

4.1 Minimum Period of Study

4.1.1 The minimum period of study normally required for research degrees is as

follows:

For full-time study

 Doctorate where a student already has a

For non-consecutive study

 the minimum period should be the learning equivalent of the full-timestudy period required taking account of the conditions under which thestudent will work

(see Regulation 20.1.2 in Part 3 of the University Calendar)

4.2 Maximum Period of Study

4.2.1 The maximum period of study (i.e the time between registration and

submission of the thesis) normally permitted for research degrees is asfollows:

For full-time study

 Doctor of Philosophy in the Faculty of Law, Arts

months

 Doctor of Philosophy in the Faculty of Engineering

(students admitted in and after September 2004) 48 months

months

months

For non consecutive study

 the expected period of study must be reviewed annually by thesupervisors and confirmed annually at registration

(See Regulation 20.1.10 in Part 3 of the University Calendar)

4.2.2 Other than in exceptional circumstances, the University expects all research

students to complete their degree within the maximum period allowed by theRegulations (see Regulation 20.1.10 in Part 3 of the University Calendar) Inline with the requirements of the relevant Research Councils, the University’saim is for over 70% of full-time doctoral students to submit within 4 years

4.3 University Staff

4.3.1 Academic and related staff of the University appointed under Ordinance 16

may be admitted as candidates for research degrees and are not bound bythe normal regulations for duration of study as long as they remain members

of University staff

4.3.2 Full-time academic staff may submit a thesis for the degree of Doctor of

Philosophy consisting in whole or in part of previously published workprovided it presents a connected record of research in the field of study

4.4 Reduction in Period of Study

4.3.1 In appropriate circumstances the Senate may approve a reduction in the

period of study following the submission of a case made by the ResponsiblePerson

4.5 Extension to the Period of Study and/or Voluntary Suspension

4.4.1 The Supervisors should make every effort to ensure that a student submits

his or her thesis within the maximum period of study set down in Regulationsbut, in exceptional circumstances, the Senate may approve an extension tothe period of study and/or a voluntary suspension arrangement in the case,for example, of medical, hardship, or other personal reasons

4.4.2 A strong case must be made to the Senate by the Supervisor and the

Responsible Person and this must be supported by the Faculty Board ofStudy

4.4.3 Where an extension is agreed, fees at the appropriate standard rate will

continue to be payable

4.4.4 The period for any voluntary suspension should not normally exceed two

years and no fees are payable unless the student receives assistance fromhis or her supervisors in writing up his or her thesis during the suspensionperiod In this latter case an appropriate fee will be charged

5 Collaborative Provision

5.1 Joint Postgraduate Research Programmes

5.1.1 With the approval of Senate on the recommendation of the relevant Faculty

Board, the University may collaborate with other institutions/agencies toprovide joint postgraduate research programmes leading to an award or jointaward of the University where there is mutual advantage to the student, theUniversity and the collaborating agency Arrangements may take the form of:

 registering a student to undertake a research programme outwith theUniversity (eg in a company or Government Research Laboratory); or

 collaborating with another University to jointly supervise a student on aresearch programme

5.1.2 Any proposal for a Department or Faculty to collaborate with another

institution or agency (University X) to jointly supervise a student on a researchprogramme leading to an award or joint award of the University must be

explicitly notified to Senate for approval in the usual way [See the University

Procedures and Guidelines for Collaborative, Off-Campus and Overseas Courses Leading to Awards or Joint Awards of the University.]

5.1.3 Proposals to Senate must confirm one of the following:

EITHER The University of Strathclyde will be the administering

University, in which case, University of Strathclyde policy and

Regulations will apply Students will be students of the University ofStrathclyde: they will be bound by University of StrathclydeRegulations and will be entitled to use any of the student supportservices of either university or agency

OR The University of X will be the administering University, in

which case University of X policies and Regulations will apply Thisoption may only be used where the collaborating institution haspowers to award research degrees and where Senate considers itappropriate Students will be students of the University of X: theywill be bound by University of X Regulations and will be entitled touse any of the student support services of either university oragency The Senate of the University of Strathclyde maynevertheless insist that it is required to approve the ExaminingCommittee When at Strathclyde, students will be bound by theUniversity of Strathclyde general regulations

5.2 External Research Students

5.2.1 Any proposal to register an external research student must be explicitly

notified to Senate

5.2.2 The arrangements for external research students will as far as possible follow

the normal procedures and guidelines for postgraduate research programmesset out elsewhere in this document In particular, and in accord with these

Guidelines, two University supervisors should normally be appointed in

addition to any External Supervisor The University supervisors shouldensure that:

 the student’s programme includes appropriate research and other skillstraining (see Annex 1);

 there is adequate progress monitoring and feedback to the student; and

 appropriate arrangements are made for regular contact between theexternal and internal supervisors and the student

5.2.3 Departments will provide a detailed breakdown of the split between

attendance at the University and at the external institution throughout theduration of the candidate’s studies

5.2.4 The QAA Code of Practice, Research Council Guidelines and the University’s

own policy place considerable emphasis on providing students with researchtraining, appropriate instructional classes and contact with an appropriate

research community Arrangements for external research students must take

this into account

5.2.5 In order to expedite requests to the Faculty Board and Senate for approval of

external research students, the appropriate Pro Forma (Annex 9) must be

completed and signed by the Head of Department, appropriate signatories inthe External Agency and the relevant Vice-Dean Approval requests to

Senate must confirm that the appropriate Pro Forma has been completed with

copies returned to Registry and the Faculty Office

5.3 Jointly Supervised Students

5.3.1 As is the case for external research students, the arrangements for jointly

supervised students will as far as possible follow the normal procedures andguidelines for postgraduate research programmes set out elsewhere in thisdocument

5.3.2 The QAA Code of Practice, Research Council Guidelines and the University’s

own policy place considerable emphasis on providing students with researchtraining, appropriate instructional classes and contact with an appropriate

research community Arrangements for jointly supervised students must take

this into account

5.3.3 In order to expedite requests to the Faculty Board and Senate for approval of

jointly supervised students, the appropriate Pro Forma (Annex 10) must be

completed and signed by the Head of Department, appropriate signatories inthe External Agency and the relevant Vice-Dean Approval requests to

Senate must confirm that the appropriate Pro Forma has been completed with

copies returned to Registry and the Faculty Office

6 Supervision of Postgraduate Research Students

6.1 General Responsibilities of Department or Faculty

6.1.1 A postgraduate research student may be admitted to study in a Department or

in a Faculty The Responsible Person in the Department or Faculty ensuresthat:

i the student has access to appropriate working space and has

adequate facilities and resources available to them;

ii appropriate equipment is available when required, as far as is

reasonably possible;

iii the student knows what other facilities/resources are available to them

within the Department, the University and elsewhere (if appropriate);

iv the student is made aware of University and Department regulations

and practice in respect of: Health and Safety; Research Ethics;Academic Honesty; Intellectual Property; Equal Opportunities; RacialEquality; Data Protection;

v arrangements are made to provide the student with adequate

feedback on progress with his or her studies as described in Section9;

vi the student’s programme complies with University regulations in

respect of the instructional element;

vii. the student is provided with opportunities to develop appropriate

personal and transferable skills as well as skills in research methods

and practice (see the Joint Statement of Skills Training Requirements

for Research Students by the Research Councils and AHRB at Annex

1 to this Code of Practice and Policy document); and

viii appropriate arrangements are made for monitoring supervision

arrangements and student progress (see Section 9)

6.2 Academic Counsellor

6.2.1 The University requires that each student has ready access to a member of

academic staff other than the Supervisor with whom to discuss any concerns

or seek advice on a confidential basis Such discussions may include the student's relationship with the Supervisor or problems associated with the effectiveness of supervision This role may be fulfilled by the Second

Supervisor, the Responsible Person or an identified Academic Counsellor or Postgraduate Tutor

6.3 Appointment of Supervisors

6.3.1 At the start of each student's research programme the Responsible Person

nominates a Supervisor and a Second Supervisor for approval by the relevantFaculty Board of Study on behalf of Senate

6.3.2 The Supervisors will normally be members of academic staff or research staff

on grade 2 (or above) who have been appointed under Ordinance 16 Inappointing supervisors the Faculty should take account of the need to assurecontinuity of supervision

6.3.3 Each Faculty will run its own staff development programme for supervisors of

postgraduate research students in consultation with the Centre for AcademicPractice and Learning Enhancement All new Supervisors are required tocomplete the relevant faculty programme Academic staff are alsoencouraged to participate in other CAPLE and national events relevant to thesupervision of postgraduate research