Quality Handbook Section 11 - Research degrees requirements

1.1 These regulations normally apply to all doctoral candidates registered for PhD awards, Professional Doctorate (ProfD) courses and Doctorates by Published, Established or Creative Works awards.

1.2 Unless specific mention is made, the regulations do not distinguish between doctoral candidates on different modes of attendance or on different types of awards.

1.3 Where collaborative programmes diverge from these regulations, these are specified in the programme documentation.

2.1 The regulations are reviewed and updated periodically in line with developments in University and sector policy and practice.

2.2 Changes would not normally be introduced for implementation in the current year of study but would take effect in the following academic year.

2.3 Appropriate consultation will always be sought through governance processes.

3.1 New doctoral programmes that sit within these regulations are submitted for approval to the University Research Degree Committee (URDC).

5.1 The general requirement for admission to a doctoral programme is a minimum overall IELTS score of 6.5 (or equivalent) with a minimum of 6.0 in all components.

6.1 Where a candidate is requesting a transfer from another institution, a letter of release is required along with evidence of progression.

6.2 All prospective transfer candidates are interviewed by the receiving Academic School.

6.3 Applicants who have already entered the completion year phase will not be admitted.

6.4 All transfer candidates, regardless of entry point, will need to go through project approval within the first three months of entry.

6.5 Where a candidate is admitted with Accreditation of Prior Learning (APL), the registration period is adjusted accordingly to take into account the prior learning.

6.6 Where an applicant is admitted to a later point in the doctoral programme, then the registration period is adjusted accordingly.

Requirements for PhD

6.7 The Academic School will assess prior research skills training and progression within the doctorate and will make a recommendation for admission of the candidate at an appropriate point in the doctoral programme.

Requirements for Professional Doctorates (ProfD)

6.8 An applicant who can demonstrate that they have achieved part of the learning outcomes of a Professional Doctorate (ProfD) course by other means can be admitted with credit to an appropriate point in the course.

6.9 Applicants who have already entered Phase Two of the course will not be admitted.

6.10 Admission with credit will not exceed 180 credits at Level 7 and an additional 180 credits at Level 8 (360 credits in total).

7.1 Doctoral candidates may be admitted to an At-Distance doctoral programme. At-Distance PhDs have been designed for candidates who require a more flexible mode to complete their doctoral research, following the full-time standard PhD route. In this case, supervision and training will take place in an online environment.

7.2 Candidates who work for their research degrees remotely must normally spend at least eight weeks at Nottingham Trent University in any one academic year, so that they can establish personal relationships with supervisors and benefit from face-to-face participation in the academic community.

8.1 A doctoral candidate must re-enrol annually until conferment.

8.2 For the purposes of calculating maximum and minimum periods of registration, candidates’ registration is deemed to run from the date on which they commence their research programme until the date of first thesis submission.

8.3 Maximum registration periods include any Thesis-Pending period.

8.4 The University does not stipulate normal periods of registration for its research degrees within the minimum and maximum. A candidate who has made unusually rapid progress with a programme of research may apply to the University Research Degrees Progression Board (URDPB) for permission to submit a thesis in advance of the minimum period of registration set out above.

8.5 Candidates must submit within their approved period of registration.

8.7 Transfer to part-time registration within the first 24 months will only be granted by exception. Transfer to part-time registration after 24 months is not permissible.

8.8 Transfer between modes of study and the thesis pending stage will normally be reviewed at annual monitoring points during the candidate’s registration.

8.9 Where a candidate transfers from part-time to full-time registration, the equivalent period of full-time registration will be half that of the actual period of part-time registration remaining.

9.1 NTU Doctoral and/or University Research Degrees Progression Board have the ability to exceptionally extend a candidate’s period of registration beyond the permitted maximum, because of circumstances beyond a candidate’s control. This extension will not normally exceed one year. Should an extension request be required by a candidate, then this can only happen in the final year of study, and appropriate evidence [as per the suspension/ extension guidance documentation] is required to support all requests for extension.

9.2 Appropriate evidence is required to support requests for extension. Employment-related issues outside of the doctoral studies, however demanding, will not normally be taken as evidence of “exceptional circumstances” which justify an extension of registration.

9.3 Doctoral candidates can apply for an extension using the PGR Notification of Extenuating Circumstances (NEC) guidance.

10.1 Where the candidate is prevented from making progress on the course, the registration may normally be suspended for a period of not less than a month and not more than a year at a time. Suspension requests are required to include relevant supporting evidence for each request.

10.2 The total number of suspensions a candidate is permitted should normally total no more than one-third of the maximum registration period.

11.1 Where a candidate has discontinued the course, the withdrawal of registration must completed through the relevant workflow request on the PGR Dashboard and Academic Registry (PGR) must be notified.

12.1 A research degree candidate requires at least two, and normally not more than three, supervisors. At least two supervisors must be staff members at NTU.

12.2 For PhD candidates, one supervisor is designated as the Director of Studies.

12.3 For Professional Doctorate (ProfD) candidates, one supervisor is designated as the Lead Supervisor.

12.4 In both cases, the Director of Studies/Lead Supervisor is responsible for ensuring that the supervisory team and candidate adhere to the University Code of Practice and oversee the research ethics and integrity, quality of the research and progress of the candidate.

12.5 Supervisory teams for research degree candidates will have experience of supervising at least one candidate to the successful completion of a UK research degree or equivalent international qualification, and where required, have suitable professional knowledge and experience.

12. 6 The following restrictions on appointment apply:

• No supervisor should have any conflict of interest with the research degree candidate.
• Staff members may not act as a supervisor whilst they are currently registered for a doctoral degree. This does not apply to staff members registered for a Doctorate by Published, Established, or Creative Works.

12.7 A proposal for a change in supervision arrangements should be made through the PGR Dashboard.

12.8 Any member of a supervisory team who has not previously supervised a research degree to completion at the University must attend the appropriate staff development course within six months of commencing supervision. Current staff supervising research degrees are required to attend a refresher in the appropriate staff development every three years.

12.9 Minimum expectations for the frequency of recorded supervisory meetings are once every month.

13.1 Progression monitoring in all doctoral degrees is overseen by the relevant University Research Degrees Progression Board (URDPB).

13.2 The progress of research degree candidates is monitored at least once in each year of registration.

13.3 All research degree candidates are required to undertake an annual development needs analysis and participate in the University-wide professional development for research programme.

13.4 Minimum monitoring points are as follows:

Requirements for PhD

13.5 Candidates who, due to exceptional circumstances, are unable to meet the normal progression timeline can, by exception, apply for an extension or suspension through the PGR Dashboard.

13.6 Where monitoring indicates serious concerns about the progression of the candidate, the University Research Degrees Progression Board (URDPB) can apply three months of supportive measures (full-time equivalent) (see paragraph 22).

13.7 The candidate’s progress will be reconsidered immediately after the probationary period, following an end-of-supportive-measures meeting. Where there is no improvement in progression, the University Research Degrees Progression Board (URDPB) may terminate the candidate’s registration.

13.8 In the event of an unsatisfactory progression point, the University Research Degrees Progression Board (URDPB) may offer the candidate the opportunity to revise the application in the light of feedback from the panel.

13.9 A candidate who is registered for the degree of PhD and who is unable to complete the approved programme of work may, at any time before the submission of the thesis for examination, apply to the University Research Degrees Progression Board (URDPB) for their registration to be submitted for consideration of a MPhil viva voce.

14.1 All candidates must have approval of their paperwork associated with their project, which usually occurs before six months from the date of registration for a full-time candidate and before 12 months from the date of registration for a part-time candidate. Sign off by the supervisory team and Independent Assessor is require before the deadline in order for this to be submitted in time for the University Research Degrees Progression Board (URDPB). The University Research Degrees Progression Board (URDPB) occurs between six and nine months from the date of registration for a full-time candidate and 12 to 18 months from the date of registration for a part-time candidate.

14.2 In approving a project, the University Research Degrees Progression Board (URDPB) must be satisfied with the following:

1. The appropriateness and viability of the proposed programme of work;
2. The suitability and qualification of the supervisory team;
3. The relevance and appropriateness of a programme of related studies, normally to include: transferable and generic skills, subject-specific training, and attendance at and participation in staff/postgraduate seminars;
4. Plans for gaining ethical approval.

14.3 Where a project proposal is not approved, the candidate will normally be allowed to seek approval for a revised project within three months.

14.4 If, having been given a three-month opportunity to remedy defects, the proposal remains unsatisfactory, the University Research Degrees Progression Board (URDPB) can apply a further three-month period of supportive measures.

14.5 Candidates who, after an additional two or three-month period, have not secured project approval may have their registration terminated by the University Research Degrees Progression Board (URDPB).

15.1 All Phase One assessment grades remain provisional until confirmed by the University Research Degrees Progression Board (URDPB).

16.1 Phase One coursework is assessed on a pass/fail basis.

16.2 The minimum pass grade for a module is a pass.

17.1 Compensation of marginal fail grades is not permissible on Professional Doctorate (ProfD) courses.

18.1 Assessments submitted after the specified deadline and without a ‘time extension’ will be awarded a fail grade.

18.2 A candidate with a substantiated extenuating circumstance may apply for a ‘time extension’ to submit work before the official deadline.

19.1 The maximum permitted number of attempts normally allowed for a candidate to pass an assessment will be two.

19.2 For reassessment a candidate will either undertake a referral or an alternative assessment as determined by the University Research Degrees Progression Board (URDPB).

20.1 The University Research Degrees Progression Board (URDPB) is authorised to terminate a candidate's studies for the following reasons:

1. The candidate has exhausted the total number of attempts;
2. Major academic irregularities;
3. Major irregularities in the research;
4. The candidate has an overall poor record of performance, attendance, participation or commitment on the course and the University Research Degrees Progression Board (URDPB) judges that there are no grounds to permit the undertaking of further remedial or retake assessments.

21.1 A candidate will not be permitted to progress to Phase Two of the course until all summative assessments at Phase One have been passed.

22.1 A candidate who is deemed by the University Research Degrees Progression Board (URDPB) to be making unsatisfactory progress can be placed on a three-month period of supportive measures.

22.2 The candidate’s progress will be reconsidered after the period of supportive measures. Where there is unsatisfactory progression, the University Research Degrees Progression Board (URDPB) may terminate the candidate’s registration.

22.3 Where a candidate has more than one period of supportive measures during the period of registration, this may be taken into consideration when reviewing a candidate’s progress.

24.1 The examining team will comprise of an Independent Chair, Internal Examiner(s) and External Examiner(s).

24.2 The examining team must have knowledge and understanding of QAA Framework for Higher Education Qualifications in England, Wales and Northern Ireland (FHEQ) and doctoral degree characteristics.

24.3 The examining team should have substantial experience of successful supervision and examination of research degree candidates within the UK.

24.4 Normally, the examining team should have completed a minimum of three examinations in the UK.

24.5 The examining team will have experience in the specialist area of the candidate's work and demonstrate a consistent and recent record of relevant publication.

25.1 The oral examination is chaired by an independent, experienced academic member of NTU staff.

25.2 The role of the chair is to ensure that the examination is conducted fairly and in compliance with the regulations.

26.1 Internal examiners have experience in the general area of the candidate’s work and normally have substantial experience of successful supervision and examination of research degree candidates.

26.2 An internal examiner will normally be a University staff member who is not part of the candidate's supervisory team.

26.3 The following restrictions on appointment apply:

• An internal examiner should not previously have acted as the candidate’s independent assessor;
• A candidate currently enrolled on a research degree at the University cannot act as an internal examiner.

26.4 Where the candidate is a permanent member of University staff, a second external examiner is appointed in place of the internal examiner.

27.1 An external examiner must have no conflict of interest with the research candidate. This precludes the following:

• A member of NTU staff (or member of staff at the collaborating organisation in the case of collaborative doctorate or dual award);
• The candidate’s supervisor or adviser;
• A member of the Board of Governors or a University committee (or board or committee member at the collaborating organisation);
• An external examiner on a taught course in the same Academic School;
• A former NTU doctoral candidate or member of staff, unless a minimum of three years has elapsed;
• Any colleague who has been in a formal collaboration, or who has authored a research paper with a member of the supervisory team, within the three years prior to the examination;
• The same external examiner was appointed to Phase One of the course for the Professional Doctorate (ProfD).

Requirements for PhD and Professional Doctorates (ProfD)

27.2 All research degree candidates are examined by at least two and not more than three examiners, of whom at least one will be an external examiner.

Requirements for Doctorate by Published, Established or Creative works

27.3 A candidate will be examined by two external examiners.

28.1 The examination for research degrees will have two stages:

1. Preliminary assessment of the thesis;
2. Its defence by oral examination.

29.1 Where the candidate would be under serious disadvantage if required to undergo an oral examination for reasons of sickness or disability, an alternative form of examination may be approved by the the University Research Degrees Committee (URDC) in consultation with Academic Registry (PGR) and/or NTU Disability Support Services (DSS) /Student Support Services (SSS).

30.1 Reasonable adjustments to assessment arrangements will be made to ensure that candidates with disabilities are not disadvantaged.

30.2 Any agreed adjustments will be notified to the oral examination team by Academic Registry (PGR).

31.1 Recording of the oral examination is not permitted.

31.2 Where the University Research Degree Committee (URDC) is made aware of a failure to comply with all the procedures of the examination process, it may declare the examination null and void and appoint new examiners.

32.1 Following the completion of the oral examination, the examiners may recommend that the candidate be awarded a doctorate:

1. is awarded the degree;
2. is awarded the degree, subject to minor amendments being made to the thesis to the satisfaction of the examiners (maximum 3 months to complete the amendments for full-time candidates, maximum 6 months for part-time candidates);
3. is awarded the degree subject to substantive amendments being made to the thesis to the satisfaction of the examiners (maximum 6 months to complete the amendments for full-time candidates, maximum 12 months for part-time candidates);
4. is permitted to re-submit for the degree and be re-examined, with or without an oral examination (maximum 12 months to re-submit for full-time candidates, maximum 24 months for part-time candidates);
5. is not to be awarded the degree and is not permitted to be re-examined, in which case the candidate may be awarded the appropriate interim award (MPhil) where they meet the requirements of such an award.

32.2 Recommendation (5) should only be made in exceptional circumstances.

32.3 Where the examiners do not agree, separate reports and recommendations should be submitted.

32.4 The University Research Degrees Progression Board (URDPB) should consider the reports and recommendation(s) of the examiners in respect of the candidate and make a recommendation to the University Research Degree Committee (URDC).

32.5 The power to confer the degree rests with the Academic Board of the University but is delegated to the University Research Degree Committee URDC).

32.6 A further examination in addition to the oral examination may be requested by the original examiners. In such cases, the approval of the Chair of the University Research Degree Committee should be sought. Any such examination will be deemed to be part of the candidate's first examination.

32.7 Where the examiners' recommendations are not unanimous, the University Research Degree Committee (URDC) may:

• Accept a majority recommendation (if the majority recommendation includes at least one external examiner); or
• Accept the recommendation of the external examiner; or
• Require the appointment of an additional external examiner.

32.8 Where an additional external examiner is appointed, they should prepare an independent preliminary report based on the thesis and may conduct a further oral examination, if they deem it necessary. The additional examiner should not be informed of the individual recommendations of the other examiners.

32.9 Where the University Research Degree Committee (URDC) decides that the degree is not to be awarded and that no re-examination is permitted, the University Research Degree Committee (URDC) should prepare a statement of the deficiencies of the thesis and the reason for their recommendation, which will be forwarded to the candidate.

32.10 A research degree may be awarded posthumously based on a thesis completed by a candidate that is ready for submission for examination and likely to have been successful at oral examination.

32.11 Where, following the oral examination and the submission of amendments or corrections, it is not possible for all members of the original examining team to confirm that the required amendments have been satisfactorily completed, the University Research Degrees Committee (URDC) may determine an appropriate course of action to enable timely consideration of the amendments.

32.12 In such circumstances, the University Research Degrees Committee (URDC) may request that the internal examiner review the amended thesis and confirm whether the amendments have been completed satisfactorily and in accordance with the examiners’ original requirements.

32.13 The internal examiner shall provide a recommendation on the outcome of the amendments for consideration by the University Research Degrees Progression Board (URDPB) and approval by the University Research Degrees Committee (URDC).

32.14 University Research Degrees Committee (URDC) shall retain oversight of the process and ensure that academic standards and the integrity of the examination are maintained.

32.15 For the avoidance of doubt, all amendments made by the candidate must be completed to the satisfaction of the examiner(s), as originally required at the point of the oral examination.

33.1 Credit definition and outcomes for the Professional Doctorate (ProfD) are specified in the course documentation.

33.2 Where an interim award is specified, a candidate will normally be entitled to receive one award as a result of a continuous period of registration. Entitlement to an interim award is subject to assessment and oral examination.