Postgraduate research regulations

Responsibility of: University Secretary
Last revised: October 2024

10. Postgraduate research regulations

10.1 Principles

10.1.1 The University of West London (hereafter referred to as ‘the University’) shall award the following degrees:

Master of Philosophy (MPhil) (exit award only)
Doctor of Philosophy (PhD)
PhD by Publication
PhD by Practice
Doctor of Business Administration (DBA)*
Doctor of Crime and Security (DCS)*
Doctor of Education (EdD)*
Doctor of Health Studies (DHS)*
Doctor of Health Services Delivery (DHSD)*
Doctor of Nursing (DNurs)*
Doctor of Midwifery (DMid)*
Doctor of Policing, Crime and Security (DPCS)*

*hereafter referred to as the ‘Professional Doctorate’

to registered candidates who successfully complete approved programmes of supervised research.

10.1.2 Programmes of research may be proposed in any field of study subject to the requirement that the proposed programme is capable of leading to scholarly research and to its presentation for assessment by appropriate examiners and that the University has the facilities, resources and expertise to supervise the topic. All proposed research programmes shall be considered for research degree registration on their academic merits and without reference to the concerns or interests of any associated funding body.

10.1.3 The MPhil shall be awarded (as an exit award) to a candidate who, having critically investigated and evaluated an approved topic and demonstrated an understanding of research methods appropriate to the chosen field, has presented and defended a thesis by oral examination to the satisfaction of the examiners.

10.1.4 The PhD shall be awarded to a candidate who, having critically investigated and evaluated an approved topic resulting in an independent and original contribution to knowledge and demonstrated an understanding of research methods appropriate to the chosen field, has presented and defended a thesis by oral examination to the satisfaction of the examiners.

10.1.5 The PhD by Publication shall be awarded to a candidate who, having produced a submission, consisting of the published works and the thesis, which demonstrated an original and significant contribution to the present state of knowledge in a particular field, has defended the submission by oral examination to the satisfaction of the examiners.

10.1.6 The Professional Doctorate shall be awarded to a candidate who, having produced a doctoral thesis, which demonstrated an original and significant contribution to the present state of knowledge and/or professional practice, has defended the submission by oral examination to the satisfaction of the examiners.

10.1.7 The PhD by Practice shall be awarded to a candidate who, having produced an outstanding contribution to the field of practice through a substantial and innovative corpus of creative research, has defended the originality of the submission by a thesis and an oral examination to the satisfaction of the examiners (the creative research may, for example, take the form of a portfolio of compositions, artefacts, or a series of performances).

10.1.8 English is the language of instruction, assessment and examination. The thesis, published works and thesis, or portfolio including thesis, must be submitted in English and the oral examination will be conducted in English. Research students must ensure they have a good grasp of both written and spoken English. An IELTS score (International English Language Testing System) of 6.5 (with 6 in each element) is the minimum standard required. Applicants who do not meet this standard will normally be required to undertake additional English Language education, and reach the standard required, before commencing the programme.

10.1.9 The University shall encourage co-operation with industrial, commercial, professional or research establishments for the purposes of research leading to research degree awards. Such co-operation shall be intended:

a) to encourage joint research which is mutually beneficial;
b) to extend the candidate’s own experience and perspectives of the work;
c) to provide a wider range of experience and expertise to assist in the development of the project;
d) where appropriate, to enable the candidate to become a member of a research community.

Co-operation may be formalised with one or more bodies external to the University. For the purpose of the research degree these shall be referred to as Collaborating Establishments. Formal collaboration shall normally involve the candidate’s use of facilities and other resources, including supervision, which are normally provided jointly by the University and the Collaborating Establishment.

In such cases a formal letter from the Collaborating Establishment confirming the agreed arrangements should be submitted with the application, except where collaboration is an integral part of the project (as for instance with NERC CASE awards). The name(s) of the Collaborating Establishment(s) shall appear on the candidate’s thesis and degree certificate.

10.1.10 In approving an application for registration, the University Research Degrees Sub-Committee, on behalf of the Academic Board, shall satisfy itself that:

a) the candidate is suitably qualified;
b) the candidate is embarking on a viable research programme;
c) supervision is adequate and likely to be sustained;
d) the University is able to provide appropriate facilities for the conduct of scholarly research in the area of the research programme;
e) the environment for the professional activity is suitable (where applicable);
f) the candidate has sufficient command of the English language to satisfactorily complete the programme;
g) ethical considerations have been addressed.

10.1.11 Since this approval requires appropriate academic judgement to be brought to bear on the viability of each research proposal, the University Research Degrees Sub-Committee shall be composed of persons who are actively engaged in research and who normally have appropriate experience of successful research degrees supervision.

10.2 Application and entry requirements

10.2.1 An applicant for registration for the degree of MPhil, with possibility of transfer to PhD, PhD by Practice, Professional Doctorate, or PhD by Publication shall hold a good first degree (first class or upper second class) or equivalent in a relevant field, and normally a Masters degree (MA, MSc, MBA or MRes) with merit or distinction or equivalent postgraduate or research experience. In addition, an applicant for registration for the PhD by Publication is required to have at least five years’ appropriate experience and relevant publications in the public domain (see 10.7.2.1).

Candidates who transfer from another institution with ‘advanced standing’ may be considered for Direct Entry. The PhD by Practice by Submission is available only to the following types of candidate: practitioners with appropriate professional experience and/or qualifications; UWL undergraduate alumni of no fewer than ten years standing (candidates will have graduated with first class honours in a relevant discipline, and have appropriate professional experience); UWL postgraduate alumni of no fewer than five years standing (candidates will have graduated with merit or distinction in a relevant discipline, and have appropriate professional experience).

10.2.2 An applicant holding qualifications other than those above shall be considered on their own merits and in relation to the nature and scope of the programme of work proposed. In considering an applicant in this category, professional experience, published works, written reports or other appropriate evidence of accomplishment shall be taken into consideration. The University Research Degrees Sub-Committee may require an applicant to pass an externally assessed qualifying examination at final year Honours Degree level before registration is approved.

10.2.3 In addition to the entry requirements of section 10.2.1, an applicant for registration for the PhD by Practice shall normally be engaged in creative research. Unless applying for the PhD by Practice by Submission, a candidate who holds a relevant degree at Masters level need not have professional experience.

10.2.4 An applicant for registration for the Professional Doctorate shall normally hold a good first degree (first class or upper second class) or equivalent in a relevant field and a Masters degree with merit or distinction in the relevant field of study from a UK institution or an overseas Masters degree of equivalent standard or equivalent professional experience. In addition, applicants are normally required to have a minimum of two years relevant professional experience (FTE) subject to discipline-specific discretion, ideally endorsed by membership of a professional institute and are required to have appropriate relevant professional experience and to be engaged in professional practice.

10.2.5 Applicants are required to be researching in an area which falls within the University’s current research activities to enable the University to appoint supervisors who are familiar with the relevant area of research.

10.2.6 An applicant whose work forms part of a larger group project may register for a research degree. In such cases each individually registered project shall in itself be distinguishable for the purposes of assessment and be appropriate for the award being sought. The application shall indicate clearly each individual contribution and its relationship to the group project. Where a research degree project is part of a piece of funded research, the University Research Degrees Sub-Committee shall establish to its satisfaction that the terms on which the research is funded do not detract from the fulfilment of the objectives and requirements of the candidate’s research degree.

10.3 Initial enrolment

10.3.1 At enrolment the candidate will be allocated one supervisor. The supervisor will establish a framework for supervision, including arrangements for regular supervisory meetings. An additional supervisor(s) will be added when the proposal is submitted to the University Research Degrees Sub-Committee for approval of registration.

10.3.2 Initially, a PhD candidate (inc. PhD by Practice candidates) will undertake research training. This is intended to provide the candidate with the skills and knowledge necessary for the pursuit of the proposed research and to provide a good grounding in research design and methodologies and a broad range of methods and approaches.

10.4 Registration

10.4.1 Following the period of initial enrolment the candidate is required to seek approval for registration from the University Research Degrees Sub-Committee. Where there is a concern about a candidate's progress prior to registration, they may be placed on a four-week probation period with weekly meetings with the principal supervisor and a representative of the Graduate School. The Graduate School reserves the right to withdraw students before they are formally registered by the University Research Degrees Sub-Committee. Candidates are not normally allowed more than two opportunities to present their research proposals to the University Research Degrees Sub-Committee.

10.4.2 The candidate should submit the application to register on the appropriate form along with the research proposal. The proposal should contextualise the research area, indicate the specific contribution the student expects to make, outline and justify the research methodology to be used, estimate a time scale for each part of the research project, and append an outline bibliography. The total proposal should not exceed 4,500 words. The proposal for a PhD by Practice should also include a list of works which the candidate intends for submission or performance. (In the case of a performance or composition, it is advised the list includes the anticipated duration of each piece.) It will also explain how the creative research comprises an original and substantial contribution to the area of expertise.

This should include a ‘literature review’ of contemporary practice in the same field, an analysis that explains what the existing techniques are, and an explanation of how the creative research aims to represent an extension of, or a reaction to, this practice. The proposal should estimate a time scale for each part of the research project, and append an outline bibliography. The total proposal should not exceed 4,500 words. In addition, the proposal for the PhD by Practice by Submission should include, as an appendix, the existing corpus of creative research.

10.4.3 The candidate’s supervisor is required to attend the meeting of the University Research Degrees Sub-Committee at which their candidate’s application to register will be considered. The supervisor should be prepared to introduce the proposal, outline the research questions and the research methodology to be used, contextualise the research area and indicate the specific original contribution to knowledge that the candidate expects to make.

10.4.4 Where a candidate has previously undertaken research as a registered candidate for a research degree, the University Research Degrees Sub-Committee may approve a shorter than usual registration period which takes account of all or part of the time already spent by the candidate on such research.

10.4.5 A candidate may register on a full-time or part-time basis. A full-time candidate shall normally devote on average at least 35 hours per week to the research; a part-time candidate on average at least 18 hours per week.

10.4.6 The University Research Degrees Sub-Committee may permit a candidate to register for another course of study running concurrently with the research degree registration, provided that either the research degree registration or the other course of study is by part-time study and that, in the opinion of the University Research Degrees Sub-Committee, the dual registration will not detract from the research.

10.4.7 Where the candidate or the University wishes the thesis to remain confidential for a period of time after the completion of the work, the candidate should request an embargo as part of the thesis deposit arrangement.

10.5 The registration period

10.5.1 The minimum and maximum periods of registration shall be as follows:

Minimum Period of Registration (in months), Maximum Period of Registration (in months)

PhD (via transfer from MPhil)

Full-time (Minimum 33 Months of Registration), (Maximum 48 Months of Registration)
Part-time (Minimum 45 Months of Registration), (Maximum 72 Months of Registration)

PhD by Publication

Part-time (Minimum 12 Months of Registration), (Maximum 24 Months of Registration)

Professional Doctorate

Full-time (Minimum 33 Months of Registration), (Maximum 48 Months of Registration)
Part-time (Minimum 45 Months of Registration), (Maximum 72 Months of Registration)

PhD by Practice

Full-time (Minimum 33 Months of Registration), (Maximum 48 Months of Registration)
Part-time (Minimum 45 Months of Registration), (Maximum 72 Months of Registration)

PhD by Practice by Submission

Part-time (Minimum 12 Months of Registration), (Maximum 24 Months of Registration)

10.5.2 A full-time candidate shall normally reach the standard for MPhil within two years of registration and for PhD within three years.

10.5.3 Where there is evidence that the research is proceeding exceptionally well, the University Research Degrees Sub-Committee may approve a shorter minimum period of registration. An application for such shortening should be submitted at the same time as the application for approval of examination arrangements.

10.5.4 Where a candidate changes from full-time to part-time study or vice-versa, the minimum and maximum periods shall be calculated as if they were a part-time candidate. Notification of such a change will be made on the appropriate form.

10.5.5 A candidate seeking a change to a registered research degree programme shall apply in writing to the Chair of the University Research Degrees Sub-Committee for approval.

10.5.6 Where the candidate is prevented, by ill-health or other cause, from making progress with the research, then the registration may be suspended by the Graduate School, normally for no more than one year at a time.

10.5.7 The Graduate School may extend a candidate’s period of registration, normally for no more than one year at a time. A candidate seeking such an extension shall apply on the appropriate form.

10.5.8 Where the candidate has discontinued the research, the withdrawal of registration shall be notified to the Graduate School on the appropriate form.

10.5.9 A candidate shall pay fees as determined by the University.

10.6 Supervision

10.6.1 A research degree candidate shall have at least two and normally no more than three supervisors. When a supervisor leaves, or is unavailable, provision will be made to ensure continuous supervision. On an interim basis, this may be provided by the Graduate School.

10.6.2 At least one supervisor shall have had experience of supervising candidates to the successful completion of a UK research degree. A supervision team shall normally have had a combined experience of supervising no fewer than two candidates to successful completion. In the case of a PhD one of the supervisors shall have successfully supervised at PhD level.

10.6.3 One supervisor shall be the principal supervisor with responsibility to supervise the candidate on a regular and frequent basis. The principal supervisor will have a doctorate and will be an experienced and active researcher, with recent publications. The second supervisor shall also have a doctorate and will be active in research. A curriculum vitae for the principal supervisor and second supervisor must accompany the student’s application for registration, if these are not already held by the Graduate School.

10.6.4 In addition to the supervisors, an adviser or advisers may be proposed to contribute some specialised knowledge or a link with an external organisation. Any advisers are not required to have a doctorate.

10.6.5 A candidate for a research degree (at UWL or at any other UK institution) shall be ineligible to act as principal supervisor or second supervisor. A candidate for a research degree (at UWL or at any other UK institution) may act as an adviser for another research degree candidate where there is no conflict of interest between the two candidates’ research projects. A candidate and adviser working in the same discipline will not signify a conflict of interest.

10.6.6 A proposal for a change in supervision arrangements shall be made in writing to the Graduate School.

10.6.7 The University Research Degrees Sub-Committee will not consider any research proposal which does not also propose a team of supervisors as part of the application.

10.6.8 Normally no member of staff may act as principal supervisor for more than six research students. Normally no external supervisor may act for more than three research students.

10.6.9 All principal supervisors shall have undertaken appropriate staff development, prior to the student’s registration. All second supervisors shall also have undertaken appropriate staff development, ideally before they commence supervision, but otherwise within twelve months of taking on research students. To maintain currency, doctoral supervisors must attend regular supervisor training seminars each year and/or engage with ‘Supervising Doctoral Studies’ units or alternative professional development activities.

10.7 Programme of study

10.7.1 PhD by Research

10.7.1.1 The PhD requires a candidate to critically investigate and evaluate an approved topic resulting in an independent and original contribution to knowledge and to demonstrate an understanding of research methods appropriate to the chosen field. The thesis shall conform to the usual scholarly requirements and should not exceed 80,000 words.

10.7.1.2 A candidate may undertake a programme of research in which the candidate’s own creative work forms, as a point of origin or reference, a significant part of the intellectual enquiry. Such creative work may be in any field (for instance, fine art, design, creative writing, musical composition, film, and performance), but shall have been undertaken as part of a registered research programme. In such cases, the presentation and submission may be partly in other than written form.

10.7.1.3 The creative work shall be clearly presented in relation to the argument of a written thesis and set in its relevant theoretical, historical, critical or design context. The thesis itself shall conform to the usual scholarly requirements and be of an appropriate length (see section 10.1).

10.7.1.4 The final submission shall be accompanied by some permanent record (for instance, video, photographic record, musical score and diagrammatic representation) of the creative work contained within the thesis.

10.7.1.5 The application for registration shall set out the form of the candidate’s intended submission and of the proposed methods of assessment.

10.7.1.6 A candidate may undertake a programme of research in which the principal focus is the preparation of a scholarly edition of a text or texts, musical or choreographic work, or other original artefacts. The final submission shall include a copy of the edited text(s) or collection of artefact(s), appropriate textual and explanatory annotations, and a thesis which sets the text in the relevant historical, theoretical or critical context. The thesis itself shall conform to the usual scholarly requirements and be of an appropriate length (see section 10.1).

10.7.2 PhD by publication

10.7.2.1 The published works submitted for the PhD shall normally consist of papers, chapters, scholarly monographs, books, research reports or other publications. In certain fields, such as the Arts, the submissions may be other works such as compositions, performances, installations or exhibitions. At least one of the publications will normally have been created within two consecutive years prior to the date of initial enrolment. If reliant on publications as such, the preferred submission is six to ten sole-authored, or “first-authored”, papers published in reputable, peer-reviewed academic journals, and/or scholarly monographs, supplemented by co-authored papers, chapters or research reports. Regardless of the number of individual works, quantity will in all cases be superseded by considerations of quality, coherence and the overall contribution to knowledge which, taken together, the body of work represents. In the case of other works these must also have been published, performed or exhibited in the public domain and subject to equivalent forms of peer or critical review. The published works shall be accompanied by a thesis (see below).

10.7.2.2 The published or other works submitted must be in the public domain. Manuscripts of works submitted for publication but not yet accepted are not eligible for submission. Any work not in the public domain, such as a confidential research report, is not eligible for submission.

10.7.2.3 The published or other works submitted may have been published, performed, installed or exhibited at any time during the candidate’s research career, but the set of works must represent a coherent programme of research and make an original contribution to the present state of knowledge. The published works should include a significant proportion of recently published material.

10.7.2.4 Where multi-authored works are included, candidates are required to submit evidence of their individual contribution to the work.

10.7.2.5 The works shall not have been previously submitted for any other award except where the examiners recommended that the degree was not to be awarded. In this case, applicants may not register for a PhD by Publication within a period of three years from the date of the original examination.

10.7.2.6 The work submitted for examination must be in English. Where work has originally been published in a language other than English, a certified translation must be provided.

10.7.2.7 The published works shall be accompanied by a thesis. The thesis is usually between 20,000 and 30,000 words. In some cases, it may be necessary for the candidate to undertake additional research work to provide a basis for presenting the material as an integrated whole.

10.7.2.8 The thesis shall:

a) provide an autobiographical context;
b) follow a theme tracing the research, to ensure coherence;
c) account for originality at the time of each project or publication;
d) identify contributions to the subject area or discipline since completion of the research, and identify the original contribution to the present state of knowledge;
e) provide coherent links between projects and published or other works;
f) offer reflection about professional development as a research practitioner;
g) provide conclusions and suggestions for future developments.

10.7.3 Professional Doctorate

10.7.3.1 The candidate is required to undertake an individual programme in which the candidate’s own professional practice forms, as a point of origin or reference, a significant part of the intellectual enquiry. Such professional practice may be in any field approved by the principal supervisor concerned but must have been undertaken as part of a registered programme.

10.7.3.2 The minimum requirements for the professional practice and investigative or creative elements are set out in the programme of study on which the formal application for registration to the University Research Degrees Sub-Committee is based.

10.7.3.3 The candidate is also required to undertake 200 credits at Level 7 (core modules totalling 80 credits and subject specific modules totalling 120 credits). The modules will focus on areas of professional competence, e.g. research consultancy, teaching and training, designing and delivering interventions. Each module will be assessed and candidates will be required to gain credit for these modules.

10.7.3.4 The professional practice, investigative or creative work must be clearly presented in relation to the argument of a written thesis and set in its relevant theoretical, historical, critical or design context.

10.7.3.5 The submission as a whole will compromise a thesis of between 30,000 and 40,000 words alongside the professional practice component.

10.7.4 PhD by practice

10.7.4.1 The candidate is required to undertake an individual programme in which the candidate’s own creative research forms the most significant part of the intellectual enquiry. Such creative research may be in any field approved by the principal supervisor concerned but must have been undertaken as part of a registered programme. An exception applies to the PhD by Practice by Submission in which the candidate is permitted to submit work from any part of their career. However, at least one of the pieces will normally have been created within two consecutive years prior to the date of initial enrolment. The creative research need not be in the public domain.

10.7.4.2 The creative research will be defended by a thesis. This will explain how the creative research comprises an original and substantial contribution to the area of expertise. The thesis will include a ‘literature review’ of contemporary practice in the same field, an analysis that explains what the existing techniques are, and an explanation of how the creative research represents an extension of, or a reaction to, this practice. It will also provide an account of the creative process and provide conclusions and suggestions for future developments in creative practice.

10.7.4.3 The minimum requirements for the creative research and thesis are set out in the programme of study on which the formal application for registration to the University Research Degrees Sub-Committee is based.

10.7.4.4 The submission as a whole will compromise a thesis of between 30,000 and 40,000 words and an appropriate practical component.

10.7.5 Practice-based PhD in creative disciplines

10.7.5.1 The practice-based PhD degree (as often undertaken in the arts) allows candidates to request permission to submit material for assessment in a medium other than that entailed by the standard PhD thesis or described in the provisions for the submission of a practice element where the balance remains weighted in favour of a traditional thesis. The practice-based PhD is distinguished from other doctoral degrees in that a major element of the submission comprises a single original creative work or multiple creative works created by the candidate specifically for the submission of the award. Apart from the inclusion of such materials, the practice-based thesis must conform to the same standards expected for a standard PhD thesis and candidates should follow the guidance detailed in this document.

10.7.5.2 The submission must make a significant contribution to original knowledge and understanding of the field, in the same way as a standard PhD thesis, and the student must demonstrate a critical knowledge of the research methods appropriate to the discipline. The practice-based PhD must reflect traditional PhD outcomes.

10.7.5.3 The submission should remain an original contribution to the field of research by the student, regardless of the form of the thesis. The student should use the introductory section of their thesis to explain and justify in full the nature and extent of the candidate’s own contribution and the contribution of any co-authors or other collaborators to the research presented.

10.7.5.4 Any candidate wishing to submit a practice-based PhD must first prepare a written request, giving an outline of the proposed research structure to their supervisor and the Graduate School for approval. A candidate cannot transfer from a traditional PhD to a practice-based PhD. The request must be signed by the student and their supervisor and the proposal will be considered by the Graduate School and subsequently by the University Research Degrees Sub-Committee. The request should specify why the practice-based format is more appropriate for the research project demonstrating how full advantage of the creative and/or practical element will be taken and should contain the following information:

a) proposed balance of written and practical components to be submitted;
b) further details about any practical submission, i.e. what form it will take, how it will meet the University’s practice-based PhD requirements;
c) any issues about specific needs for supporting the student due to the nature of the research etc., including envisaged impact on skills training requirements, supervisory requirements etc.

10.7.5.5 Any work submitted for the practice-based PhD degree must be substantially different from any work which may have previously been submitted for any degree at this or any other institution.

10.7.5.6 The submission as a whole will comprise a thesis of between 20,000 to 30,000 words and an appropriate practical component. The length of the written element should be determined by the nature of the research. The student will be expected through their submission as a whole to establish a methodology and a thesis that will demonstrate the link between their theoretical and practical investigations and conclusions.

10.7.5.7 As with the standard doctoral thesis, examiners should satisfy themselves that the practice-based submission meets the requirements of the doctoral degree as prescribed in the appropriate regulations and policies. The assessment of the balance between the written and practical submissions will form part of the examiner’s remit. It is at each examiner’s discretion to satisfy themselves that the balance between the word limit of the thesis and the submitted practical component is appropriate for each candidate.

10.7.5.8 In order to allow the examiners to properly consider the submission as a whole the practical component will be submitted to the examiners at the same time that the written thesis is submitted. As with a standard PhD, an oral examination of the whole submission will be required.

10.7.5.9 Where appropriate, appendices may be included within the submission. In the case of certain types of submission appendices may take a form other than textual. Any such appendices must be embodied in a substantial permanent record, must be appropriately labelled and contained within the submission as a whole.

10.7.5.10 There must be a substantial permanent record of the practical work submitted with the written element of the doctoral submission at the same submission date. The substantial permanent record of practical work must be shown to have a direct intellectual relationship with the written element. The permanent record must be such that the research activity involved must be fully open to scrutiny and examination.

10.7.5.11 Arrangements will be made for the practical component to be considered by the examiners and the practical component must be accessible to the examiners prior to the oral examination.

10.7.5.12 In those cases where the PhD project involves live practice, normally the examiners will experience that live practice. This may mean appointing the examiners at an earlier stage, in advance of the final submission. Such witnessing of the practical component is not, however, part of the formal assessment of the PhD. This must be done solely on the basis of the submission, i.e. the written thesis and the practical component presented in a retainable form, therefore, where applicable, the live practice may be recorded and sent to the examiners as part of the practical component. There should be no formal contact between any examiner and a candidate on the occasion of a practice event that will form part of the final submission, nor will examiners attending practice events offer comment to the candidate or the supervisors, following the experience of a practice event.

10.7.5.13 If necessary, the examiners can require the correction or revision and resubmission of either the practical element or the written element or both, in accordance with University regulations.

10.8 Monitoring progress

10.8.1 At least once a year the Graduate School shall establish whether the candidate is still actively engaged on the research programme and is maintaining regular and frequent contact with the supervisors. It will require a report from the candidate and the supervisors on the candidate’s progress. This report shall be drawn up on a template and include a summary of the candidate’s progress to date, and an outline plan of work for their future study. As a result of obtaining this report, the Graduate School shall take appropriate action. In extreme cases this may include the withdrawal of the candidate’s registration. All reports will be reviewed by the Graduate School and comments and decisions will be communicated to each student.

10.8.2 As part of continuous monitoring of progress, students will be expected to present their research to their supervisors and peers on a regular basis.

10.9 Transfer of registration from MPhil to PhD/Doctorate

10.9.1 The transfer from MPhil to PhD/Doctorate will take place when the candidate has made sufficient progress on the work to provide evidence of the development to PhD (normally after about 18 months of full-time study or 36 months of part-time study).

10.9.2 The first stage in the transfer from MPhil to PhD/Doctorate is the submission of a partial draft thesis. The partial thesis should consist of three to four chapters and should include data collected so far and preliminary data analysis. The document should be in the region of 30,000 words (or 20,000 words where the written thesis will be accompanied by other material or for a Professional Doctorate thesis).

10.9.3 The second stage is the transfer presentation and viva. The presentation and viva will be conducted in front of a panel, which will consist of the candidate’s supervisor(s) and the internal assessor. The transfer panel will provide a report for the University Research Degrees Sub-Committee, as it is the University Research Degrees Sub-Committee that formally approves a transfer from MPhil to PhD/Doctorate.

10.9.4 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 prior to the submission of the thesis for examination, apply to the University Research Degrees Sub-Committee for the registration to revert to that of MPhil.

10.10 Probation

10.10.1 Where there is evidence that a candidate is not performing at an acceptable level, the principal supervisor should inform the Graduate School immediately. A representative of the Graduate School and the principal supervisor will meet with the student to discuss the concerns and, if necessary, the student will be placed on probation for two to three months and issued with a set of objectives which state what is required in order to meet the conditions of the probation. During this period, the student will be required to have fortnightly meetings with a representative of the Graduate School and their supervisors in order for the objectives to be monitored. At the end of the probation period, a formal meeting will be held with the student, principal supervisor and a representative of the Graduate School to decide whether the conditions of the probation have been met and whether the student is now performing at an acceptable level. At the end of this period, a further formal meeting will be held to establish whether or not the progress is satisfactory and, if not, the student will be withdrawn.

10.11 The submission

10.11.1 PhD by research

10.11.1.1 The PhD by Research requires the submission of a thesis. For the award of MPhil (exit award) the thesis shall demonstrate that the candidate has an understanding of research methods appropriate to the chosen field. In addition, for the award of PhD, the thesis shall demonstrate that the research has resulted in an independent and original contribution to knowledge.

10.11.1.2 Prior to submission, the candidate is required to submit their thesis through Turnitin. The Turnitin Similarity Report must then be submitted with the thesis.

10.11.1.3 The thesis shall include an abstract of approximately 300 words, which shall provide a synopsis of the thesis stating the nature and scope of the work undertaken and of the contribution made to the knowledge of the subject treated.

10.11.1.4 The thesis shall include a statement of the candidate’s objectives and shall acknowledge published or other sources of material consulted (including an appropriate bibliography) and any assistance received.

10.11.1.5 Where a candidate’s research programme is part of a collaborative group project, the thesis shall indicate clearly the candidate’s individual contribution and the extent of the collaboration.

10.11.1.6 The candidate shall be free to publish material in advance of the thesis but reference shall be made in the thesis to any such work.

10.11.1.7 The text of the thesis should normally not exceed the following length (excluding ancillary data):

for a PhD: 80,000 words
for an MPhil: 40,000 words (exit award)
Where a thesis exceeds the normal length, examiners will be entitled to judge whether the thesis is an appropriate length for the work being presented.

10.11.1.8 Where the thesis is accompanied by material in other than written form or the research involves creative writing or the preparation of a scholarly edition, the written thesis should normally be within the range:

for a PhD: 30,000 - 40,000 words
for an MPhil: 15,000 - 20,000 words (exit award)
The artefact (creative writing/scholarly edition) should be within a range of 60,000 - 120,000 words.

10.11.1.9 At the point of submission, the following requirements shall be adhered to in the format of the submitted thesis:

a) theses shall be submitted in electronic form;
b) theses shall normally be in A4 format; the University Research Degrees Sub-Committee may give permission for a thesis to be submitted in another format where it is satisfied that the contents of the thesis can be better expressed in that format;
c) theses shall be typed in Arial size 12;
e) double spacing shall be used in the typescript except for indented quotations or footnotes and tables or figures, where single spacing may be used;
f) pages shall be numbered consecutively through the main text including photographs and/or diagrams included as whole pages;
g) the title page shall give the following information (see specimen title page at Appendix 2):
- i) the full title of the thesis;
- ii) the full name of the author;
- iii) that the degree is awarded by the University;
- iv) the award for which the degree is submitted in partial fulfilment of its requirements;
- v) the Collaborating Establishment(s), if any; and
- vi) the month and year of submission.

10.11.2 PhD by publication

10.11.2.1 The PhD by Publication requires the submission of the published works and the thesis. The thesis should be in the region of 20,000 - 30,000 words. Collectively, the published works and the thesis shall constitute a coherent programme of research, demonstrate the use of appropriate research methodology and methods, and make an original and significant contribution to the present state of knowledge in the relevant discipline.

10.11.2.2 The work submitted shall reflect the same academic standards as those which operate for a PhD based upon an approved programme of supervised work.

10.11.2.3 The University shall award the PhD by Publication to a candidate where the submission:

a) constitutes a coherent programme of research;
b) demonstrates the use of appropriate research methodology and methods;
c) makes an original and significant contribution to the present state of knowledge in a particular field to the satisfaction of the examiners which is commensurate with that achieved by a doctorate obtained by the traditional route.

10.11.2.4 At the point of submission, the following requirements shall be adhered to in the format of the submitted thesis:

a) theses shall be submitted in electronic form;

b) these shall normally be in A4 format; the University Research Degree Sub-Committee may give permission for a thesis to be submitted in another format where it is satisfied that the contents of the thesis can be better expressed in that format;

c) these shall be typed in Arial size 12;

d) double spacing shall be used in the typescript except for indented quotations or footnotes and table or figures, where single spacing may be used;

e) pages shall be numbered consecutively through the main text including paragraphs and/or diagrams included as whole pages;

f) the title page shall the give the following information (see specimen title page at Appendix 2);

the full title of the thesis;
the full name of the author;
that the degree is awarded by the University;
the award for which the degree is submitted in partial fulfilment of its requirements;
the Collaborating Establishment(s), if any; and
the month and year of submission.

10.11.3 Professional Doctorate

10.11.3.1 The Professional Doctorate requires the submission of a thesis within the range of 30,00 to 40,000 words (see specimen title page at Appendix 3). The thesis must:

a) provide a professional context;
b) provide an account of the research process;
c) provide coherent links between projects, products etc.;
d) offer reflection about professional development as a research practitioner;
e) provide conclusions and suggestions for future developments in theory and professional practice.
f) provide evidence of completion of the taught elements of the programme.

10.11.3.2 The University shall award the Professional Doctorate to a candidate where the submission clearly demonstrates that the candidate has:

a) created and interpreted new knowledge, through original research or other advanced scholarship of a quality to satisfy peer review, which extends the forefront of discipline and/or profession and merits publication;
b) systematically developed an understanding of a substantial body of knowledge which is at the forefront of an academic discipline and/or area of professional practice;
c) produced a doctoral thesis that provides a valid and reliable contribution to professional practice;
d) the general ability at doctorate level to conceptualise, design and implement a project for the generation of new knowledge, applications or understanding at the forefront of the discipline and to adjust the project design in the light of unforeseen problems in theory and practice;
e) a detailed understanding of applicable techniques for research and has advanced academic and professional enquiry;
f) critically analysed the relationship between the theoretical and professional components of the submission;
g) displayed reflection between theory and practice.

10.11.3.3 At the point of submission, the following requirements shall be adhered to in the format of the submitted thesis:

a) theses shall be submitted in electronic form;

b) theses shall normally be in A4 format; the University Research Degree Sub-Committee may give permission for a thesis to be submitted in another format where it is satisfied that the contents of the thesis can be better expressed in that format;

c) theses shall be typed in Arial size 12;

d) double spacing shall be used in the typescript except for indented quotations or footnotes and tables or figures, where single spacing may be used;

e) pages shall be numbered consecutively through the main text including photographs and/or diagrams included as whole pages;

f) the title page shall give the following information (see specimen title page at Appendix 2):

the full title of the thesis;
the full name of the author;
that the degree is awarded by the University;
the award for which the degree is submitted in partial fulfilment of its requirements;
the Collaborating Establishment(s), if any; and
the month and year of submission.

10.11.4 PhD by practice

10.11.4.1 The PhD by Practice requires a submission consisting of:

a) a corpus of innovative creative research, which shall demonstrate:

i) a new technique or techniques; and/or
ii) an extension of existing practice.

b) a thesis within the range of 30,000-40,000 words. The thesis shall provide:

i) a ‘literature review’ of contemporary practice in the same field;
ii) an analysis that explains what the existing techniques are;
iii) an explanation of how the creative research represents an extension of, or a reaction to, this practice;
iv) an account of the creative research process; and
v) conclusions and suggestions for future developments in creative practice.

10.11.4.2 At the point of submission, the following requirements shall be adhered to in the format of the submitted thesis:

a) theses shall be submitted in both electronic and print form;
b) theses shall normally be in A4 format; the University Research Degrees Sub-Committee may give permission for a thesis to be submitted in another format where it is satisfied that the contents of the thesis can be better expressed in that format;
c) theses shall be typed in Arial size 12;
d) theses shall be printed double-sided and the paper shall be white;
e) the margin at the left-hand binding edge of the page shall not be less than 40mm; other margins shall not be less than 15mm;
f) double spacing shall be used in the typescript except for indented quotations or footnotes and tables or figures, where single spacing may be used;
g) pages shall be numbered consecutively through the main text including photographs and/or diagrams included as whole pages;
h) the title page shall give the following information:
i) the full title of the thesis;
ii) the full name of the author;
iii) that the degree is awarded by the University;
iv) the award for which the degree is submitted in partial fulfilment of its requirements;
v) the Collaborating Establishment(s), if any; and
vi) the month and year of submission.
i) The thesis shall include an abstract of approximately 300 words (bound into the thesis), which shall provide a synopsis of the thesis stating the nature and scope of the work undertaken and of the contribution made to the area of expertise.

10.11.4.3 The University shall award the PhD by Practice where the submission clearly demonstrates:

a) a detailed understanding of applicable techniques for creative research and advanced critical reflection;
b) the ability to conceptualise, design, and implement creative research for the generation of new knowledge in the area of practice, and to adjust the design in light of unforeseen challenges;
c) an outstanding contribution to the field of practice through a substantial and innovative corpus of creative research, achieving a quality that satisfies peer review, and also merits publication (or an equivalent medium);
d) the ability to critically reflect on, and evaluate creative research, thereby contributing to new knowledge in the area of expertise.

10.11.5 Practice-based PhD in Creative Disciplines

10.11.5.1 The Practice-based PhD requires a submission consisting of:

a) a practice-based element compromising of a single original creative work or multiple creative works created by the candidate specifically for the submission of the award.

b) a thesis within the range of 20,000 to 30,000 words.

10.11.5.2 At the point of submission, the following requirements shall be adhered to in the format of the submitted thesis:

a) theses shall be submitted in electronic form;

b) theses shall normally be in A4 format; the University Research Degrees Sub-Committee may give permission for a thesis to be submitted in another format where it is satisfied that the contents of the thesis can be better expressed in that format;

c) theses shall be typed in Arial size 12;

d) double spacing shall be used in the typescript except for indented quotations or footnotes and tables or figures, where single spacing may be used;

e) pages shall be numbered consecutively through the main text including photographs and/or diagrams included as whole pages;

f) the title page shall give the following information:

the full title of the thesis;
the full name of the author;
that the degree is awarded by the University;
the award for which the degree is submitted in partial fulfilment of its requirements;
the Collaborating Establishment(s), if any; and
the month and year of submission.

The thesis shall include an abstract of approximately 300 words, which shall provide a synopsis of the thesis stating the nature and scope of the work undertaken and of the contribution made to the area of expertise.

10.12 Examinations

10.12.1 The examination shall have two stages: firstly the submission and preliminary assessment of the thesis, published works and thesis, portfolio including thesis, or the creative research and thesis (hereafter referred to as “the thesis”), and secondly its defence by oral or approved alternative (see section 10.11.3) examination.

10.12.2 A candidate whose programme of work includes formally assessed coursework in a programme of work leading to the degree of PhD shall not be permitted to proceed to a further stage of the examination for the degree until the coursework examiners are satisfied with the candidate’s performance. The result of the assessment shall be communicated to the examiners.

10.12.3 A candidate shall normally be examined orally on the programme of work and on the field of study in which the programme lies. Where for reasons of sickness, disability or comparable valid cause the Graduate School is satisfied that a candidate would be under serious disadvantage if required to undergo an oral examination, an alternative form of examination may be approved. Such approval shall not be given on the grounds that the candidate’s knowledge of the language in which the thesis is presented is inadequate.

10.12.4 An oral examination shall normally be held in the UK. In special cases the Graduate School may give approval for the examination to take place abroad.

10.12.5 Supervisors, or their nominee, may, with the consent of the candidate, attend the oral examination and participate in the discussion but shall withdraw prior to the deliberations of the examiners on the outcome of the examination.

10.12.6 The Chair of the University Research Degrees Sub-Committee shall make a decision on the reports and recommendation(s) of the examiners in respect of the candidate. The power to confer the degree shall rest with the University Research Degrees Sub-Committee on behalf of the Academic Board of the University.

10.12.7 The degree of MPhil, PhD, PhD by Publication, Professional Doctorate, or PhD by Practice may be awarded posthumously on the basis of a thesis completed by a candidate which is ready for submission for examination. In such cases the Graduate School/Chair of the University Research Degrees Sub-Committee shall seek evidence that the candidate would have been likely to have been successful had the oral examination taken place.

10.12.8 Where evidence of cheating or plagiarism in the preparation of the submission or other irregularities in the conduct of the examination come to light subsequent to the recommendation of the examiners, the Graduate School shall consider the matter, if necessary in consultation with the examiners, and take appropriate action.

10.12.9 The Graduate School shall ensure that all examinations are conducted and the recommendations of the examiners are presented wholly in accordance with the University’s regulations. In any instance where the Graduate School/Chair of the University Research Degrees Sub-Committee 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.

10.13 Examination procedure

10.13.1 The principal supervisor shall propose on the appropriate form the arrangements for the candidate’s examination to the Chair of the University Research Degrees Sub-Committee for approval. The examination may not take place until the examination arrangements have been approved. In special circumstances the Chair of the University Research Degrees Sub-Committee may act directly to appoint examiners and arrange the examination of the candidate.

10.13.2 The Secretary of the University Research Degrees Sub-Committee shall make known to the candidate the procedure to be followed for the submission of the thesis, published works and thesis, portfolio including thesis, or creative research and thesis (including the number of copies to be submitted for examination) and any conditions to be satisfied before the candidate may be considered eligible for examination.

10.13.3 The Secretary of the University Research Degrees Sub-Committee shall notify the candidate, all supervisors and the examiners of the date of the oral examination.

10.13.4 The Secretary of the University Research Degrees Sub-Committee shall send a copy of the submission to each examiner, together with the examiner’s preliminary report form and the University’s regulations, and shall ensure that the examiners are properly briefed as to their duties.

10.13.5 The Secretary of the University Research Degrees Sub-Committee shall ensure that all the examiners have completed and returned the preliminary reports to the University before the oral examination takes place.

10.14 The candidate’s responsibilities in the examination process

10.14.1 The candidate shall ensure that the thesis, published works and thesis, portfolio including thesis, or creative research and thesis (hereafter referred to as “the thesis”), is submitted to the Secretary of the University Research Degrees Sub-Committee before the expiry of the registration period.

10.14.2 The principal supervisor will be expected to confirm that the thesis meets the required criteria for submission.

10.14.3 The candidate shall satisfy any conditions of eligibility for examination required by the University Research Degrees Sub-Committee.

10.14.4 The candidate shall take no part in arrangement of the examination and shall have no formal contact with the external examiner(s) between the appointment of the examiners and the oral examination.

10.14.5 The candidate shall confirm, through the submission of a declaration form, that the thesis has not been submitted for a comparable academic award. The candidate shall not be precluded from incorporating in the thesis, covering a wider field, work which has already been submitted for a degree or comparable award, provided that it is indicated, on the declaration form and also in the thesis, which work has been so incorporated. The candidate shall warrant that the work is entirely their own and that all quotations are acknowledged and attributed. The candidate must also declare that they are cognisant with the University’s plagiarism policy and rules.

10.14.6 The candidate shall ensure that the thesis format is in accordance with the requirements of the University’s regulations. Theses should be submitted for examination in an electronic form. Following the award, the final thesis shall be submitted to the Secretary of the University Research Degrees Sub-Committee in electronic form for deposit in the UWL Repository.

10.15 Examiners

10.15.1 A candidate shall be examined by at least two and normally no more than three examiners, of whom at least one shall be an external examiner.

10.15.2 An external examiner shall be defined as an examiner who is not:

a) a supervisor or adviser of the candidate;
b) a member of staff of the University; or
c) a member of staff of the candidate’s Collaborating Establishment.

10.15.3 Where the candidate and the internal supervisor are both on the permanent staff of the same establishment the candidate shall be examined by two external examiners. A candidate who is on a fixed short-term employment contract (for instance, a research assistant) shall be exempt from the requirements of this regulation.

10.15.4 Examiners shall be experienced in research in the general area of the candidate’s submission and, where practicable, have experience as a specialist in the topic(s) to be examined.

10.15.5 At least one examiner shall normally have substantial experience of examining research degree candidates. The team should have a combined experience of examining at least three MPhil/PhD or doctorate students (for internal examiners, this may include experience of examining candidates at MPhil to PhD transfer events).

10.15.6 The examiners should not have had any joint research or other contact with the candidate which might inhibit a completely objective examination. In addition, the examiners should not have had any joint research or other collaborative activities with the supervisor(s) which might inhibit a completely objective examination. The internal examiner should not normally have had an active role in considering a candidate’s transfer of registration from MPhil to doctorate degree. Staff members who may have attended seminars/presentations given by the candidate may be nominated as internal examiners.

10.15.7 An external examiner shall be independent both of the University and of the Collaborating Establishment and shall not have acted previously as the candidate’s supervisor or adviser. An external examiner shall normally not be either a supervisor of another candidate or an external examiner on a taught course in the same department at the University. Former members of staff of the University and former students of the University shall normally not be approved as external examiners until three years after the termination of their employment, or studies, with the University.

10.15.8 The Chair of the University Research Degrees Sub-Committee shall ensure that the same external examiner is not approved so frequently that their familiarity with the department might prejudice objective judgement. It will not normally be permitted for the same external examiner to be appointed within a two year period. Reciprocal examining with a supervisor from another institution is not permitted.

10.15.9 No candidate for a research degree shall act as an examiner.

10.15.10 The University shall determine and pay the fees and expenses of the external examiners.

10.15.11 The same regulations will apply to the taught components of a doctorate.

10.16 First examination

10.16.1 Each examiner shall read and examine the thesis, published works and thesis, portfolio including thesis, or creative research and thesis (hereafter referred to as “the thesis”), and submit, on the appropriate form, an independent preliminary report on it to the Secretary of the University Research Degrees Sub-Committee before any oral or alternative form of examination is held. In completing the preliminary report, each examiner shall consider whether the submission provisionally satisfies the requirements of the degree (as set out in section 10.1.3 to 10.1.7) and where possible make an appropriate provisional recommendation subject to the outcome of any oral examination.

10.16.2 If either examiner suspects plagiarism, they must report this to the Secretary of the University Research Degrees Sub-Committee. If the examiner can demonstrate plagiarism the normal rules of the University will apply. If the examiner suspects but cannot demonstrate plagiarism, the oral examination may be postponed, if it seems likely that evidence can be gathered in the short run. If this seems unlikely the examiners should use the oral examination to determine if plagiarism has taken place.

10.16.3 It is expected that the oral examination will take place within two calendar months of the examiners receiving the thesis.

10.16.4 Following the oral examination the examiners shall, where they are in agreement, submit, on the appropriate form, a joint report and recommendation relating to the award of the degree to the Secretary of the University Research Degrees Sub-Committee. The preliminary reports and joint recommendation of the examiners shall together provide sufficiently detailed comments on the scope and quality of the work to enable the University Research Degrees Sub-Committee to satisfy itself that the recommendation chosen in section 10.15.5 is correct.

10.16.5 Where the examiners are not in agreement, separate reports and recommendations shall be submitted. The recommendations shall be made on the appropriate form.

10.16.6 Following the completion of the examination the examiners may recommend that:

a) the candidate be awarded the degree;
b) the candidate be awarded the degree subject to minor corrections and amendments being made to the thesis (see section 10.16.7);
c) the candidate be awarded the degree subject to major amendments being made to the thesis (see section 10.16.8);
d) the candidate be permitted to re-submit for the degree and be re-examined, with or without an oral examination (see section 10.16.9);
e) the candidate be not awarded the degree and be not permitted to be re-examined (see section 10.16.10); or
f) in the case of a PhD examination, the candidate be awarded the degree of MPhil subject to the presentation of the thesis amended to the satisfaction of the examiners.

10.16.7 Where the examiners are satisfied that the candidate has in general reached the standard required for the degree, but consider that the thesis requires some minor amendments and corrections, and recommend that the degree be awarded subject to the candidate amending the thesis to the satisfaction of the internal examiner (or one of the external examiners, where two external examiners have been appointed) (see section 10.16.6b), they shall indicate in writing the amendments and corrections required. The amendments shall normally be submitted within three months of the oral examination. At the point of submission, the principal supervisor will be expected to confirm that the revised thesis has been amended as required. The examiner will be required to submit a statement to the Secretary of the University Research Degrees Sub-Committee to indicate that the amendments and corrections made are satisfactory.

10.16.8 Where the examiners are satisfied that the candidate has in general reached the standard required for the degree, but consider that the thesis requires some major amendments not so substantial as to call for a full re-submission, and recommend that the degree be awarded subject to the candidate amending the thesis to the satisfaction of the internal and/or external examiner (see section 10.16.6c), they shall indicate in writing the amendments and corrections required. The amendments shall normally be submitted within six months of the oral examination. At the point of submission, the principal supervisor will be expected to confirm that the revised thesis has been amended as required. The examiners will determine whether the revised thesis needs to be seen by one or all of the examiners and the specified examiner(s) will be required to submit a statement to the Secretary of the University Research Degrees Sub-Committee to indicate that the amendments and corrections made are satisfactory.

10.16.9 If candidates fall under section 10.16.6d above, they shall be informed in writing the grounds on which they were judged not successful and of the amendments and corrections required. Normally the re-examination must take place within twelve months. Only one re-examination is allowed to any candidate. At the point of submission, the principal supervisor will be expected to confirm that the revised thesis has been amended as required.

10.16.10 In the case of a candidate under section 10.16.6e above, they shall be told the grounds on which they were judged not successful and why the examiners did not recommend a re-examination.

10.16.11 Where the examiners’ recommendations are not unanimous, the Chair of the University Research Degrees Sub-Committee may:

a) accept a majority recommendation (provided that the majority recommendation includes at least one external examiner);
b) accept the recommendation of the external examiner; or
c) require the appointment of an additional external examiner.

10.16.12 Where an additional external examiner is appointed under section 10.16.11c, they shall prepare an independent preliminary report on the thesis and, if considered necessary, may conduct a further oral examination. The examiner should not be informed of the recommendations of the other examiners. On receipt of the report from the additional examiner the Chair of the University Research Degrees Sub-Committee shall complete the examination as set out in section 10.12.6.

10.16.13 A further examination in addition to the oral examination may be requested by the examiners. In such cases the approval of the Chair of the University Research Degrees Sub-Committee shall be sought without delay. Where such an examination is arranged following an oral examination, it shall normally be held within two calendar months of the oral examination unless the University Research Degrees Sub-Committee permits otherwise. Any such examination shall be deemed to be part of the candidate’s first examination.

10.16.14 Where the examiners are of the opinion that the thesis is so unsatisfactory that no useful purpose would be served by conducting an oral examination, they may recommend that the Graduate School dispense with the oral examination and refer the submission for further work. In such cases the examiner(s) shall provide the Secretary of the University Research Degrees Sub-Committee with written guidance for the candidate concerning the deficiencies of the submission. The examiners shall not recommend that the candidate fail outright (see section 10.16.6e) without holding an oral examination or alternative examination (see section 10.12.3).

10.16.15 Where the Chair of the University Research Degrees Sub-Committee decides that the degree be not awarded and that no re-examination be permitted, the examiners shall prepare an agreed statement of the deficiencies of the thesis and the reasons for their recommendation, which shall be forwarded to the candidate by the Secretary of the University Research Degrees Sub-Committee.

10.17 Re-examination

10.17.1 One re-examination may be permitted by the University Research Degrees Sub-Committee, subject to the following requirements:

a) a candidate who fails to satisfy the examiners at the first examination, including where appropriate the oral or approved examination (see section 10.12.3) or any further examination required under section 10.16.13 may be permitted to revise the thesis and be re-examined;
b) the examiner shall provide the candidate, through the Secretary of the University Research Degrees Sub-Committee, with written guidance on the deficiencies of the first submission; and
c) the candidate shall submit for re-examination within the period of one calendar year from the date of the latest part of the first examination; where the examiners have dispensed with the oral examination the re-examination shall take place within one calendar year of the date of dispensation (see section 10.16.14). The Chair of the University Research Degrees Sub-Committee may, where there are good reasons, approve an extension of this period.

10.17.2 The Chair of the University Research Degrees Sub-Committee may require that an additional external examiner be appointed for the re-examination.

10.17.3 There are five forms of re-examination:

a) where the candidate’s performance in the first oral or approved alternative examination (see section 10.12.3) or further examination (see section 10.16.13) was satisfactory but the submission was unsatisfactory and the examiners on re-examination certify that the submission as revised is satisfactory, the examiners may exempt the candidate from further examination, oral or otherwise;
b) where the candidate’s performance in the first oral or approved alternative examination (see section 10.12.3) or further examination (see section 10.16.13) was unsatisfactory and the submission was also unsatisfactory, any re-examination shall include a re-examination of the submission and an oral or approved alternative examination (see section 10.12.3);
c) where on the first examination the candidate’s submission was so unsatisfactory that the Graduate School dispensed with the oral examination (see section 10.16.14), any re-examination shall include a re-examination of the submission and an oral or approved alternative examination (see section 10.12.3);
d) where on the first examination the candidate’s submission was satisfactory but the performance in the oral and/or other examination(s) was not satisfactory the candidate shall be re-examined in the oral and/or other examination(s), subject to the time limits prescribed in section 10.17.1c, without being requested to revise and re-submit the submission;
e) where on the first examination the submission was satisfactory but the candidate’s performance in relation to the other requirements for the award of the degree was not satisfactory, the examiners may propose instead a different form of re-examination to test the candidate’s abilities; such examination may take place only with the approval of the Chair of the University Research Degrees Sub-Committee.

10.17.4 In the case of a re-examination, each examiner shall read and examine the thesis, published works and thesis, portfolio including thesis, or creative research and thesis (hereafter referred to as “the thesis”), and submit, on the appropriate form, an independent preliminary report on it to the Secretary of the University Research Degrees Sub-Committee before any oral or alternative form of examination is held. In completing the preliminary report, each examiner shall consider whether the submission provisionally satisfies the requirements of the degree (as set out in sections 10.1.3 to 10.1.7) and where possible make an appropriate provisional recommendation subject to the outcome of any oral examination.

10.17.5 Following the re-examination of the submission, the examiners shall, where they are in agreement, submit, on the appropriate form, a joint report and recommendation relating to the award of the degree to the Secretary of the University Research Degrees Sub-Committee. The preliminary reports and joint recommendation of the examiners shall together provide sufficiently detailed comments on the scope and quality of the work to enable the Chair of the University Research Degrees Sub-Committee to satisfy itself that the recommendation chosen in section 10.17.7 is correct.

10.17.6 Where the examiners are not in agreement, separate reports and recommendations shall be submitted. The recommendations shall be made on the appropriate form.

10.17.7 Following the completion of the re-examination the examiners may recommend that:

a) the candidate be awarded the degree;
b) the candidate be awarded the degree subject to minor amendments being made to the thesis (see section 10.17.8);
c) the candidate be not awarded the degree and be not permitted to be re-examined (see sections 10.17.12 and 10.17.13); or
d) in the case of a PhD examination, the candidate be awarded the degree of MPhil subject to the presentation of the thesis amended to the satisfaction of the examiners.

10.17.8 Where the examiners are satisfied that the candidate has in general reached the standard required for the degree, but consider that the thesis requires some minor amendments and corrections, and recommend that the degree be awarded subject to the candidate amending the thesis to the satisfaction of the internal and/or the external examiner(s) (see section 10.17.7b), they shall indicate in writing the amendments and corrections required. The amendments shall normally be submitted within three months of the oral examination. At the point of submission, the principal supervisor will be expected to confirm that the revised thesis has been amended as required. The examiners will determine whether the revised submission needs to be seen by one or all of the examiners and the specified examiner(s) will be required to submit a statement to the Secretary of the University Research Degrees Sub-Committee to indicate that the amendments and corrections made are satisfactory.

10.17.9 Where the examiners’ recommendations are not unanimous, the Chair of the University Research Degrees Sub-Committee may:

a) accept a majority recommendation (provided that the majority recommendation includes at least one external examiner);
b) accept the recommendation of the external examiner; or
c) require the appointment of an additional external examiner.

10.17.10 Where an additional external examiner is appointed under section 10.17.9c, they shall prepare an independent preliminary report on the basis of the thesis and, if considered necessary, may conduct a further oral examination. The examiner should not be informed of the recommendations of the other examiners. On receipt of the report from the additional examiner the Graduate School/Chair of the University Research Degrees Sub-Committee shall complete the examination as set out in section 10.12.6.

10.17.11 A further examination in addition to the oral examination may be requested by the examiners. In such cases the approval of the Chair of the University Research Degrees Sub-Committee shall be sought without delay. Where such an examination is arranged following an oral examination, it shall normally be held within two calendar months of the oral examination unless the Chair of the University Research Degrees Sub-Committee permits otherwise.

10.17.12 In the case of re-examination, where the examiners are of the opinion that the thesis is so unsatisfactory that no useful purpose would be served by conducting an oral examination, they may recommend that the Graduate School/Chair of the University Research Degrees Sub-Committee dispense with the oral examination and not award the degree under section 10.17.7c (see also section 10.17.13).

10.17.13 Where the Chair of the University Research Degrees Sub-Committee decides that the degree be not awarded, the examiners shall prepare an agreed statement of the deficiencies of the thesis and the reason for their recommendation, which shall be sent to the candidate by the Secretary of the University Research Degrees Sub-Committee.

10.18 Following the award

10.18.1 Following the award of the degree, the candidate will be required to complete the thesis deposit agreement to confirm that the thesis can be placed in the UWL Repository, or to request an embargo.

10.18.2 The copies of the thesis, published works and thesis, portfolio including thesis, or creative research and thesis, submitted for examination shall remain the property of the University but the copyright in the thesis shall be vested in the candidate.

10.19 Aegrotat Awards

10.19.1 The University Research Degrees Sub-Committee may recommend an aegrotat award to a postgraduate research student who has completed their programme of study but was absent from the final viva due to illness or other medical cause and is judged sufficient by the University Research Degrees Sub-Committee. An aegrotat award shall only be made where there is no reasonable prospect of the student being able to return to complete the course of study.

10.19.2 Where a student has not fully completed the programme of study, the University Research Degrees Sub-Committee shall consider the evidence available from other assessments/milestones to determine the likelihood of the student achieving the required standard for an award. Where the University Research Degrees Sub-Committee agrees that a student would have achieved the required standard, a recommendation for an aegrotat award shall be made at the same level of the programme of study the student is enrolled on.

10.19.3 A student who elects to accept the aegrotat award ceases to be eligible to take the final viva.

10.19.4 An aegrotat award will normally only be made within the set period of registration for the award plus six years.

10.20 Posthumous Awards

10.20.1 The University Research Degrees Sub-Committee may make a posthumous award to a student who dies prior to being able to complete their programme of study, or to a student who dies before their completed award can be conferred.

10.20.2 Where a student has not fully completed their programme of study, the supervisors shall recommend the award to the University Research Degrees Sub-Committee. The University Research Degrees Sub-Committee shall consider the evidence available from other assessments/milestones to determine the likelihood of the student achieving the required standard for an award. Where the University Research Degrees Sub-Committee agrees that a student would have achieved the required standard, a posthumous award shall be made at the same level of the programme of study the student is enrolled on.

10.20.3 A posthumous award will normally only be made within the set period of registration for the award plus six years.

10.21 Revocation of awards

10.21.1 The University can revoke awards following investigation where an award is found to have been obtained by fraud or deception including unfair practice.

10.21.2 The University may revoke an award made under these regulations where a graduate has not met the requirements of the award conferred or where the award has been obtained due to administrative error or irregularities in the conduct of the Assessment Board.

10.21.3 All cases shall be considered on a case-by-case basis by the Academic Board, or its delegated authority.

Appendix 1

1. The role and responsibilities of the University Research Degrees Sub-Committee

1.1 Terms and conditions of the University Research Degrees Sub-Committee

1.1.1 The University Research Degrees Sub-Committee (URDSC), a sub-committee of the University Research, Impact Committee, has the delegated authority in matters relating to the management and administration of research degrees.

1.1.2 The main functions of the URDSC are:

a) To monitor, evaluate and enhance the quality of the postgraduate research provision, ensuring that it satisfies the standards set down by external agencies.
b) To oversee the doctoral path of postgraduate research students, to ensure satisfactory progresses and completion.
c) To approve applications to register for MPhil/PhD, Professional Doctorate and the PhD by Publication.
d) To approve supervision teams including the appointment of external supervisors and any subsequent changes to supervision teams.
e) To receive confirmation of supervision arrangements from Schools
f) To monitor and evaluate the overall progress and performance of postgraduate research degree students.
g) To approve applications to transfer from MPhil to PhD.
h) To approve the appointment of examiners for postgraduate research candidates for a higher degree.
i) To receive confirmation of completitions.
j) To ensure provision of appropriate training and continued professional development for research supervisors.
k) To recommend amendments to the postgraduate research regulatory frameworks and approve associated procedural and guidance documents.

1.1.3 The Committee is expected to liaise as necessary with the Academic Quality and Standards Committee with regard to the occasional revision of the postgraduate research regulatory frameworks to ensure consistency with the postgraduate taught regulatory frameworks.

1.2 Membership of the University Research Degrees Sub-Committee

1.2.1 The membership of the University Research Degrees Sub-Committee shall be constituted to ensure:

a) appropriate experience of completed research degree supervision;
b) appropriate experience of examining research degrees;
c) a wide range of research experience and research-based publications;
d) subject expertise to reflect the range of disciplines in which students are registered as far as is reasonably practicable; and
e) familiarity with the University’s postgraduate research regulations.

1.2.2 The above implies that:

a) a majority of members of the University Research Degrees Sub-Committee shall have supervised two or more candidates to successful completion of PhD degrees;
b) a substantial proportion shall have had experience of examining research degrees;
c)there shall be clear evidence that members have publications, or are engaged in research activities leading to publication; and
d) there is sufficient expertise represented on the University Research Degrees Sub-Committee to ensure that each application can be dealt with appropriately.

1.2.3 No person who is registered for a research degree shall be a member of the University Research Degrees Sub-Committee.

1.2.4 Members may be co-opted onto the University Research Degrees Sub-Committee for a period of no longer than one year.

1.3 Constitution and terms of reference of the University Research Degrees Sub-Committee

1.3.1 There shall be a constitution whose terms of reference shall include:

a) the role and function of the committee;
b) the membership criteria and period of office;
c) the quorum required;
d) the required frequency of meetings; and
e) the powers of the committee.

Appendix 2

2. Specimen PhD thesis title page

(This should be centrally aligned with equal spacing between each section to cover the title page of your thesis.)

THE ORIGINS OF THE FARMERS’
CO-OPERATIVE IN WESSEX

JOHN SMITH

A thesis submitted in partial fulfilment of the
requirements of The University of West London
for the degree of Doctor of Philosophy

This research programme was carried out
in collaboration with the Borchester Farmers’ Club

October 2020

Appendix 3

3. Specimen Professional Doctorate title page

(This should be centrally aligned with equal spacing between each section to cover the title page of your thesis.)

AN EXPLORATORY STUDY INTO THE ROLE OF NURSES
PROVIDING SPECIALIST MEDICAL SERVICES

JOHN SMITH

A thesis submitted in partial fulfilment of the
requirements of the University of West London
for the degree of Doctor of Nursing

This research programme was carried out
in collaboration with the London North West Healthcare NHS Trust

October 2020

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