Code of Practice for Research Degrees

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1 | P a g e S e p t e m b e r 2 0 1 3

Code of Practice for Research Degrees

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Contents Page

1. Scope, Aims and Objectives of this Code 3

2. Postgraduate Researcher Support 4

2.1 Faculties 4

2.2 Research Degrees Team 4

2.3 PGR Development Programme 5-6

2.4 Other Support 6

3. Research Degrees Programme 6

4. Research Degrees Roles and Responsibilities 7

4.1 PGR Responsibilities 7-9

4.2 Responsibilities of Supervisors 9-10

5. Research Degree Progress Monitoring 11

5.1 MPhil/PhD Progress Monitoring 11

5.2 PhD Progress Monitoring 12

5.3 Professional Doctorate Progress Monitoring 13

5.4 Other Research Degree Progress Monitoring 13

6. Registration Periods 14

6.1 Expected submission and completion timescales 14

7. Formal Research Proposal Submission 15-17

7.1 Research Ethics 17

8. 1st Progress Report 17-18

9. Annual Report 18

10. Transfer Report 19-20

11. Thesis 20-22

11.1 Final Hard Bound Copy of the Thesis 22-24

12 Examination 25-26

12.1 Examination procedures 26

12.2 The student's responsibilities in the examination process 26-28

12.3 Examiners 28-29

12.4 Independent Chairs 29-30

12.5 Examination 31-32

12.6 Re-examination 32-34

13 Suspension of Registration 35

14 Extension of Registration 35

15 Withdrawal of Registration 35-36

16 Intellectual Property 36

Appendices

Appendix 1: Faculty Directors of Postgraduate Research/Research Leads 37

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3 | P a g e S e p t e m b e r 2 0 1 3 1. Scope, Aims & Objectives of this Code

This Code of Practice summarises the principles and practices followed by London South Bank University (LSBU) in its offer of research degree programmes. These programmes cover MPhils, PhDs, PhDs by Published Work, Professional Doctorates, and Higher Doctorates. This Code complements other material provided for research degree students, particularly the Regulations for Research Degree Programmes which are the formal basis for all matters relating to research degree activity. It also covers all the precepts laid down in the QAA (Quality Assurance Agency)’s national Code of Practice, and demonstrates how LSBU endeavours to meet the highest standards.

The interests of students are at the heart of everything we do at LSBU. Research students, however, have particular needs. The commitment to engage in original research poses unique challenges, and puts an especial emphasis on the relationship with supervisors, the need for specialised training and opportunities to acquire key skills, and the various stages which research students must work through until they are ready for the final examination. The Code of Practice covers all the phases of the research degree programmes.

Further information can be provided by supervisors, faculty directors of postgraduate research and research administrators, and by the Research Degrees Team.

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4 | P a g e S e p t e m b e r 2 0 1 3 2. Postgraduate Researcher Support

2.1 Faculties

Postgraduate research at LSBU is organised within four Faculties who each have associated Research Centres.

Responsibility for PGRs within each Faculty rests with the Executive Dean through his/her nominees. They will in turn have delegated the day to day responsibility of PGRs to Directors of Postgraduate Research or Research Leads reporting to the relevant Head of Department. It will be these members of staff, in conjunction with the relevant Faculty Research Committee and Heads of Department who will have overall responsibility for supervision, facilities, annual academic progression, and

authorisation signatures for progression forms and reports before sending to the relevant Research Degrees Sub-Committee for review.

Refer to Appendix 1 for the contact details of the Faculty Directors of Postgraduate Research/Research Leads

The Faculty Research Administrator is an invaluable source of advice and support and a good first point of contact throughout your research degree process.

Your supervisory team will be the primary source of academic support, and your team will consist of two or three supervisors who will have different expertise to enable you to carry out your research.

2.2 Research Degrees Team

The Research Degrees Team (RDT) is part of the Central Research Support Team (CRST) and has the central role of overseeing research degrees at LSBU, providing an academic and interdisciplinary focus for PGRs and enhancing the provision and experience of research degree supervisors. The RDT also promotes good practice across the University ensuring both quality and consistency in approach and

experience; as well as supporting the University Research Degrees Committee and its Sub-Committees.

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5 | P a g e S e p t e m b e r 2 0 1 3 2.3 PGR Development Programme

Programme Led by Outline of Programme

Induction Research Degrees Team

Designed to provide PGRs with an understanding of the research degrees programme and key progression points Postgraduate

Certificate in Research Skills:

Research Methods Unit

1st Progress Report

Key Skills Portfolio

Within Faculty that the student is enrolled

Research Degrees Team

Training to provide PGRs with the opportunity to develop both personal and research specific skills to enhance both research and future employability

Annual Summer School

All four Faculties Intensive week of research activities, training and workshops for all PGRs culminating in a research conference over two days, enabling PGRs to present their research to their peers in a supportive environment.

Training Days Faculty Arts & Human Sciences (AHS): Institute of Social Sciences (ISSR)

Skills based training seminar around research methods and its practical application.

Training Days Faculty of Business (BUS)

Ad Hoc Seminars students contacted directly by the Faculty.

Training Days Faculty of

Engineering, Science & the Built

Environment (ESBE)

Research skills course attendance, Research Planning and Management MSc lectures attendance as

appropriate, producing a poster on their project, and presentation to the

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6 | P a g e S e p t e m b e r 2 0 1 3

Programme Led by Outline of Programme

Doctoral Support Group (DSG)

Faculties Health & Social Care (HSC)

An opportunity to meet other PGRs in the Faculty. The DSG provides

research training areas that have been identified both from within the Faculty and from PGRs with practical

application for seminar development.

2.4 Other Support

LSBU has a number of professional and support services, you can access information about these from “My LSBU” on LSBU’s Home Webpage.

My LSBU is a centralised accessible and convenient enquiry and information service for all students at LSBU; the service provides guidance and assistance with all routine non-academic enquiries.

3. Research Degree Programmes

LSBU shall award the degrees of Master of Philosophy (MPhil) and Doctor of Philosophy (PhD) to registered students who successfully complete approved programmes of supervised research. The University may also award Professional Doctorates or Higher Doctorates.

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. 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. The written thesis may be supplemented by material in other than written form.

Master of Philosophy (MPhil)

The MPhil shall be awarded 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.

Doctor of Philosophy (PhD)

The PhD shall be awarded to a candidate who, having critically investigated and evaluated an approved topic resulting in an independent and original

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7 | P a g e S e p t e m b e r 2 0 1 3

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. Professional Doctorates

The Professional Doctorate is awarded to a candidate for successful completion of approved programmes of taught coursework and supervised research. These awards shall be comparable in standard to other doctoral awards.

The Professional Doctorate will be awarded to registered students who have

successfully completed all components of the coursework programme, and who have presented and defended a thesis by oral examination to the satisfaction of the

examiner.

PhD by Published Work

The PhD by Published work is only available to those with a significant connection to the University (see Academic Regulations for Research Degrees for further details). The PhD by Published Work offers an alternative route to the award of a doctorate but in all other regards must meet the standards for a PhD as outlined above. The body of material submitted and supporting case clearly identifies where the original,

independent and coherent nature of the submission lies. The candidate will be expected to defend their work in a viva voce to the satisfaction of the examiners.

Higher Doctorate

The Higher Doctorate is only available to those with a significant connection to the University and, most crucially, can produce evidence of appropriate published work (see Academic Regulations for Research Degrees for further details).

The work submitted for a Higher Doctorate must demonstrate a coherent theme, be of high distinction, must constitute an original and significant contribution to the advancement of knowledge or to the application of knowledge or to both; should constitute a coherent body of work and must establish that the applicant is a leading authority in the field or fields of study concerned.

4. Research Degree Roles and Responsibilities 4.1 PGR Responsibilities

 A research student is expected to re-enrol annually and pay all appropriate fees, adhere to the tenets of good research practice, (please refer to Research Council guidance notes). A research student should familiarise themselves

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8 | P a g e S e p t e m b e r 2 0 1 3 with the Academic Regulations for Research Degrees, and spend at least 40 hours a week on PhD studies if full time, at least 16 hours a week if part time.

 Research students should attend supervisory meetings on a regular basis and, should notify supervisors in advance if they cannot attend a supervision

session for any reason. The research student should accept the responsibility for contacting the supervisor concerned to re-arrange the session; for written work that is to be discussed in a supervision session, to hand it in at least 2 weeks in advance of the session, unless a shorter time has been explicitly agreed

 Research students should discuss with supervisor(s) the type of guidance and comment they find most helpful; complete work on time; and agree with

supervisor(s) the proposed date of submission.

 Research students should seek all necessary clearances through research governance and ethics frameworks as required

 Research students should attend any seminar programmes and/or workshops arranged via the Faculty and/or the University for MPhil/PhD students, attend study skills workshops as agreed with their supervisor(s), attend sections of the appropriate Masters programme and other formal training sessions as agreed with their supervisors

 Research students should actively pursue opportunities to present

updates/findings from their research through presentation at seminars and/or conferences and production of papers for publication, and obtaining

supervisor(s)’ agreement before submitting any work for publication. Students should agree with the supervisor(s) possibilities for discussing the work with third parties, bearing in mind any need to maintain confidentiality.

 A research student must maintain progress of work in accordance with the stages agreed with the supervisor and administrative procedures identified in the regulations:

o Registration (within 6 months full-time; within 9 months part-time from date of enrolment)

o 1st Progress Report (within 12 months from date of enrolment) Annual Report

o Students registered for MPhil with transfer possibility to PhD are required to submit a Transfer Report (within 18-24 months full-time; within 36-48 months part-time from date of enrolment)

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9 | P a g e S e p t e m b e r 2 0 1 3  Failure to meet these requirements, whether on submission or as agreed

resubmission will normally lead to the withdrawal of the student from the programme.

 There are separate responsibilities for students at the examination stage (please refer to Section 12.2).

 Research students must inform supervisor(s) if there is a need to suspend studies, extend studies or withdraw from the programme in good time; if it is necessary to take time out from the research programme, the student must apply to suspend the studies via the appropriate Research Degrees Sub-Committee.

 A research student should take the initiative in raising problems or difficulties as appropriate with:

o Supervisors in the first place;

o the Director of Postgraduate Research; o the Executive Dean;

o the Chair of Research Degrees Committee

4.2 Responsibilities of Supervisors

 A student shall have at least two and normally not more than three supervisors.

 A supervision team shall normally have had a combined experience of

supervising not fewer than two students to successful completion. The team as a whole should include supervision experience, familiarity with the broad

subject area and of the research topic, and knowledge of the regulations.

 Supervisors should organise regular meetings with the student, either individually or as a team meeting; students should expect a minimum of 12 hours contact time for part- time students and 25 hours contact time for full-time students over each academic year. Contact full-time may include face to face and other electronic means of communication. It is considered good practice to maintain a written record of supervisory meetings.

 The Director of Studies (First Supervisor) who shall be responsible for

ensuring that the supervisory team works effectively. The Director of Studies must also ensure that the supervised student is making satisfactory

progress, not only with the programme but also with key skills training. The Director of Studies (First Supervisor) shall throughout the period of

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10 | P a g e S e p t e m b e r 2 0 1 3 student. It is the responsibility of the Director of Studies (First Supervisor) to advise the student if appropriate academic standards have not yet been or are unlikely to be achieved.

 It shall be the responsibility of every Director of Studies to draw to the attention of the supervised student the existence of these regulations, in particular the procedures for registration, ethics, 1st progress reports, annual reports, transfer to PhD, suspensions, extensions, withdrawals, extenuating circumstances, student discipline, grievances and appeals, and to explain where they can be consulted.

 In addition to the supervisors, an adviser or advisers may be proposed to contribute some specialised knowledge, or a link with an external

organisation.

 A student for a research degree shall be ineligible to act as Director of Studies and would not normally act as a second supervisor, but may act as an adviser for another research degree student.

 If and as soon as any member of the supervision team is of the opinion that supervision arrangements are no longer appropriate, it shall be their

responsibility to notify the Director of Postgraduate Research immediately.

 Any proposal for a change in supervision arrangements should be made to the Research Degrees Committee on the appropriate form for formal approval. In no circumstances will a change in supervisory arrangements be approved without the student’s agreement to the proposed new arrangements as confirmed by their signature on the appropriate form.

 If there is a breakdown in supervision arrangements prior to or subsequent to registration for whatever reason, the Faculty shall:-

o firstly, try to find alternative supervision within the University; o secondly, try to find alternative supervision externally.

 If it appears impossible to provide new and appropriate supervision arrangements then the Faculty’s Director of Postgraduate Research (or

nominee) shall convene a special panel under the procedure set out in Annex 2 to determine whether the supervised student should be withdrawn from their programme.

 In all cases the Research Degrees Committee must be notified of the outcome and, in the case of a registered student must give approval for the new arrangements.

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11 | P a g e S e p t e m b e r 2 0 1 3 5. Research Degree Progress Monitoring

5.1 MPhil/PhD Progress Monitoring

Stage Full-time Part-time

Enrolment At invitation from LSBU Re-enrolment August (Annually) RES 2 Formal

Research Proposal Submission

Within 6 months from date of enrolment

RES 3B 1st Progress Report

Within 12 months of enrolment Faculty will provide deadline. Annual review and training needs analysis.

RES 4 Annual Report

Annually every April/May. Annual review and training needs analysis.

RES 5 Transfer from MPhil stage to PhD stage

18-24 months from enrolment. Contribution to knowledge is clearly evident, thus suitable for PhD status.

36-48 months from enrolment. Contribution to knowledge is clearly evident, thus suitable for PhD status.

Writing up Stage After successful transfer to PhD (unless MPhil only) no earlier than 36 months and normally for a maximum of 12 months

After successful transfer to PhD (unless MPhil only) no earlier than 48 months and normally for a maximum of 12 months RES 11 Examination Arrangements (Supervisor’s Responsibility)

Submitted 3 months prior to submission of soft-bound theses for the examination.

Thesis submission for examination and RES 13 Declaration Form

Submitted 3 months prior to date of examination.

Award of Research Degree

If successful, submission of final hard bound copy of thesis, electronic version on non-returnable disc/flash.

Graduation Faculty of Health and Social Care – May Other Faculties - July

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12 | P a g e S e p t e m b e r 2 0 1 3 5.2 PhD Direct Monitoring

Stage Full-time Part-time

Enrolment At invitation from LSBU Re-enrolment August (Annually) RES 2 Formal

RES 4 Annual Report

Writing up Stage After successful transfer to PhD (unless MPhil only) no earlier than 36 months and normally for a maximum of 12 months

After successful transfer to PhD (unless MPhil only) no earlier than 48 months and normally for a maximum of 12 months

RES 11 Examination Arrangements (Supervisor’s Responsibility)

If successful. Submission of final hard bound copy of thesis, electronic version on non-returnable disc/flash.

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13 | P a g e S e p t e m b e r 2 0 1 3 5.3 Professional Doctorate Progress Monitoring

This section is after you have successfully completed your taught components of the programme, there are variations of time frame for the different Professional Doctorates offered at LSBU.

Stage Part-time

Re-enrolment August (Annually) RES 2C Formal

Submitted for deadline of first available relevant Research Degrees Sub-Committee, after successfully completing and passing all taught components.

RES 4 Annual Report

Writing up Stage No earlier than 48 months and normally for a maximum of 12 months

RES 11 Examination Arrangements (Supervisor’s Responsibility)

If successful. Submission of final hard bound copy of thesis, electronic version on non-returnable disc/flash.

5.4 Other Research Degree Progress Monitoring

Please refer to the Academic Regulations for Research Degrees regarding monitoring for PhD by Published Work and Higher Doctorates.

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14 | P a g e S e p t e m b e r 2 0 1 3 6. Registration Periods

Registration Timeframe

Minimum (months) Maximum (months)

MPhil Full-time 18 48

Part-time 30 72

MPhil with transfer to PhD Full-time 33 72

Part-time 45 108 (exceptional)

PhD Direct (exceptional circumstances)

Full-time 25 60

Part-time 36 72

Professional Doctorate (research component only)

Part-time (only)

36 60

 Full-time students are expected to devote on average at least 40 hours per week. You are expected to attend the University for formal supervisory meetings, appropriate training or support groups and the annual Summer School.

 Part-time students are expected to devote a minimum of 16 hours per week. You are expected to attend the University for formal supervisory meetings, appropriate training or support groups and the annual Summer School. 6.1 Expected submission and completion timescales

LSBU needs to meet external targets set by various outside bodies and as such PGRs are expected to have submitted their thesis, had the examination, made any necessary revisions to the satisfaction of the examiners, and had their awards ratified by the following timeframes:

PhD Submission and Completion Timescales

Full-time (months) Part-time (months)

PhD Thesis Submission 36 60

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15 | P a g e S e p t e m b e r 2 0 1 3 7. Formal Research Proposal Submission

After you have enrolled as an LSBU student on a research programme, you are required to formally submit your proposed research project that you will have

developed with your supervisory team to the Research Degrees Committee who will determine if the proposal is appropriate and whether facilities and supervision are available.

All students (with the exception of the Professional Doctorate students who submit at the first RDC Sub Committee meeting after successfully completing all taught components) shall normally, within six months (Full-Time Students) or nine months (Part-Time students) of their enrolment, submit an application to the Research Degree Committee, to formally register the research proposal for the degree of:

a) Master of Philosophy; or

b) Master of Philosophy with possibility of transfer to Doctor of Philosophy; or, exceptionally,

c) Doctor of Philosophy direct. or for Professional Doctorates

d) the specific title of the award you enrolled on; e.g. Doctor of Education (EdD)

A student who wishes to apply for PhD direct will need to make a case supported by the supervisory team. The student will hold a Masters degree in a discipline which is appropriate to the proposed research and also included training in research and the execution of a research project. The student will also have appropriate research or professional experience at postgraduate level that has resulted in published work, written reports or other appropriate evidence of accomplishment.

Students must submit a RES 2 or RES 2C application (as appropriate) via the online system, outlining a succinct and tightly focused plan of proposed research. This application will be submitted to the appropriate Research Degrees Sub-Committee, the decision of the Committee will be sent to the student and the Director of Studies (First Supervisor).

Any student who requires an extension of time for submitting their a p p l i c a t i o n shall make a formal request to their Director of Studies (First Supervisor), who shall ensure that the request is submitted to the Research Degrees Committee. The Research Degrees Programme Manager shall ensure that the decision is copied to the Director of Studies (First Supervisor).

The decision notice to a student whose application has been referred shall invite them to submit, no later than three months from the date of the notice, a final revised application and shall advise them that this will normally be the last attempt permitted.

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16 | P a g e S e p t e m b e r 2 0 1 3 The final revised application to be approved or declined by the Research Degrees Committee, and shall issue a decision notice to the student and copy it to their Director of Studies (First Supervisor).

Students transferring their registration from another university are also required to complete the initial registration process, although such students can apply for advanced standing on the basis of prior work and may be eligible for registration for PhD direct if the registration has previously been upgraded at the transferring university.

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.

In approving an application, the Research Degrees Committee shall satisfy itself that: a) the applicant is suitably qualified;

b) the student is embarking on a viable programme of research; c) the Faculty is able to provide suitable facilities;

d) adequate supervision can be made available and the proposed Director of Studies has signed the application form;

e) the applicant has sufficient command of the English language to complete satisfactorily the programme of work and defend a thesis.

f) that suitable arrangements have been made for the consideration of ethical issues of the research proposal.

Where a student has previously undertaken research under supervision as a registered student for a research degree at another institution, the Research Degrees Committee may approve a shorter than usual registration period, which takes account of all or part of the time already spent by the student on such research, by granting a period of advanced standing. Evidence relating to the initial registration and to the subsequent progress of the student will be sought from the previous institution. Except where permission has been given for the thesis and the oral examination to be in another language, the Research Degrees Committee shall satisfy itself that the student has sufficient command of the English language to complete satisfactorily the programme of work and to prepare and defend a thesis in English. Permission to present a thesis in another language shall normally be sought at the time of application for registration. Permission to present a thesis in a language other than English shall normally only be given if the subject matter of the thesis involves language and related studies.

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17 | P a g e S e p t e m b e r 2 0 1 3 The Research Degrees Committee will consider applications for registration of students by distance learning outside the UK.

a) satisfactory evidence can be provided that suitable research facilities are available both in the University and abroad; and

b) proposed supervision arrangements enable frequent, regular and substantial contact and communication between the student and the supervisor(s) based in the UK, at least every 3 months;

c) all members of the supervisory team meet together with the student at least every six months;

d) the student spends not less than six weeks each alternative year at the University. e) And is not in receipt of a full-time visa for studying in the UK, receipt of a

scholarship or funding requiring attendance in the UK. 7.1 Research Ethics

Research for awards of the University must conform to the Code of Practice laid down by LSBU's Research Ethics Committee (REC). It is important to obtain any necessary ethical approvals before starting research.

It is impossible to give a detailed guide to ethical approval here. The Code of Practice should be consulted. Briefly, however, approval is generally required when the

research involves human participants, and sometimes you will need to obtain approval from an NHS REC first (your supervisor should be able to advise you on this). You will need ethical approval if you want to take samples or measurements from people, or to administer substances to them, or to take part as an investigator in a clinical trial. You

are likely to need ethical approval to interview people or to conduct surveys. You will need to submit your Research Ethics application form once the Research Degrees Committee has approved your RES 2 or RES 2C application.

The REC application form is available from My LSBU. 8. 1st Progress Report

All students shall, in their first year of enrolment and no later than 12 months after their enrolment, submit a 1st progress report in accordance with the requirements laid down by the Faculty in which they are enrolled. Students shall submit their 1st

progress report to the Director of Postgraduate Research who shall arrange for it to be approved or deferred by the Faculty Research Committee (or equivalent) and shall issue a decision notice to the student and copy it to their Director of Studies (First Supervisor) and to the Research Degrees Committee.

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18 | P a g e S e p t e m b e r 2 0 1 3 The assessment notice to a student whose 1st progress report is unsatisfactory shall invite them to submit, no later than three months from the date of the notice, a final revised 1st progress report, and shall inform them that this will normally be the last attempt permitted. The Director of Postgraduate Research shall arrange for the final revised 1st progress report to be assessed and notified and in the case of any, final revised 1st progress report which is assessed as unsatisfactory, shall convene a special panel under the procedure set out in Annex 2, to consider whether the student should be withdrawn

9. Annual Reports

All students from year 2 onwards shall submit an annual report through their Director of Studies (First Supervisor) to the Director of Postgraduate of Research, so that there shall not be an interval of more than twelve months between the submission of a report assessed as satisfactory and the submission of an annual report or between the submission of two consecutive annual reports.

The annual report shall outline progress with the programme and key skills training during the year. The Director of Postgraduate Research shall arrange for the annual report to be approved or deferred by the Faculty Research Committee (or equivalent), and shall issue a decision notice to the student and copy it to their Director of Studies (First Supervisor) and to the Research Degrees Committee.

The assessment notice to a student whose annual report is unsatisfactory shall invite them to submit, no later than three months from the date of the notice, a final revised annual report, and shall inform them that this will normally be the last attempt permitted.

The Research Administrator shall submit the final revised annual report to be assessed and student notified, and in the case of any final revision annual report which is assessed unsatisfactory, shall convene a special panel to consider whether the student should be withdrawn.

Failure to submit a required report, or to resubmit a report deemed unsatisfactory, will normally lead to the withdrawal of a student from the programme, a special panel will not be required in this circumstance.

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19 | P a g e S e p t e m b e r 2 0 1 3 10. Transfer Report

A student who wishes to transfer to PhD and who registered initially for MPhil with possibility of transfer to PhD, must apply on the appropriate form to the Research Degrees Committee when they have made sufficient progress on the work to provide evidence of the development to PhD (normally after about 18-24 months of full-time study or 36-48 months of part-time study).

The student shall prepare for the Research Degrees Committee, and submit to the Research Administrator, two copies of a transfer report on the work undertaken in support of the application. The progress report should normally be 3,000 to 6,000 words in length and include:

a) the aims and objectives of the research;

b) a review and discussion of the work already undertaken;

c) a discussion of the intended further work, including details of the original contribution to knowledge; and

d) draft thesis chapter headings and a timetable for completion of the thesis.

e) evidence of ethical approval or statement of why ethical approval is not required; this does not preclude the seeking of ethical approval if the research changes. Before approving transfer from MPhil to PhD the Research Degrees Committee shall be satisfied that the student has made sufficient progress and that the proposed programme provides a suitable basis for work at PhD standard which the student is capable of pursuing to completion. The transfer report may be submitted for scrutiny to at least two members of the Research Degrees Committee or other experts either internally or externally. An oral assessment may be used in appropriate circumstances, by the Research Degrees Committee, as part of its assessment of the case for transfer. The Research Administrator shall arrange for the transfer report to be approved or deferred by the Research Degrees Committee and shall issue a decision notice to the student and copy it to their Director of Studies (First Supervisor).

The assessment notice to a student whose transfer report has been deferred shall invite them to submit, no later than three months from the date of the notice, a final revised transfer report, and shall inform them that this will normally be the last attempt permitted.

The Research Administrator shall submit the final revised transfer report to the Research Degrees Committee for approval and shall issue a decision notice to the student and copy it to their Director of Studies (First Supervisor).

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20 | P a g e S e p t e m b e r 2 0 1 3 A student 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 Research Degrees Committee for the registration to be changed to that for MPhil

Thesis

Except with the specific permission of the Research Degrees Committee the thesis shall be presented in English.

It shall contain 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 including the findings. The thesis shall include a statement of the student's objectives and shall

acknowledge published or all other sources of material consulted (including an appropriate bibliography) and any assistance received.

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

The student shall be free to publish material in advance of the thesis but reference shall be made in the thesis to any such work. Copies of published material should either be included in the thesis or placed in an adequately secured pocket at the end of the thesis.

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

for a PhD in Science or Engineering or Computing or Art and

Design 40,000 words

for an MPhil in Science or Engineering or Computing or Art

and Design 20,000 words

for a PhD in Arts or Social Sciences or Business or Health or

Education 80,000 words for an MPhil in Arts or Social Sciences or Business or

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21 | P a g e S e p t e m b e r 2 0 1 3 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 given below:

for a PhD 30,000 - 40,000 words

for an MPhil 15,000 - 20,000 words

For a Professional Doctorate in Education 40,000 – 50,000 words plus 2000 word report

For a Professional Doctorate in Nursing or

Allied Health Professions or Business 40,000 – 50,000 words Where the Research Degrees Committee has agreed that the confidential nature of the student's work is such as to preclude the thesis being made freely available in the library of the University (and Collaborating Establishment, if any) and, in the case of a PhD, the British Library, the thesis shall, immediately on completion of the

programme of work, be retained by the University on restricted access and, for a time not exceeding the approved period shall only be made available to those who were directly involved in the project.

The Research Degrees Committee shall normally only approve an application for confidentiality in order to enable a patent application to be lodged or to protect commercially or politically sensitive material. A thesis shall not be restricted in this way in order to protect research leads. The maximum period of confidentiality is three years. Where a shorter period would be adequate the Research Degrees Committee shall not automatically grant confidentiality for three years.

Where a student or the University wishes the thesis to remain confidential for a period of time after completion of the work, application for approval shall be made to the Research Degrees Committee. The period approved in advance shall not exceed two years from the date of the submission of the thesis. At the time of submission permission may be sought to extend the period of restriction to a maximum of three years.

The copies of the thesis submitted for examination shall remain the property of the University which will normally retain both the copyright and the intellectual property rights of the thesis work unless the terms under which the research is funded/commissioned assign these elsewhere. Unless this might prejudice the exploitation of the rights, the University will normally assign them to the student.

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22 | P a g e S e p t e m b e r 2 0 1 3 The thesis should normally be in A4 format; the Research Degrees 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. A student using a format larger than A4 should note that the production of microfiche copies and full-size enlargements may not be feasible;

Copies of the thesis are to be presented in a permanent and legible form either in typescript or print; where copies are produced by photocopying processes, these must be of a permanent nature; where word processor and printing devices are used, the printer must be capable of producing text of a satisfactory quality; the size of character used in the main text shall normally be of point size 11 or 12, and in a type that is consistent and readable.

the thesis should be printed on one side of the page only; the paper must be white. d) the margin at the left-hand binding edge of the page should not be less than 40mm; other margins should not be less than 15mm after binding (an allowance of at least 2mm should be made for 'skimming' in the binding process);

double or one-and-a-half spacing must be used in the typescript except for indented quotations or footnotes where single spacing may be used;

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

the title page must give the following information: the full title of the thesis;

the full name of the author;

that the degree is awarded by London South Bank 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.

11.1 Final Hard Bound Copy of the Thesis

The University library copy shall be bound as follows:

 in at least 25pt type the outside front cover is to bear the title of the work, the name and initials of the student, the qualification, and the year of submission; the same information (excluding the title of the work) is to be shown on the spine of the work, reading downwards.

 The colour of the binding must be black with gold lettering.

 There will also be one electronic PDF version of the final thesis submitted on a non-returnable disk or flash disk.

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23 | P a g e S e p t e m b e r 2 0 1 3 Following the award of the degree the Research Degrees Programme Manager shall:

 lodge one electronic copy of the thesis in pdf format for the library of the University and for the British Library.

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24 | P a g e S e p t e m b e r 2 0 1 3

[Specimen thesis title page]

THE ORIGINS OF THE FARMERS'

CO-OPERATIVE IN WESSEX

PERCY FOOTWYND

A thesis submitted in partial fulfilment of the

requirements of London South Bank University

for the degree of Doctor of Philosophy

This research programme was carried out

in collaboration with Borchester Farmers Club

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25 | P a g e S e p t e m b e r 2 0 1 3 12. Examinations – General

The examination for MPhil and PhD will be in two parts: 1. Submission and preliminary assessment of the thesis; 2. Its defence by oral or approved alternative examination.

A student 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 student's performance. The result of the assessment shall be communicated to the examiners of the thesis.

A student 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 Research Degrees Committee is satisfied that a student 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 student's knowledge of the language in which the thesis is

presented is inadequate.

An oral examination shall normally be held in the United Kingdom. In exceptional cases the Research Degrees Committee may give approval for the examination to take place abroad.

The Chair of the Research Degrees Committee, or her/his nominee, has the right to attend the oral examination. Supervisors and advisers may also, with the

permission of the student, attend the oral examination. All who attend may

participate in the discussion at the invitation of the external examiner(s), but shall withdraw prior to the deliberations of the examiners on the outcome of the

examination.

The Research Degrees Committee shall make a decision on the reports and recommendation(s) of the examiners in respect of the student and advise the

Academic Board. The power to confer the degree rests with the Academic Board of the University, which also has the power to revoke the degree.

The degree of MPhil, PhD or Professional Doctorate (who has transferred to the research component) may be awarded posthumously on the basis of a thesis completed by a student which is ready for submission for examination. In such cases the Research Degrees Committee shall seek evidence that the student would have been likely to have defended the thesis successfully had the oral examination taken place.

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26 | P a g e S e p t e m b e r 2 0 1 3 Where evidence of cheating, or plagiarism in the preparation of the thesis, or other irregularities in the conduct of the examination come to light, subsequent to the recommendation of the examiners, the Research Degrees Committee shall consider the matter, if necessary in consultation with the examiners, and take appropriate action.

The Research Degrees Committee 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 Research Degrees

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.

12.1 Examination procedures

The Director of Studies(First Supervisor) shall propose the arrangements for the student's examination on the appropriate form to the Research Degrees

Committee for approval at least three months before the expected date of the examination. The examination may not take place until the examination

arrangements have been approved. In special circumstances the Research Degrees Committee may act directly to appoint examiners and arrange the examination of a student.

The Research Degrees Committee must make known to the student the procedure to be followed for the submission of the thesis (including the number of copies to be submitted for examination) and any conditions to be satisfied before the student may be considered eligible for examination.

The Director of Studies shall be responsible for the arrangements for the oral examination, including notification of the date to the student, all supervisors, the examiners, the independent chair and the research administrator.

The Research Degrees Team shall send a copy of the thesis to each member of the examination team, together with the examiner's preliminary report form and the University's regulations and notes for guidance on procedures.

The Director of Studies shall ensure that all the examiners have completed and returned the preliminary reports to the Research Degrees Committee before the oral examination takes place.

12.2 The student's responsibilities in the examination process

The student shall ensure that one copy of the thesis for each member of the examination team plus one extra copy are submitted to the Secretary to the Research Degrees Committee before the expiry of the registration period.

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27 | P a g e S e p t e m b e r 2 0 1 3 The submission of the thesis for examination shall be at the sole discretion of the student. While a student would be unwise to submit the thesis for examination against the advice of the supervisors, it is his/her right to do so. Equally, students must not assume that a supervisor's agreement to the submission of a thesis will lead to the award of the degree. The supervisors and advisers, other than examiners, may only attend the oral examination with the permission of the student. The student shall satisfy all conditions of eligibility for examination required by the Research Degrees Committee, which shall include ethical approval as defined by the University Research Ethics Committee.

The student shall take no part in the 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.

The student shall confirm, through the submission of a declaration form, that the thesis has not been previously submitted for a comparable academic award elsewhere. The student 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 student shall ensure that the format of the thesis to be submitted for viva is in accordance with the requirements of the University's regulations (See Section 23). The thesis may be submitted for examination in a secure temporary binding except in the case of PhD by Published Work, who are permitted to submit in loose-leaf format secured in a hardback folder.

After the examination assuming that the student has been successful, the student must submit one hard-bound copy of the final thesis, corrected in accordance with any requirements of the examiners, to the Research and Business Development Office. This is for deposit in the University Library. The student will also submit a copy of the abstract and the title page for deposit with British Library. Once these items have been received the certificate can be released to the student. The supervisory team will advise the student on how many copies of the hardbound thesis the Faculty

requires.

Students are required to participate in the British Library scheme for the distribution of PhD theses, including permitting the reproduction and sale of copies of the thesis by the British Library and its agents. Participation will be delayed by any period of restriction of access granted by Research Degrees Committee.

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28 | P a g e S e p t e m b e r 2 0 1 3 12.3 Examiners

A student shall be examined by at least two and initially not more than three examiners, of whom at least one shall be an external examiner. Staff students usually require three examiners: two external examiners and one internal examiner. An Independent Chair will be appointed by the RDC to all examining panels. In the meantime an independent chair may be appointed at the discretion of the RDC. The independent chair will not participate in the examination itself, but will provide advice on procedures, guidelines and academic regulations, and will ensure that the interests of the students are protected

An internal examiner shall be defined as an examiner who is: a) a member of academic staff at the University; and/or,

b) experienced in the examination of MPhil and PhD students; and/or,

c) knowledgeable of the field of study that the thesis falls within

Where a student's supervisor (with the exception of the Director of Studies, who is not permitted to act as an internal examiner) is proposed as an internal examiner (along with an external examiner) an additional examiner, whether external or internal, shall be appointed. A student's supervisor will in any case only exceptionally be considered for appointment as an examiner. Where there are two external examiners, only one internal examiner may be proposed.

Where the student and the internal examiner are both on the permanent staff of the same establishment, a second external examiner shall be appointed. A student who is on a fixed short-term employment contract (for instance, a research assistant) shall be exempt from the requirements of this regulation.

Examiners shall be experienced in research in the general area of the student's thesis and, where practicable, have experience as a specialist in the topic(s) to be examined.

The external examiner shall normally have substantial experience (that is, three or more previous examinations at the appropriate level) of examining research degree students.

An external examiner shall be independent both of the University and of the Collaborating Establishment and shall not have acted previously as the student's supervisor or adviser. An external examiner shall normally not be either a supervisor of another student or an external examiner on a taught course in the same academic department at the University. Former members of staff of the

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29 | P a g e S e p t e m b e r 2 0 1 3 University shall normally not be approved as external examiners until three years after the termination of their employment with the University. Former external examiners shall normally not be approved as external examiners until two years after the previous examination with the University.

No student for a MPhil, PhD and/or Professional Doctorate degree shall act as an examiner for a research degree.

The University shall determine and pay the fees and expenses of the external examiners. If a Faculty proposes an examiner from an overseas institution, the Faculty will be asked to meet the traveling expenses of that examiner. The University will normally pay the fees and expenses from entrance into the UK.

12.4 Independent Chairs

Every examination will have an independent chair who will be appointed by the RDC from a trained panel of chairs.

An independent chair must be defined as:

a a member of academic staff at the University; and,

b experienced in the examination of MPhil and PhD students.

The independent chair is not one of the examiners and there is no requirement for the chair to read the thesis or to have any knowledge of the subject of the thesis. However, the chair will have seen a copy of the thesis.

The independent chair will not have had any direct involvement in the student’s research, e.g. extensive review of ethics application or transfer report, nor participation at the student’s mock examination(s).

The chair must be familiar with the University’s current research degrees regulations relating to the examination of research degrees.

In appointing the chair issues of appropriate balance of membership will be considered as far as logistically possible

Independent chairs will be appointed to a panel, with representation from all faculties, for a period of three years, renewable by mutual agreement. The panel of independent chairs will have appropriate experience of research degree

examinations (either acting as an internal or external examiner). All members will have had training for the role as an independent chair.

The independent chair will be responsible for signing off the paperwork indicating the result of the examination, and informing RDC that any corrections have been made to the satisfaction of the examiners.

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30 | P a g e S e p t e m b e r 2 0 1 3 Duties of the Independent Chair

a) Liaise with the research degrees office that they have received the signed copies of the preliminary reports (RES 14A or RES 14B as appropriate) from the examiners and to ensure that if they have not been previously submitted to the Research and Business Development Office that the examiner(s) are followed up and the reports provided for the pre-meeting. b) Chair a preliminary meeting of the examiners and agree an agenda for

the oral examination.

c) Introduce all those present at the oral examination and attempt to put all parties at ease.

d) Ensure that all those present understand the procedures to be followed concerning the conduct of the viva.

e) Outline the agenda to all those present.

f) Ensure that each agenda item is dealt with to the satisfaction of each examiner and within a reasonable time limit and move the agenda on. g) Intervene in the examining process only if there appears to be bias,

misconduct, unfairness or if the examiners are diverting from the agenda in such a manner as to disadvantage the student. Actions which might be taken include requesting for a temporary break to the oral examination, holding a private discussion with the examiners or the candidate, or most exceptionally, ending the examination.

h) Chair the post-oral examination discussion of the examiners and assist them in the formulation of a recommendation.

i) Ensure the examiners complete and sign the recommendation of

examiners form RES 15A or 15B (as appropriate) and then complete and sign the form as the independent chair

j) Agree an appropriate timeframe to produce a report outlining any minor or major corrections that the candidate needs to complete. The detailed list of corrections must be submitted to the independent chair by the examiner(s). The independent chair is then responsible for submitting the list of

corrections from the examiner(s) to the Director of Studies and the Research and Business Development Office. The Director of Studies is then

responsible for forwarding the list of corrections onto the student.

k) Make notes throughout the oral examination as these notes may be used as evidence to contribute to any subsequent appeal.

The Independent Chair should receive a copy of any thesis corrections that are required to be submitted to the examiner(s) for review. The Independent Chair must also receive a copy of the examiners response to the corrections before they can sign off the paperwork approving the award.

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31 | P a g e S e p t e m b e r 2 0 1 3 12.5 Examination

Each examiner must read and examine the thesis, and submit an independent preliminary report, on the appropriate form, to the Research Degrees Team before any oral or alternative form of examination is held. In completing the preliminary report, each examiner must consider whether the thesis satisfies the requirements of the degree and whether the oral examination should take place.

There will normally be an oral examination; following the oral examination the examiners shall, submit, on the appropriate form, a joint report and recommendation relating to the award of the degree to the Research Degrees Committee.

Following the completion of the examination the examiners may recommend that: a) the student should be awarded the degree no amendments to be made; b) the student should be awarded the degree subject to minor amendments

being made to the thesis. The student will be normally allowed three months to resubmit the work; the amendments will be subject to approval by either the internal or external examiner or all examiners as deemed appropriate by the examining team.

Minor amendments are typically typographical or grammatical errors, inappropriate references or changes that do not affect the outcomes and findings of the thesis

c) the student should not be awarded the degree, but shall be permitted to re-submit for the degree and be re-examined as follows:

The thesis requires major revisions, and should be revised and submitted for re- examination by all the examiners, with or without a further oral examination normally no later than one year from the date of the viva. A student may not be failed without oral examination with the exception of non-submission of the revised thesis.

Major revisions are typically, substantial changes in two or more chapters or elements.

d) in the case of a PhD examination: the student should not be awarded the degree of Doctor of Philosophy but be offered the award of Master of Philosophy subject to the presentation of the thesis amended to the satisfaction of the examiners.

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32 | P a g e S e p t e m b e r 2 0 1 3 e) the student should not be awarded the degree and should not be permitted to be re-examined.

The Examiners will indicate informally their recommendation on the result of the examination to the student, but shall make it clear that the decision rests with the Research Degrees Committee and Academic Board. Any

amendments required by the examination team will be provided to the

student’s supervisor and/or independent chair to circulate to the student and the Research Degrees Team.

It is the student’s responsibility to ensure that all amendments, including typographical and grammatical corrections, are carried out. If the student does not submit the amendments and corrections within the deadline, the student will normally have been deemed to have failed.

12.6 Re-examination

A student who fails to satisfy the examiners at the first examination, including where appropriate the oral or approved alternative examination or any further examination required, on the recommendation of the examiners and with the approval of the Research Degrees Committee, shall be permitted to revise the thesis only once. The student must submit for re-examination within the period of one calendar year from the date of the latest part of the first examination. Where the Research Degrees Committee has dispensed with the oral examination, the re- examination shall take place within one calendar year of the date of this dispensation. The Research Degrees Committee may, where there are good reasons, approve an extension of this period for a maximum period of 12 months which will commence from the deadline for resubmission originally approved.

A student who has been required to resubmit the thesis for resubmission, shall re-enrol and pay the writing-up fee.

The Research Degrees Committee may require that an additional external examiner be appointed for the re-examination.

There are five forms of re-examination:

i) where the student's performance in the first oral or approved alternative examination or further examination was satisfactory but the thesis was unsatisfactory and the examiners on re-examination certify that the thesis as revised is satisfactory, the Research Degrees Committee may exempt the student from further examination, oral or otherwise;

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33 | P a g e S e p t e m b e r 2 0 1 3 ii) where the student's performance in the first oral or approved alternative

examination or further examination was unsatisfactory and the thesis was also unsatisfactory, any re-examination shall include a re-examination of the thesis and an oral or approved alternative examination;

iii) where on the first examination the student's thesis was so unsatisfactory that the Research Degrees Committee dispensed with the oral examination, any re- examination shall include a re-examination of the thesis and an oral or approved alternative examination;

iv) where on the first examination the student's thesis was satisfactory but the performance in the oral and/or other examination(s) was not satisfactory the student shall be re-examined in the oral and/or other examination(s), subject to the time limits prescribed by the examiners in line with regulatory guidelines, without being requested to revise and re-submit the thesis;

v) where on the first examination the thesis was satisfactory but the student'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 student's abilities; such examination may take place only with the approval of the Research Degrees Committee.

In the case of a re-examination, each examiner shall read and examine the thesis and submit, on the appropriate form, an independent preliminary report on it to the Secretary to the Research Degrees Committee before any oral or alternative form of examination is held. In completing the preliminary report, each examiner shall consider whether the thesis provisionally satisfies the requirements of

the degree and where possible make an appropriate provisional recommendation subject to the outcome of any oral examination.

Following the re-examination of the thesis, or following an oral or other

examination, the examiners shall submit, on the appropriate form, a joint report and recommendation relating to the award of the degree to the Secretary of the

Research Degrees 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 Research Degrees Committee to satisfy itself that the recommendation chosen is correct. Where the examiners are not in agreement, separate reports and recommendations shall be submitted. The recommendations shall be made on the appropriate form.

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34 | P a g e S e p t e m b e r 2 0 1 3 Following the completion of the examination the examiners may recommend that:

a) the student be awarded the degree;

b) the student be awarded the degree subject to minor amendments being made to the thesis;

c) the student not be awarded the degree and not be permitted to be re-examined; or

d) in the case of a PhD examination: the student be awarded the degree of MPhil subject to the presentation of the thesis amended to the

satisfaction of the examiners.

Details of any minor amendments required by the examiners shall be provided in writing to the student’s supervisor, independent chair and the research degrees team.

Where the examiners' recommendations are not unanimous, with the advice of the independent chair, the Research Degrees 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.

Where an additional external examiner is appointed, s/he shall prepare an independent preliminary report on the basis of the thesis and, if considered

necessary by her/him or the Research Degrees Committee, may conduct a further oral examination. That examiner should not be informed of the recommendations of the other examiners. On receipt of the report from the additional examiner the Research Degrees Committee shall complete the examination.

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

Where the Research Degrees Committee decides that the degree not be

awarded, the examiners shall prepare an agreed statement of the deficiencies of the thesis and the reason for their recommendation, which shall be forwarded to the student by the independent chair or research degrees team.

The decision of the examiners shall be formally communicated to the student by the the Secretary to the Research Degrees Committee.

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35 | P a g e S e p t e m b e r 2 0 1 3 13 Suspension of Registration

If the student has enrolled on the programme, but not yet registered and is

prevented, by ill-health or other cause, from making progress with the research, the student may be suspended from the Programme by the Faculty Research

Committee or equivalent, normally for one semester but for not more than one year at a time; with a maximum timeframe of 2 years. The application for a period of

suspension must normally be supported by written evidence produced by the student.

If a student has registered with the Research Degrees Committee but is prevented, by ill-health or other cause, from making progress with the research, the registration may be suspended by the Research Degrees Committee, normally for one semester but for not more than one year at a time. The application for a period of suspension must normally be supported by written evidence produced by the student. There is a maximum suspension time of 2 years.

14 Extension of Registration

The Research Degrees Committee may extend a student’s period of registration, normally for not more than one year at a time. A student seeking such an extension shall normally apply on the appropriate form before the end of the original

registration period.

No extension of registration is possible once a student has transferred to writing up, unless there is an approved suspension during the writing up period

15 Withdrawal of Registration

A student can be asked to withdraw from the programme if progress is deemed unsatisfactory, and a special panel has met and agreed this course of action. Lack of academic progress can be identified as failure to:

 continuously not meeting deadlines set by the supervisory team

 non submission of progression forms (RES forms)

 evidence of work of an appropriate standard

 to keep in regular contact with supervisory team and Research Degrees Team