Scope, Aims and Objectives of this · Web viewEntry Requirements Research students should have a good honours degree or relevant professional experience. A masters degree in a relevant

Research Procedures Handbook Section 17

17 Research Procedures Handbook

Research Degrees

Practice, Policies and Procedures

September 2017

Table of Contents

1. Scope, Aims and Objectives of this Handbook............................................................................................4

2. Postgraduate Research Degrees Programmes............................................................................................5

3. Roles and Responsibilities..........................................................................................................................6

3.1 University Responsibilities...................................................................................................................6

3.2 Faculty Responsibilities.......................................................................................................................6

3.3 Supervisory Team Responsibilities......................................................................................................7

3.4 Research Student Responsibilities.......................................................................................................8

4. Collaborative Research Provision.............................................................................................................10

4.1 Oversight and Review.......................................................................................................................10

5. Application, Selection and Admission.......................................................................................................11

5.1 Entry Requirements..........................................................................................................................11

5.2 Research Proposal............................................................................................................................11

5.3 Application Procedure.......................................................................................................................11

5.3.1 Applicants with Advanced Standing..................................................................................................12

5.3.2 Applicants for Research Degrees Public Works.................................................................................13

5.4 Interview...........................................................................................................................................13

5.5 The Offer Letter.................................................................................................................................14

5.6 Enrolment.........................................................................................................................................14

5.7 Induction...........................................................................................................................................14

6. Research Degree Progress and Review.....................................................................................................15

6.1 General.............................................................................................................................................15

6.1.1 Ethics Approval.................................................................................................................................15

6.1.2 Risk Assessment................................................................................................................................15

6.1.3 Faculty Progression Boards and Reporting progress.........................................................................15

6.2 Registration......................................................................................................................................16

6.2.1 Registration Report...........................................................................................................................16

6.2.2 Guidelines for the role of Chair on Registration Panels.....................................................................16

6.2.3 Guidelines for the role of Independent Reviewer on Registration Panels..........................................16

6.2.4 Possible Outcomes of the Registration Panel....................................................................................16

6.3 Transfer / Programme Panel Approval.............................................................................................17

6.3.1 Submission of Transfer Documents...................................................................................................17

6.3.2 Guidelines for the role of Chair on Transfer Panels...........................................................................17

6.3.3 Guidelines for the role of Independent Reviewer on Transfer Panels................................................17

6.3.4 Possible Outcomes of the Transfer Panel..........................................................................................17

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6.4 Writing Up........................................................................................................................................20

6.5 Submission of Final Thesis.................................................................................................................20

6.5.1 Referencing and Citation..................................................................................................................20

6.5.2 Intellectual property.........................................................................................................................21

6.6 Interruption/Temporary withdrawal.................................................................................................21

6.7 Extension of Period of Registration...................................................................................................21

6.8 Withdrawal of Registration..............................................................................................................22

7. Examination of Research Degrees............................................................................................................23

7.1 Examination process for research degrees........................................................................................23

7.2 Appointment and Role of Chair.........................................................................................................23

7.3 Appointment, roles and responsibilities of the Examiners................................................................24

7.4 Outcomes of the examination process..............................................................................................25

7.5 Re-examination.................................................................................................................................25

7.6 Awarding of Research Degrees.........................................................................................................25

7.7 Payment of Examiners......................................................................................................................25

8. Appeals.....................................................................................................................................................26

9. Complaints and Grievance Procedures.....................................................................................................29

Annex A Committees.......................................................................................................................................30

Annex B M/DProf Programme Approval Panel................................................................................................32

Annex C Links to Policies, Guides and other useful documents.......................................................................35

Annex D Procedures for submission of theses and related materials..............................................................36

Annex E Forms.................................................................................................................................................38


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1. Scope, Aims and Objectives of this Handbook

The purpose of this handbook is to set out the University’s standards for its research degree programmes and to provide a framework for those supporting the research degree lifecycle. It should be read in conjunction with the Research Degree Regulations and Research Student Handbook.

All supervisors and students should also be aware of the Code of Practice for Research: Principals and Procedures and the UK Quality Code for Higher Education - Chapter B11: Research degrees.

Where appropriate, links are provided to other sources of information and guidance (e.g. ethics procedures, library support, etc.) where further details can be found on specific topics.


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2. Postgraduate Research Degrees Programmes

The Research Degree Programmes offered by Middlesex University are:

Masters awardsMA by Research Master of Arts (by Research)MSc by Research Master of Science (by Research)

MTh Master of TheologyMPhil Master of PhilosophyMPhil by Public Works Master of Philosophy by Public Works

Professional MastersArtsM Master in ArtsMProf Master of Professional Studies (Negotiated Title) -

including specialist pathway variantsMProf by Public Works Master of Professional Studies by Public Works

(Negotiated Title) - including specialist pathway variants

Doctorate awardsPhD Doctor of PhilosophyPhD by Public Works Doctor of Philosophy by Public Works

Professional DoctoratesDProf Doctor of Professional Studies (Negotiated Title) - including

specialist pathway variantsDProf by Public Works Doctor of Professional Studies by Public Works - including

specialist pathway variantsDBA Doctor of Business AdministrationDPsych Doctor of Psychotherapy by Professional StudiesDPsych by Public Works Doctor of Psychotherapy by Public WorksDCPsych Doctor of Counselling Psychology and Psychotherapy by

Professional StudiesEdD Doctor of Education – not recruiting toEngD Doctor of EngineeringArtsD Doctor of Arts

Higher DoctoratesLLD Doctor of LawsDLitt Doctor of LettersDSc Doctor of ScienceDTech Doctor of Technology


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3. Roles and Responsibilities

3.1 University Responsibilities

The University is responsible for the provision of a safe and suitable working environment for all its staff and students and, through its committees, for the maintenance of academic standards.

Research students and their supervisory teams are supported directly by the Research Degrees Administration Team based in Academic Registry, who are responsible for the maintenance of all student records and all administration associated with progression and adherence to the University Research Degree Regulations.

Central Services, in particular Library and Student Support (LSS), Computing and Communications Systems Services (CCSS), Academic Registry and Estates are the principal central services with specific responsibilities for the support of research students.

Academic Board is the principal University committee with responsibility for academic standards and quality supported by Assurance, Learning and Teaching, and Strategic Planning Committees. Research Degrees Committee acts on behalf of Academic Board, via Research and Knowledge Exchange Committee, to approve examination arrangements, confirm the award of research degrees, and other related functions.

A University Ethics Subcommittee provides oversight and guidance on all matters relating to the ethical behaviour and standards of all staff and students of the University, reporting to the Vice Chancellor via Assurance Committee..

3.2 Faculty Responsibilities

Faculties, through their Research Degrees Committees, are responsible for ensuring appropriate procedures are followed in the Selection, Supervision, Training and Progression of their research students.

Faculties, through their Research Degrees Committees, are responsible for the selection and appointment of appropriate supervisory teams in accordance with the requirements of the Research Degree Regulations.

A Director of Studies, or Advisor, will normally:1. Have a PhD, DProf or equivalent professional expertise;2. Be a full-time member of academic staff at the University or collaborative partner;3. Have relevant research expertise (e.g. as evidenced by recent outputs) in the subject area of

the proposed thesis;4. Been part of a team that has supervised at least one previous candidate to successful

completion;5. Have undertaken relevant research supervisor training.

A Second Supervisor, or Consultant, will normally:1. Have a PhD, DProf or equivalent professional expertise;2. Be a full-time member of academic staff at the University, collaborative partner or external

organisation;3. Have relevant research knowledge in the subject area of the proposed thesis;4. Have undertaken relevant research supervisor training.


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Note, it is acceptable for a DoS to be appointed who has not previously supervised to successful completion, but in such circumstances it is a requirement that the Second Supervisor meets this criteria and who, in addition to their supervisory role, also acts as a mentor to the less experienced DoS.

Faculties are also responsible for the provision and support of specialist facilities in support of their research (e.g. laboratories, studios, etc.).

All Faculties are required to maintain Research Degree Progression Boards (bi-annually), an Ethics Committee and a Board of Study (bi-annually), the latter providing a forum for staff/student discussion.

Faculties are responsible for monitoring supervisory team workloads, ensuring teams are trained and to support the administrative structures in place. Note, at least one member of all supervisory teams must have completed the University Supervisor Training Workshop.

Research students are aligned to the Department of their Director of Studies. Departments form the academic structure of the Faculties and each has a Head of Department who is accountable for the representation of the Department both within the University and externally as appropriate.

3.3 Supervisory Team Responsibilities

Each research student is provided with a specific Supervisory Team normally consisting of a Director of Studies (first supervisor), or Advisor for M/DProf and at least one other Supervisor (second supervisor), or Consultant for M/DProf. At least one member of the supervisory team must have completed an appropriate University Supervisor Training Workshop and have supervised at least one previous student to completion who was registered for an equivalent degree.

Regular meetings should occur between the supervisory team and student throughout the academic year. It is essential that such meetings are held regularly at times agreed by all parties, (normally between 4-6 times a term, the nature and frequency depending on individual circumstances and mode of study) that decisions are recorded and that work plans are set for the intervening periods.

A minimum of six recorded contact points* are required per year for all research students, to confirm attendance and engagement. The full year schedule is:

1. Enrolment (Sept/Oct)2. Progression Board (Nov)3. Supervisory Meeting (Dec/Jan)**4. Supervisory Meeting (Mar/Apr)**5. Progression Board (May)6. Supervisory Meeting (Jun/Jul)**7. Bi-weekly registration for Tier 4 students only

For new students, those returning from interruption, etc., enrolment will take place at the time of joining, returning, etc. in the above cycle, the remainder of the schedule then being followed to the end of that academic year.

Supervisory Meeting Record forms must be completed for the three Supervisory Meetings and Progression forms for the two Progress Boards. These should all be returned to the Research Degrees Administration Team at the required intervals.


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*Note 1: This represents the minimum number of formal contact points. Tier 4 visa students may be subject to additional University monitoring requirements as stipulated by UKVI (UK Visas and Immigration).

**Note 2: The above 3 meetings with Tier 4 visa students must be face to face, email or Skype contact is not acceptable.

Supervisors should ensure that students are provided with adequate facilities and are given a full introduction to the University and the facilities available to them. The list below provides an overview of the general responsibilities for supervisors.

1. The team should have knowledge of a student’s subject area and/or theoretical approach to be applied;

2. If a student’s work goes significantly outside the supervisor’s field, to ensure that the student is put in touch with specialists either inside or outside Middlesex University who can help;

3. To ensure they themselves have regularly undertaken University Research Supervision training/updates, or appropriate external training, and that they are aware of current research degrees regulations and procedures;

4. To ensure regular supervisory meetings are held, as detailed above;5. To read and critically comment on written work as it is produced within the prescribed

timeframe;6. To assist new students to plan their time, draw up a programme of work and monitor

their subsequent progress;7. To submit timely student progress reports to the School Progression Board via the

Research Degrees Administration Team (twice a year);8. To ensure that the student is made aware if either their progress or standard of their

work is unsatisfactory and to arrange any necessary supportive action;9. To advise on research training opportunities which complement the field of research.10. To give advice on publication and writing up the research work. The supervisor should

ensure that the student receives recognition for their contribution to any publication, according to the usual conventions in the field;

11. To read the final draft of the thesis before it is submitted and offer advice and comment;12. To make clear the institution’s regulations governing the conduct of examinations and to

conduct a mock viva, if required, in advance of the actual event;13. Liaising with the Research Degrees Administration Team to ensure that the student is

enrolled and outstanding fees have been paid; 14. Ensure Tier 4 students are regularly engaging with UKVI requirements and due process

is followed where authorised absence requests are made.

*Note: Students not enrolled or carrying financial holds will be contacted during the University no show process and risk de-registration from their programme. Supervisors will be informed of students in this category.

3.4 Research Student Responsibilities

It is the research student’s responsibility to:1. Contact their supervisor as soon as possible after they enrol and to introduce themselves

if they are not in contact already;2. To actively seek out the supervisor following enrolment and throughout the research

programme;3. Tier 4 students should also be aware of their responsibilities and requirements of the

UKVI and should keep in regular contact with their Supervisory Team, the Research Degrees Administration Team and the Student Visa Compliance Team;


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4. Maintain the progress of work in accordance with the stages agreed with the supervisory team;

5. Submit work in sufficient time to allow for comments and discussion and take note of the guidance and feedback from their supervisors before proceeding to the next stage;

6. Inform their supervisor of other people with whom their work is being discussed;7. Inform their supervisor of any periods of absence;8. Ensure that any change of their contact details is updated regularly on their myUnihub

account;9. Take the initiative in raising potential problems or difficulties that may crop up, with the

supervisory team, Research Degrees Coordinator and/or Research Degrees Administration Team;

10. To complete and submit the thesis within the prescribed candidature period;11. Provide an electronic copy of their final thesis for submission to the University’s

Research Repository, along with a completed and signed Research Repository agreement. The final award will not normally be made without both being submitted to the Research Degrees Administration Team as per the University regulations;

12. Be aware of the University's relevant Research Degree Regulations and regulations regarding student conduct and discipline which are contained within the University Regulations document;

13. To be aware of the required number of hours they should commit to their research; it should be at least 35 hours per week for a full-time student and at least 17.5 hours per week for a part-time student.


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4. Collaborative Research Provision

Approval for the delivery of research programmes (MPhil, PhD) by collaborative partners will be undertaken via extension of institutional approval (for the institutional approval process, see LQE handbook, section 5). For collaborative partners wishing to offer professional doctorate programmes, approval will be via a validation event (see LQEH section 3). Where partners wishing to run research programmes are not already institutionally approved by the University, a joint institutional approval and extension process will be undertaken. The purpose of such approval is to assure the University that the partner is able to provide an appropriate educational experience for students registered for Middlesex University research awards.

Extension of institutional approval for the purpose of offering research programmes will be granted following consideration of documentation submitted by the Partner Institution, an institutional visit and responses by the institution to any conditions set. The following documentation will be required:

1. Partner institution research policy; 2. Research regulations and procedures;3. Research and associated deliberative committee structure;4. Student support arrangements (to include staff, support services, physical space to

carry out research, internal resources and access to external resources);5. Arrangements in place for the selection and training of Directors of Study and

Supervisors or Academic Advisers (including qualification level and experience);6. Arrangements for the collection and evaluation of feedback from Supervisors or

Academic Advisers on their students;7. Arrangements in place for all stages of student progression;8. Details of other research collaborations;9. Arrangements in place for the assessment of research students;10. Copy of information to be provided to research students (e.g. handbooks) and of any

advertising material;11. Arrangements for the provision of research methods and related training;12. Arrangements for the ethical approval of student research projects.

The Chair of the panel must have experience of the University’s quality assurance processes for research degrees.

An extension to institutional approval to include research may be granted following consideration of the institutional visit report and responses by the institution to any specific conditions. Only the designated member of Executive, or in her/his absence the Vice-Chancellor, may grant the extension.

Following the granting of approval, appropriate agreements (Partnership Agreement, Memorandum of Co-operation, Administrative and Operational Annexe) will be signed.

4.1 Oversight and Review

A University Link Tutor, together with the counterpart at the Partner Institution, ensures the smooth running of the day-to-day operation. Partners will submit Annual Monitoring Reports in respect of the research programmes (LQEH, section 7).


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The arrangements will normally be reviewed during the Institutional re-approval process. The documentation collected for institutional re-approval will include, inter alia, outcomes of annual progression meetings and the number of degrees awarded.

5. Application, Selection and Admission

All applications for research degrees, other than those offered by collaborative partners, must be made online. Applicants are required to create an Applicant Portal account in order to use the online application system, where they can submit their application, track progress, upload supporting documents/portfolio and make subsequent applications. More information is available at: http://www.mdx.ac.uk/courses/postgraduate-research-degrees

Some applications remain in PDF/Word format. These can be downloaded via the Applicant Portal and when complete can be sent, together with supporting documents, to: [email protected] . Further guidance is available at: http://www.mdx.ac.uk/courses/help-with-your-application/research-applications .

Applications for research degrees offered by our collaborative partners should be made direct to the partner using the appropriate application forms.

5.1 Entry Requirements

Research students should have a good honours degree or relevant professional experience. A masters degree in a relevant subject area is desirable but not always essential. Potential applicants should also have research interests which match the expertise of the academic staff/potential supervisors. Acceptance is based on a formal application and an interview. Applicants for MPhil/PhD and ArtsM/D are also expected to have prepared an outline research proposal at the point of application (see below). MProf/DProf applicants are required to prepare a Programme Plan and make an oral presentation to a Programme Approval Panel which will determine whether a candidate proceeds to an MProf or DProf award. (See MProf/DProf Programme Handbook for further details)

Non-native speakers of English must provide evidence of competence in both written and spoken English. The minimum International English Language Testing Service (IELTS) level currently accepted by the University is 6.5. Selective other equivalent tests are accepted.

An application from a person proposing to work outside the United Kingdom will be considered and registration as a Distance Learning student will be considered provided that:

a. There is satisfactory evidence as to the facilities available for the research both in the University or partner institution and abroad;

b. The arrangements proposed for supervision enable frequent and substantial contact between the candidate and the supervisor(s). The candidate should normally spend no less than 2 weeks per year at the University or Partner institution.

5.2 Research Proposal

All MPhil/PhD and ArtsM/D applications must be accompanied by a research proposal indicating the area of research of interest. The proposal will typically be approximately three to four sides of A4, and should outline the research area, give a brief indication of the work already carried out in the


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field, identify the central research question(s) of the proposal, discuss the proposed research methodologies, discuss any ethical issues raised, identify potential resources to be used and give a brief indicative bibliography.

Research proposals usually identify a 'gap' in the literature, which the author intends to fill. This gap can take many forms: e.g. extending an established method to a new area of study; a critical evaluation of existing theories; the discovery of new facts through empirical research and so forth. The proposal needs to demonstrate that the applicant has identified an issue that needs to be investigated and the reasons why they feel it is important.

Applicants should consider what their sources will be and whether they will be able to gain access to them. Other factors that may also affect the proposal submitted are whether full or part-time study is proposed, whether there are restrictions on time, funds, and travelling, or if knowledge of another language is required.

5.3 Application Procedure

Applications may be submitted at any time and will be considered on a continuous basis throughout the year.

All applicants are required to submit the following:1. A completed Application Form ;2. A completed Research Proposal (where required);3. Copies of Certificates;4. Two recent references;5. Other documents (e.g. sponsorship letter if not self-funded).

The completed Application Form, Research Proposal and other documentation must be submitted via the by email to: [email protected] as appropriate.

Upon receipt, the applicant is given a reference number and the details are recorded on a tracking database, accessible to all staff involved with research degrees.

Applications are forwarded to the Research Degree Co-ordinator in the appropriate Faculty who will perform an initial evaluation and either reject at that stage (e.g. the proposed research may be in an area that the University is unable to support) or forward on to the appropriate department. There it will be reviewed and a decision form will be completed and returned by email to: [email protected].

The decision may be:

1. Reject with feedback to applicant;2. Refer back for further work on the research proposal, e.g. update literature review,

review methodology;3. Invite for interview.

The normal turnaround time for the decision from a Faculty is fifteen working days.

5.3.1 Applicants with Advanced Standing

Direct registration for PhD, ArtsD or DProf is not normally permitted. Exceptionally, and only by the agreement of the Research Degrees Board, candidates may be registered direct where, for


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mailto:[email protected]


http://www.mdx.ac.uk/courses/help-with-your-application/writing-a-research-proposal

http://www.mdx.ac.uk/research/applications/apply/index.aspx#forms

example, an applicant has previously undertaken research as a registered candidate for a research degree elsewhere. Under such circumstances, the Faculty Research Committee or the research team at the partner institution 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.

Any candidate registered direct for a PhD, ArtsD or DProf will be required to produce a Confirmation Report no later than half way through their period of research (e.g. after two years for PhD by full-time study and after three years by part-time study).

This Confirmation Report will be treated in exactly the same way as a transfer report (see Section 5.3) and a decision will be made at Faculty level whether registration should continue for a PhD, ArtsD or DProf.

5.3.2 Applicants for Research Degrees by Public Works

The applicant must have made a personal, systematic, study normally on a single or predominant theme with unity, continuity, and convergent treatment among the works that make a distinct and significant contribution to knowledge.

Applicants should complete the standard application form and return this together with the current non-returnable application fee to Academic Registry. The application will be forwarded to the appropriate Faculty or the partner institution where the quality and quantity of the public works will be assessed and verified.

Applicants whose list of publications or other public works includes works of joint authorship must submit a signed statement to clarify his/her own contribution to these works. In the case of works of art, the collaborators shall sign such a statement.

5.4 Interview

Applicants invited for interview will be notified by the Research Degrees Administration Team, who will make all the necessary arrangements.

Overseas students, and others by request, may be interviewed by Skype or equivalent. Where this is the case, it should be confirmed that it is the applicant who is presenting (e.g. by viewing passport) and a record of the interview should be retained (UKVI requirement for international applicants).

The interview panel will comprise at least two suitably qualified members of academic staff, the potential DoS/Advisor and an independent member who may also double as the chair.

An interview proforma is available but faculties/departments may adapt this to suit their own particular circumstances and needs.

At the conclusion of the interview, the chair will ensure that the interview report form is completed and returned to the Research Degrees Administration Team via [email protected]. The decision may be:

1. Reject with feedback to applicant;2. Refer back for further work on the research proposal, e.g. update literature review, or revise

methodology;3. Conditional offer, e.g. awaiting outcome of Masters result, satisfactory references, or required

IELTS;4. Unconditional offer.


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The Research Degrees Administration Team will inform the applicant of the outcome.


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5.5 The Offer Letter

The Research Degrees Administration Team will prepare an offer letter, using a standard offer proforma, for the successful applicants, which is signed by the Chair of the Research Degrees Board. This forms the basis of an official contract between the University and the applicant.

The offer letter includes:1. The start date and timescale for the research;2. The title of the degree (e.g. MPhil/PhD);3. The mode of study (e.g. f/t, p/t);4. The fees;5. The Director of Studies;6. The Faculty, School or Department;7. Details on how to enrol.

Applicants are required to sign and return a copy of the offer letter to confirm their acceptance.

5.6 Enrolment

Once an offer of a place to undertake a research degree has been made and accepted, a student can enrol. Enrolment is the process through which a student officially registers with the University and pays fees. This is all completed online through MyUnihub. It is the responsibility of the student to enrol and that of the supervisor to ensure this has happened. Students must re-enrol for each academic year. Supervision cannot take place if a student is not enrolled.

Students in receipt of financial awards are usually required to start at the beginning of an academic year (October). Research Students can commence their programmes at any time subject to agreement by the supervisors and Faculties but it is recommended that they start at one of the two standard intake dates per year, October and January.

5.7 Induction

The Research Degrees Administration Team organise an induction for all new research students who will be sent an invitation – attendance is essential. This is normally at the beginning of October and January. Credentials will be verified and ID checks carried out during induction.

At induction students are introduced to the University campus, its facilities, learning resources, details of the research degree training programme, and an overview of the University’s policies and procedures for research degrees. It also provides an opportunity for students to meet other research students and academics from the Faculties.

Directors of Study/Advisors are expected to attend relevant sessions of the induction programme and they should liaise with the Research Degrees Administration Team to ensure that any students who join outside of our main cohort start dates, or who cannot attend these sessions, receive a full induction to the University.


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https://myunihub-1.mdx.ac.uk/cas-web/login?service=https%3A%2F%2Fmyunihub.mdx.ac.uk%2Fc%2Fportal%2Flogin

6. Research Degree Progress and Review

6.1 General

6.1.1 Ethics Approval

All students must apply for ethical approval for their research before undertaking any data collection. A completed and approved ethical approval application must be presented at the Registration Panel if data collection has begun, or must be submitted as a draft application as part of the Registration Report.

Where instructed, research students must apply for ethical approval for their research project as a whole as well as applying for approval for each research study.

Applications for ethical approval should be directed to the relevant Faculty committee for approval, as indicated on the appropriate form. This will be found on: http://unihub.mdx.ac.uk/your-study/research-at-middlesex/research-ethics

6.1.2 Risk Assessment

All students must complete a risk assessment for their research before undertaking any experimentation or fieldwork. A completed and approved risk assessment must be presented at the Registration Panel if experimentation or fieldwork has begun, or must be submitted as a draft as part of the Registration Report.

Risk assessments should be directed to the relevant Faculty committee, as indicated on the appropriate form.

Where instructed, research students must complete a risk assessment for their research project as a whole as well as applying for approval for each research instrument / experiment or set of experiments.

6.1.3 Faculty Progression Boards and Reporting progress

Each Faculty has a Progression Board, chaired by a Deputy Dean and attended by the Research Degree Coordinators, Directors of Studies and the relevant Research Student Support Officer.

The purpose of this Board is to:1. Monitor each student’s progress, timescale, and quality of research to date;2. Address any issues relating to lack of progress;3. Ensure adequate supervision is available to all students;4. Note any training requirements for either staff or students.

The relevant Research Student Support Officer is responsible for the administration of these boards which meet twice per academic year, once in November and again in May.

Approximately one month before the event the Research Degrees Administration Team will send out to each Director of Studies/Academic Advisor, and to each research student, a progression report form. This must be completed and returned to the Research Degrees Administration Team at least one week prior to the Board.


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http://unihub.mdx.ac.uk/your-study/research-at-middlesex/research-ethics

All enrolled students are considered at the Progression Board. If there are issues these will be addressed and, where necessary, referred for action by a nominated person. The Progression Boards report to their School Research Committee with a summary to Research Degrees Board.

6.2 Registration

Candidates for the award of an MPhil, MPhil/PhD or ArtsM/ArtsD are required to register for their degree within the first six months (full-time) or nine months (part-time) following initial enrolment. For candidates pursuing the award of MA, MSc, and LLM (by Research) registration shall not normally be later than two months after enrolment. This involves the establishment of a Registration Panel who meet to consider the submission. The panel should provide an opportunity for consolidation, clarification and discussion, and (if desired) for re-orientation. The panels are intended to be helpful and supportive.

The Director of Studies should propose the membership of the Registration Panel and submit this to the Chair of the Faculty Research Degree Committee for approval. The Panel should comprise a Chair, an independent reviewer and the Director of Studies, plus optionally the Second Supervisor.

The Chair should be an experienced researcher and doctoral supervisor, who should not be from the same subject area as the student. The chair is not an examiner but ensures that all Quality Assurance procedures are observed. See below 6.2.2

The Independent member of the panel should be a recognised expert in the field in which the student is researching but who is not part of the supervisory team.

Note: It is permissible for the independent member to also act as the chair but not for any member of the supervisory team to act in this capacity.

The candidate should submit the following paperwork for the Registration Panel to the Research Degrees Administration Team at least one week prior to the scheduled meeting date.

1. Completed and signed Registration Review form;2. Agreed ethical approval application;3. Completed and signed Risk Assessment form;4. The Registration Report.

The candidate should also prepare a short PowerPoint presentation, demonstration, performance, etc. as appropriate for the degree. This should normally be no more than 10-15 minutes in duration, to be followed by questions from the Panel.

6.2.1 Registration Report

The Registration Report will normally take the form of a written document (approx. 8-10 pages in length) but may also be based on other media (e.g. video, demonstration, etc.) subject to the agreement of the DoS and independent reviewer. All candidates are expected to make a short presentation (10 mins approx.) to describe their work.

Details of the methods to be employed and any preliminary findings should be clearly presented together with a clear plan and schedule for the proposed study.

6.2.2 Guidelines for the role of Chair on Registration Panels


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The chair is responsible for the conduct of the Panel, advising the assessors as necessary on matters relating to the Regulations or requirements for Registration. The Chair’s responsibilities include:1. Ensuring the venue and facilities available are appropriate for the conduct of the Panel;2. Welcoming and briefly explaining the Registration process and possible outcomes to

the candidate;3. Ensuring the Panel proceeds in an appropriate manner that offers the candidate the

best opportunity to present their work;4. Maintaining brief notes of the main points raised by the assessors;5. Facilitating the discussion of the Panel following the presentation and questioning;6. Completing the necessary report on the outcome of the Panel and returning this to the

Research Degrees Administration Team.

6.2.3 Guidelines for the role of Independent Reviewer on Registration Panels

The primary role of the Independent Reviewer on the Registration Panel is to provide critical and constructive feedback to the presenting student and to make a recommendation to the Panel regarding whether the registration can proceed.

The Independent Reviewer’s responsibilities include:1. Reading the student’s proposal and timetable;2. Providing feedback on the student’s presentation;3. Assessing the proposal for academic rigor, the student’s understanding of

research methods, the appropriateness of the methods used, and the relevance and quality of the literature;

4. Assessing whether the student’s timetable for the research is realistic and feasible5. Consideration of the Ethics and Risk Assessment;6. Writing a report following the student’s presentation and a discussion with the

student and the Panel, with a recommendation whether the student can be registered or not.

6.2.4 Possible Outcomes of the Registration Panel

Following the presentation and discussion with the candidate, the Panel will make one of the following recommendations:1. Pass: the candidate may proceed to Registered status;2. Conditional Pass subject to the satisfactory completion of minor revisions: the

candidate may proceed to Registered status following the completion of specified minor revisions and/or work to the satisfaction of the independent reviewer;

3. Revisions and further panel required: the candidate must complete further specified work and resubmit for assessment. A maximum period of three months will be allowed after which the candidate will be deemed to have failed;

4. Fail: The candidate is required to withdraw.

6.3 Transfer / Programme Plan Approval

Candidates for the award of an MPhil/PhD or ArtsM/ArtsD are required to transfer from MPhil to PhD or ArtsM to ArtsD within 18-22 months following Registration for full-time students or the part time equivalent. The purpose of the Transfer is to assess if sufficient progress has been made and that if continued is likely to produce new findings and/or insights in the chosen topic.

Candidates for the award of an MProf/DProf must submit a Programme Plan to a Programme Approval Panel. Full details can be found in Annex B.


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Candidates will be expected to have completed a substantial body of work and have updated ethical approval, and health and safety risk assessment, where necessary.

The Director of Studies should propose the membership of the Transfer Panel and submit this to the Chair of the Faculty Research Degree Committee for approval. The Panel should comprise a Chair, an independent reviewer and the supervisory team.

The Chair should be an experienced researcher and doctoral supervisor, who should not be from the same subject area as the student. The Chair is not an examiner but ensures that all Quality Assurance procedures are observed.

The Independent member of the panel should be a recognised expert in the field in which the student is researching but who is not part of the supervisory team. It should normally be a member of staff of the University, or partner establishment, but may be an external if no suitable internal assessor is available. If an external assessor is to be used, then they will need to be approved by the Faculty Research Committee, based on the same criteria as used when appointing external examiners for the final viva (see Section 7.3).

All applications for transfer must be approved by both supervisors and the appropriate Research Degrees Co-ordinator before being sent to the Research Degrees Administration Team.

6.3.1 Submission of Transfer Documents

Students are required to submit a transfer portfolio consisting of:

A completed and signed Transfer Application form A 500 word abstract A significant body of work demonstrating the status of the research material to date in

a coherent format and to an appropriate standard which demonstrates clearly an adequate understanding, knowledge and justification of appropriate research design and methods (6,000 to 10,000 words or equivalent). In the case of the ArtsM/ArtsD, it should include a significant sample of expert/professional art-making as research.

and

A critical evaluation of research progress to date and a clear explanation of future research to be done, its expected contribution to knowledge and/or new insights and a programme of work for completing the project to the required standard. This should be between 3,000 and 6,000 words (or a maximum of 3,000 work commentary on creative process and decision-making in the case of the ArtsD).

The report should explain how the project has altered from that proposed at registration and why, how the student plans to develop the work beyond what has been achieved so far and a revised timetable and milestones of their work towards PhD/ArtsD.

All students must also make a presentation (10 - 15 minutes) of their work, in an agreed format, to a transfer panel, before the transfer can be approved.

These requirements are the minimum set by the University. Faculty Research Committees or the research team at the partner institution may require further evidence of good progress.

These papers should be submitted to the Research Degrees Administration Team at least one week before the Panel


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6.3.2 Guidelines for the role of Chair on Transfer Panels

The Chair is responsible for the conduct of the Panel, advising the assessors as necessary on matters relating to the Regulations or requirements for Transfer. The Chair’s responsibilities include:1. Ensuring the venue and facilities available are appropriate for the conduct of the Panel;2. Welcoming and briefly explaining the Transfer process and possible outcomes to the

candidate;3. Ensuring the Panel proceeds in an appropriate manner that offers the candidate the

best opportunity to present their work;4. Maintaining brief notes of the main points raised by the assessors;5. Facilitating the discussion of the Panel following the presentation and questioning;6. Completing the necessary report on the outcome of the Panel and returning this to the

Research Degrees Administration Team.

6.3.3 Guidelines for the role of Independent Reviewer on Transfer Panels

The primary role of the Independent Reviewer on the Transfer Panel is to provide critical assessment of the portfolio presented and to make a recommendation to the Panel regarding whether the transfer can proceed.

The Independent Reviewer’s responsibilities include:1. Reading all relevant materials and documents that the student presents for Transfer;2. Providing constructive and critical feedback on the quality of the documents,

the student’s presentation and the research;3. Specifically, assessing the appropriateness and soundness of the research

methodology and assessing whether the research has been properly conducted;4. Commenting on the appropriateness of the data analysis and the hypothesis testing

strategy;5. Commenting on the appropriateness of the literature review and whether this is

properly comprehensive and features no serious omissions;6. Commenting on the theoretical soundness or appropriateness of the research;7. Suggesting alternative sources of literature and or different ways of approaching the

topic (if appropriate/desired);8. Commenting on any ethical issues that arise from the research;9. Assessing whether the student’s timetable for the remainder of the research

period is realistic and feasible;10. Writing a report following the presentation by the student and a discussion with the

student and the Panel, with a recommendation (advising transfer and not advising transfer at this stage). This is to be sent to the chair and members of the Panel.

6.3.4 Possible Outcomes of the Transfer Panel

Following the presentation and discussion with the candidate, the Panel will make one of the following recommendations:

1. Transfer: the candidate may proceed to PhD / ArtsD status;2. Conditional Transfer subject to the satisfactory completion of minor revisions: the

candidate may proceed to PhD / ArtsD status following the completion of specified minor revisions and/or work to the satisfaction of the independent reviewer;


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3. Revisions and further panel required: the candidate must complete further specified further work and resubmit for assessment. A maximum period of three months will be allowed after which the candidate will be deemed to have failed;

4. Fail: The candidate is required to withdraw.

The outcome is communicated to the candidate by the Research Degrees Administration Team and MISIS is updated.

6.4 Writing Up

All students are entitled to a 12 month ‘writing-up’ period during which time fees will not be charged. The 12 months writing-up period applies to both full-time and part-time students. It takes effect towards the end of the programme of study when the student has gathered all the data and is working towards structuring the work into a coherent thesis, and no longer requires access to laboratory, workshop or studio facilities. The writing-up period must be approved in writing by the student’s Director of Studies. It is the responsibility of the Director of Studies to notify the Research Degrees Administration Team in writing stating when writing-up takes effect.

A student who fails to hand in their thesis by the end of the writing-up year will be required to pay a fee of £2500 for every year they fail to submit the thesis and remain in writing up mode.

Bursary students who have not completed their studies by the expiry of their bursaries will become liable for fees.

6.5 Submission of Final Thesis

Students should submit 3 bound copies of their completed thesis along with all required paperwork to Academic Registry before the end of the 12 months writing-up period. The student should ensure that the thesis format is in accordance with the requirements of the University’s regulations and procedures.

A thesis for examination should normally only be submitted with the agreement of the Director of Studies/Advisor, but it is at the sole discretion of the student. The supervisory team have no authority to block the submission of a thesis where a student decides to act against their advice. Where a thesis is submitted against the advice of the supervisory team, the supervisors should inform the Dean of Faculty and Academic Registry immediately in writing. The University shall not inform any of the examiners of this fact but shall inform the Chair of the Examination Board.

The thesis and any associated materials will be sent to the examiners by the Research Degrees Administration Team who will then initiate the process to agree a date for the viva. The viva should normally take place within 2 months of the submission of the final thesis. All communication with the examination team should be via the Research Degrees Administration Team, there should be no direct contact between the candidate or the supervisory team, and the examiners.

6.5.1 Referencing and Citation

The work presented for examination must be the candidate’s own. The contribution made by others (e.g. where part of the work is conducted as a member of a team) must be clearly identified and acknowledged.


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Failure to adequately acknowledge the work of another through the accurate use of quotation marks and the provision of detailed references and a full bibliography will be deemed to constitute plagiarism. Plagiarism is the offence that occurs if another person’s published or unpublished work is represented as the candidate’s own by extensive unacknowledged quotation.

Further details are available at: http://libguides.mdx.ac.uk/plagiarismreferencing

6.5.2 Intellectual property

The research degree regulations state that the copyright in a thesis belongs to the student, as author of that thesis.

The position in respect of other types of Intellectual Property (for example, patents and registered designs) that might arise from a student’s doctoral work is less clear-cut and will depend on factors such as whether the research is externally funded and the terms and conditions of the funding contract prior to commencement of the research.

Students should be advised that certain types of Intellectual Property require a confidentiality agreement to be signed by all parties and, where a patent is the expected outcome, publication of the thesis or of articles based upon it, will often need to be deferred until the patent is officially put into the public domain.

Where forms of Intellectual Property are commercially exploited by the University, revenue sharing with the student will be on the same terms as those for academic staff. For further information see: http://unihub.mdx.ac.uk/Assets/IP-STUDENT-POLICY_ST

6.6 Interruption/Temporary withdrawal

Students may apply to temporarily interrupt their studies for a maximum period of time up to 12 months. The circumstances should be discussed with the Director of Studies/Advisor and their agreement and support obtained. An application to interrupt registration should then be made on the appropriate form and submitted to the chair of the Faculty Research Degrees Board for approval.

Following approval by the Faculty Research Degrees Board, the completed form and any supporting documentation should be forwarded to the Research Degrees Administration Team for final approval by the Research Degrees Board.

It is essential that the Research Degree Administration Team is notified of any interruption of studies and sent confirmation of the student’s return. This will be recorded on MISIS.

The start date for the period of interruption may be backdated but not beyond the start date of the academic year in which the application is made.

It is important to note that any International students taking an interruption for any reason will be required to leave the UK under the Government’s Tier 4 visa scheme.

6.7 Extension of Period of Registration

In exceptional circumstances it may be possible to extend the period of registration for up to one year beyond the maximum registration period permitted by the University regulations. An


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http://unihub.mdx.ac.uk/Assets/IP-STUDENT-POLICY_ST

http://libguides.mdx.ac.uk/plagiarismreferencing

application for extension must be made to the Faculty Research Degrees Committee, on the appropriate form, with the full support of the supervisory team and must state the reasons for the request.

All requests for an extension will need the formal approval of the Research Degrees Board.

6.8 Withdrawal of Registration

A student may decide to discontinue their studies at any time. The circumstances and reasons should be discussed fully with the Director of Studies/Advisor or other appropriate person (e.g. Chair of the Faculty Research Degree Committee). The Research Degrees Administration Team should be notified immediately of any decision of a student to withdraw permanently from their studies.

The Faculty Research Degrees Committee, through the regular Faculty Progression Boards, will review the progress of all students and reserves the right to withdraw a student’s registration because of lack of progress, or other good cause.

All such recommendations from Faculty Research Degree Committees will need the formal approval of the Research Degrees Board.

Students have the right to appeal any decision to terminate their studies prior to their completion.


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7. Examination of Research Degrees

7.1 Examination process for research degrees

Doctoral degrees are awarded when a candidate has investigated critically and evaluated an approved topic resulting in an independent contribution to scholarship which is worthy of publication in complete or abridged form. The candidate must have shown evidence of ability to undertake further research without supervision, and presented and defended a thesis, by oral examination to the satisfaction of the examiners.

Research degrees are assessed by at least two and normally not more than three examiners, of whom at least one shall be an external examiner. The internal examiner is defined as an examiner who is a member of staff of the University with relevant expertise, but not one of the candidate’s supervisors. If the candidate is currently a member of staff employed by Middlesex University then two external examiners must be proposed. Likewise, those who submit for a research degree by Public Works will require two external examiners.

The panel is chaired by an independent member of academic staff. The supervisors may attend as observers, but their attendance is subject to the agreement of the student and examiners.

The Director of Studies/Advisor should propose the examiners and chair for the candidate’s examination to the Faculty Research Committee via the Examinations Approval form. Application for approval of examination arrangements should be made at least three months before the expected date of examination. Following approval by the Faculty Research Committee, the completed application should be submitted to the Research Degrees Administration Team in Academic Registry for further check and approval by the Research Degrees Board and confirmation that an appropriate Right to Work check has been carried out for the external examiner(s).

Once the examination arrangements are approved, the Research Degrees Administration Team will make arrangements with the examiners and student for the examination to take place, in conjunction with the Director of Studies.

Students should submit the required number of copies of their completed thesis to Academic Registry at least 8 weeks prior to the viva. Usually 3 copies of the thesis are required for the examination panel but this should be confirmed with the Research Degrees Administration Team.

The candidate should ensure that the thesis format is in accordance with the requirements outlined in the Regulations for Research Degree Programmes.

A thesis should normally only be submitted with the agreement of the Director of Studies although ultimately it is the candidate’s decision.

7.2 Appointment and Role of Chair

The Chair should be an experienced member of staff who is independent of the candidate and has completed the appropriate training.

The Chair is responsible for the conduct of the Panel, advising the assessors as necessary on matters relating to the Regulations or requirements for award. The Chair’s responsibilities include:


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1. Receiving and reviewing the preliminary reports submitted by the examiners;2. Ensuring the venue and facilities available are appropriate for the conduct of the viva;3. Welcoming and briefly explaining the viva process and possible outcomes to the examiners

and the candidate;4. Facilitating the pre-viva discussion between the examiners and advising on matters relating

to the Regulations as necessary;5. Ensuring the viva proceeds in an appropriate manner that offers the candidate the best

opportunity to present their work;6. Maintaining brief notes of the main points raised by the examiners;7. Facilitating the discussion of the examiners following the presentation and questioning;8. Completing the necessary report on the outcome of the viva and returning to the Research

Degrees Administration Team.

7.3 Appointment, roles and responsibilities of the Examiners

The prospective examiners should be initially contacted by the DoS/Advisor to seek their agreement to be nominated for the role and to request a brief CV from the nominated external examiner. Once provisional agreement has been obtained, the necessary paperwork should be completed by the DoS/Advisor and submitted to the Faculty Research Committee as detailed above.

Full details of the requirements of the eligibility requirements for the examiners can be found in the Regulations.

The primary role of the examiners is to satisfy themselves that the portfolio of work meets the expected standard for the degree for which it has been submitted in terms of originality, rigor and significance, or impact.

Following appointment, the examiners will be sent a copy of the thesis and any other supporting materials by the Research Degrees Administration Team. Copies should not be sent directly by the DoS/Advisor, the candidate or any other person. The materials will normally be provided in electronic format but examiners may request paper copies if preferred.

The examiners consider the submitted materials and each complete an initial independent report on the work which must be returned to the Research Degrees Administration Team at least 5 working days prior to the agreed date of the viva. These reports are passed to the Chair for consideration but are not shared with the candidate or the supervisory team. Once all reports have been received by the Research Degrees Administration Team they are exchanged between examiners.

In the unusual case where the examiners are of the opinion that no useful purpose will be served in proceeding to the viva, the Chair in consultation with the Chair of the Research Degrees Board may agree to postpone the viva and refer the submission back for further work.In the normal case where the viva proceeds as planned, the examiners and candidate meet at an agreed date and time, when the work is presented and the candidate questioned to establish their suitability or otherwise for the award of the degree for which they have submitted.

All External Examiner appointments are subject to right to work checks prior to undertaking any work for the University. These checks will be undertaken by Academic Registry in accordance with University policy.

7.4 Outcomes of the examination process


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The examiners have a range of options open to them when making their recommendations, but the most common recommendations are:

1. The degree be awarded;2. The degree be awarded subject to minor amendments being made to the thesis;3. More substantial changes are required to the thesis and resubmission is permitted. There

may or may not be a further oral examination in this case;4. The degree not be awarded but the candidate may be recommended for an award at a

lower level;5. The degree not be awarded with no opportunity for resubmission.

Full details of the options available to the examiners can be found in the Regulations.

7.5 Re-examination

Normally only one re-examination will be permitted, full details of which can be found in the Regulations.

7.6 Awarding of Research Degrees

When the examiners are satisfied that the submitted work reaches the necessary standard, they will recommend that the degree be awarded. Their recommendation will be forwarded to the Research Degrees Board for ratification and, once approved, the candidate will be notified by letter, subject to the submission in electronic format of the final version of the thesis and a completed eRepository form.

Final checks will be made by the Research Degrees Administration Team and in due course the final certificate will be sent to the successful candidate together with an invitation to attend the next Graduation Ceremony.

7.7 Payment of Examiners

The Research Degrees Administration Team will make arrangements for external examiners to be paid the examination fee and up to a maximum of £200 for reimbursement of expenses. Where the expenses for an examiner exceed this value, the relevant Faculty is required to cover the balance through an internal recharge. Where the University Regulations require that two external examiners be appointed, the fee and expenses will be paid to both examiners, subject to the individual maximum for each as above.

Where a School chooses to appoint more than the minimum number of external examiners required for a given award (normally one), Academic Registry will only pay the examination fee and expenses of up to £200 for the minimum number of external examiners specified in the Regulations, the balance again being met by the relevant Faculty.


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8. Appeals

Research degree candidates have the right to appeal to Academic Board against decisions taken by the University Research Degrees Board upon the recommendations made by the examiners or by the Faculty Research Degrees Boards. This guidance applies to all oral examinations and extends to outcomes of any assessment panels.

An appeal against a particular decision may only be based on the grounds that there:

1. were circumstances affecting the candidate's performance of which the examiners were not aware at the viva-voca examination and which the candidate, for good reasons, could not divulge at the time (including the existence of exceptional circumstances which could not have been known to the candidate prior to the submission of the thesis);

2. is evidence of a procedural irregularity in the conduct of the examination (including administrative error) of such a nature as to cause doubt as to whether the result might have been different had there not been such irregularity;

3. is evidence of unfair or improper assessment on the part of one or more of the examiners.

Candidates may not challenge the academic judgement of the examiners and appeals made on this basis will be rejected.

Inadequacy of supervision or any other administrative procedure at any stage before the submission of the thesis should, in the absence of exceptional circumstances, have been dealt with under the Complaints and Grievance Procedure and under the University Student Charter.

A candidate wishing to appeal should give notice of his/her request for a review (intention to appeal) within one month of receiving the written decision of the Research Degrees Board of the outcome of the examination or re-examination.

Candidates must submit a written case for the review within a further month from the date of giving notice of the intention to appeal.

Written notice of the intention to appeal and the written case for review should be submitted to the Academic Registrar (or their nominee). The Academic Registrar (or their nominee) will be responsible for interpreting and applying University regulations as they apply to an appeal by a research degree candidate.

Candidates shall receive regular communication from Academic Registry regarding the progress of their appeal.

The procedure for considering an appeal shall be as follows:1. An Appeal Panel shall be established consisting of:

- the Academic Registrar (or nominee) who shall chair the panel;


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- at least two senior staff experienced in research degree supervision and examining who are not members of the Research Degrees Board, who shall be appointed by the Executive Dean with responsibility for research;

- a staff member of Academic Registry (Secretary).

2. Members of the Panel shall have had no previous involvement in the case. Previous involvement is defined as having supervised, advised, or counselled the candidate about the project or advised or counselled the supervisors about matters pertaining to the project. Consideration of the initial registration and/or subsequent transfer from MPhil to PhD registration etc. of a candidate by a member of the Research Degrees Board or a Faculty Research Committee does not constitute involvement.

3. The Review Panel shall consider the evidence which shall include:

- the candidate's written case- the examiners' reports;- the candidate's materials submitted by the candidate for the assessment to which the

appeal relates;- any other relevant papers.

The candidate shall have the right to be heard in person and to speak to his/her written case. S/he may be accompanied by a person of her/his choice, but may not seek legal representation at a hearing of the Panel.

The Appeal Panel shall have the power to invite the examiners to present an oral or written report to the Panel and shall normally do so.

The Appeal Panel shall have the power to question any member of the University staff, the candidate's external supervisor/s (if any) and the internal and external examiners.

Candidates shall receive a written statement of the reasons for failure prepared by examiners after the examination.

The Review Panel shall examine the case presented by the candidate, ensure that it falls within the remit of the University Regulations and establish whether there is a prima facie case as detailed above. It shall establish this principally by enquiring whether the final decision by the examiners was fair and sound.

The examiners shall be informed that an appeal has been made and told that the Panel may find it necessary to approach them on issues raised by the candidate.

The examiners shall be assured that issues to be considered by the Panel will be confined to those which fall within the scope of the University's Research Degree Appeals Regulations.

The Panel may need to meet on several occasions before determining its recommendations to the Research Degrees Board.

The examiners shall be informed of the outcome of the Panel's deliberations and of the decision of the Research Degrees Board.


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The Appeal Review Panel shall make one of the following recommendations:

1. that the appeal be rejected by the Research Degrees Board;

2. that the Research Degrees Board under powers delegated by the Academic Board, shall invite the original examiners to reconsider their decision in accordance with approved Regulations and Procedures;

3. that the Research Degrees Board appoint new examiners to conduct the examination as if for the first time.

The Panel has no powers to recommend that the original recommendation of the examiners be set aside other than in respect of the above.

The Research Degrees Board or Chair of this Committee shall receive the recommendations of the Review Panel and take appropriate action.

Academic Registry shall communicate the decision of the Research Degrees Board to the candidate setting out the reasons for the decision and informing the candidate that the Appeals Procedure of the University has been completed.

In normal circumstances, the University shall aim to complete the appeal process within four months from receipt of the full appeal.

Should the candidate wish to take the matter externally, to the Higher Education Independent Adjudicator (OIA), he/she must:

Step 1: view his/her appeal file (by contacting the Secretary to the Research Degrees Board, Academic Registry);

Step2: put any concerns about the appeal outcome, or its conduct, or the appeals procedures in writing to the Secretary of the Research Degrees Board. The candidate shall receive a full written response which includes confirmation that the internal procedures of the University have been completed.

Within 3 months of receiving notification that the internal procedures of the University have been completed, the candidate may approach the Higher Education Independent Adjudicator (OIA), enclosing a copy of the final decision of the University and stating reasons for redress. The OIA’s address is: 3rd Floor, King’s Reach, 38-50 King’s Road, Reading, RG1 3AA, UK. Email enquiries may be sent to: [email protected]. The website address is: www.oiahe.org.uk.


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9. Complaints and Grievance Procedures

These procedures seek to ensure that complaints against the University made by students are treated seriously and, if found to be valid, are acted upon to ensure that the students’ interests are protected as far as it is possible for the University to do so. However, it is desirable that, wherever possible, student complaints and grievances should be resolved at Faculty level (or, in the case of partner institutions, at partner institution level) so that these procedures do not need to be invoked.

Specific procedures exist for dealing with student complaints and can be found at: http://www.mdx.ac.uk/about-us/policies/university-regulations


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https://owa.mdx.ac.uk/owa/redir.aspx?SURL=X5yLSmUkRu7CZsqV4XPFyswbmpENMJcfZtmZuItXTESgzZ04R9PSCGgAdAB0AHAAOgAvAC8AdwB3AHcALgBtAGQAeAAuAGEAYwAuAHUAawAvAGEAYgBvAHUAdAAtAHUAcwAvAHAAbwBsAGkAYwBpAGUAcwAvAHUAbgBpAHYAZQByAHMAaQB0AHkALQByAGUAZwB1AGwAYQB0AGkAbwBuAHMA&URL=http%3A%2F%2Fwww.mdx.ac.uk%2Fabout-us%2Fpolicies%2Funiversity-regulations

Annex A

Committees

A.1 School Ethics Committee (SEC)

Terms of Referencea. To ensure that staff give close attention to ethical issues related to research, teaching

and institutional practice;b. To ensure that staff give close attention to ethical issues in their proposals for, and in the

conduct of research activities, whether externally or internally funded or unfunded;c. To ensure that staff development activities in the School include regular workshops on

issues relating to ethical procedures;d. To liaise with the University Ethics Committee;e. To liaise with the Faculty Research Degrees Committee on ethical issues;f. To ensure that close attention to ethical issues is given at the registration and transfer

stages of each doctoral student's career and to liaise with the Faculty Research Degrees Committee on this matter;

g. To institute a regular system of audit of the work of sub-committees to ensure continuing good practice and recommend improvements;

h. To receive reports from subcommittees on their activities and decisions at regular intervals;

i. To consider applications from individuals/institutions external to Middlesex University (MU) who wish to conduct research within MU and provide advice to relevant sub-committee;

j. To deal with complaints of ethical misconduct, that cannot be resolved at a lower level.

Terms of Reference of SEC’s sub-committeesa. To consider applications for research from both staff and students, involving human

subjects, human materials and other data;i. to either give written approval for such proposals or provide written information

as to why approval has not been given;ii. to consider revised submissions;iii. to refer to the University/Faculty Ethics Committee cases which cannot be

satisfactorily resolved or about which there is uncertainty;iv. to operate procedures no less rigorous than those suggested or required by

relevant professional bodies and other relevant local and national bodies/institutions;

v. to inform the Faculty Ethics Committee of any changes in the ethical codes of professional bodies in relevant discipline areas, in order that the Faculty’s and University's procedures remain valid.

b. To provide advice to those who are required to submit to an external research ethics committee on request.

c. To review and update relevant documents regularly.d. To conduct research ethics audit on a regular basis or as requested by the Faculty

Ethics Committee.


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A.2 Faculty Research Committee (FRC)

Terms of Referencea. Contribute to the development of University quality assurance procedures for research

degree provision and monitor their implementation at Faculty level.b. Approve the Faculty’s Research Strategy and Plan.c. Develop and monitor implementation of the Faculty’s quality assurance procedures for

research degree provision.d. Develop and monitor implementation of the Faculty’s Research Strategy and Plan and

ensure these are aligned with University strategies and plans.e. Monitor applications, registration, induction, progress and achievement of research

students.f. Monitor appointment, training and performance of supervisors and examiners.g. Consider and respond to the outcomes of internal audits of postgraduate and

research degree provision and monitor the implementation of actions in response to report recommendations.

A.3 Research Degrees Board (RDB)

Terms of Reference:

a. Act on matters relating to the maintenance of academic standards, including the appointment of research degree examiners and Chairs of oral examinations, for MU and partner institution candidates.

b. Oversee the examination process in respect of individual candidates of both University and the partner institutions by considering the examiners’ recommendations and determining research degree awards.

c. Agree and confirm the award of research degrees.d. Approve the names of research awards.e. Establish panels to consider applications for the award of higher doctorates and, in

cases where a prima facie case is established, to appoint and receive advice from appropriate external examiners.

f. Make recommendations, following receipt of advice from Higher Research Degree Panels, to Academic Board concerning applications for Higher Research Degrees.

g. Consider and decide upon appeals by candidates for a review of a research degree examination decision.

A.4 Progression Board

The purpose of this Board is to:a. Monitor each student’s progress, timescale, and quality of research to date.b. Address any issues relating to lack of progress.c. Ensure adequate supervision is available to all students.d. Note any training requirements for either staff or students.e. Where progression reports have not been received use the DD progression code – no

decision should be made without one and the Research Degrees Administration Team will follow up on this and once received will refer to the Chair for a decision.


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Annex B

Doctor in Professional StudiesProgramme Approval Panel and Research Ethics Sub Committee Procedures

The purpose of the Programme Approval Panel and Research Ethics Sub Committee is to approve a candidate’s programme for the award of Masters or Doctorate in Professional Studies. This is a compulsory part of the MProf/DProf programme. A decision regarding approval is arrived at on the basis of the candidate’s written Programme Plan & Research Ethics (DPS 4561) and the oral presentation of it to the Panel.

The Panel is a sub-group of the DPS Assessment Board. It may receive decisions of sub-Panels for ratification. In this case, the Chair of the relevant sub-Panel should attend the meeting in addition to the members listed below. The external examiners attached to the DPS Assessment Board have the right to attend any meeting of the Panel and will receive the minutes of Panel meetings.

1. Programme Approval Panel and Research Ethics Sub Committee membership and roles

Each Panel member has a different area of expertise: to offer the candidate thorough questioning to help the Panel reach a decision with regard to the approval of the candidate’s programme

Membership RoleAcademic Director of the MProf/DProf or nominee

Chair

A Middlesex University Director of Research (drawn from a Faculty on a rotating basis)

Independent observation of the approval process and evaluation of potential to reach MProf or DProf level.

Module Leader, DPS 4561 ‘Programme planning and rationale’ or nominee

Knowledge of the DPS 4561 module requirements. Will have assessed the candidate’s Programme Plan & Research Ethics.

Candidate’s programme adviser Knowledge of the candidate’s work on the programme so far. Will have assessed the candidate’s Programme Plan & Research Ethics.

Sub-Panel Chair (if applicable) Representation of the decisions of the Sub-Panel (reports from International Centres)

MProf/DProf Programme administrator

Secretary

Candidate’s potential consultant is not a formal Panel member, but presents written comments to the Panel. The consultant has knowledge of the candidate’s specialist field.


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2. Terms of reference of Programme Approval Panel and Research Ethics Sub Committee

To consider a candidate’s written Programme Plan, and the oral presentation of it, in order to determine whether together they constitute an approved pathway to the award of Masters in Professional Studies or Doctorate in Professional Studies.

To consider the appropriateness of the proposed title of the award, that is, the field of study identified in the brackets of the title.

The decisions open to the Panel are to: Approve the proposed programme Approve the proposed programme, if minor or major conditions are met within a specified

time Not approve the proposed programme. In this case, the candidate is allowed, as of right,

one further opportunity to resubmit the Programme Plan at a specified time, following revision

To receive decisions of sub-Panels for ratification (in reporting committees only). To make general recommendations about the MProf/DProf programme structure and

development to the MProf/DProf Board of Studies.

3. Approval criteria

In completing the ‘Assessment form for the oral presentation of a Programme Plan & Research Ethics (DPS 4561)’, Panel members should consider whether or not the programme as a whole, and the project in particular, has the potential to meet the appropriate Level descriptors.

4. Panel operation

4.1. Closed session

Prior to the first presentation at any Programme Approval Panel and Research Ethics Sub Committee, the Panel will meet normally for 20 minutes in closed session to conduct the following business:

4.1.1. Receive the revised work of candidates that have met conditions from the previous Board and have been signed off

4.1.2. The Chair will remind Panel members of the following: the main purpose of the Panel is to approve, approve with minor or major conditions, or not

approve a candidate’s programme for the award of MProf or DProf all Panel members should complete the ‘Assessment form for the oral presentation of a

Programme Plan and Research Ethics (DPS 4561)’. Completed forms should be returned to the Panel secretary before the Panel concludes.

Due to the short time allocation per candidate, Panel members should prioritise questions to the candidate on areas related to their role on the Panel (see Section 1).

one hour is allocated per candidate, divided in the following way: 15 minute presentation by candidate 15 minute discussion, based on questions to the candidate from members of the Panel 15 minute closed session, for the Panel only, to agree a decision 15 minute Adviser Feedback Session

the candidate will have received a copy of the Programme Approval Panel and Research Ethics Sub Committee Procedures


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4.2. At the start of each presentation

The Chair will remind the candidate of the following: the time allowance for the presentation (20 minutes) and discussion (30 minutes)

4.3. After the Panel is concluded

The outcome of the Panel will be notified to the candidate in writing by the Programme Administrator, in consultation with the candidate’s programme adviser. The outcome letter to be sent within five working days.

4.4. Receipt of revised Programme Plan and Research Ethics

Candidates whose programmes have been approved with conditions are required to submit a revised Programme Plan and Research Ethics by the date requested in LetPAPc1 (usually the semester deadline). The adviser is responsible for checking whether the conditions have been met satisfactorily and registering the outcome on g:/DPScomments/DPS4561Assess-PAP. This will be tabled at the next PAP.

Papers to be tabled at PAP

Assessment of the written Programme Plan & Research Ethics by the candidate’s adviser and the DPS 4561 Module Leader

Comments on the Part 2 project(s) by the candidate’s consultant The candidate’s Programme Plan & Research Ethics (2 copies – for Chair and Director

of Research) ‘Programme Approval Procedures’, agenda and ‘Level 8 descriptors’ (copies available -

sent to all Panel members previously) ‘Assessment form for the oral presentation of a Programme Plan & Research Ethics

(DPS 4561)’ (copy to all Panel members) ‘Outcome of Programme approval Panel and Research Ethics Sub Committee form’

(copy to Chair of Panel) Minutes of previous meeting and associated paperwork


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Annex C

Links to Policies, Guides and other useful documents

A list of the main University policies and procedures can be found on the Intranet at:http://unihub.mdx.ac.uk/your-study/research-at-middlesex/research-policies-procedures-and-regulations

Guidance and application forms for Ethical approval can be found on the Intranet at:http://unihub.mdx.ac.uk/your-study/research-at-middlesex/research-ethics

Guidance on Open Access publishing can be found at:http://www.mdx.ac.uk/our-research/open-access

The Concordat to Support Research Integrity can be found at: http://www.universitiesuk.ac.uk/policy-and-analysis/reports/Pages/research-concordat.aspx

The UK Quality Code for Higher Education - Chapter B11: Research degrees can be found at:http://www.qaa.ac.uk/en/Publications/Pages/Quality-Code-Chapter-B11.aspx#.VgSApH36hoc

The University Research Degree Regulations can be found at:http://www.mdx.ac.uk/about-us/policies/university-regulations The University Learning and Quality Enhancement Handbook can be found at:http://www.mdx.ac.uk/about-us/policies/academic-quality/handbook


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http://www.mdx.ac.uk/about-us/policies/academic-quality/handbook

http://www.mdx.ac.uk/about-us/policies/university-regulations

http://www.qaa.ac.uk/en/Publications/Pages/Quality-Code-Chapter-B11.aspx#.VgSApH36hoc

http://www.universitiesuk.ac.uk/policy-and-analysis/reports/Pages/research-concordat.aspx

http://www.mdx.ac.uk/our-research/open-access

http://unihub.mdx.ac.uk/your-study/research-at-middlesex/research-ethics

http://unihub.mdx.ac.uk/your-study/research-at-middlesex/research-policies-procedures-and-regulations

http://unihub.mdx.ac.uk/your-study/research-at-middlesex/research-policies-procedures-and-regulations

Annex D

Procedures for submission of theses and related materials

SubmissionAll candidates of the University and partner institutions who have been awarded research degrees are required to submit to the University one copy of the thesis/dissertation (or equivalent materials where appropriate) in a suitable electronic storage medium (as decided by the University) together with a completed Middlesex University Research Repository Agreement Form signed by the author and their principal supervisor or director of studies. The electronic copy submitted to the University becomes the property of the University, but this does not confer any ownership of copyright or other intellectual property rights in the submission on the University.The electronic submission is delivered to the Academic Registry. The Registry team will check that the documentation is complete and then pass a copy of the submission with the Repository agreement form to the Repository team at [email protected]. Deposit of supplementary materials is at the discretion of the author, and such materials will only be stored in the Repository where all intellectual property rights owners have agreed to allow the materials to be placed on open access.

File formatsText documents including the agreement form should be supplied in Adobe pdf format, and any supplementary materials such as image, sound, or movie files should be supplied in formats that can run in standard internet browsers, e.g. JPEG, MPEG, AVI, etc.. DVDs cannot be stored on the Repository without conversion to a net-friendly format.

Access to full text, abstract, and metadataThe Repository team will upload the submission to the Repository with access to the full text set according to the requirements specified on the Repository agreement form. Restricted access (cannot be downloaded by anybody outside the Repository team) may only be applied with the authorisation of the Research Degrees Board. This authorisation must be certified when applicable by the academic supervisor or director of studies countersigning the Repository agreement form. Where access restriction is specified the duration of the embargo must be stated in the agreement form. The maximum permissible duration for an embargo is 100 years. The Repository software will lift the embargo automatically at the end of the embargo period.In all cases except patent applications, the abstract and metadata describing the thesis, project, or context statement will be placed on immediate open access. Metadata and abstracts of all doctoral theses uploaded to the Middlesex Repository are harvested by the British Library and placed on open access in their EThOS database. Full text of unembargoed theses is also harvested by EThOS, but full text of embargoed theses is not harvested until the embargo has been lifted.

Patent applicationsTheses identified on the Repository agreement form as containing a description of an invention for which a patent is to be sought will not be uploaded, nor described in an entry in the Repository, until the patent application has been processed. Thus there will be no access to metadata, abstract, nor full text until the application is complete. This is because in UK law publication of any description of the invention, however brief (e.g. thesis title), prior to the application will prevent the grant of a patent.

Access to restricted works: “request a copy” buttonThe Repository agreement form accompanying the submission requires the candidate to specify whether a “request a copy” button is to be included in the Repository record containing the submission. This electronic button allows anyone to request a copy of the submission from the


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candidate via an online contact form, provided that a current email address for the candidate is also included in the Repository record containing the submission (the email address is not displayed to requesters). In response to these requests the author may decline, supply a personal copy directly to the requester, or authorise the Repository team to supply a copy to the requester. In cases where the candidate has opted not to include a “request a copy” button in the record, nobody will be permitted to view the submission until the end of the embargo.

Access to restricted works: redacted additional copyWhere the University’s Research Degrees Board has agreed that the confidential nature of the candidate's work is such as to preclude the submission being made freely available, the candidate may also submit, with the complete original copy, an additional copy of the submission from which the confidential or legally restricted elements have been redacted, to be placed on immediate open access in the Repository alongside the restricted complete copy. The redacted additional copy must contain the phrase “redacted - for immediate open access” on the first page when it is supplied.

Removal of theses and related materials from the RepositoryThe Repository is a permanent archive of research work by Middlesex University staff and alumni. Accordingly entries will only be completely removed in cases of erroneous upload or falsified research. Authors of submitted works may however request that full text originally placed on open access be changed to restricted access, provided that they have obtained the authorisation of the Research Degrees Board. Evidence of Research Degrees Board agreement should be supplied in the first instance, but where there is a legal issue such as copyright the Repository team will place the full text on restricted access immediately on receipt of a plausible withdrawal request pending further investigation.

Removal of harvested copies of full textWhere full text initially placed on open access in the Repository is subsequently restricted, harvested copies may remain on open access in the British Library’s EThOS and in CORE, the Open University’s “Connecting Repositories” project which harvests all full text from participating repositories to a central database and provides similar document suggestions with all search results in the Middlesex Repository. When the Repository team withdraw full text from open access, they will check for copies on EThOS and CORE and ask the service providers to remove any harvested copies of the withdrawn document; however the University cannot ensure that all such harvested copies are withdrawn and cannot undertake further checks. Assuring removal of such harvested copies therefore remains the responsibility of the author.

Further informationFor further information on Middlesex University Research Repository procedures and policies, please see http://eprints.mdx.ac.uk/information.html (FAQs), http://eprints.mdx.ac.uk/policies.html (policies), or email [email protected] .


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http://eprints.mdx.ac.uk/policies.html

http://eprints.mdx.ac.uk/information.html

Annex E

Forms

1. Application Form (MProf/DProf)

2. Application Form (All other research Degrees)

3. Application Decision Form

4. Interview Proforma

5. Offer Letter Proforma (Home/EU)

6. Offer Letter Proforma (International)

7. Offer Letter Proforma (Bursary)

8. Supervisory Record Form

9. Progress Report Form (DoS)

10. Progress Report Form (Student)

11. Registration Application Form

12. Transfer Application Form

13. Application for Appointment of Examiners

14. Preliminary Examination Report Form

15. Recommendation of the Examiners

16. Outcome of Panel

17. eRepository Form

18. Extension of Studies Form

19. Application for Change of Supervisor

20. Interruption / Withdrawal Form


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