Regulation 2: Regulations for research degree awards

2.1 Awards
2.2 Entry requirements
2.3 Enrolment requirements
2.4 Supervision
2.5 Residence and attendance
2.6 Progress and programme transfers
2.7 Assessment requirements
2.8 Academic appeals and hearings
2.9 Regulations for PhD by publication

2.1 Awards

Research degrees that may be granted by the University are listed in Appendix 1.

In order to qualify for a research degree, students must:

(a) Meet the specified entry requirements

(b) Pursue the programme of study prescribed for the specified period of enrolment

(d) Fulfil all other progression and programme requirements specified, including successful completion of the University’s Online Research Integrity Tutorial

(e) Pay such tuition fees as may be prescribed.

(f) Meet the specified assessment and examination requirements, including the final thesis or research project and, where required, an oral examination.

Failure to meet the requirements set out in 2.1 (a) to (f) above may result in a student not being permitted to enter for assessments or examinations for the specified award.

2.2 Entry requirements

To be admitted to a research degree programme, a candidate must:

(a) Hold a relevant first degree of this or of another university recognised by the Senate for this purpose, or have qualifications or related experience recognised by the Senate as equivalent to a relevant degree.

(b) Submit the subject of his/her higher study or research to the Board of Studies concerned for approval prior to admission.

2.3 Enrolment requirements

(a) General research degree requirements, including the required periods of enrolment for awards, are specified in the Policy on Research Degrees. These publications are available on the York Graduate Research School web pages.

(b) With the approval of Senate, prior learning and achievement relevant to the programme concerned may be recognised through the reduction of the period of enrolment. Parameters and procedures for this are specified in the Policy on Research Degrees.

(c) Specific programme requirements are as approved by the York Graduate Research School on the recommendation of the Board of Studies concerned. Programme requirements are specified in relevant departmental documents.

(d) Students enrolled for a research degree may not be enrolled at the same time for another research degree, unless such enrolment forms part of a collaborative programme of study approved by the University.

(e) Students are not normally permitted to count the same period of enrolment for the award of a research degree and a taught degree unless this forms part of a programme of study that has been approved by the University.

(f) The amount of time that students on full-time research degree programmes may spend on paid employment and voluntary work, and exceptions to these requirements, is set out in the Policy on Research Degrees (PoRD).

(g) In addition to completing their enrolment by the enrolment deadline, all students must provide the University with current, valid identity documents to evidence their eligibility to study in the UK. Failure to provide ID or present documents for verification as required, will result in the University withdrawing the student from study.

(h) Sponsored international students must comply with the conditions of their visa, the Terms and Conditions for Sponsored students and with all associated University policy. Failure to comply may result in the University withdrawing the student from study.

2.4 Supervision

See also 2.3 on enrolment requirements.

(a) Students on research degree programmes are allocated a supervisor, who is a member of University staff. An additional supervisor may be appointed where desirable. This may be a requirement of specified programmes.

(b) In the case of collaborative programmes, approval may be given for a supervisor (or additional supervisor) to be appointed from the collaborating institution or organisation. This may be a requirement of specified programmes.

(c) Students enrolled on the degree of EngD shall have at least two supervisors, one of whom must be a member of University staff. In addition, an industrial supervisor who is employed by the industrial organisation associated with the programme of study must also be appointed. The University may appoint a third supervisor, who may be a member of staff at another university.

(d) Students are required to attend supervisory meetings at least every 6-7 weeks. Requirements for more frequent meetings and/or for meetings with additional supervisors will be specified by the Board of Studies concerned.

(e) All supervisors for research degrees are appointed by the Board of Studies concerned.

2.5 Residence and attendance

See also 2.3 on enrolment requirements.

(a) Research students who are in their normal period of enrolment should reside in the UK and within reasonable travelling distance of the University of York unless: (1) they are on an approved distance learning programme, or (2) they are on an approved collaborative programme that requires residence away from York, or (3) a period away from York is required for programme-related reasons (for example, data collection, placement or mobility period) in accordance with the time-limits and approval requirements in the Policy on Research Degrees, or (4) an individual exemption is approved by Special Cases, or (5) a University-wide exemption is approved by YGRS for contingency reasons. Students are required to provide the University with accurate and up-to-date contact details.

(b) Students are expected to engage with the academic requirements of their programme (see 2.3) unless they are: (1) taking annual leave in accordance with the Policy on Research Degrees, or (2) are taking an approved break from their programme on medical or personal grounds in accordance with the Policy on Research Degrees.

2.6 Progress and programme transfers

(a) Students must meet progression requirements as specified in the Policy on Research Degrees and in programme documentation. Students who fail to meet progression requirements will not be permitted to continue and their enrolment with the University may be terminated or, where permitted, transferred to another programme.

(b) Students may appeal against decisions on academic progress. Such appeals can be made to Special Cases (see Regulation 2.8 below).

(c) A student enrolled on a research degree programme may request a transfer to a different research degree where such degrees are available and provided that such transfer takes place before the thesis is submitted.

2.7 Assessment requirements

2.7.1 Introduction

Detailed assessment requirements and procedures for the award of research degrees are set out in the Policy on Research Degrees. For the award of the degrees of MPhil, PhD, EngD, MA or MSc by Research a student must:

(a) present a thesis according to the requirements set out in 2.7.2 below, and

For the awards of MPhil, PhD and EngD, a student must additionally:

(b) present him/herself for an oral examination on the subject of his/her advanced study.

For research degree programmes, any further assessment requirements specified in programme documentation should be regarded as progression requirements.

2.7.2 Theses

(a) Word limits for theses are prescribed by the Board of Studies concerned.

(b) Students who wish to submit a thesis more than three months before the end of the specified enrolment period for the award must seek approval from the Standing Committee on Assessment with the support of the Board of Studies concerned.

(c) Students are required to submit a thesis within the maximum period of enrolment for their specific research degree programme as set out in the Policy on Research Degrees, unless they take an approved Leave of Absence or have appropriate grounds for an extension. In such instances, extensions may be recommended by the Board of Studies concerned for approval by Special Cases. The extension shall not normally exceed two years. Extensions will be granted only in cases where the candidate’s work has been hampered by exceptional medical or personal circumstances or exceptional circumstances arising from employment. In each case supporting documentary evidence must be made available.

(d) Theses should be presented and submitted in accordance with the rules as set out in the Policy on Research Degrees.

(e) Students are not permitted to submit a thesis containing work that has already been submitted for the award of a degree or other qualification conferred at this or any other university without proper acknowledgement of the work and any award which was granted for it.

2.7.3 Examiners

(a) Candidates for research degree awards, with the exception of any candidate referred to in paragraph (b) below, shall be examined by at least two and not more than three examiners. The number of examiners who are not members of the academic staff of the University shall always equal or exceed the number of those who are.

(b) In the case of candidates for jointly awarded research degrees the details of examiner membership must be clarified in the degree programme specification and approved by Senate.

(c) Any candidate for a research degree award who, at any time, during the five years prior to the date on which he/she submits his/her thesis for examination, has been a member of Academic, Research or Teaching staff of the University shall normally be examined by at least two and not more than three examiners, two of whom shall not be members of the academic staff of the University in accordance with the Policy on Research Degrees. Exemptions from this requirement may only be made by the Standing Committee on Assessment on the recommendation of the Board of Studies concerned.

(d) Candidates for jointly awarded research degrees shall be examined under arrangements approved by Senate, taking into account the provisions of paragraphs (b) and (c) above.

(e) Procedures for the appointment of internal and external examiners are set out in the Policy on Research Degrees.

(f) A candidate’s supervisor shall not be appointed as the internal examiner.

2.7.4 Examinations

(a) No candidate shall be admitted to any examination unless s/he has satisfied the requirements laid down in the Ordinances and Regulations, or has been exempted from any requirements by the Standing Committee on Assessment, on behalf of Senate on the recommendation of the Board of Studies concerned.

(b) Candidates for the award of the degrees of MPhil, PhD or EngD must present themselves for oral examination on the subject of their advanced study or research. Any exception to this requirement must be approved by the Standing Committee on Assessment acting on behalf of Senate on the recommendation of the Board of Studies and a note on the circumstances in each individual case included in the Examiners’ report.

(c) An oral examination may be a specified programme requirement of an MA or MSc programme by research. Where not required by the programme, an oral examination may nevertheless be required for an individual candidate, at the discretion of the examiners, in order to ensure that the work submitted for examination is the candidate’s own or that the candidate meets the standards required for the degree.

(d) Following the examination the examiners may make one of the following recommendations:

(1) that the candidate be awarded the degree: (ia) with no corrections to the thesis being required; or (ib) subject to corrections being made to the thesis in not more than three months OR six months to the satisfaction of the examiners (in the case of a Masters by Research, the correction period should not exceed two months);

(2) that the thesis should be revised and resubmitted ('referral') for examination, after a further period of no more than twelve and no less than three months (in the case of a Masters by Research, this referral period should be not more than three months). A thesis may normally be referred on one occasion, only. The thesis shall be re-examined, normally by the original examiners. The examiners may require a further oral examination;

(3) that no degree should be awarded.

In the case of submissions for the award of PhD, the examiners may also recommend:

(4) that the candidate should be awarded the degree of MPhil or Masters by Research with no corrections to the thesis being required;

(5) that the candidate should be awarded the degree of MPhil or Masters by Research subject to corrections being made to the thesis in not more than three months OR not more than six months for an MPhil, and not more than two months from a Masters by Research, to the satisfaction of the internal or another of the examiners.

2.7.5 General assessment requirements

(a) Students must follow all other examination requirements as set out in the Policy on Research Degrees. Any student not complying with examination requirements may be deemed to have failed the assessment and may not be given a reassessment opportunity.

(b) All materials submitted for assessment or forming part of an assessment process become the property of the University on receipt. The University may pass copies of assessment materials to third parties, but in so doing undertakes not to prejudice the rights, freedoms and legitimate interests of the student in accordance with relevant legislation.

(c) The intellectual property contained in assessment materials remains with the originator, except where the provisions of Regulation 12.2 apply.

2.7.6 Exceptional circumstances

(a) Students are expected to attend scheduled examinations and submit theses at the required time and date. If a student is unable to meet these requirements for good cause and would like this to be taken into account, s/he will need to submit an extension request with supporting evidence, in advance where possible, to the relevant Board of Studies for consideration by Special Cases, which can approve an alternative assessment date.

(b) Where medical, personal or compassionate circumstances interrupt a student's programme of study, and where they are unable to return and are unlikely to become able to return, the Board of Examiners may propose the award of an aegrotat degree, subject to the Policy included in the Guide to Assessment, Standards, Marking and Feedback.

2.7.7 Academic misconduct

(a) The University is committed to developing high standards of academic practice among its students and to safeguarding the standards of its academic awards. It regards any form of academic misconduct as an extremely serious matter.

(b) Procedures for investigating academic misconduct and the penalties to be applied (which may include termination of a student's enrolment or candidature for award in the cases of severe or repeated academic misconduct) where it has been committed are contained in the Policy on Research Degrees.

(c) All students enrolled for a research degree are required to complete successfully the University Research Integrity Tutorial before their first formal review of progress or thesis submission (whichever comes first). Failure to comply with this regulation may result in termination of enrolment with the University.

(d) Plagiarism detection software packages may be used at the University's discretion to detect unfair practice in student submissions. As part of the academic community, students accept that work they submit for assessment may be submitted to these software packages. Further information relating to how such software is used can be found in the University's Data Protection Statement, the Academic Integrity website and departmental handbooks.

2.7.8 Granting of awards

(a) Research degrees will not be awarded or conferred until any corrections required by the examiners have been made to the satisfaction of the internal or another of the examiners, and until copies of the thesis have been deposited in accordance with the requirements set out in the Policy on Research Degrees.

(b) No student may represent him or herself as holding an award of the University of York until such time as that award has been granted to him or her.

(c) Before the receipt of an award parchment, all students must make adequate arrangements to reconcile any tuition related debts to the University.

(d) Graduands will be presented for their degrees either in person, or in absentia, at a Congregation for the conferment of degrees. They are required to notify the University whether they intend to attend the Congregation.

(e) Students attending a Congregation of the University for the conferment of degrees or granting of other awards are required to wear the dress prescribed for the occasion.

2.7.9 Deposit and availability of theses and dissertations after examination

(a) Copies of theses must be deposited with the University as specified in the Policy on Research Degrees.

(b) All theses deposited shall normally be available for consultation and for reproduction (subject to normal conditions for acknowledgement). Details on the policy on embargo of theses can be found in the Policy on Research Degrees. Information on Intellectual Property can be found in Regulation 12..

2.8 Academic appeals

2.8.1 General principles regarding appeals

(a) Responsibility for considering or hearing appeals by students has been delegated by the Senate to the Special Cases.

(b) Students may not appeal against exercise of academic judgement.

(c) Students wishing to exercise their right of appeal against a decision or recommendation reached by a Board or Studies or Board of Examiners must follow the procedure set out in the Student Academic Appeals Procedure document.

(d) In order for the decision against which the appellant is appealing to be reconsidered, Special Cases, acting on behalf of the Senate, will reach a decision on whether or not grounds for appeal have been established. This may involve a call for further information from either the appellant or other party before a view is formed. The procedure and timescale to be followed by Special Cases is set out in the Student Academic Appeals Procedure document. Reasons will be stated where a decision that no grounds for appeal exist is reached.

(e) Where a student has also made a complaint under the University’s complaints procedure and the outcome of that complaint might be relevant to consideration of an academic appeal, Special Cases may decide, in consultation with the University Complaints Team, that an appeal or complaint should be placed on hold until the appeals or complaints process has been completed.

(f) Only a student about whom a decision has been made can lodge an appeal against that decision; appeals by third parties are not normally accepted.

2.8.2 Recommendations or decisions against which an appeal may be considered

A student may appeal against the following decisions or recommendations made by or on behalf of a Board of Studies:

(a) That the degree for which the student was enrolled should not be awarded, including circumstances when the student is required to re-sit an examination or to revise and resubmit a thesis for re-examination for the award or for a lesser award; and against the conditions on which such permission is given

(b) A decision of the appropriate academic misconduct investigation panel relating to the application of the academic misconduct procedures.

(c) A recommendation that a student’s enrolment should be terminated or transferred to another programme on the grounds that the student has failed to meet or comply with the requirements of an external organisation in which training or education is undertaken, or of an appropriate professional or regulatory body.

(d) A decision regarding student progression, resulting in programme transfer or termination of studies.

(e) A recommendation that a student's enrolment should be terminated, other than where triggered by failure of the programme or failure to progress.

(f) A decision taken by Special Cases not to uphold recommendations of the Board of Studies to grant leave of absence, repeat study, programme extensions or other exceptions to programme specifications and enrolment requirements that fall under Special Cases' remit.

2.8.3 Grounds for appeal

(a) Students may appeal against any decision listed in Regulation 2.8.2, other than those relating to academic misconduct procedures (see (b) below), only if:

(1) they believe that a procedural irregularity has occurred, or that the assessment was conducted unfairly or improperly; or

(2) for good reason, relevant exceptional circumstances can be shown that could not reasonably have been brought to the attention of the examiners before a decision on academic performance was reached.

(b) Students may only appeal against a decision made as a result of academic misconduct procedures on the grounds that:

(1) The academic misconduct procedures were not followed properly;

(2) The appropriate academic misconduct investigation panel reached a decision that was not reasonable in all the circumstances;

(3) New evidence is available which could not reasonably have been brought to the attention of the appropriate academic misconduct investigation panel at the time of its investigation;

(4) There was bias or reasonable perception of bias during the academic misconduct process

(5) Any penalty imposed by the appropriate academic misconduct investigation panel was disproportionate or not permitted under the academic misconduct procedures.

2.8.4 Procedures for consideration of appeals

(a) All procedures concerning student appeals are set out in the Student Academic Appeals Procedure document.

(b) The Student Academic Appeals Procedure consists of two formal stages. Formal Stage appeals are usually considered by Case Officers in the first instance. Students who are dissatisfied with the initial outcome of their appeal have a further right of appeal to the Review Stage. Appeals to the Review Stage will usually be considered by the Special Cases Manager, Deputy Head, Deputy Director or Director of Student Administration and Academic Affairs.

2.8.5 Outcomes of an appeal

When both formal stages of the University's appeals procedures have been exhausted, students who remain dissatisfied with the outcome of an appeal lodged under this Regulation may be able to make a complaint to the Office of the Independent Adjudicator for Higher Education (OIA). Further information about the OIA is available on the website www.oiahe.org.uk.

2.9 Regulations for PhD by publication

2.9.1 The degree of Doctor of Philosophy by Publication may be conferred by the University. The PhD by Publication offers a PhD route for staff who have a considerable publication record in a particular field but do not hold a PhD in that area. To be admitted under these regulations a candidate shall meet the eligibility requirements for the PhD by Publication (see below) and have presented work which has satisfied the examiners and which contains a substantial original contribution to knowledge or understanding.

2.9.2 To be eligible to be considered for a PhD by Publication, an individual must: (i) have held a relevant first degree of this or of another university approved by the Senate for this purpose, or a qualification recognised by the Senate as equivalent, for at least four years before registering the intention to submit for the degree; OR have held a relevant masters degree of this or of another university approved by the Senate for this purpose, or a qualification recognised by the Senate as equivalent, for at least three years before registering the intention to submit for the degree, AND (ii) be currently employed by the University of York as a member of one of the following staff groups - Teaching and Research; Research; or Teaching and Scholarship - and have been employed in this capacity on a continuous basis for at least two years before registering the intention to submit for the degree. Where an individual does not meet the eligibility criteria, but the department believes that it would be in its interests for said individual to submit work for a PhD by Publication, the Head of Department, or equivalent, may request an eligibility waiver from the Dean of YGRS. The final decision on eligibility will be taken by the Dean of YGRS. Eligibility waivers can only be requested on the basis of: (a) staff group membership e.g. the individual is a technician or librarian, or (b) that the individual is a current staff member but has not yet been employed on a continuous basis for at least two years. Eligibility waivers will not be granted to postgraduate researchers employed as graduate teaching assistants (or in a similar capacity), those who lack an appropriate qualification (as set out in (i) above), nor for individuals who are not currently employed by the University of York (regardless of their prior employment connection).

2.9.3 An individual wishing to submit work for a PhD by Publication shall first seek permission from the Graduate School Board (or equivalent) of the department which is academically best-placed to oversee the submission. The individual should submit a case which demonstrates how they meet the eligibility requirements of the award and how they intend to meet the academic requirements of the award, which will be reviewed by the Graduate School Board. If the case is accepted, the Graduate School Board shall appoint a member of staff as an adviser to the individual, to aid them in the preparation of the submission. If the case is not accepted, the individual may request feedback from the department to understand the reason for the rejection.

2.9.4 Registration of intention to submit for a PhD by Publication must be made in writing to Academic Registrar by the individual, on the recommendation of the adviser and with the approval of the Graduate School Board. Unless the Standing Committee on Assessment approves otherwise, the work should be submitted for examination not less than three months and not more than twelve months after registration of the intention to submit.

2.9.5 The work submitted by the candidate for the PhD by Publication shall be comparable in quantity and academic standard to that submitted by a candidate for the degree of PhD by thesis, and:

(a) shall have already appeared in print, or shall have been accepted for publication and be accompanied by an official, final acceptance which indicates that no further revision is required, or shall have been published on the website of the journal concerned in advance of publication in printed form. The evidence of acceptance for publication must be satisfactory to the departmental Graduate School Board concerned and to the examiners;

(b) shall normally comprise a research monograph, one or more authored books or papers in refereed journals, or musical compositions. The inclusion of some material in the form of chapters in edited books shall be permitted;

(c) shall be accompanied by an integrative chapter, not exceeding 10,000 words, which summarises the aims, objectives, methodology, results and conclusions of all the work submitted, and explains how it forms a coherent body of work and makes an original contribution to knowledge or understanding. The integrative chapter will also specify the candidate's contribution to the work submitted;

(d) shall not already have been submitted, by the candidate or by another person, for a degree in this or any other university, except where the previously submitted work is explicitly identified in a declaration signed by the candidate (which also identifies their contribution to the previously submitted work) as preliminary work from which the remaining work submitted has developed;

(e) shall have been subject to all the necessary ethical approvals:

(f) shall be sufficiently current, and normally have been carried out during the eight years immediately preceding the registration of intention to submit (acknowledging for example, the potential impact of parental or sick leave). A proportion of the work submitted shall normally have been carried out during the period of employment at the University;

(g) where co-authored works are submitted, the candidate must provide a written statement, signed by the candidate and by one or more of the major contributory co-authors, specifying the candidate's individual contribution and the conditions and circumstances in which the work was carried out;

(h) shall be presented and submitted in accordance with the rules for the submission of theses as set in the Policy on Research Degrees.

2.9.6 Every candidate for the PhD by Publication:

(a) shall be examined by at least two and not more than three examiners, two of whom shall not be members of the academic staff of the University.

(b) is required to present themselves for oral examination on the subject of their submitted work and on matters relevant to it, unless approval to dispense with the oral examination has been granted by the examiners and the Standing Committee on Assessment. Wherever such dispensation is approved, the examiners must include a note on the circumstances of each individual case in their report to the Senate.

2.9.7 If the examiners are of the opinion that a candidate examined by them has not attained the standard required for the degree, they may at their discretion recommend:

(1) the revision and resubmission of the integrative chapter, after a further period of not more than twelve months; and/or the submission of additional work, within a period to be proposed by the examiners and approved by the Standing Committee on Assessment; or

(2) that the degree of MPhil be conferred upon the candidate; or

(3) that no degree be awarded.