B. Schools’ structures and responsibilities

• Admission to MPhil and PhD degrees
• Provision of training for research students
• Supervision of research students
• Monitoring students' progress
• Transfer from MPhil to PhD
• Subsequent careers of MPhil and PhD graduates

1 Schools should appoint a Sub-Committee of the School academic staff to oversee the admission of research students, their supervision and progress, to prescribe procedures and determine applications for transfer from MPhil to PhD, and to consider and determine other matters pertaining to postgraduate research. This Sub-committee should report termly to the School Staff meeting and the Head of School.

2 Postgraduate research students are expected to participate in and benefit from the postgraduate life of the School. It is the responsibility of the School to create and sustain the sense of intellectual and academic community among its research students. This is of particular importance in those disciplines, e.g. in the Humanities, where the student would not necessarily be part of a research team. Schools should encourage students to participate in College and School workshops, research seminars and reading groups, especially those which provide an opportunity for students to present and discuss their own work. Schools should also encourage students to participate in academic conferences, in order to extend their understanding of the subject and its context, to present their work to specialists in their area of research, to make contact with researchers from other institutions and countries, and to provide opportunities for relevant collaboration.

3 The School will maintain files of reports and Sub-committee decisions centrally as part of its student records. The School will draw upon these records in making its annual summary report to the College Research School, as required by the College's quality assurance procedures, and the records will form part of the evidence available for internal quality assurance reviews and external institutional quality audit.

4 It is the responsibility of Schools to monitor the progress of their publicly¬ funded research students in terms of the thesis submission dates sought by the funding bodies. In responding to the Registry’s periodic surveys on the progress of such students, Schools should identify those whose completion within the required period is in doubt and specify the measures being taken to secure timely submission. The effect of transfer from MPhil to PhD must not be such as to extend submission of the thesis beyond the required date. Where illness or severely adverse personal circumstances are a factor likely to cause delay in submission, the School should inform the Registry at the earliest possible stage in order that an appropriate representation can be made to the funding body concerned. Any correspondence between the School and the funding body should be copied to the Registry.

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Admission to MPhil and PhD degrees

5 All applications for admission shall be considered in accordance with the College's policy of equal opportunities. Admission requirements and admission procedures detailed in School publications should include a statement of whether and at what stage an interview and/or a qualifying examination is normally required. Successful completion of a qualifying period may be prescribed before registration as a research student. There may be cases where a research student is required to register on a probationary basis, in which case it should be stated clearly how long this period will last.

6 Schools should provide applicants for research degrees with publicity materials that are clear, accurate and of sufficient detail to inform student choice. Such materials must include: the subject areas in which research students can be supervised; the nature of the supervision that students can expect to receive; admission and registration procedures; the roles and responsibilities of research student and supervisor; provision of research training; library, laboratory, computing and other research facilities available to research students; fees and sources of financial support; requirements regarding length, standard and presentation of the thesis; timescales for completion of theses; information on intellectual property rights; details of School procedures relating to research students, including procedures in the case of supervisory difficulties and grievance and appeals procedures. The above information should also be available on the School’s website.

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7 The recommendation to admit should take account of the following points:

1. The applicant should be appropriately qualified for the proposed programme of research in terms of academic qualifications, ability in relation to the proposed topic, and knowledge of the related literature. The applicant should be made aware of the rigours and demands of research and should be able to demonstrate the ability and motivation to devise and carry through a strategy to bring the proposed project to successful completion in the required time.
2. The applicant must submit a research proposal which sets out the nature of the proposed research, the methods that will be employed to pursue it, and its justification in terms of its likely contribution to knowledge in the field of study. If appropriate to the discipline, this research proposal may be submitted after consultation with the School. The proposed research must be capable of being studied to the depth required to obtain the degree for which the candidate is to be registered.
3. The proposed research must be capable of completion within the appropriate timescale. A full-time research student will normally be expected to submit the thesis within at most 4 years and a part-time research student normally within at most 7 years. Beyond these periods, no further registration will be permitted unless exceptional circumstances have been notified to and approved by the College.
4. While arrangements for part-time students should be flexible to accommodate individual circumstances, Schools have a responsibility to define expectations and monitor closely the progress of part-time students, thus providing a framework to assist them to complete their work in reasonable time.
5. Schools must satisfy themselves that applicants have a command of written and spoken English adequate to the different aspects of postgraduate research and that they are likely to be able to meet the demands posed by writing an MPhil or PhD thesis in English. At a minimum, applicants who have not previously followed a degree in English should have an IELTS score of 6.5 with a minimum of 6 in the subtests, or TOEFL score of 237 with 5 in the essay rating, or equivalent. Some disciplines may require attainment of higher scores. Even if the minimum requirements are satisfied, Schools may determine that it is appropriate to recommend attendance at an Academic English language course prior to, or in the early stages of, the programme of study.
6. In so far as can be predicted, Schools must ensure that the appropriate necessary resources (e.g. library, computing and laboratory facilities, technical assistance, administrative support) can be made available to the student to support their proposed research.
7. Schools must ensure that appropriate supervision can be provided for a student’s proposed research, and that it can be maintained throughout the research period, including during any periods of study leave by a supervisor or periods of research undertaken abroad by the student. Supervision must be provided by persons who are active in the student's research field or in a field closely related to it. In the case of multi-disciplinary research, there should be supervision by appropriate persons in each of the disciplines relating to the research. Schools must satisfy themselves that an appropriate research environment will be available to provide support and stimulation for the incoming student. It should be made clear at the time of an offer that continuity of gender of a supervisor cannot be guaranteed if the supervisor leaves and that it is the School’s responsibility to appoint a replacement. In certain circumstances, Schools may wish to appoint a mixed gender supervisory team, where practical resources allow, possibly in a paired arrangement with another School.
8. In the case of self-financing full-time students, and notably overseas students, Research Admissions Tutors should be satisfied that the students will have adequate financial resources available to them for their maintenance and study costs for at least the minimum prescribed period of registration.
9. Research Admissions Tutors should advise applicants on possible sources of funding and, if appropriate, on procedures for application to funding bodies. Applicants must be made aware of their responsibility, if successful in gaining an award, to complete their theses within the period of funding.

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8 The decision to admit should be taken by a group of two or more suitably experienced or trained academic staff, constituted for this purpose. The decision to admit should include an interview involving the applicant’s potential supervisors and a representative of the School’s Sub-committee responsible for matters relating to research degrees. For overseas candidates, it may be appropriate to conduct this interview by telephone, but an interview should take place and be documented in all cases. The School’s offer of admission, subject always to University and College admission regulations, and registration and financial requirements, should be made in writing to the applicant by the Head of School or Schools concerned, or by the Research Admissions Tutor nominated by the Head(s) of School. This person is responsible for ensuring that all documentation relating to the application has been properly completed. The offer of admission should in all cases be made with the consent or endorsement of the Head(s) of School.

9 The formal confirmation of the offer of admission on behalf of the College shall be made by the Registrar after receiving notification of the School decision. Such notification to the Registrar will be made with the endorsement of the Head(s) of the School(s) concerned.

10 The student's principal supervisors should be designated by the School Sub-committee. It is of great importance that the supervisory relationship is fully discussed at the start of the student’s studies between the student and the principal supervisors.

11 Schools must ensure that all newly registered research students attend an induction session which includes the key aspects of the research degree programme, the student’s workplace environment, the School’s research environment and culture, the wider College environment, and access to library, computing and laboratory facilities. A copy of this Code of Practice should be distributed to research students during their induction session, and the key responsibilities expected of research students discussed with them.

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Provision of training for research students

12 Schools should ensure that training is provided in research methods appropriate to the discipline during the first year of study. Training may be continued in subsequent years as the School considers necessary. Such training should be conveyed at least in part through formal teaching or instruction. This requirement may be modified in individual cases if the student has either previously attended a postgraduate course in the discipline (or in a cognate discipline) which in the opinion of the School included appropriate training in research methods, or has appropriate experience in research. In the case of some Schools, it may be appropriate to arrange training in collaboration with other Schools or external bodies. The College Research School will facilitate such collaboration between Schools.

13 Schools should ensure that training is provided in generic research skills, as recommended in the Funding and Research Councils’ guidelines. Such training should include: management and planning of research; ethics of research; oral and written presentation skills; bibliographic skills; general computing skills; literature access and analysis; development of personal, employment-related and other transferable skills. Such training may be provided in collaboration with other Schools and will be facilitated by the College Research School.

14 Schools should provide appropriate training for any teaching or demonstrating duties undertaken by the student within the School. Schools should monitor the amount of teaching/demonstrating duties offered to and undertaken by research students, in order to ensure that these do not adversely affect the timescale for submission of the thesis.

15 Throughout their research, students should be encouraged to develop their knowledge of their research field and their presentational skills by such activities as participating in seminars, making oral presentations of their research in the School or College, or attending relevant conferences or colloquia.

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Supervision of research students

16 All academic staff undertaking the supervision of postgraduate research students should have received training in respect of postgraduate supervision as part of their staff development. The training of supervisors and updating of supervisory skills, for example in the light of new research sources, methods and technologies, should be a normal part of continuing staff development, and should apply not just to new or inexperienced supervisors. The School Sub-committee should ensure that the appointed supervisors have appropriate research expertise for the student’s research project and can provide appropriate guidance on research techniques and methodologies. Supervisors who have not themselves successfully completed a PhD thesis will be expected to have equivalent research and publications experience.

17 In addition to at least one principal supervisor, a second supervisor should be appointed for every research student:

• Principal supervisor. The duties of principal supervisors are set out in subsequent paragraphs of this document. It would not normally be appropriate to appoint as the sole principal supervisor a member of staff who is on probation or who has not previously completed a successful PhD supervision (exceptions may be made in the case of staff who have extensive experience in managing research projects in either an academic or industry setting, subject in all cases to endorsement by the Head of School). However, in the interest of staff training and development, there is advantage in appointing a member of staff who is on probation or who has not previously completed a successful PhD supervision, either as a second supervisor or as a Joint Principal Supervisor. There may be other occasions in which it is advantageous to have two or more joint principal supervisors, particularly in inter- or multi-disciplinary research projects. In cases of more than one principal supervisor, care must be taken to ensure that irresolvable conflicts between the principal supervisors are not likely to occur, by clarifying at the outset the role of each supervisor and reviewing this regularly. There will be occasions where it is appropriate to appoint as a principal, joint principal or second supervisor a person who is an externally-funded member of staff and/or a person who is a member of another academic institution or a collaborating body. In this case care needs to be taken to ensure that full control over the supervision rests with the College.
• Second supervisor: The second supervisor must be known to the student, familiar with the student's work throughout the programme of study, and available to the student for consultation about the student’s research (an acceptable alternative to a single second supervisor is a small group of named individuals who are known to the student, familiar with the student’s work, and available to the student for consultation about the student’s research). A second supervisor should be able to take on the role of principal supervisor during any periods of leave of absence of the principal supervisor e.g. sabbaticals. It may also be appropriate for the second supervisor to be responsible for the pastoral care of a research student.

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18 The nature of research supervision is such that no member of staff should be the principal or co-principal supervisor of more than a limited number of students. The limit will vary from one subject to another and according to such factors as the member of staff’s experience and other duties, but it should not normally exceed the Research Councils’ recommended maximum of 8 full-time students (or equivalent FTEs). Henceforth in this document, the term ‘supervisor’ refers to the principal supervisor or the co-principal supervisors, unless otherwise indicated.

19 Occasionally cases can arise in which difficulties in the relationship between the supervisor and student begin to jeopardise the successful completion of the thesis. Schools should ensure that procedures for requesting consideration of a change of supervisor in such cases exist, and are clearly communicated to research students during their induction period. It is important that Schools make clear that if a student feels that an effective working relationship is not being established with the supervisor, these procedures provide a means of discussing the possibility of changing supervisors. It is necessary that these procedures should operate expeditiously to avoid loss of time in regard to the research or its funding.

20 Schools should provide and communicate to research students procedures by which students can make representations to the Head of School or other designated person if they feel that their work is not proceeding satisfactorily for reasons outside their control.

21 Schools should maintain and make available as required information on welfare and support systems for research students, as well as information regarding sources of professional and medical help and advice. Schools and supervisors should guard against appearing themselves to offer forms of specialised support and assistance which they are not qualified to give. Students should be made aware of specialised support available to them beyond the School, such as advice from the College Disabilities Officer, Student Counselling Services, or Students Award Office.

22 Students in receipt of awards from funding bodies, and their supervisors, should be made aware of the penalties imposed upon Schools and institutions for the failure to submit a thesis within the deadline set by the funding body.

23 Schools should ensure that students in receipt of awards from funding bodies, and their supervisors, are made aware of the procedures which allow suspension of registration in the case of illness or special personal problems.

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Monitoring students' progress

24 The regular consultation between supervisor and student should be used to establish and maintain an agreed view of the direction and progress of the research and to identify in a timely fashion any remedial action necessary to redirect the student's work or to revise the agreed schedule for completion within the specified period. Students’ progress will be monitored by the School through periodic reports on progress which are submitted at least once per year, according to a schedule specified by the School and communicated to students during their induction period. Any problems encountered during the current reporting period should be reported by both the supervisor and student (see paragraphs 49 and 57). These reports will be assessed by a Panel of at least three research-active academic staff, the majority of whom are not the student’s principal supervisors. The Panel’s assessment will be made available to the student, the principal and second supervisors, the Head of the School and the School Sub-committee. The School Sub-committee will decide annually whether re-admission should be offered to a student and will agree the targets proposed by the supervisor and student to be met in the following academic year. The School Sub-¬committee's decisions will be subject to endorsement by the Head of School and will subsequently communicated to the student.

25 If at any time the supervisor forms the view, on the available evidence, that the student's rate of progress is such that the student is unlikely to achieve within the specified period the degree for which he or she is registered, the supervisor should notify the student in writing without delay and discuss with the student ways of achieving the objectives of the student's research plan. If progress remains unsatisfactory the supervisor should notify in writing the School Sub¬-committee and the Head of the School. This report will be available to the student who may make representations to the Sub-committee. The Sub-committee will make recommendations relative to the student's continued membership of the College in terms of College procedures for the termination of registration or revised arrangements for the conduct and supervision of the research. Wherever possible, the Sub-committee will identify an alternative study programme that the student could follow towards obtaining a research degree, e.g. an MPhil or MRes qualification rather than a PhD. The Sub-committee's recommendations will be subject to the approval of the Head of School.

26 Schools should give students the opportunity at regular intervals to comment to the School Sub-committee on all supervisory and other arrangements which bear on their work. Research students should be consulted where appropriate on matters of policy relating to their supervision. Students should be made aware that they can also raise issues for discussion at meetings of the School Student/Staff Exchange Committee or for forwarding to the College Research School steering committee via the student representative or Faculty representative on that committee.

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Transfer from MPhil to PhD

27 For students who are registered initially for the MPhil or MPhil/PhD, the procedures and timescales for upgrading to PhD registration should be clearly set out in School documentation and communicated in writing to research students at the time they are offered admission to the School.

28 Schools must have a formal procedure for considering the transfer of students' registration from MPhil to PhD. All staff concerned with the supervision of research students should be familiar with the procedure and should comply with it in all respects.

29 The School's procedure for transfer must indicate the amount and level of work to be done to merit consideration for transfer. It should specify the point in a student's course when such consideration would normally be appropriate if satisfactory progress is being made in the research relative to the required submission date. This is particularly important in the case of publicly-funded students when the renewal of a studentship may be dependent upon such transfer to PhD. If award-holders have received funding from UK public sources, their transfer from MPhil to PhD registration should occur in accordance with the funding body’s guidelines and requirements.

30 Submission of a transfer proposal should be made by the student in consultation with the supervisor. The application should be considered by the School Sub-committee. This process should take place in good time to allow for any subsequent appeal by the student; the decision should normally be available at least six months before the date when for full-time students funding would cease if transfer was not approved. Assessment of a transfer proposal should be made by a Panel of at least three research-active academic staff, the majority of whom are not the student’s principal supervisors, who will review the submitted documentation and may in addition request to interview the applicant.

31 Normally transfer will take place only when there is clear evidence that both the quality and scope of the proposed or completed research make transfer appropriate.

32 If the application is unsuccessful, the student should be informed promptly in writing and given the reasons for its rejection. In appropriate cases, the student should be given detailed guidance on the measures to be taken before any further application for transfer would be considered.

33 A student whose application for transfer is unsuccessful and who disputes the decision on academic grounds should have the right of appeal within one month of notification of the decision. Appeals should be made in writing to the Head of School and considered by a panel comprising the chair of the School Sub-committee, the Head of School and, wherever possible, a member of the School with supervisory experience who was not previously concerned with the assessment of the application or the student's research. The outcome of the appeal should be conveyed by the Head of School to the student in writing.

34 There shall be no further right of appeal. If, however, the student has good reason to believe that the case has not been fully and fairly considered in accordance with the School's declared procedures, the student has the right to make a written complaint to the Registrar. On receipt of the complaint the Registrar may consult with other members of the College as considered appropriate. This review shall be confined to considering whether the School in reaching its decision did so fully in accordance with its procedures. The conclusions will be conveyed to the student in writing. If the Registrar finds that School procedures have not been observed the Head of School will be asked to arrange for further consideration of the student's application in accordance with those procedures. The School's decision shall then be final.

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Subsequent careers of MPhil and PhD graduates

35 Schools should assist with the career development of research students before and after the obtaining of their degrees, including making research students aware of the Continuing Professional Development opportunities identified by the Research Councils.

36 Schools should endeavour to maintain contact with their research graduates and build up records of their subsequent careers to inform future supervisory practice, report to public-funding bodies and to meet the requirements of both internal quality assurance and external quality audit. Schools should assist the career development of research students subsequent to the completion of their studies.