Regulations for awards (research degrees): Section E

Section E: Regulations for The Awards of PhD and EntD (Excluding PhD by Publication)

The following regulations govern the specific rules for the award of Doctor of Philosophy and Doctor of Enterprise. They should be read in conjunction with the General Regulations Governing all Research Degrees.

These regulations do not apply to the PhD by Publication.

E1. Learning outcomes

E1.1.1 Doctoral degrees are awarded to students who have demonstrated:

The creation and interpretation of new knowledge, through original research or other advanced scholarship, of a quality to satisfy peer review, extend the forefront of the discipline, and merit publication.
A systematic acquisition and understanding of a substantial body of knowledge which is at the forefront of an academic discipline or area of professional practice.
The general ability to conceptualise, design and implement a project for the generation of new knowledge, applications or understanding at the forefront of the discipline, and where necessary, to adjust the project design in the light of unforeseen problems.
A detailed understanding of applicable techniques for research and advanced academic enquiry.

E1.1.2 Typically, holders of the qualification will be able to:

Make informed judgements on complex issues in specialist fields, often in the absence of complete data, and be able to communicate their ideas and conclusions clearly and effectively to specialist and non-specialist audiences.
Continue to undertake pure and/or applied research and development at an advanced level, contributing substantially to the development of new techniques, ideas or approaches.

E1.2 The PhD award

E1.2.1 The PhD is awarded to a candidate who, having critically investigated and evaluated an approved topic resulting in an independent and original contribution to knowledge and demonstrated an understanding of research methods appropriate to the chosen field, has presented and defended the work by viva examination, to the satisfaction of the examiners.

E1.3 The EntD award

E1.3.1 The EntD is awarded to a candidate who has demonstrated business innovation and/or development. They will have critically investigated and evaluated an approved topic, resulting in an independent and original contribution to knowledge associated with the development of a new business, or social enterprise, or an innovation within an existing business, and have presented and defended work by viva examination, to the satisfaction of the examiners.

E2. Thesis length

E2.1.1 The text of the thesis for these awards should not normally exceed 80,000 words (excluding references and appendices). Confirmation of what is included and excluded from the word count of the thesis can be found in the PGR Handbook.

E2.1.2 This word count is the maximum allowable length for theses, not necessarily the preferred length. In some instances supervisors may wish to recommend a shorter length.

E2.1.3 Supervisors should be able to advise on the usual length of theses in their subject area or topic.

E2.1.4 In cases where a doctoral candidate requires an increase in the word limit owing to the nature of their research, they may use their second Progression Monitoring assessment to make a request for up to an additional 20,000 words. Details of the procedure that needs to be followed can be found in the PGR Handbook.

E2.2 Alternative formats of thesis submission

E2.2.1 Further details regarding the requirements for alternative formats of thesis submission can be found in Section A1.10.

E2.2.3 All existing approved guidelines are available in the Appendices.

E3. Admission criteria

E3.1 PhD award

E3.1.1 In addition to the general criteria, normally the minimum level of attainment required for entry is:

A Master's degree from a UK University or equivalent, normally with a classification of merit or distinction, in a discipline appropriate to the proposed programme to be followed, OR
An upper second class honours degree from a UK university in a discipline appropriate to that of the proposed programme to be followed, OR
Appropriate research or professional experience at postgraduate level, which has resulted in published work, written reports or other appropriate evidence of accomplishment.

E3.2 EntD award

E3.2.1 In addition to the general criteria, normally the minimum level of attainment required for entry is:

Master's degree from a UK university or equivalent, in a discipline appropriate to the proposed programme to be followed; OR
An upper second class honours degree from a UK university in a discipline appropriate to that of the proposed programme to be followed; OR
Appropriate research or professional experience at postgraduate level, which has resulted in published work, written reports or other appropriate evidence of accomplishment; OR
Appropriate knowledge and experience of business planning and business start-up, and/or experience of starting up a new service requiring substantial project and financial planning.

E4. Period of enrolment

E4.1 The standard, minimum and maximum periods of enrolment are as follows. This does not include any periods of approved interruption that the candidate had been granted:

Mode of Study	Minimum Length	Standard Length	Maximum Length
Full-time	24 months	36 months	60 months
Part-time	48 months	72 months	96 months

E4.2 A PhD/ EntD candidate cannot submit their thesis for examination until the minimum programme length specified above has been reached.

E4.3 The standard period of enrolment reflects the amount of time that a candidate will ordinarily spend in the active research period.

E4.4 No later than three months before the end of the active research period, candidates may:

Apply for additional time to complete the research; OR
Apply to enrol for the writing-up period, which allows candidates additional time to complete the writing of the thesis.

E4.5 Where a candidate fails to secure approval to enrol for the writing-up period or additional time, the candidate must submit work for examination no later than the end of the active research period for the award. Failure to do so will lead to a termination of the candidate’s registration on the grounds of non-submission.

E4.6 The maximum period of enrolment is the total amount of time a candidate is permitted to have before they submit their thesis for examination. This includes the time spent in active research (standard period of enrolment), any writing-up period and an additional 12 months that could either consist of a period of additional time or an end extension owing to extenuating circumstances.

E4.7 In very exceptional extenuating circumstances, we may permit a candidate to exceed this maximum period of enrolment. This will be an evidence-based decision, determined on a case-by-case basis.

E5. Programme timeline and milestones

E5a. Where approved, some awards may have additional compulsory assessment requirements which aren’t referred to in the timeline below. Please refer to the specific Programme Specification Document (PSD) for information on these.

Full-time	Milestone	Part-time	Milestone
Month 1	Registration and Induction	Month 1	Registration and Induction
Every month (minimum)	Supervision meeting: complete online log	Every second month (minimum)	Supervision meeting: complete online log
Month 3	Research Support Plan complete	Month 6	Research Support Plan complete
By end of month 9	Submit progression report 1	By end of month 18	Submit progression report 1
By end of month 12	Complete progression viva and any corrections	By end of month 24	Complete progression viva and any corrections
By end of month 21	Submit progression report 2	By end of month 42	Submit progression report 2
By end month 24	Complete progression viva and any corrections	By end of month 48	Complete progression viva and any corrections
By end of month 33	Apply for Writing-up Period OR Apply for additional time	By end of month 69	Apply for Writing-up Period OR Apply for additional time
By end of month 36	Submit thesis OR Enter writing-up OR Continue active research during additional time	By end of month 72	Submit thesis OR Enter writing-up OR Continue active research during additional time
A least 3 months before thesis submission an ‘on track to submit’ meeting must take place between the student and the supervisory team.
Examination Phase: see Thesis Examination below.

E5.1 Change of programme

E5.1.1 Candidates who are enrolled for a PhD or EntD are not permitted to transfer enrolment to submit for a Professional Doctorate.

E5.1.2 Candidates who are enrolled for a Professional Doctorate are not permitted to transfer enrolment to submit for a PhD or EntD.

E5.2 Transfer from PhD or EntD to Master’s

E5.2.1 A candidate who enrolled initially for the PhD or EntD, who is unable to complete the approved programme of work, may choose to transfer before the end of the first year (full time) or before the end of the second year (part-time) of their PhD or EntD to the MA, MEnt or MSc by Research. The timeline for the transferred programme must be calculated as outlined in section E5.2.2

E5.2.2 The MA/MSc by Research is a one-year full-time or two-year part-time programme. Normally a full-time candidate who chooses to transfer will be allowed one year, minus the time that has already elapsed on their Doctorate to complete the award when they transfer. Normally a part-time candidate who chooses to transfer will be allowed two years, minus the time that has already elapsed on their Doctorate to complete the award when they transfer. The time elapsed does not include any periods of approved interruptions that the candidate had been granted. Any requests for transfer after these times have elapsed will not be approved.

E5.2.3 Candidates may also apply for additional time and/or writing-up period.

E5.3 Transfer from PhD to MPhil

E5.3.1 A candidate who enrolled initially for the PhD or EntD, and who is unable to complete the approved programme of work, may apply for the enrolment to be changed to that for the degree of MPhil before the end of the second year (full time) or before the end of the fourth year (part-time). The timeline for the transferred programme must be calculated as outlined in section E5.3.2

E5.3.2 The MPhil programme is a two year full-time or four year part-time programme. Normally a full-time candidate who chooses to transfer will be allowed two years, minus the time that has already elapsed on their Doctorate to complete the award when they transfer. Normally a part-time candidate who chooses to transfer will be allowed four years, minus the time that has already elapsed on their Doctorate to complete the award when they transfer. The time elapsed does not include any periods of approved interruptions that the candidate had been granted. Any requests for transfer after these times have elapsed will not be approved.

E5.3.3 Candidates may also apply for additional time and/or writing-up period.

E5.4 Transfer to or from a distance learning route

E5.4.1 Candidates who enrolled initially for PhD, and were based on campus, may be able to transfer to a distance learning route.

E5.4.2 Candidates who enrolled initially for a PhD and were studying by distance learning, may be able to transfer to a campus based research degree.

E5.5 Research support plan and skills audit

E5.5.1 The research support plan and skills audit is a formal requirement of the programme. It must be reviewed and signed off by the candidate’s supervisory team and ratified by an academic who is external to the supervisory team. Approval of the plan should ensure the project is appropriate and viable.

E5.5.2 The submission deadlines for the Research Support Plan and Skills Audit are:

Full-Time Students – submission by the end of month three.
Part-Time Students – submission by the end of month six.

E5.5.3 The candidate and the supervisor must document the proposed research support plan. This plan must set out the programme of related studies necessary for the attainment of competence in research methods and of knowledge related to the subject of the work.

E5.5.4 The plan should include consideration of research ethics and integrity, Health and Safety and resources or facilities that are required in relation to the research project.

E5.5.5 The plan should include a completed skills audit where the candidate has assessed their individual training requirements. This should become a working document that reflects the candidate’s skill level. Doctoral candidates must also include and update the skills audit as part of progression monitoring.

E5.5.6 Failure to complete the research support plan satisfactorily by the required deadline may lead to the termination of the candidate’s registration.

E5.5.7 The plan may include registration for a maximum of 60 credits of Master’s level modules.

E5.6 Progression monitoring

E5.6.1 Doctoral research students will undertake two progression monitoring assessments during their candidature. Progression is a formal process to monitor and assess the progress the candidate is making on the research project and their skills training. Candidates will be required to submit a report and review and update the skills audit. One referral is permitted at each progression assessment. The progression assessment will determine the suitability of the candidate to remain registered on a research award. Failure to complete progression monitoring satisfactorily will lead to the termination of the candidate’s registration. Where a candidate’s studies are terminated following a progression assessment, they are not be permitted to re-enrol for the same degree to undertake the same topic of research.

E5.6.2 Candidates may also be required to complete formal English language assessment and training in advance of, or as an outcome of, progression monitoring.

E5.5.3 The following deadlines apply to the Progression Monitoring Assessment:

		Full-time	Part-time
Progression Monitoring 1	Submission of report and Skills Audit	By end of month 9	By end of month 18
Progression Monitoring 1	Full examination, including viva and any amendments to be completed	By end of month 12	By end of month 24
Progression Monitoring 2	Submission of report and Skills Audit	By end of month 18	By end of month 42
Progression Monitoring 2	Full examination, including viva and any amendments to be completed	By end of month 24	By end of month 48

E5.6.4 It is normal, but not required, for at least one member of the supervisory team to be present at the viva examination. However, supervisor/s must withdraw prior to the deliberations of the progression monitoring panel on the outcome.

E5.6.5 Candidates who fail to submit progress reports on the required schedule will be administratively withdrawn for non-submission, subject to consideration of any extenuating circumstances.

E5.7 Assessment of progression

E5.7.1 Progression assessments must be sufficiently rigorous to adequately test the candidate’s knowledge and understanding of the research project, of progress made to date and future plans for the remainder of the programme.

E5.7.2 Satisfactory completion of progression monitoring is demonstrated by:

A progress report completed by the candidate and submitted for assessment by a progression monitoring panel.
Completion of training and development identified in the skills audit.
Satisfactory engagement with the research support plan.
Consideration of any security sensitive research.
Consideration of ethical approval at progression monitoring one.
Confirmation that ethical approval has been obtained by progression monitoring two.
The defence of the progress report by viva examination in front of the progression monitoring panel.
Confirmation by the progression monitoring panel that the candidate is able to proceed to the subsequent year of study.

E5.8 The progression panel

E5.8.1 The panel will comprise two members that have not had previous close association with the student’s research project.

E5.8.2 Where the candidate is a member of staff, the progress report (at both initial consideration and following any amendments) must also be submitted for assessment to an external examiner, who satisfies the published criteria for appointment. The same external examiner may be used for the final thesis examination.

E5.8.3 The external examiner will complete a preliminary written report for consideration by the progression monitoring panel. If deemed necessary by the School or the external examiner, the external examiner may join the progression monitoring viva examination via video link or in person.

E5.8.4 Following progression, the candidate will be provided with written feedback and if necessary guidance on actions to be taken to support the progress of their candidature.

E5.9 The progression report

E5.9.1 Supervisors should be able to advise on the usual format of progression reports in their subject area, but the progress report should typically be equivalent to 3,000 to 6,000 words in length. As a minimum the report should include:

A review and discussion of the work already undertaken.
Defines the aims and objectives of the research project.
Progress made since the last report, for second progression only.
Any particular problems encountered by the candidate (e.g., access to resources/ facilities or issues relating to language or disability support requirements).
A brief statement of the intended further work, including an indication of the original contribution to knowledge which is likely to emerge.
The report should include confirmation that Research Integrity training has taken place (first progression only).

E5.10 Available outcomes following initial assessment (progression stage)

E5.10.1 Following the completion of the progression monitoring exercise, including a viva examination, the outcomes available are as follows:

That the candidate be permitted to progress.
That the candidate be required to make amendments and resubmit the progress report no later than six weeks (12 weeks for part-time candidates) from the date of notification of the outcome of the examination. On receipt of the resubmitted work, the examiners reserve the right to require a further viva examination
That the candidate be required to complete further work and submit for the award of MA / MSc by Research (following first progression monitoring only) or MPhil (following second progression monitoring only). In this case, the candidate will be allowed six months in total to complete the work.
That the candidate not be permitted to proceed.

E5.11 Available outcomes following amendments (progression stage)

E5.11.1 Where a candidate has been required to complete amendments, the outcomes available following the completion of the examination, including a viva examination where required, are as follows:

That the candidate be permitted to progress.
That the candidate be required to complete further work and submit for the award of MA / MSc by Research (following first progression monitoring only) or MPhil (following second progression monitoring only). In this case, the candidate will be allowed six months in total to complete the work.
That the candidate not be permitted to proceed.

E5.11.2 Upon their initial assessment of the referred work, if the examiners are of the view that the candidate’s work should be failed or downgraded, then they are required to invoke a viva examination before deciding and formalising the outcome.

E5.11.3 Candidates who do not receive permission to proceed or transfer will be deemed to have failed and their registration will be terminated. Where a candidate’s studies are terminated following a progression assessment, they are not be permitted to re-enrol for the same degree to undertake the same topic of research.

E5.12 Final thesis examination

E5.12.1 The examination for PhD / EntD has two stages:

The submission and preliminary assessment of the written thesis.
Defence of the work by viva examination.

E5.12.2 The examiners may not recommend that a candidate fail outright without holding a viva examination.

E5.12.3 On referral, the requirement for a viva examination is at the discretion of the examiners. However, the examiners may not recommend that a candidate fail without holding a second viva examination.

E5.13 Recommendations following examination

E5.13.1 Following examination, including a viva examination, the examiners may recommend:

Award (without amendments).
Award subject to the completion of editorial, presentational and minor corrections. The revised submission must be presented to the satisfaction of the internal examiner only, normally within one month from the date of the notification of the outcome of the examination. No award will be conferred unless the internal examiner is satisfied that all corrections have been made. Any further editorial corrections, given as an outcome of the revised resubmission, must be completed within 2 weeks from the date of the notification of the outcome of the examination.
Award subject to minor amendments. The resubmission addressing all amendments must be completed to the satisfaction of the internal examiner only, within three months from the date of the notification of the outcome of the examination. No award will be conferred unless the internal examiner is satisfied that all corrections have been made. If the internal examiner is not satisfied that all corrections have been made the examiner reserves the right to award an MPhil.
Referral to complete major amendments. The resubmission addressing all amendments must be completed to the satisfaction of all examiners within six months from the date of the notification of the outcome of the examination. On receipt of the resubmitted work the examiners reserve the right to require a further viva examination.
Referral to re-write the submission. The resubmission must be completed to the satisfaction of all examiners within one year from the date of the notification of the outcome of the examination. On receipt of the resubmitted work, the examiners reserve the right to require a further viva examination.
Referral to complete major amendments and re-submit for the award of MPhil. The resubmission addressing all amendments must be completed to the satisfaction of all examiners within six months from the date of the notification of the outcome of the examination. On receipt of the resubmitted work, the examiners reserve the right to require a further viva examination.
Award the degree of MPhil subject to the completion of editorial, presentational and minor corrections. The revised submission must be presented to the satisfaction of the internal examiner only, normally within one month from the date of the notification of the outcome of examination. No award will be conferred unless the internal examiner is satisfied that all corrections have been made.
Fail so that the candidate is not awarded a degree.

E5.14 Recommendations following the submission of minor amendments:

Award (without amendments).
Award subject to the completion of editorial, presentational and minor corrections. The revised submission must be presented to the satisfaction of the internal examiner only, normally within one month from the date of the notification of the outcome of the examination. No award will be conferred unless the internal examiner is satisfied that all corrections have been made. Any further editorial corrections, given as an outcome of the revised resubmission, must be completed within 2 weeks from the date of the notification of the outcome of the examination.

Award the degree of MPhil subject to the completion of editorial, presentational and minor corrections. The revised submission must be presented to the satisfaction of the internal examiner only, normally within one month from the date of the notification of the outcome of the examination. No award will be conferred unless the internal examiner is satisfied that all corrections have been made.

Fail so that the candidate is not awarded a degree.

E5.14.1 Where a candidate has been required to complete minor amendments and resubmits work that is not to the satisfaction of the internal examiner, the work must be presented for consideration by all examiners before a recommendation can be made. If the recommendation is to downgrade or fail at this stage then a second viva should be invoked if this has not taken place already.

E5.15 Recommendations following the submission of referred work:

E5.15.1 No further opportunity will be permitted for referral to complete major amendments or referral to re-write the submission or referral to complete major amendments to the submission and to re-submit for the award of MPhil.

E5.15.2 Following the examination of referred work (including a viva examination where required), the examiners may recommend:

Award (without amendments).
Award subject to the completion of editorial, presentational and minor corrections. The revised submission must be presented to the satisfaction of the internal examiner only, normally within one month from the date of the notification of the outcome of the examination. No award will be conferred unless the internal examiner is satisfied that all corrections have been made. Any further editorial corrections, given as an outcome of the revised resubmission, must be completed within 2 weeks from the date of the notification of the outcome of the examination.
Award subject to minor amendments. The resubmission addressing all amendments must be completed to the satisfaction of the internal examiner only, within three months from the date of the notification of the outcome of the examination. No award will be conferred unless the internal examiner is satisfied that all corrections have been made.
Referral to complete minor amendments to the submission and to re-submit for the award of MPhil. The resubmission addressing all amendments must be completed to the satisfaction of the internal examiner only, within three months from the date of the notification of the outcome of the examination. This outcome is not available if there has been a previous referral to resubmit for MPhil. No award will be conferred unless the internal examiner is satisfied that all corrections have been made.
Award the degree of MPhil subject to the completion of editorial, presentational and minor corrections. The revised submission must be presented to the satisfaction of the internal examiner only, normally within one month from the date of the notification of the outcome of the examination. No award will be conferred unless the internal examiner is satisfied that all corrections have been made.
Fail so that the candidate is not awarded a degree.

E5.15.3 Upon their initial assessment of the referred work, if the examiners are of the view that the candidate’s work should be failed or downgraded to an MPhil, then they are required to invoke a viva examination before deciding the outcome.