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Collaborative PhD agreements - guidenote and proforma for a Memorandum of Understanding (MOU)

Preliminary issues to be considered

The University's general policy statements on collaborations with UK and international universities apply. In particular they require the approval of the relevant dean and college VP, prior to submission to the Vice-Principal (Educational Development) for final consideration and signature. Only the Principal or his nominee can sign a collaborative agreement.

The University should only consider collaborations with reputable organisations. Broadly this could be interpreted as:

• institutions that could provide a quality of experience and achieve standards of PhD award that are at least equivalent to this University
• institutions of an appropriate international/national standing.

Any proposed collaboration should include a covering statement explaining the case for the collaboration. This should explain the added value, to the student, and to this University.

There must be clarity about examining. In the University of Dundee, this should be approved by the relevant dean, taking advice as appropriate, for example, from the convener of the Postgraduate Committee. The approach to examination must be specified in the collaborative agreement, and prior to student enrolment. Potential students should be provided with information about the examination process prior to enrolment. Video examinations may be useful, particularly for an international collaboration.

The thesis must be examinable in English, and a full, final version in English must be formally submitted. If translation is required, then costs and verification must be considered at the outset.

Development of detail proposals will need to be sensitive to:

• administrative concerns, in particular residency and visa requirements
• language of administration, for international collaborations, this may be problematic.

The Postgraduate Office within the Registry should be consulted for up-to date information and guidance.

Proforma for a Memorandum of Agreement

The following is a template memorandum of agreement between two universities and should be adjusted to suit circumstances, in consultation with the Director of Quality Assurance or the Vice-Principal (Educational Development). For example, it could be adapted for a collaboration involving more than two institutions. Blank spaces, for example, for the name of other parties, are noted in [square brackets]. 'XX' indicates a prompt for text to be inserted. Explanatory guide notes are embedded in text boxes; these would be removed from the final version for signature. Additional, specific text would be required to: define the degree award; define the examination process; and to reflect the context and nature of specific proposals.

Memorandum of agreement for a joint PhD / Doctorate degree between the University of Dundee and [XX]I

Version and status: [XX add date and status e.g. 'draft' or 'for signature']

1. Introduction
   This collaborative agreement relates to provision of doctoral (PhD) programmes by the University of Dundee, Scotland and [XX name of other universities] [in the field of XX option to indicate subject area].

2. Principles

3. The collaboration will be guided by the following principles.
4. Collaboration between the two universities should benefit the students enrolled on the joint programme, and more widely the research activities of both universities.
5. The academic standard of degree awards, demonstrated through examination, will meet the normal requirements of both universities.
6. Supervision, facilities, resources and opportunities provided to the students will meet the normal requirements of both universities.
7. A lead university will be identified for each individual student's research programme. The lead university will administer the student's individual programme, following all its general procedures and specific procedures for postgraduate research programmes, but subject to the specific provisions defined in this agreement, which will take precedence. Opportunities will be provided for representatives from the second university to receive all relevant information and to make comments.
8. When the student spends time working at each university, local responsibility will follow the location of the student. The local university will have a duty of care and will be responsible for day-to-day provision, including resources, facilities, health and safety, and discipline, following its normal procedures. Effectively, when the student is located in [name and location of other university], that university will be locally responsible, and when the student is located in Dundee, University of Dundee will be locally responsible.
9. Both universities will ensure equality for students admitted to collaborative programmes of study under this agreement. Specifically they will ensure that the designation of lead university does not significantly advantage or disadvantage individual students.

   Link coordinators

10. Each university will designate a member of its staff and as a link coordinator for this collaborative arrangement.

    Degree award

    Guidenotes: There must be clarity about which university, or universities will award the degree; this is the critical factor regarding ultimate responsibilities. There are several options:

    • Joint provision, single award
      Both universities collaborate to provide the programme, which leads to a degree award from one of the universities, i.e. one university name on degree certificate.
    • Joint provision, joint award
      Both universities collaborate to provide the programme, which leads to a degree award jointly from both of the universities, i.e. both universities' names on degree certificate.
    • Joint provision, dual award
      Both universities collaborate to provide the programme, which leads to two degree awards, one from each university, i.e. two degree certificates, one from each university.

    Note: there can be different views on the underlying concept of a dual award. Some oppose the approach, seeing it as 'double-counting', arguing that effectively the student is getting two degrees for the workload and cost of one. Others do not oppose it, arguing that the University's sole responsibility is for its own awards; if another university wants to recognise achievement in this University, then that is a matter for that university.

    The University of Dundee charter (3. m) allows it to collaborate regarding academic awards. However some universities are not allowed to make joint or dual awards. This point must be checked at a very early stage in the consideration of any proposal.

    The relevant school and college boards should approve the degree award option, in particular reflecting subject and cognate views on joint or dual awards.

    There can be national or funding factors that will favour or require one specific option.

    Example text for Joint provision, joint award

    Programmes of study will be provided jointly, and successful students will be awarded a joint degree from both universities. They will receive a single degree certificate that includes the names and crests of both universities. They will have an opportunity to attend a graduation ceremony of either university, but not both. Each university will recognise joint graduates as full graduates of the university.

    Selection and admission

11. Designation of the university will be negotiated by the two universities taking account of research topic, supervision expertise, resources, the overall number of students allocated to each university, and the quality of experience of the student.
12. The lead university will administer the selection and admission process. However all approval decisions will require the approval of both universities.
13. Students will be selected and admitted on an individual basis. Both universities will maintain a list of students admitted, the lead university for each student, and relevant dates of admission and period of study.
14. Each university will demonstrate equality of opportunity and fairness in selection and admission. In any case of disagreement, the procedures of the lead university will take precedence.
15. Each university will meet obligations under its national legislation regarding admission and support for disabled students, and will encourage equality of opportunity and provision for disabled students. If a student declares a disability at time of application, both universities will consider their capability to provide appropriate opportunities and support for the student, and will provide relevant information to inform decisions and support planning.
16. Each university will specify its minimum language requirements, reflecting the nature of the joint programme and practical considerations.
17. Students will be registered by both universities and will be entitled to normal student rights and privileges.
18. Fees will be collected by the lead university. The basis of any distribution will be negotiated by both universities, and made explicit in the relevant appendices setting out schedules of keypoints.
19. Prospective students will be provided with a copy of this collaborative agreement and an opportunity to discuss any questions relating to the joint nature of provision and award.

    National reporting

20. Each university will be responsible for reporting student numbers and related information to relevant national agencies. This reporting should adhere to relevant national data protection information and should acknowledge the joint nature of provision.

    Supervision

21. There will be a minimum of two supervisors for each student, at least one supervisor from each university. Each university will ensure appropriate alternative or cover should the supervisor leave the university or be absent.
22. Supervisors will be jointly responsible for planning and monitoring each student's programme of work, including the periods of study to be spent in each location.
23. Supervisors will be responsible for providing or arranging briefing and induction to their university and surrounding location, including health, safety and welfare information.

    Monitoring of progress and progression

24. The progress monitoring and progression procedures of the lead university will be followed. These may be adapted to reflect the location of the students. Supervisors will agree the details of progress monitoring and reporting, to be approved by the lead university.

    Examination

25. The examination process will recognise the requirements of each university and the relevant national systems and norms. It will normally follow the process set out below. Any departure from this will be negotiated by the supervisors, take account of student concerns, and be approved in advance by the appropriate authority in the lead university.
26. An examination committee will be formally appointed by both universities under their normal procedures. It will include one or more, qualified in the subject and language to examine the thesis, and acceptable to both universities. It will include internal examiners reflecting the requirements of each university.
27. The thesis will be submitted in the English language. Provision may be made for a summary or full translation.

    Guidenotes: the details of the examination process must be specified. These may be a combination of the approach of both universities, reflecting their, and if relevant, national requirements or norms. Critical points to be considered:

    • Form of thesis
    • Comments on draft thesis
    • Form of defence (viva), and location
    • Appointment of internal and external examiners
    • Examination outcome options and follow-up, e.g. regarding revisions and re-submission
    • Costs of examining
    • Any local conventions
    • Complaints and appeals
    • The students' perspective. Broadly, equity of assessment compared to a conventional PhD examination in the subject at this University; and, more specifically, prevention of examination overload, including situations where a student might be caught between two systems. Also consider the 'what ifs' particularly regarding complaints and appeals.

    Example of specific text from a draft under development relating to a proposed collaboration with a French university, recognising French conventions of a public event:

    The thesis will be submitted informally to the examination committee who will be required to submit comments within a specified time scale. These comments will be issued to the student and to all members of the examination committee.

    The student will have an opportunity to revise the draft thesis, reflecting these comments, and to submit formally within a time period to be specified by the examination committee and approved by the lead university.

    Defence of the thesis will comprise two parts:

    • an open, public session in seminar format, to be led by the examination committee the supervisors will be permitted to attend this;
    • this will be immediately followed by a closed session involving only the student and examination committee, which will determine the final result; subject to the specific regulations of both universities, the supervisors may be allowed to attend as observers.

    Defence of the thesis will normally be conducted in the English language. Provision may be made for translation, taking the students' views into account.

    If translation is used, the lead university shall verify the authenticity of translations and determine responsibilities, including costs for translations. It will also ensure that any expectations of the student are fair and reasonable.

    The lead university will cover all costs of both external examiners under its normal arrangements. Each university will cover all costs of its internal examiners.

28. Student complaints and appeals

    Any complaint or appeal by the student will be formally considered only by the lead university, under its procedures and relevant law. The other university will:

    • be required to provide information requested by the lead university relating to the complaint or appeal;
    • be provided with copies of all information relating to the complaint or appeal;
    • have an opportunity to observe and comment on all proceedings.
29. The lead university may refer an issue relating to a complaint or appeal to the other university for comment.

    Intellectual property rights (IPR)

30. IPR [XX need statement from RIS, likely based on current PG Code of Practice, extended to include consideration of a second university involved in the process]

    Information relating to this agreement

31. Each university will be responsible for maintaining full records of all information relating to this agreement and for complying with relevant data protection and freedom of information requirements.

    Costs

32. Each university will be responsible for its own costs associated with this agreement.
33. Neither university will have the authority to authorise or incur financial liability on behalf of the other.

    Confidentiality

34. All information it is changed between the universities associated with this collaboration will be treated as confidential and will not be divulged to other parties without the prior written agreement of the other university.

    Publicity and promotion

35. Neither university may use the other's name or logo or make public claims were statements on behalf of the other without the prior, written approval of the other. A copy, with where appropriate, an authorised English translation, of any proposed statement must be sent to the other university's designated collaboration manager who will consult as necessary and advise approval or otherwise.
36. Both universities may make reference to this collaboration provided such reference clearly describes the nature and extent of the collaboration and does not make misleading comments regarding standards, quality or services.

    Period of applicability

37. This collaborative agreement will be valid for a period of [XX] years from signature. It may be extended by mutual agreement. Prior to any extension, both universities would review the effectiveness of operation of the collaboration.

    Withdrawal or termination

38. Either university may terminate this agreement by letter giving 6 months notice. In such a circumstance the two universities would agree how to discharge any residual responsibilities to students who had been enrolled on to a joint programme of study.

    Law applicable

39. The law of Scotland shall apply to interpretation of this agreement.
40. Nothing in this agreement shall be deemed a partnership between the parties.

    Variations to this agreement

41. No provision in this agreement may be varied apart from in writing by authorised representatives of both parties.

    Disputes

42. Should any dispute arise relating to this collaboration, the heads of the appropriate academic units will seek a resolution. If there are outstanding issues, the heads of the two universities will seek a resolution.

    Signatories

43. For Dundee University and Other University

List of appendices to this agreement

Appendix A: Schedule of key points applicable when University of Dundee is lead university

Appendix B: Schedule of key points applicable when [XX other university] is lead university

Appendix C: Designated collaboration link coordinators

Appendix A: Schedule of key points applicable when University of Dundee is lead university

• Academic units responsible for management: School of XX, in the College of XX
• Minimum period of study: 3 years
• Maximum period of study: 4 years
• Fees payable by student: 200?/?
  For EU nationals who are EU residents, XX per annum
  For others, XX per annum
  XX-Check figures with Registry
• Distribution of student fee: All to lead university
• Costs of travel by the student between the two universities: Student and, or sponsor
• Costs of examining Lead university will cover all costs of examination committee. Each university will cover their own additional costs e.g. of supervisors' travel.
• English language requirements: IELTS 6 or equivalent
• Progress monitoring Thesis Monitoring process
• Reference and links to relevant University regulations: Degree regulations for degree of Doctor of Philosophy

  Code of practice for supervised postgraduate research

Appendix B: Schedule of key points applicable when XX is lead university

Other parties to provide information under similar headings to Appendix A

Appendix C: Designated collaboration link coordinators