Research degrees quality code

1. Introduction

This Code sets out the University of Dundee’s standards and requirements for the quality of research degree provision – including academic standards, support standards and mandatory procedures on monitoring, training, supervision, assessment and examination.

Among its purposes are: (i) to help clarify correct procedures at the various milestones of the research degree, (ii) to help Schools quality assure each aspect of their research degrees, and (iii) to inform enhancement and improvement activities across the University.

This Code complements existing regulations and guidance and should be used in conjunction with the applicable degree regulations and in the context of the University’s Quality Framework.

Sources of further information, help and advice appear at the end of each section.

The University offers a number of research degrees in addition to the traditional PhD including research masters degrees and professional doctorates. Each will have its own degree regulations that specify elements in the programme that differ from the traditional PhD – apart from these elements any reference to PhD in this code can be taken to refer to all research degrees (including the Professional Doctorate) offered by the University.

This Code is intended to meet the expectations of the Quality Assurance Agency’s UK Quality Code (Research Degrees). It explains the University’s policies, processes and practices in accordance with the Guiding Principles below.

Each Chapter refers to the relevant Guiding Principles (GP) and a high-level mapping between this Code and the QAA UK Quality Code is provided in Appendix 3 below.

Guiding Principles

1. Provision of information is clear and accessible to postgraduate researchers and staff.
2. The research environment is supportive and inclusive for all postgraduate researchers.
3. Research Degree Supervisors are appropriately skilled and supported.
4. Postgraduate researchers are afforded opportunities for professional development.
5. Progression monitoring is clearly defined and operated.
6. Clear guidance and processes on assessment for research degrees is provided.

2. Admissions & Induction

   GP 1. Provision of information is clear/accessible to postgraduate researcher & staff

   1. Research Degree Admissions

      Research Degree admissions fall within the scope of the University's Fair Admissions Policy.

      Most applications can be made on-line through the University’s Direct Application System although Schools may require applicants to make an initial application directly to the School - when recruiting to funded studentships, for example.

      The normal entry requirement for a research degree is a 2:1 honours degree or equivalent and/or a relevant master's degree or equivalent. Schools may also admit Postgraduate Researchers on the basis of experiential or other learning (APEL or APL). The normal entry requirements for each School must be published and made available to potential applicants (in the University's on-line prospectus, for example).

      Admission procedures may also include a formal or informal interview, qualifying examination or a requirement to undertake preparatory research training or English language courses. Admissions decisions will typically need to take account of the following:

      • The applicant’s academic history and qualifications.
      • The scope and potential of the proposed research project.
      • The availability of academic expertise and supervision.
      • The availability of resources and equipment to support the project.

      The choice of research topics for applicants is likely to be constrained by the availability of relevant academic expertise within the School and in some cases by the nature of studentships being offered. A reasonably developed research proposal must be agreed between the Postgraduate Researcher and the School to allow for informed decisions to be made at the appropriate time. Where flexibility is required or desirable in the initial stages of study then offers for admission can be made on this basis - so long as it is clear to the Postgraduate Researcher when and how a final choice of topic is to be made.

      The rejection of applicants must be based on clear and objective grounds, handled with sensitivity and should ideally include constructive feedback to the applicant, although the volume of applications in some areas may preclude this.

      All courses at the University of Dundee are taught in English and all applicants who are non-native speakers of English must be able to provide certificated evidence of English language skills - the normal minimum entry level of English is 6.5 at IELTS or equivalent although Schools may set entry levels higher than this for particular disciplines. Postgraduate Researchers who require a Visa for study in the UK must provide evidence of English language skills to the minimum level to satisfy UK immigration regulations.

      The decision to admit is taken by the Dean on behalf of the School Board on the advice of relevant tutors, supervisors and programme leaders. Some Schools may require the decision to be approved by a separate committee before formal endorsement by the Dean.

      The formal offer of admission to a candidate must include all relevant details of the proposed course of study including duration and fees payable and must indicate clearly any conditions attached to the offer.

      The University will consider applications from candidates who wish to study at a distance, possibly in collaboration with other institutions, on a case-by-case basis. Admission will only be offered on this basis if the University is satisfied that the Postgraduate Researcher will have access to similar levels of

      support and supervision as on-campus Postgraduate Researchers. All collaborative provision is subject to University's quality assurance procedures.

   2. Induction

      Each School must organise an induction event or programme of events for new Postgraduate Researchers. Attendance at PGR Welcome and Induction events are mandatory for all new Postgraduate Researchers. The University has up to three standard start dates for new Postgraduate Researchers each year. There are University-level welcome events and new PGRs should be encouraged to read the guidance on starting a research degree published as part of Postgraduate Research Essentials.

      Welcome events must be clearly advertised by Schools and Central Services. Non-standard start dates can be approved by the School's PGR Lead for good reasons such as the seasonality of certain research topics and external funding starting at a specific date.

      Supervisors and PGR leads must ensure that any new Postgraduate Researcher who starts at a non- standard start date is provided with an effective welcome and induction to the School and University. The School must keep a record of when its new Postgraduate Researcher participate in welcome & induction activities.

      New Postgraduate Researchers must be fully briefed on: the responsibilities of supervisors and the expectations of Postgraduate Researchers, the research and generic skills training available, research integrity/ethics, library, IT and student support resources, teaching/demonstrating opportunities, and the research degree upgrade and thesis monitoring arrangements.

      All Postgraduate Researchers must be made aware of the function of the Thesis Monitoring Committee and informed of all criteria of the Upgrade Review. PGRs must also be told how they can raise any issue concerning Thesis Monitoring and its effective operation with the Programme Leader or equivalent in the School.

      Each School must produce dedicated information for new Postgraduate Researchers, which must include reference to this Code and relevant University's policies and procedures - including health and safety and equality and diversity.

      Each School must ensure that contact between new Postgraduate Researchers and their supervisors is made as soon as possible after matriculation.

      Each School should consider allocating a senior Postgraduate Researcher to each new entrant - to act as an informal contact/mentor within the School for the initial period of induction and orientation.

      New Postgraduate Researchers should be encouraged to attend any relevant University, DUSA or student society induction event in addition to any mandatory welcome and induction events.

      Student Services must inform all new Postgraduate Researchers of the requirement to matriculate in person (or online in exceptional circumstances), with documentary evidence of identity, funding and (if applicable) immigration status. School induction programmes must be arranged so as to allow for matriculation at the correct time and location.

       

3. Supervision

   GP 2. The research environment is supportive and inclusive for all research students.

   GP 3. Supervisors are appropriately skilled and supported.

   1. Supervision and Accreditation Guidelines

      The Supervisory Team

      Each Postgraduate Researcher must have (at least) two supervisors: (at least) one main supervisor and a second supervisor.

      Supervisors are appointed by Deans, subject to confirmation by School Board.

      In appointing supervisors Deans must ensure that the University and School criteria for the appointment of supervisors are met and that no member of staff acts as the main supervisor for more than six full-time students or equivalent at any one time.

      Main and Second supervisors must meet the School criteria for accredited supervisor status. Postgraduate Researchers might also be allocated associate supervisors who are under mentoring by a fully accredited supervisor.

      Only those who hold a remunerated or honorary appointment at lecturer level or above in the University may be appointed as supervisors and at least one of the main supervisors must be a full member of University staff.

      Accreditation

      Each School must agree and publish clear criteria for the accreditation of supervisors. The University’s model set of criteria is included in Appendix 1 of this Code. The criteria must include a requirement to engage with the University’s professional development and training for research supervisors provided through the Doctoral Academy.

      All supervisors are expected to have completed the University’s Research Integrity Training.

      Joint supervision/Co-supervision

      Postgraduate Researchers may be assigned more than one main supervisor (joint or co- supervision), especially in cases where more than one School is supporting the research project.

      In all cases of joint supervision across Schools or disciplines the percentage split of duties between the supervisors must be agreed and recorded on an annual basis and made clear to the student concerned (see also Appendix 2 on Supervisor Expectations Agreement).

      External expert supervisors

      On very rare occasions it may be necessary to appoint an external expert from outside of the academic Schools of the University to act as a supervisor. Deans have the authority to make such appointments but must ensure that external experts are suitably qualified.

      Schools are responsible for all related contractual and remuneration matters.

   2. Responsibilities of Main Supervisors

      Main supervisors are responsible, in consultation with second supervisors, for

      (a) giving guidance about:

      • the nature of research
      • the standard expected
      • the planning of the research programme
      • requisite research methods
      • relevant regulations governing research at the University (e.g., research ethics, health and safety)
      • appropriate publication practice and research data management;

      (b) making clear to Postgraduate Researchers that, while the course of study for that degree constitutes training in research methods, the degree is awarded only for original work;

      (c) meeting (online or in person) with full-time Postgraduate Researchers at least fortnightly during the first three months of the research degree programme or project. Thereafter meetings must take place at least monthly. Supervisory meetings may be taken by the main supervisor alone. The minimum attendance for second and third supervisors is once in a semester. Meetings with part- time Postgraduate Researchers must take place at least monthly during the first three months and at two-monthly intervals thereafter;

      (d) making a note of the details of all formal meetings with Postgraduate Researchers including substantive outcomes of all scheduled supervision meetings or ensuring that a record of outcomes is compiled by the Postgraduate Researcher and countersigned by the supervisor.

      (e) giving specific advice on the necessary rates of progress of successive stages of the work so that the whole may be submitted within the scheduled time;

      (f) requesting written work as appropriate, and returning such work with constructive feedback in good time;

      (g) coordinating the Upgrade Review at the end of the first year of study and the subsequent Annual Progress Reviews;

      (h) working alongside Doctoral Academy, ASC and LLC staff to support Postgraduate Researchers in their transferable skills training;

      (i) ensuring that the Postgraduate Researcher has opportunities to present their work in local seminars and meets with the thesis monitoring committee as required;

      (j) ensuring that the Postgraduate Researcher is made aware of inadequacy of progress or of standards of work below those generally expected and arranging any supportive or ameliorative action necessary;

      (k) ensuring, within the limits of available resources, that the School provides adequate accommodation and equipment for the Postgraduate Researcher;

      (l) ensuring that a completed 'intention to submit' pro forma is submitted to the Registry at least three months before the planned date of the Postgraduate Researcher’s viva voce examination; and

      (m) making use of relevant staff development and quality enhancement opportunities as an integral part of their duties as a supervisor.

   3. Responsibilities of Second Supervisors

      Second supervisors are expected to take an active interest in the Postgraduate Researcher’s progress, and to provide additional support whenever this is required.

      The role of the second supervisor may, in addition, include any of the responsibilities of the main supervisor, but where the second supervisor takes on any of the main supervisor’s responsibilities this must be clearly recorded (see also Appendix 2 Supervisory Expectations Agreement).

      Where the main supervisor becomes unavailable for whatever reason, or leaves the University, the second supervisor is expected to act in their place until such time as a new main supervisor is appointed.

      These are minimum requirements, and it is open to Schools to further specify the role and responsibilities of second supervisors.

   4. Responsibilities of postgraduate researchers

      The responsibilities of Postgraduate Researchers include but are not confined to:

      (a) accepting ultimate responsibility for their own academic work, the development of their own original research and their own progress towards submission for the degree;

      (b) ensuring that they are familiar with relevant aspects of the University’s regulations, including degree regulations, policies on plagiarism and academic dishonesty, research ethics and integrity, health and safety;

      (c) participating in relevant training programmes, including research integrity training;

      (d) undertaking two weeks of transferable skills training per year. (Postgraduate Researchers are strongly advised to discuss their workshop choices with their supervisors);

      (e) agreeing a schedule of meetings (at least monthly for full time Postgraduate Researchers) with their supervisors and attending those meetings (on-line or in person);

      (f) discussing with their supervisors the type of guidance and comment they find most helpful;

      (g) taking the initiative in raising problems or difficulties, however elementary they may seem with their supervisors or the School’s PGR Lead;

      (h) maintaining progress on their research in accordance with the timetable agreed with their supervisors including, in particular, submitting written material where required in sufficient time to allow for comments and discussion before embarking on the next stage of their research;

      (i) keeping a record of meetings with their supervisors, which should include a note of items for action;

      (j) providing as required, brief formal reports to the Thesis Monitoring Committee, with the assistance of their research supervisors;

      (k) deciding when they wish to submit their thesis for examination, taking account of the views of their supervisors (which are advisory only); and

      (l) completing, in agreement with their supervisor, the Thesis Deposit Agreement and archiving in Discovery the final examined copy of their thesis.

   5. Research Postgraduate Lead

      Schools must appoint a research postgraduate lead, coordinator or equivalent contact to whom Postgraduate Researchers can turn for advice and information on any aspect of the research degree programme, including supervision, thesis monitoring, upgrade review, intention to submit and final submission.

      The full range of duties will vary from School to School but must be complementary to existing supervision and thesis monitoring arrangements. A list of advisers will be maintained and published centrally for reference.

      Links for further information 

      Responsible research - Managing health and safety in research

4. Progress and Review

   GP 5. Progression monitoring is clearly defined and operated

   1. Thesis Monitoring Committees

      All Schools must establish a Thesis Monitoring Committee (or Committees). The main purpose of the Committee is to provide an independent assessment of the progress of Postgraduate Researchers and the quality of their research supervision. Where the requirements of supervision and thesis monitoring exceed the capacity of a discipline or unit, thesis monitoring must be carried out at School level.

      Meetings of the Committee also provide an opportunity for Postgraduate Researchers to draw attention to any difficulties that may have arisen in the PGR-Supervisor relationship.

      Thesis Monitoring Committee meeting may be held on-line or in person at the discretion of the Committee.

      Powers of thesis monitoring committees

      Thesis Monitoring Committees are responsible for (i) providing an assessment of the Postgraduate Researcher’s progress and their readiness for Upgrade Review; and for (ii)providing an assessment of the Postgraduate Researcher’s supervision arrangements.

      In exceptional circumstances a Thesis Monitoring Committee might also recommend changes to supervision arrangements; changes to the research project and/or research methodology; downgrade the Postgraduate Researcher’s registration (i.e., from PhD to MPhil); to terminate the Postgraduate Researcher’s studies.

      Composition

      The Committee must consist of at least two members of academic staff other than the Postgraduate Researcher’s supervisor. At least one member of the Committee must have accredited supervisor status.

      The Committee need not contain a member of academic staff with expertise in the Postgraduate Researcher’s specific field of research, since the committee's role is primarily concerned with progress issues and whether the PGR-Supervisor relationship is operating successfully.

      Colleagues from other Schools may be appointed to TMCs at the discretion of the Dean, provided they have expertise relevant to the Postgraduate Researcher’s field of research.

      The Committee composition should allow for continuity of support and not constituted in an entirely ad hoc way.

      Monitoring of individual Postgraduate Researchers progress

      The Committee must consider the progress of full-time Postgraduate Researchers at least twice a year and the progress of part-time Postgraduate Researchers at least once a year –although Schools are encouraged to scheduled additional meetings as required.

      Individual Postgraduate Researchers’ progress must continue to be monitored until the Postgraduate Researcher has submitted their thesis.

      Attendance of supervisors

      The Postgraduate Researcher’s supervisors would not normally attend the meetings between the Postgraduate Researcher and the committee, but the main supervisor(s) may attend if required, entirely at the committee’s discretion.

      Record of meetings

      The School must maintain a record of meetings of the Committee – including a note of agreed actions points and any advice or recommendations made (in confidence or otherwise) to the Postgraduate Researcher or supervisors.

   2. Upgrade Review

      Confirmation of registration for a research degree: upgrade review

      Postgraduate Researchers wishing to undertake research at the University are admitted in the first instance as 'research students'. In order to be admitted formally for candidacy to a named degree, Postgraduate Researchers must undergo an Upgrade Review at the end of the first year of study (or equivalent for PT students or students taking a 4-year PhD Programme). Postgraduate Researchers must fulfil minimum criteria in order to pass the Upgrade Review.

      These minimum criteria comprise: a substantial written report or relevant body of work by the Postgraduate Researchers and/or a presentation by the Postgraduate Researchers at an appropriate forum of peers; and a recommendation from an Upgrade Review Panel appointed by the Dean of School and/or the Thesis Monitoring Committee, as well as from the Postgraduate Researcher’s main supervisor(s) that they allowed to progress.

      Individual Schools may set additional criteria so long as Postgraduate Researchers are informed about all the criteria in place when they start their studies.

      Where satisfactory progress has not been made, the main supervisor(s) can recommend that the Upgrade be delayed for a specified period, or that the Postgraduate Researchers be registered for a lower award than originally intended, or, where progress is particularly unsatisfactory, that the Postgraduate Researcher’s registration be terminated. Decisions made by the School on the upgrade of research students to degree candidates may be subject to appeal under the Postgraduate Appeals Procedure (see Section 6.7).

      A full record of any Upgrade Review Panel/Thesis Monitoring Committee meeting must be kept and must also be submitted to School Board if termination of studies is recommended.

   3. Annual Progress Review

      Each Postgraduate Researcher must re-matriculate at the start of each academic year using the eVision on-line system. The matriculation process will be enabled for each Postgraduate Researcher only when satisfactory progress is reported by the School - on a broadly defined pass-proceed basis. Schools must arrange meetings of Thesis Monitoring Committees in good time to allow pass- proceed progression information to be confirmed for each Postgraduate Researcher each year.

      Schools are expected to define their own criteria for pass-proceed at the annual progress review prior to re-matriculation. The criteria could make reference to levels of attendance, participation in discipline specific research events or seminars, experimental, practical or data gathering work, written work or any other academic work needed to demonstrate project progress and engagement with the research degree programme.

      Where a Postgraduate Researcher’s progress is such that the Thesis Monitoring Committee and /or the main supervisor(s) have doubts about the Postgraduate Researcher’s ability to complete the degree the matter must be reported to the Dean, together with a recommendation that either:

      (i) the Postgraduate Researcher be allowed to proceed to the next year of study subject to certain conditions being satisfied (for example: certain experimental work being concluded, or written work submitted for review etc.) in accordance with an agreed timetable or

      (ii) that the Postgraduate Researcher’s studies should be terminated due to unsatisfactory progress or failure to meet previously agreed conditions.

      Postgraduate Researchers are able to appeal against a School’s decisions on their unsatisfactory progress under the Postgraduate Appeals Procedure.

   4. Termination of Studies

      A Postgraduate Researcher’s studies may be terminated under one or more of the following circumstances:

      1. unsatisfactory progress or failure to meet previous agreed conditions for continued studies;
      2. sustained lack of engagement with supervisors or thesis monitoring arrangements;
      3. failure to meet mandatory attendance requirements made clear in studentship terms and conditions.
      4. for Tier 4 Visa students, a failure to meet minimum attendance monitoring requirements defined by UK Visa & Immigration regulations.

      If a Postgraduate Researcher becomes liable for termination of studies under 4.4.1 then the School must issue a formal Liable for Termination notification. The notification must specify the reasons for termination and allow the Postgraduate Researcher at least 1 month to take steps to rectify the situation in consultation with their supervisory team.

      If, in the opinion of the supervisory team, the Postgraduate Researcher has not rectified the situation by the deadline specified in the Liable for Termination notification then the Postgraduate Researcher’s studies will be terminated on the date specified.

      Each Termination of Studies action will be reviewed by the Dean and reported to School Board.

      If a Postgraduate Researcher seeks to voluntarily withdraw from their studies and a Liable for Termination notification has not been issued then the Termination of Studies procedure will not apply. The withdrawal date should be negotiated by the Postgraduate Researcher and their supervisors and only applied upon confirmation from the School’s PGR Lead.

      Postgraduate Researchers are able to appeal against termination of studies under the Postgraduate Appeals Procedure.

      Links for further information

      Postgraduate Research Essentials: research degree planning, progress and monitoring

5. Research, Skills Training and Employability

   GP 2. Research environment is supportive & inclusive for all postgraduate researchers

   GP 4. Postgraduate researchers are afforded professional development opportunities

   1. Research Methods Training

      All Postgraduate Researchers must have reasonable access to research, professional and transferable skills training as an integral part of their research degree programme.

      Every Postgraduate Researcher must discuss their training and development needs with their supervisors and the Thesis Monitoring Committee at least once every academic year. Every Postgraduate Researcher should be encouraged to identify any need for formal research methods training in order to successfully carry out their research project. In some disciplines it might be possible for Postgraduate Researcher to audit an existing research methods module. Other disciplines might provide practical training in the experimental stage of the project.

      In planning a research student’s formal training, the requirements of external funders and sponsors should be considered.

      Some disciplines may require successful completion of a taught research-training focused masters degree either before admission to a doctoral degree programme or as part of an integrated 1+3 programme.

   2. Transferable Skills Training

      The Doctoral Academy is a resource developed to help Postgraduate Researchers become more effective, efficient and confident as professionals and hence achieve key competencies for professional career development.

      The Doctoral Academy provides a dedicated programme of workshops for Postgraduate Researchers that are aligned with the Researcher Development Framework (RDF). These workshops are free of charge to Postgraduate Researchers who are strongly encouraged to take advantage of the opportunities on offer. Places on courses can be booked directly from on the Doctoral Academy SharePoint Site.

      All Postgraduate Researchers are required to undertake the equivalent of two weeks transferable skills training each year (inclusive of School based activities, conferences etc).

      In addition, all Postgraduate Researchers are required to undertake Equality, Diversity and Inclusion, Research Integrity, Health & Safety, Information Security and relevant research ethics and integrity training appropriate to their discipline.

      Opportunities to support effective transition into, through, and out of study are provided by Academic Skills Centre throughout the postgraduate journey.

      The Doctoral Academy provides support throughout the entire PGR experience, including opportunities, training and resources covering researcher development, research integrity and public engagement. This activity encompasses the mental health and well-being of postgraduate researchers and is aimed at fostering a sense of community and inclusivity.

   3. Employability and career planning

      All Postgraduate Researchers have access to the University’s Career Service who can assist with all aspects of career planning.

      Postgraduate Researchers should also be directed to the Researcher Development Framework (RDF) provided by Vitae as part of their work to support the professional and career development of Postgraduate Researchers in the UK.

   4. Teaching and other work by PGRs

      PGRs have a responsibility to ensure that successful progression of their research degree is not prejudiced by them taking on other significant commitments and must aim for a balance between employment and their research degree studies.

      Supervisors and other academic colleagues should not delegate work to a PGR without due attention to the requirements of that particular PGR's research project.

      As part of standard teaching duties PGRs may be involved in assessing formative or tutorial work of UG or PGT students but are not expected to act as Examiners as defined in University Ordinance 39.

      The terms and conditions of any visa, studentship or award, grant, loan or funding etc. should be checked and complied with as these may restrict the hours and/or earnings of a PGR or apply other conditions.

      International PGRs on a tier 4 visa are restricted to 20 hours maximum working per week. This applies whether they are working for the University, or anywhere else.

      Six hours per week is considered a reasonable, normal maximum for work by PGRs for the University, additional to their research degree studies. This is in line with guidance published by UKRI for full-time studentships.

      PGRs wishing to gain (or retain) professional accreditation or recognition may need to meet a requirement that they undertake a minimum amount of clinical or professional work to comply with the requirements of the relevant professional, statutory or regulatory body. Completion of the Learning to Teach in Higher Education course is a mandatory requirement for all PGRs who teach at the University. It consists of four two-hour workshops and a peer observation exercise.

      PGRs should disclose to their supervisors all paid work, whether by employment, casual work (in excess of 6 hours per week) or by personal consultancy, which they propose to undertake, before doing so. This information should be recorded as part of the normal process of recording supervision meetings.

      It is expected that the issue of work undertaken by a PGR will be dealt with under the usual supervision arrangements. In the event of a dispute, however, resolution will be found outside the supervisory relationship, including possible referral to the relevant Thesis Monitoring Committee.

      Links for further information

      The ESRC funded National Centre for Research Methods (NCRM) provides training that is open to all UK PhD students in the social sciences 

      My Dundee (for access to the PDP tool) 

      Vitae (for access to the Researcher Development Framework) 

      University Careers Service

6. Submission and examination

   GP 6. Providers offer clear guidance and processes on assessment for research degrees

   1. Study Duration and Adjustments

      From 1 August 2025, updates to the Research Degrees Quality Code introduce changes to submission timeframes, extension requests, and temporary withdrawal limits. The following sections set out the current requirements and processes.

      1. Submission Timetable

         The normal period of postgraduate research or course of study, calculated by reference to the number of consecutive years from first registration to submission of thesis or dissertation, is as follows:

         Normal	PhD	MD	MPhil
         Full time	3 Years	2 Years	2 Years
         Part time	5 Years	3 Years	4 Years
         Combination FT/PT	4 Years	N/A	3 Years
         4 Year PhD	4 Years (FT only)

         Subject to the terms of the Degree Regulations, the maximum period of postgraduate research or course of study, calculated by reference to the number of consecutive years from first registration to submission of thesis or dissertation, is as follows:

         Maximum	PhD	MD	MPhil
         Full time	4 Years	3 Years	3 Years
         Part time	6 Years	4 Years	5Years
         Combination FT/PT	5 Years	N/A	4 Years
         4 Year PhD	5 Years (FT only)

         However, a full-time candidate who is permitted to transfer to part-time study within one year or less from the end of the period prescribed for full-time study is required to complete their work for the degree within that period.

         The maximum period of study of a candidate who is required or permitted to transfer from a course of study or research for the degree of Doctor of Philosophy to a master's degree course shall remain that of the former course.

         Schools should encourage full-time PhD candidates to plan to submit at the end of three years, although four years is the maximum.

         Under University Ordinance 43 Postgraduate Researchers will be liable to pay a Matriculation Fee if they do not submit at the end of the normal period of study for the degree. In line with the provisions of Ordinance 43 Matriculation Fee levels may increase from time to time at the discretion of University Court.

         Schools must provide Postgraduate Researchers with information on how and when they can apply for temporary breaks in study or extensions (based on health or personal circumstances) and how the School monitors attendance and sickness absence.

         Postgraduate Researchers are entitled to a minimum period of annual leave (in line with statutory leave entitlement for full-time employees) of 28 days including public holidays, following consultation with their supervisors.

         Postgraduate Researchers are also entitled to other types of leave broadly in line with the provision (statutory or contractual) for University employees – however the terms of some externally funded studentships might limit or vary the payment of stipend during such leave.

         The University is in the process of agreeing a PGR Parental Leave Policy which will be made available as an appendix to this Code in due course.

          

      2. PGR Extensions

         The University has developed clear criteria to be used for making decisions about the extension, suspension or termination of a PGR’s registration for a research degree.

         PGRs must be made aware that the University’s Regulations specify the minimum and maximum periods within which the PGR can complete their research degree programme.

         Supervisors are responsible for giving PGR’s specific advice on the necessary rates of progress of successive stages of the work so that the whole may be submitted within the normal period of time allowed for in the Regulations.

         Supervisory Teams and Thesis Monitoring Committees have an important role in identifying and implementing support for PGRs who are not progressing satisfactorily. Complex individual PGR progression issues may be referred to the University’s PGR Completion Panel.

         PGRs must have a clear understanding of necessary rates of progress required for submission within the normal period of time allowed for in Regulations.

         PGRs must be given regular opportunities to discuss their progress with Supervisory Teams and Thesis Monitoring Committees and encouraged to take early action in relation to potential issues that might impact on their submission of a thesis for examination within the normal period of time allowed for in Regulations. Applications for extensions to periods of study will not normally be considered retrospectively.

         PGRs must be made aware that extensions to their period of study are not automatic, can only be granted in exceptional circumstances supported by documentary evidence and have strict upper limits. In cases where a PGR is unable to submit a thesis for examination after reaching the maximum period of registration the University will proceed with Termination of Studies, following the procedures outlined in Section 4.4 of this Code. Appeals against Termination of Studies can be considered by the Senate Postgraduate Appeals Committee where adequate grounds can be established.

         Academic extensions which remain within the boundaries of maximum programme time are handled in the respective School.

         Any extension request which takes a candidate beyond maximum programme time or adds to an earlier extension which took them beyond maximum programme time must be signed off by the Chair of the Postgraduate Research Sub-Committee on the basis of a recommendation made by the School (not the candidate or supervisor). The School recommendation should be made through the School PGR Lead and must be endorsed by the Dean or their delegate.

         This will normally consist of a pro-forma available from Registry, a supporting statement from the lead supervisor, a written endorsement from the School, a timeline of work with milestones towards completion and any other evidence as required such as a doctor's note. In general, and where applicable, consideration of mitigating and/or recurring circumstances for a PGR will follow the regulations and guidance issued for Undergraduates and Taught Postgraduates.

      3. Temporary Withdrawal from Studies

         Temporary Withdrawal from studies must be applied for within 28 days of a relevant event or circumstance occurring. A relevant event or circumstance is one that prevents a PGR from making satisfactory progress in their research and can include but is not limited to illness, additional caring responsibilities or other significant personal issues. In exceptional circumstances the School's PGR lead may make the application as a proxy.

         The maximum length of any instance of continuous Temporary Withdrawal is 12 months.

         Cumulatively Temporary Withdrawal is limited to 24 months for PGRs on a full-time programme and 36 months for PGRs on a part-time programme.

         Should a PGR require more than 12 months of continuous Temporary Withdrawal or would exceed 24 months (36 months P/T) of cumulative withdrawal, their studies would normally be terminated, and the PGR invited to reapply at a later stage. No guarantee is given that they will be readmitted, as supervisors may have moved on, or the PGR’s circumstances have not improved sufficiently.

   2. Submission of the thesis for examination

      Postgraduate Researchers are required to submit their thesis for examination in electronic format (normally a PDF document) to Registry and to the Convener of the Examining Committee (or another member of staff nominated by the School).

      Registry will record the date of submission and forward the thesis to the External Examiner.

      The Convener of the Examining Committee will ensure that the Internal Examiner(s) receive a copy of the thesis as soon as possible after submission.

      Hard copies of theses may be requested by examiners beforehand should they be unable to work easily with large electronic files.

      In case such a request is made by the External Examiner, the Postgraduate Researcher should prepare in addition to the electronic version one loose-bound copy of their thesis for examination. This copy must be submitted by hand to Registry who will record the date of submission and send the thesis to the External Examiner. Submission of hard copy theses via the internal mail system is not possible.

      If the request is made by the Convener of the Examining Committee and/or the Internal Examiner, then the Postgraduate Researcher should pass by hand as requested one or two loose-bound hard copies of their thesis to the Convener of the Examining Committee.

      Postgraduate Researchers must be reminded that the examining process may be delayed if they have any outstanding debt to the University at the time of submission of the thesis.

   3. Examining committees: composition, roles & responsibility

      The Main Supervisor is responsible for ensuring that a completed Intention to Submit pro forma, including the Thesis Deposit Agreement, is completed and submitted via the Dean (and/or any other School committee as necessary) to the Registry at least three months before the planned date of the

      viva voce examination. The purpose of this pro forma, which the Postgraduate Researcher must countersign, is to establish the proposed composition of the examining committee of the thesis and to allow the Convener of the Examination Committee to make arrangements in good time.

      The composition of the Committee is approved by the Dean (or by a Higher Degrees Committee) on behalf of the School Board using the Intention to Submit Form.

      1. The examination committee

         Examining committees should normally consist of three members: a Convener, an internal examiner and an external examiner.

      2. The convener

         The Convener of the Examining Committee is responsible for making all the necessary arrangements for the Examination and has the authority to take all decisions regarding the Examination so as to ensure both the highest academic standards and demonstrable fairness to the Postgraduate Researcher being examined.

         The Convener generally does not take an active role in the questioning and examination of the student, but as a member of the examining committee is nevertheless entitled to do so. The Convener must normally have served as an examiner on an examining committee on at least one previous occasion.

      3. Examining committees: composition, roles & responsibility

         The internal members of the examining committee must be at least of lecturer or honorary lecturer status in the University.

         Retired members of staff are not normally eligible to act on examining committees, whether as convener, internal or external examiner.

         The Dean of School is responsible for approving the composition of the Examining Committee on behalf of the School Board.

         Deans must ensure that the Internal Examiner possesses a sufficiently scholarly status in the given subject area. The status of prospective external examiners should likewise be carefully considered before they are approached; external examiners must be experts in the field.

      4. Examining committees: composition, roles & responsibility

         An informal approach to potential External Examiners can be made by the Main Supervisor or by other University staff as appropriate, but Postgraduate Researchers should not be asked to contact potential examiners.

         When the Postgraduate Researcher is a member of academic staff of the University (but to the exclusion of research assistants and research fellows on short-term contracts) two external examiners must be appointed. Postgraduate Researchers with teaching, tutoring or demonstrating duties ancillary to their studies are not required to have two external examiners. In cases where two external examiners are appointed there is no requirement to appoint an additional examiner.

         The external examiner(s) must be provided with a statement of what the University believes is appropriate for the award of a higher degree by research.

         A former member of staff of the University will not be eligible for appointment as an external examiner within the first five years of leaving the University.

         External Examiners should be selected on the basis of their expert knowledge and experience and their familiarity with the academic and professional standards underpinning research at the required level. There is no general requirement for examiners to be currently employed in any particular sector or at any particular grade. The suitability for appointment as an examiner should be made on a case-by-case basis taking into account the nature and subject matter of the research thesis to be examined.

      5. The supervisors

         The Supervisors may not be members of the examining committee and may take no part in the examination process.

         The Supervisors may attend the viva voce as observers with the permission of the Examination Committee and with the agreement of the degree candidate.

   4. The viva voce examination

      The University's research degree regulations require that each Postgraduate Researcher must submit to a viva voce examination and that this requirement shall only be waived in special circumstances with the express approval of the appropriate School Board. In this context “special” circumstance does not include the examiners regarding the thesis as being unequivocally acceptable.

      The viva voce examination is part of the examination for a postgraduate research degree but not the whole of it; the remainder being mature reflection upon the thesis itself by the examiners over the period of time from its submission.

      The aim of the viva voce examination is to provide an opportunity for the examiners to question the degree candidate on aspects of the thesis. It should be designed to elicit information on any or all of the following issues:

      a) explanation of the structure of the thesis;

      b) justification for the inclusion or exclusion of material;

      c) explanation for and justification of the use of particular research methods and techniques;

      d) defence of the originality of the thesis;

      e) (clarification of any points of ambiguity within the thesis;

      f) justification for the conceptual approach taken in the thesis;

      g) the depth of knowledge of the contextual background to the subject of the thesis.

      1. Before the examination

         Preliminary examiners reports

         Both the internal and the external examiners are required to submit preliminary reports on the thesis in advance of the oral examination. These are submitted directly to the Convener. The examiners should not confer or communicate on the merits of the thesis before the submission of their preliminary reports. It is the Convener's role to ensure that differences of opinion are discussed and resolved satisfactorily at or immediately following the examination.

         Prior to the viva voce examination, the Convener is responsible for:

         • informing the Postgraduate Researcher of the membership of the examining committee;
         • making sure that the student is aware of the agreed format of the Thesis for examination purposes;
         • making all practical arrangements for the viva voce examination, including date, time and place, and any additional requirements of the relevant School;
         • ensuring that the viva voce examination takes place within three months of the date of submission wherever possible;
         • informing the Postgraduate Researcher of the arrangements with generally at least four weeks' notice;
         • receiving preliminary reports from both the internal and external examiners before the viva voce examination, and ensuring that issues raised in these reports are satisfactorily addressed during the viva voce examination;
         • agreeing the structure of the examination with the other members of the committee, ensuring that all concerns raised by the examiners will be addressed.

      2. Range of outcomes of the examination

         The recommendation from an examining committee for a research degree will be one of the following typical outcomes (timescales are indicative and can be varied at the discretion of the committee. This list of typical recommendations is not exhaustive and outcomes are always at the discretion of the examiners exercising due academic judgement.

         A1	The Thesis is accepted unconditionally
         A2	The Thesis is accepted on the condition that minor corrections are completed within three month
         A3	The Thesis is accepted on the condition that major revisions are completed within six months.
         A4	The thesis is not accepted but that the candidate is invited to rectify substantial shortcomings during a further period of supervised research and to resubmit in a revised form within twelve months. Resubmitted theses may be subject to a second viva voce examination
         A5	The Thesis is accepted for a lower degree.
         A6	The thesis is not accepted but the candidate is given the opportunity to rectify substantial shortcomings during a further period of supervised research and to resubmit in a revised form for a lower degree within nine months.
         A7	The Thesis is not accepted and resubmission is not allowed.

      3. After the examination

         At the end of the viva the Postgraduate Researcher must be advised that the decision of the committee will be conveyed in writing by the Convener by a specified date or the Postgraduate Researcher may be informed orally on the day of the viva.

         In cases where there are substantial deficiencies in the thesis then it is preferable for the decision to be conveyed in writing, along with a written statement, agreed by the examiners, comprising the main comments upon which the re-submission is to be based.

         The deadline for the re-submission of a referred thesis (i.e. revise and re-submit) is calculated from the date that the candidate receives the written statement from the examiners.

         In all cases, the Examiners' report proforma containing the recommendation of the examining committee must be forwarded to the Registry immediately following the viva voce.

         The final examining committee report (not the reports of individual external examiners) is available to degree candidate, on request, in the interests of transparency in examination procedures.

         At the conclusion of the examination procedure, the Convener is responsible for:

         a) coordinating the preparation of the final examining committee's report, which is similar in content to the preliminary reports of the internal and external examiners, including the reconciliation of disagreements amongst members of the examining committee;

         b) notifying the degree candidate in writing of any required corrections, revisions or other amendments necessary to ensure that the thesis meets the requirements for the award of the degree;

         c) (forwarding the final examining committee's recommendation contained in their final report to the Registry who will then arrange for that recommendation to be forwarded to the Senate via the Examinations Office. The Convener should at the same time forward the preliminary reports of both the external and internal examiners to the Registry;

         d) approving all minor corrections/revisions and certifying that the final thesis satisfies the requirements of the examiners.

         Following the Senate's decision on the recommendations of the examiners the Postgraduate Researcher must be notified formally by letter from the Registry.

      4. Online Viva Voce Examinations

         Viva Voce examinations may be held online subject to the following conditions:

         a) All parties must agree in writing with the arrangements prior to the examination.

         b) The technology and facilities used during the examination must be secure and reliable.

         c) The Examination must not be recorded.

         d) The Examination arrangements must be approved by Dean on behalf of the School Board.

   5. Re-submissions

      In the case of a Postgraduate Researcher required to revise and re-submit a thesis, the Convener must, upon resubmission by the Postgraduate Researcher, consult the members of the examining committee as to whether there should be a second meeting of the committee and whether the Postgraduate Researcher is required to submit to a second viva voce examination.

      Whilst it is often the case that a viva voce examination is waived for resubmissions, Postgraduate Researchers should not be led to expect this and should be prepared to submit to a second oral examination. In cases where the Examiners are minded to reject the revised thesis the candidate must always be offered the opportunity for a second viva voce examination.

      Postgraduate Researchers who are required to resubmit must pay a fee at the time of re- submission in line with University Ordinance. This fee must be paid whether or not a second viva voce

      examination takes place. Details of the current levels of fees (revised from time to time) are available on-line from the Registry's webpages.

      1. Deadline for submission of a revised thesis

         On an exceptional basis, any request to the Examination Committee for an extension to the time limit for revisions must be approved by the Convener of the Examination Committee in consultation with the Convener of the Senate Postgraduate Research Sub-Committee.

   6. Disagreements among examiners

      Where there is disagreement amongst members of the examining committee, the Convener is expected to clarify and, where possible, reconcile those differences. In the exceptional case of irreconcilable disagreement, the Convener shall submit a report to the Director of the Doctoral Academy who may refer the case to the Senate (or a Committee of Senate with delegated authority).

      Thereafter the Senate or Committee of Senate has the power to recommend to the Court the appointment of a further external examiner or examiners.

      In addition, as the supreme academic body in the University, the Senate has the power to make such other decision as it deems appropriate in the particular circumstances.

   7. Appeals

      Postgraduate Researchers may appeal against the decisions of examining committees in accordance with the Postgraduate Appeals Procedure. Every appeal must be in writing and must be lodged with the University Secretary within four weeks of the date on which the candidate was informed of the decision against which the appeal is directed.

      The Regulations relating to the Postgraduate Appeals Procedure, including the criteria on which such appeals may be based, are available online. Assistance with the preparation of appeals may be obtained by consulting the Students’ Association: [email protected]

   8. Archiving of final version

      Following successful completion of the examination Postgraduate Researchers are required to archive, in approved format, an electronic copy of their final examined thesis. The electronic copy must be deposited in the institutional repository Discovery discovery.dundee.ac.uk and may be embargoed for a default 12-month period.

      The Thesis Deposit Agreement should be completed prior to archiving to allow the Library and Learning Centre (LLC) to confirm any restrictions with the supervisor. Supervisors may, at a later date, request a reasonable extension to the embargo.

      Particular funders (e.g., UKRI) require that the thesis is made openly available within 12 months. Archiving in Discovery satisfies this criteria and will be checked and validated by LLC staff before being made publicly available.

      On‐line Thesis Deposit Agreement 

      Links for further information

       

      LLC Support for Thesis Deposition 

      Flowchart: Submission to viva Examination

      Flowchart: Viva Examination to Award 

      Form and Presentation of Theses for Higher Degrees 

      Guidance on Viva Voce Examinations by Video Link

      Postgraduate Appeals Procedure

7. Quality and governance

   GP 1. Provision of information is clear and accessible to research students and staff

   GP 2. The research environment is supportive and inclusive for all research students

   GP 6. Providers offer clear guidance and processes on assessment for research degrees

   1. Academic standards and quality

      The University of Dundee has fully implemented the Scottish Credit and Qualification Framework (SCQF) for its academic awards and all research degrees are assessed and approved in the context of regulations that reflect the framework level descriptors – Level 11 for research masters degrees (e.g., MPhil, LLM (R), MLitt (R) & MSc(R)) and Level 12 for doctoral degrees.

      The PhD Degree regulations reflect the SCQF Level 12 descriptors and all doctoral candidates and supervisory team members must be aware of the assessment criteria for doctoral research degrees before undertaking research or supervision.

      Extract from the PhD Regulations 

      The Degree is granted upon the basis of satisfying all the following characteristic outcomes:

      • The creation and interpretation of new knowledge and understanding, 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, understanding and interpretation 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.
      • An appropriate level of understanding of applicable techniques for research and advanced academic enquiry.

   2. Evaluation

      The University participates in the national Postgraduate Research Experience Survey (PRES)run by AdvanceHE. All Postgraduate Researchers must be given the opportunity to participate in the survey at least once during their studies.

      The purpose of the survey is to gather information on how well the University performs in relation to the experience of its Postgraduate Researchers. The Doctoral Academy Board will consider the results of this survey annually to make improvements to postgraduate research programmes.

      The results of this annual survey will be made available online for internal use for external information in line with national guidance issued by AdvanceHE.

   3. Postgraduate researcher representation

      The University works closely with DUSA to enhance Postgraduate Researcher representation. Schools must promote and engage with Postgraduate Researcher representation, via forums such as:

      • staff-student liaison committees
      • School and University level committees and their working groups
      • PGR programme review boards and PSRB accreditation events

      Schools must encourage Postgraduate Researchers to contribute fully to such forums and assist in the training of representatives where appropriate.

   4. Student Complaints

      The University of Dundee Complaints Handling Procedure aims to provide an accessible, quick, straightforward and informal method of resolving student complaints, with the option of a more formal, written, procedure in serious cases after all efforts for local resolution have been tried.

      If formal resolution is not possible then students have the right to apply to the Scottish Public Services Ombudsman.

      All University of Dundee Postgraduate Researchers are entitled to use the procedure without concern that they will be disadvantaged by complaining. It is anticipated that no costs will be incurred by students in raising complaints. Due regard to privacy, confidentiality and the interests of any third parties will be borne in mind as appropriate.

      The Complaints Handling Procedure cannot be used to dispute the outcome of assessments or other processes requiring the legitimate exercise of academic judgement. Postgraduate Researchers will be directed to the relevant academic appeals procedure in such cases.

   5. Research ethics and conflicts of interest

      Ethical conduct in research demands respect for the rights of others who are directly or indirectly affected by the research. Procedures must be in place at the School level to help Postgraduate Researchers comply with principles of ethical research and all legal requirements associated with a piece of research.

      In general, any research that involves human participation should be on the basis of fully-informed consent and participants' rights of privacy should be guaranteed.

      Postgraduate Researchers should consider all ethical ramifications of their research and the physiological, psychological, social, political, religious, cultural and economic consequences of the work on participants. Where the Postgraduate Researcher is not sufficiently informed to make a fair judgment, specialist advice must be sought.

      Occasionally potential conflicts of interest may arise in the management of Postgraduate Researchers; therefore, Schools must have in place procedures that allow for sensitive but robust examination of potential conflicts. Schools must establish guidelines on how to resolve potential problems in such areas as prior or ongoing personal relationships between staff and Postgraduate Researchers, members of staff who undertake research degrees and the independence of external examiners.

   6. Academic misconduct

      The University has clear policies and regulations on academic and research misconduct that apply to Postgraduate Researchers:

      • Code of Practice on Academic Misconduct by Students
      • Investigating and Resolving Allegations of Misconduct in Research
      • Policy to Govern the Publication of Research

      Postgraduate Researchers must be informed that plagiarism detection software (e.g., Turnitin) will be used by the Supervisory Team and by the Examiners, in accordance with the regulations, to help promote academic integrity.

      The University recommends that similarity-detection software such as Turnitin is used as a tool to raise awareness around good research practice amongst Postgraduate Researchers and their supervisors.

      PGR’s work can be checked using Turnitin but should not be uploaded to the Turnitin database (to help mitigate against potential appropriation of the work by outside parties).

      The University recommends that self-check areas are created where PGRs may run the software on drafts of their chapters. PGRs should be encouraged to discuss the software-generated reports with their supervisors. Supervisors may also use the ‘self-check’ area and are encouraged to discuss the reports and best research practice with their supervisees.

      Each School/discipline should routinely screen draft PGR thesis prior to submission of the final version for examination. It is recommended that criteria for further scrutiny are established and adhered to which reflect the character of PGR theses in the discipline.

      Reports should be generated by School PGR support and, should they meet the criteria, passed to the Thesis Monitoring Committee or PGR lead for further scrutiny.

      The Thesis Monitoring Committee will make a decision whether to disregard the report or to take action. Actions may include a conversation with the Postgraduate Researcher and their supervisor about best research practice, requests to make (substantial) changes to the way the thesis is presented or to recommend to the School’s PGR lead opening a formal investigation for academic or research misconduct.

   7. Intellectual property rights

      Under UK law, Intellectual Property (IP) produced by an employee during the course of their normal duties or in the course of additional duties assigned to them is owned by the employer. Therefore, IP produced by University staff employed to do research would automatically be owned by the University. This does not apply to Postgraduate Researchers and therefore, in the absence of any agreement to the contrary, a PGR would own any IP that they produce through their own research.

      If the intention is for the IP to be owned by the University, a PGR must sign an Assignment which transfers ownership to the University. This is important when IP is being produced jointly between staff and PGRs. The Assignment can be done retrospectively.

      The PGR would then be treated the same as a staff inventor. They would have the support of Research and Innovation Services in the protection and commercialisation of the IP. The University would also bear the costs of patent filing when appropriate. The PGR would be entitled to a share of any net profit from commercialisation of the IP.

      Further hep and advice on IP issues can be obtained from the Intellectual Property Manager in Research and Innovation Services (RIS).

      Links for further information

      SCQF – Level 11 and 12 

      Postgraduate Research Experience Survey 

      Advance HE Student Matters 

      Representation 

      University Complaints Handling Procedure

      University Early Dispute Resolution