Award of the Degree

1. The degrees of Master or Doctor of Philosophy (MPhil or PhD) may be awarded by the Senate to postgraduate students funded by Mayflower Scholarships who have successfully pursued a course of study as prescribed below to the satisfaction of the Faculty Programmes Committee/ERDC¹ concerned and have fulfilled any other University requirements.

2. The requirements for candidature shall normally be a degree in a suitable subject of any approved university or whatever award/range of experience might be deemed equivalent by the Faculty Programmes Committee using agreed University AP[E/C]L guidelines as set out in Paragraph 13 of the University's Code of Practice for Research Candidature and Supervision. Applications from candidates with other non-standard qualifications must be approved by the appropriate Faculty on a case by case basis. Candidates may be admitted on transfer from a standard Southampton MPhil or PhD according to the guidelines set out in the University's Code of Practice for Research Candidature and Supervision.
   
   
3. Candidates satisfying the requirement for candidature may be admitted provided the Faculty Graduate School directorate concerned is satisfied with their chosen subject for research, that there is access to appropriate resources and facilities, and that there are satisfactory supervisory arrangements in place.
   
   
4. In approving candidature the Faculty Graduate School directorate shall state the effective starting date which may not normally be backdated beyond three months.
   
   
5. For the purposes of these regulations the University shall be deemed to include any institutions where the Faculty Graduate School directorate/ERDC¹ is satisfied that University staff can arrange proper supervision of a research candidate.

6. The programme to be followed shall be one of supervised study, including research and generic skills training, and may be undertaken on a full-time basis. Mayflower Scholars will also spend 25% of their time undertaking a teaching apprenticeship consisting of appropriate professional development and educational experience such as acting as a teaching assistant. The programme shall be pursued in the University except in the case of candidates for whom joint supervisory arrangements have been approved in accordance with Regulation 10 below, or in other special cases where the Faculty Graduate School directorate permits a period to be spent elsewhere.
   
   
7. The Faculty Graduate School directorate may approve arrangements for an individual candidate to receive supervision provided jointly by the University and another institution. In such cases, the Faculty Graduate School directorate may permit a period or periods of study to be undertaken at the other institution. The minimum period of full-time study at the University shall be twelve months for candidates of jointly-supervised research degrees with approved institutions.
   
   
8. A research student is required to register initially for the degree of PhD. A research student must successfully complete the required confirmation process to the satisfaction of the Faculty Graduate School directorate/ERDC¹ according to the procedures specified in the Code of Practice for Research Candidature and Supervision. A research student who does not successfully complete the required confirmation process may be offered the opportunity to transfer onto the degree of MPhil. In the case of a research student transferring from another institution into the Faculty/Accredited Institution, submission of the thesis is not normally permitted earlier than 12 months from the date of transfer, even if the research student has already had their PhD status confirmed at his or her previous institution. A research student for the degree of PhD may be permitted at any time prior to submission of the thesis to transfer to a course leading to the degree of MPhil. The period spent in candidature up to the point of transfer will be counted towards the period of candidature required for the degree to which the transfer is made. With regards to transfer of programme, the University will comply with its obligations under the relevant immigration legislation which may be updated from time to time. For those in the UK by virtue of a visa should seek advice from the University Visa Guidance Team.

9. Every research student shall be allocated to a supervisory team by the Faculty Graduate School directorate/ERDC¹ on the recommendation of the research student's Director of the Faculty Graduate School. The supervisory team shall consist of at least two supervisors, one of whom will be the 'main supervisor'. The supervisory team shall also include a named 'co-ordinating supervisor', who will normally also undertake the role of ‘main supervisor’ and should be a permanent academic member of University of Southampton staff.
   
   Senior members of honorary clinical staff in the Faculty of Medicine and the Faculty of Health Sciences, members of staff employed by the Natural Environmental Research Council at the National Oceanography Centre, or visiting academics, may be appointed to the supervisory team as main supervisors (but may not take the role of co-ordinating supervisor). Members of academically-related staff, an academic member of staff on probation, or a professor emeritus may not be appointed as main or co-ordinating supervisor.
   
   The main supervisor has responsibility for the supervision of the design and progress of the student's research project and for providing academic advice to the research student. The co-ordinating supervisor has responsibility for ensuring that the administrative processes for the research student are completed in a timely manner throughout a student's candidature. The supervisory team may contain additional supervisors, who may be external to the University, and shall report on the research student's work and progress when requested to do so by the Faculty Graduate School directorate. Paragraph 40 of the Code of Practice for Research Candidature and Supervision sets out the responsibilities of the supervisory team.
   
   
10. Every candidate will take part in an individualised assessment of their research training needs with their supervisor(s) at the commencement of their postgraduate research studies. Candidates will also be required to take part in a postgraduate student research training programme which addresses research/generic/transferable skills and may include a range of compulsory and optional elements, the former as determined by the Faculty Graduate School directorate.
    
    
11. Every candidate will be allocated a team responsible for providing mentoring, delivering the appropriate professional development, and managing and setting expectations in relation to the teaching undertaken by the Mayflower Scholar. The person responsible for managing the teaching will not normally be part of the supervisory team responsible for the research of the candidate
    
    
12. Every candidate will take part in an individualised assessment of their training needs with regard to teaching at the commencement of their postgraduate studies.
    
    
13. If the candidate's performance in their teaching apprenticeship does not meet the agreed expectations or they do not wish to continue, they may transfer to a standard MPhil/PhD programme subject to adequate funding being available.
    
    
14. Every candidate will be required to undertake Progression Reviews at fixed points during the course of their candidature. If, following a second attempt at a Progression Review, progress is deemed unsatisfactory, the Faculty Programmes Committee/ERDC1 may recommend termination of candidature to Senate. The Faculty Graduate School directorate/ERDC1 may also at any other time review the progress of an individual research student. If this is unsatisfactory and if, after due warning, there is insufficient improvement, the Faculty Programmes Committee/ERDC1 may recommend termination of candidature to Senate. The research student may appeal against the decision by using the procedure set out in Section IV: Regulations Governing Academic Appeals by Students.

15. The duration of MPhil and PhD research courses is set out in (a) to (d) below; these paragraphs should be read in conjunction with Regulations 18 to 26.
    
    
    1. Except as provided under (b) and (c) below the minimum period of candidature, from the date of enrolment, shall be:
       
       

       MPhil
       Full-time candidates:	not less than 12 months
       PhD
       Full-time candidates:	not less than 24 months

       
       
    2. This minimum period of candidature must be spent in supervised study and their teaching apprenticeship. In practice, the period of candidature will usually be longer than the minimum period.
       
       
    3. In exceptional circumstances, and for academic reasons only, a candidate may be permitted to submit a thesis earlier than the specified minimum period of candidature. In such a case, the request must be made by the main supervisor to the Faculty Graduate School directorate for recommendation to the Faculty Programmes Committee for approval.
       
       
    4. With the permission of the Faculty Graduate School directorate, a candidate registered for a research degree may be permitted to register concurrently for a Postgraduate certificate of Academic Practice (PCAP). In such a case, the candidature must be full-time and the period of supervised study/minimum candidature shall be increased to a minimum duration of 24 months (MPhil) or 36 months (PhD). Students who register solely for the Postgraduate Induction to Learning and Teaching (PILT) can do so in either full- or part-time candidature and the period of supervised study/minimum candidature will not be increased.
       
       
16. The period of study for a research degree ends when the thesis is submitted. The maximum period of candidature, including nominal registration but excluding periods of suspension (see Regulations 22 and 24 below), is five years (60 months) for full-time candidature. Mayflower Scholars are not permitted to undertake their studies on a part-time basis. A candidate who fails to submit a thesis by the end of the maximum period of study shall be deemed to have withdrawn from the course (see Regulations 25 and 26 below).

17. The Faculty Graduate School directorate may allow transfer to nominal registration for full-time candidates for a period not exceeding twelve months in the first instance. The supervisor(s) must confirm that the minimum period of candidature for either the MPhil or the PhD has been completed, confirmation has taken place (in the case of a PhD candidate), research is substantially complete as determined by the Faculty Graduate School directorate, and the thesis is being written up. A candidate returning from suspension may not transfer to nominal registration until at least two months after his/her return from suspension. If a candidate is on nominal registration for longer than six months, a fee becomes payable (see Section IV of the University Calendar). In cases of illness, family crisis or exceptional or unforeseeable circumstances beyond the candidate's control, the Director of the Faculty Graduate School may permit a candidate to suspend when in nominal registration (see Regulation 21 'Temporary Suspension').
    
    
18. Candidates retain access to library and computing facilities until their thesis is examined and, where appropriate, any revisions requested by the examiners have been made. Access to other facilities (eg: office space) may be extended at the discretion of the candidate's Faculty.
    
    
19. A candidate may apply in writing to extend the period of nominal registration beyond twelve months, taking account where applicable of Regulations 23 and 24 below regarding extension of candidature.
    
    
20. Periods of nominal registration count towards the maximum period of candidature.
    

21. Candidates for either degree must continue in registration for the degree until such time as they submit their thesis or withdraw, except that the Director of the Faculty Graduate School may permit temporary suspension of candidature. The Director of the Faculty Graduate School may allow suspension of candidature having considered a request from the candidate. In general, suspensions are allowed in extenuating circumstances (eg: illness, family crisis or unforeseeable problems beyond the candidate's control) and should not be granted as a matter of course. The maximum period of suspension should be stipulated in accordance with University of Southampton regulations (Section IV of the University Calendar). In the case of Research Council or sponsor-funded candidates, due regard should be given to Research Council or sponsor rules governing suspension. Periods of temporary suspension shall not count towards the maximum period of study. On returning from suspension a candidate who intends to submit his/her thesis must give the required two months' notice using the Intention to Submit form. The Intention to Submit form may only be submitted by a candidate in active registration.
    
    
22. Suspended candidates should not receive supervision and normally should not have access to services. However, where a Faculty/Accredited Institution judges that there is a need access to services can be granted on an individual candidate basis through the student administration system.
    

23. The minimum and maximum periods of candidature should be strictly adhered to. Extensions of candidature beyond the maximum period of time will be granted only where there is good cause and on specific application by the candidate before the candidature is due to expire. The Director of the Faculty Graduate School may allow extension of candidature having considered a request from the candidate.
    
    
24. Extensions may be approved at Faculty level by the Director of the Faculty Graduate School (see PGR Extension of Candidature in the Quality Handbook for information on extension of candidature and a template application form for extensions). Extensions should be requested only exceptionally, when unforeseen circumstances arise, and such circumstances must be demonstrated in each case. Due regard should also be given to limits or conditions placed on extensions by Research Councils or sponsors and any penalty which may apply if funded candidates extend their study period. The relevant fee will be charged in accordance with the candidate's registration status, ie: whether in candidature or in nominal registration.
    

25. After completion of the necessary period of study, a thesis shall be submitted for examination in accordance with the instructions in the document Completion of Research Degree Candidature (available via Quality Handbook - Completion of Research Degree Candidature). Candidates in Music may submit original musical compositions or offer recital work, together with additional material, specifications for which are set out in Appendix 1 to the Regulations for the degrees of Master of Philosophy, Doctor of Philosophy, and Doctor of Business Administration.
    
    
26. Candidates in Art and Design, and Drama, Dance and Performing Arts may submit original practical work in part fulfilment of the MPhil or PhD requirements. The relative weighting of practical work and written thesis is variable and depends on the nature of the individual research project. In each case the weighting will be agreed in advance between the supervisory team and the candidate, and confirmed in writing in the formal offer letter sent out by the Faculty/Accredited Institution. See paragraphs 8 to 10 of the Code of Practice for Research Candidature and Supervision for further amplification.
    
    In Art and Design, practical work is completed in conjunction with an accompanying thesis (between 35,000 and 40,000 words); the nature and extent of each component must be agreed in advance by the supervisor and approved by the Faculty Graduate School directorate. The relationship of the practical work and thesis must be such as to form a holistic original research project.
    
    
27. The submission following full-time candidature shall be made not later than five years from the date of first registration, excluding periods of suspension. Where periods of extension are approved by the Director of the Faculty Graduate School, these will be added to the maximum period of candidature. On returning from suspension a candidate who intends to submit his/her thesis must give the required two months' notice using the Intention to Submit form. The Intention to Submit form may only be submitted by a candidate in active registration.
    
    
28. A candidate who is about to submit a thesis shall give at least two months' prior notice in writing (using the Intention to Submit form) to the Faculty Student Office which shall include the full title of the thesis. Such notice of intention to submit a thesis shall be given not later than 31 January if the candidate seeks award of the degree by the following July.
    
    
29. With the exception of restrictions on access as defined in Regulation 30 below, research work submitted as a thesis for a higher degree shall be openly available and subject neither to security classification nor to restriction on access. Candidates may publish the whole or part of their work prior to its submission as a thesis, provided that in the published work it is nowhere stated that it is in consideration for a higher degree.
    
    
30. In exceptional circumstances access to a thesis may be restricted by the relevant Faculty Graduate School directorate, on behalf of Senate, where such restriction is regarded as desirable on commercial grounds or pending patent applications, or as necessary to maintain confidentiality. The period of restriction shall be determined by the relevant Faculty Graduate School directorate but shall normally not exceed three years from the date of examination. After three years the period of restriction may be subject to review in some circumstances. Each instance of Faculty Graduate School directorate approval of restriction of access to a thesis should be reported to the University Library who will maintain a master list to be presented annually to the Researcher Development & Graduate Centre Advisory Group (RDGC).
    
    
31. On submission of a thesis a candidate shall be required to sign two documents:
    
    
    1. a form of consent that the thesis, if successful, will be made available electronically through the University of Southampton Research Repository from a date stipulated (subject to the law of copyright)
       
       
    2. a declaration, bound into the thesis, stating: that the thesis is the result of work done wholly or mainly while the candidate was in registered candidature; that where the thesis is based on work done by the candidate jointly with others, a substantial part is the original work of the candidate; the extent to which the thesis incorporates material already submitted for another degree.
       
       
32. A thesis may not exceed 75,000 words in length in the case of a PhD, or 50,000 words in the case of an MPhil, unless prior permission to exceed this length has been given by the Faculty Graduate School directorate on the recommendation of the supervisor. Where appropriate, the Faculty Graduate School directorate may determine a higher word limit for a specific discipline. Candidates who exceed this limit without Faculty Graduate School directorate permission will normally be required by the examiners to resubmit in a form which does not exceed the stipulated length. The maximum length of the thesis does not include supporting material or evidence which may be bound in as appendices. Appendices should be clearly marked as such and listed on the contents page. If appendices are submitted in separate volumes, they must be prepared and bound in the same style as the thesis. All supporting material or evidence will be available to the examiners and will form part of the record. Candidates should also refer to Paragraph 78 of the Code of Practice for Research Candidature and Supervision regarding research data management.

33. For each candidate, normally one internal and one external examiner shall be appointed to examine the thesis; in exceptional cases, one additional external examiner may be appointed. No member of the supervisory team may be appointed as an internal examiner; nor may they take part in the judgement of the thesis under consideration in any other way. In addition, other researchers who have had any co-authoring or collaborative involvement in the candidate's work, or whose own work is the focus of the research project such that there would be a conflict of interest or a potential lack of objectivity, may not be appointed as internal or external examiners. Members of staff who have had pastoral involvement with the candidate such that objectivity would potentially be affected may also not be appointed to the examining team. However, at the request of the candidate, one member of the supervisory team may be invited to the viva voce but a supervisor who is requested to attend by the candidate will not play an active role in the examination. Where the candidate wishes a supervisor to be invited, a request should be made in writing to the Faculty Graduate School Office. One examiner, either the internal or the external, may be drawn from the confirmation panel or committee (eg: the internal member of staff who acted in the role of independent 'assessor' or an external 'assessor' if used) provided that he/she has had no further material contact with the research project since the confirmation and that the other examiner is entirely new to the project.
    
    
34. Candidates submitting for the MPhil and for the PhD will be required to attend for an oral examination. In conducting the oral examination, arrangements will be made, where necessary, to accommodate the requirements of candidates with special communication needs.
    
    
35. The examination process for candidates registered for a degree Jointly Awarded with another University will be based on the principles described in paragraphs 33 and 34. These principles are that:
    
    
    • Members of the supervisory team who have had substantial co-authoring or collaborative involvement in the candidate’s work, or have another conflict of interest or potential lack of objectivity including pastoral support for the candidate, may not be appointed as an internal examiner.
      
      
    • The candidate will be expected to submit a written thesis (or equivalent) and to defend this in some form of oral examination.
      
      
    • The panel of examiners will consist of at least two examiners, one of whom will be an examiner external to the Universities awarding the degree.
      
      
    • For degrees examined jointly with an international partner, additional members of the examining panel beyond two will be agreed as part of the negotiations when setting up the agreement.

36. Having taken into account the criteria for the award of PhD or MPhil as set out in Paragraphs 5 or 7 of the University's Code of Practice for Research Candidature and Supervision, the examiners for each candidate shall recommend one of the following courses of action.
    
    
    1. That the degree for which the candidate has submitted a thesis be awarded.
       
       
    2. That the degree for which the candidate has submitted a thesis be awarded subject if necessary to minor amendments to the thesis being made by a date specified (minor amendments include: minor omissions of substance, typographical errors, occasional stylistic or grammatical flaws, corrections to references, addition/modification of one or two figures, and minor changes to layout, and require no new research. These changes need only be certified by the internal examiner). The date specified for the submission of such minor amendments should normally be no later than three months after the formal notification to the candidate.
       
       
    3. That the degree for which the candidate has submitted a thesis be awarded subject to the correction of modest errors/omissions of substance being made, by a date specified. Such amendments may require limited further analysis but will not affect the originality of the central thesis. They will be of a scale to require certification by both the internal and external examiners, though normally not so extensive that an oral is required. The date specified for the submission of such intermediate amendments should normally be no later than six months after the formal notification to the candidate.
       
       
    4. That the candidate be required to attend for a further oral examination.
       
       
    5. That the candidate be permitted to submit by a date specified a revised thesis for the same degree for re-examination, including a further oral examination, on one subsequent occasion. The date specified for submission of the revised thesis should normally be no later than twelve months after the formal notification to the candidate. As a fee is payable, the Fees Office should be informed when a candidate has been asked to submit a revised thesis.
       
       
    6. That, in the case only of a PhD candidate who has failed to satisfy the examiners, permission be given to the candidate to apply within a specified time for the award of the degree of MPhil. Submission may be allowed without re-examination, subject to any minor amendment of the thesis which may be required by the examiners. Or, at the request of the examiners, submission of a revised thesis may be subject to re-examination, including a viva voce. In such circumstances, the work must meet the normal criteria for the award of the MPhil degree.
       
       
    7. That the degree be not awarded and that resubmission of the thesis be not permitted.
       
       
    It should be noted that where the recommendation of the examiners is for re-examination at a later date as set out in paragraph e. above, options d. and e. are not available as outcomes at the later re-examination.
    
    
37. A candidate who fails to submit a corrected or revised thesis by the date set by the examiners shall normally be regarded as having failed the examination and the recommendations of the examiners shall lapse. In exceptional circumstances a revised date for submitting corrections may be approved by the Faculty Graduate School directorate.
    
    
38. Where the examiners recommend that the degree be not awarded and that submission of a revised thesis be not permitted, the candidate may ask for the case to be reviewed in accordance with the procedures laid down by the Senate. A copy Regulations Governing Academic Appeals by Students of the procedures may be obtained from Section IV of the University Calendar.

Submitted by Corporate Services
Last reviewed: 29-Jul-2016
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