University Calendar 2017/18
Section V : Regulations for Research Degrees and Higher Doctorates
Regulations for members of staff in candidature for the degree of Doctor of Philosophy



PREFACE
CONTENTS
SEMESTERS
SECTION I
SECTION II
SECTION III
SECTION IV
SECTION V
SECTION VI
SECTION VII
SECTION VIII
SECTION IX
SECTION X
SECTION XI
SECTION XII
SECTION XIII
SECTION XIV
 
1. With the approval of the Faculty Programmes Committee a member of staff may be admitted to staff candidature for the degree of Doctor of Philosophy (PhD). Staff candidature requires either submission by published works as set out in paragraphs 3 to 15 below, or submission by thesis as set out in paragraphs 16 to 17 below.
   
2. For this purpose, a member of staff is defined as normally having been already employed for 12 months by the University of Southampton, and with a further 12 months of unexpired contract. In exceptional cases, the Dean of the Faculty/Chair of ERDC1 may waive one or more of these requirements.
   
Submission by Published Work
 
3. A PhD by Published Work is offered only to University staff as an alternative to the standard PhD route. It recognises the research activities of members of staff who have not completed a PhD. The work examined for a PhD by Published Works should be broadly comparable to that submitted for other doctoral degrees in the University, based upon research with a common theme in the form of a series of publications.
   
Admission
4. The following Admissions Regulation should be applied in conjunction with the University Calendar's Regulations for Admission to Degree Programmes, the University's Admissions Policy, and Paragraphs 13 to 19 of the University's Code of Practice for Research Candidature and Supervision.
5. A member of staff wishing to submit for a PhD by Published Work should have a preliminary discussion with their Head of Academic Unit prior to making a formal application, to discuss the suitability of their publications. An application form; curriculum vitae, setting out evidence of such expertise; a letter of support from the Head of Academic Unit; and a brief outline of the proposed content of the thesis should be submitted to the Faculty Programmes Committee via the Graduate School Office. The Faculty Programmes Committee should satisfy itself as far as possible that there is sufficient material to register the member of staff for a PhD by Published Works. Once approved, paragraphs 6 to 15 below shall apply.
   
Candidature
6. A PhD by Published Work may only be undertaken on a part-time basis.
7. The minimum period of study shall be three months, and the maximum period of study shall be twelve months.
8. A staff candidate submitting for a PhD by Published Works is not liable for supervision fees, but shall pay an examination fee at the time of submission as provided in the Fees Regulations.
9. Each candidate will be allocated an academic mentor by the Director of the Faculty Graduate School. The academic mentor, who should have a substantial publication record, will provide guidance during the preparation of the candidate's published work for submission, including the writing of the supporting statement.
   
Submission of published work
10. The submitted published work shall:
  1. Have already been published, or have been accepted for publication. Evidence of acceptance for publication must be submitted to the Graduate School Office at the time of submission.

  2. Normally comprise of: a research monograph; one or more authored books or papers in refereed journals; chapters in edited books; technical reports; scholarly editions of text; or creative work in relevant areas.

  3. Not have been submitted in support of a successful award or pending application for any award of any higher education institution.

  4. Consist of enough publications to be broadly comparable to a PhD thesis (that is, it is evidently the result of sustained work normally in a single field to which it makes an original contribution), and to meet the criteria for the award of a PhD as set out in paragraph 5 of the University's Code of Practice for Research Candidature and Supervision. The number of publications will vary between disciplines, but it is expected that most submissions will include between 3 and 7 publications.

  5. Consist of publications where a significant proportion of the work has been carried out by the candidate since he or she joined the staff of the University; and have normally been published within the 10 years previous to the date of submission.
11. During the period of candidature, the candidate shall prepare the following material for submission with their published work:
  1. A commentary not exceeding 12,000 words which explains: the aims and nature of the research; the coherence between the materials; how the materials fit within the context of other work in the field; and the nature and extent of his or her original contribution.

  2. A full bibliography of all relevant published work, attached as an appendix.

  3. A statement declaring, in the case of collaborative work, the extent of the candidate's own contribution, signed by all co-authors. It is expected that the candidate will normally have been the primary author on their submitted work.

  4. A summary sheet numbering the submitted publications and a copy of each publication.
12. For the award of PhD by Published Work, candidates must have demonstrated the criteria as detailed in Paragraph 5 of the University's Code of Practice for Research Candidature and Supervision. The examination will follow the same procedure as set out in the University's Code of Practice for Research Candidature and Supervision, with the exception of the following variations.
   
Examiners
13. Two external examiners and one internal examiner shall be appointed for a staff candidate submitting by published work.
   
Recommendations of the Examiners
14. viva voce (oral) examination will also take place, following which, examiners may make the following recommendations:
  1. The degree of PhD by Published Works is awarded.

  2. The degree for PhD by Published Works be awarded subject to minor amendments to the accompanying commentary being made by a date specified (minor amendments include: minor errors/omissions of substance, typographical errors, occasional stylistic or grammatical flaws, corrections to references, addition/modification to 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. The degree for PhD by Published Works 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 work. 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, although examiners may request a specified date of up to nine months, after the formal notification to the candidate.

  4. That the candidate be required to attend a further oral examination.

  5. That the candidate be permitted to resubmit by a date specified a revised submission, which may include different publications. The date specified for the submission should normally be no later than twelve months after the formal notification to the candidate. The candidate will be liable to pay a re-examination fee at the time of submission as provided in the Fees Regulations.

  6. That permission may be given to the candidate to apply within a specified time for the award of the degree of MPhil by publication. Submission may be allowed without re-examination, subject to any minor amendment to the accompanying commentary which may be required by the examiners. Or, at the request of the examiners, submission of a revised accompanying commentary 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 is not awarded and that resubmission is not permitted.
15. It should be noted that where the recommendation of the examiners is for re-examination at a later date as set out in paragraph above, options (d) and (e), are not available as outcomes at the later re-examination.
   
Submission by Thesis
   
16. A member of staff wishing to submit a thesis in candidature for MPhil or PhD by means of the 'standard' MPhil or PhD route must apply to the Faculty Graduate School directorate for candidature under the MPhil and PhD regulations. Standard regulations for higher degree candidature will apply in such cases. This will include a requirement to have initial registration for a PhD confirmed through the use of a confirmation panel. Members of staff registered under these regulations will be liable for standard UK supervision fees. Faculty approval for staff candidature via the ‘standard’ MPhil or PhD route must take into account the staff member’s existing workload.
17. Staff candidates will be examined by two external examiners, and an internal examiner.


1 The principal role of the External Research Degrees Committee is to make decisions on the admission, candidature, progress and examination of all candidates for research degrees in the Accredited Institutions, within the academic areas approved for this purpose by the University. The University of Chichester is an Accredited Institution. It was granted research degree awarding powers by the Privy Council in September 2014. Although postgraduate research students registering from this date onwards will, on successful completion of their studies, receive a higher degree from the University of Chichester, a number of students have opted to remain in candidature at the University of Southampton.
Revision History
No revisions for 2005/06
Minor revisions for 2006/07
No revisions for 2007/08
No revisions for 2008/9
No revisions for 2009/10
Revisions approved by UPC in July 2011
Reviewed in July 2012; no changes made
Amendments approved by UPC in May 2013 and by Senate in June 2013
Reviewed and revised in 2013/14 – amendments approved by AQSC 19 February 2014 and Senate 18 June 2014
Reviewed in July 2015; no changes made
Amendments approved by AQSC in May 2016 and by Senate in July 2016
Amendments approved by AQSC in May 2017 and by Senate in June 2017


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Last reviewed: 16-Aug-2017
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