Document1

CARDIFF UNIVERSITY RESEARCH DEGREES HANDBOOK: A

CODE OF PRACTICE

Contents

1. Introduction

1. The Partnership

2. The Agreement

3. The Code of Practice for Research Degrees

2 The Research Degree

1. What is Research?

1. Availability of Theses

2. Types of Research Degree Qualification

3. Criteria for Awards

4. Word limits and Time Limits

5. The Research Environment

2. Responsibilities

1. The University

2. The Head of School

3. The Director of Postgraduate Research Studies

4. The Supervisor

5. The Student

6. Student Attendance

3. Admissions Procedures

1. Selection

2. The Offer of Admission

3. Additional Information

4. Entry with Exemption from the 'Probationary Period'

5. Transfer from Another University

4. Induction

5. The Research Plan

6. Skills Development

1. Identification of Training Needs

2. Personal Development Planning (PDP)

7. The Employment of Research Students

1. The Code of Practice for the Involvement of Postgraduate Research

Students in Teaching Activities

8. Supervision Arrangements

1. The Appointment of Supervisors

2. Models of Supervision

3. Supervisory Meetings

9. Monitoring of Students' Progress

1. Six-monthly Progress Reports

2. Annual Progress Review and Progression

11 Student Representation and Feedback

12 Research Degree Examination

12.1 Arrangements for the viva voce examination

12.2 Procedures for the Conduct of Research Degree Examinations

13 Research Students' Dissatisfaction and Complaints

14 Appeals against Research Degree Examining Board Decisions

CARDIFF UNIVERSITY RESEARCH DEGREES HANDBOOK

1 INTRODUCTION

1.1 The partnership

Cardiff recognises that a research degree programme is a co-operative venture - a

partnership in which the student, the sponsor (where appropriate), the supervisor and

the school each has duties and responsibilities.

1. The agreement

When a research student registers at the University, an agreement is established. As

part of that agreement, the University expects:

.1 that all research students will pursue their personal research goals with diligence,

and will endeavour to present a completed thesis for examination by the end

of the period of fee-paying registration;

.2 that all supervisors will provide appropriate support and guidance to their students,

and through expert advice and direction, will encourage them to achieve their

research potential and assist them to submit a completed thesis for

examination by the end of their period of fee-paying registration. This means,

for example, that full-time PhD students should aim to submit within 3 years

of initial registration;

.3 that every Head of School will ensure that all research students:

• receive adequate supervision and guidance, appropriate to their individual needs, in

the pursuit of their research goals;

o are provided with skills training appropriate to their needs and those of their

research programme;

o are provided with such accommodation, resources and ancillary support

facilities that are necessary for the achievement of their research goals so as

to ensure the quality of the their output and the timeliness of their

submissions.

The student and the University share a duty to see that public funds and

sponsorship monies are properly spent. Failure to complete a planned

programme of research or to submit a completed thesis in good time represents

a waste of scarce resources and human effort, and detracts from the

University's overall research aims.

1.3 The Code of Practice for Research Degrees

This Code expresses the basic principles according to which the University requires

its schools to conduct their research student business. It has been drawn up with

particular reference to the QAA Code of Practice for the Assurance of Academic

Quality and Standards in Higher Education: Section 1, Postgraduate Research

Programmes (revised 2004).

The Code has also been designed to include or make explicit reference to information

on relevant regulations and procedures to help students and staff through the

University's requirements for a research degree.

The Code applies to all candidates for research degrees - including those

studying on a part-time basis or for periods away from the University, and

those studying for specialist research degree awards, such as the MD and

professional doctorates. Some research programmes extend for just one year

of registered study, and schools may adapt the provisions of the Code to

ensure that students registered for such programmes are managed and

supported effectively. For students who are registered for professional

doctorate programmes, schools will wish to consider how best to match the

requirements of the Code to the particular stages of the programme.

The term 'student' is used throughout, but for the purposes of this Code it also

includes members of staff who are registered for higher research degrees.

2 THE RESEARCH DEGREE

2.1 What is research?

Definitions of research are many, and there will be significantly different emphases

across disciplines. Nonetheless, with regard to the professional dimension that must

accord research, the 'Research Governance Framework for Cardiff University',

includes the following objectives:

• the deepening and broadening of knowledge and understanding by expert,

responsible and professional means;

o the training of new Researchers in appropriate methods and professional

standards of research;

o the dissemination of results through publication, teaching, applied research

and consultancy;

o the promotion of interests and benefits of research.

Researchers should, in all aspects of their research:

• foster honesty and demonstrate integrity and professionalism;

• allow research methods and results to be open to scrutiny, discussion and debate;

• observe all legal and ethical requirements laid down by the University or other bodies

properly laying down such requirements, as well as basic principles relating to ethics,

information, finance and health and safety;

• acknowledge the roles and contributions of all collaborators;

• be committed to the careful, reflective process of discovery and interpretation.

All students engaged in research must familiarise themselves with the 'Research

Governance Framework for Cardiff University' and the 'Student Guide to Academic

Integrity' and ensure observance with the provisions they contain.

1. Availability of theses

A research degree thesis when submitted and successful is normally then openly

available and subject to no security or restriction of access. Where, for reasons of

commercial, clinical or other sensitivity, a bar on access cannot be avoided, normally

they must

• be agreed at the outset

o be approved by the Graduate Development Committee

o not exceed 2 years.

Applications should be made in accordance with the University's 'Procedure for

Applying for a Bar on Access to Research Degree Theses' .

2.3 Types of research degree qualifications

Research students at Cardiff University are pursuing one of the following types of

qualification aims:

.1 Doctoral level qualifications

• Doctor of Philosophy - PhD (including the Integrated PhD)

o Doctor of Engineering (the Engineering Doctorate) - EngD

o Professional Doctorate, such as:

Doctor of Education - EdD

Doctor of Social Work - DSW

Doctor of Health Studies - DHS

Doctor of Clinical Psychology - DClinPsy

Doctor of Educational Psychology - DEdPsy

• Doctor of Medicine - MD

o Master of Surgery - MCh

.2 Masters level qualifications

• Master of Philosophy - MPhil

o Master of Dental Science (by Research)

Some schools require their research students to register for 'MPhil/PhD'. This is a

registration status that has the qualification aim of PhD but is used where the school

wishes to especially emphasise to their students that there is a probationary period

and a distinct progression point at which the decision is made whether to allow formal

upgrade to the PhD programme.

All research students should note that there are formal procedures for reviewing their

academic progress and performance, and for allowing progression to the next stage

or year of the programme, regardless of initial registration status. (Refer to section 10

of this Code.)

2.4 Criteria for awards

The criteria for the award of the degree qualifications listed above are provided in the relevant

University's Senate Regulations. These describe the outcomes that must be

demonstrated to the satisfaction of the examiners, when they are assessing the work,

for the candidate to be eligible for the award of the particular degree.

1. Word limits and time limits

Word limits and time limits are provided in the relevant University's Senate

Regulations.

Undertaking a research project, especially at doctoral level, means that, perhaps for

the first time, a student has the opportunity to work at his/her own pace, on a topic of

his/her own choosing and/or development, and to make an independent contribution

to knowledge.

As well as advancing the discipline, a thesis demonstrates that the research student

possesses certain skills. In that sense, it might be the basis of future research, but,

most importantly, it represents a distinct programme of study and research in its own

right. It is essential to think in terms of a sharply defined project with clearly specified

limits, which can be completed within the duration of the registered period. (Refer to

section 6 of this Code.)

.1 Word limits

Students should seek advice from their school about the overall format and

length of the thesis. In general terms, though, a thesis should be crisp, clear,

concise and convincing.

.2 Time limits

Absolute time limits are calculated in calendar years from the date of a student's

initial registration. A candidature will lapse unless a thesis is submitted within

the prescribed time limit.

Where a student's candidature is adversely affected by unavoidable

difficulties, the University may consider a case presented by the school

concerned for an interruption to study or an extension to the time limit. The

criteria are set down in the relevant University 's Senate Regulations.

(Refer to Cardiff University's 'Procedure for Interruption to Study or Extension

to Time Limit'.)

2.6 The research environment

The University wishes to maximise the contribution each research student can make

to his/her chosen discipline and the research culture of the University. To this end,

the University endeavours to provide a high-quality and supportive research

environment.

The University has a responsibility of ensuring that all students have access to

appropriate I.T. and library facilities, including access to the web and a personal email

address.

The Graduate Centre and the Graduate Schools provide opportunities, additional to

those within schools, for research students to come together to share and develop

research interests with a wide range of other researchers, allowing them to feel part

of the research community.

So that postgraduate research students can undertake research effectively, each

school endeavours to provide the best and most appropriate working

accommodation, equipment and resources that it can. It is recognised that the

facilities made available by different schools vary depending on the resources

available to the school, its policies on allocation of resources and the needs of the

academic discipline.

3 RESPONSIBILITIES

3.1 The University

The Graduate Development Committee is a senior committee of the

University which works in support of the University's Mission and Aims to promote

and enhance Cardiff's postgraduate culture and community. The Committee provides

a central focus for all postgraduate research activities throughout the institution. It is

charged, inter alia, with setting standards, monitoring quality assurance procedures

and promulgating good practice in the education and management of the University's

postgraduate research students. The Chair of the Graduate Development Committee

is also the 'Dean of Graduate Studies'.

The University, through its Graduate Development Committee, is responsible for

ensuring that appropriate policies and procedures are developed for the management

and education of its postgraduate research students. It is also responsible for

monitoring the implementation of these policies and reviewing their effectiveness.

The following are specific responsibilities at University level:

.1 the definition of University-wide regulations governing research degree

programmes, and procedures and policies on selection and admission,

supervision, progress monitoring, training and examination - as

expressed in this Code;

.2 ensuring that research students receive up to date information about the

regulations governing their degree programmes, and on University-

wide policies through this Code and other communications, as

applicable;

.3 advising academic schools on the production of written guidance and the

definition of school policies affecting research student management

and education;

.4 the definition of regulations regarding research students who are engaged in

teaching and assessment activities;

.5 providing clear guidance on complaints and appeals procedures;

.6 monitoring, and acting upon, the institutional performance indicators

associated with research student activity.

3.2 The Head of School

The Head of School has delegated authority from the University for the management

of the school's research degree activity. S/he is responsible for the management and

academic welfare of all research students registered in his/her school, for ensuring

that systematic and transparent monitoring and assessment mechanisms are in place

to guarantee that the student's progress is reviewed independently and that the final

examination is rigorous, fair and consistent

This Code of Practice does not presume to dictate how a Head of School is expected

to carry out these responsibilities. It is recognised that internal arrangements for the

management of research students can, and do, differ from school to school.

Nevertheless, it is incumbent on every Head of School to ensure that the local

arrangements for the management of research students (defined in the School

Framework) are clearly visible and understood by all staff and students involved.

The responsibilities of the Head of School include:

.1 The definition and establishment of a local School Framework, always with regard

to the over-arching University principles expressed in this Code. The School

Framework should cover the following arrangements:

• recruitment and admission of research students, including school/programme entry

requirements (always having regard to the minimum requirements set out in the

University's Senate Regulations);

o school induction activities;

o skills training/development and Personal Development Planning;

o school supervision policy and arrangements, including the allocation of

supervisory duties and staff training and development in this area;

o arrangements for the formal monitoring of research student progress and

progression decision (always having regard to the University's Research

Student Monitoring Procedures);

o mechanisms for research student representation;

o mechanisms for research student consultation and feedback, including a

student/staff forum;

o mechanisms for selecting and nominating examiners.

.2 The appointment of a Director of Postgraduate Research Studies, someone

experienced in the supervision of research students, who is recognisable to

students and staff alike as the person on hand to provide advice and support.

The Head of School must ensure that the Director of Postgraduate Research

Studies is clearly identified and that the role is clearly defined.

.3 The arrangements for research students employed in teaching activities: the Head

of School must ensure compliance with the University Regulations governing

the employment and training of postgraduate research students for teaching

and assessment.

.4 The proper conduct of all research degree examinations.

.5 The conduct of the Annual Review and Evaluation of Postgraduate Research

Activity. The Annual Review is a key element of the University's procedures

for the effective discharge of its responsibilities in respect of the quality of the

learning and opportunities provided for its research students. Its purpose is

to:

• provide Schools with the opportunity to reflect upon and evaluate their postgraduate

research student activity, the monitoring it receives, the quality of the student

experience and the outcomes of activity, in order that opportunities for improvement

can be identified and good practice built upon;

o identify practice or innovation that is worthy of dissemination and to draw to

the attention of the institution matters of generic interest or concern.

3.3 The Director of Postgraduate Research Studies

The duties of a Director of Postgraduate Research Studies will vary between schools.

Their precise responsibilities must be clearly defined and articulated to students and

staff alike by the Head of School. They typically include:

.1 on behalf of the Head of School, ensuring the implementation of the local School

Framework of policies and procedures, in compliance with the provisions of

this Code;

.2 providing appropriate written guidance for research students, so that they are

made aware of available facilities and resources, skills development and

training, of policies and procedures for supervisory arrangements, including

changes to supervision, monitoring and progression, and the operation of the

student/staff forum;

.3 overseeing the selection of applicants for admission to research degrees;

.4 advising the Head of School on the allocation of supervisory duties;

.5 arranging induction and training programmes for new research students;

.6 providing pastoral care for the department's research students, including:

• making arrangements for students with special needs;

o counselling students who are experiencing any difficulties with their agreed

schedule of work and/or their relationship with their supervisor(s);

.7 advising supervisors who are experiencing problems with individual students;

.8 advising the Head of School, as necessary, on any changes needed in the

allocation of supervisory duties, either temporarily or permanently;

.9 overseeing the school's progress monitoring procedures;

.10 reporting to the Head of School and/or relevant school Committee on matters of

concern relating to the progress of individual students;

.11 reporting to the Head of School and/or relevant school Committee on matters of

concern arising from feedback from students, academic staff or examiners;

.12 overseeing the administrative arrangements for viva voce examinations;

.13 undertaking, on behalf of the Head of School, processes that contribute to the

Annual Review and Evaluation of Postgraduate Research Activity.

3.4 The Supervisor

Supervisors are responsible to the Head of School for the management of research

degree candidates assigned to them by the Head of School. It is expected that all

supervisors will provide appropriate support and guidance to their student(s), and

through expert advice and direction, will encourage their students(s) to achieve their

research potential and assist them to submit a completed thesis for examination by

the end of their period of fee-paying registration.

They are expected to provide advice at every stage of the planning and conduct of

the research and the writing of the thesis.

Before agreeing to supervise a research student, supervisors should satisfy

themselves that they have the necessary knowledge and expertise to supervise the

project which the student wishes to undertake, that the project is appropriate for the

level of degree and can reasonably be undertaken with the resources available and

within the required time-scale, and they are confident, as far as is possible, that the

student is capable of undertaking the project successfully.

The Main Supervisor (refer to section 9 of this Code) is primarily responsible for

giving help and advice in choosing a topic of appropriate scope and significance,

obtaining good research training, and organising the research.

The duties of the Main Supervisor include:

.1 being aware of how to access the appropriate University's Regulations, Codes of

Practice and Procedures governing research degrees, and drawing the

student's attention to them as appropriate;

.2 updating their knowledge and skills with regard to research student

supervision;

.3 giving guidance about:

• the nature of research in the discipline concerned;

• the standard of work expected in relation to the qualification aim;

• the planning of the research programme, bearing in mind the deadline for submission;

• sources, methods and techniques;

• the specialist research skills and the generic skills the student should acquire and

how this might be done;

• Personal Development Planning;

• matters of confidentiality, ethical considerations relating to particular techniques,

sources or results;

• research integrity and the avoidance of plagiarism;

.4 defining, in consultation with the student, the topic of the research programme and

being satisfied that the proposed project can realistically be completed within

the period of registration;

.5 monitoring the student's progress throughout the planned timetable, advising as

necessary on the completion of the successive stages of the work, agreeing

objectives at each stage, so as to bring about the timely submission of the

thesis for examination;

.6 requesting written progress reports and returning work with constructive criticism

and in reasonable time;

.7 ensuring that the student is given prompt and candid advice about any inadequacy

of progress or the standard of the written work being produced, and alerting

the director of Postgraduate Research Studies to any difficulties in this

regard;

.8 providing, in accordance with the University's Progress Monitoring Procedures,

regular progress reports on individual candidates;

.9 maintaining, at all times, a proper and professional relationship with the student;

.10 maintaining proper and frequent contact with the student and agreeing with the

student the type of guidance and comment that he/she would find most

helpful;

.11 being accessible to the student at other times, within reason, when s/he may

need advice;

.12 responding to requests from the student for advice and guidance within a

reasonable timescale;

.13 paying special attention to the 'settling in' of new students and alerting the

Director of Postgraduate Research Studies to any particular difficulties that

they are experiencing, especially in the early stages of their work, so that

appropriate remedial help can be arranged;

.14 ensuring that students are competent to perform their tasks safely, and that they

comply with University and departmental health and safety procedures;

.15 encouraging students to talk about their work to other staff or at seminars, so as

to give them practice in oral presentations before their formal examination;

.16 encouraging students to keep abreast of all relevant developments in their subject

area;

.17 reading the draft thesis and advising on its amendment, before formal

submission for examination;

.18 providing guidance to candidates whose examined work has to be amended and

re-submitted for further examination;

.19 advising the Director of Postgraduate Research Studies of planned absences and

suggesting alternative arrangements;

.20 advising the Director of Postgraduate Research Studies of any major changes in

research direction occurs where the expertise of another supervisor becomes

necessary.

Second supervisors provide independent advice to the student. A second

supervisor may possess knowledge and skills relevant to the student's research

project. Alternatively, s/he is someone to whom the student can refer general

academic and pastoral issues. Second supervisors are responsible for keeping

acquainted with the progress of the student's work and of being available to provide

feedback and advice according to an agreed schedule.

Further duties of second supervisors will vary according to the School Framework

and the organisational arrangements of particular supervisory teams. It is important

therefore that the roles of all members of a student's supervisory team are clearly

defined and communicated to all parties concerned.

All members of the supervisory team are considered to have an active role in the

student's supervision and academic management. None of the members are normally

eligible to provide an independent assessment of progress and cannot be appointed

as an internal examiner to the Examining Board.

3.5 The Student

Research degree students are expected to assure themselves of the terms of their

candidatures (including any particular requirements stipulated by their sponsors) and

their responsibilities towards the successful completion of his/her work.

Supervisors help and support their students, but it is the student him/herself who

must be prepared to take the initiative, and who is responsible for her/his own work,

for the timely submission of a theses, and for its quality and integrity.

The responsibilities of the student include:

.1 agreeing with the supervisor(s) the topic for the research programme;

.2 agreeing with the supervisor(s) an overall timetable for the completion of the work

and a schedule of regular meetings at which the detailed planning/progress

can be discussed;

.3 alerting the supervisor(s), without delay, to any factors that have disrupted the

schedule or otherwise impeded progress, including any matters which may

require application for an interruption of study or an extension to the

submission deadline;

.4 agreeing with the supervisor(s) the type of guidance and comment that would be

most helpful;

.5 performing the research work according to the agreed timetable and arranging to

meet with the supervisor(s) according to the agreed schedule;

.6 preparing adequately for meetings with the supervisor(s);

.7 attending any development opportunities that have been identified and agreed with

the supervisor(s);

.8 submitting regular, written reports to the supervisor(s), as required by the

University's Progress Monitoring Procedures (refer to section 10 of this

Code);

.9 maintaining, at all times, a proper and professional relationship with the

supervisor(s);

.10 deciding when to submit the thesis for examination (within the permitted time-

limit), taking due heed of the supervisor(s)' advice;

.11 maintaining contact with the supervisor(s) in the interval between the end of fee-

paying registration and actual submission for examination;

.12 consulting the Director of Postgraduate Research Studies in the event that the

working relationship with the supervisor(s) is problematic, or if they have any

doubts about the quality of their supervision;

.13 attending any interviews requested by the supervisor(s), the Director of

Postgraduate Research Studies, school committee or the Head of School;

.14 reporting significant absences such as holiday arrangements in advance to the

supervisor(s), and any inability to attend the University according to the

agreed schedule, due to illness or other circumstances, as soon as is

practicable; the required level of reporting will differ between part-time and

full-time students;

.15 complying with University Regulations and procedures, relevant school policies

and procedures and the regulations for any studentship or award that is held;

.16 being familiar with the University's Research Governance Framework and the

Student Guide to Academic Integrity;

.17 making appropriate use of the study and research facilities provided and, if

required to share facilities, to do so with due regard for fellow

students/workers;

.18 replying to communications from the University or school as appropriate;

.19 reporting any special circumstances, in writing, to the Convenor of the Examining

Board that should be made known to the examiners;

.20 taking account of guidance and feedback from supervisors(s).

3.6 'Attendance'

.1 Full-time students

The University does not specify how much time a research student must

spend at the University or in the school concerned. This should be agreed

between student and supervisor(s) and should be in accordance with any

guidelines in the School Framework.

Certain types of research necessarily involve periods of study away from

Cardiff - for example, to collect data or samples or to carry out other

fieldwork, or to visit libraries or archives. Students with industrially-linked

projects may be required to work for agreed periods at the premises of the

collaborating company. The duration and timing of these periods should be

established, as far as possible, at the outset, so that they can be addressed

within the Research Plan.

Students whose research is being carried out within a research group or

whose project is laboratory-based, may be required to keep regular

attendance hours at the school. Work patterns of some other students -

whose research is library-based, for example - do not impact in the same way

on other researchers or the progress of the research itself.

Although 'attendance' requirements may change during the course of a

research project, the general expectation should be understood by students

and supervisors at its commencement.

Regardless, of the agreed pattern of 'attendance', full-time students are

expected to devote their efforts to the research project on a full-time basis.

Using the definition used by the UK Government's Higher Education Funding

Councils and the Research Councils of a full-time postgraduate student

'load', this is 1800 hours per year. (This calculates at approximately 39 hours

per week, allowing for six weeks holiday per year.) In practice, though, many

students devote a greater number of hours than this to their research study at

key stages of the programme.

.2 Part-time students

Part-time students are expected to achieve the same learning outcomes by the

end of their registered period and to devote the same efforts to research

study but on a pro-rata basis, over the longer period. Specific

arrangements for the supervision and monitoring of progress of part-

time students are determined prior to admission.

If a student fails to devote sufficient time and effort to the research

programme the school may seek to exclude him/her in accordance with

the University's 'Procedure for Exclusion from Research Study'.

4 ADMISSION PROCEDURES

4.1 Selection

The task of selecting candidates for admission to research degrees should only be

performed by the members of staff formally authorised by the Head of School to do

so. The Registry will make the formal offer of admission on behalf of the University

only when instructed by the named selector(s).

Every school needs to have a clear statement as to which individual member or group

or panel of staff are responsible for the selection of applicants for admission to

research degrees. Admission decisions should involve at least two members of

University academic staff - normally the Head of School and/or the Director of

Postgraduate Research Studies plus the intended supervisor(s).

In considering applicants for admission to research degrees, selectors should have

regard to the following:

.1 the University's 'Guide to Good Practice in Postgraduate Recruitment';

.2 the University's Senate Regulations and General Entrance Requirement;

.3 the school and/or programme policy on admissions and entry requirements,

including English Language proficiency.

Typically, applicants will be expected to have one or more of the following:

• a first degree, normally with class 2:1 or equivalent in a relevant subject area,

o a relevant Master's qualification or equivalent;

.4 the applicant's potential for research studies as demonstrated by his/her existing

academic qualifications and/or previous experience in a research

environment and/or previous professional experience in an area relevant to

the proposed field of study;

.5 the degree of fit between the applicant's intended field of study and the school's

research activities;

.6 legal requirements and University policies and guidelines that relate to these

requirements;

.7 the likelihood that the proposed programme of research can be completed within

the normal period of registration prescribed by the regulations;

.8 the current capacity of the school to offer supervision to the applicant, in his/her

proposed field of study;

.9 the availability of adequate physical, equipment and library resources to support

the proposed project;

.10 the demands of any sponsoring or collaborating body as regards the terms of the

proposed project;

.11 the duration of funding likely to be available to the applicant and any deadline for

submission or restrictions on the publication of results as imposed by the

sponsor. Where projects are being negotiated with external partners and/or

sponsors, it must be understood that the University expects that the entire

work will be suitable for publication as a thesis (refer to section 2.2 of this

Code).

Schools are encouraged to consider the merits of interviewing applicants where

practicable, to assess their suitability to undertake the research degree for which

they have applied. Normally, all applicants for publicly-funded places should be

interviewed. The interview may be conducted either in person or by electronic

means, including by telephone. Where interviews are part of the admission process

the school should develop clear guidelines on the constitution and conduct of the

interview panel and staff involved should have undertaken appropriate training on

interviewing.

4.2 The offer of admission

The formal offer of admission is issued by the University Registry and includes the

following details:

.1 tuition fee levels;

.2 any additional costs (such as 'bench fees'), as instructed by the school concerned;

.3 method of study;

.4 expected minimum period of study;

.5 the names of the supervisors;

.6 for part-time and external applicants, details of the supervision meeting and

reporting arrangements;

.7 title of the research project or the research topic;

.8 arrangements for enrolment.

The offer of admission also includes instruction on how to access more general

University and school-based requirements and information (such as responsibilities of

research students, student conduct requirements, induction, skills development,

academic progress monitoring and assessment, resource and support services).

4.3 Additional information

Schools are required to provide direct to the applicant any additional specific

information, not otherwise supplied or made accessible, as necessary. This might

include, for example:

.1 any fieldwork requirements associated with the project;

.2 requirements and conditions of any school-based sponsorship;

.3 any issues associated with the particular research project in respect of human or

animal ethics, intellectual property, restriction on access of research

outcomes;

.4 opportunities for undertaking teaching.

4.4 Entry with exemption from the 'probationary period'

A school may make an offer of admission to a PhD or EngD applicant which permits

exemption from the 'probationary period' (which is the first year of a full-time

programme and the first two years of a part-time programme), so reducing the period

of registration, where the School is satisfied that the applicant satisfies the criteria laid

down in the University's Senate Regulations and is suitably prepared. Given the

many demands on research degree candidates, the University expects that such

offers of admission are made in exceptional circumstances only.

4.5 Transfer from another University

A school may also accept, at any stage of a research degree programme, research

students transferring from another university. Typically, such students transfer with

their supervisor(s) and agreements are reached between the Head of School and

his/her counterpart in the former institution. No minimum period of study at Cardiff is

specified by the University but the combined periods of registration must equate to, or

be in excess of, the minimum period of study for a Cardiff University award. In all

cases, a Head of School should be satisfied that the student has met the required

academic standard and has made sufficient progress to be able to complete the

programme of research in the remaining period of registration or candidature at

Cardiff Univeristy.

5 INDUCTION

All new research students should be able to commence their studies with an

understanding of both the academic and social environment in which they will be

working. To this end, the University, via its Graduate Centre, provides a general

induction programme at the beginning of each academic year, and further sessions to

coincide with the range of entry points permitted for research students. The Graduate

Schools may arrange additional introductory activities.

Every school must provide a complementary induction programme and provide all

new research students with written information and notes of guidance appropriate to

the school. This may be in the form of a hard-copy handbook or an electronic format.

At the very least, those research students who are unable to attend the school's

induction programme in person (e.g. part-time students who are located at a distance

from the campus and those candidates whose start dates do not coincide with the

running of the course), should be issued with copies of University and school-based

written guidance.

Topics for schools' induction programmes typically include the following:

.1 (as necessary) the formal introduction of candidates to their supervisors and the

school's Director of Postgraduate Research Studies;

.2 an introduction to/guided tour of the school, its facilities and support services and

staff;

.3 a presentation on the school 's portfolio of research activities;

.4 University and school notes of guidance/codes of practice relating to health and

safety;

.5 guidance on the respective responsibilities of students and supervisors, in

accordance with the School Framework;

.6 the school's arrangements for monitoring and reviewing progress, in accordance

with the University's requirements;

.7 the school's arrangements for research student communication and feedback

mechanisms

.8 the school's policy and provision for skills development and training.

6 THE RESEARCH PLAN

It is imperative that every research programme should start with an agreed and

documented Research Plan.

The Research Plan should normally be defined within two month of the student's

initial registration, and then form the basis for the ongoing process of agreeing

objectives and mapping progress throughout the course of the research degree

programme, up until final submission.

The Research Plan should:-

.1 be negotiated between student and supervisors;

.2 be an agreed statement of the desired outcomes of the research degree;

.3 define the project and describe the strategy for achieving a set of objectives within

an agreed time-scale;

.4 specify the frequency of formal meetings between student and supervisors;

.5 be reviewed regularly by student and supervisors;

.6 be capable of revision in response to changes in circumstances and unexpected

research outcomes;

.7 identify any specific, additional skills that the student needs to acquire in order to

carry out the research.

Very few research students start their research programmes equipped with all the

skills necessary to execute successful research and produce a successful thesis. So

the Research Plan must cater for the learning of new skills - skills that will not only

enrich the student's educational experience and enhance their personal career

development, but that will help them also to produce a satisfactory thesis.

It is likely that a student's Personal Development Plan (refer to section 7.2 of this

Code) will be linked to their Research Plan.

The Research Plan will evolve during the course of the research programme. It

should be formerly reviewed and updated at least every six months as part of the

preparation of the six-monthly progress monitoring reports. Usually, it will be revisited

on a more frequent basis.

7 SKILLS DEVELOPMENT AND TRAINING

All research students must therefore receive the training appropriate to their individual

academic needs and objectives, so as to enable them to undertake their study

programmes effectively and to complete them successfully and within the time-scale

prescribed by regulation. It is the responsibility of the school to ensure that the needs

of research students are identified and that students receive appropriate training in

research and other skills.

The importance of acquiring research and other skills during research degree

programmes is widely recognised. These skills improve the student's ability to

complete the research programme successfully.

Development and application of such skills is also understood to be significant in the

research graduate's capability for sustaining learning throughout his or her career,

whether in an academic role, or in other employment. Research students are

therefore encouraged to recognise the value of transferable skills in enabling them to

take ownership and responsibility for their own learning, during and after their

programme of study.

Where a school identifies particular skills as essential for all of its students, there

must be an opportunity for exemption for students who can demonstrate they have

already acquired these skills. Methods for exemption must be transparent and widely

communicated. Schools should also identify the form of assessment and any

qualification available to students for a programme of skills training (e.g. Diploma or

Certificate).

Students have the responsibility to work with their supervisor(s) and school to identify

the components of their training needs and to undertake appropriate training to

develop the required skills. They have the right and responsibility to provide

feedback to the school, Graduate School, Graduate Centre or other University

provider on training and development opportunities received and proposed.

Training and development opportunities at Cardiff are organised within three

contexts: generic across subject areas, generic within subject area, and subject-

specific.

.1 Skills training and development opportunities that are considered to be generic

across subject areas are primarily co-ordinated by the Graduate Centre.

.2 Skills that are considered to be generic within subject areas are primarily co-

ordinated by Graduate Schools.

.3 Skills that are specific to a subject or school [or research group] are co-ordinated

and delivered within that School or group. It is essential to note that 'delivery'

in this context includes the crucial role of the supervisor(s) in research

training.

Schools must ensure that students are aware of and can access appropriate training

in whichever context it is offered.

7.1 Identification of training needs

As part of the definition of the Research Plan, its review and the progress monitoring

process, student and supervisor(s) should:

.1 assess training needs at the commencement of the research programme, with due

regard to external advice including the Joint Skills Statement of the Research

Councils;

.2 assess and record skills development at regular points in line with progress

monitoring processes;

.3 ensure consideration both of immediate skills development and career related

skills;

.4 document agreements about participation in skills development activity.

This process should enable the student to build a portfolio of evidence around skills

development.

7.2 Personal Development Planning (PDP)

Each Head of School is responsible for ensuring that all postgraduate research

students are provided with opportunities to participate in a Personal Development

Planning process that meets the minimum expectations of the University. These are

as follows:

.1 all programmes shall provide students with the opportunity to engage in a process

of PDP and provide a means by which students can monitor, build and reflect

upon their personal development;

.2 students shall be introduced to the opportunities for PDP at the start of their

programme;

.3 the opportunities for PDP and rationale for engaging with PDP must be clearly

articulated, for the benefit of students, within student handbooks, etc.;

.4 all students shall be offered support in undertaking PDP - schools are free to

decide where this support should be located within the revised framework

identified for student support and guidance but schools must ensure that

students have appropriate and regular access to a named individual who will

support (and challenge) the student through the PDP process; for research

students, the named individual is normally a supervisor;

.5 all students shall be provided with a recording facility to structure the PDP process

and to encourage students to plan, record and reflect upon their academic,

career and personal development;

.6 schools will be expected to promote PDP as a holistic development process and

promote opportunities available outside of the School, including the Research

Students Skill Development Programme;

8 THE EMPLOYMENT OF RESEARCH STUDENTS

As part of their overall skills training and personal development needs, research

students may seek opportunities to work as Tutors and Demonstrators within the

University. The decision to take up such duties is one that each student should make

in consultation with his/her supervisor(s).

It is the responsibility of the Head of School to ensure that research students who are

involved in undergraduate teaching and/or assessment are fully trained and

supported in that work. The employment of research students in teaching activities is

based on the following principles:

.1 research students cannot be obliged to carry out such duties. Only individuals

contracted by schools to carry out paid work may be obliged to do so;

.2 there should be a clear distinction between postgraduate research students who

are provided opportunities to become involved in teaching activities and

graduate teaching assistantships (even where those appointed as the latter

are registered for a higher degree);

.3 research students cannot be given responsibility for a module/course or its

assessment;

.4 research students employed by departments must be paid the appropriate rate for

the job (- the University has approved rates of pay for Tutors and

Demonstrators);

.5 research students undertaking teaching activities should be provided with a clear

statement of the activities for which they will be employed, with which they

will be requested to agree, prior to commencing those activities;

.6 where research students are employed, the Head of the employing School must

ensure that:

• the student receives training which is appropriate to the task(s) to be undertaken;

• the total number of hours worked by the individual student does not exceed six per

week, on average (including preparation and marking time);

• any marking or other formal assessments undertaken by the student are monitored

by an experienced member of staff;

• the student is aware of his/her right to membership of the AUT or other Trades Union;

• research students should not be appointed members of formal Examining Boards;

• there is compliance with the University's Code of Practice of the Involvement of

Postgraduate Research Students in Teaching Activities.

8.1 The Code of Practice of the Involvement of Postgraduate Research Students in

Teaching Activities

The concerns that underpin the writing of this Code are concerns for the quality of

teaching that is delivered to students at Cardiff and for the ability of research students

to bring their research to a successful conclusion.

The Code expresses the University's minimum expectations concerning the

involvement of postgraduate research students in the teaching and assessment

processes, where such opportunities are available to them within a school. The items

displayed in bold font have been approved as Senate Regulations.

The word 'teaching' is used to encompass the broad range of activities that facilitate

the learning of (usually) undergraduate students. The activity includes preparation for

teaching and assessment activities and the time devoted to training that the research

students are required to undertake

To avoid the lengthy repetition of the words 'postgraduate research students', the

word 'Students' will be used with a capital letter to distinguish it from the group of

students who are taught.

.1 The Student's choice

Unless there are contractual obligations, no Student shall be required

by the University or any of its schools to undertake teaching activities.

Research students may seek teaching opportunities in their own or any other

school of the University. Schools may offer opportunities for Students to

teach. However, Students cannot be obliged to carry out such duties.

.2 Maximum hours

Students shall not be required to undertake teaching in schools for

more than an average of 6 hours a week during any one academic year.

The 6 hours shall include class contact time, preparation time,

assessment activities and any associated training.

.3 Recruitment

Students who wish to be considered for teaching opportunities shall be

recruited by a selection process which shall include an interview. The

initial selection process shall admit the successful postgraduate

students to a pool. Selectors shall pay due regard to the University's

Equal Opportunities Policy.

Students will be selected on the basis of their ability to communicate clearly

and in a mature, responsible and organized manner to small groups of

students.

Entry to the pool should not be regarded as guaranteeing that any Student

will be provided with teaching work.

Once they have been admitted to the pool, Students will be required to

undergo training and only after its satisfactory completion will they be

eligible to be allocated teaching duties

It would be expected that once admitted to the pool, a Student would, subject

to satisfactory performance, stay in the pool for his or her period of

registration as a Student at Cardiff University.

.4 Training

Unless Students have undergone previous equivalent training, they

shall, in the year in which they are recruited, receive not less than one

day's training specific to their roles.

General training (relevant to the activity type, such as demonstrating, small

group teaching, problem solving classes) of at least half a day's duration

should be provided and additional guidance must also be given that relates

specifically to the module/course (e.g. learning outcomes, assessment

methods, Health & Safety implications).

Initial training may include:-

• an introduction to the teaching activities of the school;

• communication in small groups;

• the dynamics of small groups;

• the organization of a tutorial session;

• introduction to assessment strategies and techniques that are related to the teaching

work to be undertaken;

• dealing with difficult students/disciplinary issues

• supervised involvement in an appropriate teaching activity.

Training will also include engagement of the Student in at least two teaching

sessions that are observed by the Student's Mentor or the Teaching Co-

ordinator (see below).

In subsequent years of the Student's work in a school, s/he will undergo

observation by the mentor or teaching coordinator at least twice a year,

preferably in different kinds of teaching activities. Depending on the type of

teaching activity and the level of their involvement, Students may require

continued training and development, and support.

.5 Mentoring

Heads of Schools shall ensure that Students who are engaged in

teaching activities are mentored.

To ensure coherency and consistency in the employment of Students as

teachers, it is expected that, in large schools, there will be one member of

staff who is responsible for the oversight and management of the recruitment

and training of postgraduate teachers and for the allocation of their teaching

duties - the Teaching Co-ordinator.

The Teaching Co-ordinator or Mentor will make the decisions about the

Student's suitability to teach and/or determine further training requirements.

.6 Induction period

The first semester of teaching will be regarded as a probationary

period.

Where a Student's teaching performance proves less than satisfactory during

the first semester, and, in the judgment of the Mentor/Teaching Co-ordinator,

this cannot be improved upon by further training, s/he will not be allocated

any further teaching activities.

.7 Limited responsibility

Students may assist in the delivery of modules but shall not be given

responsibility for the organisation or management of any module.

Schools should remember that Students' involvement in any aspects of the

management or decision-making processes within a school relates to their

status as students. They are not to be regarded as part-time members of

staff.

.8 Involvement in assessment process

Where Students are involved in any form of assessment procedure, this

shall be in accordance with the provisions of the University's 'Minimum

Standards on the Use of Persons other than Members of the Academic

Staff in the Assessment Process'.

This provides that:

• such assessments as contribute to the final module/course mark are second marked

by a member of the Academic Staff and are limited, as far as is practicable, to those

elements that do not contribute to the final programme award;

o such assessments which do not contribute to the final module/course mark

are second marked on a sampling basis by a member of the Academic Staff.

It is preferable that Students are not involved in elements of assessment that

contribute to the final module/course mark.

Students shall not be designated as internal examiners.

9 SUPERVISION ARRANGEMENTS

Supervision of postgraduate research students is influenced by many factors

including the personalities involved and the environment in which the student and

supervisors work. It is to be expected, therefore that there will be variations in

supervisory practice across discipline areas. For this reason, this Code does not

attempt to describe the detail of the supervision arrangements the school should have

in place.

Each school must have in place a stated policy on supervision which is clearly

communicated to both students and staff. This should include:

.1 the model of supervisory arrangement adopted by the school;

.2 the allocation of supervision duties;

.3 training and development of supervisors;

.4 guidelines on the frequency of supervisory meetings;

.5 mechanisms for voicing dissatisfaction with the supervisory arrangements;

.6 procedures for making alternative supervision arrangements in the event of a

supervisor's temporary absence or illness, or their departure from the

University.

If a supervisor ceases to be a member of the University staff during a student's

research programme, s/he may continue to act in an advisory capacity, but the Head

of School must ensure that control of, and responsibility for, supervision rests with the

school. In the event of the main supervisor's departure from the University, a

replacement must be appointed.

Each school must provide the student with the opportunity to comment on the

standard of supervision received. (This may be through the six-monthly self-

assessment reports.) There must be clearly defined procedures for students to make

representation to the Head of School or the Director of Postgraduate Research

Studies if they feel that their work is not proceeding satisfactorily for reasons outside

their control, including the breakdown of a relationship with a supervisor. It is

important that the published statement of these procedures makes it clear to students

that they provide a means for discussing the possibility of changing the precise

supervision arrangements. It is necessary that such procedures should operate

expeditiously in order to avoid loss of time in relation to the research or its funding.

9.1 The Appointment of Supervisors

Heads of School are responsible for appointing staff to act as supervisors to research

degree candidates, in accordance with the University's Senate Regulations, and for

ensuring the continuation of regular and appropriate supervision throughout each

candidature. They are also responsible for the training of staff who are to be

appointed as supervisors and the monitoring of their performance as supervisors.

Heads of School should give serious consideration to the managerial implications of

research supervision and the training for it. They are encouraged to develop explicit

mechanisms for determining and monitoring staff workloads in respect of teaching,

research and administrative commitments, so that there is sufficient time for

supervision of an appropriate standard.

When appointing a member of staff as a main supervisor, the Head of School must:

.1 be satisfied that the member of staff appointed to act (a) has received adequate

training in research supervision skills; and (b) is experienced in research and

possesses an appropriate breadth of understanding to be able to make a

positive contribution to the student's research endeavours.

(The University expects all new supervisors to receive training in supervision, and to

be supported by experienced supervisory team members(s));

.2 allow proper time for both the tasks of supervision and the training and

development for them;

.3 always have regard to the existing supervisory and other workloads of the

member(s) of staff concerned.

(An individual member of staff should not normally, at any one time, be

supervising more than six candidates.)

.4 ensure that, normally:

• only members of staff who are experienced in research are appointed as main

supervisors. Initially, inexperienced staff should, as part of their training, assist more

experienced staff with their supervisory duties;

o no probationary member of staff is appointed as a main supervisor;

o any fixed-term member of staff who is asked to supervise has a co-

supervisor;

o whenever circumstances dictate either a temporary or permanent change in

supervisory arrangements, new arrangements are put in place without delay;

o where there are irreconcilable differences between a candidate and his/her

supervisor, agreed alternative supervisory arrangements are put in place;

.5 keep under review the outcomes of research degree examinations and the

associated examiners' reports, and, where necessary, direct members of staff

to undertake further/additional training in the supervision of research

students.

9.2 Models of Supervision

Each postgraduate research student will have a supervisory team comprising at least

two members of Academic Staff. The model(s) of supervision will de defined in the

School Framework. Examples are as follows:

Main Supervisor plus Second Supervisor(s) - this model is typically employed where

the subject expertise can be substantially provided by one member of staff. The other

member(s) of the team may or may not have relevant specialist knowledge. At the

least, the other member(s) of the team provide an additional contact point to whom

the student can refer general academic and pastoral issues. (In this case, the second

supervisor may be referred to by the school as the 'advisor' or 'mentor'.)

Main Supervisor plus Co Supervisor(s) - this model might be employed where the

research project is interdisciplinary or where a new supervisor is being trained. Both

supervisors have significant academic input and both are expected to provide expert

advice, direction, support and guidance to the student. One is designated as the main

supervisor, assumes overall responsibility for the management of the student, and is

recognised as the first point of contact for the student. Second supervisor(s) may also

be appointed.

Schools are not required to use the terminology used above, but are expected to use

common terminology across the school, and to have clear definitions of roles and

responsibilities.

9.3 Supervisory meetings

The frequency of meetings between student and supervisor is likely to vary between

disciplines, according to the relative strengths and development of the student, the

mode of study, the make-up of the supervisory team, and at different stages of the

research project. The important thing is that the frequency is agreed by the student

and supervisors and is in accord with any requirements of the School Framework.

The student and supervisors may choose record the agreed schedule of meetings in

the Research Plan

A supervisory meeting should be considered to be a formal, uninterrupted event, to

which sufficient time and attention should be devoted.

Both the student and supervisor(s) should keep an agreed, documented record of the

outcomes of the meeting.

10 MONITORING STUDENTS' PROGRESS

The University has placed its schools under an obligation to monitor

effectively and rigorously the progress of their research students. As part of

the University's Research Student Progress Monitoring Procedure, students

and their supervisors are required to produce formal progress reports at

frequent intervals. These reports, however, should never be allowed to

substitute for the meaningful dialogue and ongoing consultations between the

student and their supervisors.

Each school is expected to have in place arrangements, appropriate to the discipline

and the school's own stated supervision and monitoring policies, for assessing

research students' progress. The school must consider how its arrangements can

support the monitoring of part-time students and/or those studying away from Cardiff

for a period of time, as the University's minimum requirements apply to all categories

of students carrying out research.

The School Framework should detail the local arrangements for administering the

monitoring procedure, as well as the involvement of co- and secondary supervisors,

the role of the Director of Postgraduate Research Studies and/or the Head of School,

and of the relevant school committee, and the mechanisms for ensuring a formal

review of the student's progress, which includes an element of assessment

independent of student and supervisors.

The progress of all students registered for higher degrees by research shall be

monitored from the date of initial registration on the programme through to

thesis submission (including during any period beyond that of fee-paying

registration and any resubmission period). A student whose progress is less

than satisfactory has a right to know, and the school has a responsibility to

decide whether or not they should be allowed to proceed with their research

studies.

10.1 Six-monthly progress reports

The principle underlying the six-monthly reporting exercise is that it allows a

student's progress to be assessed with sufficient frequency to allow for prompt

remedial action to be taken as necessary. This exercise should involve

reviewing and updating the Research Plan.

.1 Research students are required to submit Self-Assessment Reports, in accordance

with deadlines specified by the school, at six-monthly intervals up until thesis

submission.

.2 The Self-Assessment Report may prompt the student to reflect, inter alia, upon the

following;

• the current stage of research and production of thesis;

o progress made against agreed objectives and milestones;

o any specific problems associated with the research, which might require

access to additional resources or advice;

o any non-academic problems that have impeded the research, or are likely to

do so;

o the level of satisfaction with the supervision - including frequency of

meetings, adequacy and speed of feedback and advice;

o training and/or skills development that has been undertaken during the last

six months;

o further training needs;

o any other matters that should be brought to the attention of the Director of

Postgraduate Research Studies.

.3 Supervisors are required to produce a Student Progress Report for each student

working under their direction, at six-monthly intervals, up until thesis

submission.

.4 The supervisor's report may cover, inter alia, the following:

• assessment of progress in a number of specified areas;

• whether the student has maintained regular contact;

• the estimated submission date;

• any risks that the student will not submit by the University deadline;

• any known non-academic factors which have impeded (or will impede) the student's

progress;

• the identification of any specific training, resources or advice required;

• any other matters that should be brought to the attention of the Director of

Postgraduate Research Studies.

.5 The supervisor should discuss his/her report with the student and allow the student

the opportunity to comment.

.6 Both the student and supervisor reports are considered and reviewed by the school

in accordance with the policy described in the School Framework.

.7 Where a student fails to submit a Self-Assessment Report, without proper

explanation, the Director of Postgraduate Research Studies may request the

student concerned to attend an interview to discuss the reason(s) for the non-

submission of the Report.

.8 Where a student's Self-Assessment Report and/or the supervisor's Progress

Report give rise to concern about the student's progress, the Director of

Postgraduate Research Studies shall request the student concerned to

attend an interview with him/her or to appear before the relevant school

Committee.

.9 The supervisor(s) shall be invited to attend any interview with the student. (The

student can, however, request a separate meeting with the Director of

Postgraduate Research Studies to which the supervisor(s) shall not be

invited to attend.)

.10 A written record of any formal progress interview conducted by the Director of

Research Studies or the school Committee shall be placed on the student's

school file and a copy given to the student.

.11 A student who fails to submit two consecutive Self-Assessment Reports can be

deemed by the School to have terminated his/her candidature for a research

degree. The student shall be notified in writing, by the Head of School or

his/her nominee, that they are deemed to have withdrawn. A copy of the

communication shall be sent to the Director of Registry.

10.2 Annual progress review and progression

The progress of every research student shall formally be reviewed, in

accordance with the procedures set out in the School Framework, on an annual

basis up until the completion of the research study.

Schools should ensure that the review process has been completed by the end

of each twelve months of the student's candidature, ahead of the next

enrolment date for that student, where applicable. In practice, therefore, the

procedure should initially commence after approximately nine months of

registration, then every subsequent twelve months. The school's procedures for

conducting the annual progress review and criteria for progression must be

clearly communicated to its students and staff.

For PhD and EngD students, the first year of a full-time programme (or the

first two years of a part-time programme) is considered to be probationary.

Some schools choose to register their students as 'MPhil/PhD' during this

period in order to emphasise the importance of demonstrating satisfactory

progress before being permitted to move on to the next stage of the

programme. In addition, however, all students' progress is formally reviewed

at the end of every year of study, and a student may be required to withdraw

from the University or to change from PhD to MPhil status if his/her progress

is deemed to be unsatisfactory.

The exact format of the annual progress review will differ between schools, but must

contain the following three elements:

• a substantial piece of written work from the student;

• a mechanism by which the student can be questioned about his/her work by those

individuals assessing his/her progress (this may take the form of an interview or a

presentation and question session);

• a documented outcome of the review and the progression decision

The formal review of progress and determining the progression decision must include

individuals independent of the supervisors and the student.

The following is an outline of the University's minimum requirements for the formal

annual progress review, upon which schools are required to build their specific

requirements and arrangements.

.1 The review is based on the submission, by the student, of a substantial piece of

written work. The length and format of this work is defined by the school. (It is

commonly equivalent to a thesis chapter or a paper for publication.)

.2 The student's written report must be made available to those members of staff

responsible for reviewing the student's progress in advance of the meeting,

allowing for adequate consideration.

.3 The student is required to attend a meeting set up to consider his/her progress.

The format of the meeting is determined by the school. It might include a

presentation by the student and/or a viva voce examination. The reviewers

will discuss specific items arising from the written submission.

.4 The review panel may include member(s) of the student's supervisory team but

must also include at least one member of the academic staff who is

independent of the supervisory team.

.5 As part of the formal review, the reviewers receive a recommendation from the

student's supervisor(s) regarding the continuation of the candidature.

.6 The reviewers determine one of the following:

• that the student has made satisfactory progress (during the probation period or any

other year of the programme) and shall be permitted to continue as a candidate for

the qualification aim for which he/she is registered, or

• that the student be permitted to change his/her registration from MPhil to PhD (taking

into consideration the viability of the project as well as the progress of the student), or

• that the student's progress is less than satisfactory and he/she is required to change

his/her registration from PhD to MPhil (having satisfied themselves that the revised

research project is, or will be, appropriate for an MPhil submission within a revised

time-scale, and that the student has made or is making adequate progress toward the

revised qualification aim), or

• that the student's progress is less than satisfactory and he/she be warned of

exclusion from research study.

.7 Where a student expresses a wish to change his/her registration status from MPhil

to PhD, but the supervisor finds himself/herself unable so to recommend, the

student may request a separate hearing by a Committee or Panel appointed

by the Head of School, for the purpose. The decision of the Committee or

Panel shall be final.

.8 The student shall be informed of the reviewers' decision immediately. The

reviewers will then provide a report, summarising the assessment. Any

unsatisfactory aspects of performance should be clearly defined with an

attempt to identify the underlying cause, and with recommendations as to

subsequent progress and actions. The student will be given a copy of the

report and will be given the opportunity to discuss any aspects with the Chair

of the meeting, and should be allowed to add comments to the report.

.10 The progression decision for each student shall be reported to the Registry.

.11 Where the decision reached by the reviewers is that the student be warned of

exclusion, the school shall follow the University's 'Procedure for Exclusion

from Research Study'

.12 A student can appeal against exclusion in accordance with Procedure for Appeals

against Exclusion/Termination of Candidature.

11 STUDENT REPRESENTATION, COMMUNICATION AND FEEDBACK

Each school must provide regular opportunities for its research students to

communicate individual and collective feedback, and must have in place mechanisms

to review and respond to this feedback, as appropriate. Schools should ensure that

the procedures they have in place take account of the diversity of research

programmes and methods of study prevalent.

.1 Each school must have in place a student/staff forum that considers research

degree programme matters, and that should normally meet no less than three

times per year. Schools with particularly small numbers of research students

may choose to combine this forum with its student/staff panel for

postgraduate taught students. Schools may wish to consider the merits of an

on-line forum, especially those which admit part-time research students.

.2 Individual feedback may be collected by school-based questionnaires, set up for

this purpose, or combined with the six-monthly self-assessment part of the

progress monitoring procedure.

.3 Heads of Schools are also responsible for ensuring that opportunities are provided

for research students to be represented on any relevant school committees.

12 RESEARCH DEGREE EXAMINATION

The conduct of research degree examinations is governed by University's Senate

Regulations. Heads of School are responsible for the proper conduct of all research

degree examinations. They should ensure that the University's Procedures for the

Conduct of Research Degree Examinations are routinely made available to those

participating in the examination process.

12.1 Arrangements for the viva voce examination

All candidates registered for research degrees at Cardiff University are required to

undergo an oral examination, or 'viva'.

(Where a candidate has previously failed to satisfy the examiners and has re-

submitted a thesis for further examination, and where the Examining Board is

satisfied that the re-submitted work meets the criteria for the award for which the

thesis was submitted, the requirement for a further oral examination may be waived

with the agreement of all members of the Examining Board.)

The viva will normally be held within three months of the date of thesis submission.

The school should keep the candidate informed about the progress being made in

arranging the viva date. Candidates who are resident abroad may negotiate a date for

their oral examination that is more than three months after the date of submission. In

all cases, the examination must take place not more than twelve months after

submission of the thesis.

For each thesis submitted for examination, the Head of School appoints a senior

member of staff to act as Convenor to the Examining Board. It is common practice for

the Head of School to identify a single senior member of staff to act as Convenor to

all research degree Examining Boards in that school, except for those where that

member of staff has been involved in the supervision of the student. In some schools

the Head of School acts as Convenor.

The Convenor must be satisfied that there is a prima facie case for examining the

work before the submission is accepted and further arrangements for the examination

are made. If the Convenor is not satisfied that a prima facie case exists, then he/she

must advise the Head of School and inform the candidate accordingly, and in writing.

The candidate has the right to appeal against this decision to the Chair of the

Graduate Development Committee.

The Convenor is responsible for overseeing all the practical arrangements for the

examination and for informing the candidate of the arrangements.

12.2 The selection, nomination and appointment of examiners

The Examining Board will comprise a Chair and at least two examiners and will be

appointed in accordance with the University's Senate Regulations.

The School Framework should describe the processes by which internal examiners

are appointed and by which external examiners are nominated for appointment by the

Chair of the Graduate Development Committee.

In some schools it is practice to invite the candidate's supervisor(s) to attend the viva,

though s/he can play no part in examining the candidate. If a student does not wish

his/her supervisor(s) to attend the viva, this wish must be respected.

13 RESEARCH STUDENTS' DISSATISFACTION AND COMPLAINTS

Heads of School should ensure that their research students are fully aware of the

channels of communication that exist for dealing with problems associated with their

programme of study.

It is expected that most problems encountered by research students in the course of

their studies will be capable of resolution within the school. Normally, a research

student with a particular problem will refer it to his/her supervisor(s), or, if it concerns

his/her relationship with a supervisor, to the Director of Postgraduate Research

Studies.

If necessary, the Director of Research Studies will refer the problem to the Head of

School. In the event that a research student is seriously dissatisfied with the

arrangements for his/her research programme and is unable to reach agreement with

the Head of School over those arrangements, the student may refer his/her problem

to the Dean of Graduate Studies. The Dean of Graduate Studies will attempt to

negotiate a solution with the Head of School concerned.

If all else fails, the student has recourse to the University's Student Complaints

Procedure.

14 APPEALS AGAINST RESEARCH DEGREE EXAMINING BOARD

DECISIONS

A candidate who is not recommended for the award of the degree for which he/she

has submitted, is at liberty to appeal against the decision of the Examining Board.

For research students who commenced their programmes before October 2005,

appeals against the decisions of research degree Examining Boards are dealt with by

the Senior Vice-Chancellor of the University of Wales, under the University of Wales

Appeals Procedure (Postgraduate Research Degrees). If a candidate wishes to

appeal against the decision of the Examining Board, s/he must make a full, written

application to the Academic Secretary of the University of Wales within two months of

the date of notification, by the Academic Secretary, of the result.

For research students who commenced their programmes from October 2005

onwards, appeals against the decisions of research degree examining boards are

dealt with by the Director of Registry, under the Cardiff University Appeals Procedure

(Postgraduate Research Degrees). If a candidate wishes to appeal against the

decision of the Examining Board, s/he must make a full, written application to the

Director of Registry within two months of the date of notification, by the Registry, of

the result

If a candidate is not recommended for the award of the degree for which s/he has

submitted, s/he may appeal against the decision as reached by the Examining Board,

on the following grounds only:-

.1 defects or irregularities in the conduct of the examination or in written instructions

or advice relating thereto;

.2 extenuating circumstances affecting performance, of which the Examiners were not

aware;

.3 evidence of prejudice/bias/inadequate assessment on the part of one or more of

the Examiners;

.4 inadequacy of supervision, in which case there must be exceptional reasons why

this was not reported prior to the examination taking place.

Appeals which question the academic judgement of the Examiners are not

admissible.

CARDIFF UNIVERSITY RESEARCH DEGREES HANDBOOK: A CODE OF

PRACTICE

CARDIFF UNIVERSITY RESEARCH DEGREES HANDBOOK: A CODE OF PRACTICE