PhD and MPhil Regulations

All teaching and assessment must be in English when students are registered for a University of
Nottingham qualification. The only exception is where the subject of study is a language or literature
other than English.

These regulations state the minimum requirements for students undertaking a PhD or MPhil. Where
any other body, such as a sponsor or collaborative partner, is involved in a student’s study additional
requirements may be agreed and must be satisfied in order for the student to be considered for an
award.

Regulations for the Degree of Doctor of Philosophy (PhD) and Master of

Philosophy (MPhil)

Admission Requirements

1. Requirements for admission to a research degree are set out in the University of Nottingham’s
Quality Manual in the section entitled Recruitment and Admissions.
Course of Study

2. Periods of registration for these degrees are as set out in the University of Nottingham
Qualifications Framework. The student’s School may permit up to one year of registration at
Nottingham (two years in the case of part-time students) to be replaced by prior study at another
institution.
3. Full-time students may only undertake paid employment with the permission of their School and in
accordance with the requirements of any scholarship they hold. In approving a request to undertake
such employment, a School must assure itself that such work will not interfere with the student’s
programme of study.

4. A student is not permitted to count the same period of registration for both the degree of MPhil and
the degree of PhD. However, a student registered for an MPhil degree may, with the permission of
their School, be allowed to transfer their registration to a PhD degree. The procedure for transferring
registration is set out below in paragraphs 12 and 13. It is also possible to transfer from a Master’s
degree by examination course to the degree of MPhil with the permission of the School.

5. Members or former members of the University staff submitting publications for a research degree of
the University in accordance with the regulations governing staff candidates have no required period
of registration and no thesis-pending period but are expected to submit within four years of their
application to submit being approved by Quality and Standards Committee. The staff member’s
publications must be submitted at a time when s/he is a member of the University staff or within a
period of three years from the date when s/he ceases to be such a member. There will be two External
Examiners but no Internal Examiner for a staff candidate.
6. For part-time students holding an appointment within the University the minimum period of
registration may be reduced to three years.

Annual Review and Progression

7. All students registered on research degrees lasting more than one year full-time or two years part-
time (eg MPhil or Professional Doctorates but not MRes etc) are subject to review annually. The basic
principles ofAnnual Review are common to all research students and all years of their
programme. There are specific requirements relating to PhD students and to the Annual Review
preceding submission, and variations dependent on the length and stage of the student’s programme
of study. In all cases submission must be within four years of first registration unless the student
holds an award with terms and conditions that vary this maximum period and the School approves the
arrangement.
8. Confirmation Review

During their first year of registration, the status of PhD students as doctoral candidates is probationary
and their Annual Review includes the Confirmation Review of their status. Confirmation Review
requires the involvement of an Internal Assessor while the basic Annual Review may be led by the
Principal Supervisor. Annual Review should take place by the end of each completed year of study,
though it is strongly recommended that preparations (e.g. submission of the written report) should
commence before the student has completed nine months of each year of study and that reviews are
held around the nine-month period to allow for any remedial actions arising from the review to be
completed within the year.

9. Minimum elements of Annual Review

Schools must ensure that the following elements are included in their Annual Review process:

For all students:

 Production of a written report by the student on his/her progress.

 In response to the student's written report, a commentary by the principal supervisor on the
student's progress and attendance.
 Confirmation by the principal supervisor that the required minimum number of supervision
sessions has taken place and that supervision records are available.

 Where student is sponsored and a report has been submitted to the sponsor during the year the
content of that report should form part of the consideration.
Schools have discretion to appoint an Internal Assessor in this process as well as the principal
supervisor if they wish to do this.

and

For PhD students undergoing Confirmation Review (ie normally in their first year of study):

 An interview of the student by an Internal Assessor and (if the School wishes) other staff who
have not previously been closely associated with the student's work. The Internal Assessor must
not be the student's supervisor or joint supervisor.

 Provision of evidence to the Internal Assessor that the student has attended any modules and
passed any assessments that form a compulsory part of his/her research programme.

 In light of the review, a recommendation to the student's Head of School agreed jointly by the
Internal Assessor and the principal supervisor as to the outcome.
Where students are on four year PhD programmes containing a substantial taught element,
Confirmation Review should take place prior to the end of the second year (and the review processes
thereafter on an annual basis). Recommendations on the registration of such students may still occur
at an earlier stage (e.g. after one year), depending on the progress with the mandatory taught
element of the programme.

or
For other research students in all years of study and PhD students after their Confirmation Review has
been completed:

 Provision of evidence to the principal supervisor that the student has attended any modules and
passed any assessments which form a compulsory part of his/her research programme.

 In light of the review, a recommendation to the student's Head of School from the principal
supervisor as to the outcome.
10. Final Annual Review

The final annual review of all research students (if they have not already completed their thesis)
should include a detailed consideration of progress, including progress made with writing up, and a
plan to ensure that the thesis is submitted within a maximum of four years from initial registration.

In addition to the minimum elements of Annual Review the final review before submission should
include the following elements:

 A detailed plan for submission within the maximum period.

 In light of the review, a recommendation to the student's Head of School from the principal
supervisor as to the outcome.
11. The possible outcomes of Annual Review are:

 Re-registration in the following academic session on the same degree subject to the length of the
programme. In the case of PhD students this would act as confirmation of their doctoral status
for re-registration in the following session.

 Entry of the student to the thesis pending period within the next year, subject to satisfying the
requirements for the minimum period of study and having completed the research.
 With the agreement of the student, transfer of registration to another degree (e.g. from MPhil to
PhD). In this instance, an interview of the student by an Internal Assessor as required in the
Confirmation Review process should also be held and a transfer form completed.

 A recommendation by the School to the University that the student be required to transfer to
another degree (e.g. from MPhil to MRes).

 A recommendation by the School to the University that the student's registration be terminated
(which should be supported by evidence that the student has received written warnings on lack of
progress during the period of study).
12. In the case of PhD students the following further outcomes are possible:

 Re-registration as a PhD student in the following academic session but with continuation of the
student's probationary status (in which case, the next Annual Review for that student takes the
form of a Confirmation Review) with an agreed plan of supportive or corrective action being put
in place). However, the maximum number of Confirmation Reviews a student may be permitted
is normally limited to two.

 Re-registration as a PhD student in the following academic session (with a corrective action plan
being put in place if this is necessary).
 A recommendation by the School to the University that the student be re-registered as an MPhil
student or on some other degree instead of PhD.
13. In the case of the Final Annual Review the following further outcome is possible:
  A recommendation by the School to the University that the student’s registration be exceptionally
extended for up to one further year. In such a case submission will still be expected within the
four year maximum period.

Thesis-Pending Period

14. Students whose programme of study lasts for less than 4 years (8 years in the case of part-time
students) and who have completed their research and the period of registered study as required by
regulations may enter the thesis-pending period. In all cases the thesis must be submitted within 4
years (full-time) or 8 years (part-time) of the start of study or within 12 months (full-time) or 24
months (part-time) of the end of registration, whichever is the lesser unless the terms and conditions
of a studentship held by an individual vary this. In the thesis pending period the student will be
entitled to the use of library facilities and University computing facilities but not to facilities
for research. The student will also be entitled to a minimum of 6 meetings (pro rata if the period is
less than 12 months full-time or 24 months part-time) either face-to-face or electronically with their
supervisor and for the supervisor to read and comment on one draft of their thesis prior to
submission.
15. In exceptional circumstances an extension to the thesis pending period may be granted subject to
the following conditions. Requests for extensions will only be considered as a result of circumstances
affecting the thesis pending period, and not for the period of registered study. If an extension request
is granted, the fee listed in the University's Fees Schedule will be payable.
(a) Applications for an extension to the thesis pending period should be submitted to Student
Services Development (Academic Processes) or equivalent for consideration on behalf of the
University.
(b) Other than in exceptional circumstances applications will only be considered if received by Student
Services Development (Academic Processes) no less than 3 months in advance of the thesis pending
period.

(c) All applications require the support of the student's School.

All applications should include a plan detailing:

 which thesis chapters are complete

 what work remains to be done on incomplete chapters

 a time-line for the completion of outstanding work and a date for submission of the completed
thesis.
16. Acceptable and Unacceptable Circumstances:

The following circumstances may result in an extension being granted:

 Exceptional personal circumstances (eg illness, hospitalisation, accident) if significantly impacting
on the writing-up process (or resubmission/minor corrections process relating to paragraph 37
below)

 Maternity
 Paternity

 Death of a close relative, or illness of a close relative where the student is the carer

 Illness or death of a partner

 Prolonged jury service
 Expeditions for sport of national significance (providing the extension is acceptable to the
student’s funding body)
  Requirement for a student to undertake military service.
The following are examples of circumstances which would not normally warrant an extension:
 Taking up employment during the thesis pending period (or resubmission/minor corrections
process relating to paragraph 37 below)

 voluntary service overseas.

Submission of Thesis
17. Students are required to submit a thesis for examination after their period of registered study and
before the conclusion of the thesis-pending period. A student must give formal notice to their School
of theirintention to submit their thesis. The School should ensure that Student Services Development
(Academic processes) or equivalent office is informed so that the procedure for appointing examiners
can be initiated.
18. Two softbound copies of the thesis, together with an electronic version saved as a searchable PDF,
should be submitted to Student Services Development (Academic Processes) or equivalent (in a form
prescribed by the University), which will forward the thesis to the Examiners. Students are encouraged
to publish papers in advance of submission of their thesis and prior publication of papers arising from
the research being undertaken should not prejudice the assessment of the thesis.

19. The thesis must be written by the student and be the result of the student’s own work. It must be
the result of work done mainly while the student is registered as a student of this University. This
requirement does not preclude a student obtaining limited assistance with proof-reading and with the
routine collection and/or processing of data under guidelines and instructions clearly devised by the
student. When such help is obtained it should be with the prior approval of the supervisor who must
be satisfied that the spirit of the 'own work' requirement is not breached.
20. The thesis should not be more than 100,000 words in the case of PhD or 60,000 words in the case
of MPhil (in both cases inclusive of appendices, footnotes, tables, and bibliography); the University
may withhold from examination a thesis that exceeds these word limits.

21. Alternative formats for submission may apply to certain doctorates and an appendix detailing
submission requirements is available for the following doctoral degrees:

 Music
 Creative Writing
 Drama and Performance Practice as Research
 Translation Studies.
 Published Works.
22. Students may offer performance work for assessment alongside the thesis as supplementary
evidence for the ideas and arguments put forward in written form. Where such evidence is submitted,
a permanent record of that evidence should be included with the version of the thesis that is lodged in
the University Library.

23. If a thesis includes work which is politically, commercially or industrially sensitive, the student’s
School may apply to the University for access to the thesis in the University libraries to be restricted.
The restriction may be for a period not exceeding two years in the first instance with the possibility of
an extension of that period up to a maximum of five years.
24. In circumstances where it is appropriate to the student’s discipline, students are required to
submit all data collected during the period of study as a research student of this University to their
School prior to arrangement of the viva voce examination. Failure to do so may mean that the thesis
is withheld from examination.

Examination
25. The Examiners (see ‘Role and Appointment of Examiners’) should submit independent reports on
the thesis to Student Services Development (Academic Processes) or equivalent or Head of School
before the viva voce examination takes place. The reports should contain a full and frank assessment
of the merits and weaknesses of the thesis. In the case of MPhil students, the reports should indicate
whether a viva voce examination is necessary. If it is found not to be necessary, the Examiners should
provide a recommendation as set out in Regulation 35 below on a Joint Report Form.
26. The School should seek to ensure that the viva voce examination takes place within 3 months of
the submission of the thesis. The viva voce examination will normally take place at the University.
However, the Head of School may give permission in exceptional circumstances for the viva voce
examination to be held in another location, provided that the agreement of the Examiners and the
student is obtained and the proposed location is one that is deemed by them all to be suitable for the
purpose. Student Services Development (Academic Processes) shall be informed when these decisions
are made.

27. If circumstances demand it, a viva voce examination may be organised in another form (eg by a
video conference). Before agreeing such an arrangement the School must check that appropriate
facilities are available to all participants, and shall ensure they have written confirmation that the
student and the Examiners have agreed to the proposal.

28. If Schools wish to do so, an independent, non-examining chair may be appointed to preside over
the viva proceedings in order to ensure consistency between different vivas and to provide an
additional viewpoint if the conduct of the viva should become the subject of a student appeal. Where
the appointment of an independent chair is not feasible, Schools should find alternative ways of
assuring fairness and consistency which are acceptable to the student.

29. With the agreement of the external examiner, a Supervisor may be present at the viva voce
examination, though s/he will not participate in the proceedings. The Head of School has a right to
attend as an observer at the viva voce examination of any research student in his/her School, unless
s/he is the student's Supervisor when a deputy may be appointed to attend in his/her place. Before
the viva voce examination takes place the Head of School should first inform the Examiners, the
student and the Supervisor(s) that s/he intends to attend. The Examiners may request that the Head
of School attend a viva voce examination.

30. The viva will include questions designed to ascertain that the thesis embodies the candidate’s own
research. It will test the candidate’s general comprehension of the field of study within which the
subject of the thesis falls. It will test the candidate’s acquaintance with the general literature of the
subject, knowledge of the relation of the work to the wider field of which it is a part, and the respects
in which the work advances, modifies, or otherwise affects this wider field of scholarship.

Outcomes of Examination
31. Following the viva voce examination the Examiners should complete and sign the joint report form
and come to agreement on the recommendation on the award (or not) of the degree. The student
should be given immediate informal feedback on the outcome of the examination and should be
advised that more formal details will be transmitted later in writing. If the Examiners recommend that
the degree should not be awarded and/or that the student should also be required to resubmit for the
same or a different degree, the student should be provided with copies of the Examiners' reports. The
Internal Examiner should also write to the student formally conveying the joint views of the Examiners
on the submission, describing in detail the academic and presentational reasons for their
recommendation, and (if appropriate) providing clear advice about what matters should be addressed
in any resubmission.
32. Research degrees will be awarded at Masters or Doctoral level to students who have demonstrated
that they satisfy the relevant qualification descriptors contained in the UNQF appendix A.
33. The Examiners may recommend to the University the following outcomes of examination:

 Award of degree for which the student is registered, or

 Award of the degree subject to correction of typographical errors within one month
 Award of the degree subject to minor amendments to be completed within three months*, or

 Require the candidate to attend for a second viva voce examination and resubmit the same thesis
(which may be subject to minor amendments to be completed within three months*), or

 Resubmit the thesis in a revised form within twelve months with/without attending a second viva
voce examination, or
 That no degree be awarded and that the candidate is not allowed to present him/herself again for
examination for the degree for which the thesis was submitted.
34. Where a thesis has been resubmitted and/or a second viva voce examination has occurred, the
Examiners may recommend to the University the following outcomes of examination:

 Award of degree for which the student is registered, or

 Award of the degree subject to correction of typographical errors within one month, or
 Award of the degree with minor amendments to be completed within three months to the
satisfaction of the internal examiner*, or

 (in the case of PhD students) Award of degree of MPhil without further conditions, or
 (in the case of PhD students) Award of the degree of MPhil with minor amendments to be
completed within three months*
 No degree awarded and no further examination opportunity.
*Exceptionally, where a student has been previously registered as a part-time student and it has been
demonstrated that circumstances exist such that it would be in the best interests of that student, the
examiners may recommend that the degree be awarded subject to minor amendments being
completed within six months.

35. The joint report form is forwarded by the Examiners to the Head of School and s/he shall forward
the independent and joint report forms to Student Services Development (Academic Processes) for
approval by the University. Student Services Development (Academic Processes) or equivalent will
inform the student of the University's decision.

36. Successful candidates will be eligible to graduate once their thesis has been uploaded to the
University’s etheses service and approved by the Internal Examiner or, in cases where there are two
external examiners, the lead External Examiner.
Extension to a Resubmission Period or of Time Allowed for
Minor Corrections
37. In exceptional circumstances an extension to the resubmission period or of time allowed for minor
corrections may be granted using the procedure in paragraphs 15-16 above.