Advice and Guidance Research Degrees
Advice and Guidance Research Degrees
UKSCQA
UK Standing Committee
for Quality Assessment
UK Quality Code - Advice and Guidance
Research Degrees
Contents
Regulatory contexts for the Quality Code 1
Terminology 1
Expectations and Practices 2
Guiding principles 4
Practical advice 5
Writing group 13
Terminology
Doctoral degrees: Doctoral degrees are qualifications rooted in original research - the creation of new
knowledge or originality in the application of knowledge. The doctorate is, therefore, unique in the
array of qualifications offered by higher education providers. Other key reference points for doctoral
degrees are the doctoral qualification descriptors included in the national higher education qualification
frameworks for England, Wales and Northern Ireland and for Scotland, and the QAA Doctoral Degree
Characteristics Statement (2015).
Masters by research: Research master’s degrees and doctorates are closely linked because of the
emphasis in both on independent research. Research students may choose to register for a research
master’s degree either as a standalone research qualification or as an entry qualification for a doctorate.
The QAA Master’s Degree Characteristics Statement (2015) summarises the main features of research
master’s degrees, including a general description of the characteristics relevant to research
master’s degrees.
Research students: The higher education sector recognises the diverse needs of research students and
aims to encourage consistency of provision for all students, regardless of background or circumstances.
The Expectations and Core and Common practices are therefore intended to apply to the many
different types of students undertaking UK research degrees. These include full and part-time students,
UK and international students, students from all backgrounds, and those with a range of protected
characteristics and prior educational experience.
Graduate schools: Within the UK, research students are often part of a cohort. As well as having a
subject identity, they may belong to a graduate school and/or doctoral training centre. Doctoral training
centres and other arrangements where higher education providers work together, help to shape the way
that many doctoral students are trained.
Codes of practice: Codes of practice for research degrees help both prospective and current research
students and staff to know what their responsibilities are and what they can expect from one another.
All codes and related guidance are written clearly for, and are accessible to, those who need to
use them and contain sufficient information for all intended users, including any externally located
supervisors.
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Expectations and Practices
The advice underneath the Expectations and Practices is not mandatory for providers but illustrative of a range of possible approaches.
This Theme relates to higher education research in the specific context of research degrees and
particular requirements for doctorates and research master’s degrees. It refers to the research
environment and the supervisory process which are distinct requirements of research degrees and
enable higher education providers to provide an effective student experience and maintain academic
standards for research degrees. A number of the Themes in the advice and guidance are equally
applicable to research degrees and some outline specific guidelines in the context of research degrees.
Core practice
The provider ensures that students who are awarded qualifications have the opportunity to achieve
standards beyond the threshold level that are reasonably comparable with those achieved in other
UK providers.
In practice, this means that the provision of a research environment conducive to learning and
developing research combined with the provision of encouraging and supportive supervision,
would improve opportunities for research students to achieve beyond the threshold level.
Common practice
The provider reviews its core practices for standards regularly and uses the outcomes to drive
improvement and enhancement.
In practice, this means that research degrees form a distinct area of provision and therefore review
and enhancement activity should be viewed across both in the context of provider practices,
across all provision in order to consider any implications for research degrees and provider
practices that only relate to research degrees.
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Courses are well-designed, provide a From admission through to completion,
high-quality academic experience for all students are provided with the
all students and enable a student’s Expectations support that they need to succeed in
achievement to be reliably assessed. for quality and benefit from higher education.
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Guiding principles
The guiding principles given here are not mandatory for any provider. They are a concise expression of
the fundamental practices of the higher education sector, based on the experience of a wide range of
providers. They are intended as a framework for providers to consider when establishing new or looking
at existing higher education provision. They are not exhaustive and there will be other ways for providers
to meet their requirements.
Providers that have research degree awarding powers have specific regulations and codes of
practice for research degrees that are clear, regularly reviewed and accessible to research students
and staff, including examiners. Responsibilities of research students and staff supervising,
assessing and supporting research students are clearly communicated.
2 The research environment is supportive and inclusive for all research students.
Providers accept research students into a sustainable, inclusive and supportive research
environment for undertaking and learning about research throughout the programme of study.
The environment should support/facilitate research achievement, taking account of the diverse
needs of research students.
Providers ensure that each student has an appropriately skilled and knowledgeable supervisory
team, which includes a main supervisor as the key contact. Supervisors should be provided with
sufficient time, support and opportunities to develop and maintain their supervisory practice.
Providers ensure that research students are provided with appropriate opportunities to regularly
reflect on and develop their personal, professional and research skills in consultation with their
supervisory team.
Providers put in place clearly defined mechanisms for monitoring and supporting research student
progress and outcomes from admission to successful completion, including formal and explicit
reviews of progress at different stages.
Providers, recognising the underpinning principles applicable to all assessment (see also
Assessment Theme), operate robust and clear procedures for assessing research degrees,
taking into account the UK qualification descriptors and characteristic statements.
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Practical advice
This section provides practical, contextualised advice to providers on Research Degrees.
The information is set against the guiding principles the advice will help you achieve. Please bear
in mind that this guidance is illustrative and intended to inform the approaches you consider and
ultimately implement.
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¡ ensuring that the research student is aware of the need to exercise probity and conduct their
research according to ethical principles, including intellectual property rights, and of the
implications of research misconduct
¡ providing effective pastoral support and/or referring the research student to other sources of such
support, including student advisers, graduate school staff and others within the research student’s
academic community including, where appropriate, support for mental health and well-being
¡ helping the research student to interact with others working in the field of research, for example,
encouraging the research student to attend relevant conferences and supporting them in
seeking funding for such events, or in potential career pathways
¡ where appropriate, giving encouragement and guidance to the research student on the
submission of conference papers and articles to refereed journals
¡ maintaining the necessary supervisory expertise, including the appropriate skills, to perform
the role satisfactorily, supported by relevant continuing professional development opportunities.
Student responsibilities may include:
¡ maintaining regular contact with supervisors and progressing their research through preparation
for meetings with supervisors, completion of agreed objectives and deadlines
¡ taking responsibility for their own learning and progress and seeking timely support where required
¡ proactively pursuing their own personal and professional development and attending agreed
development opportunities
¡ raising awareness of circumstances or concerns that may affect their work with their supervisor
or other staff members
¡ adhering to regulations that affect them including those related to the degree, health and safety,
intellectual property and ethical research.
The induction of research students should signpost this information. The approach to induction will vary
upon the nature of the provider, the course of study and the diverse needs of the student body.
Reflective questions
¡ How are your regulations and codes of practice for research degrees, clear and accessible
to prospective and current research students and staff, including examiners?
¡ How are the diverse needs of research students reflected in your regulations and codes
of practice?
¡ How and where are the roles and responsibilities of research students and supervisors
made clear and accessible?
The research environment is supportive and inclusive for all research students
(Guiding principle 2)
Exposure to an active research environment develops understanding of the stages involved in research
and serves to encourage developing thoughts and original ideas.
Common features of an effective research environment include:
¡ originality, significance and rigour of research outputs recognised through peer review or through
the award of grants resulting in outputs such as journal publications, books and work produced
in other media
¡ capacity of research-active staff (including postdoctoral researchers and research students)
¡ knowledge exchange and impacts (including knowledge transfer partnerships) with an emphasis
on the practical impact of research outcomes and demonstrable ability to attract external funding.
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The research environment and infrastructure are enabling, instructional and adaptable,
taking into account:
¡ subject discipline (including interdisciplinary or multidisciplinary subjects)
¡ research degrees offered by the provider
¡ the diverse range of students recruited; and their changing circumstances throughout the
programme of study
¡ practice or work-based study
¡ student health and well-being.
Common features of an appropriate environment in which to do and learn about research include:
¡ exposure to researchers working at the highest level in the student’s chosen field/related discipline,
and access to other colleagues for advice and support
¡ opportunities and encouragement to work and exchange ideas with people and organisations using
research outcomes for their own purposes and with colleagues in the wider research environment
¡ adequate learning and research tools including access to IT equipment, library and electronic
publications, and specialist equipment
¡ opportunities for research students to develop peer support networks where issues or problems
can be discussed informally
¡ supervision that encourages the development and successful pursuit of a programme of research
¡ guidance on the ethical pursuit of research and the importance of academic integrity
¡ support in developing research-related skills and access to development opportunities that
contribute to the research student’s ability to complete the programme successfully, and develop
personal and employment-related skills
¡ availability of advice on career development.
Reflective questions
¡ How does your research environment allow for postgraduate researchers to access supportive
peer networks?
¡ How does your research environment take account of student diversity,
health and well-being?
¡ How well does your research environment support the engagement of research students in
their discipline, internally and externally, and in their department or institution more broadly
(for example, engaging in committees, or having opportunities to go to conferences)?
¡ How is your research environment informed by the feedback received from research students?
¡ How does the research environment serve to facilitate research achievement?
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Supervisors are appropriately skilled and supported (Guiding principle 3)
Providers use criteria for supervisor appointment and keep supervisor performance and eligibility in the
role under review. These criteria normally include evidence of successful supervision to completion and
may also consider contract stability for those supervisors who are employed on a fixed-term basis.
The overall workload of the individual should also be taken into account to ensure supervisors have
time for sufficient contact with, and support of, each research student.
All supervisors (including those working in industry or professional practice) are expected to engage
in professional development opportunities to equip them to select and supervise research students
effectively across a range of circumstances, from initial meetings to completion. Supervisors are sensitive
to the diverse needs of individual research students and the associated support that may be required in
different situations. Through professional development opportunities and other means, higher education
providers ensure that supervisors are aware of the range of support available and can communicate
to their research students how to access it. Providers show their support for, and reward the valuable
contribution of, supervisors to the research environment and share good practice through mechanisms
such as mentoring relationships for new supervisors.
Supervision arrangements vary depending on the structure for research student support that the higher
education provider adopts, and on any guidance provided by the funding body where relevant. In all
cases, each research student has an identified single point of contact who is the main supervisor.
In addition to the main supervisor, there will be a supervisory team which will encompass the breadth
of academic, pastoral, and skills knowledge and experience.
The supervisory team may include:
¡ other supervisors and research staff in the subject area
¡ a departmental adviser to postgraduate students
¡ a faculty postgraduate tutor
¡ other individuals in similar roles.
Scope of experience and knowledge across the supervisory team ensures that the student always
has access to someone with experience of supporting research students from recruitment through
to examination and successful completion of their programme. Between them, the supervisors and
other relevant staff members ensure that research students receive sufficient support and guidance
to facilitate their success. At least one member of a student’s supervisory team is currently engaged
in excellent research in the relevant discipline(s), ensuring that the direction and monitoring of the
student’s progress is informed by up-to-date subject knowledge and research developments.
Providers will communicate minimum expectations of contact between supervisors and students as
well as the detailed requirements of progress reporting. Research students and supervisors share the
responsibility for ensuring that regular and frequent contact is maintained. The nature and frequency
of contact between research student and supervisor varies depending on the discipline, duration of the
programme, approaches to the research, and the amount of support needed by the research student,
but should adhere to the minimum expectations of the provider. The outputs of supervisory meetings
should be recorded by both the student and the supervisory team, to ensure shared understanding
between the two parties. Supervisor records may contain information on the setting of objectives and
progress made, key feedback areas, areas of discussion, debate or disagreement, and concerns raised.
Providers ensure that research students are easily able to contact their supervisors for advice and
guidance throughout their programme, irrespective of their geographical location. Reasonable
accessibility of supervisors is given priority and providers assure themselves that research students and
supervisors are aware of the importance of this and have a shared understanding of what is reasonable.
It is made clear to the research student who the alternative contact is if the main supervisor is
not available.
If, and when, a main supervisor is not able to continue supervising the research student, another
appropriate supervisor is appointed to assume the role. Higher education providers take a view on
how long a main supervisor may be absent before a permanent replacement is appointed, bearing in
mind the importance of providing breadth and continuity of supervision for the research student in
determining this period. In some circumstances, another supervisor is asked to assume the role of main
supervisor while a replacement main supervisor is found and the minimum frequency of contact in
operation by the provider should be maintained.
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If a research student-supervisor relationship is not working well, students will have access to alternative,
independent sources of advice. Mechanisms whereby research students may raise concerns regarding
supervision are in place and students are made clear on what these are (see also Concerns, Complaints
and Appeals Theme). Research students or supervisors may, where permitted by the terms of any
sponsorship agreement, request that supervisory responsibilities be changed. Higher education
providers ensure that any changes are appropriate, handled sensitively and in consultation with the
relevant parties.
Reflective questions
¡ Are all supervisors given opportunities to undertake relevant training and professional
development?
¡ Do you have clear criteria for how supervisors are appointed?
¡ Do you have effective mechanisms for ensuring the minimum expectations of contact
between research students and supervisory teams are met?
Reflective question
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Progression monitoring is clearly defined and operated
(Guiding principle 5)
Such processes operate less regularly than meetings between research student and supervisor,
and may include:
¡ an annual review by a panel or other specified body such as a research degrees committee
¡ completing probationary periods of training
¡ transferring from a research master’s to a doctoral degree.
Research students are normally present at such reviews and usually provide, as a minimum,
a written submission. Reviews usually include the research student’s main supervisor (as an observer)
but research students can request the opportunity to meet a review panel without the supervisors
being present.
The main purpose of the monitoring process is to provide overall support for the research student to
maximise the likelihood of completing the research programme successfully within an appropriate
timescale. The monitoring process also enables staff to ascertain when a research student’s progress is
not satisfactory and allowing for support to be given to help the research student make improvements.
Progression requirements may vary depending on the type and nature of the programme, for example,
professional or practice-based doctorates may have a requirement for research students to pass
structured elements of a programme before progressing. Formal evaluation of progress in these
circumstances may involve summative assessment.
So that both the research student and the supervisor can plan adequately for monitoring arrangements,
including through preparation of relevant documents and consultation with other individuals as
appropriate, higher education providers make available information relating to:
¡ guidance and requirements of the monitoring process
¡ frequency and target dates of monitoring arrangements
¡ the implications of the possible outcomes of formal review meetings or assessments
¡ the criteria to be used for making decisions about the extension, suspension or termination
of a research student’s registration
¡ the circumstances in which research student complaint and appeal mechanisms may be
used and how to use them (see also Concerns, Complaints and Appeals Theme).
Regulations specify the minimum and maximum periods within which the research student can
complete the research programme.
Bearing these in mind, decisions about transferring a student’s registration to a doctoral qualification,
or confirming such a registration, take place when there is sufficient evidence to assess the student’s
performance.
Reflective questions
¡ How effective are requirements in place for progression between stages of research?
¡ How do you successfully monitor the progress of students through the life cycle of
their research degree?
¡ How effective are your mechanisms for identifying and implementing support for students
who are not progressing satisfactorily?
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Higher education providers offer clear guidance and processes on assessment
for research degrees (Guiding principle 6)
Providers ensure that all research students are provided with an assessment experience that enables
them to fully demonstrate their academic achievements. Research students are examined on the basis
of an appropriate body of work and an oral examination (viva). Research students and examiners are
provided with any required information prior to the viva to ensure they have a clear understanding of
their roles and responsibilities.
Providers offer practical advice, training or support to research students to prepare for submission
of their thesis, for example, on the required presentation of the work, and viva. Support may include
training, written guidance and/or opportunities to participate in a mock viva or similar experience.
Providers ensure that clear criteria are in place for the appointment of an examination panel.
These commonly include:
¡ the appointment of a minimum of two appropriately qualified examiners, at least one of whom is
external to the research degree-awarding body and none of whom are the students’ supervisor
¡ additional external examiners may be appointed where the research student is also a member of
staff or where the thesis is highly interdisciplinary
¡ where more than two examiners are appointed, the majority are generally from outside the
research degree-awarding body.
Where one of the examiners is new to the process, the other examiner(s) should have sufficient
experience to ensure academic rigour. Clear criteria guide the use of external examiners when they
have had previous affiliations with the provider. Researchers who have had substantial co-authoring
or collaborative involvement in the candidate’s work or whose own work is the focus of the research
project, should not be appointed as examiners. An independent Chair, who will not contribute to the
assessment judgement, may be appointed to the examination panel. Guidance on the Chair’s role and
responsibilities and details about the circumstances in which a Chair will be used should be provided.
The use of an independent Chair encourages consistency in examination processes and provides an
additional viewpoint if the conduct of the viva should become the subject of a research student appeal.
Where an independent Chair is not appointed, providers should find alternative ways of assuring
fairness and consistency that are acceptable to the candidate and enable him/her to know that the viva
is being conducted appropriately.
Assessment criteria should be clearly available to research students and may vary to reflect differences
by discipline, such as the potential for inclusion of non-book components (for example, a piece
of software, a performance, or visual arts), professional/practice-based research degrees and/or
doctorates by, or incorporating, published work. Best practice may include examiners submitting
separate, independent written reports before the viva and submitting a joint report detailing the
outcome after the viva. The research degree-awarding body should provide any required information
or support prior to the viva to ensure that all parties have a clear understanding of their roles and
responsibilities, as well as providing explicit guidance on:
¡ the range of assessment outcomes open to the examiners, including referral or resubmission,
or awarding a qualification different from the one for which the research student has
been examined
¡ the information and support to be given if a research student is asked to revise and resubmit
the thesis, including due regard for the length of time permitted for working on a resubmission of a
thesis and the status of a student while they are working towards that goal
¡ any parties who need to be notified of the result (for example, the research student’s sponsor)
of the assessment
¡ whether the same examiners are to be used in the event of a resubmission.
Providers establish processes to handle cases where examiners cannot reach a consensus and have
explicit rules on whether the student’s supervisor may be present as an observer, with the research
student’s agreement.
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Reflective questions
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Writing group
Claire Fraser
Senior Policy Advisor Research England
Mark Garnett
Principal Registry Officer - Research Coventry University
Dr Richard Harrison
Head of Learning and Teaching Development University of Newcastle Upon Tyne
Lucy Heming
Senior Assistant Registrar Imperial College London
Laura Porter
Deputy Head of Quality Bath Spa University
Pearl Slater
Quality Assurance Manager University of Buckingham
Dr Andy Smith
Standards and Frameworks Manager QAA
Dr Sara Spencer
Head of Research Degrees Open University
Charlotte Williams
PGR Programme and Provision Team Leader University of Sheffield
November 2018
© The Quality Assurance Agency for Higher Education. This material and its content is published
by QAA (registered charity numbers 1062746 and SC037786) on behalf of the UK Standing Committee
for Quality Assessment, in consultation with the higher education sector.
www.qaa.ac.uk/quality-code
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