Research

Degrees
Quality
Code
 Table Of Content
1 Introduction
2 Admissions & Induction 2.1 Research Degree Admissions
2.2 Induction
3 Supervision 3.1 Appointment of Supervisors
3.2 Responsibilities of the Main Supervisor
3.3 Responsibilities of the Second Supervisor
3.4 Responsibilities of the Postgraduate Researcher
3.5 Research Postgraduate Leads
Progress &
4 Review 4.1 Thesis monitoring committees
4.2 Upgrade review
4.3 Annual progress review
4.4 Termination of Studies
Research & Skills
5 Training and 5.1 Research Methods Training
Employability
5.2 Transferable Skills Training
5.3 Employability & Career Planning
5.4 Teaching and Other Work By PGRs
Submission &
6 Examination 6.1.1 Submission Timetable
6.1.2 PGR Completion Panel
6.2 Submission of the Thesis for Examination
Examining Committees: Composition, Roles &
6.3 Responsibilities
6.3.1 The Examination Committee
6.3.2 The Convener
6.3.3 Internal Examiners
6.3.4 External Examiners
6.3.5 Supervisors
6.4 The Viva Voce Examination
6.4.1 Before the Examination
6.4.2 Range of Outcomes from the Examination
6.4.3 After the Examination
6.4.4 Online Viva Examinations
6.5 Resubmissions
6.6 Disagreement of examiners
6.7 Appeals
6.8 Thesis Deposition
Quality &
7 Governance 7.1 Academic Standards & Quality
7.2 Evaluation
7.3 PGR Representation
7.4 PGR Complaints
7.5 Research Ethics and Conflicts of Interest
7.6 Academic Misconduct
Appendix 1 Supervisor Accreditation Criteria
Appendix 2 UoD Supervisory Expectations Agreement
 Welcome to the Research
Degree Quality Code

If you are here, you are most likely different from being a member of
looking for answers to a specific staff.
question regarding Postgraduate
Research at the University of Although regulations are static in
Dundee in terms of rules and regu- the sense that at any given time
lations. only one set of rules apply, this
code also undergoes regular
This code is not the only place to updates which aim at expressing
look for answers, there are other best practice in the terminology
codes and policies to consult, but it and format of a quality code. It is,
is the most important one, as it sets therefore, important that you
out the basic expectations for always check that you are working
everyone involved in Postgraduate with the most up-to-date version of
Michael Gratzke Research as a postgraduate this document.
Chair, Postgraduate Research Sub- researcher or as a supervisor. PGR
Committee
Director, Doctoral Academy officers and support staff will find In case you have any questions or
this document helpful as well. suggestions regarding this docu-
Old Technical Institute ment please contact the Doctoral
Postgraduate Researchers are Academy via email.
referred to in this code and in many
dundee.ac.uk/doctoral-academy
other regulations as ‘research
students’ to keep the regulatory Best wishes,
doctoralacademy@dundee.ac.uk link with overarching rules and Professor Michael Gratzke
regulations pertaining to being a
student which is fundamentally

Doctoral Academy

By providing strategic leadership and support to

The Doctoral Academy works in partnership with schools and central services in our collective
Schools, Professional Services, and Dundee efforts, the Doctoral Academy seeks to improve
University Students’ Association (DUSA) to postgraduate researcher (PGR) recruitment, to
provide equity of experience for postgraduate create an excellent PGR experience, and to offer
researchers across the University and ensure you outstanding skills training and personal
thrive during your time with us. development to our PGRs and their supervisors.

01
 Chapter 1
Introduction
This Code sets out the University of Dundee’s standards addition to the traditional PhD including research
and requirements for the quality of research degree provi- masters degrees and professional doctorates. Each will
sion – including academic standards, support standards have its own degree regulations that specify elements in
and mandatory procedures on monitoring, training, the programme that differ from the traditional PhD –
supervision, assessment and examination. apart from these elements any reference to PhD in this
code can be taken to refer to all research degrees
Among its purposes are: (i) to help clarify correct proce- (including the Professional Doctorate) offered by the
dures at the various milestones of the research degree, (ii) University.
to help Schools quality assure each aspect of their
research degrees, and (iii) to inform enhancement and This Code is intended to meet the expectations of the
improvement activities across the University. Quality Assurance Agency’s UK Quality Code (Research
Degrees). It explains the University’s policies, processes
This Code complements existing regulations and guid- and practices in accordance with the Guiding Principles
ance and should be used in conjunction with the applica- below.
ble degree regulations and in the context of the Universi-
ty’s Quality Framework. Each Chapter refers to the relevant Guiding Principles
(GP) and a high-level mapping between this Code and
Sources of further information, help and advice appear at the QAA UK Quality Code is provided in Appendix 3
the end of each section. below.
The University offers a number of research degrees in

Guiding Principles
Provision of information is clear and Postgraduate researchers are afforded
1 accessible to postgraduate researchers
and staff.
4 opportunities for professional develop-
ment.

2 5
The research environment is supportive Progression monitoring is clearly defined
and inclusive for all postgraduate and operated.
researchers.

Clear guidance and processes on

3 Research Degree Supervisors are appro-
priately skilled and supported. 6 assessment for research degrees is pro-
vided.

02
 Chapter 2
Admissions & Induction
GP 1. Provision of information is clear/accessible to postgraduate researcher & staff

2.1 Research Degree Admissions

Research Degree admissions fall within the scope of the developed research proposal must be agreed between the
University's Fair Admissions Policy. Postgraduate Researcher and the School to allow for
informed decisions to be made at the appropriate time.
Most applications can be made on-line through the Where flexibility is required or desirable in the initial
University’s Direct Application System although Schools stages of study then offers for admission can be made on
may require applicants to make an initial application this basis - so long as it is clear to the Postgraduate
directly to the School - when recruiting to funded Researcher when and how a final choice of topic is to be
studentships, for example. made.

The normal entry requirement for a research degree is a The rejection of applicants must be based on clear and
2:1 honours degree or equivalent and/or a relevant objective grounds, handled with sensitivity and should
master's degree or equivalent. Schools may also admit ideally include constructive feedback to the applicant,
Postgraduate Researchers on the basis of experiential or although the volume of applications in some areas may
other learning (APEL or APL). The normal entry require- preclude this.
ments for each School must be published and made
available to potential applicants (in the University's All courses at the University of Dundee are taught in
on-line prospectus, for example). English and all applicants who are non-native speakers of
English must be able to provide certificated evidence of
Admission procedures may also include a formal or English language skills - the normal minimum entry level
informal interview, qualifying examination or a require- of English is 6.5 at IELTS or equivalent although Schools
ment to undertake preparatory research training or may set entry levels higher than this for particular disci-
English language courses. Admissions decisions will plines. Postgraduate Researchers who require a Visa for
typically need to take account of the following: study in the UK must provide evidence of English
language skills to the minimum level to satisfy UK immi-
• The applicant’s academic history and qualifications. gration regulations.
• The scope and potential of the proposed research
project. The decision to admit is taken by the Dean on behalf of
• he availability of academic expertise and the School Board on the advice of relevant tutors, supervi-
supervision. sors and programme leaders. Some Schools may require
• The availability of resources and equipment to the decision to be approved by a separate committee
support the project. before formal endorsement by the Dean.

The choice of research topics for applicants is likely to The formal offer of admission to a candidate must include
be constrained by the availability of relevant academic all relevant details of the proposed course of study
expertise within the School and in some cases by the including duration and fees payable and must indicate
nature of studentships being offered. A reasonably clearly any conditions attached to the offer.

03
 access to similar levels of support and supervision as
The University will consider applications from candidates on-campus Postgraduate Researchers. All collaborative
who wish to study at a distance, possibly in collaboration provision is subject to University's quality assurance
with other institutions, on a case-by-case basis. Admis- procedures.
sion will only be offered on this basis if the University is
satisfied that the Postgraduate Researcher will have

2.2 Induction
Each School must organise an induction event or Each School must produce dedicated information for new
programme of events for new Postgraduate Research- Postgraduate Researchers, which must include reference
ers. The University has up to three standard start dates to this Code and relevant University's policies and proce-
for new Postgraduate Researchers each year. There are dures - including health and safety and equality and
University-level welcome events and new PGRs should diversity.
be encouraged to read the guidance on starting a
research degree published as part of Postgraduate Each School must ensure that contact between new
Research Essentials. Postgraduate Researchers and their supervisors is made
as soon as possible after matriculation.
Welcome events must be clearly advertised by Schools
and Central Services. Non-standard start dates can be Each School should consider allocating a senior Postgrad-
approved by the School's PGR Lead for good reasons uate Researcher to each new entrant - to act as an infor-
such as the seasonality of certain research topics and mal contact/mentor within the School for the initial period
external funding starting at a specific date. of induction and orientation.

Supervisors and PGR leads must ensure that any new New Postgraduate Researchers should be encouraged to
Postgraduate Researcher who starts at a non- standard attend any relevant University,DUSA or student society
start date is provided with an effective welcome and induction event.
induction to the School and University. The School must
keep a record of when its new Postgraduate Researcher Student Services must inform all new Postgraduate
participate in welcome & induction activities. Researchers of the requirement to matriculate in person
(or online in exceptional circumstances), with documenta-
New Postgraduate Researchers must be fully briefed ry evidence of identity, funding and (if applicable) immi-
on: the responsibilities of supervisors and the expecta- gration status. School induction programmes must be
tions of Postgraduate Researchers, the research and arranged so as to allow for matriculation at the correct
generic skills training available, research integrity/eth- time and location.
ics, library, IT and student support resources, teach-
ing/demonstrating opportunities, and the research
degree upgrade and thesis monitoring arrangements.

All Postgraduate Researchers must be made aware of

the function of the Thesis Monitoring Committee and
informed of all criteria of the Upgrade Review. PGRs
must also be told how they can raise any issue concern-
ing Thesis Monitoring and its effective operation with
the Programme Leader or equivalent in the School.

04
 Chapter 3
Supervision
GP 2. The research environment is supportive and inclusive for all research students.
GP 3. Supervisors are appropriately skilled and supported.

3.1 Appointment of Supervisors

THE SUPERVISORY TEAM tional and Professional Development (OPD).

Each Postgraduate Researcher must have (at least)
two supervisors: (at least) one main supervisor All supervisors are expected to have completed the
and a second supervisor. University’s Research Integrity Training.

Supervisors are appointed by Deans, subject to confir- JOINT SUPERVISION/ CO-SUPERVISION

mation by School Board. Postgraduate Researchers may be assigned more than
one main supervisor (joint or co- supervision), especially
In appointing supervisors Deans must ensure that the in cases where more than one School is supporting the
University and School criteria for the appointment of research project.
supervisors are met and that no member of staff acts
as the main supervisor for more than six full-time In all cases of joint supervision across Schools or disci-
students or equivalent at any one time. plines the percentage split of duties between the
supervisors must be agreed and recorded on an annual
Main and Second supervisors must meet the School basis and made clear to the student concerned (see also
criteria for accredited supervisor status. Postgraduate Appendix 2 on Supervisor Expectations Agreement).
Researchers might also be allocated associate supervi-
sors who are under mentoring by a fully accredited EXTERNAL EXPERT SUPERVISORS
supervisor. On very rare occasions it may be necessary to appoint
an external expert from outside of the academic
Only those who hold a remunerated or honorary Schools of the University to act as a supervisor. Deans
appointment at lecturer level or above in the University have the authority to make such appointments but must
may be appointed as supervisors and at least one of ensure that external experts are suitably qualified.
the main supervisors must be a full member of Univer-
sity staff. Schools are responsible for all related contractual and
remuneration matters.
ACCREDITATION
Each School must agree and publish clear criteria for
the accreditation of supervisors. The University’s model
set of criteria is included in Appendix 1 of this Code.
The criteria must include a requirement to engage with
the University’s professional development and training
for research supervisors provided through Organisa-

05
3.2 Responsibilities of Main
Superviosrs
Main supervisors are responsible, in consultation with (f) requesting written work as appropriate, and returning
second supervisors, for such work with constructive feedback in good time;

(a) giving guidance about: (g) coordinating the Upgrade Review at the end of the
first year of study and the subsequent Annual Progress
• the nature of research Reviews;
• the standard expected
• the planning of the research programme (h) working alongside Doctoral Academy, OPD, ASC and
• requisite research methods LLC staff to support Postgraduate Researchers in their
• relevant regulations governing research at the transferable skills training;
University (e.g., research ethics, health and safety)
• appropriate publication practice and research data (i) ensuring that the Postgraduate Researcher has
management; opportunities to present their work in local seminars and
meets with the thesis monitoring committee as required;
(b) making clear to Postgraduate Researchers that, while
the course of study for that degree constitutes training in (j) ensuring that the Postgraduate Researcher is made
research methods, the degree is awarded only for aware of inadequacy of progress or of standards of work
original work; below those generally expected and arranging any
supportive or ameliorative action necessary;
(c) meeting (online or in person) with full-time Postgradu-
ate Researchers at least fortnightly during the first three (k) ensuring, within the limits of available resources, that
months of the research degree programme or project. the School provides adequate accommodation and
Thereafter meetings must take place at least monthly. equipment for the Postgraduate Researcher;
Supervisory meetings may be taken by the main supervi-
sor alone. The minimum attendance for second and third (l) ensuring that a completed 'intention to submit' pro
supervisors is once in a semester. Meetings with part- forma is submitted to the Registry at least three months
time Postgraduate Researchers must take place at least before the planned date of the Postgraduate Research-
monthly during the first three months and at two-month- er’s viva voce examination; and
ly intervals thereafter;
(m) making use of relevant staff development and quality
(d) making a note of the details of all formal meetings enhancement opportunities as an integral part of their
with Postgraduate Researchers including substantive duties as a supervisor.
outcomes of all scheduled supervision meetings or
ensuring that a record of outcomes is compiled by the
Postgraduate Researcher and countersigned by the
supervisor.

(e) giving specific advice on the necessary rates of

progress of successive stages of the work so that the
whole may be submitted within the scheduled time;

06
3.3 Responsibilities of Second
Supervisors
Second supervisors are expected to take an active Agreement).
interest in the Postgraduate Researcher’s progress, and Where the main supervisor becomes unavailable for
to provide additional support whenever this is required. whatever reason, or leaves the University, the second
supervisor is expected to act in their place until such
The role of the second supervisor may, in addition, time as a new main supervisor is appointed.
include any of the responsibilities of the main supervisor,
but where the second supervisor takes on any of the These are minimum requirements and it is open to
main supervisor’s responsibilities this must be clearly Schools to further specify the role and responsibilities of
recorded (see also Appendix 2 Supervisory Expectations second supervisors.

3.4 Responsibilities of
postgradute researchers
The responsibilities of Postgraduate Researchers
include but are not confined to: (g) taking the initiative in raising problems or difficulties,
however elementary they may seem with their supervi-
(a) accepting ultimate responsibility for their own sors or the School’s PGR Lead;
academic work, the development of their own original
research and their own progress towards submission for (h) maintaining progress on their research in accordance
the degree; with the timetable agreed with their supervisors includ-
ing, in particular, submitting written material where
(b) ensuring that they are familiar with relevant aspects required in sufficient time to allow for comments and
of the University’s regulations, including degree regula- discussion before embarking on the next stage of their
tions, policies on plagiarism and academic dishonesty, research;
research ethics and integrity, health and safety;
(i) keeping a record of meetings with their supervisors,
(c) participating in relevant training programmes, which should include a note of items for action;
including research integrity training;
(j) providing as required, brief formal reports to the Thesis
(d) undertaking two weeks of transferable skills training Monitoring Committee, with the assistance of their
per year. (Postgraduate Researchers are strongly research supervisors;
advised to discuss their workshop choices with their
supervisors); (k) deciding when they wish to submit their thesis for
examination, taking account of the views of their supervi-
(e) agreeing a schedule of meetings (at least monthly for sors (which are advisory only); and
full time Postgraduate Researchers) with their supervi-
sors and attending those meetings (on-line or in person); (i) completing, in agreement with their supervisor, the
Thesis Deposit Agreement and archiving in Discovery the
(f) discussing with their supervisors the type of guid- final examined copy of their thesis.
ance and comment they find most helpful;

07
3.5 Research Postgraduate Lead

Schools must appoint a research postgraduate lead, coordi- submit and final submission. The full range of duties will vary
nator or equivalent contact to whom Postgraduate from School to School but must be complementary to
Researchers can turn for advice and information on any existing supervision and thesis monitoring arrangements. A
aspect of the research degree programme, including list of advisers will be maintained and published centrally for
supervision, thesis monitoring, upgrade review, intention to reference.

Chapter 3 links for further information

Responsible research - Managing health and safety in research

08
 Chapter 4
Progress and review
GP 5. Progression monitoring is clearly defined and operated

4.1 Thesis Monitoring

Committees
All Schools must establish a Thesis Monitoring Committee Researcher’s supervisor. At least one member of the
(or Committees). The main purpose of the Committee is Committee must have accredited supervisor status.
to provide an independent assessment of the progress of
Postgraduate Researchers and the quality of their The Committee need not contain a member of academic
research supervision. Where the requirements of supervi- staff with expertise in the Postgraduate Researcher’s
sion and thesis monitoring exceed the capacity of a specific field of research, since the committee's role is
discipline or unit, thesis monitoring must be carried out at primarily concerned with progress issues and whether
School level. the PGR-Supervisor relationship is operating successfully.

Meetings of the Committee also provide an opportunity Colleagues from other Schools may be appointed to
for Postgraduate Researchers to draw attention to any TMCs at the discretion of the Dean, provided they have
difficulties that may have arisen in the PGR-Supervisor expertise relevant to the Postgraduate Researcher’s field
relationship. of research.

Thesis Monitoring Committee meeting may be held The Committee composition should allow for continuity
on-line or in person at the discretion of the Committee. of support and not constituted in an entirely ad hoc way.

POWERS OF THESIS MONITORING COMMITTEES MONITORING OF INDIVIDUAL POSTGRADUATE

Thesis Monitoring Committees are responsible for (i) RESEARCHERS’ PROGRESS
providing an assessment of the Postgraduate Research- The Committee must consider the progress of full-time
er’s progress and their readiness for Upgrade Review; and Postgraduate Researchers at least twice a year and the
for (ii)providing an assessment of the Postgraduate progress of part-time Postgraduate Researchers at least
Researcher’s supervision arrangements. once a year –although Schools are encouraged to sched-
uled additional meetings as required.
In exceptional circumstances a Thesis Monitoring Com-
mittee might also recommend changes to supervision Individual Postgraduate Researchers’ progress must
arrangements; changes to the research project and/or continue to be monitored until the Postgraduate
research methodology; downgrade the Postgraduate Researcher has submitted their thesis. (See also Section
Researcher’s registration (i.e., from PhD to MPhil); to 6.1.2 PGR Completion Panel)
terminate the Postgraduate Researcher’s studies.
ATTENDANCE OF SUPERVISORS
COMPOSITION The Postgraduate Researcher’s supervisors would not
The Committee must consist of at least two members of normally attend the meetings between the Postgraduate
academic staff other than the Postgraduate Researcher and the committee, but the main supervi-

09
sor(s) may attend if required, entirely at the committee’s any advice or recommendations made (in confidence or
discretion. otherwise) to the Postgraduate Researcher or supervisors.

RECORD OF MEETINGS
The School must maintain a record of meetings of the
Committee – including a note of agreed actions points and

4.2 Upgrade Review

CONFIRMATION OF REGISTRATION FOR A RESEARCH Individual Schools may set additional criteria so long as
DEGREE: UPGRADE REVIEW Postgraduate Researchers are informed about all the
Postgraduate Researchers wishing to undertake research criteria in place when they start their studies.
at the University are admitted in the first instance as
'research students'. In order to be admitted formally for Where satisfactory progress has not been made, the main
candidacy to a named degree, Postgraduate Researchers supervisor(s) can recommend that the Upgrade be delayed
must undergo an Upgrade Review at the end of the first for a specified period, or that the Postgraduate Research-
year of study (or equivalent for PT students or students ers be registered for a lower award than originally intend-
taking a 4-year PhD Programme). Postgraduate Research- ed, or, where progress is particularly unsatisfactory, that
ers must fulfil minimum criteria in order to pass the the Postgraduate Researcher’s registration be terminated.
Upgrade Review. Decisions made by the School on the upgrade of research
students to degree candidates may be subject to appeal
These minimum criteria comprise: either a substantial under the Postgraduate Appeals Procedure (see Section
written report or relevant body of work by the Postgradu- 6.7).
ate Researchers: a presentation by the Postgraduate
Researchers at an appropriate forum of peers; and a A full minute of the Committee’s meetings must be kept
recommendation from the Dean of School and/or theThe- and must also be submitted to School Board if termination
sis Monitoring Committee, as well as from the Postgradu- of studies is recommended.
ate Researcher’s main supervisor(s) that they allowed to
progress.

4.3 Annual Progress Review

Each Postgraduate Researcher must re-matriculate at the Postgraduate Researcher each year.
start of each academic year using the eVision on-line
system. The matriculation process will be enabled for each Schools are expected to define their own criteria for
Postgraduate Researcher only when satisfactory progress pass-proceed at the annual progress review prior to
is reported by the School - on a broadly defined pass-pro- re-matriculation. The criteria could make reference to
ceed basis. Schools must arrange meetings of Thesis levels of attendance, participation in discipline specific
Monitoring Committees in good time to allow pass- research events or seminars, experimental, practical or
proceed progression information to be confirmed for each data gathering work, written work or any other academic

10
work needed to demonstrate project progress and concluded, or written work submitted for review etc.) in
engagement with the research degree programme. accordance with an agreed timetable or

Where a Postgraduate Researcher’s progress is such that (ii) that the Postgraduate Researcher’s studies should be
the Thesis Monitoring Committee and /or the main terminated due to unsatisfactory progress or failure to
supervisor(s) have doubts about the Postgraduate meet previously agreed conditions.
Researcher’s ability to complete the degree the matter
must be reported to the Dean, together with a recommen- Postgraduate Researchers are able to appeal against a
dation that either: School’s decisions on their unsatisfactory progress under
the Postgraduate Appeals Procedure.
(i) the Postgraduate Researcher be allowed to proceed to
the next year of study subject to certain conditions being
satisfied (for example: certain experimental work being

4.4 Termination of studies

4.4.1 A Postgraduate Researcher’s studies may be
terminated under one or more of the following circum- 4.4.4 If, in the opinion of the supervisory team, the
stances: Postgraduate Researcher has not rectified the situation
by the deadline specified in the Liable for Termination
i. unsatisfactory progress or failure to meet previous notification then the Postgraduate Researcher’s studies
agreed conditions for continued studies; will be terminated on the date specified.
ii. sustained lack of engagement with supervisors or
thesis monitoring arrangements; 4.4.5 Each Termination of Studies action will be
iii. failure to meet mandatory attendance requirements reviewed by the Dean and reported to School Board.
made clear in studentship terms and conditions.
iv. for Tier 4 Visa students, a failure to meet minimum 4.4.6 If a Postgraduate Researcher seeks to voluntarily
attendance monitoring requirements defined by UK withdraw from their studies and a Liable for Termination
Visa & Immigration regulations. notification has not been issued then the Termination of
Studies procedure will not apply. The withdrawal date
4.4.2 If a Postgraduate Researcher becomes liable for should be negotiated by the Postgraduate Researcher
termination of studies under 4.4.1 then the School must and their supervisors and only applied upon confirma-
issue a formal Liable for Termination notification. The tion from the School’s PGR Lead.
notification must specify the reasons for termination and
allow the Postgraduate Researcher at least 1 month to 4.4.7 Postgraduate Researchers are able to appeal
take steps to rectify the situation in consultation with their against termination of studies under the Postgraduate
supervisory team. Appeals Procedure.

Chapter 4 links for further information

Upgrade Review Flowchart (PDF)

11
 Chapter 5
Research, Skills Training
and Employability
GP 2. Research environment is supportive & inclusive for all postgraduate researchers
GP 4. Postgraduate researchers are afforded professional development opportunities

5.1 Research Methods Training

All Postgraduate Researchers must have reasonable research methods module. Other disciplines might provide
access to research, professional and transferable skills practical training in the experimental stage of the project.
training as an integral part of their research degree
programme. In planning a research student’s formal training, the
requirements of external funders and sponsors should be
Every Postgraduate Researcher must discuss their considered.
training and development needs with their supervisors
and the Thesis Monitoring Committee at least once every Some disciplines may require successful completion of a
academic year. Every Postgraduate Researcher should taught research-training focused masters degree either
be encouraged to identify any need for formal research before admission to a doctoral degree programme or as
methods training in order to successfully carry out their part of an integrated 1+3 programme.
research project. In some disciplines it might be possible
for Postgraduate Researcher to audit an existing

5.2 Transferable Skills Training

5.2.1 Organisational and Professional Development 5.2.2 In addition, all Postgraduate Researchers are
(OPD) is a resource developed to help Postgraduate required to undertake Equality, Diversity and Inclusion and
Researchers become more effective, efficient and relevant research ethics and integrity training appropriate
confident as professionals and hence achieve key to their discipline.
competencies for professional career development.
5.2.3 Opportunities to support effective transition into,
OPD provides a dedicated programme of workshops for through, and out of study areprovided by Academic Skills
Postgraduate Researchers that are aligned with the Centre throughout the postgraduate journey (see
Researcher Development Framework (RDF). These dundee.ac.uk/academic-skills/).
workshops are free of charge to Postgraduate
Research-ers who are strongly encouraged to take 5.2.4 The Doctoral Academy provides support through-
advantage of the opportunities on offer. Places on out the entire PGR experience, including opportunities,
courses can be booked directly from the OPD website training and resources covering researcher development,
dundee.ac.uk/opd/coursebookings. research integrity and public engagement. This activity
encompasses the mental health and well-being of post-
All Postgraduate Researchers are required to undertake graduate researchers and is aimed at fostering a sense of
the equivalent of two weeks transferable skills training community and inclusivity.
each year (inclusive of School based activities, confer-
ences etc).

12
5.3 Employability and career
planning
All Postgraduate Researchers have access to the Universi- Researcher Development Framework (RDF) provided by
ty’s Career Service who can assist with all aspects of career Vitae as part of their work to support the professional
planning. and career development of Postgraduate Researchers
Postgraduate Researchers should also be directed to the in the UK.

5.4 Teaching and other work by

PGRs
5.4.1 PGRs have a responsibility to ensure that successful they undertake a minimum amount of clinical or
progression of their research degree is not prejudiced by professional work to comply with the requirements of
them taking on other significant commitments and must the relevant professional, statutory or regulatory
aim for a balance between employment and their research body.
degree studies.
5.4.8 Completion of the Learning to Teach in Higher
5.4.2 Supervisors and other academic colleagues should Education course is a mandatory requirement for all
not delegate work to a PGR without due attention to the PGRs who teach at the University. It consists of four
requirements of that particular PGR's research project. two-hour workshops and a peer observation exercise.

5.4.3 As part of standard teaching duties PGRs may be 5.4.9 PGRs should disclose to their supervisors all
involved in assessing formative or tutorial work of UG or paid work, whether by employment, casual work (in
PGT students but are not expected to act as Examiners as excess of 6 hours per week) or by personal consultan-
defined in University Ordinance 39. cy, which they propose to undertake, before doing so.
This information should be recorded as part of the
5.4.4 The terms and conditions of any visa, studentship or normal process of recording supervision meetings.
award, grant, loan or funding etc. should be checked and
complied with as these may restrict the hours and/or 5.4.10 It is expected that the issue of work undertaken
earnings of a PGR or apply other conditions. by a PGR will be dealt with under the usual supervi-
sion arrangements. In the event of a dispute, however,
International PGRs on a tier 4 visa are restricted to 20 resolution will be found outside the supervisory
hours maximum working per week. This applies whether relationship, including possible referral to the relevant
they are working for the University, or anywhere else. Thesis Monitoring Committee.

5.4.6 Six hours per week is considered a reasonable,

normal maximum for work by PGRs for the University,
additional to their research degree studies. This is in line
with guidance published by UKRI for full-time student-
ships.

5.4.7 PGRs wishing to gain (or retain) professional accredi-

tation or recognition may need to meet a requirement that

13
Chapter 5 links for further information
The ESRC funded National Centre for Research Methods (NCRM) provides training that is open to all UK
PhD students in the social sciences: ncrm.ac.uk/training/

My Dundee (for access to the PDP tool): my.dundee.ac.uk/ultra/institution-page

Vitae (for access to the RDF): vitae.ac.uk/researchers-professional-development/about-the-vi-

tae-researcher-development-framework

University Careers Service: dundee.ac.uk/careers/

14
 Chapter 6
Submission and
examination
GP 6. Providers offer clear guidance and processes on assessment for research degrees

6.1.1 Submission Timetable

The normal period of postgraduate research or course of course shall remain that of the former course.
study, calculated by reference to the number of consecutive
years from first registration to submission of thesis or Schools should encourage full-time PhD candidates to
dissertation, is as follows: plan to submit at the end of three years, although four
years is the permitted maximum.
Normal PhD MD MPhil
Postgraduate Researchers will be liable for a Continua-
Full time 3 Years 2 Years 2 Years
tion Fee (in addition to a Matriculation Fee) if they do
Part time 5 Years 3 Years 4 Years not submit at the end of the normal period of study for
Combination the degree.
FT/PT 4 Years N/A 3 Years

4 Years
4 Year PhD
(FT Only) Schools must provide Postgraduate Researchers with
information on how and when they can apply for
Subject to the terms of the Degree Regulations, the maxi- temporary breaks in study, extensions or discounts of
mum period of postgraduate research or course of study, time (based on health or personal circumstances) and
calculated by reference to the number of consecutive years how the School monitors attendance and sickness
from first registration to submission of thesis or dissertation, absence.
is as follows:
Postgraduate Researchers are entitled to a minimum
Maximum PhD MD MPhil
period of annual leave (in line with statutory leave
Full time 4 Years 3 Years 3 Years entitlement for full-time employees) of 28 days includ-
ing public holidays, following consultation with their
Part time 6 Years 4 Years 4 Years supervisors.
Combination 4 Years N/A 5 Years
FT/PT
Postgraduate Researchers are also entitled to other
4 Year PhD 5 Years
(FT Only) types of leave broadly in line with the provision (statu-
tory or contractual) for University employees – however
However, a full-time candidate who is permitted to transfer the terms of some externally funded studentships
to part-time study within one year or less from the end of the might limit or vary the payment of stipend during such
period prescribed for full-time study is required to complete leave.
their work for the degree within that period.
The University is in the process of agreeing a PGR
The maximum period of study of a candidate who is required Parental Leave Policy which will be made available as
or permitted to transfer from a course of study or research an appendix to this Code in due course.
for the degree of Doctor of Philosophy to a master's degree

15
6.1.2 PGR Completion Panel
The University has established a PGR Completion Panel to and makes reports and recommendations to the Doctor-
advise Schools on complex individual PGR Progression al Academy Board.
Issues. The Panel meets on a regular basis to consider Further information on the Panel including meeting
cases referred by School PGR Leads. The Panel also dates and referral processes can be obtained from the
monitors progression, submission and completion rates Doctoral Academy doctoralacademy@dundee.ac.uk

6.2 Submission of the thesis for

examination
6.2.1 Postgraduate Researchers are required to submit addition to the electronic version one loose-bound
their thesis for examination in electronic format (normally a copy of their thesis for examination. This copy must be
PDF document) to Registry and to the Convener of the submitted by hand to Registry who will record the date
Examining Committee (or another member of staff nomi- of submission and send the thesis to the External
nated by the School). Examiner. Submission of hard copy theses via the
internal mail system is not possible.
6.2.2 Registry will record the date of submission and
forward the thesis to the External Examiner. 6.2.4.2 If the request is made by the Convener of the
Examining Committee and/or the Internal Examiner,
6.2.3 The Convener of the Examining Committee will then the Postgraduate Researcher should pass by hand
ensure that the Internal Examiner(s) receive a copy of the as requested one or two loose-bound hard copies of
thesis as soon as possible after submission. their thesis to the Convener of the Examining Commit-
tee.
6.2.4 Hard copies of theses may be requested by
examiners beforehand should they be unable to work 6.2.5 Postgraduate Researchers must be reminded
easily with large electronic files. that the examining process maybe delayed if they have
any outstanding debt to the University at the time of
6.2.4.1 In case such a request is made by the External submission of the thesis.
Examiner, the Postgraduate Researcher should prepare in

6.3 Examining committes:

composition, roles & responsibility
The Main Supervisor is responsible for ensuring that a the examining committee of the thesis and to allow the
completed Intention to Submit pro forma, including the Convener of the Examination Committee to make
Thesis Deposit Agreement, is completed and submitted via arrangements in good time.
the Dean (and/or any other School committee as neces-
sary) to the Registry at least three months before the The composition of the Committee is approved by the
planned date of the viva voce examination. The purpose of Dean (or by a Higher Degrees Committee) on behalf of
this pro forma, which the Postgraduate Researcher must the School Board using the Intention to Submit Form.
countersign, is to establish the proposed composition of

16
6.3.1 The examination committee

Examining committees should normally consist of three

members: a Convener, an internal examiner and an external
examiner.

6.3.2 The convener

The Convener of the Examining Committee is responsible for The Convener generally does not take an active role in
making all the necessary arrangements for the Examination the questioning and examination of the student, but as
and has the authority to take all decisions regarding the a member of the examining committee is nevertheless
Examination so as to ensure both the highest academic entitled to do so.The Convener must normally have
standards and demonstrable fairness to the Postgraduate served as an examiner on an examining committee on
Researcher being examined. at least one previous occasion.

6.3 Examining committes:

composition, roles & responsibility
The internal members of the examining committee must be sition of the ExaminingCommittee on behalf of the
at least of lecturer or honorary lecturer status in the Universi- School Board.
ty.
Deans must ensure that the Internal Examiner possess-
Retired members of staff are not normally eligible to act on es a sufficiently scholarly status in the given subject
examining committees, whether as convener, internal or area. The status of prospective external examiners
external examiner. should likewise be carefully considered before they are
approached; external examiners must be experts in the
The Dean of School is responsible for approving the compo- field.

6.3 Examining committes:

composition, roles & responsibility
An informal approach to potential External Examiners can be ic staff of the University (but to the exclusion of
made by the Main Supervisor or by other University staff as research assistants and research fellows on short-term
appropriate, but Postgraduate Researchers should not be contracts) two external examiners must be appointed.
asked to contact potential examiners. Postgraduate Researchers with teaching, tutoring or
demonstrating duties ancillary to their studies are not
When the Postgraduate Researcher is a member of academ- required to have two external examiners. In cases where

17
two external examiners are appointed there is no require- expert knowledge and experience and their famil-
ment to appoint an additional examiner. iarity with the academic and professional standards
underpinning research at the required level. There
The external examiner(s) must be provided with a state- is no general requirement for examiners to be
ment of what the University believes is appropriate for the currently employed in any particular sector or at
award of a higher degree by research. any particular grade. The suitability for appoint-
ment as an examiner should be made on a
A former member of staff of the University will not be case-by-case basis taking into account the nature
eligible for appointment as an external examiner within the and subject matter of the research thesis to be
first five years of leaving the University. examined.

External Examiners should be selected on the basis of their

6.3.5 The supervisors

The Supervisors may not be members of the examining The Supervisors may attend the viva voce as observ-
committee and may take no part in the examination ers with the permission of the Examination Commit-
process. tee and with the agreement of the degree candidate.

6.4 The viva voce examination

The University's research degree regulations require that a. explanation of the structure of the thesis;
each Postgraduate Researcher must submit to a viva voce b. justification for the inclusion or exclusion of
examination and that this requirement shall only be material;
waived in special circumstances with the express approv- c. explanation for and justification of the use of
al of the appropriate School Board. In this context “special” particular research methods and techniques;
circumstance does not include the examiners regarding d. defence of the originality of the thesis;
the thesis as being unequivocally acceptable. e. (clarification of any points of ambiguity within the
thesis;
The viva voce examination is part of the examination for a f. justification for the conceptual approach taken in
postgraduate research degree but not the whole of it; the the thesis;
remainder being mature reflection upon the thesis itself by g. the depth of knowledge of the contextual back-
the examiners over the period of time from its submission. ground to the subject of the thesis.

The aim of the viva voce examination is to provide an

opportunity for the examiners to question the degree
candidate on aspects of the thesis. It should be designed
to elicit information on any or all of the following issues:

18
6.4.1 Before the examination
PRELIMINARY EXAMINERS REPORTS • additional requirements of the relevant School;
Both the internal and the external examiners are required • ensuring that the viva voce examination takes
to submit preliminary reports onthe thesis in advance of place within three months of the date of submis-
the oral examination. These are submitted directly to the sion wherever possible;
Convener. The examiners should not confer or communi- • informing the Postgraduate Researcher of the
cate on the merits of the thesis before the submission of arrangements with generally at least fourweeks'
their preliminary reports. It is the Convener's role to ensure notice;
that differences of opinion are discussed and resolved • receiving preliminary reports from both the
satisfactorily at or immediately following the examination internal and external examiners before theviva
of the Postgraduate Researcher. voce examination, and ensuring that issues
raised in these reports are satisfactorily
Prior to the viva voce examination, the Convener is respon- addressed during the viva voce examination;
sible for: • agreeing the structure of the examination with
• informing the Postgraduate Researcher of the mem- the other members of the committee,ensuring
bership of the examining committee; that all concerns raised by the examiners will be
• making sure that the student is aware of the agreed addressed.
format of the Thesis for examination purposes;
• making all practical arrangements for the viva voce
examination, including date, time andplace, and any

6.4.2 Range of outcomes of the

examination
The recommendation from an examining committee for a outcomes (timescales are indicative and can be
research degree will be one of thefollowing typical varied at the discretion of the committee):

A1 The Thesis is accepted unconditionally

The Thesis is accepted on the condition that either minor editorial corrections are completed
A2 within one month; Or

A3 minor revisions are completed within two months.

That the thesis is not accepted but that the candidate is given the opportunity to rectify substan-
A4 tial deficiencies during a further period of supervised research and re- submit in a revised form
within a stated period which should not normally exceed 12 months;

A5 The Thesis is not accepted and resubmission is not allowed.

19
6.4.3 After the examination
At the end of the viva the Postgraduate Researcher must
be advised that the decision of the committee will be a. coordinating the preparation of the final examin-
conveyed in writing by the Convener by a specified date or ing committee's report, which is similar in content
the Postgraduate Researcher may be informed orally on to the preliminary reports of the internal and
the day of the viva. external examiners, including the reconciliation
of disagreements amongst members of the
In cases where there are substantial deficiencies in the examining committee;
thesis then it is preferable for the decision to be conveyed b. notifying the degree candidate in writing of any
in writing, along with a written statement, agreed by the required corrections, revisions or other amend-
examiners, comprising the main comments upon which the ments necessary to ensure that the thesis meets
re-submission is to be based. the requirements for the award of the degree;
c. (forwarding the final examining committee's
The deadline for the re-submission of a referred thesis (i.e. recommendation contained in their final report to
revise and re-submit) is calculated from the date that the the Registry who will then arrange for that
candidate receives the written statement from the examin- recommendation to be forwarded to the Senate
ers. via the Examinations Office. The Convener
should at the same time forward the preliminary
In all cases, the Examiners' report proforma containing the reports of both the external and internal examin-
recommendation of the examining committee must be ers to the Registry;
forwarded to the Registry immediately following the viva d. approving all minor corrections/revisions and
voce. certifying that the final thesis satisfies the
requirements of the examiners.
The final examining committee report (not the reports of
individual external examiners) is available to degree Following the Senate's decision on the recommenda-
candidate, on request, in the interests of transparency in tions of the examiners the Postgraduate Researcher
examination procedures. must be notified formally by letter from the Registry.

At the conclusion of the examination procedure, the

Convener is responsible for:

6.5 Re-submissions
In the case of a Postgraduate Researcher required to revise Whilst it is often the case that a viva voce examina-
and re-submit a thesis, the Convener must, upon resubmis- tion is waived for resubmissions, Postgraduate
sion by the Postgraduate Researcher, consult the members Researchers should not be led to expect this and
of the examining committee as to whether there should be should be prepared to submit to a second oral
a second meeting of the committee and whether the examination. In cases where the Examiners are
Postgraduate Researcher is required to submit to a second minded to reject the revised thesis the candidate
viva voce examination. must always be offered the opportunity for a second
viva voce examination.

20
Postgraduate Researchers who are required to (revised from time to time) are available on-line from
resubmit must pay a fee at the time of re- submission the Registry's webpages.
in line with University Ordinance. This fee must be
paid whether or not a second viva voce examination
takes place. Details of the current levels of fees

6.6 Disagreements among

examiniers
Where there is disagreement amongst members of the Thereafter the Senate or Committee of Senate has the
examining committee, the Convener is expected to clarify power to recommend to the Court the appointment of
and, where possible, reconcile those differences. In the a further external examiner or examiners.
exceptional case of irreconcilable disagreement, the
Convener shall submit a report to the Director of the In addition, as the supreme academic body in the
Doctoral Academy who may refer the case to the Senate University, the Senate has the power to make such
(or a Committee of Senate with delegated authority). other decision as it deems appropriate in the particu-
lar circumstances.

6.7 Appeals
Postgraduate Researchers may appeal against the The Regulations relating to the Postgraduate Appeals
decisions of examining committees in accordance with Procedure, including the criteria on which such
the Postgraduate Appeals Procedure. Every appeal must appeals may be based, are available online. Assis-
be in writing and must be lodged with the University tance with the preparation of appeals may be
Secretary within four weeks of the date on which the obtained by consulting DUSA or the Students' Asses-
candidate was informed of the decision against which the sors.
appeal is directed.

6.8 Archiving of final version

Following successful completion of the examination to archiving to allow the Library and Learning Centre
Postgraduate Researchers are required to archive, in (LLC) to confirm any restrictions with the supervisor.
approved format, an electronic copy of their final exam- Supervisors may,at a later date, request a reasonable
ined thesis. The electronic copy must be deposited in the extension to the embargo.
institutional repository Discovery discovery.dundee.ac.uk
and may be embargoed for a default 12-month period. Particular funders (e.g., UKRI) require that the thesis is
made openly available within 12 months. Archiving in
The Thesis Deposit Agreement should be completed prior Discovery satisfies this criteria and will be checked

21
and validated by LLC staff before being made publicly
available. LLC Webpages: dundee.ac.uk/library/research/the-
ses/
On‐line Thesis Deposit Agreement: dundee.ac.uk/li-
brary/research/theses/tda

Section 6 links for further information

Intention to Submit Form available from dundee.ac.uk/registry/research-degrees/

LLC Support for Thesis Deposition - dundee.ac.uk/library/research/theses

Flowchart -: Submission to viva Examination

Flowchart: Viva Examination to Award

Form and Presentation of Theses for Higher Degrees

Guidance on Viva Voce Examinations by Video Link

Postgraduate Appeals Procedure

22
 Chapter 7
Quality and governance
GP 1. Provision of information is clear and accessible to research students and staff
GP 2. The research environment is supportive and inclusive for all research students
GP 6. Providers offer clear guidance and processes on assessment for research degrees

Extract from the PhD Regulations

7.1 Academic standards and The Degree is granted upon the basis of satisfying all
quality of the following characteristic outcomes:

The University of Dundee has fully implemented the • The creation and interpretation of new knowledge
Scottish Credit and Qualification Framework (SCQF) and understanding, through original research, or
for its academic awards and all research degrees are other advanced scholarship, of a quality to satisfy
assessed and approved in the context of regulations peer review, extend the forefront of the disci-
that reflect the framework level descriptors – Level 11 pline,and merit publication.
for research masters degrees (e.g., MPhil, LLM (R), • A systematic acquisition, understanding and
MLitt (R) & MSc(R)) and Level 12 for doctoral degrees. interpretation of a substantial body of knowledge
which is at the forefront of an academic discipline
The PhD Degree regulations reflect the SCQF Level 12 or area of professional practice.
descriptors and all doctoral candidates and superviso- • The general ability to conceptualise, design and
ry team members must be aware of the assessment implement a project for the generation of new
criteria for doctoral research degrees before undertak- knowledge, applications or understanding at the
ing research or supervision. forefront of the discipline.
• An appropriate level of understanding of applica-
ble techniques for research and advanced
academic enquiry.

7.2 Evaluation
The University participates in the national Postgraduate Board will consider the results of this survey annually to
Research Experience Survey (PRES)run by AdvanceHE. All make improvements to postgraduate research
Postgraduate Researchers must be given the opportunity programmes.
to participate in the survey at least once during their
studies. The results of this annual survey will be made available
online for internal use for external information in line with
The purpose of the survey is to gather information on how national guidance issued by AdvanceHE.
well the University performs in relation to the experience
of its Postgraduate Researchers. The Doctoral Academy

23
7.3 Postgraduate researcher
representation
The University works closely with DUSA to enhance • working groups
Postgraduate Researcher representation. Schools must • PGR programme review boards and PSRB accredita-
promote and engage with Postgraduate Researcher tion events
representation, via forums such as:
Schools must encourage Postgraduate Researchers to
• staff-student liaison committees contribute fully to such forums and assist in the training of
• School and University level committees and their representatives where appropriate.

7.4 Student Complaints

The University of Dundee Complaints Handling Procedure will be disadvantaged by complaining. It is anticipated
aims to provide an accessible,quick, straightforward and that no costs will be incurred by students in raising com-
informal method of resolving student complaints, with plaints. Due regard to privacy, confidentiality and the
the option of a more formal, written, procedure in serious interests of any third parties will be borne in mind as
cases after all efforts for local resolution have been tried. appropriate.

If formal resolution is not possible then students have the The Complaints Handling Procedure cannot be used to
right to apply to the Scottish Public Services Ombuds- dispute the outcome of assessments or other processes
man. requiring the legitimate exercise of academic judgement.
Postgraduate Researchers will be directed to the relevant
All University of Dundee Postgraduate Researchers are academic appeals procedure in such cases.
entitled to use the procedure without concern that they

7.5 Research ethics and conflicts

of interest
Ethical conduct in research demands respect for the ramifications of their research and the physiological,
rights of others who are directly or indirectly affected by psychological, social, political, religious, cultural and
the research. Procedures must be in place at the School economic consequences of the work on participants.
level to help Postgraduate Researchers comply with Where the Postgraduate Researcher is not sufficiently
principles of ethical research and all legal requirements informed to make a fair judgment, specialist advice must
associated with a piece of research. be sought.

In general, any research that involves human participa- Occasionally potential conflicts of interest may arise in the
tion should be on the basis of fully-informed consent and management of Postgraduate Researchers; therefore
participants' rights of privacy should be guaranteed. Schools must have in place procedures that allow for
sensitive but robust
Postgraduate Researchers should consider all ethical

24
examination of potential conflicts. Schools must establish staff and Postgraduate Researchers, members of
guidelines on how to resolve potential problems in such staff who undertake research degrees and the
areas as prior or ongoing personal relationships between independence of external examiners.

7.6 Academic misconduct The University recommends that self-check areas are
created where PGRs may run the software on drafts of
The University has clear policies and regulations on their chapters. PGRs should be encouraged to discuss the
academic and research misconduct that apply to Post- software-generated reports with their supervisors. Super-
graduate Researchers: visors may also use the ‘self-check’ area and are encour-
aged to discuss the reports and best research practice
• Code of Practice on Academic Misconduct by with their supervisees.
Students
• Investigating and Resolving Allegations of Miscon- Each School/discipline should routinely screen draft PGR
duct in Research thesis prior to submission of the final version for examina-
• Policy to Govern the Publication of Research tion. It is recommended that criteria for further scrutiny
are established and adhered to which reflect the character
Postgraduate Researchers must be informed that plagia- of PGR theses in the discipline.
rism detection software (e.g., Turnitin) will be used by the
Supervisory Team and by the Examiners, in accordance Reports should be generated by School PGR support and,
with the regulations, to help promote academic integrity. should they meet the criteria, passed to the Thesis Moni-
The University recommends that similarity-detection toring Committee or PGR lead for further scrutiny.
software such as Turnitin is used as a tool to raise aware-
ness around good research practice amongst Postgradu- The Thesis Monitoring Committee will make a decision
ate Researchers and their supervisors. whether to disregard the report or to take action. Actions
may include a conversation with the Postgraduate
PGR’s work can be checked using Turnitin but should not Researcher and their supervisor about best research
be uploaded to the Turnitin database (to help mitigate practice, requests to make (substantial) changes to the
against potential appropriation of the work by outside way the thesis is presented or to recommend to the
parties). School’s PGR lead opening a formal investigation for
academic or research misconduct.

Chapter 7 links for further information

SCQF – Level 11 and 12

Postgraduate Research Experience Survey

Representation

University Complaints Handling Procedure

University Early Dispute Resolution

25
 Appendix 1
PGR supervisor
accreditation

Context
The University’s Research Degrees Quality Code The University has agreed a standard set of criteria for
requires that all staff appointed as research degree research supervision accreditation.
supervisors have the necessary skills and experience
to support Postgraduate Researchers successfully.

Standard criteria
The University can accredit members of the academic (iv) have attended and successfully completed the Univer-
staff as research degree supervisors if they sity’s training on research degree supervision or equiva-
lent.
(i) are currently employed by the University in a post that
includes research degree supervision as an integral duty (v) Supervisors who are acting as a first supervisor for the
and can be expected to remain in post for at least 4 first time will be paired with an experienced accredited
years; and co-supervisor. For this purpose, “experienced supervisor”
means that the supervisor has provided supervision
(ii) are able to demonstrate possession of the appropriate through to submission and examination for at least one
skills and subject knowledge; and Postgraduate Researcher.

(iii) are normally engaged in research of the highest (vi) all supervisors must complete the online research
standard; and integrity module in MyDundee.

Honorary staff members

Honorary staff should not normally be assigned duties as agreements or other cooperative arrangements. In such
a Main Supervisor for the University’s Postgraduate cases the University requires similarly high levels of skill
Researchers. and experience from honorary staff acting in a supervisory
capacity and these staff should, in principle, be able to
Occasionally staff from other HEIs or from the NHS are meet the University’s standard criteria for accreditation.
appointed as supervisors under the terms of collaborative

26
External expert supervisors
On very rare occasions it may be necessary to appoint an that external experts are suitably qualified.
external expert from outside of the academic Schools of
the University to act as a supervisor. Deans have the Schools are responsible for all related contractual and
authority to make such appointments but must ensure remuneration matters.

Probation, mentoring, and

associate supervisor status
As part of the process of acquiring accreditation staff are are able to act as associate supervisors for Postgraduate
able to participate in the supervisory process in order to Researchers with mentoring provided by either the main
gain the necessary experience. Schools are encouraged supervisor or by another experienced supervisor.
to develop procedures where staff seeking accreditation

Additional school criteria and

recording accreditation status
Individual Schools can specify additional criteria for the staff seeking to gain the skills and experience needed for
accreditation of research degree supervisors in the accreditation by providing opportunities for training and
context of academic discipline-based or professional mentoring.
requirements. These additional criteria must take into
account the overall aims of the University’s approach to Schools should maintain a record of accreditation to
accreditation and the requirement to support academic inform decisions on the allocation of supervisory duties.

Withdrawal of accreditation in
exceptional circumstances
Under exceptional circumstances, such as unusually high submit within the normal maximum timeframe, accredita-
PGR failure rates, and/or repeated formal complaints tion status can be removed.
and/or repeated failure of Postgraduate Researchers to

27
 Appendix 2
UoD supervisory
expectations agreement

PGR supervisory team grid

Each supervisory team (with wider support from the and the needs of the postgraduate researcher.
TMC, and the School PGR Lead) should discuss and
agree with the postgraduate researcher their individu- The University’s minimum expectation is that each
al and collective contribution to supervising, support- postgraduate researcher has at any given time two
ing, and monitoring the progress of the project, supervisors so that there is never a gap in supervision
guiding the skills development of the conversation should one of them (in particular, a lead supervisor)
and explicit agreement sits alongside any formal become unavailable. Furthermore, the Schools are
individual training needs assessment which should tasked to ensure that any supervisor who is absent for
take place in the first few weeks following the start of a significant amount of time (three months or more) is
the research degree, after any significant interruption replaced by a suitable permanent replacement or
to the research programme (such as family leave or temporary stand-in.
sickness absence), and when any supervisor is
replaced. The portfolio of supervisor responsibilities displayed in
the grid below is not exhaustive, as it is largely drawn
Supervisors should take note of any reasonable from the University’s minimum standards and criteria
adjustments which have to be made to meet needs as laid out in the Research Degrees Quality Code.
that the postgraduate researcher may have deriving
from disability, long-term illness and/or being neurodi- We encourage all active and future supervisors to
vergent. Colleagues in Disability Services can advise reflect on and refresh their understanding of best
on these matters further. practice in research supervision by attending PGR
supervisor events organised by the Doctoral Academy,
There are different standard models for supervisory by taking up PGR supervisor training opportunities
teams in the various disciplines represented at the offered by Schools, DTPs and OPD, and by familiarising
University of Dundee which include a preference for themselves with external offers such as the Good
one lead supervisor and a ‘back-up’ second supervisor, Supervisory Practice Framework.
an academic supervisor and one who is a practitioner
(clinician), two equal supervisors, or even teams of
three supervisors. The most suitable supervisory
model is dictated by the nature of the research project

28
 Project title Name of PGR School (and DTP if applicable)

First supervisor Second supervisor Thrid supervisor

Date of first agreement Updated Updated

In the grid below please indicate the weighting of responsibilities in percentages using multiples of 10. No
responsibility can lie 100% with one supervisor only.
1st 2nd 3rd
Responsibilites Supervisor Supervisor Supervisor

1. Recruitment and selection

Undertaking PGR Selector training and understanding of School and
University processes.

2. Supervisory relationships with candidates

Giving guidance about:

• the nature of research

• the standard expected
• the planning of the research programme
• requisite research methods
• relevant regulations governing research at the University (e.g., research
ethics, health and safety)
• appropriate publication practice and research data management

3. Supervisory relationships with co-supervisors

Agreeing on input subject to project and subject expertise.

4. Supporting candidates’ research projects

Making clear to degree candidates that, while the course of study for that
degree constitutes training in research methods, the degree is awarded
only for original work.

Ensuring, within the limits of available resources, that the School provides
adequate accommodation and equipment for the PGR.

5. Encouraging candidates to write and giving appropriate feedback

Requesting written work as appropriate and returning such work withcon-

structive feedback in good time.

6. Keeping the research on track and monitoring progress

Meeting with full-time PGRs at least fortnightly during the first three months
of the research degree programme or project.

Thereafter meetings must take place at least monthly. Meetings will

normally be confined to the main supervisor and the PGR but a meeting
between both supervisors and the PGR must take place at least once a
semester. Meetings with part-time PGRs must take place at least monthly
during the first three months and at two-monthly intervals thereafter.

29
 Recording the details of all formal meetings with PGRs including immigra-
tion compliance tasks, substantive outcomes of all scheduled supervision
meetings or ensuring that the record of outcomes are compiled by the PGR
and countersigned by the supervisors.

Giving specific advice on the necessary rates of progress of successive

stages of the work so that the whole may be submitted within the scheduled
time.

Coordinating the Upgrade Review at the end of the first year of study and
the subsequent Annual Progress Reviews.

Ensuring that the PGR is made aware of inadequacy of progress or of

standards of work below those generally expected and arranging any
supportive or ameliorative action necessary.

7. Supporting candidates’ personal, professional, and career development

Working alongside Doctoral Academy, OPD, ASC and LLC staff to support
PGRs in their transferable skills training.

8. Supporting candidates through completion and final examination

Ensuring that a completed 'intention to submit' pro forma is submitted to

the Registry at least three months before the planned date of a PGR's viva
voce examination.

9. Supporting candidates to disseminate their research

Ensuring that the PGR has opportunities to present their work in local
seminars and meets with the thesis monitoring committee
as required

10. Reflecting upon and enhancing practice

Making use of relevant staff development and quality enhancement

opportunities as an integral part of their duties as a supervisor.

Completing relevant training such as

• the University’s training on research degree supervision or equivalent
• the online research integrity module in MyDundee.
• Health & Safety Training
• Equality, Diversity, and Inclusion Training

*Second supervisors are expected to take an active interest in the Postgraduate Researcher’s progress, and to
provide additional support whenever this is required.

The role of the second supervisor may, in addition, include any of the responsibilities of the main supervisor, but
where the second supervisor takes on any of the main supervisor’s responsibilities this must be clearly recorded.
Where the main supervisor becomes unavailable for whatever reason, or leaves the University, the second
supervisor is expected to act in their place until such time as a new main supervisor is appointed.

These are minimum requirements, and it is open to Schools to further specify the role and responsibilities of
second supervisors.

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 Appendix 3
Mapping of University
policies and practices to
the UK quality code

Theme: Research Degrees

The University has specific regulations and codes of practice for research degrees that are clear, regularly
reviewed and accessible to research students and staff, including examiners.
Quality Code Expectations & University of Dundee Notes
Core/Common Practices Policies & Procedures

Expectation 1, Standards Research degrees: Quality The University sets out its framework for the requirements, delivery
Framework and support of research degrees in the web page- Research degrees :
The academic standards of University Calendar: Regulations Quality Framework.
courses (programmes) Higher Degree General
Regulations The University’s degree regulations for research degrees can be
meet the requirements of found in the University Calendar: Regulations. This is supplemented
the relevant national PhD Degree Regulations
by the Research Degrees Quality Code which sets out the University’s
qualifications framework. Postgraduate Research Masters standards and requirements for the quality of research degree
Degrees provision and is aligned to the Quality Code, and is updated annually.
Research Degrees Quality Code
Doctoral Academy Admission of Research Students policy provides a framework for fair
and equitable admissions procedures. A specific welcome event is
offered to research students and is complemented by school specific
Expectation 1, Quality Research degrees: Quality events and guidance.
Framework
Skills training for research students is provided by Organisational and
Courses are well-designed, University Calendar: Regulations
Professional Development and for those postgraduate research
provide a high- quality Higher Degree General students undertaking teaching responsibilities training is provided by
academic experience for all Regulations
students and enable a PhD Degree Regulations the Academic Skills Centre. External support is also provided for post-
student’s achievement to Postgraduate Research Masters doctoral researchers through academic organisations such as
be reliably assessed. Degrees Research Degrees Researcher professional development. Student Services provide a
Quality Code wide range of practical and pastoral support services.

Monitoring and review of post-graduate research provision is carried

Core Practice 7, Quality Doctoral Academy
out by the appropriate committees – see Research Committee - and
Research degrees : Quality postgraduate students are represented through DUSA.
Where the provider offers Framework
research degrees, it delivers University Calendar: There are well-defined procedures as outlined in Discipline,
these in appropriate and Regulations Higher Degree Complaints and Appeals policies and procedures to support students
supportive research General Regulations in engaging with the University to raise concerns and appeal decisions
PhD Degree Regulations on academic progress and assessment outcomes.
environments.
Postgraduate Research Masters
Degrees The Doctoral Academy provides strategic leadership and support to
schools and central services in our collective efforts to improve
Research Degrees Quality Code
Postgraduate Researcher recruitment, to create an excellent
Admission of Postgraduate Researcher experience, and to offer outstanding skills
training and personal development to all our Postgraduate
Research Students
Researchers and their supervisors
Research Committee
Organisational and Professional The Doctoral Academy offers a wide range of resources on our
Development ‘Postgraduate Research’ intranet covering welcome and induction,
Academic Skills Centre mental health and wellbeing, training and development as well as best
Research support practice and regulations.

The Doctoral Academy works with colleagues across the institution on

matters relating to postgraduate researchers through the auspices of
the Doctoral Academy Board, which has representation across
Schools, Professional Services, DUSA and the postgraduate researcher
community. This is a sub-committee of the Senate Research &
Knowledge Exchange Committee.

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