Extract from IoE Handbook for Students and Supervisors

Application procedure and material to be submitted for upgrading

The upgrading form is obtained from the Research Degrees Section of the Registry (Room 522 – telephone 6155 or 6102).

You should complete the appropriate sections of the upgrading form before submitting it to your supervisor, together with the material to be considered by the upgrading panel. At least two hard copies or an electronic copy of the material will need to be given to your supervisor for circulation to the upgrading panel.

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Consideration of the application

Upgrading panel

The supervisor will normally undertake all arrangements for the processing of the upgrading application. At least two members of academic staff (in addition to the student’s supervisor(s)) will read the work submitted by the student and attend the upgrading meeting. One member of staff should preferably be from outside the student’s School. The readers should be asked to read the upgrading material within six weeks of having received it, and to provide written reports.

Interview with upgrading panel

The student will be invited to attend for a meeting with the two staff who have read the material. This should be within eight weeks of the student submitting the upgrading material for consideration.

The purpose of the interview is to ensure that the student will, to the best of the panel’s knowledge, be able to complete a PhD thesis, that the project is practicable, and that the arrangements for completion of the thesis are satisfactory. Although the supervisor is usually present at the interview it is not expected that he/she will take part in the interview.

Each member of the panel will bring their preliminary written report on the work to the meeting and will present a joint written report to the student and supervisor, following the interview.

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Consideration for upgrading if the student is unable to attend the interview

In cases where the student is unable to attend, (e.g. when in another country) the student will receive the two feedback reports immediately after they are written and will be required to respond to them in writing within two weeks of receipt, where possible.

Outcome of the application

If the upgrading application is successful

The responsibility for signing off the upgrading form rests with the upgrading readers. Provided there is full agreement by the upgrading panel that the student should be upgraded, the student’s supervisor will arrange for the form to be completed by the readers and passed to the School Research Tutor together with the feedback reports.

The Research Tutor, as chair of the School’s Research Committee, will:

• notify the student in writing of the decision and will arrange for the student to be given clear written feedback and comments on the work which has been presented. [This may be in the form of the individual preliminary reports from the panel members plus the final joint report.]

• forward the signed upgrading form to the Registry together with copies of the feedback reports from the readers and the final decision of the upgrading panel. Once the Registry receives the approval form, the student’s registration will be transferred to PhD and the student will receive confirmation of the change in registration from the Head of the Research Degrees section.

It may occasionally be the case that there is a disagreement amongst members of the upgrading panel regarding the student’s work and the Research Committee is unable to approve the upgrading of the student. In such a case, the supervisor, in consultation with the student’s advisory panel, will nominate a third person to read and comment in writing on the merits of the work. The person appointed could be the Chair of the School’s Research Committee (ie the Research Tutor) or an appropriate expert from the Institute or outside. On receipt of the third report, the Research Committee will make a final decision. If it is decided that upgrading should be approved, the same procedure is followed as outlined above.

If the upgrading application is unsuccessful

If the student's application for upgrading has not been approved by the upgrading panel, the supervisor will consult the student’s advisory panel. They may recommend one of the following courses of action:

a) that the student be permitted one further opportunity to resubmit work for upgrading to PhD to his or her advisory panel within a limited time to be specified by the committee;

b) that the student should continue as an MPhil student, with no further opportunity for upgrading;

c) that the student should write up the research and submit a report for the award of Associate of the Institute of Education;

d) that the student should transfer to an appropriate taught Master's degree programme;

e) that the student should withdraw from the programme. The advisory panel will provide feedback and guidance to the student through his/her supervisor.

The Research Tutor will also be informed and will

write formally to advise the student of the decision and, where appropriate, that he or she has one more opportunity to apply for upgrading. [Where it is recommended that the student’s registration be cancelled, the Registry will send a letter to the student, based upon the information provided by the academic School/Research Unit.]

inform the Head of the Research Degrees Section (Registry) by returning the upgrading form, signed by the upgrading panel and duly annotated to indicate the course of action proposed. Copies of the upgrading panel’s reports should be attached to the form.

A student who has not been upgraded may request that the Head of the Doctoral School review the case. Any such request should be made in writing.

Number of attempts

A student may normally be permitted up to two attempts to be up-graded to PhD. A student who is unsuccessful in the second attempt will be advised to take one of the courses of action listed under b) – e) above.

Initial registration for PhD

 Those students who are permitted exceptionally to register direct for PhD will have their progress reviewed at the end of the second year of full-time study or the third year of part-time study. The format of this review will be agreed by the Academic School/Research Unit concerned, but will consist of evidence of written work to date and an overall plan for the completion of the thesis. The student will receive written feedback by the Research Tutor in the light of the review.

Complaint/grievance