Regulations for Research Degrees 2023-24

1.2 These Regulations will also apply to research students funded by Mayflower Scholarships unless stated otherwise.

1.3 These Regulations must be read in conjunction with: 

• the Code of Practice for Research Degree Candidature and Supervision [referred to from here on as “the Code of Practice”];
• the Regulations Governing Special Considerations and Suspension of Candidature for Postgraduate Research Students;

• the University’s Doctoral Programme Profile (or in the case of degrees with a substantial taught element, the programme specification);
• Any relevant Academic Regulations.

1.4 The Senate may award the degree to research students who have successfully pursued a programme of study as detailed within these Regulations to the satisfaction of the Faculty Education and Student Experience Subcommittee.  Any exemptions, variations and additional requirements to these Regulations will be stated in the Academic Regulations.

2.2 Applicants for a research degree shall hold an undergraduate honours or Master’s degree in a suitable subject of any approved higher education institution or whatever award and/or range of experience is deemed equivalent by the Faculty Graduate School Subcommittee using the selection procedures specified in section 6 of the Code of Practice (Selection and Admission of Research Students: Selection procedures) and the guidance on recognition of prior [experiential and/or certificated] learning as set out in the Recognition of Prior Learning Policy. Applications from individuals with other non-standard qualifications must be approved by the Associate Dean (Education) on a case-by-case basis. Applicants may be admitted on transfer from another higher education institution according to the guidelines set out in section 6 of the Code of Practice (Selection and Admission of Research Students: Transferring from another institution). 

2.3 Applicants satisfying the requirements for candidature may be admitted provided the Faculty Director of the Graduate School is satisfied with their chosen subject for research, that there is access to appropriate resources and facilities, and that, at the point of acceptance, there are satisfactory supervisory arrangements in place for the applicant. 

2.4 In approving the acceptance of an applicant, the Faculty Director of the Graduate School shall agree the effective starting date which, in exceptional circumstances, may be backdated by no more than three months. 

2.5 These Regulations apply to any research student registered at the University of Southampton, irrespective of the location in which they undertake the work of their degree. 

3.1 Research students shall undertake supervised study, including research and generic skills training on a full-time or part-time basis as specified in section 6 of these Regulations (Duration of Research Degrees).  The degree shall be pursued in the University except in the case of research students for whom joint supervisory arrangements have been approved, or in other special cases where the Faculty Graduate School Subcommittee permits a period to be spent elsewhere. 

3.2 Mayflower Scholars will also spend 25% of their time undertaking a teaching apprenticeship consisting of appropriate professional development and educational experience such as acting as a teaching assistant. 

3.3 The Faculty Graduate School Subcommittee may approve arrangements for an individual research student to receive supervision provided jointly by the University and another institution in accordance with the policy on Research Degrees that include Periods of Off-Campus Study. In such cases, the Faculty Graduate School Subcommittee may permit a period or periods of study to be undertaken at the other institution. The minimum period of full-time study at the University shall be twelve months for research students of jointly-supervised research degrees with approved institutions. 

3.4 The University may, from time to time, formally admit an appropriate institution to a special relationship for the purpose of furthering co-operation in teaching and research. An individual holding an academic or research appointment in such a link institution may be registered in part-time candidature for a research degree.  Such individuals will normally be expected to meet the terms and conditions as specified within the Regulations for Members of Staff in Candidature for the Degree of Doctor of Philosophy. 

3.5 A member of staff of the University of Southampton may be admitted to part-time candidature for the degree of Doctor of Philosophy (PhD) in accordance with the Regulations for Members of Staff in Candidature for the Degree of Doctor of Philosophy on the recommendation of the Faculty Graduate School directorate, and with the approval of the Associate Dean (Education) in their capacity as Chair of the Faculty Education and Student Experience Subcommittee following consultation with the relevant Head of School or Professional Service. 

3.6 A research student in candidature for the degree of Doctor of Philosophy may be permitted, at any time prior to the submission of the thesis, to transfer to a programme leading to the degree of Master of Philosophy.  The period spent in candidature up to the point of transfer will be counted towards the period of candidature required for the degree to which the transfer is made.  Details of the permission required to transfer to other programmes will be detailed in the Academic Regulations. 

3.7 A research student funded by a Mayflower Scholarship who does not wish to continue with their teaching apprenticeship may transfer their candidature to a standard PhD (or MPhil) programme subject to adequate funding being available. 

4. Additional Requirements for Professional Doctorates 

4.1 Professional doctorates including the Doctor of Education [EdD], Doctor of Clinical Psychology [DClinPsych], Doctor of Educational Psychology [DEdPsych], Doctor of Clinical Practice [DClinP], and the Engineering Doctorate [EngD], shall additionally contain a combination of taught compulsory and/or elective modules and individual and/or group projects. The combination of these elements, including specific pass marks, are detailed in the Academic Regulations. Research students who fail to complete the requirements as set out in the Academic Regulations will be deemed by the relevant Faculty Education and Student Experience Subcommittee to have failed the degree. 

4.2 The Code of Practice (Section 9: Doctoral Degrees with a Substantial Taught Element) refers to the structure and levels for professional doctorates, together with the QAA's document The Frameworks for Higher Education Qualifications of UK Degree-Awarding Bodies, October 2014. 

5. Additional Requirements for Integrated PhDs 

5.1 Integrated PhDs are typically structured as follows, with any specific additional requirements detailed in the Academic Regulations: 

• In the early stages of their programme, research students will be required to follow a prescribed programme of modules. Research students who complete these modules and pass the required assessments at the specified standard will be permitted to proceed to the research phase of the programme. This may also lead to the award of MA, MSc or MRes as defined in the relevant Academic Regulations. The right of referral or repeat will be defined in the relevant Academic Regulations.  In the event of failure to achieve the required standard following referral or repeat, such research students may be eligible for an exit award of a Diploma or Master’s Degree, subject to further academic work and dependent upon the requirements of the relevant programme specification. 
• The remainder of the research student's programme will be devoted to supervised research and preparation of a thesis and may include the completion of further modules, training and development. 

5.2 The Integrated PhD Framework sets out the requirements associated with the development, approval and operation of an Integrated PhD programme at the University of Southampton. 

7.1 Every research student shall be assigned a supervisory team which will consist of at least two supervisors from the University of Southampton. At least one of these (the co-ordinating supervisor) should be a permanent academic member of University of Southampton staff. and the Code of Practice (section 10: Supervision: Responsibilities of the supervisory team) sets out the responsibilities of the supervisory team. 

7.2 Every research student holding a Mayflower Scholarship will be allocated a team responsible for providing mentoring, delivering the appropriate professional development, and managing and setting expectations in relation to the teaching undertaken by the Mayflower Scholar. 

7.3 The person responsible for managing the research student’s teaching will not normally be part of the supervisory team responsible for their research. 

7.4 The main supervisor will be an academic member of University of Southampton staff, or a senior member of honorary clinical staff either in the Faculty of Medicine or the Faculty of Environmental and Life Sciences.  A Visiting Professor, Fellow or Academic (as defined in the Visitors to the University of Southampton Policy) may be appointed to the supervisory team as a main supervisor but may not take the role of co-ordinating supervisor. The main supervisor should have an employment contract with the University of Southampton (or equivalent, see above) that is valid for at least the maximum remaining period of the research student’s candidature. An academic member of staff on probation or a professor emeritus may not be appointed as main supervisor.  The main supervisor has responsibility for the supervision of the design and progress of the student's research project and for providing academic advice to the research student. The main supervisor should be available to provide guidance and direction on a regular basis. 

7.5 The co-ordinating supervisor must be a permanent academic member of University of Southampton staff.  The main supervisor will normally also undertake the role of co-ordinating supervisor. An academic member of staff on probation or a professor emeritus may not be appointed as co-ordinating supervisor The co-ordinating supervisor is responsible for ensuring that the administrative processes are completed in a timely manner throughout a research student's candidature. 

7.6 Second supervisors or co-supervisors may either be academic members of University of Southampton staff or be affiliated to the University through working in organisations such as the NHS or NERC. Supervisors affiliated with the University should have a Visiting Professor, Fellow or Academic contract or an honorary contract, and should be approved by the Faculty Graduate School Subcommittee as having close links with the University and the research student's programme of study. 

7.7 Supervisors working for other organisations and not holding University Visiting Professor, Fellow or Academic status may be appointed as external supervisors. External supervisors can be added to the supervisory team in order to provide specialist expertise or if a funder requires it. 

7.8 Research students undertaking research degrees which include a substantial taught element will be assigned tutor(s) relevant to that phase of the degree. These tutors are not excluded from forming part of the research student's supervisory team. 

7.9 Every research student will complete an initial Academic Needs Analysis with their supervisory team within the first three months of their candidature or the research phase of their studies, as appropriate. Research students are required to take part in a training programme which addresses research/generic/transferable skills and may include a both compulsory and optional elements, the former as determined by the Faculty and Doctoral College. 

7.10 Every research student funded by a Mayflower Scholarship will take part in an individualised assessment of their training needs with regard to teaching at the commencement of their studies. 

9.1 Nominal registration is a process that must be requested by the research student and supported by the main supervisor.  The Faculty Director of the Graduate School may permit a full-time research student to transfer to nominal registration for a period not exceeding six months (twelve months for part-time students) prior to submission of the thesis. In supporting the application, the research student’s main supervisor must be able to confirm that: 

• the minimum period of candidature, as detailed in these Regulations (section 6: Duration of Research Degrees), has been completed;
• confirmation/upgrade has taken place (in the case of a doctoral level student);
• all research (including experimental/laboratory work) and/or data collection has been completed; 
• no further supervision of the research is required;
• the structure of the thesis has been agreed and that the supervisory team has seen a significant part of the thesis in draft form and has provided feedback; a definite date for submission has been agreed with the supervisory team and this date is not beyond the existing maximum length of candidature;
• the prescribed programme of taught modules has been successfully completed as required in the Academic Regulations.

9.6 Periods of nominal registration count towards the maximum period of candidature.  A research student’s candidature will be reduced by the equivalent period should they transfer to nominal registration more than six months before the end of their maximum period of candidature (twelve months for part-time students).  Furthermore, a student may not have transferred from full-time to part-time candidature within the previous six months of the request to transfer to nominal registration. 

9.7 A research student may be permitted to suspend their candidature when in nominal registration in accordance with the provisions set down in section 10 (Suspension of Candidature) of these Regulations. 

12. The Transfer, Suspension, Withdrawal and Termination Regulations apply to all students registered at the University of Southampton.  In addition, the Procedures for circumstances that may lead to termination of postgraduate research degree candidature apply specifically to research students and cover circumstances where: 

• termination of candidature is proposed as a result of a recommendation from a Progression Review; 
• termination of candidature is proposed as a result of failure to undertake the expected responsibilities of a research student; 
• termination of candidature is proposed due to lack of contact or failure to return from a period of approved suspension of candidature; 
• termination of candidature is proposed as a result of failure to submit a thesis by the end of the maximum period of candidature. 

13.1 After completion of the minimum period of candidature and successful completion of the Second Progression Review (Confirmation), a thesis may be submitted for examination in accordance with the instructions in the document Submitting your thesis – a guide for research students. 

13.2 In the case of a research student transferring from another institution to the University of Southampton, submission of the thesis is not permitted earlier than 12 months from the date of transfer, even if the research student has already had their doctoral status confirmed at their previous institution. 

13.3 Alternative formats of thesis submission may be permitted in certain disciplines as detailed in the Code of Practice (section 21 Production and Submission of the Thesis: Alternative formats of thesis submission). 

13.4 A research student who is about to submit a thesis shall give at least two months' prior notice of their intention to submit to the Doctoral College (Faculty) Team which shall include the full title of the thesis. The two months' notice may not include periods of suspension. Advice should be sought from the Doctoral College (Faculty) Team regarding the date by which the research student must give notice of intention to submit should they wish to attend a graduation ceremony at the University of Southampton. 

13.5 The submission shall be made within the maximum length of candidature permitted for the degree, excluding periods of suspension. In cases where there have been periods of full-time and part-time candidature, the maximum permitted period of candidature shall be proposed by the Doctoral College (Faculty) Team, and agreed by the Faculty Director of the Graduate School as outlined in the guidance Determining the maximum period of candidature when changing between full- and part-time study.  Where periods of extension are approved in accordance with the Regulations Governing Special Considerations and Suspension of Candidature for Postgraduate Research Students, these will be added to the research student’s maximum period of candidature. 

13.6 With the exception of restrictions on access as defined in the next paragraph of these Regulations, research work submitted as a thesis for a research degree shall be openly available and subject neither to security classification nor to restriction on access. Research students may publish the whole or part of their work prior to its submission as a thesis, provided that in the published work it is nowhere stated that it is in consideration for a research degree. 

13.7 In exceptional circumstances access to a thesis may be restricted through embargo by the Faculty Director of the Graduate School in their capacity as Chair of the Faculty Graduate School Subcommittee, where such restriction is regarded as desirable on commercial grounds or pending patent applications, or as necessary to maintain confidentiality. The period of restriction shall be determined by the Faculty Director of the Graduate School but shall normally not exceed three years from the date of examination. After three years the period of restriction may be subject to extension in some circumstances and will require the approval of the Director of the Doctoral College. Approval of restriction of access to a thesis should be reported to the University Library, via the Permission to Deposit thesis process, who will maintain a master list to be presented annually to the Doctoral College Committee. 

13.8 On submission of a thesis for examination, a research student shall be required to sign a Declaration of authorship, which will be bound into the thesis. This declaration will state that the thesis is the result of work done wholly or mainly while the research student was in candidature at the University of Southampton; that where the thesis is based on work done by the research student jointly with others, a substantial part is the original work of the research student; and the extent to which the thesis incorporates material already submitted for another degree. 

13.9 A thesis may not exceed 75,000 words in length in the case of a PhD, or 50,000 words in the case of an MPhil.  A thesis submitted for an MPhil after a PhD examination is not subject to a maximum length of 50,000 words but must not exceed 75,000.  Where appropriate, a higher word limit for a specific discipline  (or an individual research student) may be approved (as detailed in the Code of Practice (section 21: Production and Submission of the Thesis: Maximum length of thesis). The maximum length does not include supporting material or evidence which may be bound in as appendices.  Appendices should be clearly marked as such and listed on the contents page.  If appendices are submitted in separate volumes, they must be prepared and bound in the same style as the thesis.  All supporting material or evidence will be available to the examiners and will form part of the record.  Research students who exceed the word limit without prior approval of the Faculty Director of the Graduate School, may be required by the examiners to resubmit in a form which does not exceed the stipulated length. 

15.1 For the award of the research degree, the candidate must have demonstrated that they have met the criteria as set down in the Code of Practice (section 4: The Difference between Doctor of Philosophy (PhD) and Master of Philosophy (MPhil)). 

15.2 A research student must satisfy the examiners in both the thesis and the viva voce.  A research student may fail the examination because of the thesis, the viva voce, or both.  The examiners may therefore recommend re-examination only in that part in which the research student failed. 

15.3 The examiners shall recommend one of the following courses of action. For research students studying for a research degree with a substantial taught component, recommendations (a) to (f) will also be subject to the satisfactory completion of the taught element of the degree. 

(a) That the degree for which the research student has submitted is awarded. 

(b) That the degree for which the research student has submitted is awarded subject to minor amendments to the thesis being made by a date specified. 

• Such amendments include: minor errors/omissions of substance, typographical errors, occasional stylistic or grammatical flaws, corrections to references, minor changes to figures, and minor changes to layout, and require no new research. These amendments need only be certified by the internal examiner.
• The date specified for the submission of the minor amendments should normally be no later than three months after the formal notification to the research student.
• The examiner is permitted, on receipt of the amended thesis, to request that the student make a further attempt to complete the required amendments but these should only address points raised in the original examination process (e.g. when a student has failed to make all amendments required to the satisfaction of the internal examiner).  The further attempt should be completed and submitted within a timescale specified by the internal examiner, which should be no longer than the timescale given for the first attempt.

(c) That the degree for which the research student has submitted is awarded subject to the correction of modest amendments to the thesis being made by a date specified.

• Such amendments include: modest errors/omissions of substance and may require limited further analysis but only to an extent which will not affect the originality of the central thesis.
• The amendments will be of a scale to be certified by both the internal and external examiners, though will normally not be so extensive that an additional viva voce is required.
• The date specified for the submission of the modest amendments should normally be no later than six months after the formal notification to the research student.  Should the examiners wish to request a longer time period (of nine months), an academic rationale should be provided for consideration by the Faculty Director of the Graduate School.
• The examiners are permitted, on receipt of the amended thesis, to request additional amendments but these should only address points raised in the original examination process (e.g. when a student has failed to make all amendments required to the satisfaction of the examiners). Additional amendments should be completed and submitted within a timescale specified by the examiners, which should be no longer than the timescale given for the first attempt. 

(d) That the research student is required to attend an additional viva voce within three months of the date of the original examination. 

(e) That the research student is required to submit, by a date specified, a revised thesis for the same degree for re-examination (including attendance at an additional viva voce) on one subsequent occasion.

• The date specified for submission of the revised thesis should normally be no later than twelve months after the formal notification to the research student. The research student will be liable to pay a re-examination fee at the time of submission as set out in the Fees, Charges and Expenses Regulations.  As a fee is payable, the Fees Office should be informed when a research student has been asked to submit a revised thesis. 

(f) That in the case of a research student who has failed to satisfy the examiners, and where a Master of Philosophy is available as an exit award, they are invited to apply, by a date specified, for that award in accordance with one of the following recommendations:

• (i) that the degree of Master of Philosophy is awarded (as per (a) above);
• (ii) that the degree of Master of Philosophy is awarded subject to minor amendments to the thesis being made (as per (b) above);
• (iii) that the degree of Master of Philosophy is awarded subject to modest amendments to the thesis being made (as per c) above); 

In such circumstances, the submission must meet the criteria for the award of Master of Philosophy.

(g) That the degree for which the research student has submitted is not awarded, resubmission is not permitted, and the research degree is terminated.