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Notes of Guidance regarding submission by a Staff Candidate for a Research Degree
UNIVERSITY OF NOTTINGHAM
TEACHING AND LEARNING BOARD
Notes of Guidance regardingSubmission by a
Staff Candidate for a Research Degree (MPhil, DM or PhD)
With effect from 1 January 2011
1Introduction
These notes are intended for the guidance of prospective staff candidates and for the Assessors of Research degree submissions by staff candidates.
Staff may submit for a research degree by submission of published works.
In terms of academic content, the submission by a member of staff will be judged under the same academic criteria as a thesis or published work submitted by a student. The criteria for the award of a research degree on the basis of published works are given in Appendix 1.
Staff given permission to submit as Staff Candidates are not eligible to receive any supervision in relation to their published works. If staff wish to receive supervision, they should apply to be, and receive the same entitlements as, a research student.
These notes apply to members of staff on the UK, China and Malaysia campuses.
2Eligibility
The following are eligible to make an application to register as a staff candidate for a research degree:
2.1A graduate of not less than three years standing of an approved University who, at the time of making the application, has been a member of staff of this University for not less than four years.
2.2Exceptionally, an application may be approved from a member of staff of the University of not less than four years standing who does not hold a Bachelor's degree but who has a qualification(s) which may be deemed to be equivalent to a Bachelor's degree.
2.3The publications submitted for examination must be the result of work done mainly whilst the staff candidate has been employed by the University of Nottingham.
3Making an Application
Awarding a research degree to a staff candidate on the basis of published works is a two-stage procedure. In the preliminary 'application' stage, the candidate's application is reviewed by the Quality and Standards Committee, a sub committee of the Teaching and Learning Board, to establish whether the proposed submission is appropriate for the particular degree sought and whether it is likely to be of the required standard for the award of the degree.
If a prima facie case is established, the candidate will be invited to proceed to the second stage by submitting the published works for examination. Candidates wishing to apply to submit for a research degree as a staff candidate should send the following documents to Academic Services Division.
Forall applications:
- A brief application showing: your full name, your current position within the University, the date of your appointment to that position and your academic qualifications.
- The name of a member of University staff who will act as an Adviser (see section 4). Normally the Adviser would be your Head of School. Exceptionally a Head of School may appoint a member of his/her staff to act as Adviser in his/her place - in such cases the nominee must be an equal or higher grade than the candidate, must have a PhD and must be research active. Occasionally it may be more appropriate for the Adviser to come from a School other than the one in which you are based. In such cases it is the responsibility of your Head of School to approach the Head of the other School and co-ordinate arrangements.
- A statement from your Head of School confirming that your qualifications are suitable for you to apply to submit for the degree, the proposed work can be supported on academic grounds and it includes evidence of recent and active research, that the proposed arrangements for an Adviser are appropriate and giving support for your submission.
- A list of publications to be submitted and a description (no more than 1000 words) of the theme uniting the publications and how the publications are an original contribution to knowledge.
4The Role of the Adviser
Each candidate will be allocated an Adviser (normally the Head of School) who will provide general advice to the candidate about the requirements for a research degree. The Adviser does not have a supervisory role. The Adviser will also be responsible for giving guidance on the selection, coherence and quality of the published works to be submitted for examination and will provide advice on the preparation of the extended abstract to accompany the submission.
5Submission
If the Quality and Standards Committee decides that a prima facie case has been established for the award of a research degree, you will be informed by Academic Services Division (normally within a month of receipt of the application) and invited to submit two copies of the relevant published works to Academic Services Division.
Your published works should be submitted within four years of receiving approval to submit from Quality and Standards Committee. Evidence of recent and active research will be required. It is helpful if you can give your Head of School and Academic Services Division some advance notice of the date of submission so that the Head of School can propose the names of two Assessors for Academic Services Division to put to the University for approval. When you submit your published works you will be asked by Academic Services Division to pay the appropriate examination fee at .
6The Contents of a Submission
Your submission should be made to Academic Services Division via the Student Services Centre. Further information on submission and the examination process can be found at
The following will be required:
(a)Your published works
You must submit two sets of your published works. The University will retain both copies; one copy will be placed in the appropriate library and the second copy will be returned to the relevant School. Both copies will be returned to the candidate in the event of an unsuccessful submission. The publications should be numbered and an appropriate index provided.
(b)An extended abstract
An extended abstract of not normally more than 10,000 words which provides supportive analysis and which contextualises the published works.
(c)A statement about joint authorship
The University recognises that, in many disciplines, jointly authored papers are the norm rather than the exception. It is acceptable therefore to submit multi-authored papers provided you identify the joint principal authors and describe your contribution in sufficient detail to make the extent of this contribution clear to the Assessors. You will need to seek statements from any joint principal authors that they agree with the description of the extent of your contribution to the joint paper(s).
7The Assessors
Your Head of School will be required by Academic Services Division to nominate two External Assessors for approval by the University Council when he/she is informed of your expected date of submission. Once the Assessors have been approved, the Academic Services Division will be responsible for formally inviting them to act and for sending the items listed in 6 above.
8The Examination
The second stage of the procedure for awarding a research degree to a staff candidate is the examination stage. The following procedures apply:
8.1The Academic Services Division will send each Assessor your published works and each will return independent and separate reports direct to Academic Services Division in advance of the viva voce examination (if held).
8.2A viva voce examination will normally be held if you are submitting for either the degree of PhD or MPhil.
8.3 The Assessors will complete a joint report indicating the agreed result of the whole examination and their recommendation to the University.
8.4 The Assessors’ reports will be considered by the University, which will decide whether or not a degree should be awarded.
9Re-Submission
An unsuccessful submission will not normally prevent you from applying again to submit for a research degree. However, before deciding to do so candidates in this situation should seriously consider the advice and comments of the Assessors given on the first submission.
10Degree Conferment
The award of a research degree will be formally approved through the relevant University which will put your name forward for the first available degree congregation. Advice about the arrangements for the congregation itself can be obtained from Academic Services Division.
CMB
Updated February 2015
Appendix 1
Criteria for the Award of a Research Degree
on the Basis of Published Works
The definition of published works is any research output in the public domain. The following are the main points the Assessors will take into account when considering a candidate's submission:
3.1The published work must, taken together, be of substance equivalent to that which may be reasonably expected of candidates who have fully applied themselves to research for not less than 2 calendar years, in the case of PhD, and one year in the case of MPhil. The submission should represent at least as great a contribution to the subject as would be expected of an MPhil or PhD awarded on the basis of research and thesis.
3.2For the award of PhD, the published works, when taken together, must make an original contribution to knowledge. Their originality may consist of the discovery of new facts or the critical examination of existing facts or ideas or in devising and conducting investigations into ideas supplied by others. It is likely that the submitted published works will have an indicative word limit of 70,000 to 100,000 words.
3.3For the award of MPhil, the published works, when taken together, must show evidence of knowledge of the general field of scholarship to which the particular subject belongs. An indicative word limit for the published works will be no more than 60,000 words.
3.4The subject matter of the publications should be clear, precise and specific.
3.5The publications must be related to a common theme; the theme should be clearly identified and the close link between the theme and each of the cited publications should be apparent.
3.6Further information about the D Level and M Level Qualification Descriptors is available in The University of Nottingham Qualifications Framework at