PGR Policies

Regulation 38: Research Degrees

• Requirements for the Award of PGR Degrees

• Examiners for Research Degrees

Regulation 36: Student Registration, Attendance and Progress

• Monitoring Student Attendance and Progress

• PGR-specific

Regulation 42: Academic Appeals

Regulation 11:Academic Integrity

• Academic integrity guidance
• Artificial Intelligence guidance

Regulation 15: Higher Doctorates

Maximum periods of study policy

Responsibilities of Research Students

• PGRs are responsible for complying with University regulations, communicating clearly with and actively seeking advice from their supervisors, and to contributing to the research environment of their department and the wider University.
• PGRs must inform their supervisors if they plan to be away from their studies, and to take initiative in raising problems or difficulties.
• PGRs are responsible for deciding when to submit their thesis for examination and must notify the University of their intention.
• Supervision resources for PGRs

Responsibilities of Supervisors

• Before agreeing to supervise a student, supervisors should satisfy themselves that they have the necessary knowledge and expertise to supervise, that the project is appropriate for the degree concerned and can reasonably be undertaken with the resources available and in the required timescale, and they are confident that the student has the capacity to undertake the project successfully.
• Supervising PGRs based away from the University 
• Supervision resources for Supervisors

Responsibilities of Departments

• Departments must ensure effective supervision, admission, monitoring, and support structures for PGR students, including assigning qualified supervisors and personal tutors, managing absences, and overseeing progress and examination processes.
• Departments are responsible for guiding supervisors on expectations, training, feedback, and procedures for handling student progress issues and ethical compliance.
• Departments must provide PGR students with clear information, induction, training, seminar opportunities, feedback mechanisms, and access to adequate resources and support services.
• Departments must implement robust and transparent systems for tracking student progress, maintaining records, ensuring regular supervision, and supporting students during fieldwork or study away from campus.
• Departments must act promptly when students show poor progress, offering support and clear plans for improvement, and following formal procedures if withdrawal or registration termination becomes necessary.

Responsibilities of the University

• The University, through the Warwick Doctoral College, is responsible for developing policies across the University for the admission, supervision and examination of research degree students.
• The University is also responsible for monitoring the implementation of these policies, and reviewing their effectiveness, within Faculties and academic departments and (through the Academic Resourcing Committee) for the allocation of resources to departments to support the provision of research degree programmes.

Code of Practice – PGR upgrade and progress review (formerly Guidance on Supervision and Monitoring of Research Degree Students)

Academic departments are expected to formally review PGR progress on at least an annual basis with the aim of supporting students to complete their degree successfully. All progress reviews must be sufficiently rigorous to provide an adequate test of the student’s knowledge and understanding of the subject material, of progress to date, and of plans for the remainder of their registration. Specifically, progress reviews must:

• Ensure that a student’s progress to date is satisfactory, i.e. in line with the department’s expectations for completion of the qualification being worked towards;
• Ensure that a student’s individual needs are identified and met appropriately throughout their degree;
• Offer support and guidance to enhance the quality of a student’s work and experience at Warwick;
• Evaluate and identify areas of ongoing professional development;
• Ensure that effective support structures are in place, including a strong student-supervisory relationship;
• Identify and resolve any barriers to a student submitting their thesis for examination within their registration period.

(In addition, departments must ensure that they monitor student attendance in accordance with the Student Engagement and Progress Monitoring Policy).

Students and supervisors should not delay addressing any concerns which might arise about progress until annual monitoring takes place but should address these issues when they arise with the aim of being able to report a satisfactory resolution to any problems through annual monitoring.

When

PGR progress must be reviewed a minimum of three times during the PhD:

1. Either to upgrade from MPhil to PhD no later than the end of year 1 (or year 2 for part-time PGRs); Or to upgrade from MRes or MSc (by meeting the assessment criteria).
2. No later than the end of year 2 (or year 4 for part-time PGRs; or year 3 for MRes/PhD)
3. No later than the end of year 3 (or year 6 for part-time PGRs; or year 4 for MRes/PhD)

(These timings exclude periods of temporary withdrawal/authorised absence).

Exceptions

PGRs on collaborative PhDs:

Where Warwick is the HOME institution this code of practice applies in full (unless the HOST institution has a comparable (rigour and regularity) process which has to be followed)

Where Warwick is the HOST institution the department must ensure that the host institution’s process is followed in lieu of the Warwick code of practice either entirely or in a combination (ensuring a equal standard of rigour and regularity).

PGRs on the DClinPsych:

See regulation 38.12 https://warwick.ac.uk/services/gov/calendar/section2/regulations/collaborativeres/

Scheduling

• When the department schedules the review: PGRs must be given at least 30 working days’ notice of the upgrade/review meeting: date, time, location, and requirements. The student must also be told who the panel members are as soon as confirmed.
• When the PGR is expected to schedule the review: departments must give clear instructions on how to do this. PGRs must give at least 10 working days’ notice of the meeting date, etc.
• PGRs must be reminded of the department's process for requesting mitigating circumstances.
• PGRs may request a change to the composition of the panel in advance of the meeting and departments must have in place clear criteria and the process for doing so.
• PGRs and supervisors must submit the required documentation at least 5 working days before the meeting.
• All information shared with the panel must also be shared with the student before the meeting, including any report on progress submitted by the supervisor(s).

Panel

• The upgrade and review panels must comprise at least two members of academic staff, none of who should be (or have been) a supervisor, PGR personal tutor (or equivalent) or mentor.
• One member of the panel must be nominated to act as Chair.
• It is expected that at least one member of the Upgrade Committee is experienced in the upgrade process.
• Departments are encouraged to consider the involvement of members of staff from cognate disciplines (for instance, involved in the same CDT) and/or individuals external to the University who can provide additional perspectives to the research.
• The panel should normally reach a preliminary decision without further input from the supervisor(s). But it may be appropriate to discuss with the supervisor(s) the panel’s recommendation and any notes of guidance to be issued to the student (in advance of doing so). The supervisor(s) would not normally otherwise be involved in the review decision

Format

Review Panels are expected to be physical meetings, although with the agreement of all concerned, attendees may attend online if it is necessary e.g. a student or staff member is temporarily located elsewhere, or as a reasonable adjustment.

If the supervisor/s attend/s the meeting, the student must be given an opportunity to speak with the panel alone in confidence.

Documentation to be submitted for the upgrade/review meeting

Departments are responsible for advising students of specific departmental requirements and procedures for upgrade/progress review, with the following being the minimum standard expectation:

• a substantial piece of written work;
• a student statement on their professional development;
• the supervisor(s) written statement;

and for upgrade only:

• all students must have completed the online training on research integrity (concise version as a minimum), and be able to demonstrate that they are familiar with the University’s guidance on Trusted Research.

First attempt at upgrade/progress review outcomes

• The student is upgraded to the full PhD / passes the review; or
• The student must resubmit and attend a further panel meeting (department to confirm details).

 Second attempt at upgrade/ progress review process and outcomes

The procedure for a second attempt at upgrade/progress review is the same as the procedure for a first attempt.

Second attempts must be completed within three months (six months part-time) of the first upgrade/progress review meeting.

The possible outcomes are:

• The student is upgraded to the full PhD / passes the review and continues with the PhD; or
• The student is allowed to continue on the MPhil only; or
• The student is transferred to another appropriate lower award; or
• (In the case of MRes or MSc + Phd, the student leaves with the lower award if they have passed); or
• The student fails and is permanently withdrawn from their degree (in accordance with regulation 36/38).

 Action required after upgrade/progress review

• Review Panels are expected to provide feedback to students on their annual review. Supervisors should also be informed of the outcome so that they can support the student. Panels should highlight areas of best practice and concern to the student, and further advice and guidance to enable them to better undertake their research. Panels should also highlight areas where a student may benefit from further professional development. A formal note of the outcome of the review, including any notes of guidance given, should be kept on Tabula.
• Confirmation of a successful upgrade should be communicated to Student Records using eVision.
• In the case of a lower award or permanent withdrawal being the outcome of upgrade/review, the department must notify the Doctoral College.

 Non-completion of upgrade/review

• A student who fails to meet the criteria required for a successful upgrade/progress review at their second attempt and where the panel does not (or, as in the case of MPhil candidates, may not) recommend transfer to MPhil/another lower award, will be permanently withdrawn from the degree and their registration will be terminated in accordance with regulation 36.

• A student who does not submit material by the specified deadline for their first attempt at upgrade/progress review, and where no request for mitigating circumstances has been received and approved, will be deemed to have failed that attempt.

• A student who does not submit material by the specified deadline for their second attempt at an upgrade/progress review, and where no request for mitigating circumstances has been submitted and approved, will be deemed to have failed their second attempt and registration will be terminated in accordance with regulation 36.

 Appeals

Regulation 42(3.5) describes the appeals process that can be initiated by a student if a panel recommends: that they are allowed to continue their registration for the degree of MPhil (or another lower award) only; or that they should be permanently withdrawn.

 Other reviews (after upgrade)

Departments should not delay addressing any concerns which might arise about progress until a formal review is due to take place, but should address these issues when they arise. This could be by bringing forward the date of the second or third progress review, or by scheduling an informal interim review (at which clear targets for improvement should be agreed, including actions the department must take).

Definition (in addition to the University definition)

Situations that are outside of a postgraduate research student’s control that they could not reasonably have foreseen and that have (or may in the future have) a negative effect are defined as mitigating circumstances. Situations affecting PGRs which may have a ‘negative effect’ include:

• performance in a formal Progression Review (including upgrade from MPhil or MRes to PhD), or final viva voce;
• the ability to meet a deadline for submission of a Progression Review Report, or final thesis for examination (i.e. requiring a registration extension);
• the ability to meet a deadline for submission of minor and major corrections to a thesis following the viva voce;
• the ability to meet a deadline for submission of a revised thesis for re-examination following the viva voce.

 

Examples of PGR MCs (in addition to the examples cited for UG/PGTs):

• Unexpected changes to the student’s source of funding leading to stress (NB: students must ensure that have the necessary funds before embarking on their degree);
• Breakdown of essential equipment where a student is unable to continue research and the use of alternative equipment is not possible;
• Delays in obtaining ethical approval where approval has been sought in good time;
• Absence from the University for public service, for example, jury service;
• Delays in progress due to unforeseen problems with the degree programme and/or working environment (e.g., moving of offices/buildings, supervisor changes etc.) which are outside of the student’s control[1];
• Study leave necessary for the degree programme other than official leave of absence for study at an approved institution or fieldwork (applies to period of interruption only);
• Delay in the university implementing reasonable adjustments.

 

Outcomes possible for each MC situation

Upgrade

If a student fails to upgrade to the degree of PhD at the first attempt, they will normally be permitted to submit a further upgrading proposal. If the second attempt fails, the student may be allowed to continue their registration for a different award. Alternatively, the department may recommend that the student be required to withdraw in accordance with Regulation 36 on student registration, attendance and progress. The appeals procedure set out in Regulation 42 will be used.[Reg 38]

Annual progress review

If a student fails an annual progress review at the first attempt, they will normally be permitted a second attempt. If the second attempt fails, the student may be allowed to continue their registration for a different award. Alternatively, the department may recommend that the student be required to withdraw in accordance with Regulation 36 on student registration, attendance and progress. The appeals procedure set out in Regulation 42Link opens in a new window will be used.[Reg 38]

Registration extensions

PGRs are only able to make one request for extension (unless exceptional mitigating circumstances apply) with a maximum of 12 months permissible. Extensions are only possible where MCs could not be addressed during the original period of registration (e.g. by redesign of the research).

Post submission extensions

• PGRs may request up to 50% extra time to submit their corrections/resubmission (noting that the maximum corrections/resubmission period is the same for full and part-time students);

• Subsequent requests will only be considered for exceptional mitigating circumstances where there is evidence of capacity to meet the extended deadline;

• Extensions can only be given with agreement from the examiners.

Leave to submit

If a candidate is not able to submit by the end of their registration period (including any period of approved extension) they can request to submit the completed thesis for examination at a later date when their thesis is ready for submission. The department and Doctoral College have to approve the request. Note that PGRs who are given leave to submit do not have access to University facilities and are not entitled to supervision after the end of their registration period.

PGRs begin by being registered with four years full-time (or seven years part-time) to submit a thesis for examination. Requests to change registration are made through Student Records Online and in accordance with Regulation 36. Some funders have additional conditions on registration above University Regulations.

• Annual leave - short period of leave without formally interrupting study.
• Family Leave - maternity, paternity, adoption and neonatal care leave.
• Temporary Withdrawal - pause registration for between 28 days to 2 years.
  • Authorised Absence (visa holders) - short term respite from study where Temporary Withdrawal may not be desirable.
  • Resume Study - prepare to re-join active study after a period of temporary withdrawal.
• Change Mode of Attendance - change between full-time and part-time (60%).
• Extension to Registration - request additional time to submit for (first) examination.
  • Specific advice for visa holders.
• Permanent Withdrawal - withdraw with/without leave to submit at a later date.

Last reviewed 16 November 2023

It is important that students take time out from their studies for a break in order to maintain an appropriate work/life balance. Periods of study for research degrees are calculated with an allowance for periods of annual leave during the registration period, as such taking a period of annual leave does not alter the end date of research programmes.

Research students are expected to take active steps to manage their studies, to not take more than four weeks of leave at a time, and to take due consideration to the timing and management of any periods of leave to ensure that it does not impact on their studies or upon maintaining regular contact with their supervisory team. As such, absence for periods of leave must be discussed in advance with the supervisory team. Students must also ensure that they comply with any requirements of their funding body with regard to taking leave. Annual leave should be taken in the calendar year in which it is accrued.

Details

1. Full-time PGR students are expected to study at their normal place of work/study for 37-40 hours per week.
2. Full-time PGR students are entitled to take a maximum of eight weeks/40 days holiday in the year (incl. the statutory (i.e. Bank Holidays) and customary University holidays). UKRI recommends a minimum of 30 days of annual leave per year. For part-time students annual leave will be pro rata.
3. If a student is supported by a student visa, they mustrefer to the Immigration Team for adviceprior to requesting a leave of absence as this may affect their visa.
4. No single period of annual leave should exceed four weeks.
5. Departments should make their own appropriate arrangements for recording and monitoring annual leave.
6. Departments should encourage students to make full use of this entitlement.

Any queries please email:doctoralcollege@warwick.ac.uk 

See Paid Family Leave - for Funded PGRs

Doctoral projects must be designed to ensure that funded PGR students submit their thesis within the prescribed funded period. Stipends are paid monthly, and tuition fee payments are made directly to the University. Funded PGR students must disclose any alternative funding sources immediately. Employment alongside a full-time scholarship is permissible only under certain conditions.

Eligible funded PGR students with disabilities can access additional funding through the Disabled Students Allowance (DSA).

Research Training Support Grants (RTSG) and Travel Grants fund eligible doctoral research-related costs such as laboratory consumables, fieldwork, conferences, and specific equipment. However, certain costs, including immigration to the UK, supervisor travel, and personal memberships, are not covered.

Funded PGR students are expected to reside within a reasonable travel time to the University or their collaborative organization. Part-time study is accommodated with adjusted funding periods.

Paid leave is available for medical and family reasons. Additional paid leave can be requested for domestic emergencies, carer responsibilities, and public duties. Paid leave includes an extension to the funding period, provided the student remains enrolled at the University.

Scholarships may be terminated if the conditions of this policy are breached. For students funded by UKRI training grants, additional conditions apply, including the sharing of information with UKRI and publication on public databases.