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Senate regulation 9: Regulations governing Research Degree Programmes: Progress and probation reviews (9.108-9.127)

Progress reviews

9.108

The progress review must be conducted by a progress review panel. A progress review panel must be appointed within three months of the start of registration for every research student registered for the degree of PhD, MD, PsyD, or MPhil. Panels should normal remain the same throughout the student’s registration. The Head of School or their nominee shall be responsible for the appointment of the progress review panel. 

9.109

An alternative but equivalent review format comprising an assessed training programme may be used for:

  1. research students registered for the degree of DClinPsy and DSocSci

    or

  2. research students registered for the degree of PhD or MPhil and who are based in a Research Council Doctoral Training Partnership/Centre for Doctoral Training and where the use of an alternative review format has been determined to be equivalent to that required under these Senate Regulations and approved by the Dean of the Doctoral College.

Progress review panels

9.110

The progress review must be conducted by a progress review panel. A progress review panel must be appointed within three months of the start of registration for every research student registered for the degree of PhD, MD, PsyD, or MPhil. Panels should normal remain the same throughout the student’s registration. The Head of School or their nominee shall be responsible for the appointment of the progress review panel. 

9.111

The appointment of a progress review panel for research students registered at an associated institution shall be the responsibility of that institution.Each progress review panel must comprise at least two members, at least one of whom must be a member of the University’s academic staff. All members of the progress review panel must be one of the following:

  1. a member of the University’s academic staff
  2. a research fellow of the University
  3. a clinical or scientific member of staff of the University Hospitals of Leicester National Health Service Trust, holding an honorary position with the University.

Members of the progress review panel for a research student registered at an associated institution must be members of the academic staff of that institution.

Other honorary and emeritus staff of the University shall not be appointed as members of a progress review panel. The Head of School or their nominee may, if appropriate, appoint an external adviser to assist the progress review panel.

9.112

Members of the research student’s supervisory team must not be members of the same student’s progress review panel. Members of the progress review panel must not have or have had a close personal or professional relationship with the research student or the research student’s immediate family or a close personal relationship with any member of the supervisory team or any other member of the panel.

9.113

Members of the progress review panel must have expertise relevant to the student’s area of research. Each progress review panel must have appropriate experience of the supervision of research students. The members of each progress review panel shall normally between them have experience of successfully supervising at least three research students to completion. The approval of the Head of School shall be required if it is proposed to appoint a progress review panel with less experience.

Progress review meetings

9.114

Research students registered for the degree of PhD, MD, PsyD, or MPhil should normally meet with at least one progress review panel member within four months of registration (eight months for part-time students). This pre-progress review meeting is intended to be supportive and should ensure that the research student understands the expectations to be reviewed at the progress review meeting.

9.115

Before the end of each year of study full-time research students (every two years for part-time study) must be assessed at a formal progress review and a decision made as to whether they have successfully passed the review and should be permitted to continue with their degree.

9.116

Progress review meetings with campus based research students shall normally be conducted in person. Progress review meetings with distance learning research students may be conducted by any appropriate means of communication. Meetings in person should be used wherever possible.

9.117

Progress reviews shall provide the research student with the opportunity to discuss their research, their findings so far, and their plans for completing the thesis. The research student must give a defence of their work. The research student may be required to give a separate presentation or summary of progress to the panel, members of the School, and others. The progress review panel may ask the research student questions on any relevant matters as needed to form an opinion on the student’s progress to date and their ability to complete the degree within the specified maximum registration period.

9.118

Part-time PhD students must have interim review meetings in alternate years between formal meetings. If the progress review panel has serious doubts about the research student’s progress or ability to achieve the degree for which they are registered, the Head of School must be notified, who may initiate proceedings for neglect of academic obligations as specified within the Senate Regulations.

9.119

Members of the research student’s supervisory team may attend that student’s progress review meeting, including any separate presentation session, as observers. If members of the supervisory team are in attendance, the research student must be given the opportunity to discuss privately with the progress review panel any relevant matters that they wish to raise.

Progress review requirements

9.120

For the formal progress review (and any further reviews) the research students registered for the degree of PhD, MD, PsyD, or MPhil must prepare:

  1. a written report on their progress to date accompanied by relevant supporting research outputs
  2. a work plan for completing research and writing their thesis over the remaining part of the specified maximum registration period
  3. a record of skills and career development – including evidence of completing any mandatory training required by the School, College or University
  4. records of all formal supervisory meetings held to date
  5. the student is required to submit the report and any accompanying substantive work through a plagiarism checker.

The above are minimum requirements and the School may require research students to produce additional materials.

9.121

For interim reviews, part-time students must prepare:

  1. a brief written report on their progress to date accompanied by relevant supporting research outputs
  2. a work plan for completing research and writing their thesis over the remaining part of the specified maximum registration period
  3. a record of skills and career development – including evidence of completing any mandatory training required by the School, College or University 
  4. records of all formal supervisory meetings held to date

The above are minimum requirements and the School may require research students to produce additional materials.

9.122

Full-time research students must submit their written report and accompanying review documents at least three months before the end of each year of study. Part-time students must submit their written report and accompanying review documents at least three months before the end of every two years for part-time students. 

9.123

Where the progress review panel have decided that the student is required to be re-reviewed after a period of no more than four months, the student must submit their review report and all other required documents within three months of receiving the panel’s decision.

9.124

Ahead of each formal review, the supervisory team must prepare written feedback on the research student’s progress within 10 working days of the student’s report submission. This feedback must include:

  1. a discussion of the research student’s progress to date
  2. a discussion of the feasibility of the research student’s proposed work plan
  3. recommendations for further training that is required

Progress review outcomes

9.125

Following each formal review, the progress review panel must make a decision as to whether the research student should be permitted to continue with their degree. The panel shall recommend one of the following:

  1. that the research student may continue the degree for which they registered and should be permitted to continue as a registered student
  2. that the research student has not successfully passed their progress review and are required to be re-reviewed after a period of no more than three months and complete a further review. No further reviews may be permitted. 
  3. that the research student has not successfully passed their progress review for the degree for which they are registered but should be permitted to register for a lower award (research students registered for the degree of PhD only)
  4. that the research student has not successfully passed their progress review and should have their registration terminated.

9.126

The progress review panel must prepare a written report indicating their recommendation and the reasons for making this within 10 working days after the review meeting. The written report must be submitted to the Doctoral College and made available to the student, supervisors, and Head of School or their nominee.

9.127

If the progress review panel determined that the research student had not successfully passed their progress review and should be required to be re-reviewed, the review should be held within one month of the student’s resubmitted review report and accompanying documents. The panel shall recommend one of the following:

  1. that the research student may continue the degree for which they registered and should be permitted to continue as a registered student
  2. that the research student has not successfully passed their progress review for the degree for which they are registered but should be permitted to register for a lower award (research students registered for the degree of PhD only)
  3. that the research student has not successfully passed their progress review and should have their registration terminated.

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