RESEARCH AWARDS
`HANDBOOK
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`Bournemouth University
`Issued: September 2001
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`BLACKBERRY EX. 1017, pg. 1
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`CONTENTS
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`Page
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`1.0 WELCOME TO BOURNEMOUTH UNIVERSITY .............................................................. 5
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`2.0
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`INTRODUCTION ...................................................................................................................... 5
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`3.0 MINIMUM AND MAXIMUM PERIODS OF REGISTRATION ........................................ 6
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`4.0
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`5.0
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`6.0
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`PROGRESS TO ACHIEVING A RESEARCH AWARD ...................................................... 7
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`INDUCTION ............................................................................................................................... 8
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`RESEARCH TRAINING .......................................................................................................... 9
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`7.0 HEALTH AND SAFETY REGULATIONS ............................................................................ 9
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`8.0
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`9.0
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`ETHICS POLICY .................................................................................................................... 10
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`INTELLECTUAL PROPERTY RIGHTS ............................................................................. 10
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`INITIAL REVIEW ................................................................................................................... 11
`10.0
`10.1 AFTER COMPLETION OF THE INITIAL REVIEW ........................................................... 11
`11.0 MONITORING OF PROGRESS ........................................................................................... 11
`
`12.0 FAILURE TO PROGRESS ..................................................................................................... 12
`12.1 LACK OF ACADEMIC PROGRESS .................................................................................... 12
`12.2 LOSS OF CONTACT WITH THE STUDENT ...................................................................... 13
`13.0 TRANSFER TO A HIGHER AWARD .................................................................................. 14
`13.1 PREPARATION FOR TRANSFER TO A HIGHER AWARD (IF APPROPRIATE) ........... 14
`13.2 THE TRANSFER PROPOSAL .............................................................................................. 14
`14.0 AMENDMENTS TO REGISTRATION ................................................................................ 15
`14.1 CHANGE IN MODE OF STUDY .......................................................................................... 15
`14.2 CHANGE TO THE SOURCE OF FUNDING ........................................................................ 15
`14.3 CHANGE OF SUPERVISION ............................................................................................... 15
`14.4 TRANSFER TO A DIFFERENT DEGREE PROGRAMME ................................................. 15
`14.5 TRANSFER FROM ONE INSTITUTION TO ANOTHER ................................................... 15
`14.6 CHANGE TO THESIS TITLE ............................................................................................... 15
`14.7 WITHDRAWAL OF REGISTRATION ................................................................................ 16
`15.0 PROBLEMS AND QUERIES ................................................................................................. 16
`15.1 SUSPENSION ........................................................................................................................ 16
`15.2 EXTENSION .......................................................................................................................... 16
`16.0 PRESENTATION OF THE THESIS ..................................................................................... 16
`16.1 LENGTH OF THE THESIS ................................................................................................... 16
`16.2 LANGUAGE OF THE THESIS ............................................................................................. 17
`16.3 RECOMMENDED SEQUENCE ........................................................................................... 17
`16.4 COPYRIGHT STATEMENT ................................................................................................. 17
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`16.5 TITLE PAGE .......................................................................................................................... 17
`16.6 ABSTRACT ........................................................................................................................... 18
`16.7 LIST OF CONTENTS ............................................................................................................ 18
`16.8 LIST OF TABLES AND ILLUSTRATIONS ......................................................................... 18
`16.9 PREFACE, ACKNOWLEDGEMENT .................................................................................. 18
`AUTHOR’S DECLARATION ........................................................................................... 18
`16.10
`16.11
`BODY OF TEXT ................................................................................................................ 19
`SPINE/COVER TITLE ...................................................................................................... 19
`16.12
`16.13
`PAPER ................................................................................................................................ 19
`16.14 MARGINS .......................................................................................................................... 19
`CHARACTER SIZE, LINE LENGTH AND SPACING .................................................... 19
`16.15
`16.16
`PARAGRAPHS .................................................................................................................. 19
`DISPLAYED TEXT ........................................................................................................... 20
`16.17
`16.18
`NUMBERING .................................................................................................................... 20
`16.19
`TABLES ............................................................................................................................. 20
`16.20 MATHEMATICAL SYMBOLS ........................................................................................ 21
`16.21
`APPENDICES .................................................................................................................... 21
`16.22
`GLOSSARY ....................................................................................................................... 21
`LIST OF REFERENCES .................................................................................................... 21
`16.23
`16.24
`BIBLIOGRAPHY .............................................................................................................. 21
`16.25
`INDEX ................................................................................................................................ 21
`16.26
`COLLABORATORS ......................................................................................................... 22
`17.0 EXAMINATIONS .................................................................................................................... 22
`17.1 APPROVAL OF EXAMINATION ARRANGEMENTS ...................................................... 22
`17.2 APPOINTMENT OF EXAMINERS ...................................................................................... 22
`18.0 SUBMISSION OF THE THESIS ............................................................................................ 23
`18.1 STAGE ONE .......................................................................................................................... 23
`18.2 STAGE TWO ......................................................................................................................... 23
`18.3 OUTCOME OF THE EXAMINATION ................................................................................. 23
`19.0 PRESENTATION OF THE THESIS FOR EXAMINATION ............................................. 24
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`20.0 FINAL PRESENTATION OF THE THESIS ........................................................................ 24
`20.1 MATERIAL THAT CANNOT BE BOUND .......................................................................... 24
`20.2 PUBLISHING MATERIAL ................................................................................................... 24
`20.3 RESTRICTED ACCESS ........................................................................................................ 25
`APPENDIX A ....................................................................................................................................... 26
`RECOMMENDED SEQUENCE ....................................................................................................... 26
`APPENDIX B ........................................................................................................................................ 27
`TITLE PAGE ...................................................................................................................................... 27
`APPENDIX C ....................................................................................................................................... 28
`BIBLIOGRAPHICAL REFERENCES: CITATION BY THE HARVARD NAME AND DATE
`SYSTEM ............................................................................................................................................ 28
`CITATION IN THE TEXT ................................................................................................................. 28
`LIST OF REFERENCES AT THE END OF THE WORK ................................................................. 28
`REFERENCE TO A BOOK ............................................................................................................... 28
`REFERENCE TO A CONTRIBUTION IN A BOOK ........................................................................ 29
`REFERENCE TO AN ARTICLE IN A JOURNAL ........................................................................... 29
`REFERENCE TO A CONFERENCE PAPER ................................................................................... 29
`REFERENCE TO A PUBLICATION FROM A CORPORATE BODY ............................................ 30
`APPENDIX D ....................................................................................................................................... 31
`LIST OF BOOK BINDERS ................................................................................................................ 31
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`APPENDIX E ........................................................................................................................................ 32
`WHO TO CONTACT IN CENTRAL SERVICES ............................................................................. 32
`Registry ........................................................................................................................................... 32
`Accounting Services ....................................................................................................................... 32
`APPENDIX F ........................................................................................................................................ 33
`SECTION E5 - ASSESSMENT OFFENCES ..................................................................................... 33
`SECTION F - ASSESSMENT OFFENCES PROCEDURE ............................................................... 36
`SECTION G - REGULATIONS FOR THE AWARD OF DEGREES BY RESEARCH ................... 39
`SECTION H - PROCEDURES FOR THE ADMINISTRATION OF RESEARCH AWARDS ......... 51
`SECTION J - APPEALS AND COMPLAINTS ................................................................................. 58
`SECTION K - REGULATIONS AND PROCEDURES FOR THE AWARD OF HIGHER
`DOCTORATES.................................................................................................................................. 60
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`1.0 WELCOME TO BOURNEMOUTH UNIVERSITY
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`“As Chair of the University's Research Degrees Committee, I am very pleased to welcome you to
`Bournemouth University at the beginning of your career as a research student. I hope that you will
`have a very constructive period of research study whilst at the University and that you enjoy your time
`with us.”
`
`Dr Julia Kiely
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`
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`This handbook has been produced to provide information and guidance on the rules and regulations
`governing research degrees at Bournemouth University. Details regarding admission and registration
`can be found in the Guidelines on Registering for a Research Award Handbook, sent on application.
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`The student and the supervisory team, together with any collaborating body, are responsible for
`initiating the procedures outlined in the following pages at each stage of research degree registration.
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`Additional information with regard to thesis preparation has also been included.
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`2.0
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`INTRODUCTION
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`During their time at the University students will come into contact with a number of staff both within
`their particular School and other departments. Below is a list of the contacts a student can expect to
`make and their responsibilities.
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` Your immediate point of contact will be your supervisory team and you will be expected to meet
`regularly with them.
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` School Research Administration provides the day-to-day interface between students and
`supervisors and the committees responsible for policy and decision making. Current University
`Research Degree Regulations can be found at Appendix F.
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` The School Research Committee (SRC) is responsible for registering students for research awards,
`approval of initial review, transfer of registration and other responsibilities delegated to them
`regarding students’ registration.
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` The University’s Research Degrees Committee (RDC) is responsible for the administration of the
`regulations and the maintenance of standards. It is an examination board for Research Awards.
`RDC makes conferment to Senate. It also maintains close contact with both the Academic
`Standards Committee and the University Research Committee.
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` The Registry provides information and advice to students, supervisors and Schools on matters
`relating to policy and examinations.
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`3.0 MINIMUM AND MAXIMUM PERIODS OF REGISTRATION
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`The normal minimum and maximum periods of registration are as follows:
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`MAXIMUM
`(in months)
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`24
`24
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`36
`48
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`36
`48
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`60
`72
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`60
`72
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`60
`72
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`72
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`MINIMUM
`(in months)
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` 6
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`12
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`21
`33
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`18
`30
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`36
`48
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`33
`45
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`24
`36
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`36
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` The minimum period for a PhD candidate, whether registered for PhD direct or by the MPhil/PhD
`route, who is engaged in a programme of research which includes formally assessed postgraduate
`study is 33 months for a full-time student and 45 months for a part-time student.
`
`
`Research Diploma (direct entry)
`Full-time
`Part-time
`MPhil (via transfer from Research Diploma registration)
`Full-time
`Part-time
`MPhil (direct entry)
`Full-time
`Part-time
`PhD (via transfer from Research Diploma and MPhil)
`Full-time
`Part-time
`PhD (via transfer from MPhil)
`Full-time
`Part-time
`PhD (direct entry) *
`Full-time
`Part-time
`DBA
`Part-time only
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` *
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`4.0 PROGRESS TO ACHIEVING A RESEARCH AWARD
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`This diagram summarises the stages that a student is required to undertake to achieve a research award.
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`Informal discussions and contact
`with the Head of Research
`in relevant School, or
`potential supervisor
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`Candidate’s application and
`research proposal considered by
`School Research Committee
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`Candidate interviewed by
`School panel
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`Candidate accepted or rejected by
`School Research Committee
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`Student registration
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`Initial progress review
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`Pre-Admission
`Stages
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`Day 1
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`By month 6 in the
`first year
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`Annual review and
`monitoring
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`Confirmation of registration
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`Transfer to higher award
`(if appropriate)
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`Declare intention to submit
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`Submission of thesis for
`examination
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`Viva voce examination
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`Award of Research Degree
`(if successful)
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`At the end of each
`Academic Year
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`At the beginning of
`each Academic Year
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`Dependent on study
`aim & mode of study
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`6 months prior to
`submission
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`Dependent on study
`aim & mode of study
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`Normally within 3
`months of submission
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`BLACKBERRY EX. 1017, pg. 7
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`5.0
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`INDUCTION
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`The initial meeting between a student and their potential supervisory team should normally take place
`within one week of the student’s registration. At this meeting, supervision arrangements should be
`discussed and responsibility for supervision of specific areas of research agreed.
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`The team should discuss how future meetings will be timetabled to review progress, in accordance
`with an agreed schedule, and arrange to draw up a written plan making clear the nature of the degree
`and the expected completion date. An agreed record of all formal supervisory meetings will be
`maintained.
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`All new students will be expected to attend a formal induction programme. Additional School-specific
`information will be provided by the supervisory team and the School Research Administrator, as
`required.
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`Induction will normally ensure that:
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`students are informed of the School research degree management structure, staff and procedures,
`and the formal and informal channels of communication at School and University level;
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`students are introduced to the library, computing, sports/social facilities and Accommodation
`Office. International students are introduced to the additional facilities/services available to them;
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`students are made aware of their responsibilities as a research degree student and the
`responsibilities of their supervisors to them;
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`students are informed of facilities and resources available to them within the School and
`University, including availability and access to photocopiers, computers etc.;
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`students are advised of the extent of research training available;
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`students are informed of University Health and Safety Procedures. Where appropriate, specific
`School guidelines will be provided and students may be required to sign a statement to confirm
`that they have read and agreed to these procedures;
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`students are informed of the University Ethics Policy particularly in those areas where research
`involves human participants;
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`students are informed of the University policy on ownership of copyright of theses and intellectual
`property rights arising from their work;
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`students are made fully aware of the timescale for completion of their research degree, including the
`normal minimum and maximum periods for completion. A four-year maximum time limit is imposed on
`all full-time Research Council funded students and is the normal expected limit for other full-time
`students;
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`students are informed of normal expectations for progress and informed of the six month period
`for initial review and the annual monitoring process;
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`students are informed of the process and schedule for registration, transfer from MPhil to PhD (if
`appropriate) and examination arrangements, including the deadlines for School and University
`Research Committees for consideration of these matters;
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`students are informed of pastoral support and counselling services available and are encouraged to
`make use of the support network for personal and work related matters when needed;
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`students are aware of opportunities to voice views and input into School decision making. A
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`research student representative may be elected annually at School level.
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`6.0 RESEARCH TRAINING
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`Due to the diverse research training requirements within areas of the University, the supervisory team
`and School Research Administration will identify the particular School research training process
`within their procedures.
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`The level and requirements for individual training of students will be detailed within the appropriate
`section of the Initial Review form, which will be scrutinised at School level.
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`Instruction in research methods, appropriate to the field of study, should be arranged as early as
`possible within the research programme.
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`The supervisory team should inform the student about relevant courses and facilities that are available
`within the School and University.
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`The student and their supervisor should also be aware of any appropriate seminars, courses and
`conferences and the student should be encouraged to attend where possible.
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`The supervisory team will endeavour to follow the Research Training Policy (see below):
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`to provide high quality training in research, tailored to the individual needs of each research
`student;
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`to supply this training partly through the individual attention of a well-trained supervisory team,
`who will meet regularly with the student at agreed times.
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`to provide access to a selection of professional level short training courses, comprising both
`specialist and non-specialist topics;
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`to provide adequate opportunity for research students to undertake regular oral presentations of
`work in progress to groups of contemporaries and peers within the University;
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`to expect all research students within the School, and as many staff as possible, to attend and
`participate in such presentations;
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`to support attendance and delivery of research results by students at appropriate external venues
`e.g. conference/seminar attendance;
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`to support the student and supervisor(s) by regular monitoring and peer review of student
`progress, which will be co-ordinated by School Research Administration;
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`to require the School Research Administration to assess an annual student progress report or other
`submitted work. Opportunities will be given for confidential disclosure of the student's views on
`progress.
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`7.0 HEALTH AND SAFETY REGULATIONS
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`Information relating to the University and School Health and Safety Regulations can be obtained from
`the School Research Administrator.
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`8.0 ETHICS POLICY
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`9.0
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`INTELLECTUAL PROPERTY RIGHTS
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`This policy is currently under review and development, however it will be distributed when available.
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`It is Bournemouth University’s policy to encourage and facilitate the successful exploitation of
`Intellectual Property (IP) in order to maximise benefit for the institution and its Schools, its staff, its
`students and society in general. The creativity and innovation of staff and students are crucial to the
`development of the University’s intellectual property portfolio, and the University wishes to encourage
`such qualities by using appropriate mechanisms which recognise and reward the contribution of
`individuals and their Schools and Support Services.
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`The University will include IP and related issues in its staff development activities. It will seek to raise
`awareness among staff and students of the opportunities presented by the development of IP and
`provide information and assistance for the purposes of capturing and exploiting those opportunities.
`The University has developed structures and procedures to evaluate opportunities and exploit them in
`the most appropriate manner. The increase of knowledge and capability within the institution will be
`key to the successful implementation of this policy.
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`Bournemouth University is the first owner of IP developed by employees in the course of their normal
`duties or as the result of a task specifically assigned by the University [Patents Act 1977, Copyright
`Designs and Patents Act 1988]. This is set out in more detail in staff terms and conditions of
`employment which include the obligation to disclose to the University certain types of IP arising from
`their work. The University has developed appropriate support services and procedures to facilitate the
`recognition, protection and exploitation of IP. The University expects that any exploitation of such IP
`will be in collaboration with the employee and that any benefits will be shared. It has put in place
`mechanisms for individual recognition and reward to underpin this policy.
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`The University recognises that it cannot automatically assume ownership of IP generated by students
`in the course of their studies or research. However, any students may be required to sign an agreement
`assigning first ownership of such rights to the University as a condition of participation in a specific
`project. The University as first owner reserves the right to exploit such IP. In such cases the
`University will normally collaborate with the student originator(s) and share benefits deriving from any
`exploitation as if the student(s) were employees. Any student asked to assign Intellectual Property
`Rights (IPR) to the University will be advised that they are responsible for seeking their own
`independent legal advice, as appropriate, and that they can approach the Student Union student advice
`centre for information on how to proceed.
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`Where there has been any input by University staff, or use of University resources, in the creation of IP
`by students, the University may claim a fair and reasonable interest in the intellectual property and any
`revenue arising from any exploitation.
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`IP issues will be considered as an essential part of planning for any externally funded activity.
`Bournemouth University will generally seek to retain rights to IP arising from its research,
`development and other work. However, it recognises that where a collaborator pays a commercial rate
`covering at least the full cost of a project this may not be appropriate. The University will seek to
`derive a benefit from collaborative projects commensurate with its contribution to a project, and will
`normally recognise contributing members of staff and students in the distribution of any revenue or
`other benefit.
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`10.0 INITIAL REVIEW
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`Following registration, the student and supervisory team should submit the Initial Review form to the
`SRC within 6 months (See Form RA06InitRev98).
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`It is at this stage that the supervisory team will satisfy itself that the student has the necessary
`background and intellectual grasp of the research topic for further study, or recommend a programme
`of work to complete the necessary background.
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`The Initial Review will incorporate:
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`an abstract;
`research project definition, aims and objectives;
`background to the project;
`literature review;
`outline of the methodology and approach to be used;
`proposed time-scale for the work;
`bibliography.
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`The Initial Review will provide an opportunity to identify weaknesses that may need to be addressed,
`to develop the focus of the programme of study and ensure that the student, School and supervisory
`team have addressed the specific Health and Safety, Ethical and IPR requirements of the programme of
`study.
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`The SRC approves supervision arrangements for research students and should be informed of
`membership of the supervisory team including reasons for its composition. In some cases, advisors
`from outside the University are also incorporated into the supervisory team to assist with specialist
`areas.
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`The SRC will consider the programme on the basis of pre-reviewed papers and thorough discussion.
`Once approved by SRC, the detailed minute with any recommendations for amendments to the
`research programme will be reported to Research Degrees Committee (RDC) for information.
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`The School Research Administrator will be able to provide the student with an example of good
`practice.
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`10.1 AFTER COMPLETION OF THE INITIAL REVIEW
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`The following guidelines within the Research Awards Handbook have been prepared for students who
`have successfully completed the Initial Review after six months’ registration on a research degree
`programme, and who are preparing for transfer to a higher award and/or viva voce examination.
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`If the SRC does not accept the Initial Review, a student may be asked to re-submit the work, or steps
`may be taken to terminate the student’s registration (see Section 12).
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`11.0 MONITORING OF PROGRESS
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`To facilitate continual progress, the student should feel able to discuss criticisms openly and directly
`with their supervisors.
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`To enable the student to maintain reasonable progress throughout the research programme, the
`supervisory team should:
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`Research Awards Handbook
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`11
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`BLACKBERRY EX. 1017, pg. 11
`Blackberry v. Zipit
`IPR2014-01507
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`

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`return submitted written work with comments promptly (provided the work is legible and
`delivered on time), and for discussion at the next meeting;
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`provide constructive comments on both technical details and writing style for written work,
`including the formal draft of the thesis;
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`ensure the student is made aware, at the time, of inadequacy of progress or lower standards of
`work than that generally expected;
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`recommend to the SRC when procedures for upgrading/transfer of study should be initiated;
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`report in writing to the SRC on the progress of the student as required by the School within the
`Annual Monitoring process. It is essential that you are involved in this process and you will be
`expected to review and comment on all such progress reports.
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`It is the responsibility of School Research Administration to continually monitor the student’s
`progress.
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`Assessment of progress may be identified within School procedures and may include:
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`student led research seminars during which oral presentations of work are made to other research
`students and staff;
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` written reports, including supervisory meetings;
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`interviews, in some cases, may be a part of the annual monitoring process;
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`an annual written report of progress. Assessment will normally take place at School level and
`confirmation of student status forwarded to the RDC. All reports will be dealt with in a
`confidential manner.
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`12.0 FAILURE TO PROGRESS
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`The following is the set procedure under which the University is entitled to terminate a student's
`registration.
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`12.1 LACK OF ACADEMIC PROGRESS
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`Concerns about progress should be identified as early as possible so that corrective measures can be
`taken. Such concerns will normally include failure to meet deadlines, failure to produce work or
`provide work of a suitable standard.
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`Research students must initially receive a verbal warning about lack of academic progress before
`receiving a formal written warning. Without receipt of a formal written warning, a student may not be
`asked to withdraw from the University.
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`The student must be given an opportunity to improve performance within a reasonable period of time.
`The definition of a 'reasonable period' will depend on the circumstances of each case, but will normally
`be a period of