2. Upgrade to PhD

Guidelines for students registered prior to 1st August 2023 (and after August 2019).

The upgrade procedure will take place at 9 months after initial registration, pro rata for part-time students, and will be completed by 12 months.

In brief, students will compile and submit a PhD upgrade report with a deadline of no later than 9 months (pro rata for part time students) following initial registration.

The 3,000-5,000 word (maximum) report should:

• Outline the background to their research within the context of a review of the wider literature.
• Identify the aims, objectives and main hypotheses under test.
• Outline the methodological approaches currently used or under development.
• Include original data with clear discussion of findings within the context of the wider field.
• Include a solid work plan for the remaining time of the studentship, providing dates for expected completion of data collection for each chapter, data analyses, and thesis preparation.
• Demonstrate some risk analysis and show some contingency planning for future work.

Supervisor(s) should oversee the scientific content of the report by providing detailed comments to one version of the full report prior to submission.
The student will be required to attend an assessment panel meeting consisting of an independent assessor, the department’s Director of Postgraduate Research (or deputy) and the primary supervisor (as an observer). The format of the meeting will consist of a presentation (up to 25 minutes) by the student followed by a Viva voce interview. The panel review will conclude with an independent and confidential.

Guidelines for students registered prior to 1st August 2023 (and after August 2019).

The upgrade procedure will take place at 9 months after initial registration, pro rata for part-time students, and will be completed by 12 months.
In brief, students will compile and submit a PhD upgrade report with a deadline of no later than 9 months (pro rata for part time students) following initial registration.
The 3,000-5,000 word (maximum) report should:

• Outline the background to their research within the context of a review of the wider literature.
• Identify the aims, objectives and main hypotheses under test.
• Outline the methodological approaches currently used or under development.
• Include original data with clear discussion of findings within the context of the wider field.
• Include a solid work plan for the remaining time of the studentship, providing dates for expected completion of data collection for each chapter, data analyses, and thesis preparation.
• Demonstrate some risk analysis and show some contingency planning for future work.

Supervisor(s) should oversee the scientific content of the report by providing detailed comments to one version of the full report prior to submission.
The student will be required to attend an assessment panel meeting consisting of an independent assessor, the department’s Director of Postgraduate Research (or deputy) and the primary supervisor (as an observer). The format of the meeting will consist of a presentation (up to 25 minutes) by the student followed by a Viva voce interview. The panel review will conclude with an independent and confidential.

Pre 19/20

Guidelines for students registered prior to 1st August 2019

The upgrade procedure should be started no later than 18 months after initial registration, 36 months for part-time students.
In brief, this should include a brief summary of the background literature relevant to the student’s project together with a succinct description of the issues they are addressing in the thesis, a rationale for the empirical studies they are proposing to undertake or have already undertaken, and a clear indication of how these will constitute 'a distinct contribution to knowledge of the subject'. It must also include a short report on at least one empirical study the student has conducted so far. It should end with about 1,000 words describing the future research plans, including a detailed thesis plan (specifying dates when you expect to complete different phases of the data-collection and writing). In many cases the student will have written, and the supervisors seen, draft literature reviews and/or write ups of empirical work longer than can be accommodated within the 6,000 words of the upgrade report; the upgrade report may therefore consist partly of edited highlights - extracts of such longer documents with suitable linking material.

Post 19/20

Guidelines for students registered prior to 1st August 2023 (and after August 2019).

Timing:

PhD students starting from 2019/20 onwards will need to complete the upgrade process within 12 months from starting the programme (pro-rata for part time students). The deadline for upgrade report submission will be 9 months.

Purpose of the upgrade:
• Establish feasibility of the project plan, taking into account progress in the first 9 months;
• confirm student’s capability to carry out the proposed project;
• provide student and supervisory team with external feedback on project progress and future plans;
• give student an experience of a viva-like situation.

Expectations from the upgrade report:
The report needs to include a statement of the research question, literature review, objectives, proposed programme of research (detailed thesis plan), timeline. It could include (pre-registration) protocol for the first study and a note on completed training (optional).
These expectations will be applied with some flexibility, for example in case of interdisciplinary projects (where the funding period could be longer, training may take substantial part of year 1 - in these cases, less detailed plans could be expected).
Word limit – 3000 words, appendices are allowed.

Other expectations:
Students are expected to present to their research group before the upgrade viva takes place. This can be done informally (e.g. without an expectation to fill a full hour slot).

Panel Composition:

For students registered before 2023/24 the panel composition with be Department DPGR and one independent assessor.

For students registered from 2023/24 the panel composition will be two independent assessors. 

Guidelines for students registered prior to 1st August 2023 (and after August 2019).

A) Written upgrade document must be uploaded by the candidate on MyPGR within 9 months of full-time registration (pro-rata for part-time students).
The document should be limited to 5000 words and should contain the following sections:
An introduction and brief review of literature that provides an outline description of the research problem, its background and its relationship to existing literature, with brief definitions of central concepts. There should be a clear statement of how the candidate expects the final thesis to "form a distinct contribution to knowledge of the subject".
Thesis aims and objectives including research questions and hypotheses for each experimental chapter.
An outline of the proposed general methods (referenced) of data collection and analysis with any key methodological issues (such as ethics) highlighted.
A contents page for the thesis displaying the chapter plan, with information on what work has already been completed towards each chapter. This is to show where the pieces of work already completed and proposed work fit into the structure of the thesis as a whole.
A draft timetable for completion of the thesis within the candidate’s period of study.
A transcript detailing the research training undertaken to date.
Reference list (N.B. not included in word count).
B) Upgrade viva
Following the submission of the written upgrade document, upgrade requests will be considered by a Upgrade Committee comprising the department’s Director of Postgraduate Research (or deputy) and at least one other member of staff, none of whom should be (or have been) a supervisor or PGR Pastoral Tutor of the student.
The Committee shall viva the student.
The student’s lead supervisor should attend the Committee’s meeting as an observer. To allow the student to make any comments they wish to the Committee without their supervisor being present, the student shall always be invited to talk with the Committee after the supervisor is asked to leave.
Final requests for transfer should normally be made no later than after 9 months of full-time registration (pro-rata for part-time students).

Guidelines for students registered prior to 1st August 2023 (and after August 2019).

Please refer to https://www.exeter.ac.uk/v8media/specificsites/tqa/pgr/PGR_Handbook_Chapter_9.pdf

For upgrade forms and further specific guidance please see the resources page. 

• The whole upgrade process including approval of any revisions should be completed by 12 months of full-time registration with the upgrade report deadline at 9 months, pro-rata for part-time students.
• Assessment is led by an Upgrade Panel which will be chaired by the Department Director of PGR or their nominee, along with a second academic. The lead supervisor may attend the viva as an observer.  
• PGR Support will notify the student and lead supervisor of the upgrade deadline at entry and sends a reminder approximately 6-8 weeks before the deadline.
• Lead supervisor completes the supervisor form via MyPGR, seeks approval of panel from Department Director of PGR or their nominee, and submits the panel nominations to PGR Support by email at least 4 weeks prior to the meeting of the panel.
• Student must log into iExeter and select the Student Record tab. Alongside the contact diary there is a link to ‘My upgrade’. The student must produce a report, normally four sides of A4 excluding tables, figures and references, detailing the background to their current research, an outline of progress to date including any training, the originality and contribution to knowledge that the PhD element will make, a plan for the proposed future work (including a Gantt chart) and an indicative chapter structure for their thesis. Student uploads their report to MyPGR by the upgrade report deadline on MyPGR.
• Department Director of PGR or their nominee reviews supervisor form and Report and approves progression to viva.
• Once approved, PGR Support distribute the link to the upgrade documents and ILP (if applicable) to the Panel  via MyPGR. The lead supervisor is responsible for liaising with panel to agree a suitable date for the upgrade presentation and viva.
• PGR Support announce the upgrade presentation to department staff and students, naming the convener and lead supervisor.
• There will be a 20-25 minute oral presentation by the student to an audience of academic staff and students, followed by 5-10 minute question and answer session.
• If the presentation is online then either an electronic invitation link can be sent out, or a registration system can be used and the link to the event sent to people requesting to take part.
• The Upgrade Panel will interview the candidate in private following the oral presentation.
• The Panel may recommend either that the student upgrade with no modifications, resubmit the upgrade documents to the Panel with or without further oral presentation, or does not upgrade.  The Panel should then complete the Panel Report Form via MyPGR
• PGR Support will notify the student regarding the decision of the Panel via MyPGR PGR Support will also ensure all other relevant records (for example MyPGR) are updated accordingly.

CMH Upgrade Process - Frequently Asked Questions:

How long should the public talk last?

We recommend you plan for it to last around 25 minutes with a further 5-10 minutes for questions.

How long will the viva with the Upgrade Panel last?

This should not normally last longer than 90 minutes (and may often be less).

Can my supervisors attend the viva?

Yes one of them can if you are happy for them to do so. Normally we would expect this to be your main supervisor. They cannot take part in the viva and are present only as an observer.

How strictly enforced is the four page limit for the report?

We recommend that the report short be about four pages and if appropriate this can be supplemented with an appendix containing data or other suitable material. This length provides good practice in the art of writing succinctly. Reports should never be longer than six pages and any that are will normally be returned by PGR Support for re-writing.

My supervisor feels the best Chair of the Upgrade Panel is someone from outside the department– is that allowed?

In certain circumstances it might be, but this needs specific permission from the Department Director of PGR or their nominee, in all instances the Chair needs to be a substantive academic staff member of the University of Exeter.

Can members of the Upgrade Panel be from outside the University of Exeter?

Again, in specific and prior approved circumstances the second member of the Upgrade Panel (but not the Chair) can be from outside the University of Exeter (for example an appropriately qualified member of the NHS). Prior approval must be sought from the Department Director of PGR or their nominee.

When should the candidate hear the outcome?

The candidate should be informed of the next steps in the process and the panel’s decision as soon as possible after the meeting by the Chair of the Panel. They will then be responsible for completing the sections on the panel report form in MyPGR.   

Is the upgrade a mock-VIVA?

No, it is not intended to be. Rather it is meant to be a realistic assessment of progress to date and whether this is, where it should be. It is also intended to ensure that the research produced will "form a distinct contribution to knowledge of the subject" with the production of a PhD thesis in the required time period.

Deferrals to Upgrade please refer to - https://www.exeter.ac.uk/v8media/specificsites/tqa/pgr/PGR_Handbook_Chapter_9.pdf

In very exceptional circumstances, students may be registered directly for the PhD. In these cases students will be expected to have met the same requirements as for upgrade from the MPhil in the same time periods. If they have not, consideration will be given as to whether they should be downgraded to MPhil status.

Guidelines for students registered prior to 1st August 2023 (and after August 2019).

Please refer to https://www.exeter.ac.uk/v8media/specificsites/tqa/pgr/PGR_Handbook_Chapter_9.pdf

For upgrade forms and further specific guidance please see the resources page.

• The whole upgrade process including approval of any revisions should be completed by 12 months of full-time registration with the upgrade report deadline at 9 months, pro-rata for part-time students.
• Assessment is led by an Upgrade Panel which will be chaired by the Department Director of PGR or their nominee, along with a second academic. The lead supervisor may attend the viva as an observer.  
• PGR Support will notify the student and lead supervisor of the upgrade deadline at entry and sends a reminder approximately 6-8 weeks before the deadline.
• Lead supervisor completes the supervisor form via MyPGR, seeks approval of panel from Department Director of PGR or their nominee, and submits the panel nominations to PGR Support by email at least 4 weeks prior to the meeting of the panel.
• Student must log into iExeter and select the Student Record tab. Alongside the contact diary there is a link to ‘My upgrade’. The student must produce a report, normally four sides of A4 excluding tables, figures and references, detailing the background to their current research, an outline of progress to date including any training, the originality and contribution to knowledge that the PhD element will make, a plan for the proposed future work (including a Gantt chart) and an indicative chapter structure for their thesis. Student uploads their report to MyPGR by the upgrade report deadline on MyPGR.
• Department Director of PGR or their nominee reviews supervisor form and Report and approves progression to viva.
• Once approved, PGR Support distribute the link to the upgrade documents and ILP (if applicable) to the Panel  via MyPGR. The lead supervisor is responsible for liaising with panel to agree a suitable date for the upgrade presentation and viva.
• PGR Support announce the upgrade presentation to department staff and students, naming the convener and lead supervisor.
• There will be a 20-25 minute oral presentation by the student to an audience of academic staff and students, followed by 5-10 minute question and answer session.
• If the presentation is online then either an electronic invitation link can be sent out, or a registration system can be used and the link to the event sent to people requesting to take part.
• The Upgrade Panel will interview the candidate in private following the oral presentation.
• The Panel may recommend either that the student upgrade with no modifications, resubmit the upgrade documents to the Panel with or without further oral presentation, or does not upgrade.  The Panel should then complete the Panel Report Form via MyPGR
• PGR Support will notify the student regarding the decision of the Panel via MyPGR PGR Support will also ensure all other relevant records (for example MyPGR) are updated accordingly.

CMH Upgrade Process - Frequently Asked Questions:

How long should the public talk last?

We recommend you plan for it to last around 25 minutes with a further 5-10 minutes for questions.

How long will the viva with the Upgrade Panel last?

This should not normally last longer than 90 minutes (and may often be less).

Can my supervisors attend the viva?

Yes one of them can if you are happy for them to do so. Normally we would expect this to be your main supervisor. They cannot take part in the viva and are present only as an observer.

How strictly enforced is the four page limit for the report?

We recommend that the report short be about four pages and if appropriate this can be supplemented with an appendix containing data or other suitable material. This length provides good practice in the art of writing succinctly. Reports should never be longer than six pages and any that are will normally be returned by PGR Support for re-writing.

My supervisor feels the best Chair of the Upgrade Panel is someone from outside the department– is that allowed?

In certain circumstances it might be, but this needs specific permission from the Department Director of PGR or their nominee, in all instances the Chair needs to be a substantive academic staff member of the University of Exeter.

Can members of the Upgrade Panel be from outside the University of Exeter?

Again, in specific and prior approved circumstances the second member of the Upgrade Panel (but not the Chair) can be from outside the University of Exeter (for example an appropriately qualified member of the NHS). Prior approval must be sought from the Department Director of PGR or their nominee.

When should the candidate hear the outcome?

The candidate should be informed of the next steps in the process and the panel’s decision as soon as possible after the meeting by the Chair of the Panel. They will then be responsible for completing the sections on the panel report form in MyPGR.    

Is the upgrade a mock-VIVA?

No, it is not intended to be. Rather it is meant to be a realistic assessment of progress to date and whether this is, where it should be. It is also intended to ensure that the research produced will "form a distinct contribution to knowledge of the subject" with the production of a PhD thesis in the required time period.

Deferrals to Upgrade please refer to - https://www.exeter.ac.uk/v8media/specificsites/tqa/pgr/PGR_Handbook_Chapter_9.pdf

In very exceptional circumstances, students may be registered directly for the PhD. In these cases students will be expected to have met the same requirements as for upgrade from the MPhil in the same time periods. If they have not, consideration will be given as to whether they should be downgraded to MPhil status.

BBSRC SWBIO

For students funded under the BBSRC SWBio Doctoral Training Partnership, the upgrade deadline will coincide with the successful completion of the first year of the DTP programme.
Reports submitted as part of the BBSRC DTP programme will preclude the need for preparing any further report. The student would then only be required to submit:

1. Their SWBio RP1 & RP2 reports plus any available marksheets from their supervisors.
2. Their SWBio scoping document and GANTT chart plan for the remainder of their PhD

Your PGR support team will send you an email with the information for your upgrade. 

For MRC GW4 BioMed DTP students, the upgrade process should be completed by 15 months of full-time registration with the upgrade report deadline at 12 months, pro-rata for part-time students. The report deadline within MyPGR will be 12months from the date you started your programme.