Chapter 21 - PGR Aegrotat and Posthumous Awards

21 - PGR Aegrotat and Posthumous Awards

1. Introduction
2. Scope
3. Definitions
4. Eligibility
5. Initiation of the Procedure
6. Awards after Viva Examination or where a Viva is not an award requirement
7. Awards after Thesis Submission and before Viva Examination
8. Awards before Thesis Submission
9. After the Examination
10. Review of Outcomes if the examiners cannot agree on a final recommendation
11. Outcome
12. Final thesis submission
13. Certification
14. Graduation
15. Confidentiality & GDPR

1. Introduction
   1. This policy relates to the award of a Postgraduate Research Degree (PGR) in the event of the death of the candidate (posthumous) or the diagnosis of a terminal / debilitating illness or other incapacitation, prior to the completion of their programme (aegrotat).
   2. This policy forms part of the University’s Postgraduate Research Teaching Quality Assurance (TQA) Manual. Other University policies and procedures which are connected to this policy are as follows:
      1. TQA PGR Handbook
         1. 11 - Presentation of theses/dissertations for Postgraduate Research degrees: statement of procedures 
         2. 12 - Handbook for Examination of Postgraduate Research programmes
      2. Ordinances
         1. Ordinance 15 Post-Obitum Awards
         2. Ordinance 16 Aegrotat Awards
   3. Staff are advised to liaise with the Head of PGR Support about the Student Death Protocol, for details of how the University handles the event of a student death. When the Head of PGR Support is notified of a student death, this procedure may be initiated.
   4. The PGR Manager for the student’s department will be the “point of contact” with the candidate or the candidate’s next of kin and will be responsible for sharing the outcome of consideration under this policy.
   5. A guidance document to support the consideration of posthumous or aegrotat awards will be made available and should be provided to relevant staff and examiners that are involved in the examination of a candidate under this policy.
   6. Procedures outlined in this policy are applicable to both posthumous and aegrotat awards, unless explicitly stated that a procedure only applies to one. Where a procedure only applies to one, it will be highlighted in bold. For example: “PGR examiners may recommend that a posthumous award should be made…”
2. Scope
   1. This policy is applicable to students registered on postgraduate research degrees specified under the Regulations Governing Academic Programmes, section 2: Graduate Research Programmes, with the following exceptions which are not covered by this policy:
      1. Professional Doctorates (see 2.2 for further details).
      2. Students in the taught phase of a 1+3, 2+3 or integrated PhD (see 2.3 for further details).
      3. Students registered for joint/double degrees or on a partnership with an external institution or organisation will be considered on a case-by-case basis (see 2.4 for further details).
   2. Where a student is enrolled on a professional doctorate and has completed some taught modules, the regulations for Taught programmes shall apply. They may be eligible for an exit award in recognition of the completion of their taught modules. Further information for Taught Students is available in the TQA Handbooks: Learning and Teaching Support Handbook and Assessment, Progression and Awarding: Taught Programmes Handbook. Every effort should be made to explore whether an alternative research degree may be considered for Professional Doctorate Students who have a complete (or near complete) research dissertation (e.g., MbyRes).
   3. Where a student has funding for a "1+3" or a “2+3” award (1 or 2-year MRes followed by a 3- year PGR programme), this policy applies to the research (PGR) section only. Where a candidate is incapacitated during the MRes section of the programme, the regulations for Taught programmes shall apply. Further information for Taught Students is available in the TQA Handbooks: Learning and Teaching Support Handbook and Assessment, Progression and Awarding: Taught Programmes Handbook.
   4. Where students are registered on a joint/double degree or are registered on a partnership with another institution or organisation will not automatically be considered under this policy, as external parameters may apply. Where possible, discussion with the partner institution/organisation will be needed to confirm what options are available for the student/student’s next of kin.
3. Definitions
   1. Posthumous Award
      1. PGR examiners may recommend that a posthumous award is made following the death of a candidate who died prior to completing their research degree, provided that the candidate completed a significant body of work to demonstrate that they would have met the appropriate standard for the award.
      2. Posthumous awards should have the support of the deceased candidate’s next of kin and the Department DPGR prior to any application or an examination under this policy.
   2. Aegrotat Award
      1. PGR examiners may recommend the award of an aegrotat research degree if it is considered that a candidate’s diagnosis of a terminal/debilitating ongoing ill-health or their medical incapacitation would preclude them from completing their research degree, provided that the candidate completed a significant body of work to demonstrate that they would have met the appropriate standard for the award.
      2. Noting that candidates may become unwell or for other reason decide to interrupt or withdraw from their studies, they will only be considered under this procedure for an aegrotat award where they have received a prognosis that would prevent their further engagement in any study or research for the foreseeable future, such as traumatic injury or a terminal and/or debilitating illness. As such, Aegrotat awards are not made as an alternative to the application of reasonable adjustments to the viva or examination of the thesis.
      3. Aegrotat awards do not confer eligibility for professional registration nor exemption from meeting the conditions of professional qualifications that might otherwise be granted upon completion of the candidate’s programme of study. For students enrolled on professional doctorate programmes, refer to section 2 above.
      4. Any application for an aegrotat degree must be accompanied by appropriate medical evidence which confirms the candidate’s inability to proceed with their award. This must be from a medical professional and must confirm the candidate’s diagnosis of a terminal/debilitating ongoing ill-health or their medical incapacitation which would preclude them from completing their degree (see Section 3 for definitions). Where such documents are produced in a language other than English, a certified translation is required.
      5. The candidate is required to confirm that they will accept an aegrotat award prior to any consideration to make an application or an examination. Where the candidate is able, they may provide written consent for a next of kin to act on their behalf. Where the medical evidence confirms that a candidate is not able to provide written consent, the next of kin may act on their behalf.
      6. The aegrotat award will be considered as the conclusion of a student’s registration on the programme, and there will be no further re-assessment. In line with the University regulations. The candidate would not be permitted to enter a further period of research study based on the same topic, should their condition improve, and they once again become fit to study.
      7. Applications for aegrotat degrees will be considered by the Faculty/School PGR Manager and the Department Director of Postgraduate Research (DDPGR) who will submit a case to the Dean of PGR, who will consider the circumstances and advise the Examiners. The application should be copied to the Faculty Director Postgraduate Research (FDPGR) for information.
      8. The Dean of PGR will be required to consider whether the medical evidence is sufficient to demonstrate that the candidate is not able to complete their programme and will confirm this with the Board of Examiners.
      9. The option to award an aegrotat degree is at the sole discretion of the Examiners and is considered a matter of academic judgement.
4. Eligibility
   1. Both posthumous and aegrotat research degrees may be awarded at any stage of the programme or examination process, provided that the candidate completed a significant body of work to demonstrate that they would have met the appropriate standard for the award. For this reason, the awards will normally only be considered in exceptional circumstances.
   2. Where a student has not completed sufficient work to be considered for their registered target award, consideration will be given for an application of a posthumous or aegrotat lower research degree, where appropriate.
5. Initiation of the procedure
   1. In the event of a student’s death, the student’s IT account will be locked and will be manually managed by IT services. Ordinarily, a student’s account is closed 400 days following their departure from the University, although this may be managed manually following a student’s death. It is advised that this procedure is initiated before this 400-day limit, where possible.
   2. When the supervisors and/or PGR Support are notified of a student death or informed of the diagnosis of a terminal illness or medical incapacitation of a student, this policy should be discussed. The PGR Support Team should share the policy with supervisors who can consider whether the student’s research is at a point that an aegrotat/posthumous award could be considered. If they feel there is scope for an award, the PGR Manager should discuss this with the student or the student’s next of kin, as appropriate. 
   3. Upon request of the student’s next of kin, the PGR Manager should request written approval from the Registrar to approve that IT services may move the data in the student’s account to a secure SharePoint where the next of kin and supervisors may access it.
6. Awards after Viva Examination or where a Viva is not an award requirement
   1. Where a viva has already taken place, prior to the death, diagnosis or incident which prevents the student from being able to continue with their research, or where a viva is not a requirement of the relevant award, the examination procedure should continue, as closely as possible, in accordance with the TQA, PGR Handbook for Examination of Postgraduate Research programmes. The examination should proceed as normal with the exception that any amendments will not be required.
   2. The examiners should consider the merits of the work as presented and the candidate’s potential to complete should they have been able to continue.
   3. The examiners may make one of the following recommendations:
      1. There is sufficient evidence that the relevant posthumous or aegrotat award should be granted.
      2. There is insufficient evidence to award the relevant posthumous or aegrotat degree; however, there is sufficient evidence to award a lower research degree.
      3. There is insufficient evidence to make an award.
   4. In exceptional circumstances, examiners who are unable to agree on a recommendation must submit separate reports. These reports must clearly articulate the reasoning for their recommendation. For further information see section 10.
7. Awards after Thesis Submission and before Viva Examination
   1. Where a thesis has been submitted but the viva has not yet taken place, prior to the death, diagnosis or incident which prevents the student from being able to continue with their research, the examination should continue, as closely as possible, in accordance with the TQA, PGR Handbook for Examination of Postgraduate Research programmes. The examination should proceed as normal with the exception that any oral examination, amendments, or resubmission would not be required.
   2. If not already appointed, a non-examining independent chair (NEIC) must be added to the Board of Examiners, due to the extraordinary nature of the examination.
   3. The examiners should consider the merits of the work as presented and the candidate’s potential to complete should they have been able to continue.
   4. In place of the viva the examiners will be permitted to request additional information and/or ask questions of the supervisory team, prior to making an award recommendation via a joint examiner report.
   5. The examiners may make one of the following recommendations:
      1. There is sufficient evidence that the relevant posthumous or aegrotat award should be granted.
      2. There is insufficient evidence to award the relevant posthumous or aegrotat degree; however, there is sufficient evidence to award a lower research degree.
      3. There is insufficient evidence to make an award.
   6. In exceptional circumstances, examiners who are unable to agree on a recommendation must submit separate reports. These reports must clearly articulate the reasoning for their recommendation. For further information see section 10.
8. Awards before Thesis Submission
   1. Where a thesis has not yet been submitted for examination, the material produced by the candidate which demonstrates their performance at the level appropriate for the degree should be collated and prepared for an initial assessment (see 8.4 below). This material may include:
      1. a full draft thesis;
      2. partially complete thesis;
      3. draft thesis chapters;
      4. published work such as conference posters/presentations or journal articles;
      5. datasets from research conducted;
      6. draft publications;
      7. any related documentation which was to have been incorporated into the thesis;
      8. any other supporting information e.g., progress or annual monitoring reports.
   2. For a posthumous award, the lead supervisor is responsible for presenting the candidate's work for consideration. The supervisor should not add to or enhance the work. The lead supervisor will be required to confirm that the work is the candidate's own.
   3. For an aegrotat award, the candidate is responsible, where possible, for presenting their work for consideration with support from their supervisor/s. If the candidate is not able to do so, the lead supervisor will collate the work on their behalf. The supervisor should not add to or enhance the work. The lead supervisor will be required to confirm that the work is the candidate's own.
   4. Initial Assessment of candidate’s work
      1. An initial assessment should be completed by an independent panel to consider whether there is sufficient quantity of material to represent the thesis. The panel shall be chaired by the Faculty Director of PGR and supported by the Department Director of PGR.
      2. The candidate (where possible), or the supervisory team, should prepare the thesis material for consideration by the initial assessment panel. Where a thesis is partially complete, in draft form, or supported by research articles which would have been incorporated into a final thesis, the linking statements should be included in the document that will be submitted for examination. These should demonstrate how the different aspects of the thesis were expected to fit together. Any such links not written by the candidate should be clearly indicated as being the work of the supervisors. This may include, but is not limited to:
         • published work such as conference posters/presentations or journal articles;
         • datasets from research conducted;
         • draft publications any related documentation which was to have been incorporated into the thesis;
         • any other supporting information e.g. progress or annual monitoring reports.
      3. For both aegrotat and posthumous awards, the supervisory team must submit a written statement on behalf of the supervisory team, in support for the posthumous or aegrotat award, giving reasons why they feel that the degree should be awarded, in line with the expectations as outlined in the relevant examination regulations for the award. The supervisor statement should explain the nature of the submission, outlining where the material produced by the candidate fits into the planned programme of work.
      4. The initial assessment panel must be satisfied that there is enough to permit an academic judgement to be made in accordance with the aegrotat/posthumous examination process defined below.
   5. Examination of the candidate’s work before thesis submission
      1. If the decision is to proceed to examination, a Board of Examiners must be appointed for both aegrotat and posthumous award. The Board of Examiners will comprise of an internal and external examiner, in accordance with Section 4 in the TQA, PGR Handbook for Examination of Postgraduate Research programmes. The examiners must be made aware of the circumstances surrounding the examination, that is that they are considering an aegrotat or posthumous award (see also Section 15).
      2. The examiners should consider the supervisor report, the merits of the work as presented and the candidate's potential to complete should they have been able to continue.
      3. In place of the viva the examiners will be permitted to request additional information and/or ask questions of the supervisory team, prior to making an award recommendation via a joint examiner report.
   6. The examiners may make one of the following recommendations:
      1. There is sufficient evidence that the relevant posthumous or aegrotat award should be granted.
      2. There is insufficient evidence to award the relevant posthumous or aegrotat degree; however, there is sufficient evidence to award a lower research degree.
      3. There is insufficient evidence to make an award.
   7. In exceptional circumstances, examiners who are unable to agree on a recommendation must submit separate reports. These reports must clearly articulate the reasoning for their recommendation. For further information see section 10.
9. After the Examination
   1. The Board of Examiners should complete the relevant Board of Examiners report form after the examination. This report form should confirm whether the thesis is the work of the candidate (on the basis of the evidence provided) and indicate how the thesis meets the assessment criteria for the award in question (see ‘the Purpose of the Viva’).
   2. The report form must be completed and signed by all examiners, and the NEIC (where appointed). It should then be counter-signed by the Department DPGR (or nominee) and submitted to the Postgraduate Administration Office within three months of the receipt of the thesis by the examiners.
   3. In countersigning and approving the report the Department DPGR (or nominee) must confirm that they have read the comments in Part II, and agree that the decision is in line with the examiners’ comments and the outcomes as set out in this Policy, and the TQA PGR Handbook, Chapter 12 - Handbook for Examination of Postgraduate Research programmes
   4. The Postgraduate Administration Office will ensure that the report is submitted to the Dean of Postgraduate Research for approval, with final approval of award by Senate.
10. Review of outcomes if the examiners cannot agree on a final recommendation
    1. Where the examiners cannot agree on a recommendation, their reports and the material considered will be reviewed by an independent external examiner, who will review the original examiners’ reports along with the student’s work, to make a final recommendation.
    2. This final recommendation, with detailed explanation of their reasoning, will be held with the record of the decision and will be considered final.
11. Outcome
    1. The Postgraduate Administration Office will send the Board of Examiners’ report to the candidate or the candidate’s next of kin, as appropriate, copying in the supervisory team and nominated point of contact.
    2. Where appropriate the point of contact will liaise as necessary with regards to a certificate and/or attendance at a relevant graduation ceremony.
    3. When providing an outcome that the full award cannot be granted, the point of contact will ensure that this would have been due to a lack of evidence to support the award rather than a comment on the absolute quality of the research that could have been completed.
12. Final thesis Submission
    1. Within 4 weeks of notification that the examiners are recommending an aegrotat or posthumous award, the PGR Administration Team will deposit the examined version of the thesis/dissertation into ORE (Open Research Exeter). E-thesis Guidelines and E-thesis FAQs are available.
    2. Where a posthumous or aegrotat PGR award has been made, an explanatory note^[1] will be added to the thesis title page specifying the nature of the award, in addition to noting any relevant additions necessary and publication limitations, where relevant.
    3. Where an award has been made following examination of a document that is not a complete thesis, the examined work must still be submitted to ORE in the same format that it was presented to the Board of Examiners.  An explanatory note^[2]must be included in the title page of the document uploaded in addition to noting any relevant additions necessary and publication limitations, where relevant.
    4. When the deposit into ORE is successfully completed the PGR Administration Team will share the link to the thesis with the supervisory team and the nominated point of contact, who will liaise with the candidate or the candidate’s next of kin as appropriate.
    5. If elements of the thesis require permission of a copyright holder and permissions has not been obtained, two versions of the thesis must be submitted to ORE, one with and one without the third-party copyright material. The removed material should be replaced with a statement such as “this image has been removed by the author of this thesis/dissertation for copyright reasons”. Further information can be found on the E-theses and Copyright page of the University of Exeter Library website.
    6. The lead supervisor is responsible for confirming whether an embargo is needed for a complete thesis examined under this procedure. Where an award has been made to a document that is an incomplete thesis, the document will be placed under permanent embargo.
13. Certification
    1. Where a posthumous or aegrotat award is made, it will be made clear on all documentation that the degree has been awarded posthumously or as an aegrotat award. (e.g., Doctor of Philosophy (Aegrotat)).
14. Graduation
    1. In the case of a posthumous award, or where an aegrotat awardee is unable to attend, a representative confirmed by their next of kin will be permitted to attend a graduation ceremony to receive the award on behalf of the awardee.
    2. The University will respect the wishes of the awardee/awardee’s representative with regards to attendance at, and involvement with, the ceremony. The Graduation Team will liaise with the PGR Manager and the awardee/awardee’s representative in respect to the graduation ceremony as outlined in the Student Death Protocol.
15. Confidentiality & GDPR
    1. Consideration of candidates under this policy will mean that some members of staff will become aware of sensitive (health or other) data regarding candidates. Sharing this information should be limited as much as possible. For example, examiners only need to be aware that the candidate is being considered under this policy and do not need to have further information.