Research Examiner/Independent Chair

Training Programme

http://www.worc.ac.uk/graduateschool/

Regulations and Procedures at Worcester

Helen Tabinor

Becoming Part of the Examination Panel

RDB3• A student’s supervisory team submits an RDB3 to the

Research Degrees Board normally three months but at least six weeks before the planned date of submission which sets out the examination panel.

• The RDB3 must be accompanied by RDB12s (i.e. CVS) for each examiner.

Becoming Part of the Examination Panel

The examination panel is selected according to the following regulations:• The Examination Panel must be made up of at least two independent examiners,

of whom at least one must be an External Examiner. • When the student is a current member of the University's staff (or has been a

member of staff in the 12 months prior to the viva voce examination), two External Examiners must be appointed.

• The panel must collectively have three or more previous examinations (internal and/or external) at the appropriate level.

• Each examiner must be experienced in research in the general subject area of a particular student’s thesis and, where practicable, have experience as a specialist in the topic(s) to be examined.

• Each examiner must not have acted previously as the candidate's supervisor or adviser.

• No person who is registered for a research degree, whether of the University or of any other university or institution of research education, may be appointed to act as an examiner.

• Any individual currently appointed as an Emeritus Professor, Honorary Professor, Visiting Professor or Honorary Research Fellow may undertake an internal examining and/or Independent Chairing role under these Regulations subject to approval from the Research Degrees Board.

Becoming Part of the Examination Panel

Research Degrees Board:• RDB approves the RDB3.• If approved, it also selects an Independent Chair.• The Independent Chair will normally be selected from the

RDB membership and will be an experienced supervisor and/or examiner.

Receiving the Thesis: Timescales

• An examiner will normally receive a student’s thesis no earlier (and often much later!) than three months after the Research Degree Board has approved the RDB3.

• If 12 months elapses from the time of approval, all examiners will be approached again to ascertain if:He/She remains independent.He/She is still willing and able to act as an examiner.

Reading the Thesis: Timescales

• When the thesis is submitted, a soft bound copy is forwarded to examiners along with the following information: guidance notes for examiners the relevant Research Degree Regulations an examiners feedback form the preliminary report form (RDB8)

• The examiners will normally be given at least six weeks to read and assess the thesis between its receipt and the date of the Viva.

Reading the Thesis: Obligations

• The examiner is required to read and assess the thesis and to submit a preliminary report (RDB8) to the University before the Viva.

• This report must be independent, i.e. examiners must not confer prior to submitting an RDB8.

• The RDB8 must be submitted to the GRS no later than one week prior to the Viva.

• If the examiners’ reports have not been received by the GRS one week prior to the University reserves the right to cancel the viva examination.

• The Independent Chair is not required to read the thesis or to complete a preliminary report form.

RDB8• In completing the RDB8, examiners are required to answer

yes/no to the following questions:Does the thesis show evidence of sustained independent

effort by the candidate?Does the thesis demonstrate exercise of critical powers?Does the thesis provide evidence of originality? Is the thesis satisfactory as regards literary presentation and

succinctness? Is the abstract of the thesis submitted acceptable?

• In addition the examiner must write a report of approx 300 words on the thesis.

RDB8• A copy of the RDB8 is sent to the Independent Chair. • It may, on request of an examiner, also be sent to the rest

of the examination panel but only once all RDB8s have been received.

The Viva• The student’s DoS and the GRS organize a date for the Viva

suitable to all involved.• The GRS contacts the examiners with finalized details of the

date, location and general structure of the Viva.• The Viva normally follows the following structure:

Pre-meeting of the examiners (1 hour)Pre-meeting of Examiners with the Independent Chair (30

minutes)Viva Voce itselfDecision

Pre-Meeting of the Examiners

• There is no formal procedure for this pre-meeting of the examiners but this may be the first opportunity for an examiner to hear the other examiners’ opinions (unless they have seen the RDB8).

Pre-Meeting of the Examiners and Independent Chair

The Independent Chair is expected to:brief the examiners on the University’s procedure. facilitate the development of an agenda.discuss with the examiners the possible outcome of the

viva . confirm the name(s) of the examiner who will review the

revised thesis (if amendments are required). identify which examiner will be responsible for collating

the comments and the composite list for the student within the specified time (normally within 7 days).

Viva Voce

Those present at the oral examination are:• The student• The examiners• The independent chair• The DoS and/or other supervisors at the written request of

the student

Conduct of the Viva

• In cases where examiners have already formed a strong position on the outcome there are no regulations as to whether they should or should not inform the student of this ‘position’.

• Some examiners, for example, choose to inform a student that they have passed at the outset; others do not.

Conduct of the vivaDuring the viva the role of the Independent Chair will include:

• introducing the student to the examination team.• discussing the format of, and agenda for, the oral examination.• acting as an observer throughout and facilitating a fair discussion.• taking notes of any perceived irregularities that may occur (but not of the

viva discussion itself). Possible reasons for taking notes include unusual circumstances or if procedures breakdown. If notes are taken, these should be submitted separately to the Graduate Research School.

• if necessary, stopping the oral examination. Possible reasons for this would include illness or if the candidate is severely struggling and therefore the continuation of the viva would be pointless.

• bringing the oral examination to a close and asking the student to withdraw.

Conduct of the viva

• The DoS/supervisor(s) attends the examination as an observer and is not permitted to contribute to the discussion in any way.

• The DoS/supervisor(s) is required to withdraw prior to the deliberation of the Examination Panel on the outcome of the examination.

Outcome of the viva• The Independent Chair remains in the examination room

while the examiners discuss and confirm the final decision but ensures that both the student and the DoS/supervisor(s) vacate the room whilst the decision is confirmed.

• An overall decision must be made on the day of the oral examination and communicated to the student.

Outcome of the viva• The Examiners, if in agreement, present a joint report and decision

to the University relating to the award of the higher degree being sought.

• It is the responsibility of the Independent Chair to ensure that the final report form (RDB9) is completed and signed by all members of the examining team on the day of the viva. The Independent Chair must also sign the RDB9.

• The preliminary reports (RDB8) and joint report of the examiners (RDB9) must together provide enough detailed observation on the scope and quality of the work undertaken to enable the University to be satisfied that the criteria for the award of the higher degree have been met.

• If the examiners are not in agreement, they must submit separate reports and recommendations to the University.

Outcome of the viva

• The Examination Panel shall only be permitted to recommend to the

University the following:a) that the student be awarded the degree for which registered;b) that the student be awarded the degree for which registered, subject to

amendments being made to the thesis to the satisfaction of the examiners, the timeframe of which will be decided by the examiners but shall not exceed 6 months;

c) that the student be permitted to resubmit for the degree concerned and to be reassessed, with or without a viva voce within 12 months;

d) that the student be not awarded the degree and be not permitted to be reassessed;

e) in the case of an assessment for a Doctorate, that the student be awarded the Degree of MPhil subject to the presentation of the thesis amended to the satisfaction of the examiners;

Outcome of the viva• Possible disagreements between the examiners will be apparent when

preliminary reports are received from the Examination Panel and will, at this point, negate the appointment of an experienced Independent Chair. The Independent Chair will, where possible, facilitate a decision of the examiners on the day of the viva.

• Where a decision can not be reached, a decision about the award will be passed to the appropriate assessment board; the Research Degrees Board, who will make a decision on how to proceed.

• This may be to accept a majority recommendation provided that majority recommendation has been supported by at least one External Examiner or require the appointment of an additional External Examiner in accordance with the procedures approved for the appointment of examiners.

Outcome of the viva

• When it is decided, on the recommendation of the Examination Panel, that the degree be not awarded and that no reassessment be permitted, the examiners must be required to prepare an agreed statement of the deficiencies of the thesis and give the reasons for their decision to be forwarded to the student and DoS.

Informing the student

• The student is recalled to the room and informed of the decision by the Examiners.

• A copy of the report and a list of amendments, as necessary, may be provided on the day if available.

• If not, these must normally be compiled and provided for the student in 7 days by one of the examiners as agreed at the pre-meeting.

Minor amends• The student has a up to 6 months (timeframe decided by the

examiners) to complete amends from the receipt of the examination report.

• The amended thesis must be checked by one or more of the examiners as agreed.

• Once satisfied that the amendments have been completed, the examiner(s) writes a letter recommending the student for the appropriate award.

Major amends• The student has a maximum of 12 months from the receipt of

the examination report to submit the revised thesis.• The revised thesis must be checked by one or more of the

examiners as agreed.• Once satisfied that the necessary revisions have been

completed, the examiner(s) writes a letter recommending the student for the appropriate award.

• If a further oral examination was agreed, the examination panel may remain the same but a new Independent Chair will be appointed.

Re-assessment of a Research Degree Thesis

• Only one opportunity for reassessment of the thesis shall be allowed.• The following forms of reassessment of the thesis shall be permitted:a) the thesis only to be reassessed after revision without the holding of a second viva

voce (and presentation, where specified);b) the thesis to be reassessed after revision followed by the holding of a second viva

voce (and presentation, where specified);c) a second viva voce (and presentation, where specified); after due time, without

the need to revise or resubmit the thesis;When the thesis is to be reassessed after revision (either with or without the holding

of a second viva voce and presentation, where specified), the Examination Panel shall only be permitted to recommend to the University the following:

• that the student be awarded the degree for which registered;• in the case of a PhD, that the student be awarded the fall back award of

MPhil, subject to very minor amendments being made to revise the thesis to MPhil standard to the satisfaction of the examiners;

• that the student be not awarded the degree.