Cardiff University Procedures for the Conduct of Research Degree Examinations
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Introduction
1.1
The purpose of this document is to provide guidance to those involved in
arrangements for and conduct of oral (viva voce) examinations for research degrees,
including Convenors and Chairs of Examining Boards, Examiners and Candidates,
and to outline the University’s expectations of those involved.
1.2
This document draws on and expands upon relevant Senate Regulations of Cardiff
University. If there is any discrepancy between Senate Regulations and this
document, Senate Regulations shall take precedence.
1.3
The oral (viva voce) examination is an integral part of the research degree
examination process; it is not merely a ritual. An oral (viva voce) examination, as
described in this document, is mandatory for all research thesis submissions, with the
exception of the MRes.
1.4
For PhD, MD/MCh and MPhil degrees, the Examining Board that is constituted for the
purpose of the viva voce examination undertakes the only summative assessment of a
Candidate's work.
1.5
For professional doctorates, including the EngD, directed learning elements are
separately assessed and contribute to the overall assessment of the Candidate.
Nonetheless, an independent research project is a core element of all professional
doctorates and a viva voce examination, as described here, is required for the
assessment of that work.
1.6
The only circumstances in which the viva voce examination requirement can be
waived are where the appointed Examiners are independently of the view that a
resubmitted thesis meets the requirements of the intended degree award (see below).
Criteria for awards and thesis word limits
2.1
Criteria for research degree awards are contained within the relevant Senate
Regulations ('Senate Regulations for the Award of the Degree of PhD', etc.), and are
provided on the relevant 'Result and Report Form' for completion by the Examining
Board.
2.2
Senate Regulations also give the maximum word length of a thesis for each given
award: 80,000 words for PhD and EngD, 60,000 for MD, 50,000 for MPhil and MCh.
Senate Regulations state that the thesis shall not normally exceed the given word
length. This allows the School and the Examining Board some degree of flexibility
where the nature of the particular thesis lends itself to a longer than usual length.
2.2.1. In accepting for examination a thesis that exceeds the stated word limit, the
School is required to have determined that its length is appropriate for its
particular form, and is expected to have alerted potential Examiners during the
initial approach and sought their agreement to examine the thesis.
2.3
Particular forms of submission are required for PhD by Published Works and for
research degrees relating to the creative and performing arts. Here, Senate
Regulations stipulate the minimum and maximum word length for the accompanying
written commentary. Similarly, professional doctorate theses, other than for the EngD,
are defined in terms of minimum and maximum word lengths.
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Responsibilities for the examination: Head of School, Convenor and Chair
3.1
A Head of School is responsible to the relevant Pro Vice-Chancellor, Head of College
for the overall management of the research students in their School, including their
examination, and for assuring the integrity of the examination process.
3.2
Arrangements for the viva voce examination are overseen by the Convenor of the
Examining Board. The Head of School will act as the Convenor or will delegate this
responsibility to another member of senior staff in the School.
3.3
Where the Head of School shares responsibility with an appointed Convenor, the
division of duties should be made clear to all parties.
3.4
The Convenor will act as Chair of the Examining Board or will ensure that another
senior member of the School's staff is appointed to this role. The Chair is responsible
for the fair and proper conduct of the examination and for guiding the Candidate and
Examiners through the proceedings.
3.5
A Candidate's supervisor cannot assume the role of Convenor or Chair. Where the
Head of School is the supervisor s/he must appoint other staff member(s) to these
roles.
Composition of the Examining Board
4.1
Every research degree Examining Board shall comprise three members: the Chair; an
External Examiner; and an Internal Examiner (except in those cases where two
External Examiners are appointed, see below). No individual may assume more than
one of these roles.
4.2
A Head of School/Convenor may appoint other appropriate persons to act as expert
advisors to the Examining Board if merited by the project's topic or scope (e.g. an
industrially-based doctorate). A person so appointed may be invited to attend the viva
voce examination but has no right to vote on the decision of the Examining Board.
4.3
Two External Examiners are required where, at the time of thesis submission, a
Candidate is, or has been within the past three years, a member of Cardiff University
staff (at Lecturer grade or above). The Examining Board will be constituted with a
second External Examiner in lieu of the Internal Examiner.
4.4
Where there is a close personal relationship between the Candidate and a member of
staff in the School concerned, the Head of School/Convenor should consider the
appropriateness of appointing a second External Examiner, in lieu of an Internal
Examiner, to the Examining Board.
4.5
No member of the Candidate’s supervisory team can act as the Internal Examiner. A
supervisor may, however, be invited to attend the viva voce examination (see below).
Appointing the Members of the Examining Board
5.1
Examiners must be appointed in accordance with the relevant Cardiff University
Regulations ('Senate Regulations for the Award of the Degree of PhD', etc.).
5.2
The External Examiner is nominated by the Head of School/Convenor and is
appointed by the Registry, using the 'Nomination of Examiners' form.
5.3
The Internal Examiner and the Chair of the Examining Board are appointed by the
Head of School/Convenor. The appointments are reported to the Registry, using the
'Nomination of Examiners' and 'Confirmation of Examining Board' forms.
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Choosing the External Examiner
6.1
Proposal(s) for the External Examiner are generally made by the Candidate's
supervisors(s) to the Head of School/Convenor and their merits are considered in
accordance with the local protocol in the School. The University expects the
supervisor(s) to consult the Candidate on the proposal(s).
6.2
The External Examiner should possess specialist knowledge and expertise in the
subject area of the Candidate's research project, and should normally:
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be an experienced and published researcher;
hold a research degree;
have experience of examining UK research degrees, and particularly the degree
for which the thesis has been submitted;
hold/have held appointment within the university system at Senior Lecturer grade
or above.
6.3
In certain cases, it may be appropriate to appoint an external Examiner from outside
the university sector (e.g. a leading industrialist, researcher or professional
practitioner), and/or to appoint a relatively inexperienced or junior External Examiner,
where specialist knowledge and expertise is an overriding consideration. In either
case, the School will be required to show that the Internal Examiner and the Chair are
well-experienced in research degree examination (including for the degree for which
the thesis has been submitted).
6.4
An External Examiner should not normally be a former staff member of the University
or a former higher degree student of the School concerned, unless at least five years
have elapsed since retirement/resignation or qualification, respectively.
6.5
An External Examiner should not normally be invited on a frequent basis to examine
research degrees in the same School: it is unusual for the same External Examiner to
be appointed more than twice in a three-year period.
6.6
In addition, an External Examiner should not have direct personal or professional
knowledge of the Candidate. It is not uncommon for a Candidate to have met their
External Examiner during the course of their research studies, e.g. at a conference,
and discussed their work: this would not necessarily prohibit the appointment. The
School should exercise caution, however, and ensure that the nominee has not
provided direct advice or input into the Candidate's project.
6.7
Where a second External Examiner is appointed in lieu of an Internal Examiner, there
some flexibility may be permitted in respect of applying the criteria for appointment
(i.e. 6.2 above).
Choosing the Internal Examiner
7.1
The Internal Examiner should be a non-probationary member of the academic or
research staff (at grade 6 or above), be competent in the area of the work to be
examined, and have experience in examining research degrees or have received
training for this role.
7.2
No member of the Candidate's supervisory team can be appointed as the Internal
Examiner.
7.3
It is usual for the Internal Examiner to be appointed from within the School concerned,
but they may be appointed from another School of the University.
7.4
The person appointed as an Internal Examiner is likely to be known to the Candidate
but it is important that s/he is unconnected to the project and has an impartial view of
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the final thesis. Where an appropriate level of knowledge in the topic is limited in the
School and in the University, a Head of School/Convenor may appoint as an Internal
Examiner a member of staff who has acted as an Independent Reviewer for the
student's academic progress monitoring, so long as:
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Arranging the viva voce examination
8.1
It is the responsibility of the Convenor to ensure that the practical arrangements for
the viva voce examination are made.
8.2
The Convenor is responsible for ensuring the following:
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the Independent Reviewer has reviewed and commented only on discrete parts of
the Candidate's work, and not the full or substantive thesis; and
the Independent Reviewer has not acted in that capacity within the last 12 months
of the Candidate's fee-paying registration.
that a comfortable room is set aside for the examination, in a quiet and ‘neutral’
location;
that the room is properly accessible, equipped and functioning in respect of any
special provision requests of an Examining Board member or the Candidate
(including any adjustments following previously reported Extenuating
Circumstances), and/or of any specific requirements identified for the viva voce
examination (e.g. if the Candidate is required to give a presentation, see below);
that the arrangements for the examination are confirmed, in writing, to the
Candidate and the members of the Examining Board;
that each Examiner is sent one copy of the thesis, and instruction on submission
of their pre-examination written reports;
that the Chair and Internal Examiner are provided with the relevant examination
paperwork;
that the Chair of the Examining Board is notified of any known extenuating
circumstances that may affect the Candidate's performance during the viva voce
examination and is advised of appropriate action.
8.3
The Registry is responsible for sending the examination paperwork and the payment
forms to the External Examiner when making the appointment. The Registry also
directs the Chair and the Internal Examiner to the relevant documents on the web
when notified of their appointment.
8.4
The viva voce examination should normally take place within three calendar months of
the date of submission of the thesis. If this is not possible, the Candidate should be
kept informed on the progress being made to arrange the examination. The viva voce
examination must be held within twelve months of submission unless there are highly
exceptional circumstances.
8.5
An examination may not proceed without both the appointed Examiners being present.
In the event of an Examiner’s unexpected incapacity, the examination must be
postponed to another date. If circumstances arise that prohibit the appointed Chair
from attending, the Convenor may appoint a replacement if an appropriate member of
staff is available.
Holding the oral examination away from Cardiff or by Electronic Means
9.1
The viva voce examination should take place at Cardiff University and on a face-toface basis with all concerned present in the same room and at the same time.
Notwithstanding this expectation, it is recognised that it may be necessary - under
exceptional conditions - for arrangements to be made for examinations to take place
either in a different location or through electronic media.
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9.2
An application for an examination either to take place in a location other than Cardiff
University or by electronic media should be submitted to the Registry for the
consideration of the Chair of the Academic Standards and Quality Committee.
9.3
The Convenor may seek approval for the examination to be held in a location away
from Cardiff University if, for example, the Candidate or the External Examiner has
long-term health problems and has difficulty in travelling.
9.4
The Convenor may seek approval for the examination to be held through electronic
media where:
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conditions have arisen such that it would not be possible otherwise to proceed
with a viva voce examination (e.g. where a student cannot return to the UK
because of visa or other restrictions, or where there is a limited pool of expertise
and the nominated External Examiner is unavailable to travel to the UK); or
agreed arrangements for a face-to-face viva voce examination have had to be
abandoned because of unexpected circumstances: e.g. severe weather;
incapacity of one of the participants. (Note that where such circumstances as
these arise, the viva voce examination should normally be rescheduled rather
than be held through electronic media, unless the Candidate would suffer
disproportionately as a result of postponement.)
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9.5
Applications should be made in accordance with Cardiff University's 'Procedure for
Examination by Electronic Means'.
10 Extenuating circumstances
10.1 If the Candidate wishes to report any extenuating circumstances that will have an
impact on his or her performance during the viva voce examination, s/he should notify
the Convenor of the Examining Board, providing supporting evidence as appropriate.
The Convenor should take such circumstances into account in the timing and/or
location of the viva voce examination and in giving advice to the Chair on the conduct
of the examination. A scheduled examination will be postponed only in exceptional
and unforeseen circumstances.
10.2 If, following the outcome of the viva voce examination, the student feels that there
were extenuating circumstances that impacted on his or her performance during the
examination, s/he may appeal the result via the Appeals Procedure.
11 Purpose of the viva voce examination
11.1 The viva voce examination may serve different purposes, according to a Candidate's
differing qualities and those of the written thesis, but the essential purposes of the viva
voce examination are:
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to enable the Examiners to assure themselves that the thesis is the Candidate's
own work;
to enable the Examiners to assure themselves that the Candidate understands
the research that s/he carried out and what s/he has written in the thesis;
to enable the Examiners to assess the Candidate's ability to locate his/her work
within the broader context of the particular field of scholarship to which the project
relates;
to give the Candidate an opportunity to defend the thesis and to clarify any
obscurities or weaknesses in it: this is particularly important in borderline cases;
to enable the Examiners to explore how the thesis might be raised to the required
standard should they be unable to recommend the award at this stage.
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11.2 Examiners may also take the opportunity to discuss with the Candidate their
subsequent research or professional direction and/or to explore prospects for
publication.
12 The duties of the Examiners before the viva voce examination
12.1 The Examiners are required independently to assess the thesis and each to prepare a
written report on their reading of the work. These written reports are submitted to the
Convenor or the Chair of the Examining Board before the viva voce examination takes
place.
12.2 Immediately prior to the viva voce examination, the Examiners will confer with one
another, in the presence of the Chair, in order to:
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exchange copies of their independent reports (if this has not already been done);
identify the issues to be raised in the examination;
agree the broad strategy for the examination - who will ask which questions and
in what order.
13 The conduct of the viva voce examination: duties and responsibilities of the Chair
13.1 The Chair is responsible to the relevant Pro Vice-Chancellor, Head of College for the
proper conduct of the examination: that it is fair and that due process is followed. The
Chair must remain present throughout.
13.2 The Chair should be conversant with the regulations and criteria governing the award
of the relevant degree in order to be able to advise the Examiners as required, and be
responsible for seeing that the formal documentation is properly completed once the
examination has been held. The Chair is also responsible for taking proper account of
any extenuating circumstances reported by the Convenor and for adjusting the
running of the examination accordingly.
13.3 The Chair should not allow a candidate to be apprised of the likely result at the outset
of the viva voce examination. To do so would be to deny one of the primary purposes
of the examination - to confirm that the thesis is the Candidate's own work.
13.4 The viva voce examination should be allowed to run for as long as necessary for it to
serve its proper purpose. This is typically between two and three hours but may be
shorter or longer.
13.5 Specifically, the Chair should:
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greet the Candidate on arrival and introduce him/her to the Examiners;
take care to put the candidate at ease and explain the form that the examination
will take, as has been agreed by the Examiners;
ensure that each of the Examiners has proper opportunity to contribute to the
examination process;
ensure that the questioning of the Candidate is not allowed to become
aggressive;
ensure that a supervisor, if accompanying the student, does not speak unless
asked specifically, by the Chair, to do so;
ensure that the correct running order is adhered to (see below).
13.6 A supervisor, if present, must be asked to withdraw before the Candidate so as to
provide the Candidate with an opportunity to say anything to the Examiners that they
would prefer to say without the supervisor being present. The Candidate should be
asked whether they wish to make any further points pertinent to the thesis or research
project or their supervision. Candidates should not feel obliged to add such comments.
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13.7 The Candidate must be asked to withdraw before the Examiners begin their final
deliberations.
14 Summary presentation by the Candidate
14.1 Typically, a viva voce examination starts with the Candidate being asked to give a
brief overview of their research project, the research questions, key methods or
sources and the main outcomes. It has become common practice in some
disciplines/Schools for the Candidate to be asked to prepare a presentation for this
purpose. In such cases, the Candidate should not be judged on their presentation
skills; it is just a means of conveying the project summary to the Examiners.
14.2 It is the responsibility of the Convenor to ensure that the Candidate has adequate
notice of such a requirement, to include this aspect in the notification of arrangements
to the Examining Board members and the Candidate, and to ensure that any
necessary equipment is provided and functioning in the room assigned for the
examination.
15 Attendance of a supervisor
15.1 The University permits attendance of the supervisor(s) at the viva voce examination.
Regardless of the prevailing discipline practice concerning supervisor attendance, all
Candidates may invite their supervisor to attend their viva voce examination. Further,
if it is the standard practice of the School to invite a supervisor and the Candidate is
uncomfortable with this prospect, the Candidate's views should be respected and the
supervisor should not attend. In order to facilitate the arrangement of the viva voce,
the student should inform the Convenor whether they want their supervisor(s) to
attend at the earliest opportunity.
15.2 If attending, a supervisor may offer clarification to the Examining Board on a given
matter, for example if the PhD is linked to a wider research project, but only when
called upon specifically to do so by the Chair; the supervisor may not contribute in any
other way to the discussion or answer questions on behalf of the Candidate. The
supervisor cannot be present at any pre-viva discussion of the thesis or of the
Candidate, and must leave the examination before the Candidate does so, to give the
Candidate the opportunity to speak freely.
16 Completing the viva voce examination
16.1 Once the Examiners have concluded their deliberations and agreed a
recommendation, the Candidate should be invited back into the room and informed of
the outcome of the examination. If the Candidate wishes, the supervisor(s) may also
be present.
16.2 If the Candidate has not been successful on this occasion, the Chair should outline the
key deficiencies of the thesis. If the Candidate is permitted to resubmit, the Chair
should advise them that they will, in due course, receive a written statement of the
deficiencies to assist in the revision of the work (see 19 below).
16.3 If the Candidate has been recommended for the award but this is subject to
corrections and/or amendments, the Candidate should be provided with the
appropriate instruction when called back in to the examination room to be informed of
the outcome: it is the responsibility of the Chair to outline the areas that require
correction or amendment.
16.4 At the conclusion of the viva voce examination, the Examiners should agree upon, and
sign, the 'Joint Examiners' Report' section of the Result and Report Form, and the
'Formal Recommendation' which must be countersigned by the Chair.
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16.5 The External Examiner is asked to complete an additional section of the Result and
Report Form, 'Comments on Quality and Standards'.
16.6 The outcome of the viva voce examination should be reported immediately to the
Registry so that official notification can be issued to the Candidate of the result and of
any deadline for the completion of corrections or resubmission.
16.6.1. Where the recommendation of the Examining Board is to pass the thesis or to
pass the thesis subject to corrections and/or amendments, the original
documentation should be retained by the School until any required revisions
have been carried out satisfactorily and the thesis has been uploaded into the
University's digital repository. The Head of School/Convenor is then required to
confirm successful upload of the approved version into the digital repository as
part of the transfer of information to the Registry.
16.6.2. Where the recommendation of the Examining Board is not a pass, the Head of
School/Convenor should ensure that the examination paperwork is sent to the
Registry immediately following the examination.
17 Outcome of the viva voce examination: Examining Board recommendations
17.1 The permitted Examining Board recommendations are contained within the relevant
Senate Regulations ('Senate Regulations for the Award of the Degree of PhD', etc.),
and provided on the relevant 'Result and Report Form' for completion by the
Examining Board.
17.2 The Result and Report Form also includes advice to Examining Boards on interpreting
the decisions available to them. Definitions and example deficiencies are provided to
help the Examiners distinguish between 'pass subject to minor corrections', 'pass
subject to corrections and amendments' and 'not approved, permitted to resubmit', etc.
A thesis should only be recommended for one of the pass category decisions if it is
deemed to be satisfactory in substance and any defects are in detail and/or
presentation. Where a thesis is not approved, a resubmission within a period of one
further year should only be recommended where the Examiners can see evidence that
the Candidate is capable of modifications required for the thesis to meet the criteria for
an award.
18 Examiners' dispute: failing to reach agreement
18.1 In the rare event that the Examiners are unable to reach agreement over the outcome
of a research degree examination, no decision must be recorded. The Chair of the
Examining Board should write, via the Director of Registry, to the Chair of the
Academic Standards and Quality Committee giving a clear account of the
disagreement. The full Result and Report Form should accompany this account.
18.2 The Chair of the Academic Standards and Quality Committee shall make appropriate
arrangements for arbitration.
18.3 If an Arbitrating Examiner is appointed, the Candidate may be required to undergo a
further oral examination.
19 Written advice to candidates not recommended for the award but permitted to
resubmit
19.1 Where the Examiners do not recommend the award of a research degree but permit a
resubmission, then the Candidate will be provided with a written statement of the
deficiencies of the thesis, which has been agreed by both Examiners.
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19.2 The Convenor will arrange for this statement to be issued to the Candidate as soon
after the examination as is practicable; the University expectation is that no more than
two weeks as a maximum are required to provide the Candidate with the statement. A
copy of the statement shall be given to the Candidate's main supervisor.
19.2.1. It is the responsibility of the supervisor to advise their student through the
resubmission period. This responsibility cannot be assumed by the Internal
Examiner since doing so would compromise their impartiality in re-examining
the thesis.
19.3 The Data Protection Act provides that all candidates have the right to request access
to any comments or reports made about them, including those made in the context of
the examination.
20 Examination of a resubmitted thesis
20.1 In the case of candidates resubmitting a thesis for further examination, the original
Examining Board should be re-constituted.
20.1.1. Occasionally, circumstances dictate that a member of the original Examining
Board cannot continue in their role. If one of the original Examiners cannot
continue, the Registry must be notified and a replacement appointed
20.2 The Convenor is responsible for ensuring that each Examiner is sent one copy of the
thesis, and instruction on submission of their independent written reports.
20.3 If the Examiners are both satisfied that the resubmitted work meets the criteria for the
award of the degree for which it is being presented, it is open to them to waive the viva
voce examination requirement on this occasion. They may still stipulate that some
corrections are required.
20.4 If, however, the Examiners do not agree that the thesis can be approved for the
intended degree, a further viva voce examination must be held.
20.5 The same Result and Report Form template is used for resubmissions. The
documentation should be completed by the members of the reconstituted Examining
Board as above (with the exception of the 'Joint Report on the Candidate at the Oral
Examination' if this has been waived), and the Convenor should arrange for Registry
to be notified, as normal.
21 Appeals by Candidates against decisions of research degree Examining Boards
21.1 A Candidate who is not recommended for the award of the degree for which s/he
submitted a thesis, may appeal against the decision reached by the Examining Board.
21.2 Permitted grounds for appeal and the procedure are described in the Academic
Regulations Handbook: 'Cardiff University Appeals Procedure (Postgraduate
Research Degrees)'.
22 Suspicion of unfair practice
22.1 If there is reason to suspect unfair practice either during the examination of a thesis
pre-viva, or during the viva voce examination of the Candidate, suspicions must be
investigated in accordance with the 'Unfair Practice Procedure (Research Degrees)'.
22.2 'Cardiff University's Policy and Procedures in Relation to Academic Integrity in
Research Degree Study', which includes the Unfair Practice Procedure, is included in
the Academic Regulations Handbook.
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