Guidance for Examiners of
Research Degree Theses
July 2005
Research Office Graduate Education Team
Guidance for Examiners of Research Degree Theses
July 2005
CONTENTS
1.
Introduction
2.
Selection of Examiners
2.1.
Criteria for Choosing External Examiners
2.2.
Criteria for Choosing Internal Examiners
3.
Standard Required for Doctoral Degrees
3.1.
Doctor of Philosophy (PhD):
3.2.
Professional and Engineering Doctorates:
4.
Arranging the Oral Examination
5.
Composition of the Examining Board
5.1.
The Internal Examiner
5.2.
The External Examiner
6.
The Oral Examination Requirement
7.
Purposes of the Oral Examination
8.
Before the Oral Examination
9.
At the Oral Examination
10.
After the Oral Examination
10.1. Decision to Recommend the Award
10.2. Decision Not To Recommend the Award
10.3. Written Statement for Candidates Recommended to Submit a Revised Thesis
11.
Examination of a Resubmitted Thesis
12.
Appeals Procedure
13.
Data Protection
14.
Further Advice
Page 2 of 12
Guidance for Examiners of Research Degree Theses
July 2005
1.
INTRODUCTION
This Guidance has been produced to guide Examiners through the process of
thesis examination for doctoral degrees and should normally be followed. It is
a guide for good practice and any deviation would need to be approved by the
appropriate Faculty Vice-President and Dean. This Guidance does not apply to
MPhil Degree and PhD by Published Work for which specific Guidance exists.
2.
SELECTION OF EXAMINERS
The following instructions are sent to the Supervisor when he/she is asked to
nominate the Examiners:
2.1.
Criteria for choosing the External Examiner
a. One External Examiner is normally required who should:
•
have expertise in the area of the work to be examined;
•
be experienced in research, and have published, or have equivalent
professional experience;
•
have experience of the doctoral degree examination process and normally
have been an examiner for a doctoral degree;
•
hold a research degree at the level he/she is examining, or have equivalent
professional experience;
•
hold/have held an appointment within the university system, although it is
permissible to appoint an appropriate person from outside the university
sector, e.g. a senior industrial scientist or professional practitioner.
In the case of candidates who are members of the academic staff of the
University (grade of Lecturer or above) two External Examiners must be
appointed and no internal examiner will normally be appointed.
For the degree of EngD, there should normally be two External Examiners
(one with an academic background and one with an industrial background.)
The Industrial External Examiner should be of sufficient seniority and
experience to be able to assess the commercial aspects of the research as
reported in the thesis. Commercial confidentiality may restrict the choice of
Examiner, therefore it may be acceptable for the Examiner to be an employee
of the sponsoring company. However, the Examiner must be sufficiently
removed from the project to be genuinely independent and must have had no
involvement in the conduct or planning of the research project.
b. The External Examiner should not:
•
have had any collaboration with the candidate or have given any
substantive advice to the candidate on his/her research (except in the case
of a resubmitted thesis);
•
be either a current or former member of staff of The University of
Manchester, or its founding institutions, or its Affiliated Colleges, unless at
least six years have elapsed since he/she relinquished the post;
Page 3 of 12
Guidance for Examiners of Research Degree Theses
July 2005
•
be a former higher degree student of The University of Manchester, or its
founding institutions, unless at least six years have elapsed since the
degree was conferred;
•
normally be invited on a regular basis (more than once or twice a year) to
examine doctoral degrees at The University of Manchester.
The External Examiner should be asked to declare any significant personal,
financial or professional relationship with the candidate.
Regular pairings of Internal and External Examiners should be avoided.
Retired members of staff may be selected as long as they are still active in
their field.
NB: There may be occasions when the proposed External Examiner does not
meet all the criteria outlined above; for example, in a specialist subject area
where there is only a small pool of experts. In such cases approval to appoint
the Examiner must be sought from the Associate Vice-President for Graduate
Education.
2.2
Criteria for choosing the Internal Examiner
a. The Internal Examiner should:
•
have expertise in the area of the work to be examined;
•
be experienced in research, and have published, or have equivalent
professional experience;
•
hold an academic award at the level he/she is examining or have
equivalent professional experience;
•
be a member of the academic staff of The University of Manchester;
An inexperienced Internal Examiner should act initially as a co-examiner.
b. The Internal Examiner should not:
•
normally be the candidate’s Supervisor or Adviser. If it is felt that the
Supervisor or the Adviser is the only member of staff qualified to act as the
Internal Examiner, there must also be a second and senior Internal
Examiner who has significant experience of the research degree
examination process. A letter explaining the circumstances must be
submitted to the appropriate Committee;
•
be a candidate for the degree.
Please note that candidates have the right to appeal (for good and justifiable
reason) against the appointment of individual Examiners.
Page 4 of 12
Guidance for Examiners of Research Degree Theses
July 2005
3.
STANDARD REQUIRED FOR DOCTORAL DEGREES
Universities differ in the advice that they give to Examiners concerning the
criteria to be satisfied for an award. In the case of The University of
Manchester the following criteria apply:
3.1.
Doctor of Philosophy (PhD):
“The Degree of Doctor of Philosophy (PhD) is awarded by the University in
recognition of the successful completion of a programme of supervised
research and training, the results of which show convincing evidence of
the capacity of the candidate to pursue research and scholarship and
make an original contribution and substantial addition to knowledge.”
3.2.
Professional and Engineering Doctorates:
“A Professional or Engineering Doctorate is awarded by the University in
recognition of the successful completion of a programme of advanced
study and research, the results of which show convincing evidence of the
capacity of the candidate to pursue research and scholarship and make an
original contribution and substantial addition to knowledge. Such
programmes are equivalent to the intellectual challenge of a Doctor of
Philosophy (PhD) programme but are enhanced by additional taught
material in professional and technical areas, designed to meet the specific
needs of a professional group external to the University, and develop the
capability of individuals to work within a professional context.”
In accordance with the Regulations, theses submitted for PhD and EngD
degrees must not normally exceed 80,000 words of main text, including
footnotes and endnotes. Similarly, other doctoral theses must not normally
exceed 50,000 words of main text, including footnotes and endnotes. Prior
permission is required for submission of a thesis longer than prescribed.
4.
ARRANGING THE ORAL EXAMINATION
It is the responsibility of the Internal Examiner to make the practical
arrangements for the oral examination and to notify the appropriate Graduate
Office so that the arrangements are confirmed, in writing, to the candidate and
the External Examiner NOT LESS THAN ten days in advance. Failure to notify
the appropriate Graduate Office, in advance, of the time, place and date of the
oral examination may require a further oral examination to be arranged.
The candidate should normally be informed by his/her Supervisor within three
weeks of the receipt of the thesis by the Internal Examiner, of the date fixed for
the oral examination and agreed by the Examiners. The oral examination
should take place without undue delay, normally within two months of the
receipt of the thesis by the appropriate Graduate Office, and in no case beyond
three months.
Page 5 of 12
Guidance for Examiners of Research Degree Theses
July 2005
The Examiners may, at their discretion and subject to the agreement of the
candidate, invite the candidate’s Supervisor to attend an oral examination as a
silent observer and to answer questions put directly to him/her.
If requested in writing by the candidate, an open invitation shall also be issued
for the attendance of additional appropriate members of the University, for
example, teaching staff and other postgraduate students. If such an invitation
is issued, all attendees shall be required to give a prior undertaking in writing
to maintain confidentiality in respect of the subject matter of the thesis, and in
relation to any matters relevant thereto which may arise during the course of
the examination.
5.
COMPOSITION OF THE EXAMINING BOARD
Every Examining Board for doctoral theses shall comprise at least two
members.
5.1.
The Internal Examiner:
•
5.2.
is a member of the academic staff of The University of Manchester who has
expertise in the area of the work to be examined. Only exceptionally is it
permitted for the candidate’s Supervisor or Adviser to act as an Internal
Examiner and, where special permission has been given for this to occur, a
second and senior Internal Examiner must also be appointed, normally from
within the School/Division. The Internal Examiner’s copy of the thesis will
go to the independent, senior Internal Examiner. The Internal Examiner
should act as the host during the External Examiner's visit to the University.
The External Examiner:
•
must normally satisfy the criteria in relation to his/her appointment (as
given above);
•
Where two External Examiners are appointed, the Head of School/Division
or his/her nominee will normally act as the host during their visit to the
University.
A Head of School/Division may recommend other appropriate person(s) to act
as Additional Examiner(s), one of whom may exceptionally be the candidate’s
Supervisor. Persons so appointed have the same rights as the other Examiners
to participate in the decision making of the Board.
6.
THE ORAL EXAMINATION REQUIREMENT
Oral examinations are mandatory for doctoral candidates presenting for the
first time, even when the Examiners have identified serious flaws in the thesis.
However, if the Examiners are in agreement, this requirement may be waived
in the case of a resubmitted thesis.
7.
PURPOSES OF THE ORAL EXAMINATION
The oral examination is an integral part of the doctoral examination. The
essential purposes of the oral examination are:
Page 6 of 12
Guidance for Examiners of Research Degree Theses
July 2005
•
to enable the Examiners to assure themselves that the thesis and the
research it reports are the candidate’s own work;
•
to give the candidate an opportunity to defend the thesis, clarify any
obscurities that there may be in it, and discuss the subject of the thesis in
its disciplinary and/or interdisciplinary context.
Examiners should not normally be able to fail or refer a thesis on grounds that
are not raised with the candidate in the viva.
The Examiners may discuss ways of developing the candidate’s research and
writing beyond the requirements of a doctorate, but the candidate must be
informed explicitly that these discussions are not part of the assessment.
8.
BEFORE THE ORAL EXAMINATION
The Internal and External Examiners should submit independent written reports
on the thesis to the appropriate Graduate Office before the candidate is
examined orally.
Immediately prior to the oral examination, the Examiners should arrange to
confer with one another, in order to:
9.
•
exchange copies of their independent reports (if this has not already been
done);
•
identify issues to be raised in the examination;
•
agree the broad strategy for the examination – who will ask which
questions and in what order;
•
confer with the Supervisor, if appropriate, at this stage. It is expected that
the Supervisor will normally have read in full one complete (‘final’) draft of
the thesis before submission.
AT THE ORAL EXAMINATION
The Supervisor should inform the Examiners, before their recommendations are
determined, of any exceptional circumstance which in his/her view might have
affected the candidate's performance adversely, and shall to this end be
available for discussion with the Examiners before or at the oral examination.
An oral examination may not proceed without all the appointed Examiners
being present. In the event of an Examiner’s unexpected illness, the
examination must be postponed to another date.
The following rules governing the conduct of the oral examination must be
adhered to:
a. Those present at the oral examination shall be the candidate and the
Examiners. If Supervisors, academic staff or other candidates for the degree
attend, they must not participate in the examination.
b. The oral examination shall take place in a room occupied by The University of
Manchester at a time when buildings are officially open.
Page 7 of 12
Guidance for Examiners of Research Degree Theses
July 2005
c. The oral examination must take place in a suitable room and without
interruption.
d. The candidate should be made to feel at ease and the form that the
examination will take, as already agreed by the Examiners, must be explained
to him/her.
e. It is essential that no one indicates to the candidate, either before or during the
oral, what is the likely outcome of the examination. The Examiners must
ensure that any conflict of opinion that may arise during the examination will
not lead to any indication of the likely outcome of the examination.
f.
The Examiners are responsible for the conduct of the examination. It is their
responsibility to see that the oral examination is fair and properly conducted.
g. The Examiners will each contribute to the examination process but the External
Examiner normally takes the lead role. The Internal Examiner takes
responsibility for candidate support during the examination if necessary.
h. Whilst some intense questioning of the candidate may be needed, it must be
non-aggressive.
i.
The oral examination should run for as long as may be necessary for it to serve
its proper purpose, allowing short breaks if necessary/requested.
j.
If the Supervisor does not attend the oral examination, he/she must be
available to provide any clarification requested by the Examiners.
k. The Supervisor and any others present may be asked to withdraw before the
candidate does so, so as to provide the candidate with an opportunity to say
anything to the Examiners that he/she would prefer to say without the
Supervisor and others being present.
l.
The candidate will be asked to withdraw before the Examiners begin their final
deliberations.
In addition to an oral examination, candidates for doctoral degrees may be
required by the Examiners to sit a written or other examination which may, for
example, test or examine the candidate’s competence in the subject. The
Examiners may also request to see evidence of the candidate’s attendance at
events related to their area of research, eg seminars, conferences, taught
Master’s level course units.
10.
AFTER THE ORAL EXAMINATION
When the Examiners have made their decision, they may communicate it to the
candidate, making it clear that their recommendation is provisional, until
approved by the appropriate Committee. If they decide not to tell the
candidate the outcome, and to avoid any possible misunderstanding, the
candidate must, at the end of the oral examination, be given a clear indication
of the procedure by which he/she will be notified of the outcome and the likely
timescale. Examiners should not feel under any obligation to communicate their
recommendation to the candidate or Supervisor at this stage.
Page 8 of 12
Guidance for Examiners of Research Degree Theses
July 2005
After the oral examination, the Examiners should agree upon a final joint report
to be typed on the Examiners’ Report Form and give their recommendation on
the outcome of the examination. Whilst the joint report is preferred, separate
reports may be written. Please note that the University issues two distinct
versions of the Report Form, one for first submission and one for resubmitted
theses.
If minor corrections are needed for the thesis to be accepted (Box A(ii), see
below), the Examiners shall list the corrections required at the end of the oral
examination. It should be pointed out that the corrections must be carried out
to the satisfaction of the Examiners before the thesis is returned to the
appropriate Graduate Office and before the Examiners’ Report is submitted.
The Internal Examiner must confirm in writing (normally on the Report Form)
that minor corrections have been done to his/her satisfaction. After the oral
examination both copies of the candidate’s thesis (corrected if necessary) and
the completed Report Form(s) should be returned to the appropriate Graduate
Office.
10.1. Decision to recommend the award
a. Category A:
Award
Examiners should tick box A(i) if the thesis is satisfactory in every way and
there are no corrections to be made to it.
Box A(ii) should be ticked if some minor corrections are necessary to the thesis,
as per the explanatory notes below.
Notwithstanding the need for minor corrections, the Examiners may
recommend the award if they are satisfied that the thesis is satisfactory in
every way and that:
•
the candidate possesses an appropriate knowledge of the particular field of
learning within which the subject of the thesis falls;
•
the research which is reported in the thesis contributes an addition to
knowledge;
•
the results of the research show evidence of originality and independent
critical judgement;
•
the thesis is presented in a lucid and scholarly manner;
•
the thesis has been submitted in the form prescribed by University
Regulations;
•
no part of the thesis has previously been submitted for the award of a
degree at this or any other University;
•
the thesis and the work reported in it are the candidate's own.
b. Minor corrections
Box A(ii) should be ticked if some minor corrections are necessary to the thesis
and these, in the view of the Examiners, and taking into account the guidance
given in (a), (b) and (c) below, are not sufficiently serious to merit their making
a recommendation under Category B.
Page 9 of 12
Guidance for Examiners of Research Degree Theses
July 2005
It is expected that corrections of this nature and extent will be carried out by the
candidate before the thesis is returned to the appropriate Graduate Office and
before the Examiners' Report is considered by the appropriate Committee. In
such cases the Examiners' Report must:
•
•
give details of the nature and extent of the corrections made (in Section 4 of
the Examiners’ Report Form); and
state that the corrections have been carried out to the Internal Examiner’s
satisfaction.
Minor corrections permissible under box A(ii) include:
i. Typographical errors; but if the errors, though trivial individually, are so
numerous as to suggest carelessness on the part of the candidate, or so
intrusive as to distract the reader's attention from the argument of the
thesis, the Examiners would be fully justified in making a recommendation
under Category B, rather than box A(ii);
ii. Minor amendments and/or replacement of, or additions to, the text, or to
references or diagrams;
iii. Other, more extensive, corrections may be made as long as they do not
require major re-working or re-interpretation of the intellectual
content of the thesis. It should be possible to list the individual corrections
required, and, once carried out, for these corrections to be approved by the
Internal Examiner without a further oral examination.
The time needed to make minor corrections must be no more than four weeks
from the date the candidate receives the list of corrections required.
The University requires the Internal Examiner to confirm to the relevant
Committee that such minor amendments have been carried out, before the
thesis is returned to the appropriate Graduate Office.
If more substantial corrections are required, the Examiners should tick one of the
recommendations under Category B.
10.2. Decision not to recommend the award
a. Category B: Refer
When a thesis is referred but resubmission is allowed, the Internal Examiner
must provide a written statement separate from the Examiners’ Report Form,
giving sufficient detail of the defects in the original submission and
recommending ways in which these defects might be made good. The
appropriate Graduate Office will forward this statement to the candidate.
The candidate will be invited to revise and resubmit the thesis for the doctoral
degree, within one year of first presentation, and, where appropriate, attend
one further oral examination. In these circumstances more than four weeks
will be required to make good the defects.
Examiners should make one of the following recommendations under this
category:
B(i)
that the thesis is satisfactory in substance, but defective in presentation
Page 10 of 12
Guidance for Examiners of Research Degree Theses
July 2005
or detail and does not require a further oral examination;
B(ii)
that the thesis is satisfactory in substance, but defective in presentation
or detail and requires a further oral examination;
B(iii) that the thesis is unsatisfactory in substance, defective in presentation
or detail and requires further research and a further oral examination.
b. Category C:
Reject
Where the Examiners are not satisfied that the thesis and/or oral examination
have met the standards required, they may recommend:
Box C(i):
that the candidate be awarded the degree of MPhil on the basis
of the work presented in the thesis. If this is the case, then Box
C(i) must be ticked and a clear statement given in the report on
the thesis that, in the Examiners' view, the candidate be
awarded the degree of MPhil with no further examination of the
thesis being required. University regulations require that in such
instances the candidate re-bind the thesis, with a new title page,
indicating that it is a Master's (and not a doctoral) thesis;
NB: Examiners considering this recommendation should
request a copy of the Ordinances and Regulations for the
degree of MPhil.
Box C(ii):
that the candidate be awarded the degree of MPhil subject to
minor corrections being made to the thesis;
Box C(iii):
that the candidate be invited to revise and resubmit the thesis
for the degree of MPhil within one year. A candidate will be
permitted to resubmit on only one occasion. A fresh examination
of the thesis, normally by the original Examiners, will be required
and may include a further oral examination;
Box C(iv):
that no award be made to the candidate and no resubmission be
permitted.
When the recommendation of the Examiners is not to award a doctoral degree,
the Internal Examiner will normally be invited to the next meeting of the
appropriate Committee to assist in its consideration of the case and to answer
any questions.
c. Written statement for candidates recommended to submit a revised
thesis
Where the Examiners reach a decision to tick Boxes B(i), B(ii), B(iii), C(ii)
or C(iii) listed above, the Internal Examiner must forward a written statement
separate from the Examiners Report Form, giving sufficient detail of the defects
in the original submission and recommending ways in which these defects
might be made good, thus enabling the candidate to attempt an adequate
revision of the thesis. The Internal and External Examiners shall agree this
statement.
The statement is to be deposited with the appropriate Graduate Office and will
be sent to the candidate.
Page 11 of 12
Guidance for Examiners of Research Degree Theses
July 2005
11.
EXAMINATION OF A RESUBMITTED THESIS
Only one resubmission for a doctoral degree is permitted. It is feasible,
however, that once re-examined, the candidate's thesis may then be approved
for the award of MPhil.
The examination of a resubmitted thesis is usually undertaken by the original
Examiners. Where this is not possible, a replacement Examiner must be
selected and approved in the usual way. The new Examiner must be given a
copy of the original thesis and the list of corrections required.
A specific Examiners’ Report Form is provided for use in the examination of a
resubmitted thesis. This form does not allow for the recommendation of thesis
referral (Category B).
12.
APPEALS PROCEDURE
Candidates may appeal against a decision that they be not awarded the degree
for which they have submitted a thesis or that they be not allowed to resubmit
the thesis. Copies of the University regulations and the procedures for
submitting an appeal can be obtained from the appropriate Graduate Office.
13.
DATA PROTECTION
Examiners should bear in mind that, under the terms of the 1998 Data
Protection Act, candidates have the right of access to personal data processed
by the University, including Examiners’ Reports.
14.
FURTHER ADVICE
Examiners may obtain further advice or help, should they need it, from the
appropriate Graduate Administrator or Associate Dean for Graduate Education.
The University and the candidate reserve the copyright and all other intellectual
property rights in both the thesis and the data which it contains. The contents
of the thesis and the data are proprietary, and, during the examination period,
must be held strictly in confidence. No copies may be taken, and no disclosure
of the contents may be made, without (in each case) the prior written
permission of the University.
Page 12 of 12