Graduate Office
Notes for the Guidance of Examiners of Research Degrees
Appointment of Examiners
The University appoints two examiners (normally one internal and one external) for all candidates for
research degrees. Appointments are approved by the Graduate Dean.
Each examiner is expected to play a full part in the examination process. The internal examiner also facilitates
the arrangements for the oral examination and is responsible for ensuring that it is conducted fairly and in
accordance with University Regulations and procedures. The External Examiner plays an important role in
ensuring that the thesis and the knowledge displayed by the candidate are comparable to those of students
being examined for the same degree at another University. The University may also appoint a Chair for viva
voce examinations on the recommendation of the Graduate Dean or at the request of either of the
examiners.
A full list of duties is shown at the end of these guidance notes.
General Procedures
For both first submission and resubmission candidates are required to submit two soft-bound copies of their
thesis to the Graduate Office, which is responsible for ensuring that the theses are despatched to the
examiners. In addition to the thesis, both examiners will receive a copy of the joint report form, an extract
from the Postgraduate Regulations and a preliminary report form. The external examiner will also receive a
form on which to claim the fee and expenses and a form for their bank details.
An oral examination must be held for all candidates submitting for an MPhil or a doctoral degree. A viva may
be held for candidates submitting for the degree of MRes at the discretion of the examiners.
The University expects that, in normal circumstances, the examination of a research degree candidate will be
concluded within three months of submission. If, exceptionally, there is likely to be a delay the internal
examiner should ensure that the candidate and Graduate Office are informed of the situation.
Preliminary (Pre-viva) Reports
Examiners of research degrees should prepare brief independent written reports (about 500 words)
summarising the argument of the thesis and commenting on its strengths and weaknesses prior to the oral
examination. A form for this purpose is issued to each examiner. The internal examiner should ensure that a
copy of each report is attached to the joint report before it is submitted to the Graduate Office, but there is
no requirement for the pre-viva forms to be sent to the Graduate Office before the viva. An electronic copy of
the form is available at:
http://www2.le.ac.uk/departments/gradschool/forms
If, having read the thesis, the examiners have exceptional pre-viva concerns which they wish to raise, then
they should contact the Graduate Office directly.
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The Oral Examination
All candidates for a doctoral degree and for the degree of MPhil are required to attend an oral examination
after the first submission of their thesis. There is no requirement for the examiners of a resubmitted thesis to
hold a second oral examination, although they may, where appropriate, recommend a further oral
examination. The examiners may make this recommendation at the time they recommend referral or they
may wish to read the resubmitted thesis first and then decide. In either of these cases their intentions must
be made clear to the candidate and should be stated in the joint report.
The internal examiner is responsible for organising the oral examination. This includes agreeing a date with
the external examiner and finding a suitable venue for the examination. The candidate’s supervisor may be
invited by the examiners to sit in on the viva as an observer. The internal examiner should ensure that the
candidate and supervisor are notified in writing of the date of the oral examination.
The oral examination should be held in the University. In exceptional circumstances, and with the prior
approval of the Graduate Dean, the oral examination may be held away from Leicester in a suitable
environment.
The purpose of the oral examination is to enable the examiners to clarify any ambiguities in the thesis, satisfy
themselves that the thesis is the candidate’s own work, ensure that the candidate has sufficient knowledge
and understanding of the relationship of his/her work to the academic discipline and establish that the thesis
is of a sufficiently high standard to merit the award of the degree for which it is submitted. It is expected that
examiners will try to ensure that candidates are put as much at their ease as possible given the
circumstances, to enable them to perform to the best of their ability.
Feedback to the Candidate and Supervisor(s)
Where examiners are agreed on the recommendation it is expected that they will inform the candidate at the
end of the oral examination. If, for whatever reason, this is not possible they should indicate to the candidate
when he/she will be notified.
Where the examiners are recommending the award subject to minor corrections, the internal examiner
should ensure that the candidate is provided with the details of the corrections at the viva, and advised that
these need to be completed within one month of the viva.
Where major amendments or a referral is recommended, the internal examiner should also advise the
candidate that s/he will receive formal notification of the requirements from the Graduate Office, along with
details of the arrangements for submitting their amendments/resubmission. The detailed requirements
should then be attached to the joint report and forwarded to the Graduate Office.
The Joint Report
Examiners are asked to note that a copy of the joint report will be made available to any candidate on
written request to the Graduate Office and that in the case of candidates who are required to make major
amendments or are referred for resubmission a copy of the report will be forwarded to the candidate as a
matter of course.
Examiners are asked to submit the joint report on the standard report form issued to them. An electronic
copy of this form is available on request (please contact the Graduate Office by emailing
pgresearch@le.ac.uk).
Each section should be completed as fully as possible in typescript and the form must be signed by both
examiners. Typed signatures will not be accepted except where the signatures are scanned (i.e. not simply
typed). Where appropriate this report may make use of the text from the two independent reports, but it is
essential that the final report is clearly an agreed joint report which takes account of any discussions at the
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oral examination. Reports which do not meet the University’s requirements will be returned to the internal
examiner for revision.
Examiners are requested to confirm that the thesis and abstract comply with the University’s regulations
regarding length, presentation, relevance and style (see regulations C8 to 10 of the Regulations for Research
Students).
In order to be awarded a doctoral degree the thesis should also demonstrate an original contribution to
knowledge and contain work which is deemed worthy of publication although not necessarily in the form
presented. It is expected that a candidate’s thesis will be clearly and concisely written, well argued and show
a satisfactory knowledge of primary and secondary sources. It should also reflect research which could
reasonably have been carried out within three years of full-time registration or the equivalent part-time
period. There should be a full bibliography and where appropriate a description of the methods and
techniques of the research.
In the case of the degree of MPhil the same criteria apply except it should be judged as a piece of work which
could reasonably have been completed over a period of two years full-time or the equivalent period part-time
and the thesis is not required to contain work of publishable quality.
Examiners are asked to provide a detailed report, which should include a brief description of the main areas
under study and an outline of the strengths and weaknesses of the thesis. If the recommendation is for
resubmission, the report should include a clear account of the shortcomings of the thesis and the action
necessary to address these. The internal examiner should ensure that a separate and detailed report on these
requirements is forwarded to the candidate as soon as possible after the oral examination.
If the report is on a resubmitted thesis, the examiners should indicate how the candidate has addressed the
problems identified in the original submission.
The joint report should be submitted to the Graduate Office as soon as possible and no later than one month
after the oral examination.
In the unlikely event that the examiners cannot agree a joint recommendation, the independent reports
should be submitted and the internal examiner should advise the Graduate Office. In such cases an additional
external examiner will be appointed.
Recommendations
 For Doctoral Degrees
Candidates for the degree of PhD/EdD/DClinPsy/DSocSci/DEng
Examiners may make the following recommendations:
a) award of the degree of PhD/EdD/DClinPsy/DSocSci/DEng
b) award of the degree of PhD/EdD/DClinPsy/DSocSci/DEng, subject to minor amendments
c) award of the degree of PhD/EdD/DClinPsy/DSocSci/DEng subject to major amendments
d) referral for resubmission for the degree of PhD/EdD/DClinPsy/DSocSci/DEng
e) referral for resubmission for the degree of MPhil (for PhD candidates only)
f) award of the degree of MPhil/MEd/MSocSci
g) award of the degree of MPhil, subject to minor amendments
h) fail
(options e to g do not apply to DClinPsy)
For further explanation of the categories, please see the details appended to these notes.
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 For Master’s Degrees
Candidates for the degree of MPhil/MRes
Examiners may make the following recommendations:
a)
b)
c)
d)
e)
f)
award of the degree of MPhil/MRes with distinction*
award of the degree of MPhil, MRes
award of the degree of MPhil, MRes subject to minor amendments
award of the degree of MPhil, subject to major amendments
referral for resubmission/re-examination
fail
*The examiners may recommend the award of any Masters degree with distinction in cases of exceptional
merit.
Re-examination fees
Please note, where a resubmission is recommended the student will be expected to pay a re-examination fee
and resubmit their revised thesis to the Graduate Office who will send it out to the examiners. The thesis
should not be submitted directly to examiners and approval cannot be given by the internal examiner alone.
The resubmission fees are currently:
PhD
EdD, DClinPsy, DSocSci, MPhil, DEng
£175
£120
Where the candidate has major amendments or needs to revise their thesis for resubmission, they can extend
their Library and computer access by paying a nominal fee of £50 (for up to six months) or £100 (for up to one
year). Information will be sent to all such candidates or can be obtained from the Graduate Office. Please
note this is for the candidate’s convenience only and is not a University requirement.
Further Information
If the examiners have any queries about the procedures, or require further information, they should contact:
Mrs Louise Masterman, Principal Assistant Registrar
(0116 252 2413, email lm32@le.ac.uk)
Or
Miss Jackie Lowe, Research Student Support Officer
(0116 252 5212, email jal31@le.ac.uk)
Graduate Office
January 2011
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Recommendations for doctoral research degrees
a)
be granted the degree of PhD/EdD/DClinPsy/DSocSci/DEng
This assumes the thesis requires no corrections and is acceptable as it stands for the award of the
degree.
b)
be granted the degree of PhD/EdD/DClinPsy/DSocSci/DEng subject to minor amendments to be
completed to the satisfaction of the internal examiner within one month
Where a degree is awarded subject to minor amendments it is expected that these will be completed
and submitted to the internal examiner within one month from the date of the viva. It is expected
that minor amendments will be largely typographical or grammatical and may include corrections to
references and diagrams. They may also involve the re-writing of small sections. Where amendments
are more extensive it is likely that award subject to major amendments is an appropriate
recommendation. Where the work involved includes further research or the re-writing of large
sections of the thesis it is likely that a thesis will be referred. Confirmation that the minor
amendments are satisfactory should be made by the internal examiner in writing to the Graduate
Office.
c)
be granted the degree of PhD/EdD/DClinPsy/DSocSci/DEng subject to major amendments to be
completed within 6 months
See above. This recommendation is where amendments are more than minor but can reasonably be
made within six months. The amended thesis should be submitted to the internal examiner for
approval who should then inform the Graduate Office in writing.
d)
be referred for resubmission for the degree of PhD/EdD/DClinPsy/DSocSci/DEng
This is where the revision requires further research or extensive re-writing of the thesis. The
examiners should indicate whether there is a specific time limit (the regulations stipulate a minimum
of six months and a maximum of 12 months). The candidate will be charged a resubmission fee and
required to resubmit two soft bound copies of the thesis to the Graduate Office. These will then be
sent to both external and internal examiners who will need to agree on a joint report. A further viva
may be requested if necessary.
Where the examiners are in the position of choosing between a recommendation for resubmission or
the award of a lower degree the examiners may, if they so wish, take account of the candidate’s
wishes.
e)
be referred for resubmission for the degree of MPhil
This is where the thesis will need further research and/or extensive writing before it can be examined
for the award of a lower degree. It is deemed that even with revisions the work will not meet the
criteria for a doctoral degree.
f)
be granted the degree of MPhil/MEd/MSocSci
See above. Please note, if minor amendments are necessary for the thesis to be awarded the degree
of MPhil the recommendation (g) below should be made.
g)
be granted the degree of MPhil subject to minor amendments
Minor amendments should be made within one month and approved by the internal examiner.
h)
fail
It is unusual for a thesis to be failed at this stage without even the possibility of resubmission for a
lower degree. Where this is under consideration the examiners may wish to discuss their decision
with either Mrs Louise Masterman, Principal Assistant Registrar (0116 252 2413, email
lm32@le.ac.uk) or Miss Jackie Lowe, Research Student Support Officer (0116 252 5212, email
jal31@le.ac.uk) before proceeding. If this recommendation is made a full report is essential giving
reasons for the decision.
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Roles and Responsibilities of the Examining Team
Role and responsibilities of the Internal Examiner
1.
2.
3.
4.
5.
6.
7.
8.
9.
To arrange the oral examination (including any subsequent viva in the instance where a candidate is
referred for resubmission) including booking an appropriate venue and liaising with all parties;
To ensure familiarity with the University’s regulations and possible outcomes of the oral examination
and seek advice if needed, and to provide advice regarding these regulations to the external
examiner where required.
To undertake an initial assessment of the thesis and complete the appropriate paperwork prior to the
examination;
To conduct the oral examination and complete all relevant parts of the joint report;
To be responsible for coordinating the completion of all relevant paperwork with the external
examiner/Chair and ensuring that this is delivered to the Graduate Office in a timely manner;
Where a candidate is asked to make revisions to their thesis, to ensure that (agreed) clear,
appropriate and detailed requirements and produced and attached to the joint report;
Where a candidate is asked to make minor or major revisions to their thesis, to review and certify
that the revisions have been completed using the appropriate confirmation of amendments form;
Where a candidate is referred for resubmission, to be responsible for coordinating the completion
and return to the Graduate Office of the joint report on a resubmission;
Where a candidate is required to attend a second oral examination following referral for
resubmission, to ensure availability to attend this subsequent examination.
Role of responsibilities of the External Examiner
1.
2.
3.
4.
5.
To undertake an initial assessment of the thesis and complete the appropriate paperwork prior to the
examination;
To conduct the oral examination and complete all relevant parts of the joint report;
Where a candidate is asked to make revisions to their thesis, to ensure that (agreed) clear,
appropriate and detailed requirements and produced and attached to the joint report;
Where a candidate is examined by two external examiners, to review and certify that any revisions
the candidate is asked to make have been satisfactorily completed, and to certify this on the
appropriate form;
Where a candidate is required to attend a second oral examination following referral for
resubmission, to ensure availability to attend this subsequent examination.
Role and responsibilities of the Chair
1.
2.
To ensure familiarity with the University’s regulations and possible outcomes of the oral examination
and seek advice if needed, and to provide advice regarding these regulations to the external
examiners where this is required and where an internal examiner has not been appointed;
Where a candidate is examined by two external examiners, to be responsible for arranging the oral
examination (including booking an appropriate venue, and liaising with all parties) and coordinating
the completion of all report paperwork and ensuring its timely delivery to the Graduate Office.
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