The External Examiner system
4
Section 4
The External Examiner system
Flowchart
Assurance
Committee
AQS Overview
Report
Report
Feedback
AQS
School copies
response to AQS
External
Examiner
Boards of
Study
School
responds to
External
Examiner
School
Reports
Assessment
Boards
4.1
Purpose
External Examiners are central to the University's quality assurance and
enhancement procedures. Their role is to act as independent moderators, and to
consider student attainment overall with impartiality. External Examiners provide one
of the principal means for the maintenance of nationally comparable standards. The
impartiality of External Examiners is paramount to ensuring equity for students and
furthermore to ensuring the fair application of University Regulations. External
Examiner reports are an integral part of the University's monitoring procedures and
play a key role in maintaining academic standards, and ensuring comparability of
standards with highest national norms in the subject. External Examiner reports are
a standard agenda item at the following Assessment Board. Where a report raises
issues of serious concern, AQS alerts the School concerned and requires a formal
response to the External Examiner which is mediated via AQS.
4.2
Scope
This procedure describes the appointment, induction, rights and responsibilities of
External Examiners at Middlesex University including the external examining of
academic provision involving the participation of an external collaborating partner
(also referred to as a collaborative link. In this procedure the term “External
Examiner” is taken to include both external examination assessors and auditors and
their respective roles are set out in Section 4.3.3 and Section 4.3.4.
Franchised and joint programmes
External Examiners must adhere to the responsibilities outlined in Section 4.3.3
Validated programmes
For validated Programmes, External Examiner responsibilities should be defined in
the partner institution’s regulations and would be considered as part of the Validation
event.
http://www.mdx.ac.uk/Assets/section4.doc
2013/14
The External Examiner system
Section 4
4.3
Responsibilities
4.3.1 University
AQS is responsible for approving External Examiners and promptly recompensing
them for their work (including out of pocket expenses) upon receipt of their reports.
AQS is also responsible for the External Examiner database, appointment, induction
programme and reporting process all of which is managed by the University Quality
Enhancement Manager (Externality). In addition, the University Quality
Enhancement Manager (Externality) prepares an annual report for consideration by
the Assurance Committee.
4.3.2 School
The School nominates External Examiners and, upon approval by AQS, the School
ensures the External Examiner is fully briefed about the modules and/or Programmes
to which they are appointed (University Regulations) and has sufficient opportunities
to meet with appropriate staff. The School will also work with the External Examiner
to develop an effective working relationship with the Dean of School, Head of
Department, Director of Programmes, Programme Leader and Link Tutors (in respect
of collaborative programmes). The School ensures that External Examiners’ reports
are dealt with promptly in accordance with this procedure.
4.3.3 The rights and responsibilities of External Examination Assessors
External examination assessors are appointed to Subject Assessment Boards, at
which assessment outcomes in respect of individual modules are agreed.
The rights and responsibilities of External Examiners are detailed in the University
Regulations and set out below
Responsibilities
a. To attend meetings of the Assessment Board of which they are a member.
b. To comment when consulted on the content and form of all assessments.
c. To scrutinise all work which has been recommended for first class/distinction
grades of the 20 point scale or recommended for failure by internal examiners,
and a representative sample of work placed by the internal examiner in each
classification (where applicable).
d. To advise on the appropriateness and effectiveness of the internal assessment
processes, the appropriateness and effectiveness of the relevant assessment
regulations and procedures in respect of module assessments, the desirability of
any recalibration or (exceptionally) remarking of assessed work, and the
appropriateness of the standards against which the assessment process has
taken place.
e. To adjudicate in cases referred to them because of disagreement between
internal examiners.
f. To assist in the development of a body of case law based on the discretion
exercised by examiners under the approved assessment regulations of the
University.
g. To submit annual reports as outlined in Section 4.4.6.
h. To inform the Head of AQS separately from the normal annual report of any
matter which in their view militates against the maintenance of appropriate
academic standards and quality.
http://www.mdx.ac.uk/Assets/section4.doc
2013/14
The External Examiner system
Section 4
Rights
a. To make recommendations for amendments to draft examinations papers, or set
additional examination questions in consultation with the appropriate internal
examiner(s).
b. To see any assessment material relating to the modules concerned; particularly,
but not exclusively, to see any scripts, coursework, project reports, designs,
artefacts or similar material relating to the assessment with which they are
specifically associated, and, where appropriate, industrial training, school
experience or similar reports; to meet the student being assessed only where
appropriate.
c. Where assessment by coursework or continuous assessment forms part of the
approved examination arrangements, to choose their own sample of scripts for
assessment at final or key intermediate stages.
d. To approve a student’s choice of project, individual study or dissertation included
in the final stage of study.
e. To require and be involved in the oral (viva voce) examination of any student
including specially arranged oral examinations where these are not required by
the Regulations as part of the standard assessment procedures.
f. To be fully involved in decisions (i) reached by the Assessment Board following a
request for review by a student, where it has been agreed to settle the request
informally; (ii) made by the Assessment Board following the upholding of requests
for review via the appeals process (see University Regulations, section G); (iii)
reached by the Assessment Board following the recommendation of the
Secretary to the Academic Board (see University Regulations, section F).
In addition External Examiners (assessors) can expect to:
a. Receive feedback from the Head of Department, Director of Programmes,
Programme Leader (or others as appropriate) on the response to their comments
on draft examination papers.
b. See any assessment material relating to the modules concerned a reasonable
time in advance of Assessment Board meetings (it is strongly recommended that
wherever possible external examination assessors should be invited to moderate
coursework and examination scripts at the University on the day before the
Assessment Board).
c. Discuss and agree with the Deputy Dean, Head of Department, Director of
Programmes, Programme Leader, the appropriate Assessment Tutor and (in the
case of a collaborative Programme) the Link Tutor arrangements, as appropriate,
for:
d. Sampling coursework and examination scripts and/or attending, as appropriate,
exhibitions, shows, performances or similar assessed activities.
e. Viva-voce examination of students
f. Visiting the University to see students undertaking project work or to participate in
project/dissertation presentations.
g. Normally receive at least six months' notice of the dates of Assessment Boards in
which they will be involved.
h. Agree with the School arrangements to receive and view dissertations and similar
assessed work before the Assessment Board.
i. Receive confirmed arrangements for hotel or other accommodation related to an
Assessment Board or any other visit at least one week in advance.
j. Receive the agenda and supporting papers (except mark sheets) at least one
week before the date of the Assessment Board meeting.
k. Receive detailed mark sheets at the Assessment Board meeting or, where
appropriate, in advance of the meeting.
http://www.mdx.ac.uk/Assets/section4.doc
2013/14
The External Examiner system
Section 4
l.
Be asked to agree Assessment Board Chair's action or arrangements for their
involvement in the reassessment of students, if any, including the necessity or
otherwise to attend Assessment Boards called primarily to consider
reassessment results.
m. Receive a copy of the minutes of Assessment Boards within four weeks of the
Board meeting.
An external examination assessor is not expected to routinely assess the work of
students presenting themselves for assessment.
4.3.4 The responsibilities of External Examination Auditors
External examination auditors are appointed to School or Inter-School Assessment
Boards, at which final qualification outcomes in respect of whole Programmes of
study are agreed. The rights and responsibilities of External Examiners (auditors)
are detailed in the University Regulations and set out below:
Responsibilities
a. To attend any meeting of the School Assessment Board at which the results of a
final stage assessment will be determined, other than Programmes of study at
levels 0 and 1.
b. To advise on the appropriateness, effectiveness and consistency of the internal
assessment processes at the award stage, the appropriateness and effectiveness
of the relevant assessment regulations and procedures in respect of awards, and
the appropriateness of the standards against which the awards have been made.
c. To assist in the development of a body of case law based on the discretion
exercised by external examiners under the approved assessment regulations of
the University.
d. To be fully involved in decisions reached by the Assessment Board following a
request for review by a student, where it has been agreed to settle the request
informally, and decisions made by the Assessment Board following the upholding
of requests for review by an appeal panel.
e. To submit annual reports as outlined in Section 4.4.6.
f. To inform the Head of AQS separately from the normal annual report of any
matter which in their view militates against the maintenance of appropriate
academic standards and quality.
In addition External Examiners (auditors) can expect to:
a. Be consulted about the assessment programme.
b. Discuss and agree with the Chair of the School Assessment Board how their
duties and responsibilities shall be undertaken.
c. Normally receive at least six months' notice of the dates of School Assessment
Boards in which they will be involved.
d. Receive confirmed arrangements for hotel or other accommodation related to an
Assessment Board at least one week in advance.
e. Receive the agenda and supporting papers (except mark sheets) at least one
week before the date of the Assessment Board meeting.
f. Receive detailed qualification profiles at the Assessment Board meeting or,
where appropriate, in advance of the meeting.
g. Be asked to agree Assessment Board Chair's action.
h. Receive a copy of the minutes of relevant School Assessment Boards within four
weeks of the board meeting.
http://www.mdx.ac.uk/Assets/section4.doc
2013/14
The External Examiner system
Section 4
Rights
To be fully involved in decisions reached by the Assessment Board following a
request for review by a student, where it has been agreed to settle the request
informally, and decisions made by the Assessment Board following the upholding of
requests for review by an appeal panel.
An external examination auditor is not expected to routinely assess or comment on
the work of individual students presenting themselves for qualifications, nor is such
an auditor empowered to approve claims for APL/APEL.
4.3.5 Confirmation form
As full members of Subject and School Assessment Boards respectively, external
examination assessors and auditors exercise all the rights adhering to such
membership, including the right to refuse to sign the relevant Confirmation Form.
The Chairs of Assessment Boards must report every case in which the signature of
an external examination auditor does not appear on an attendance list. Such reports,
including an explanation of the circumstances, shall be made as soon as practicable
to the Academic Registrar and also to the Head of AQS, who shall lay such reports
before the next meeting of the Assurance Committee of the University. The Chairs of
Assessment Boards must, at the same time as they make any such report, complete
a form specified for the purpose, indicating the reason why the external examination
auditor declined to sign the attendance list, and naming the student or students
whose disputed assessment outcome resulted in such refusal. Under no
circumstances shall the assessment outcomes of students not named be prejudiced
or delayed.
4.4
4.4.1
Procedures
The appointment of External Examiners
This section sets out the procedure for the appointment of External Examiners to inhouse programmes and programmes delivered at collaborative institutions.
Partner institutions delivering more than one programme or the same programme(s)
at more than one centre, the University recommends that a Chief External Examiner
should be appointed (Guidance 4(iii) and 4(iv)).
a. All External Examiners are normally appointed from 1 October to 30 September,
for 4 years, subject to annual review (An extension of appointment may be
requested for one year only as an exceptional matter). Care must be taken to
ensure that the workload expected of them is reasonable and enables them to
undertake the role effectively.
b. A potential External Examiner is approached informally by the Dean of School (or
nominee) responsible for the programme concerned in order to ascertain her/his
interest in being appointed. The Dean of School (or nominee) shall clearly explain
details of the programme and shall answer any questions that arise as fully as
possible. Among the issues which shall be discussed at this stage are: the way
Assessment Boards currently operate; the time involved in Board meetings and
pattern of attendance; the types of assessment methods used; the likely number
of candidates; the proportion of student work which will be seen; the level of
involvement in moderating coursework; the period of appointment; the scale of
remuneration; and the current composition of the examining team.
http://www.mdx.ac.uk/Assets/section4.doc
2013/14
The External Examiner system
Section 4
c. The Head of Department or Director of Programmes completes the nomination
form, EEAPPT/1 [see Appendix 4a], including CV details provided by the
nominee.
d. School External Examiners are nominated by the Dean of School (or nominee),
usually from experienced externals on the Subject Assessment Boards of the
relevant School. Written proposals for nomination should be received in AQS by
April before the session in which the appointment should commence.
e. The following criteria must be observed during consideration of proposed
External Examiners.
 An External Examiner's academic/professional qualifications should be
appropriate to the Programme to be examined.
 An External Examiner appointment must comply with ‘ UK Border Agency
regulations and requirements: http://www.intra.mdx.ac.uk/workinghere/recruitment/recruitment-guidance/index.aspx, or the UK Border Agency
website: http://www.ukba.homeoffice.gov.uk/.
Also Guidance (4v).
 An External Examiner should have appropriate standing, expertise and
experience to maintain comparability of standards.
 An External Examiner should have enough recent external examining or
comparable related experience to indicate competence in assessing students
in the Subject area.
 External Examiners should be drawn from a wide variety of
institutional/professional contexts and traditions in order that the programme
benefits from wide-ranging external scrutiny.
 External Examiners should not be over-extended by their external examining
duties.
 There should be an appropriate balance of expertise in any team of External
Examiners.
 External Examiners should be impartial in judgement and should not have
previous close involvement with the institution that might compromise
objectivity.
 Further information in relation to each criterion is available in Guidance 4(i)
f. The nomination form must be signed by the Head of Department or Director of
Programmes, Deputy Dean, and Dean of School, indicating approval on behalf of
the School Board.
g. All nominations to be received by AQS before the April preceding September
start.
h. AQS screens nominations for appointment against the criteria set out above. In
addition, to avoid reciprocity as could occur for example when examiners are
nominated from the same department of an institution where one of our own
academic teaching staff acts as an external, a database is held listing the
examiner-ships of all Middlesex academic staff with appointments at other
institutions. This is updated by the University Quality Enhancement Manager
(Externality).
i. Within two weeks of approval AQS issues an appointment/extension letter and
briefing material to ensure that all appointments have been made by the end of
July preceding September start of term of office. The briefing pack includes:
 Details of the appointment including the Programme(s) concerned (including
franchise Programmes), the scale of remuneration, details of out of pocket
expenses paid and the period of the appointment.
 Acceptance of Appointment Sheet (for the External Examiner to return to
AQS).
http://www.mdx.ac.uk/Assets/section4.doc
2013/14
The External Examiner system
Section 4

The internet link to the University Regulations (containing University
assessment regulations concerning the roles and duties of external
examination assessors and auditors).
 External Examiner's report cover sheet and template.
 External Examiner's expenses claim form including explanatory notes.
 Information sheet on the deduction of Income Tax and National Insurance.
 An explanatory paper on the University's Academic Framework.
 Middlesex University's Learning and Quality Enhancement Handbook
Section 4.
 Equal opportunities ethnic monitoring survey.
j. External Examiners are formally appointed on behalf of the University by the
Head of AQS. The Head of AQS reserves the right to reject nominations; in the
case of such rejection the Head of AQS informs the Deputy Dean, of the precise
grounds. No appointment of an external assessor or auditor is valid unless the
Head of AQS indicates the University’s formal approval of the nomination.
k. AQS holds all the information pertaining to the appointment of External
Examiners in a central database. The information recorded includes: name,
address, institution, Subject/Programme, dates of tenure, collaborative type, plus
other personal data. This allows AQS to monitor the gender composition and
geographical and institutional spread of the University’s External Examiners in
order to advise Deputy Deans about the implications of their proposals. (Names
of examiners are not deleted from the database when their term of office is over
but made ‘not current’, in this way new nominations can be queried to ensure
that the University does not appoint examiners from an institution that has been a
source of examiners to a Subject/Programme during the last 5 years.)
4.4.2 Franchised and joint programmes
The procedure for the appointment of External Examiners for franchised and joint
Programmes is exactly the same as that set out in Section 4.4.1. For franchised
Programmes the External Examiner acting for the Middlesex University Programme
should be used.
4.4.3 Validated programmes
For validated programmes the same procedure is followed as set out in Section 4.4.1
with the following variations:
 The Institution identifies a suitable External Examiner.
 The nomination form is completed and submitted to AQS signed by the
Programme Leader or Instituional Link Tutor
 The nomination is screened against the University’s criteria for appointment
(Guidance 4(i)) and then sent to the School’s Deputy Dean. Once approval has
been granted AQS issues a formal letter of appointment in the usual way.
4.4.4 Compliance with criteria (collaborative partners)
Normally the University expects that all External Examiners fully meet the criteria set
out in the Criteria for the Approval and Appointment of External Examiners (Guidance
4(i) criterion 4).
Exceptionally, for collaborative partners delivering the same programme(s) at more
than one centre a local External Examiner with subject expertise, but not necessarily
with UK HEI experience, may be appointed. These external examiners will form part
of a team and may be requested to moderate work submitted by students for other
centres within the partner institution within their subject specialist areas where
necessary.
http://www.mdx.ac.uk/Assets/section4.doc
2013/14
The External Examiner system
Section 4
A Chief External Examiner (CEE) should be appointed where a partner institution
nominates an External Examiner who does not fully meet the criteria set out in
Guidance 4(i), each case will be judged on its merits. The CEE is appointed to deal
with instances such as
 lack of UK HEI experience
 lack of necessary language skills where tuition and/or assessment is not in
English, and
 lack of a sound knowledge and understanding of English
The University sets out associated criteria as detailed in Guidance 4(iii).
Confirmation of approval will be granted following fulfilment of the associated criteria.
4.4.5 Induction
a. Once the External Examiner has accepted the appointment the Head of
Department, Director of Programmes or Programme Leader sends him/her
material relating to the Subject, dates of Assessment Boards and schedule of
anticipated interim visits, where applicable, by the end of September.
b. Within four weeks of such acceptance, the External Examiner shall be contacted
by the Dean of School (or nominee) to arrange a briefing programme. It is the
University’s usual expectation that for examiners based in the UK, this includes a
visit to the University, in respect of which a fee and out of pocket expenses are
paid. Within this briefing programme, the external assessor or auditor should:
 meet the Head of Department, Director of Programmes, Programme Leader,
relevant Assessment Tutor, Link Tutors (if appropriate to the Programme) and
members of the teaching team
 be briefed about the Programme which s/he is assessing and/or auditing;
and, in particular,
 be briefed about the University's 20 point marking scale, and the generic
assessment criteria relating thereto
 be briefed about local conventions relating, inter alia, to group projects,
placements and viva voce examinations
 be briefed about the relevant context of any franchised Programmes for which
the external assessor or auditor is responsible
 be briefed about the School's experience of APL/APEL
 be briefed about the Assessment Board structure
 be briefed about any distance education modes for Programmes or modules
 tour any specialist facilities (laboratories, workshops, etc.)
and be provided with:
 relevant Programme/module handbook which should include details of type of
assessments used and sampling methods, and the Programme Specification
 the Subject benchmark statement
 details of any Professional Statutory and/or Regulatory Body requirements
 timing of coursework and examination assessments
 types of assessment used
 dates of Assessment Boards
 receive other relevant materials which provide background information about
the University, School or Subject which enables her/him to undertake her/his
duties and responsibilities to the best of her/his abilities.
c. AQS holds three induction events each academic year which all newly appointed
(UK based) examiners will be invited to attend. External Examiners who do not
attend a University induction event are required to be fully briefed by the Head of
http://www.mdx.ac.uk/Assets/section4.doc
2013/14
The External Examiner system
Section 4
Department, Director of Programmes or Programme leader before the external
examiner attends the first Assessment Board. Confirmation that the briefing has
taken place should be sent to AQS and the Deputy Dean (Appendix 4e).
Induction of External Examiners appointed to collaborative programmes
UK-based External Examiners are offered exactly the same external examining
induction as set out in Section 4.4.5. However, for External Examiners not based
in the UK an alternative induction that does not require attendance at the
University is offered. An induction pack is also provided. The University Link
Tutor is responsible for ensuring the External Examiner is fully conversant with
University procedures. Where the latter takes place confirmation (Appendix 4d)
should be sent to the University Quality Enhancement Manager (Externality) and
the Deputy Dean. Induction information can be found at the following website:
http://www.mdx.ac.uk/aboutus/Strategy/quality-standards/examiners/index.aspx
4.4.6 Reports
a. All External Examiners appointed to Subject assessment boards (ie. assessors)
and to collaborative programme assessment boards are required to submit an
annual report to the Head of AQS within 4 weeks of the Assessment Board
following the guidance in Appendix 4b. Appendix 4b is designed to confirm that
the external examiner has received the required support to fulfil the role, including
adequate time to consider samples of work and contribute to examination boards
and to provide assurance that academic standards, student progression and
achievement are at the required standard. A simple check list has been added to
the front of the report template for this purpose including open text boxes to allow
commentary if appropriate. Middlesex University External Examiners appointed to
School boards (ie. auditors) should submit a report following the guidelines in
Appendix 4c. It is sufficient for External Examiners to report once a year after the
end of year Assessment Boards, however should an External Examiner identify
areas of concern at the re-sit Assessment Boards they are strongly urged to alert
the University (AQS) immediately. Reports should be about 2 sides of A4, and
address the following areas using the template supplied:
 Programme/Subject design, content and standards
 student performance (please avoid reference by name to individual students)
 assessments: structure, design and marking
 effectiveness and quality of feedback to students
 Assessment Boards
 role of the External Examiner
 recommendations or actions
 good practice.
Reports are public documents and are considered at Boards of Study.
b. All External Examiner reports form a part of the quality/annual monitoring of
Programmes. Reports are scrutinised at School level, and any action taken in
response to a report goes forward as an agenda item to the subsequent
Assessment Board meeting.
c. Once the report is received:
 AQS circulates the report to Schools and other relevant Services
 Schools are required to respond directly to the External Examiner within 8
weeks of receiving the report from AQS. Responses to reports submitted late
will be required within a shorter time frame
 Schools are required to send a copy of the response to AQS
 Reports containing recommendations relating to University Services will be
sent by AQS to the relevant Service with a request that a response is
http://www.mdx.ac.uk/Assets/section4.doc
2013/14
The External Examiner system
d.
e.
f.
g.
h.
i.
Section 4
forwarded to AQS within 6 weeks. The response will be forwarded to the
External Examiner and the School after consideration by AQS.
In the event that a School or Service does not respond to an External Examiner’s
report within 8 weeks, this is reported to the next Assurance Committee.
Upon submitting her/his annual report to the Head of AQS, an external assessor
or auditor should, expect to:
 be informed by AQS, within three weeks, that the report has been received
and that the School concerned has been asked to respond and to address
any issues raised
 receive a formal response from the School, within 8 weeks of submitting
her/his annual report acknowledging any issues raised and explaining what
actions have been taken or are planned to address these issues.
In addition, programmes will be expected to identify actions taken in response to
External Examiners’ reports in their Quality/Annual Monitoring Reports. Schools
will also raise actions for generic issues in their School Quality/Annual Monitoring
Reports. Quality Monitoring templates and guidance are set out in Section 7.
AQS keeps a record of the most important issues arising from the reports and an
overview of generic issues is compiled and presented to The Assurance
Committee in the autumn.
External Examiners who submit an inadequate report are asked to resubmit their
report following the guidelines in the University’s Report Template. Payment of
fees is withheld until a satisfactory report is received. (Details of the fees are
available from AQS or the AQS intranet website)
The School sends to PSRBs copies of reports which raise issues in relation to
accredited Programmes.
In the event that an External Examiner does not submit a report 4 weeks after the
final Assessment Board the following actions will be taken:
 Within six weeks of the Assessment Board the University Quality
Enhancement Manager (Externality) will write to the External Examiner
requesting submission of the report within 14 days.
 If a report is still not submitted within one month, the Head of AQS will contact
the External Examiner in writing requesting submission within 14 days;
thereafter if a report is still not submitted, such instances will be noted at the
Assurance Committee and the Head of AQS may terminate the contract.
4.4.7 Compliance with the procedure
a. In the event that an external assessor or auditor feels that, despite reasonable
requests, the relevant School is failing, for no good reason, to comply with the
letter or spirit of this procedure, s/he shall be able to refer her/his concerns to the
Vice-Chancellor separately from the normal annual report. The Vice-Chancellor
shall make inquiry into the matters raised, and report back to the assessor or
auditor within 8 weeks outlining any actions being taken as a result. Additionally,
the Vice Chancellor shall make an annual report to the Assurance Committee of
the University of any action necessitated under this sub-paragraph.
b. Where an external examiner has a serious concern relating to systematic failings
with the academic standards of a programme or programmes and has exhausted
all published applicable internal procedures, including a submission of a
confidential report to the head of the institution, he/she may invoke QAA’s
concerns scheme or inform the relevant PSRB.
c. External assessors and auditors employed by the University are expected to
undertake all the duties and responsibilities required of them to the best of their
abilities. In particular, such assessors and auditors are expected to:
http://www.mdx.ac.uk/Assets/section4.doc
2013/14
The External Examiner system
Section 4

Respect the confidentiality of Assessment Board meetings and of materials
which they assess - in particular, of projects and dissertation work, details of
which shall not be disclosed to any third party without prior permission.
 Comment by the deadline specified on draft examination papers or other
proposed forms of assessment referred to her/him.
 Attend all Assessment Boards at which their attendance is required.
 Submit within four weeks of the convening of end of year Assessment Boards
annual reports which address, substantively and appropriately, issues
identified in the notes of guidance, issued by AQS, for the preparation of
external examination assessors' and auditors' reports.
d. In the event that an external assessor/auditor or the University consider that early
retirement is advisable 3 months’ notice will normally be required by either party.
Examples of circumstances in which an external assessor or audit might retire
early are;
 Inability to fully meet the requirements and responsibilities of the external
assessor or auditor’s role as set out in Section 4.3.3 and Section 4.3.4
respectively due to a change in the external assessor or auditor’s personal or
professional circumstances.
 Unexpected conflict of interest which could affect impartiality of judgement
and/or compromise objectivity.
e. The University reserves the right to terminate the contract for Service of any
external assessor or auditor if, in the opinion of the Head of AQS, there has been
any breach of confidentiality on the part of the assessor or auditor, or if the
performance of the assessor or auditor, in the context of this procedure, is
deemed to be in any respect significantly inadequate. In such a case the Head of
AQS writes to the External Examiner.
4.5
Data protection, freedom of information and copyright
The University will use personal data submitted by the external examiner for the
payment of fees and expenses, and for other necessary communication in
connection with the external examiner’s contract. Where required for these purposes,
this data will be shared with other departments of the University.
In accordance with the University’s Data Protection Policy which is based upon the
Data Protection Act 1998, staff members must not disclose external examiners’
personal data, including contact details, to any person or body outside the University
without the consent of the external examiner.
An external examiner’s report will be made available to University staff and/or
collaborative programme partners as part of the quality/annual monitoring procedure.
External examiners’ reports may be circulated as part of an internal or external audit.
All reasonable efforts will be made to anonymise the reports, if the external examiner
makes a written request for this.
Marks, comments and opinions expressed by an external examiner about individual
students during the assessment process may be disclosed to the student concerned,
if the student makes a Subject Access Request under the Data Protection Act.
An external examiner is entitled to make a Subject Access Request under the Data
Protection Act to see memoranda, emails and other communications relating the their
appointment, including opinions expressed in a professional capacity about their
appointment.
http://www.mdx.ac.uk/Assets/section4.doc
2013/14
The External Examiner system
Section 4
Under the Freedom of Information Act, the University will provide copies of external
examiners’ reports to third parties who make a lawful request for these. Reports will
normally retain examiners’ names. The University will consider any reasonable
request from external examiners to anonymise their reports. Such a request should
be made in writing and submitted with the report.
Copyright in all external examiners' reports will be owned by the University.
Examiners will not be permitted to retain their moral rights (under the Copyright Act)
in the reports as the University may choose to anonymise the reports, as appropriate.
4.6
Collaborative links (additional information)
4.6.1 Fees
Franchised and Joint programmes
The fees and expenses are the responsibility of Middlesex University, as stated in
Section 4.4.6 (7)
Validated programmes
The fees and expenses are the responsibility of the Institution, as stated in the
Programme’s Memorandum of Co-operation. Middlesex University remunerates the
External Examiner fees and expenses and then invoices the Institution for these
costs.
Language
All External Examiners must be conversant in English and also (where applicable) in
the language of assessment and tuition. Where an External Examiner is required to
speak a foreign language, this must be stated in the Memorandum of Co-operation.
All reports must be submitted in English.
4.7
Internal audit of the appointment process for External Examiners
4.7.1 Purpose
Internal Audit of the Appointment Process for External Examiners is a means for the
University to verify that Schools and AQS adhere to University policies and quality
assurance procedures with regard to the identification, appointment and induction of
External Examiners for programmes and subjects offered by the University and
collaborative partners. The Audit will consider and comment on the effectiveness of
the process whereby the University assures itself of the eligibility and suitability of
those individuals put forward by Schools for appointment as External Examiners, and
will consider and comment on the effectiveness of induction and support
arrangements provided by Schools and AQS to orient them for their role. The Audit
report, as appropriate, will identify any areas for attention, and will offer
recommendations and suggestions for enhancement of current procedures. It will
also note examples of good practice.
4.7.2 Scope
The Audit of the appointment process for External Examiners will cover the
processes within Schools (and partners) whereby External Examiners are identified
and approved for nomination, and the processes whereby AQS verifies the eligibility
and suitability of nominees prior to making appointment. The Audit will further
consider arrangements to appropriately inform External Examiners, on appointment,
of those aspects of University procedures that will impact on their role. Consideration
http://www.mdx.ac.uk/Assets/section4.doc
2013/14
The External Examiner system
Section 4
will also be given to arrangements whereby unsuitable appointments are identified
and, if necessary, terminated.
Audits will take place once every 5 years.
4.7.3 Responsibility
AQS manages the Audit process on behalf of the University, including the coordination of the appointment of an Audit Panel, for the timely provision of all
required documentation (including that from Schools – see below) and for identifying
(and informing) those representatives of Schools, of AQS and of recently appointed
External Examiners to meet the Panel. Schools may also be asked to provide
supplementary documentation if appropriate.
4.7.4 Procedure
Focus
The Audit will focus on evaluating the extent to which practice relating to the
appointment of External Examiners complies with University procedures and with
guidelines issued by relevant external agencies such as QAA, with a view to making
comment and suggestions for enhancement (where applicable). [Note: it is not the
focus of the Audit to consider the working or function of the External Examiner
system per se.]
The audit panel
The Panel constituted to undertake the Audit will be chaired by a senior member of
University staff (not from AQS or from Schools) and officered by AQS. It should
normally be composed of no more than four persons, including:
 Chair
 a University representative with relevant interest/experience (normally
a senior academic member of staff, but not an Deputy Dean)
 one external representative with relevant interest/experience in
academic quality assurance (nominated by AQS but to be approved
by the Chair)
 AQS staff member (Officer)
Documentation
The relevant documentation is to be collated by AQS and provided to Panel
members no later than two weeks before the event.
Key documentation will comprise of:
 relevant sections of the University’s Learning and Quality
Enhancement Handbook
 relevant sections of the University Regulations
 specimen case studies of all documentation and correspondence
relating to a sample number of recent appointments (and rejections, if
applicable)
 documentation from recent External Examiner induction events run by
AQS (including agenda and feedback comments/evaluation)
 data from AQS for number of rejected External Examiners each year
(and profiles if possible)
 previous/past Audit report(s) and response(s)
http://www.mdx.ac.uk/Assets/section4.doc
2013/14
The External Examiner system
Section 4
The Panel will also be provided with relevant QAA Quality Code documents, notably:
 Chapter B7 – External Examining
 Chapter A5 – Externality
Group interviews
The documentation provided to the Panel will provide the starting point for
discussions with:
 representative recent appointees as External Examiners (two or more,
selected by the Chair from total list provided by AQS)
 representatives of Schools (two Deputy or nominees)
 AQS Quality Enhancement Manager (Externality)
Reporting
The Panel Officer drafts a report on behalf of the Audit Panel. The unconfirmed
report is sent to Panel members for comment and correction of errors and omissions.
The final (confirmed) report is submitted to the next meeting of the University's
Assurance Committee for consideration.
The report will include a judgement on the effectiveness with which Schools and AQS
have discharged their responsibilities. The Audit report will also highlight good
practice and inform the University of any issues that need urgent attention as a result
of the Audit. The judgement will following judgements will be applied: confidence,
limited confidence or no confidence. Nominated agencies (University, School or
AQS) will be required to provide a response to Audit recommendations within three
months after publication of the Audit report.
http://www.mdx.ac.uk/Assets/section4.doc
2013/14