FOR THE EXAMINATION OF RESEARCH THESES
VALIDATED SCHEMES OF STUDY
Dear Colleague,
These notes are intended for Examining Board Convenors and Administrators involved in the provision of research schemes and should be read in conjunction with the ‘Notes of Guidance for Examiners and Chairs’ for the relevant award.
These ‘Notes of Guidance’ apply to research examinations at all institutions validated by the University of Wales.
Yours Sincerely
Huw Flynn Hughes
Director of the Validation Unit
NOTES OF GUIDANCE FOR CONVENORS AND ADMINISTRATORS – RESEARCH THESESSection 1 – Examination Guidelines
1.1AdministrativeArrangements
An appointed Convenor and Secretary shall be responsible for ensuring that the correct administrative procedures for the submission and examination of the thesis are carried out. The Head of the Department/School concerned shall act as Convenor & Secretary or shall delegate these functions to a senior member of the academic staff of that Institution.
1.2Examination Timetable
External Examiners are asked to report upon the work as soon as possible, unless a date for the oral examination has been agreed beforehand.Members ofthe Examining Board are expected to complete the examination of the candidate and submit their report as soon as reasonably possible (normally no later than twelve working weeks from receipt of the thesis). If this proves to be impossible, examiners are asked to notify the Convenor and Secretary of the Board of the reasons for the delay. The University of Wales is, however, concerned to avoid candidates facing lengthy delays during the examination process.
1.3Duties of the Examiners
Both internal and External Examiners are required to conduct an oral examination (viva voce) of the candidate (see Section 2 for details). Where the examination of a re-submitted thesis is being conducted, a further oral examinationmay be waived at the discretion of the examining board.
During the examination process, the Examiners shall:
- consider the thesis and abstract(s) submitted by the candidate. Any part of the thesis which has already been accepted, or is being concurrently submitted, for any other degree or qualification in the University of Wales, or elsewhere shall be excluded from the examination.
- report on the scope, character and quality of the work submitted .
- satisfy themselves by examination, oral or written, or both, whether the candidate possesses a good general knowledge of the particular field of learning within which the thesis falls.
1.4Duties of the Convenor
It is the responsibility of the Convenor to effect the correct administrative procedures throughout the examination process (See Appendix 3 for details). The Convenor shall ensure:
- the timely submission of the thesis to the University of Wales, and that the candidate is made aware of any deadlines set by the examination board.
- that any financial obligations have been met, prior to the submission of the thesis, and that any resubmission fees are included with the candidates modified thesis.
- that the thesis is bound appropriately; it should be noted that, depending upon the policy of the institution concerned, candidates may submit research theses for examination in temporary binding; the administrative arrangements which follow a successful examination will differ (See Appendix 1 for details).
The Convenor is expected to liaise with the University of Wales regarding any issues with the above, or with any queries regarding the content of these notes.
NOTES OF GUIDANCE FOR CONVENORS AND ADMINISTRATORS – RESEARCH THESESSection 2 – Examination Criteria
Examiners are asked to bear in mind the University of Wales’s criteria for the award of the research degrees, as detailed in the relevant ‘Notes of Guidance for Examiner and Chairs’, ‘Academic Regulations for Research Degrees’and ‘Academic Protocol 3’.
2.1Criteria for Binding of Thesis
Depending upon the policy of the institution concerned, candidates may submit research theses for examination in temporary binding. Where such a submission has been made, the nature of the binding is irrelevant, as far as evaluating the work is concerned.There need be no shift in examiners’ tolerance of any errors (minor or otherwise), or, accordingly, in the decision reached. It should be noted that External Examiners are requested, in the case of a candidate resubmitting, to examine only bound copies of the thesis and not corrections submitted via electronic means. (See Appendix 1 for details)
Both copies of unsuccessful theses should be returned to the candidate. Any notes or marginal comments made by the examiners in theses must be erased prior to their return to the candidate.
2.2Criteria for Oral Examination (Viva Voce)
The purpose of the oral examination is toenable the examiners to assure themselves that the thesis is the candidate’s own work, to give the candidate the opportunity to defend the thesis and to clarify any obscurities in it and to enable the examiners to assess the candidate’s knowledge in his or her particular field of learning.
2.2.1The oral examination will normally be conducted at the institution at which the candidate commenced their scheme of study. At the discretion of the Vice-Chancellor, however, the oral examination may be conducted at another location or by other means subject to circumstances;The ‘Guidelines for the Conduct of Viva Voce Examinations by Electronic Means’ are available on request from the University of Wales Registry.
2.2.2In the case of a candidate resident at the time of submission elsewhere than in the UK, the oral examination may be deferred until the candidate returns to the UK, in line with the requirements for the deferral of examination stipulated in the Academic Regulations for Research Degrees. The examination may not be deferred for a period in excess of twelve months from the date of submission of the thesis.
2.2.3Examining Boards, in recommending a candidate for the degree, shall certify that the thesis submitted by the candidate substantially covers the scheme of research approved by the University of Wales.
2.2.4The following must be present at the oral examination:
- The Chair of the Examination Board
- The External Examiner
- The Internal Examiner / Second External Examiner (in the case of a Staff Candidate)[1]
The Chair of the Examination Board will normally be the Head of the Department/School concerned, except in such instances where this function has been delegated to a senior member of the academic staff of the institution; this must be the case if the Chair of the Board is also the candidate’s supervisor.
2.2.5The members of the Examination Board shall be appointed in accordance with the University of Wales’ Regulations and Academic Protocols for Research Degrees. The candidate’s supervisor will not be appointed as an Internal Examiner; however he/she may be invited to attend the oral examination (viva voce) in an advisory capacity.
2.2.6The Chair of the Examination Board shall be responsible to the Vice Chancellor of the University of Wales, for the conduct of the oral examination.
2.2.7At the oral examination, care should be taken to ensure that candidates are encouraged to feel at ease so that they can display their knowledge and abilities to best effect; the strengths as well as the weaknesses of the thesis should be acknowledged and explored. At an early stage in the proceedings, candidates should be given an opportunity to explain precisely what their thesis is intended to achieve and what they believe to be its significance as a contribution to knowledge. If there appears to be a major discrepancy between the candidate’s aims and the content of the actual thesis, the reasons for this should be explored. Likewise candidates should be asked to explain their choice of title when there appears to be an imperfect correspondence with the contents of the thesis. Candidates should also be given the opportunity to explain any apparent failure to use important materials, whether primary or secondary, or neglect of relevant approaches or methodologies.
2.2.8It is important that, where a thesis reveals significant deficiencies which might lead to a report which is not unequivocally favourable, a representative sample of these should be drawn to the candidate’s attention and time for explanation and defence allowed for within the examination.
2.2.9It is possible for examiners to disagree in their evaluation of the work, therefore, it is desirable for the examiners to confer before the oral examination takes place; significant divergences of opinion should be identified, and a strategy may to resolve these differences by agreed means (which might include the careful structuring of the oral examination) be devised. Although it is desirable that the examiners strive to resolve their differences, should it prove impossible for them to do so, the Chair of the Board must report this fact to the University of Wales so that an Arbitrating External Examiner may be appointed [2].
2.2.10The oral examination is an integral part of the examination process for a research degree, with the specific purposes set out above. Examiners are asked to exert great care to avoid giving the impression at any time during the oral examination that the oral examination is, in any sense, a mere formality.
NOTES OF GUIDANCE FOR CONVENORS AND ADMINISTRATORS – RESEARCH THESESSection 3 – Completion of the Examiners’ Result and Report Form
The ‘Examiners’ Result and Report Form’ is included as an appendix to the relevant ‘Notes of Guidance for Examiners and Chairs’. The following notes detail how this form should be completed both prior to and following the Oral examination (viva voce). This Form is intended for the reports of the both the External and Internal Examiners, and is used by the whole of the examination board when making a formal recommendation to the University of Wales on the outcome of the examination process.
Examiners are advised that under the terms of the 1998 Data Protection Act and the subsequent Freedom of Information Act, candidates have the right to request access to any comments made about them in these reports.
3.1Prior to the Oral Examination
3.1.1The External Examiner should complete Section 1.1 –‘External Examiner’s Report on Thesis’ of the ‘Examiners’ Result and Report Form’ and take the whole of the form to the Institution at which the oral examination is to be held.
3.1.2The Chair of the Examining Board should arrange for the Internal Examiner’s to complete Section 2 – ‘Internal Examiner’s Report on Thesis’ of the ‘Examiners’ Result and Report Form’. Additional pages may be appended to Section 2, however the Internal Examiner must sign and date each additional page.
3.1.3The form and content of the examiners’ reports should be sufficiently detailed to allow members of the University’s staff to assess the scope and significance of the thesis, and to appreciate its strengths and weaknesses. Reports should, as far as possible, be expressed in terms that may be understood by those who are not specialists in the particular field of the thesis. Ideally the report should include, near to its beginning, a statement of what the thesis purports to do, and an account of what it actually covers. Evaluative comments should be as full as possible and should include an indication of strengths as well as weaknesses, limitations and lacunae.
3.2Following the Oral Examination
3.2.1Completing the Examiners’ Result and Report Form
Following the Oral Examination of the candidate, the Internal and External examiners should complete the ‘Examiners’ Result and Report Form’, as follows:
- The External Examiner should complete Section 1.2 – ‘External Examiner’s Report on Candidate at Oral Examination’.
- If necessary the External Examiner should complete Section 1.3 – ‘Matters of General Concern or Interest […]’.
- The External Examiner, together with the Internal Examiner, should complete Section 3 – ‘Joint Report by External and Internal Examiners’.
Additional pages may be appended to Sections 1.2, 1.3 and 3 of the ‘Examiners’ Result and Report Form’,however the External Examiner must sign and date each additional page.
3.2.2Completing the Confirmation of Completion of Corrections Form
In the event that the examination board stipulates that the candidate should effect minor corrections to the thesis, it is the responsibility of the External Examiner to review the resubmission and confirm that the criteria for the relevant Research Degree have been met, bearing in mind the time limits imposed by the Examination Board (See Appendix 2 for details).
The Convenor should ensure that the ‘Confirmation of Completion of Corrections Form’has been completed and attached to the ‘Examining Board’s Formal Recommendation of Result Form’ prior to the submission of the result to the University of Wales.
3.2.3Completing the Examining Board’s Formal Recommendation of Result Form
The examiners should arrange with the Chair of the Examining Board for the completion and signature of the ‘Examining Board’s Formal Recommendation of Result Form’. The examination board should indicate one of the options outlined in Appendix 2 to these ‘Notes of Guidance’ and further expanded upon in the relevant ‘Notes of Guidance for Examiner and Chairs’.
The ‘Examining Board’s Formal Recommendation of Result Form’ should then be signed by the Internal Examiner, the External Examiner and by the Chair of the Examination Board, who should also enter the date.
In the event of a dispute between the examiners as to the result of the examination, the form should not be signed, but instead the Chair should notify the University of Wales.[3]
The ‘Examining Board’s Formal Recommendation of Result Form’ should only be returned to the University of Wales Registry once a final mark has been indicated; any corrections stipulated by the Examination Board must have been completed within the set time limit, or the candidate should be marked as a fail.
3.3Payment of Fees and Expense Claims
The payment of fees and expenses to External Examiners is the responsibility of the University of Wales Registry. A ‘Fees and Expenses of External Examiners (Higher Degrees)…’ claim form should be completed by the External Examiner and submitted to the University of Wales Registry.
A fee of £132 is payable for the examination of a PhD or Professional Doctorate thesis and a fee of £102 for the examination of an MPhil thesis. Any travelling and subsistence expenses should be detailed clearly on the claim form, and any receipts attached.
NOTES OF GUIDANCE FOR CONVENORS AND ADMINISTRATORS – RESEARCH THESESAPPENDIX 1 / Presentation & Binding
1.1Candidates submitting higher degree theses and dissertations for examination shall submit the required number of copies either in a condition suitable for eventual deposit and use in libraries (see below) or - in the case of research degree candidates, where the policy of the institution concerned either requires or permits - in temporary binding. Candidates choosing to submit their work for examination in temporary binding are advised:
- to consult their department at an early stage to determine whether such a submission is in accordance with the institution's policy on the submission of research theses;
- to ensure that temporary binding - if used - is nonetheless sufficiently secure to withstand transit to and from the examiners;
- that any thesis/dissertation submitted for examination in temporary binding must bear on the spine, in a form which cannot easily be erased or detached, the candidate’s name, institution attended and the degree for which he/she is a candidate.
1.2Irrespective of the type of binding used for examination purposes:
- Theses for the research degrees of MPhil, PhD, Doctor of Engineering and Doctor by Examination and Thesis shall, prior to the release of successful candidates’ results by Convenors of Examining Boards, be bound permanently within boards, the binding being of a fixed kind in which leaves are permanently secured in the manner of a hardback book. The boards shall have sufficient rigidity to support the weight of the work when standing upon a shelf.
- Taught Master’s degree dissertations which are to be deposited in the National Library or in the library of the institution concerned shall, prior to the release of successful candidates’ results by Convenors of Examining Boards, be bound permanently, either as in (a) immediately above, or in paperback binding with plastic overlay. Successful taught Master’s degree dissertations which are not to be deposited in the National Library or in the library of the institution concerned need not be bound permanently either before, or after, the release of results.
1.3In the case of all works which are to be deposited in libraries, the permanently bound volumes shall bear on the spine the surname and initials of the candidate, the full or abbreviated title of the work, the name of the degree for which it was submitted and the date of submission. This information shall be printed along the spine in such a way as to be readable when the volume is lying flat with the front cover uppermost. If the work consists of more than one volume the spine shall also bear the number of each volume.
1.4All copies of theses/dissertations, whether for the purpose of examination or for deposit in libraries, shall be presented in permanent and legible form in typescript or print and the characters employed in the main text (but not necessarily in illustrations, maps etc) shall be not less than 12pt; characters employed in all other texts, notes, footnotes, etc., shall be not less than 10pt. Typing shall be of even quality with clear black characters, and capable of photographic reproduction. Double or one-and-a-half spacing shall be used in the main text, but single spacing shall be used in the summary and in any indented quotations and footnotes. Drawings and sketches shall be in black ink; unnecessary detail should be omitted and the scale should be such that the minimum space between lines is not less than 1mm. Colour graphics for charts, diagrams etc and colour photographs may be used, but candidates must in all cases ensure that material is capable of being photocopied and microfilmed. Copies produced by xerographic or comparable permanent processes are acceptable. A4 paper shall be used and should be of good quality and sufficient opacity for normal reading.
1.5Diagrams, maps and similar documents shall be submitted in a portfolio of reasonable size and shall bear the particulars stated to be necessary for the volume.
1.6Candidates may submit non-book material such as audio or video tapes with their thesis/dissertation, if such material forms a useful addition to, or explanation of, work contained in the written submission and if such material constitutes the most appropriate method of presenting the information concerned. Any material of this type shall be enclosed in a container which is suitable for storage on a library shelf and which bears the same information as that required on the spine of the thesis/dissertation, so placed as to be readily legible when the container is in its stored position. Candidates considering the submission of audio or video tapes as adjuncts to their thesis/dissertation should consult their supervisor and the Librarian of the institution for advice at an early stage of their project