Policy and Guidance for the Examination of Research Degrees

The following policy relates to the examination of the following

• Doctor of Philosophy (PhD)
• Master of Philosophy (MPhil)
• PhD by Published Work

The policy provides additional information to the requirements outlined in the research degrees regulations. Any deviation from this policy will only be considered in the most exceptional circumstances and must be agreed by the Research Degrees Board before the examination takes place.

Lead Supervisors are responsible for nominating the examiners. Examination panels should be confirmed ahead of submission of the final thesis for examination and should be nominated at the same time as the submission planning process is initiated, if not beforehand. Details of the submission planning process are available in the policy for reviewing progress of PGRs.

Examiners must confirm that they are willing and available to examine the degree, before being nominated. Supervisors should discuss their nominations with the PGR, prior to proposing them for approval and verify that the proposed examiners have not had a significant personal, financial or professional relationship with the PGR.

The examiner appointments will last for the duration of the examination process, including re-examination where this is the outcome of the first examination, unless exceptional circumstances arise.

The examination criterion for all theses is the same, regardless of their presentation format. The lead supervisor must ensure that the examiners are familiar with/ accepting of the selected presentation format.

External examiners are approved subject to the successful verification of their Right to Work in the UK in line with university expectations. This verification must take place before commencement of duties as an external examiner i.e., prior to the thesis being circulated.

Additional costs incurred by appointing external examiners outside of the UK who travels to the university for the purposed of a viva voce will be met by the relevant school or faculty.

PGRs have the right to contest the approval of an examiner or Independent Chair for reasons that can be justified and should submit a written statement to Research Degrees Board within one working week of receiving the nomination with their concerns via email to PGRExaminations@ljmu.ac.uk. Research Degrees Board can agree one of the following outcomes:

• If the Board agrees that there are reasonable concerns about the appointment of the examiner/Independent Chair, the Lead Supervisor will be asked to nominate a new examiner or a new Independent Chair will be nominated by Research Degrees Board. Only the role contested by the PGR will be re-nominated.
• If Research Degrees Board does not agree that there are reasonable concerns outlined by the PGR, the Board will notify the PGR and the nominated examining panel will remain and a date will be set for the viva examination. The PGR can appeal this decision once by submitting their concerns to Student Governance. The Assistant Academic Registrar (or their nominee) will reconsider the submitted written statement and a formal decision will be communicated to the PGR.

Frequency of appointment

It is expected that:

• an external examiner should not normally be appointed more than three times in any three-year period, with a minimum of six months between tenures, except with the express permission of Research Degrees Board
• regular pairings of internal and external examiners should be avoided

Criteria for nominating an external examiner

External examiners will normally be a specialist in the topic(s) to be examined. They should meet the following essential requirements:

• Have expertise in the area of work to be examined, i.e. have recently published, or have equivalent professional experience.
• Hold a postgraduate research degree at the level being examined, or have equivalent professional experience.
• Hold/have held an appointment within a university, or, if outside the university sector (for example a senior industrial scientist or professional practitioner), be aware of the standards required.
• Retired academic members of staff fulfilling all other criteria may be selected as long as they are still active in research.
• Visiting academic members of staff may act as External Examiners where they fulfil all of the other criteria for appointment.

External examiners are not permitted to be:

• A current employee of the university.
• Former staff of the university, unless a period of five years has elapsed.
• Involved in any collaboration with the PGR or have given any substantive advice to the PGR on their research (except in the case of a resubmitted thesis).
• A former higher degree student of the university unless at least five years have elapsed since the degree was conferred.
• A member of the PGR’s supervisory team or been directly involved in the research being assessed.
• Anyone significantly involved in recent or current substantive research activities with the PGR or their supervisors.
• Anyone whose own work is the specific focus of the research project.
• Anyone with a contractual or personal relationship with either the PGR or the Supervisor(s), or with a financial interest in the research being assessed.

Examiners who have been, or are currently acting as, the external examiner for a taught course will not normally be excluded from appointment as a research degree examiner.

Criteria for nominating an internal examiner

The internal examiner must:

• Be a member of the academic staff of LJMU (must not be a visiting staff member).
• Have expertise in the area of work to be examined.
• Be experienced in research, and have recently published, or have equivalent professional experience.
• Hold an academic award at the level being examined or have equivalent professional experience.
• Have attended university internal examiner training facilitated by the Doctoral Academy.
• Not be registered for the same degree.
• Not be on the supervisory team for the PGR being examined.
• Not have had significant involvement in the project or with the PGR or their supervisor.
• Not have acted as the Independent Assessor in the PGR’s Confirmation Reviews.

In exceptional cases, retired academic members of staff fulfilling all other criteria may be selected as internal examiners as long as they are still active in research and have substantial involvement with the university.

Honorary members of academic staff at LJMU may be appointed as internal examiners where they fulfil all of the other criteria for appointment.

Any request to terminate an examiner’s appointment prematurely must be referred by the Faculty Research Degrees Committee to Research Degrees Board, giving reasons for the request. The grounds for premature termination may include the following:

• Failure to participate in the examination without due reason
• Failure to submit a report without due reason
• Failure to comply with all of the procedures of the examination process or the university’s regulations and policies more generally

In case an examiner is no longer available to review and sign off amendments following referral, or in case an examiner fails to comply with the examination process (including unacceptable delays in the submission of reports), Research Degrees Board will approve alternative examination arrangements.

The external examiner

The external examiner must

• come to a view whether the PGR’s research work is of a standard comparable to that of students being examined at other institutions for the same degree.
• read the PGR's thesis and prepare a preliminary report independent of the other examiner or examiners
• lead the viva voce examination
• agree a joint recommendation with the other examiner(s) following the viva voce and communicate this to the PGR on the day of the viva
• endorse the recommendation report submitted by the internal examiner or provide a separate recommendation if a joint one cannot be agreed
• review amendments to the thesis and make a recommendation to Research Degrees Board (if agreed at the viva)
• abide with the university process for checking their Right to Work in the UK
• disclose any significant personal, financial or professional relationship with the PGR
• act as the external examiner for the re-examination (in instances where the outcome of the viva is one of re-examination)

The internal examiner

The internal examiner must:

• act as host during the external examiner’s visit to the university
• read the PGR's thesis and prepare a preliminary report independent of the other examiner or examiners
• agree a joint recommendation with the other examiner(s) following the viva voce and communicate this to the PGR on the day of the viva
• manage the submission of the Joint Examiners' recommendation report via eDoc which should normally be submitted within 5 working days of the viva voce examination
• review amendments to the thesis and make a recommendation to Research Degrees Board (if agreed at the viva)
• act as the external examiner for the re-examination (in instances where the outcome of the viva is one of re-examination)
• attend any Research Degrees Board if and when required

Appointment of an Independent Chair

An Independent Chair will be appointed under the following circumstances:

• At the request of the internal and/or external examiner or supervisor if they anticipate difficulties with the examination or if they simply require the presence of a Chair to assist them through the process.
• At the request of the PGR if they require the presence of a Chair.
• When the school or faculty recognises there are issues relating to the conduct of the research and/or supervision or aspects of the thesis that require the presence of an experienced academic to oversee the process.
• Where there are a limited number of previous UK Postgraduate Research Student examinations across the panel.
• Where a second viva is required on a resubmission following re-examination.
• Where exceptional or non-standard examination arrangements are agreed.
• Any other circumstance in which Research Degrees Board considers it necessary.

The final decision to appoint an Independent Chair rests with Research Degrees Board.  Their appointment is managed by the Doctoral Academy. When an Independent Chair is appointed, the PGR, examiners and the Lead Supervisor should be informed who this will be and their role in the process.

Criteria for appointing an Independent Chair

The Independent Chair must normally:

• be an academic member of staff at LJMU at the grade of senior lecturer or above
• have attended appropriate training to be familiar with university processes and procedures and specifically have knowledge of university regulations for the degree under examination and of the university examinations policy for postgraduate research degrees
• have substantial previous experience as an examiner of the postgraduate research degree viva voce examination
• have experience in the supervision of Postgraduate Research Students studying for the degree being examined
• have previous experience of Chairing meetings (preferably)

The Independent Chair must not be a member of the PGR’s supervisory team, or have played any significant part in the project or the assessment of the PGR (for example in formal progress reviews/Confirmation).

The role of the Independent Chair

The primary role of the Chair is to ensure that the PGR is examined fairly and in accordance with university regulations. They are not required to have any knowledge of the thesis or the discipline area and it is not expected that the Chair should receive or read a copy of the thesis in preparation for the examination. The Independent Chair should not be involved in or contribute to the assessment of the thesis.

Specifically, their role is to:

• attend the pre-viva voce meeting with the examiners and oversee the examiners’ plans for the viva voce examination
• oversee the viva voce examination, to introduce the examiners and PGR, outline the procedure for the examination and its key purposes
• check if there are any mitigating circumstances that the PGR wants to make the examiners aware of
• ensure the PGR has the opportunity to defend the thesis and respond to all questions posed by the examiners
• ensure that the supervisor, if present, does not contribute to the final decision
• ensure that actions required of the PGR and the examiners are clear and understood by all parties at the end of the viva voce examination
• advise examiners, the PGR and other parties involved in the examination on university policy and regulations
• request that examiners complete and submit the relevant reports in eDoc within five working days of the viva voce examination
• advise the examiners on their options in the case of disagreement between the examiners (the Chair does not have an additional casting vote but should help the examiners to reach an agreed position wherever possible)

Conduct of the viva voce examination

During the viva voce examination and the discussion held afterwards, the Chair should intervene only in the following circumstances:

• To provide advice on regulations, procedures, policy and practice.
• Where the Chair feels that there is activity that is not 'rigorous, fair, reliable or consistent.
• Where the Chair feels that there is activity which contravenes the university's Equality and Diversity Policy.
• During the course of the examination, the Chair may feel it appropriate to call a temporary break in the examination in order to speak with the examiners in private.
• When the examiners have finished their discussions with the PGR, the Chair should ensure that everyone, including the PGR, has had an opportunity to ask any questions.
• The Chair should draw the proceedings to a close and explain the next steps in the procedure. Ordinarily, the Chair will ask the PGR to withdraw from the room while the examiners consider the outcomes of the examination and their recommendation to the Research Degrees Board.

Thesis submission

The thesis must be submitted electronically via eDoc. If requested by examiners, hard copies will be made available by the Doctoral Academy. Under no circumstances should the PGR or supervisor supply the examiners with the copies of the thesis.

There should normally be a minimum of four weeks between the thesis circulation to the examiners and the viva voce examination.  A shorter time period must be agreed by the examination panel and with the Doctoral Academy.

Setting up the viva voce examination

The Lead Supervisor is responsible for making the practical arrangements for the viva voce examination and for confirming the date, time and location of the viva voce examination. The PGR and the examiner must be informed of the date, time and location of the viva voce examination within a reasonable time frame ahead of the examination. It is recommended that this is not less than ten working days before the examination.

The university has responsibilities under the Disability Discrimination Act to make reasonable adjustments to its examination arrangements to ensure that PGRs with additional support needs are not disadvantaged for reasons relating to a long-term medical condition, sensory impairment, specific learning difficulty and/or disability.

PGRs are required to inform the Doctoral Academy if there are any particular arrangements or adjustments that need to be made to enable their full participation in the viva voce examination. This should be normally done no later than the intention to submit stage of the examination process.

The PGR should inform the supervisor of any exceptional circumstance, which in their view might affect their performance adversely prior to the viva voce examination starting. The supervisor should ensure that the examiners are aware of any circumstances raised and inform the Doctoral Academy as soon as possible.

Pre-viva voce examiners report

Examiners must each complete an independent Pre-Viva Report before discussing the thesis with one another. The report allows examiners to:

• clarify their preliminary judgement on the thesis for discussion with the other examiner(s) at the pre-viva voce examination meeting
• identify priorities and points for discussion at the viva voce examination
• identify revisions required, thereby saving time after the viva voce examination (even if revisions change as a result of the PGR’s performance or the views of the other examiner)
• identify issues which may need to be discussed with the supervisor or matters that need to be reported to the Doctoral Academy/Research Degrees Board

The examiners must submit copies of their pre-viva voce reports. This should normally be at least 3 working days before the viva voce examination.

Examiners who suspect the PGR of academic misconduct should contact the Doctoral Academy in the first instance to seek advice.

Pre-viva voce examiners meeting

Sufficient time should be allocated for a meeting of the examiners prior to the viva voce examination. The examiners must confer with one another, in order to identify issues to be raised in the viva voce examination; and to agree who will ask which questions and in what order.

Supervisor attendance at the viva voce examination

PGRs may request that one of their supervisors be present at the viva voce examination.  Attendance must be with the expressed consent of the PGR. They should under no circumstances participate in the examination or have any involvement or say with the recommendation. If required by the examiners, the supervisor may answer any questions put to them by the examiners, but at all other times the supervisor must act as a silent observer.

It is recommended that the supervisor should be available at the time of the viva voce examination in case the examiners feel that their presence at the viva voce is required (for example, to give support to the student during feedback).

Viva voce examinations are mandatory for Research Degrees PGRs presenting for the first time.

Unless a PGR declares personal or mitigating circumstances to the examiners or independent chair ahead of or at the start of the viva voce which prevents them from undertaking the viva voce, they are considered ‘fit to attempt’ and retrospective claims will not be considered.

The purpose of the viva is:

• To enable the examiners to assure themselves that the thesis and the research it reports are the PGR’s own work.
• To give the PGR an opportunity to defend the thesis, clarify any matters that the examiners have identified and discuss the subject of the thesis in its disciplinary and/or interdisciplinary context.
• To give the examiners an opportunity to assess the PGR’s broader knowledge of the field or discipline within which the thesis falls.

A viva voce examination may not proceed without all the appointed examiners being present. In the event of an examiner’s or the PGR’s unexpected illness or other unforeseen event, the examination must be postponed to another date and the Doctoral Academy informed.

Viva voce examinations may take place in person, online or a hybrid of the two. Wherever possible, the PGR’s preference should be given priority. Online viva voce examinations should adhere to the Doctoral Academy Online Viva Voce Examination Guidance for Supervisors, Examiners and PGRs.

Conduct of the viva voce examination

The conduct of the viva voce examination must adhere to the following:

• PGRs may take a copy of their thesis into the viva voce examination; and they may also take a reasonable number of supplementary notes, pen and paper, into the viva voce examination.
• The format of the examination, as agreed by the examiners, must be explained to the PGR at the beginning of the examination.
• The examiners and the Independent Chair are responsible for the conduct of the examination. It is their responsibility to see that the viva voce examination is fairly and properly conducted.
• The examiners will each contribute to the examination process, but the external examiner normally takes the lead role.
• The viva voce examination should run for as long as may be necessary for it to serve its proper purpose. The Independent Chair/internal examiner must give an opportunity for breaks if the viva voce examination is anticipated to last more than two hours, provided that this does not disadvantage the PGR.
• The Lead Supervisor should be available to provide any clarification requested by the examiners (before, during and after the examination).
• The viva voce examination must be conducted in English.
• The PGR will be asked to withdraw before the examiners begin their final deliberations. The Independent Chair should be present at the deliberations.
• When the examiners have made their decision, they should communicate it to the PGR, making it clear that their recommendation is provisional, until approved by the Research Degrees Board.

Examination Outcome Report

After the viva voce examination, the examiners must agree a joint recommendation on the outcome of the examination and their comments on the thesis and PGR’s performance at the viva voce examination. This must be recorded on the Examination Outcome Report.

The report provides important feedback to the PGR on their thesis and their performance at the viva voce examination and it is essential that responses are detailed, clear and legible.

The Examination Outcome Report must be completed on eDoc normally within five working days of the viva voce examination.  If examiners require more than five working days to complete their recommendation, they must inform the Doctoral Academy after the viva voce examination.

Following the completion of the first examination the examiners may make one of the following recommendations.

Where the PGR has met the requirements to award the degree they are registered for:

1. Award of degree for which the PGR is registered, OR
2. Award of the degree subject to amendments to be completed within a period of up to six months:

Examiners must indicate to the PGR and the Research Degrees Board in writing what amendments are required.  Such amendments must not be so substantial as to require a full re-examination of the thesis.  Such amendments might include, for example, minor/moderate omissions of substance, minor/moderate typographical errors, limited further analysis but such that it will not affect the originality of the central thesis; limited revision of material which is specified in detail by the examiners. PGRs would not be expected to carry out any further empirical research.

Where the PGR has not met the requirements to award the degree they are registered for:

3. Re-examination: The PGR has not yet satisfied the academic requirements for the award. They are entitled to revise and resubmit the thesis and [if necessary] undertake further research. Re-examination shall be with or without an oral examination within a period of up to 12 months:

Examiners must provide Research Degree Board with a detailed written report on the deficiencies of the first submission which can be forwarded to the PGR after Research Degrees Board has approved the examiners’ recommendation.  Such revisions might include, for example, more than 10% of the thesis to be amended, typographical/grammatical errors so numerous as to suggest carelessness; significant new empirical research required. 

4. (in the case of PhD PGRs) Award of the degree of MPhil subject to amendments to be completed to the satisfaction of the examiners.

The examiners must indicate the appropriate period of time, which the PGR shall have to amend the thesis to their satisfaction.

5. No degree awarded and no further examination opportunity be granted.

Where the examiners decide that the degree be not awarded the examiners shall prepare an agreed statement of the deficiencies of the thesis and/or its oral defence which includes the reason for their recommendation.

In cases of re-examination, Faculty Research Degrees Committee must review the PGR’s supervision arrangements to ensure that they are adequate during the period when the thesis is to be revised and resubmitted.

Approval of recommendations

Examiner recommendations remain provisional until they are formally approved by Research Degrees Board.

Timescales for amendments or revision to a thesis will commence on the day that the PGR receives formal notification from RDB of the outcome of the examination/re-examination. 

PGRs must submit required amendments or revision via eDoc to be considered by the examiner(s) identified in the Examination Outcome Report.  Examiners are expected to review these normally within a period of 4 weeks.

The examiner(s) identified in the Examination Outcome Report must confirm via eDoc that the requirements of the examiners have been satisfactorily complete by the PGR before the award can be considered and approved by Research Degrees Board. 

PGRs can request to have copies of the pre-viva reports and approved Examination Outcome Reports once the recommendation has been approved by the Research Degrees Board and the examination process has been fully completed.

In the event of a disagreement on the appropriate outcome of a research degree examination between the internal and external examiner, the first recourse should be to reach a joint decision on the basis of detailed argument about the specific academic points arising from the examination. In resolving matters particular weight should be given to the views of the external examiner.

If, after their deliberations, examiners remain unable to reach an agreement on a recommendation following the viva voce examination, the procedure detailed below must be followed:

1. The PGR should be informed that the examiners have been unable to reach a decision and that separate reports will be completed and considered by the Research Degrees Board.
2. Each examiner must complete a separate Examination Outcome Report on eDoc giving justification for their recommendation within five working days of the viva voce examination.
3. The internal examiner or Independent Chair where appropriate, will be invited to the next, or specially convened, meeting of the Research Degrees Board to discuss the reports and to see if a recommendation can be agreed. Before the meeting, the external examiner should be contacted in order to obtain their views on the case.
4. Research Degrees Board may: a) accept a majority recommendation (provided that the majority recommendation includes at least one external examiner); b) accept the recommendation of the external examiner; c) require the appointment of an additional external examiner – especially if the internal examiner(s) disagree(s) strongly with the view of the external examiner or d) determine other action where appropriate
5. If agreement is not reached, the Research Degrees Board may, at its discretion, appoint one or more new external examiners.
6. Where an additional external examiner is appointed, they shall prepare an independent preliminary report on the basis of the thesis and, if considered necessary may conduct a further viva voce examination independently of the previous examiners. Additional examiners must not be told the identity of the original examiners nor their specific recommendations. The identity of the new examiner(s) will not be disclosed to the other examiners or the PGR (unless a viva is requested) until the examination process has been completed.
7. Research Degrees Board will consider the additional examiner’s report and will have ultimate responsibility for confirming the recommendation.

The re-examination period begins from the date that the notification of the examiners’ recommendation following the viva voce examination is sent to the PGR detailing the revisions required.

The revised thesis must be submitted via eDoc by the PGR.

The examination of a resubmitted thesis should normally be undertaken by the original examiners. In exceptional circumstances where this is not possible, replacement examiners must be selected and approved following the procedure detailed in this policy. If a change to the examination panel is required, this must be agreed in consultation with the PGR.

Examiners will be sent the resubmitted thesis and must provide separate re-examination preliminary reports normally within 4 weeks of receipt of the thesis.  The preliminary reports should clearly indicate whether a second viva voce is required.  The preliminary reports will be shared across the examination panel. 

Where a second viva voce is requested, this must be agreed by all examiners as all examiners will be expected to attend.  The Doctoral Academy will make the arrangements for a second viva voce.  

Following the exchange of the Re-examination Preliminary Reports, or a second viva voce where one is requested, examiners must confer to agree a joint recommendation on the outcome of the re-examination, comments on the thesis and the PGR’s performance at the viva voce (if applicable).  This must be recorded on the Re-submission Examination Outcome Report.  The report must be completed on eDoc normally within 5 working days.

In the event of a disagreement on the appropriate outcome following a re-examination, the process for examiner disagreement over a recommendation detailed in this policy must be followed.

Examiner Recommendations following re-examination

Where the PGR has met the requirements to award the degree they are registered for:

1. Award of degree for which the PGR is registered, OR

2. Award of the degree subject to amendments to be completed within a period of up to six months:
   

   Examiners must indicate to the PGR and the Research Degrees Board in writing what amendments are required.  Such amendments might include, for example, moderate omissions of substance, moderate typographical errors, limited further analysis but such that it will not affect the originality of the central thesis; limited revision of material which is specified in detail by the examiners. PGRs would not be expected to carry out any further empirical research.

   Where the PGR has not met the requirements to award the degree they are registered for:

3. (in the case of PhD PGRs) Award of the degree of MPhil subject to amendments to be completed to the satisfaction of the examiners.

   The examiners must indicate the appropriate period of time, which the PGR shall have to amend the thesis to their satisfaction.

4. No degree awarded and no further examination opportunity be granted.

Where the examiners decide that the degree be not awarded the examiners shall prepare an agreed statement of the deficiencies of the thesis and/or its oral defence which includes the reason for their recommendation.

Appeals and complaints may be made on the grounds as detailed in the Research Degrees Regulations.

PGRs must submit a copy of the final approved thesis to the University’s E-theses repository in line with the guidance available at E-Theses service | Liverpool John Moores University. Certificates will not be issued until the e-thesis has been uploaded to the repository.