Academic Quality Framework Chapter 17, Part K

Introduction

1. No University of Kent qualification shall be awarded without participation in the examining process by at least one External Examiner. External Examiners are responsible to the University of Kent Senate which authorises the award of qualifications.

Number of Examiners Required For a Thesis

2. The examination of theses should be by two or more examiners of whom at least one shall be an External Examiner. It may, on occasions, be appropriate to appoint two External Examiners (and no Internal Examiner) or two External Examiners and one Internal Examiner. Where this is the case, the reasons for this should be provided in an addendum to the appointment form. In cases where the candidate is also a member of staff employed in a substantive role, they shall be examined by at least three examiners, of whom two must be External and one Internal (A member of staff employed by the University in a substantive academic role does not include informal or timesheet paid staff such as graduate teaching assistants or hourly paid lecturers).

Appointment of Examiners

3. Proposals for the appointment of examiners should be submitted on the appropriate form along with a copy of the proposed External Examiner(s)’s CV. Initial right to work checks on the proposed External Examiner should be carried out by Northeastern University London’s (the University) at this stage. Once the form has been completed and signed by the Director of the Doctoral School it should be sent for consideration to Northeastern University London Programme and Management Board (PhD PMB). The PhD PMB will consider the application and make recommendations for approval to  the University of Kent Quality Assurance and Compliance Office. The University of Kent Quality Assurance and Compliance Office will scrutinise the recommended proposal, prior to approval by the Dean of the Graduate and Researcher College on behalf of the PhD Programme Management Board, University of Kent.

Considering Recommendations for Appointment of External Examiners

4. In considering recommendations for the appointment of External Examiners, the following will be taken into account:
   1. Only persons of appropriate seniority and/or experience in the fields covered by the course of study (or parts thereof) who are able to command authority should be appointed;
   2. Where the proposed External Examiner is not a senior academic, a note explaining the reasons for the proposal should be made on the recommendation form. The Dean of the Graduate and Researcher College will not approve such a recommendation where the explanatory note simply relates to the excellence of the proposed External Examiner (this is to be expected as a matter of course). The note should also indicate:
      1. The number of people in suitable seniority for appointment as an External Examiner (in some cases this may, of course, be that there were none in this country);
      2. If there are individuals of appropriate seniority who could have been appointed, the reason(s) why such individuals were not put forward for appointment should be given (this might be because such individuals had refused to accept appointment or were not available (e.g. illness or study leave away from the UK).
   3. Individuals should not be invited to become External Examiners if they have been employed by the University of Kent or Northeastern University London during the period of the student’s registration;
   4. In respect of PhDs, the proposed External Examiner should be for a single student only at any one time, within the same Programme. If the nominated External Examiner has been appointed to a student on the same Programme within the current student’s registration, this must be declared in the appointment form;
   5. The Doctoral School (DS) must be satisfied that the nominee can demonstrate familiarity with the standard to be expected of students in order to achieve the award to be assessed;
   6. The nominee must meet any applicable criteria set by relevant professional, statutory or regulatory bodies;
   7. Occasionally individuals from outside higher education are proposed as External Examiners. This may be appropriate given the content of the thesis and/or the non-availability of a suitable person from higher education to act as an External Examiner. In all cases the information specified above should be included with the appointment form together with an explanation of why the particular person has been put forward.
      1. Where the proposed External Examiner has a civil service post/grading, their post details should include their grade. Grade 7 (Principal Scientific Officer) is at senior lecturer/reader level and grade 6 (Senior Principal Scientific Officer) is at reader/professor level.
   8. While most appointments as External Examiners are of individuals based in the UK the University of Kent’s procedures for the appointment of External Examiners do permit appointments from other European countries or other countries outside of Europe. Appointments from outside Europe may be approved where this is the most appropriate given the content of the thesis and the non-availability of a suitable person from within Europe. The rationale for such an appointment must be provided with the form:
      1. The normal expectation is that the oral examination for a research degree will take place at the University’s Campus. An oral examination will only be conducted elsewhere or by video link in exceptional circumstances when the student or External Examiner is at a distance from the University and unable to travel to the University at the appropriate time;
      2. Any External Examiners so appointed must understand the requirements of a UK research degree and be familiar with UK examination processes. In such circumstances the recommendation should be accompanied by a note explaining the reasons (Note: The University regulations provide for an oral examination unless specifically exempted from this requirement by the PhD PMB. This is, and should be, very unusual).
   9. Where there is one or more of the following conflicts of interest, a person may not be appointed as an External Examiner:
      1. They are a member of a governing body or committee of the University, University of Kent or one of their collaborative partners, or are a current employee of the University, University of Kent or one of their collaborative partners. (Note that an individual would not be excluded from becoming an External Examiner of a research degree where they are or have been an External Examiner for a taught course of study awarded by the University of Kent or the University;
      2. They have a close professional, contractual or personal relationship with the supervisor, student or Internal Examiner;
      3. They are a former University of Kent or University staff member or student, unless a period of three years has elapsed and all students taught by or with the nominee have completed their programmes.

Selecting Appropriate Internal Marker

5. When selecting an appropriate internal marker, the Doctoral School should ensure that:
   1. The Internal Examiner has evidence of research activity in the past five years;
   2. The Internal Examiner should normally have experience of supervising students as a Supervisory Chair, Main Supervisor or as part of a Supervisory Team;
   3. The Internal Examiner should have familiarity with the broad subject area of the thesis and be an existing member of Universitystaff. In cases where honorary members of staff are proposed as Internal Examiners, a special case for the appointment must be made.

Considering Appointment of Appropriate Internal and External Examiners

6. In considering the appointment of appropriate Internal and External Examiners, the University should note that:
   1. No member of the student’s supervisory team (or any member of faculty who has been involved with supervising the research project or their progress reviews in the final six months before submission of the thesis) should be appointed as an examiner;
   2. it would be exceptional to appoint as Internal (or External Examiner) researchers who have had a substantial direct involvement in the student’s work or whose own work is the focus of the research project;
   3. Internal Examiners should not have a professional or personal relationship with the student, the proposed External Examiner or the supervisor(s).

Parity of Examiners

7. When considering the selection of an Internal and External Examiner, the University should ensure that there is appropriate seniority, experience and expertise between the two examiners.

Submission of Thesis

8. A student is required to give the University of Kent and the University two months’ notice of an intention to submit a thesis for examination. Ordinarily this should allow sufficient time for the appointment of examiners to be completed although, of course, occasionally this is not the case. However, in no circumstances should a prospective examiner be given a copy of the thesis to be examined prior to their appointment being approved by the University of Kent Dean of the Graduate and Researcher College. Similarly, in no circumstances should a viva voce of a student be held prior to the approval of the examiners by the University of Kent Dean of the Graduate and Researcher College.

Role of Quality Assurance and Compliance Office

9. The time taken to complete the scrutiny and approval processes outlined above can be minimised by following the advice outlined above and, in case of doubt, seeking advice from the University of Kent Quality Assurance and Compliance Office.
10. The University of Kent Quality Assurance and Compliance Office will scrutinise examiners’ appointment forms before passing them to the Director of the Graduate and Researcher College for approval (as per section 3 above). Forms will be dealt with promptly, however, any inaccuracies will inevitably cause delay. It is, therefore, in the interests of all concerned to ensure that forms reaching the PhD PMB are correct and complete.

Doctoral School

11. After approval, examiners’ forms are returned to the DS who will then take appropriate action which will include:
    1. Copying the form to the student’s supervisor and the Internal Examiner(s) (so that they know that the proposed examiners have been approved);
    2. Writing to the External Examiner to confirm their appointment;
    3. Letting the examiners have copies of the thesis and examiners’ report forms.

If Graduate and Researcher College are Unable to Approve Recommendation for Examiners

12. Where the Dean of the Graduate and Researcher College is unable to approve the recommendation for examiners, the form will be returned to the University.

Maximum Timescale for Completion

13. By accepting the appointment, examiners agree on a maximum timescale of three months (upon the receipt of the thesis) for completion of the examination including the oral examination.

If Appointed Examiner No Longer Able to Examine Student

14. Where a student has been referred and one or more of the appointed examiners is no longer able to examine the student (for reasons such as leaving the University of Kent, relocation or death), the University will nominate an appropriate examiner for the consideration of the Dean of the Graduate and Researcher College to take over the examination process. The nomination should be sent to the Quality Assurance and Compliance Office prior to consideration by the Dean of the Graduate and Researcher College.

Termination of Appointment

15. The University of Kent reserves the right to terminate the appointment of an External Examiner without notice where the Vice-Chancellor considers that they have not properly undertaken their duties.

Independent Observers

16. An Independent Observer would not normally be used at a research degree examination, but may be appointed by the Dean of the Graduate and Researcher College in the following circumstances:
    1. Where there are two External Examiners (and no Internal Examiner) appointed;
    2. Where the appointment of an Independent Observer (to oversee the process) is determined to be advisable.
17. The Independent Observer will not act as an examiner of the thesis. They will:
    1. Oversee and maintain an independent record of the oral examination and assist the examiners in following the University’s procedure;
    2. Consider the reports from the examiners prior to the viva voce;
    3. Hold a pre-meeting with the examiners to confirm how the viva voce will be coordinated and advice on procedures;
    4. Introduce the examiners to the student at the beginning of the viva voce and explain the examination process;
    5. Be present throughout the viva voce but not take an active role in questioning the student;
    6. Ensure that the oral examination is conducted properly and according to good practice;
    7. Be present while the examiners reach their decision, so as to be able to advise them on the options open to them under the University of Kent’s procedures;
    8. Provide an independent view on the conduct of the examination (where required).
18. The Independent Observer will be a member of staff with substantial experience in examining research degrees who has not been involved with the student’s research supervision, progression monitoring or examination at any stage during their period of registration. The Independent Observer will normally be appointed from outside the student’s subject area.

Further Guidance

19. Under no circumstances should students contact their Internal or External Examiners, or any Independent Observer, about their research degree examination outside of the formal examination process. The University should make this clear to the student when the examiners are appointed.

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