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Swansea University Academic Guide 2012-13

Guide to the Examination of Research Students

Composition of the Examining Board

All Examining Boards for candidates shall consist of the following individuals:

An independent Chair, who will be the Head of College or a member of staff with appropriate experience nominated by the Head of College. The Chair of the Examining Board is required to chair the oral examination and any meeting of the examiners;
An external examiner or examiners;
An internal examiner.

Chair of Examining Board

The Chair of the Board shall be independent in the examining process and shall be responsible to the Academic Board (Postgraduate Research) for the conduct of the examination. The Chair of the Examining Board is required to chair the oral examination and any meeting of the examiners.

A proposed Chair would normally:

Be a member of staff employed at Swansea University with sufficient seniority and experience to be able to command authority;
Have acted as an examiner at, or beyond the level of the thesis to be examined on at least three occasions in the previous three years;
Hold an academic award at, or beyond the level of the thesis to be examined or have equivalent professional experience;
Have a clear understanding of the University’s regulations and procedures;
Have undertaken relevant training regarding supervision and institution-specific policies and supervision procedures.

Any member of staff involved in the supervision of the candidate may not act as a Chair of Examining Board.

External Examiner

External examiners are nominated by the Head of College or nominee, in consultation with the student’s supervisors. Colleges should take due care to avoid establishing reciprocal arrangements which could give rise to a potential lack of objectivity.

Following the introduction of new UK Border Agency controls and requirements, the University must be able to demonstrate that all external examiners are eligible to work in the United Kingdom. At the nomination stage, College should indicate the basis on which the judgement that the proposed external examiner is eligible to work in the United Kingdom has been made — e.g. the proposed external examiner is a British citizen or is employed by another institution within the UK.

A proposed external examiner should:

Be of sufficient seniority and experience to be able to command authority;
Be aware of the nature and purpose of the degree for which the candidate is being examined;
Possess specialist knowledge and expertise in the subject of research;
Normally have examined a higher degree as an external examiner on at least one previous occasion (see footnote to Nomination of Examining Board below);
Have supervised postgraduate students to, or beyond the level of the thesis and/or acted as an internal examiner for a research degree;
Not have been involved in direct substantive collaboration with the candidate’s supervisors in the previous five years.

An examiner from outside the University system may be appropriate where professional expertise is required, provided that such an appointee has suitable experience of research degree examinations.

A former member of staff of Swansea may not be invited to act as an external examiner until at least five years have elapsed since he/she left the University.

A former student of Swansea may not be invited to act as an external examiner until at least five years have elapsed since he/she graduated from the University.

An external examiner must not be appointed if there has been substantive academic communication with the candidate in the previous five years.

Number of theses which can be examined by one external examiner

The number of theses which can be examined by a particular external examiner in a twelve-month period shall normally not exceed three doctoral theses or five research masters theses. In exceptional circumstances, and with the approval of the Academic Board (Postgraduate Research), the maximum number may be extended.

Internal Examiner

Nominated internal examiners would normally:

Have a working knowledge of the subject of research;
Have relevant research experience and be research active;
Hold an academic award at the same level he/she is examining or have equivalent professional experience;
Be a member of staff employed at Swansea University;
Not be a candidate for a research degree either at Swansea University or any other institution;
Not normally have been a student at Swansea University concurrently with the student to be examined;
Normally, be drawn from the College in which the student is enrolled;
Have undertaken relevant training regarding supervision and institution-specific policies and supervision procedures.

Any member of staff involved in the supervision of the candidate may not act as an internal examiner.

A member of staff who has not acted in the role of internal examiner before shall be required to observe at least one oral examination prior to being appointed as an internal examiner. Any oral examination in the University may be observed, but express prior permission for the presence of the observer must be sought from all parties involved in the oral examination.

If, in exceptional circumstances, it proves impossible to appoint an appropriate internal examiner from within the College concerned, the Head of College may nominate an internal examiner from another College of the University.

If it proves impossible to appoint an appropriate internal examiner from another College of the University, the Academic Board (Postgraduate Research) may, on the special recommendation of the Head of College concerned, appoint a second external examiner in lieu of an internal examiner. In appointing such an examiner, the Academic Board (Postgraduate Research) may take account of, but need not be bound by, the nomination made by the Head of College.

The Academic Board (Postgraduate Research) shall not consider the appointment of a second external examiner unless the Head of College has provided written assurance that all appropriate steps have been taken to appoint an internal examiner from within the University.

Examination of Swansea University Staff Candidates

A candidate who is employed by Swansea University at the time of submission shall be appointed two external examiners and no internal examiner. Research students employed on a temporary basis shall not be counted as members of staff, irrespective of the nature of the work undertaken.

Nomination of Examining Board

The Head of College or nominee should complete a Nomination of External Examiner form, indicating whether the student is a member of staff or not, giving the names of all individuals who have been involved in the supervision of the student and the names of the proposed internal examiner and the proposed Chair of the Examining Board.

The Head of College or nominee should provide full contact details for the nominated external examiner. Full details of supervision and examination experience and other relevant information must be provided for all proposed external examiners unless the proposed external examiner has been appointed and acted as a research degree external examiner at Swansea University in the last twelve months. The information provided should cover:

Record of successful supervision at the appropriate level;
Previous experience of research degree examination [Note: if the proposed external examiner has not acted as an external examiner before, there must be evidence of experience of acting as an internal examiner of a higher degree and the proposed internal examiner must have experience of acting as both an internal examiner and as an external examiner];
Academic and/or professional qualifications;
Current and previous academic positions;
Brief summary of recent publications and research outputs.

All nominations are scrutinised either by the Dean of the Academic Board (Postgraduate Research) or by one of the Associate Deans of the Academic Board (Postgraduate Research) and the Assistant Registrar, Research. Additional information regarding qualifications and/or expertise of the proposed examiners and the proposed Chair of the Examining Board may be requested should there be any concerns. The Dean or nominated Associate Dean of the Academic Board (Postgraduate Research) has the authority to executively approve or refuse the appointment of any proposed examiner or proposed Chair of the Examining Board on behalf of the Postgraduate Research Quality Committee.

It is expected that the College will secure an informal agreement to act as external examiner from the proposed external examiner before the Head of College sends the Nomination of External Examiner form to the Academic Office for Postgraduate Research. The proposed external examiner should understand that in accepting a nomination as an external examiner, they are giving a commitment to be available for the duration of the examination process, including a resubmission if appropriate.

The Nomination of External Examiner form must be signed by the Head of College or the Chair of the College Research Committee (or equivalent). Where the Head of College or Chair of the College Research Committee is involved in the supervision of the candidate, then an independent signature should be obtained.

If the thesis is to be submitted and examined in a language other than English/Welsh (permission to do so should be obtained at the time of confirmation of candidature, see Guide to Progress Monitoring of Research Students), the Head of College must ensure that all members of the Examining Board will be able to take a full and active part in the examination. The College must submit all requests to be examined in Welsh to the Academic Registry to arrange for translation purposes.

General Guidance on the Composition of the Examining Board

Lack of previous experience of examining a research degree on the part of one of the examiners must be compensated for by extensive experience on the part of the other examiner. For instance, where a proposed external examiner has little or no experience of acting as an external examiner, then the proposed internal examiner must have extensive experience of acting as an examiner. Where the proposed internal examiner is relatively inexperienced, the proposed external examiner must have extensive experience of acting as an examiner.

In all cases the Chair of the Examining Board must have sufficient seniority and experience and must be well acquainted with Swansea University Research Degree Regulations and the Swansea University approach to research degrees.

Confirmation of Appointment of Examining Board

External Examiner

The Academic Office for Postgraduate Research sends a letter to the external examiner confirming the appointment which is copied to the Head of College concerned. The Academic Office for Postgraduate Research also sends an expenses claim form on which the Examiner may claim his/her fees and expenses at the completion of the examination process.

The University will cover genuine expenses (travel and subsistence) up to a maximum of £300 (actual receipted expenditure only) incurred by the external examiner. Colleges will be asked to cover anything above this amount. The University will normally only cover expenses incurred in the United Kingdom. The University will not cover expenses not incurred directly by the external examiner (for example a meal for any other individual).

Internal Examiner and Chair of Examining Board

The Academic Office for Postgraduate Research will inform the Head of College whether the proposed internal examiner and the proposed Chair of the Examining Board have been approved.

Arrangements for Examination

College Responsibilities and Distribution of Examination Documents

On appointment of both examiners, it is the College’s responsibility is to supply each examiner with:

Copies of the relevant regulations;
One copy of the candidate’s thesis (usually in a temporary binding);
One copy of the completed Notice of Candidature Form;
One copy of the Guide to the Examination of Research Students;
One copy of the Guide to the Submission and Presentation of a Thesis for Research Students;
The Report and Result Forms necessary for the conduct of the examination.

The College also has responsibility to provide the contact details to the members of the Examining Board.

Unfair Practice

An Examiner, who, either in the course of the examining process or subsequently, considers that a candidate has engaged in an unfair examination practice, shall immediately report the circumstances in writing to the Chair of the Examining Board concerned.

Examination Arrangements

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 College concerned shall act as Convenor & Secretary or shall delegate these functions to a senior member of the staff e.g. a member of staff responsible for the management of postgraduate research students or the Chair of Research/Postgraduate Committee.

A date that is mutually acceptable to all parties should be set for the oral examination (where appropriate). All parties should be given at least two weeks' notice of the date of the oral examination. If any party becomes unavailable due to exceptional circumstances, the oral examination should be postponed. In extremely exceptional cases a request to hold the oral examination by electronic means may be submitted to the Academic Board (Postgraduate Research) for approval (see Conduct of Oral Examination by Electronic Means below). If a student fails to attend the oral examination without prior notification, the student will be deemed to have failed and the Examining Board should return a recommendation of Not Approved (see Outcomes of examination for each degree below).

Timescale of Examination

External examiners are asked to report upon the work in a timely manner. Members of the Examining Board are expected to complete the examination of the candidate and submit their report as soon as reasonably possible (normally no sooner than four weeks and no later than twelve weeks after receipt of the thesis by the examiners).

All oral examinations must take place within six months of the date of submission of the thesis. The Academic Board (Postgraduate Research) monitors submission dates and students who are not examined within six months of the date of submission will be deemed to have failed.

Duties of the Examiners

Examiners are required to conduct an oral examination for all candidates who have submitted a thesis for a research degree. However, in exceptional cases, where an examination of a re-submitted thesis is being conducted, the requirement for an oral examination may be waived. In such cases a detailed case for waiving the oral examination must have been provided in the written report by the Chair of the Examining Board at the initial oral examination and counter-signed by all members of the Examining Board. It is expected that all oral examinations would normally be held on a face-to-face basis, with all concerned present in the same room on the Swansea University campus, at the same time. Any exceptions would either have to be agreed as an exception or agreed to reflect the nature of the degree e.g. those students studying under Method 'D' (collaborative).

Particular role of internal examiner

The internal examiner must decide whether the student’s research work and knowledge meet the standard which would normally be expected of a student in the College submitting for that degree.

Particular role of external examiner

The external examiner must decide whether the student’s research work and knowledge are of a standard which are comparable to those of students being examined at other institutions for the same degree.

Particular role of Chair of Examining Board

The Chair is present to ensure that process is rigorous, fair, reliable and consistent with University regulations and procedures. In the event of a review of an examination decision or an appeal, the Chair is required to provide a written report on the conduct of the examination as necessary.

During the examination process, the examiners shall:

Consider the thesis and abstract 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, or elsewhere shall be excluded from the examination;
Report on the scope, character and quality of the work submitted;
Satisfy themselves that the candidate possesses a good general knowledge of the particular field of learning within which the thesis falls.

Presentation of Thesis

Members of the Examining Board should bear in mind the content of the Guide to Submission and Presentation of a Thesis for Research Students when assessing a thesis.

Report and Result Forms

The Examiner’s Report and Result forms are intended as instruments for the reports of the examiners and the Chair of the Examining Board, and are for used by the Examining Board to make a formal recommendation to Swansea University 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, students have the right to request access to any comments made about them in these reports.

Conduct of the Examination

The external examiner should complete Section 1.1 of the Report form (External Examiner’s Report on Thesis) and take the whole form to the oral examination. Some Colleges may permit an electronic copy to be sent ahead of the examination. The Chair of the Examining Board should arrange for the internal examiner’s report to be typed in, or otherwise attached to, Section 2 (Internal Examiner’s Report).

The form and content of the examiners’ reports should be sufficiently detailed to allow the Examination Board 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.

It is recommended that the examiners should meet before the oral examination to compare notes on their reports on the thesis, and agree the strategy for the viva. The Chair of the Examining Board must be present at any such meeting. The College is expected to ensure a room and sufficient hospitality is in place for this pre-examiners meeting.

Even where both examiners’ thesis reports indicate that the thesis is of the required standard, the student must not be told at the beginning of the oral examination that the degree will be awarded. The examiners must satisfy themselves through the oral examination that the student is the author of the thesis and completely understands its contents.

Conduct of the Viva Voce

The Chair of the Examining Board must ensure that the oral examination is conducted in an open and fair manner in accordance with the University’s regulations. The Chair should make sure that the student is treated courteously and fairly, and with all due consideration and attention to minimising their discomfort, to enable them to give of their best. The Chair should ensure that the student is given a fair opportunity to defend his/her work and that the examiners are aware of any extenuating circumstances which have a bearing on the student’s case.

The Chair should meet the student in private prior to the oral examination to ask the student whether there are any health or other personal circumstances, not previously notified via the supervisor, that might impact on the student’s performance in the oral examination.

It is the responsibility of the student to make the Examining Board aware of extenuating circumstances which could have an effect on his/her examination. Academic appeals based on extenuating circumstances which could have been brought to the attention of the Examining Board prior to oral examination shall not be considered.

The Chair should explain the purpose of the oral examination to the examiners and the student. The purpose of the oral examination is:

To enable the examiners to assure themselves that the thesis is the student’s own work;
To give the student the opportunity to defend the thesis and to clarify any obscurities in it;
To enable the examiners to assess the student’s contextual knowledge in his or her particular field of learning.

The examiners are not only assessing the thesis in the oral examination, but the candidate’s ability to defend it, and to relate the contents of the thesis to the existing body of knowledge within the particular field.

The Chair should ensure that the examiners and the student are aware of the University regulations and guides dealing with the examination of a research thesis. The Chair should explain the structure of the oral examination and clarify the roles of the examiners and any other individuals present. If any other individuals are present, the Chair should confirm that the student and, if appropriate, the examiners have no objections to the presence of those individuals. In such a case the student should sign a statement on the Report form indicating that he/she has given permission for those individuals to be present. In some cases specific programmes may require that the oral examination is held a public forum. In such cases permission need not be sought for the presence of members of the audience. During the oral examination, the Chair should only interject to provide advice on the University regulations or where there is evidence of any activity that is not in line with the regulations.

For examination of the Professional Doctorate the student is required to give a verbal presentation of his/her work to an audience including a member, or members, of the thesis Examining Board and representatives of the associated professional/industrial organisation prior to the start of the oral examination.

At the oral examination, the student should be encouraged to display his/her knowledge and abilities to best effect, and the strengths as well as the weaknesses of the thesis should be acknowledged and explored. At an early stage in the proceedings, the student should be given an opportunity to explain precisely what the thesis is intended to achieve and what he/she believes 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.

The student should be asked to explain his/her choice of title when there appears to be an imperfect correspondence with the contents of the thesis. The student 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.

It 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 student’s attention and time for explanation and defence allowed for in the oral examination.

When the examiners feel that they have exhausted their lines of questioning, the Chair should ensure that the student has nothing further to add or ask. The student (and the supervisor, if present) should then be requested to leave the room to allow the examiners to discuss the oral examination.

Process after viva

The external examiner should complete Section 1.2 (External Examiner’s Report on the Oral Examination), and, if appropriate, 1.3 (Matters of General Concern and Interest).

[Note: This section allows External Examiners to report any issues of concern or good practice during the Examination Process. This information is relayed directly to one of the Associate Deans to take any necessary action and/or report to the Postgraduate Research Quality Committee. The Chair of the POstgraduate Quality Committee will write to the Examiner concerned on the outcome of considering the issue of concern or good practice.]

The examiners should discuss the student’s performance in the oral examination and consider which of the available recommendations is most appropriate (see Outcomes of Examination for Each Degree below). The Chair should ensure that the recommendation chosen complies with University regulations.

The external should then, together with the internal examiner, complete Section 3 (Joint Report by External and Internal Examiners). The report should draw together any disparate views on the thesis which may have been expressed by the examiners in their individual reports. A brief agreed view on the candidate’s principal strengths and weaknesses, the approach to the topic, and on the performance at the oral examination might also be expressed.

The Chair of the Examining Board should complete Section 4 (Report by the Chair of Examining Board), commenting on the conduct of the oral examination and noting any procedural issues. If the examiners have recommended that the thesis should be resubmitted for examination without a second oral examination, a clear justification for this decision should be presented in the Chair’s report and should be counter-signed by both examiners.

For examination of the Professional Doctorate, the Chair of the Examining Board or the Degree Programme Director should complete Section 5 (Confirmation of Satisfactory Completion by the Candidate of the Training and Practical Elements of the Professional Doctorate Programme), confirming that the candidate has completed the training and practical element of the degree. A separate report detailing the training modules undertaken for the degree and the outcomes achieved should be attached to the Report and Result Forms. The examiners should also complete Section 6 (Report of the Verbal Presentation by the Candidate), confirming that the candidate has completed the verbal presentation element to the satisfaction of the examiners.

For examination of the Master of Research, the Chair of the Examining Board should complete Section 5 (Confirmation of Satisfactory Completion by the Candidate of the Taught and Practical Elements of the MRes Programme), confirming that the candidate has completed the taught and practical element of the degree. A separate report detailing the taught modules undertaken for the degree and the outcomes achieved should be attached to the Report and Result Forms.

The examiners should then arrange with the Chair of the Examining Board for the completion and signature of the final form (Result Form). The appropriate recommendation option should be indicated be means of ticking the relevant box. If corrections are required, the external examiner will normally be required to scrutinise the corrections on behalf of the Examining Board unless otherwise indicated.The examiners and the Chair of the Examining Board should sign the Result Form and the Chair should ensure that the form is dated.

The student should be invited to re-enter the room and the Chair should inform the student of the recommendation of the Examining Board. The Chair should explain the implications of the recommendation and clearly indicate any dates for providing corrections or for re-submitting the thesis as well as identifying which examiner will be responsible for approving corrections (if applicable).

Informing the Academic Board (Postgraduate Research)

After the oral examination is completed and all sections of the Report and Result Forms have been signed, the Chair should ensure that the original Report and Result Forms are sent to the Academic Office for Postgraduate Research immediately. The recommendation of the Examining Board must be presented to the Postgraduate Research Award and Student Cases Board (or the Postgraduate Research Executive Group) for ratification before a result letter can be prepared. Once confirmation that all conditions have been met is received, the student will be informed by the Academic Registry of the formal outcome of the examination.

Disputes between Examiners on Recommendation

When the recommendation of an external examiner gives rise to a case of dispute between the external examiner and internal examiner, it is within the power of the Dean of the Academic Board (Postgraduate Research) at the request of the Chair of the Examining Board, to resort to another external examiner who would be asked to arbitrate. The Dean of the Academic Board (Postgraduate Research) may take into account any written reports submitted by members of the Examining Board. In choosing a second external examiner the Dean of the Academic Board (Postgraduate Research) may also take into account, but need not be bound by, the nomination (if any) of the Examining Board for a second external examiner. A decision on whether or not to reconvene the Examining Board would fall within the discretion of this second external examiner whose decision on all matters is final.

In cases of dispute between the external and internal examiners, the Report and Result form should not be signed until the dispute has been resolved.

Outcomes of Examination for Each Degree

Outcomes for Degree of Doctor of Philosophy (PhD):

The candidate be approved for the degree of PhD subject to completion of such corrections and amendments as may be required by the Examining Board;
The candidate be not approved for the degree of PhD but be allowed to modify the thesis and re-submit it for the degree of PhD on payment of a re-submission fee;
The candidate be not approved for the degree of PhD but be approved instead for the degree of MPhil, subject to completion of such corrections and amendments as may be required by the Examining Board;
The candidate be not approved for the degree of PhD, but be allowed to modify the thesis and re-submit it for the degree of MPhil on payment of the examination fee;
The candidate be not approved for the award of a degree.

Outcomes for the Degree of Professional Doctorate:

The candidate be approved for the degree sought subject to completion of such corrections and amendments as may be required by the Examining Board;
The candidate be not approved for the degree sought but be allowed to modify the thesis and re-submit it for the degree sought on payment of a re-submission fee;
The candidate be not approved for the degree sought but be approved instead for the degree of MRes/MSc, subject to completion of such corrections and amendments as may be required by the Examining Board;
The candidate be not approved for the degree sought, but be allowed to modify the thesis and re-submit it for the degree of MRes/MSc on payment of the examination fee;
The candidate be not approved for the award of a degree.

Outcomes for the Degree of Doctor of Medicine (MD):

The candidate be approved for the degree of MD subject to completion of such corrections and amendments as may be required by the Examining Board.
The candidate be not approved for the degree of MD but be allowed to modify the thesis and re-submit it for the degree of MD on payment of a re-submission fee;
The candidate be not approved for the award of a degree.

Outcomes for the Degree of Doctor of Philosophy by Published Work:

The candidate be approved for the degree of PhD by Published Work subject to completion of such corrections and amendments to the critical review as may be required by the Examining Board;
The candidate be not approved for the degree of PhD by Published Work but be allowed to modify the critical review and re-submit supported by the same publications for the degree of PhD by Published Work within six months on payment of a resubmission fee;
The candidate be not approved for the degree of PhD by Published Work but be allowed to modify the critical review and re-submit with different or additional publications for the degree of PhD by Published Work on payment of a resubmission fee (timescale for resubmission to be determined by Examining Board, up to maximum of three years);
The candidate be not approved for the award of a degree.

Outcomes for the Degree of Master of Philosophy (MPhil):

The candidate be approved for the degree of MPhil subject to completion of such corrections and amendments as may be required by the Examining Board.
The candidate be not approved for the degree of MPhil but be allowed to modify the thesis and re-submit it for the degree of MPhil on payment of a re-submission fee.
The candidate be not approved for the award of a degree.

Outcomes for the Degree of Master of Arts by Research (MA by Research) and Master of Science by Research (MSc by Research):

The candidate be approved for the degree of MA/MSc by Research subject to completion of such corrections and amendments as may be required by the Examining Board;
The candidate be not approved for the degree of MA/MSc by Research but be allowed to modify the thesis and re-submit it for the degree of MA/MSc by Research on payment of a re-submission fee;
The candidate be not approved for the award of a degree.

Outcomes for the Degree of Master of Research (MRes):

The candidate be approved for the degree of MRes subject to completion of such corrections and amendments as may be required by the Examining Board.
The candidate be not approved for the degree of MRes but be allowed to modify the thesis and re-submit it for the degree of MRes on payment of a re-submission fee.
The candidate be not approved for the award of a degree.

Explanation of Outcomes

Approved with Corrections / Amendments

Outcome a. for all degrees.

The thesis is deemed to meet the criteria for the degree subject to corrections / amendments to the thesis being completed. Corrections / amendments should be completed within a period of twelve working weeks. The corrections shall be scrutinised by either the external examiner or the internal examiner (or by all examiners) prior to the award process being initiated. If the corrections are not completed to the satisfaction of the examiners or not submitted for scrutiny within twelve weeks, then the candidate will be judged to have failed and will be not approved for the award of a degree.

Corrections and amendments may take the form of:

the correction of typographical, spelling and grammatical errors; and
limited revisions of material in the thesis that the examiners specify in detail and which in their judgement is necessary for the thesis to reach an acceptable standard.

This latter category can include limited revisions not central to the thesis, omissions, and improvements to the argument which do not materially alter the conclusions. The examiners must be agreed that the candidate will be able to achieve the amendments within twelve weeks of notification.

Not Approved, but Permitted to Resubmit

Outcome b. for all degrees except PhD by Published Work.

The thesis is deemed to not yet meet the criteria for the degree, however, in the opinion of the examiners the thesis may meet the criteria for the degree if some substantial re-working of the thesis were to be undertaken and the thesis were re-submitted for examination on a further occasion, A candidate may be allowed a single opportunity to re-submit the work. The re-submission should take place within a period not exceeding one year. A re-submitted thesis must be examined by the same Examining Board (except in exceptional cases) and a second viva voce must be held. In exceptional cases the requirement for a second viva voce may be waived – a detailed case for waiving the second viva voce must be provided in Section 4 of the Report (Report by Chair) and must be counter-signed by all members of the Examining Board. If the thesis is not re-submitted for examination within one year, then the candidate will be judged to have failed and will be not approved for the award of a degree.

A substantial re-working of the thesis may take the form of:

a major re-think of the methodology employed in the project;
a major recasting of whole sections/chapters of the thesis (or original composition);
re-running of experiments, fieldwork or other methods of data collection;
conducting new experiments or additional fieldwork.

Not Approved, but Permitted to Resubmit (with same publications / with different or additional publications)

Outcomes b. and c. for PhD by Published Work.

The submission is deemed to not yet meet the criteria for the degree, however, in the opinion of the examiners the submission may meet the criteria for the degree if some substantial re-working of the critical review (and different or additional publications included for outcome c were to be undertaken and the submission were re-submitted for examination on a further occasion. A candidate may be allowed a single opportunity to re-submit the work. The re-submission should take place within a period not exceeding six months (or up to three years as specified by the Examining Board for outcome c. A re-submitted submission must be examined by the same Examining Board (except in exceptional cases) and a second viva voce must be held. In exceptional cases the requirement for a second viva voce may be waived – a detailed case for waiving the second viva voce must be provided in Section 4 of the Report (Report by Chair) and must be counter-signed by all members of the Examining Board. If the submission is not re-submitted for examination within six months (or within the period specified by the Examining Board for outcome c, then the candidate will be judged to have failed and will be not approved for the award of a degree.

A substantial re-working of the critical review may take the form of:

a major re-think of the methodology employed in the project;
a major recasting of whole sections/chapters of the thesis (or original composition).

In the case of outcome c, the Examining Board should specify the period for the resubmission (up to a maximum of three years) based on:

the number of additional publications the candidate will need to include and the current status of such additional publications.

Not Approved, but Approved for Lower Award with Corrections / Amendments

Outcome c. for PhD and Professional Doctorate.

The thesis is deemed to not meet the criteria for the degree, but to meet the criteria for a lower award subject to corrections/amendments to the thesis being completed (see Approved with Corrections / Amendments above for details). In the case of a candidate for a PhD, the lower award is the MPhil. In the case of a candidate for a Professional Doctorate, the lower award is either the MRes or the MSc.

Not Approved, but Permitted to Resubmit for a Lower Degree

Outcome d. for PhD and Professional Doctorate.

The thesis is deemed to not meet the criteria for the degree, however in the opinion of the examiners the thesis may meet the criteria for a lower degree if some substantial re-working of the thesis were to be undertaken and the thesis were re-submitted for examination on a further occasion (see Not Approved, but Permitted to Resubmit above for details). In the case of a candidate for a PhD, the lower award is the MPhil. In the case of a candidate for a Professional Doctorate, the lower award is either the MRes or the MSc.

Not Approved

Outcome e. for PhD and Professional Doctorate;c. for MD, MPhil, MRes and MA/MSc by Research; d. for PhD by Published Work.

The thesis is deemed not to meet the criteria for the degree and the thesis is flawed to such a fundamental extent that there are insufficient grounds for the examiners to believe that the candidate might salvage it. In the case of a candidate for a Professional Doctorate or an MRes, the candidate would still be eligible for an exit award as laid out in the relevant academic regulations (see regulations for Professional Doctorate and MRes).

Communicating with the Student after the Oral Examination

The student must be informed of the outcome and have implications of the recommendation explained at the end of the oral examination.

Case: Approved with Corrections/Amendments (also relevant for Not Approved, but Approved for Lower Award with Corrections / Amendments)

The student will be provided with a list of corrections/amendments by the examiners and will be informed that corrections/amendments should be completed within twelve weeks of receiving the list of corrections. The list of corrections/amendments may take the form of an annotated copy of the thesis from one or both of the examiners and/or a short document detailing corrections prepared by one or both examiners. At the time of the oral examination one or both of the examiners will have been given the responsibility of scrutinising the corrections/amendments.

The student should present his/her corrections/amendments to the nominated examiner(s) for approval. Corrections/amendments may be presented in electronic format by prior agreement of all parties and should be accompanied by a document outlining both the suggested corrections/amendments and the steps taken by the student to implement those corrections/amendments. The nominated examiner should indicate in writing that corrections/amendments have been received and whether or not the corrections/amendments are acceptable.

If the corrections/amendments are acceptable, the Academic Office for Postgraduate Research should be informed that corrections/amendments have been verified. The student should be invited to submit hard-bound copies of the thesis (see Guide to the Submission and Presentation of a Thesis for Research Students for details) as soon as possible. Once hardbound copies of the thesis have been received, the student will be informed by the Academic Registry that he/she will be admitted in absentia.

If the corrections/amendments are deemed to be not acceptable, or are not received within the timescale agreed, then the student will be judged to have not met the conditions set by the Examining Board and an outcome of Not Approved will be recorded.

Case: Not Approved, but Permitted to Resubmit (also relevant for Not Approved, but Permitted to Resubmit for a Lower Degree)

The student will be provided with an indication of the areas of the thesis that will require substantial re-working by the examiners and will be informed that he/she will be given a period of one year (six months or period specified by the Examining Board for PhD by Published Work) in which to resubmit the thesis. In exceptional cases the requirement for a second oral examination may be waived and the student will be informed of this at the time of the oral examination.

The student will be informed by the Academic Registry that he/she has been given the opportunity to resubmit the thesis within one year of the date of the notification. The student will be given access to the Library and computing facilities and should establish regular contact with his/her supervisors during the resubmission period.

The student should follow the procedures for submission of a thesis (see Guide to the Submission and Presentation of a Thesis for Research Students for details) before the end of the resubmission period.

If the student fails to resubmit the thesis within the timescale agreed, then the student will be judged to have not met the conditions set by the Examining Board and an outcome of Not Approved will be recorded.

Case: Not Approved

After the recommendation has been ratified by the Academic Board (Postgraduate Research), the student will be informed by the Academic Registry that he/she has failed. If the student is eligible for an exit award, he/she will have to submit a request to the Academic Board (Postgraduate Research) for the award to be made.

Conduct of Oral Examinations by Electronic Means

The University believes that oral examinations are an essential part of the examination process of candidates for research degrees. To this end, the regulations of the University require such an examination to be held, and there is guidance available which is intended to lay the foundations for the oral examination itself.
The University expects that oral examinations will be held on a face-to-face basis at Swansea University, with all concerned present in the same room, at the same time.
Notwithstanding this expectation, the University recognises that it may be necessary - under very exceptional conditions - for arrangements to be made for examinations to take place by electronic means. (The University will not give approval to the use of telephone links alone for the purposes of examinations.) Accordingly, the Academic Board (Postgraduate Research) is empowered to give approval to requests that electronic means may be used, in exceptional circumstances, as defined below:
- where conditions have arisen under which it would not be possible otherwise to proceed with the oral examination (e.g. where a student cannot return to the UK because of visa or other restrictions); or
- where agreed arrangements for a face to face oral examination have had to be terminated because of unexpected circumstances (e.g. severe weather; illness of one of the participants). Note: where such circumstances arise, the University expects the oral examination to be postponed, rather than held by electronic means, but it accepts that in certain circumstances (e.g. where the student would suffer disproportionately as a result of postponement) an examination by electronic means may be necessary.
Cases in which electronic means might be needed for oral examinations should be forwarded to the Academic Registry by the Chair of the Examining Board concerned. The Academic Board (Postgraduate Research) will consider each case placed before it on its individual merits. It shall also expect to receive the following:
- written confirmation from the intended participants (including the candidate) that they have no objection to the examination being held, at an agreed time, through electronic means;
- a written statement from the candidate that he/she has waived any right to appeal against the outcome of the examination on the grounds of the use of the electronic medium or consequences arising from the use of such medium;
- confirmation that sufficient time has been allotted for the viva voce itself, and that necessary technical back-up will be available;
- confirmation that additional time (of approximately 10 minutes duration) has been made available before the start of the formal examination to enable the participants to familiarise themselves with the scope and limitations of the medium in use.
Where such arrangements are given approval, it is suggested that, provided the candidate is in agreement, the supervisor should be invited by the Chair of the Examining Board to be present in the same location as the candidate during the viva voce.
The Academic Board (Postgraduate Research) will report to the Regulations, Quality and Standards Committee on each case in which it has given approval to the use of electronic means for research degree examinations.

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