Examination of Research Degrees: Procedural Guidance

Summary of research degrees examining process

The examining process for research degrees involves various parties - supervisors, the candidate, as well as various examining committee members. Below is a broad summary of the steps involved. If you have any queries regarding this information or the examining process you should contact Student Administration.

Students must also read the Code of Practice: Research Degrees and the Postgraduate Research Regulations

1. Intention to submit

The candidate declares their intention to submit their thesis at least two months prior to submission by emailing the intention to submit form to Student Administration.

2. Nominate exam committee

The lead supervisor is responsible for nominating the examining committee by submitting the exam committee nomination form to the external examining team. The PGR director will provide guidance on nominating an independent chair and the Dean of Faculty or nominee is required approve the examining committee. The examining committee must be confirmed by the candidate’s proposed submission date.

3. Confirm exam committee

The external examining team ensures the nominated committee meets the criteria set out in the Code of Practice and Postgraduate Research Regulations and then formally invites the examining committee members to undertake their respective roles.

4. Candidate submits

The candidate is expected to submit their thesis by the date confirmed on the Intention to Submit form. The viva should take place within three months of the candidate’s submission.

5. Independent Chair coordinates examination

The independent chair is responsible for organising the viva, coordinating the date, time and venue.

6. Examiners submit pre-viva reports

The internal and external examiners are required to submit their pre-viva report forms by email to the independent chair at least two days prior to the viva date.

7. Independent chair manages viva proceedings

The independent chair is a non-examining member of the exam committee and will manage the viva proceedings on the day.

8. Examiners agree viva recommendation

Following the viva the internal and external examiners must agree the final recommendation and clearly state any requirements in terms of corrections or amendments.

9. Joint examiners’ report submitted

The final examiners’ report must be sent via email to Student Administration within two weeks of the viva, by the independent chair.

10. Candidate formally notified of recommendation

Student Administration formally informs the candidate and the lead supervisor of the outcome of the viva and any requirements for resubmission or final submission.

11. Final submission of thesis

If the candidate satisfies the requirements of the committee, then they submit the final digital thesis to STORRE and one hard bound copy to the University Library, via the Student Services Hub.

Guidance for the candidate: Submitting the thesis for examination

Intention to submit your thesis

You are required to notify Student Administration at least two months before you intend to submit your thesis. You do this by submitting an intention to submit by email to studentprogrammes@stir.ac.uk.

You will need to submit a thesis title which will be used to give the chosen external examiner an idea of your area of study. This is a working title that can change, with the agreement of your supervisor.

Once you have notified us of your intention to submit, your lead supervisor will be invited to nominate an examining committee. The committee will comprise an independent chair, an internal examiner and an external examiner. If you are a member of staff at the University, with a substantive contract, you will be assigned two external examiners. The examining committee should be confirmed by your proposed submission date.

Submitting your thesis

You should ensure that you follow the guidance on the form and presentation of the thesis as outlined in the code of practice (point 86) and submit a completed thesis submission form along with an digital copy of the thesis to Student Administration. Your thesis word count must fall within the maximum word limit as detailed in point 84 of the Code of Practice.

Viva voce - oral examination

The practicalities

The independent chair will liaise with you regarding a date for your viva.

You will be allowed to take your own annotated copy of the thesis into the viva.

A supervisor may be invited, generally by the candidate, to attend the viva as a silent observer.

Your examiners will have met before your viva begins to discuss your thesis. They will discuss the sort of questions that they wish to put to you and who will lead each element of the questioning.

The examiners need to establish that you know your area of study, that you are the author of the work that you have presented and that you have made an original contribution to knowledge.

A viva typically lasts around two hours. A long viva does not necessarily mean that you are struggling to demonstrate the quality of your research – it could just mean that your examiners are thoroughly interested in what you have to say.

Assessment

The viva is an opportunity for you to showcase your research. Details of what the examining committee will be looking for as evidence that you have met the criteria for you research degree can be found in point 89 of the Code of Practice.

Guidance for the candidate: After the Viva

Recommendations of the examining committee

Following your viva, the examining committee will informally explain the outcome to you. Details of any corrections, amendments or additional work required for resubmission will be outlined – you should be sure you understand what is being asked of you.

The recommendations available to the examining committee can be found in point 90 of the Code of Practice

Student Administration will formally notify you of the outcome of your viva and they will provide you with a copy of the examining committee report.

If you have any queries about the requirements for resubmission, it is important that you highlight these as soon as possible via Student Administration.

Corrections/amendments to your thesis

Corrections or amendments to a thesis are generally reviewed and signed off by a nominee from the original examining committee. You should make the necessary changes to your thesis and submit to the nominated examiner. The nominated examiner will then confirm with Student Administration that the necessary changes have been made.

Resubmission of your thesis

If you are required to resubmit following significant revision then you should complete the ‘along with a digital copy of the thesis. You will be invited to attend a further viva, normally with the same examining committee, within 18 months of the initial examination.

Lower awards or no award

On occasion an examining committee may recommend, based on the thesis and the viva, that a candidate is awarded a lower award.

These situations are relatively infrequent but can be extremely distressing for candidates. Support can be found via student support services

Submitting the final thesis

Once you have been given approval to submit the final version of your thesis, you should arrange to have you thesis hard bound according to the instruction in the Postgraduate Research Regulations point 75-78 and point 100-103 of the Code of Practice.

You must ensure that you have deposited a copy of your thesis in the University’s digital repository (before submitting the hard copy).

You should complete the ‘’ and submit this along with the following

one hard bound copy to the University library
an digital copy, which will be submitted to the institutional repository

Guidance for the lead supervisor

When your student is approaching the point of submission (at least two months before they submit) they must indicate their intention to submit. They do this by submitting an intention to submit form by emailing studentprogrammes@stir.ac.uk. On occasion, a student will decide to submit their thesis without the prior knowledge of their lead supervisor. If you have concerns about this, please notify your PGR director and Student Administration.

Nominating the examining committee

Once the student has indicated their intention to submit then the lead supervisor will nominate the examining committee by submitting the Examining Committee Nomination form to externalexaminers@stir.ac.uk. The examining committee must be confirmed by the candidate’s proposed submission date. Details of the criteria of the members of the committee can be found in point 88 of the Code of Practice.

The examining committee must have:

an external examiner (for staff members an additional external is required);
an internal examiner (where an internal is inexperienced a further internal may be proposed);
an independent chair.

Approval of the examining committee

Once the examining committee has been confirmed, your role in the viva set up process ends. You should ensure that the student is progressing appropriately to submission.

If there is likely to be a significant delay to thesis submission after the examining committee has been approved, please notify studentprogrammes@stir.ac.uk and externalexaminers@stir.ac.uk

Attending the viva

A supervisor may be invited, generally by the candidate, to attend the viva as a silent observer.

Outcome

The lead supervisor will be copied into the communication confirming the outcome of the viva.

Guidance for the independent chair

The role

The independent chair is a member of staff internal to the University. They are a non-examining member of the viva voce committee. Their role is to ensure that the examination is conducted appropriately and in accordance with the University of Stirling Postgraduate Research Regulations and Code of Practice. The chair may be required to provide advice on regulations, procedures, policy and practice, and to intervene where there is any activity that is not 'rigorous, fair, reliable or consistent' or which contravenes the University's Equality and Diversity Policy.

Organising the viva

As the independent chair, you are responsible for arranging the viva. The viva should take place within three months of the candidate’s submission. You are expected to liaise with the candidate, the external examiner and the internal examiner to find a suitable time and date. The logistics may be delegated to administrative colleagues where appropriate.

The viva needs to take place in a suitable environment, at the University of Stirling, and the interest of the student should be paramount when organising the examination. If the committee wishes to conduct the examination online, details of conditions of such examinations can be found in point 88 of the Code of Practice.

Once the viva date has been agreed please inform Student Administration via studentprogrammes@stir.ac.uk giving details of the date, time and venue.

The examination and reports

Pre-viva

All examiners and the independent chair receive a link to the code of practice, which outlines the expectations in terms of their roles. The independent chair will receive pre-viva reports from the examiners and should read these and chair the pre-viva meeting. At the pre-viva meeting the independent chair should ensure that the examiners have a shared understanding of their respective roles.

The pre-viva reports are a good starting-place for the examining committee to agree an initial assessment of the quality and standing of the thesis. The independent chair should ensure the examiners agree the lines of questioning and the agenda for the viva.

If, in advance of the viva, examiners express significant concerns regarding the thesis, then student administration should be notified as soon as possible.

The viva

The independent chair should introduce themselves, the examiners and candidate, and explain the procedure for the examination and its key purpose:

to enable the examiners to assure themselves that the thesis is the candidate’s own work;
to give the candidate the opportunity to defend the thesis and to clarify any obscurities in it;
to enable the examiners to assess the candidate’s general knowledge in the particular field of learning.

The independent chair should explain their role in the viva voce - which is to act as the student’s supporter, ensuring that due process is followed and that the student is offered a full opportunity to defend their thesis. The independent chair should ensure that the candidate is given their best chance to succeed. This may require the independent chair to pause the viva for comfort breaks (agreed in advance if appropriate), and to consider the candidate’s wellbeing during the viva.

As the viva progresses the independent chair should ensure that the items on the agenda are addressed. The candidate must be given the opportunity to respond to all questions asked by the examiners and each of the examiners should have a proper opportunity to contribute to the examination process.

When the examiners have finished their discussions with the candidate, the independent chair should ensure that everyone, including the candidate, has had an opportunity to ask their questions. The independent chair should ask the candidate if they have had the opportunity to say everything about their thesis that they had wanted to.

The independent chair should draw proceedings to a close and explain that the examiners will discuss the thesis and the viva, and agree a recommended outcome of the examination from the options available.

The candidate must be asked to withdraw from the room while the examiners consider the outcome(s) of the examination and their recommendation to the University.

Post-viva deliberations

As well as advising on the University policy and regulations, the independent chair may be required to facilitate the decision-making process. The independent chair should ensure that the examiners are clear on the recommendations available to them and their interpretation of the Code of Practice and Postgraduate Research Regulations. The independent chair is not an examiner and has no additional casting vote. However, if examiners cannot agree an outcome, then the independent chair will be required to facilitate discussions and clarify positions, in order that a recommendation is agreed.

Post-viva

Following the viva, the independent chair should invite the candidate to return to the room. The examiners should give the candidate feedback on their thesis and performance in the viva. Any requirements for corrections, amendments and resubmission should be covered and the timeframe for completion confirmed.

The examining committee can informally communicate the recommended result of the examination to the candidate.

The candidate should be informed that they can expect to receive the report from the examining committee and a full list of the corrections/amendments/revisions within two weeks of the date of the viva. The independent chair should ensure that the requirements for amendments or re-submission (as appropriate) are clearly conveyed to the candidate before the conclusion of the examination.

Independent chair’s report

Upon conclusion of the post-viva meeting the independent chair must complete the Independent Chairs Report form and return this to Student Administration without delay.

The examining committee report

The report is a joint statement about the outcome of the viva and comprises the pre-viva reports, an agreed comment on the defence of the thesis and the recommended examination outcome. It is expected that a clear list of any corrections or amendments is included with the examining committee report.

The examining committee reports, including the pre-viva reports, are routinely copied to the candidate and their lead supervisor when the official notification of the outcome of the examination is conveyed to them.

The independent chair is asked to gather together the completed report, to ensure that the final recommendation and any requirements (corrections, amendments or resubmission are in line with what was agreed at the viva and conveyed to the candidate. The report is submitted to studentprogrammes@stir.ac.uk

The candidate should receive the report from the examining committee (via Student Administration) within two weeks of the viva.

Commitment to future requirements

In the event that a second viva is required, it is preferable that the same independent chair presides over the examination. However, the availability of the independent chair should not be a cause for delaying a re-examination and in such cases an alternative independent chair may be used.

Authority of the independent chair

The independent chair should intervene if the examining process appears to break with Code of Practice or Postgraduate Research Regulations or on any demonstration of bias or unfairness.

Any deviation from the pre-agreed agenda or format should not disadvantage the candidate or compromise the University’s academic standards.

The independent chair can call for a pause in the examination to give the candidate a break or to speak privately to the examiners if necessary.

Under exceptional circumstances, where concerns are not resolved following a break, the independent chair has the authority to halt the viva. At that point they should contact Student Administration and others as appropriate/available.

Guidance for internal examiner(s)

The thesis

You will receive a digital copy or a soft-bound copy (if requested) of the thesis in advance of the viva. You will also receive the pre-viva and final examining committee report pro-formas and a link to the code of practice.

The examination and reports

Pre-viva report

The pre-viva report will be the basis for discussions at the pre-viva meeting and all examiners should submit a copy of their pre-viva report to the independent chair, at least two days before the viva.

Pre-viva meeting

A pre-viva meeting of the examining committee gives examiners the opportunity to meet and agree an agenda for the viva. The independent chair will chair both the pre-viva meeting and the viva.

The viva

The independent chair who will introduce the examiners and the candidate and outline the roles of each. The independent chair is charged with ensuring that the candidate is given a full opportunity to defend their thesis. The independent chair can pause the viva for comfort breaks or where there are concerns regarding the candidate’s wellbeing.

The purpose of the oral examination is:

to enable the examiners to assure themselves that the thesis is the candidate’s own work;
to give the candidate the opportunity to defend the thesis and to clarify any obscurities in it;
to enable the examiners to assess the candidate’s general knowledge in the particular field of learning.

Post-viva

Once the examining committee has agreed the outcome it reconvenes with the candidate and informally shares the outcome (the formal notification comes in writing from Student Administration) and feedback the nature of the recommendation that will be made in the examining committee report.

The examining committee report

The independent chair is asked to gather together the completed report, to ensure that the final recommendation and any requirements (corrections, amendments or resubmission) are in line with what was agreed at the viva and conveyed to the candidate. The report is submitted to studentprogrammes@stir.ac.uk

The candidate should receive the report from the examining committee (via Student Administration) within two weeks of the viva.

Corrections, amendments and resubmissions

The internal examiner is often the examiner responsible for reviewing corrections/amendments. The candidate will contact you with the amended thesis and you are required to complete the corrections/amendments to thesis form to confirm when you are content that the requirements have been met.

**A 10% discretion to the maximum word limit for theses can be exercised post-viva if the outcome recommended by Examining Committee is corrections or amendments. Please check the word count on receipt of the corrected/amended thesis and if it is in excess of the 10% discretion permitted, contact the student to request they reduce the word count as appropriate.**

Commitment to future requirements

If the outcome of the viva is a resubmission then you will be contacted to act again as the internal examiner for re-examination. This may include a further viva.

Guidance for external examiner(s)

Nomination process

As part of the examining committee nomination process you will be asked to provide a short CV, including details of your research degree examining experience, and evidence of your right to work.

Assuming you meet the University’s criteria for external examiners, Academic Registry will then formally invite you to act as external examiner as part of the examining committee.

The thesis

You will receive a digital copy (and a soft-bound copy if requested) of the thesis to examine. You will also receive the pre-viva and final examining committee report pro-formas and a link to the code of practice

The examination and reports

The independent chair has responsibility for arranging the viva (this may be delegated to administrative colleagues) and will contact you regarding scheduling of the viva.

The independent chair is appointed to provide guidance on the process and University regulations, and to intervene where there might be activity that is not ‘rigorous, fair, reliable or consistent’ or which contravenes the University’s equality and diversity policy.

Pre-viva report

The pre-viva report will be the basis for discussions at the pre-viva meeting and all examiners should submit a copy of their pre-viva report to the independent chair at least two days before the viva.

Pre-viva meeting

The pre-viva meeting of the examining committee gives examiners the opportunity to meet and agree an agenda for the viva. The independent chair will chair both the pre-viva meeting and the viva.

The viva

The independent chair will introduce the examiners and the candidate and outline each of their roles. The independent chair is charged with ensuring that the candidate is given a full opportunity to defend their thesis. The independent chair can pause the viva for comfort breaks or where there are concerns regarding the candidate’s wellbeing.

The purpose of the examination is:

to enable the examiners to assure themselves that the thesis is the candidate’s own work;
to give the candidate the opportunity to defend the thesis and to clarify any obscurities in it;
to enable the examiners to assess the candidate’s general knowledge in the particular field of learning.

Post-viva

Once the examining committee have agreed the outcome, they reconvene with the candidate and informally share the outcome (the formal notification comes in writing from Student Administration) and feedback the recommendation that will be made in the examining committee report.

The examining committee report

The independent chair is asked to gather together the completed report, to ensure that the final recommendation and any requirements (corrections, amendments or resubmission) are in line with what was agreed at the viva and conveyed to the candidate. The report is submitted to studentprogrammes@stir.ac.uk

The candidate should receive the report from the examining committee (via Student Administration) within two weeks of the viva.

Claim for expenses

Once the examining committee report has been released to the student, the external examining team will send you an expenses claim form for completion.

Commitment to future requirements

If the outcome of the viva is a resubmission then the University will contact you to act again as the external examiner for re-examination. This may include a further viva. Examiners’ expenses and fee will be payable for re-examination.