Graduate School Handbook part 14

This part of the handbook includes regulations, procedures, information and guidance about the final assessment for an MPhil or doctoral level award. The final assessment period commences once the postgraduate researcher has submitted their thesis/critical commentary to the Graduate School for assessment.

Due to the different and distinct phases within the final assessment process, procedures for each phase are included directly after each section of the regulations, rather than all together at the end of the chapter.

Regulations, procedures, information and guidance about all requirements prior to the submission of the thesis are contained within the previous Part 13 Preparing for the Final Assessment, including: the required format of the thesis, and for DPhil/MPhil by publication the critical commentary; submitting the thesis onto the UWE Bristol Research Repository; nomination and appointment of examiners; the mode of the viva, reasonable adjustments for the viva; organising the viva date, together with guidance and tips on preparing for the viva itself.

In all chapters concerning the final assessment process, the PGR may be referred to as the ‘PGR candidate’, or simply ‘the candidate’.

PGR14.1.1R To be awarded an MPhil or Doctoral level research degree by the University, candidates must demonstrate to the satisfaction of the examiners that they meet the requirements of the University’s published qualification descriptor for that degree (see PGR Part 2 Postgraduate qualification descriptors).

PGR14.1.2R In addition, candidates must successfully complete assessment of any required taught credit and fulfil any other academic or professional assessment requirements for the award as detailed in published award specifications and elsewhere in these regulations.

MPhil and Doctoral level research based awards

PGR14.2.1R MPhil and Doctoral level research based awards (MPhil, PhD, Professional Doctorate degrees) are assessed by submission of a written thesis and a viva voce (oral) examination.

PGR14.2.2R Where candidates are assessed for MPhil and PhD awards with an approved creative practice focus, the assessment will be by submitted thesis and viva voce, but may also include submission of original creative work in any medium undertaken as part of the registered research project. This creative work may include but is not limited to: one or more scholarly texts, works of fiction, musical or choreographic works, designs, devices and products, short film, exhibition of works, installation or other original artefacts or examples of creative work.

Research awards by publication

PGR14.2.3R Research awards by publication (including MPhil and DPhil degrees by publication) are assessed by submission of a collection of published work together with a critical commentary setting out the nature and significance of the collection as a whole in terms of its contribution to new knowledge within the subject field, and a viva voce (oral) examination.

PGR14.2.4R Published work may include books, original and exhibited creative work in any medium, peer reviewed publications in the public domain, published patents or designs, or other forms of published scholarly output embodying original research.

Variations to the prescribed submission formats

PGR14.2.5R Very exceptionally, parts of the thesis, or all of it, may be presented other than in written, printable form where it can be demonstrated that the contents can be better expressed in that form and are capable of being assessed. In all such cases the permission of the Taught and Research Degrees Award Board (RDAB) must be obtained as early in the PGR’s registration as possible and before the final examination arrangements have been approved.

Note: A completed form RD20 (DOC) form is required. 

Variations to examination by viva voce

PGR14.2.6R Exceptionally, RDAB may approve an alternative to the viva voce where it is satisfied that a candidate would be seriously disadvantaged on health, disability, or other grounds by being required to undergo an oral examination. Normally, RDAB’s permission must be sought and obtained before the final examination arrangements have been approved.

Viva mode and location 

PGR14.2.7R All candidates are required to attend the viva voce examination on the date and at the time specified by the University. Subject to the requirements of any conditions prevailing at the time the viva may take place:

• face-to-face at one of the University’s campus sites, or that of an affiliated academic institution as specified within an academic agreement or schedule, or 
• online using a video conferencing platform approved by the University. 

Procedures about the viva location

PGR14.2.8 Prior to submitting the EX1 form, the Director of Studies and the candidate should discuss the candidate’s preference for a face-to-face viva or an online viva. This is subject to the availability and agreement of the examiners, but the candidate’s preference should be supported wherever it is reasonable and practical to do so.  This preference must be indicated on the EX1 form.

PGR14.2.9 Where the viva is held face-to-face, one examiner may attend by video link using video conferencing software approved by the University but the remainder of the examining panel including the Independent Chair should attend the viva in person.

PGR14.2.10 Where the candidate and/or Director of Studies believe there are exceptional grounds for holding a face-to-face viva at a location other than specified at PGR14.2.7R, the permission of the Taught and Research Degrees Award Board (RDAB) must be obtained prior to the examiners being appointed.

PGR14.3.1R A candidate for PhD, MPhil or Professional Doctorate is normally assessed by a panel of two examiners, of whom one must be an external examiner and one an internal examiner. All candidates for doctoral or MPhil awards, including DPhil/MPhil by publication, who are members of permanent staff at UWE Bristol or an affiliated academic institution, or otherwise defined in UWE Bristol procedures, are examined by two examiners who are external to the University, or external to the relevant affiliated academic institution where appropriate. An internal examiner will not normally be required in such cases. 

PGR14.3.2R The final assessment has two parts:

• The examiners’ independent reports (one per examiner) containing a preliminary assessment of the work submitted* by the candidate;
• A viva voce (oral) defence by the candidate of the submitted work in the context of the field of study in which the research lies.

The viva voce will normally be conducted in English.

(*Note: ‘Submitted work/work submitted’ in this context means the thesis, or the published work and critical commentary, or other approved variant).

PGR14.3.3R Both the viva voce examination and examiners’ reporting process are overseen by an Independent Chair appointed by RDAB for this purpose.

PGR14.3.4R No candidate may be failed and the degree not awarded without having had the opportunity of a viva voce examination, either at first attempt or where a resubmission attempt has been granted. But there is no automatic right to resubmission.

Note: Part 15 Assessment Offences (PGR15.2.2R) provides the exception to this regulation in the case of a proven serious assessment offence.

PGR14.3.5R At final assessment, a candidate may be referred for resubmission and reassessment once only, and may undergo a maximum of two viva voce examinations in total, unless RDAB permits otherwise on the grounds of accepted personal circumstances or other exceptional grounds.

Preliminary reports

PGR14.4.1 Each examiner must make an independent preliminary assessment of the submitted work using the report form provided and return these to the Graduate School before any viva voce is held. This report should indicate whether the work submitted, prima facie, satisfies the requirements of the qualifications descriptor for the award on which the candidate is registered. The report should also include the examiners' recommendations about:

• issues to explore with the candidate at the viva;
• the merits and/or deficiencies of the submission;
• the appropriateness of the proposed thesis title;
• where possible, a provisional outcome recommendation, conditional upon the outcome of the viva voce examination.

PGR14.4.2 Examiners should be mindful of the requirements of the Code of Good Research Conduct and the University's policies concerning research ethics, and academic integrity and assessment offences, and follow procedures at part 15 of this handbook Assessment Offences should any concerns arise in this respect.

PGR14.4.3 The examiners' preliminary reports are confidential. The candidate and supervisory team will not normally receive copies. At the discretion of the Independent Chair an examiner may see the other examiner's report once all reports have been received by the Graduate School.

The viva

PGR14.4.4 The examining panel will meet for a period of at least 30 minutes prior to the viva in order to plan the viva. The Independent Chair is responsible for ensuring that the viva is conducted according UWE Bristol academic regulations.

PGR14.4.5 With the consent of the candidate, supervisors and/or a representative of the Taught and Research Degrees Award Board may attend the viva voce examination but may not participate in the discussion with the candidate unless invited to do so by the Chair.

PGR14.4.6 Following the viva, the examining panel will consider its recommended outcome in private. Any representative of the Taught and Research Degrees Award Board (RDAB) may remain while the examiners decide on their recommended outcome, but may not participate in that discussion. Neither the candidate nor the supervisors may be present during the panel's deliberations.

PGR14.4.7 Having completed their deliberations, the examining panel will provide oral feedback to the candidate about the recommended outcome from the range at PGR14.6.1R and details of any requirements for amending, revising or resubmitting the material, together with any recommendations on how to improve the material for publication. It is recommended that the supervisor is present for the feedback session to take notes about further work, and act as an extra pair of ears.

PGR14.4.8 In the event that the technology does not permit any remote/online element of the viva to be conducted with the involvement of all parties to a satisfactory standard, eg visual contact is lost between the parties, the viva should be stopped and rearranged.

View additional guidance to examiners about assessing theses (PPTX) which include research outputs within the body of the work to be assessed and a short video.

Recommended outcomes report (RD12) and written feedback for the candidate

PGR14.5.1 If the examiners agree on the outcome of the examination, they will submit a joint report (RD12) and recommended outcome from the range available at PGR 14.6.1R. The Independent Chair is responsible for compiling this report from feedback supplied by the examiners and submitting it to the Graduate School as soon as possible. All examiners must agree the content of the written feedback.

PGR14.5.2 Where the candidate is required to amend or resubmit work, the Chair will also complete the ‘required changes and feedback’ form which should indicate the examiners’ detailed requirements. This will subsequently be forwarded to the candidate and the Director of Studies by the Taught and Research Degrees Award Board (RDAB), and will form a checklist for the examiners upon receipt of any revised thesis.

PGR14.5.3 Where examiners wish any specific comments contained within their pre-viva preliminary assessment report to be made available to the candidate they must indicate this clearly to the Independent Chair, and it must be included on the post-viva required changes and feedback form. It will not otherwise be made available to the candidate.

PGR14.5.4 For the sake of convenience, annotations noted on an examiner’s copy of the thesis indicating minor presentational and typographical errors only may be passed to the candidate as indicated on the required changes and feedback form. An annotated thesis can only be used in this way in conjunction with the written feedback, not as a substitute for it.

PGR14.5.5 The preliminary reports and the joint recommendation should together provide sufficient detail about the scope and quality of the work to enable RDAB to be satisfied that the recommendation chosen is appropriate.

PGR14.5.6 If the examiners do not agree, they must each submit separate reports and a recommendation for consideration by RDAB.

The final assessment guidance for PGR examiners provides more information about the UWE Bristol viva process. See additional guidance on the incorporation of research outputs in the body of work to be assessed (PPTX).

PGR14.6. The range of outcomes for the final assessment following the viva voce

PGR14.7.1R Where the examiners’ recommendations are not unanimous, this will be reported by the Independent Chair to the Taught and Research Degrees Award Board (RDAB) which may:

a. uphold the recommendation of the external examiner (where there is one external examiner);

or 

b. appoint an independent external assessor to review the thesis and make an independent report together with an outcome recommendation to RDAB. No further viva voce examination of the candidate will take place within that assessment attempt. RDAB will consider all reports and agree an outcome decision in accordance with regulations at PGR14.6.1R. Where this process takes place in the context of resubmission assessment, however, outcome B (i.e. a further resubmission for that degree) cannot be granted.

PGR14.8.1R Should the amendments submitted, whether major or minor, not be considered satisfactory by the examiners the candidate will be given 12 additional weeks to make the necessary adjustments.

PGR14.8.2R If after this additional time the examiners confirm that they are not yet content with the amended material, RDAB may exceptionally permit the candidate up to a maximum of 12 further weeks to make final adjustments. There is no automatic right to this further time.

PGR14.8.3R If the amended material continues to be unsatisfactory the candidate will be considered not to have complied with the academic requirements of the award, will be withdrawn by RDAB and the degree will not be awarded.

Procedures about corrections and amendments

Minor amendments

PGR14.8.4 Where the award outcome is pass subject to minor amendments, this means that the candidate has met the requirements of the qualification descriptor for the award and the amendments should normally be limited to amending representational errors, or re-presenting and restructuring existing text/material only. New work should not normally be required.

Major amendments

PGR14.8.5 Where the award outcome is pass subject to major amendments, this means that the candidate has met the requirements of the qualification descriptor for the award, but the material submitted does not reflect the quality of the research undertaken and requires some additional work. Some new work may be required to bring the thesis up to publishable standard including:

• Limited extra research or analysis;
• Limited new experiments, or repeating existing ones;
• Re-writing some sections of material.

This should not, however, amount to a significant extension or fundamental change in the direction of the original research and will not involve a complete re-write of the material as a whole. The examiners should be confident that this work can be completed within six months full-time or nine months part-time.

PGR14.8.6 Where the award outcome is pass subject to major amendments, the Taught and Research Degrees Award Board may recommend that some further supervision would be beneficial. Where the candidate chooses to take up this recommendation, they will be required to pay the appropriate pro-rata fee.

Deadlines for submitting corrections, minor or major amendments

PGR14.8.7 Deadlines for the submission or required corrections, minor or major amendments are calculated from the date of notification of the outcome of the final assessment by the Taught and Research Degrees Award Board, and not from the date of the assessment.

PGR14.8.8 Amendments should be made in accordance with specific requirements of the examiners. However, candidates are ultimately responsible for deciding the manner in which to improve the material and when the amended material should be submitted within the maximum time stipulated. Candidates can choose to submit before the maximum time allowed.

PGR14.9.1R Only one re-assessment may be permitted by RDAB, subject to the candidate submitting for re-assessment within 12 months FT/18 months PT of the date of the formal notification of the outcome of the first assessment.

PGR14.9.2R RDAB may require that an additional external examiner is appointed for the re-assessment.

PGR14.9.3R RDAB may, where there is good reason, approve an extension of the resubmission period.

PGR14.9.4R In all other respects, the re-assessment will be conducted in the same way as the first assessment, and the candidate will be required to submit a draft of the resubmission to their Director of Studies and receive comments as at regulation PGR13.1.2R.

PGR14.9.5R Following completion of the re-assessment, the examiners may recommend an outcome from the list set out in PGR14.6.1R with the following exceptions:

• Outcome option B (resubmission for the same degree) is not available;
• A PhD or DPhil candidate may be recommended for the award of MPhil subject to satisfactory amendments (outcome option C.i), but may not be recommended for a further resubmission to be assessed for MPhil (outcome option C.ii);
• A PhD or DPhil candidate who, as an outcome of their first assessment, has resubmitted and been assessed for the award of MPhil (i.e. outcome C.ii) may not be given a further resubmission opportunity for MPhil.

Procedures about being referred for resubmission and re-examination

Re-writing and resubmitting the material

PGR14.9.6 Where the award outcome is referred for resubmission and re-assessment, this means that the candidate does not currently meet the requirements of the qualification descriptor for the award but, with substantial new work and/or re-writing of the material as a whole, the examiners judge that they have the potential to do so at re-assessment. Very exceptionally, the examiners may recommend that the candidate be re-assessed by viva only, without having to resubmit revised material.

PGR14.9.7 Revision of the material may relate to theoretical and/or methodological aspects of the research and new work may be required including any or all of the following:

• New research and/or new data;
• New fieldwork or practice;
• New analysis;
• Substantial revision or addition to the literature review.

Note: At resubmission, the revised thesis or DPhil/MPhil by publication submission as a whole is re-assessed, not just the new, re-written, or revised material.

PGR14.9.8 The resubmission deadline is calculated from the date of notification of the outcome of the viva examination by the Taught and Research Degrees Award Board (RDAB). RDAB may recommend that some further supervision may be beneficial and, where the candidate chooses to take up this recommendation, they will be required to pay the appropriate pro-rata fee as advised by the Graduate School.

PGR14.9.9 Revision of the material should be made in accordance with the specific requirements of the examiners. The Director of Studies/supervisor must provide comments on the revised material (see PGR14.9.4R) but the candidate remains ultimately responsible for deciding the manner in which to improve the material and when the material is resubmitted within the maximum time stipulated. Candidates may choose to submit before the maximum time allowed.

The resubmission viva

PGR14.9.10 The candidate will be exempt from undergoing a further viva voce at resubmission only where the examiners unanimously agree, having re-assessed the resubmitted work, that there is no need for it and that the degree can be awarded on the basis of revision of the thesis/critical commentary alone. However, a candidate cannot be failed outright at resubmission and the degree not awarded without having the opportunity to undergo a further viva.

PGR14.9.11 Where the resubmission viva is required, the Director of Studies may request sight of the examiners’ resubmission preliminary reports from the Graduate School to assist the candidate’s preparation for the viva. The candidates themselves may not have a copy of these reports however, nor should it be assumed that the examiners will limit their line of questioning during the viva to that outlined in the preliminary reports.

Resubmission fee

PGR14.9.12 A candidate who submits a thesis or critical commentary and collection of published works for re-assessment is required to pay the appropriate fee as advised by the Graduate School.

PGR14.10.1R Where the examiners recommend that the degree is not awarded, i.e. that the candidate has ‘failed’ the award; the examiners will prepare an agreed joint statement of the deficiencies of the thesis or collection of published work and critical commentary including the rationale for their recommendation. This will be considered by the Taught and Research Degrees Award Board (RDAB). Where RDAB agrees this outcome, the examiners’ statement will be forwarded to the candidate by the Board together with the formal notification of the outcome. The candidate will be withdrawn from the award.