ARC\S10G
(October 2013)
RESEARCH DEGREES OFFICE
Affiliated Research Centre Programme
Examination Guidelines
Page
1
Introduction
3
2
Notice of Submission
3
The Candidate declaration form
3
Nomination and Appointment of the Examination Panel
4
Composition of the examination panel
Examination panels for resubmitted theses
The observer
Appointment criteria for the examination panel chair
Appointment criteria for examiners
Independence of examiners and examination panel chairs
Appointment criteria for the examination panel
Approval of nominations
4
5
5
5
6
6
7
8
Duties of the Examiners
8
Duties of the examination panel chair
Duties of the examiners
8
9
Honoraria and Expenses
9
Honoraria
Expenses
9
9
Submission
9
Eligibility
Length and format of thesis
Presentation of thesis
Text
Footnotes
Binding of examination copies of the thesis
Outsize documents
Non-book media
Submission of the thesis
9
10
10
10
11
11
11
11
12
7
Independent Pre-viva reports
12
8
The Oral Examination
13
Arrangements for the examination
Examiners’ meeting
13
13
3
4
5
6
Page 1 of 18
Page
The scope and duration of the examination
Informing the student of the recommendation
13
13
Criteria for the award of the degree
14
Master of Philosophy
Doctor of Philosophy
14
14
Recommendations available to examiners
15
Award the degree
Corrections and modifications
Substantial amendment
Major revision and resubmission
Alternative recommendation for PhD examinations
Fail
15
15
15
15
16
16
11
The Examination Report Form
16
12
Approval of the examination result
17
Corrections and modifications to the thesis
Substantial amendment to the thesis
Major revision and resubmission of the thesis
Illness and suspended registration after the viva
17
17
17
18
Award of the degree
18
9
10
13
All guidance notes and forms are available from the forms and guidance section of the VRE at
www.open.ac.uk/students/research.
Page 2 of 18
1
Introduction
This document outlines the arrangements and procedures for the examination and award of
research degrees. It is intended to provide information for research degree co-ordinators in
Affiliated Research Centres (ARCs), supervisors and examination panels. If you have any
queries or require advice please contact the Research Degrees Office.
Subject Area
Research Degrees Adviser
Contact details
Science
Louise Luckham
+44 (0)1908 652296
Julie Williams
+44 (0)1908 653117
Anita Long
[email protected]
Architecture and Urbanism Julie Williams
+44 (0)1908 653117
[email protected]
Arts, Theology and
Religious Studies
Louise Luckham
+44 (0)1908 652296
[email protected]
Business and Management
Social Science
Health and Social Care
Research Degrees Office
The Open University
Milton Keynes
MK7 6AA
Tel: +44 (0)1908 654882
2
Notice of submission
The student is required to give the Research Degree Co-ordinator at least three months notice
of her/his intention to submit, in order to allow sufficient time for an examination panel to be
appointed. Notification should include confirmation of the thesis title, a provisional date for
submission, and if the thesis contains a non-book component, clarification of the extent and
type of non-book material to be submitted. The student should declare if s/he has a disability
or any additional requirements for which adjustments may need to be made when the
examination is arranged.
2.1
The Candidate declaration form
The research degree co-ordinator sends the student a link to the Examination Guidelines for
Students (ARC\S11G) and the Candidate declaration form on the OU website. The student
should complete the Candidate declaration form to confirm the details of her/his submission.
The student completes section one and then passes the declaration form to her/his
supervisors.
All the supervisors are required to:
(a)
confirm the length of the thesis
(b)
if the student is submitting a thesis containing a non-book component, confirm that, in
the context and norms of the subject area, the total volume of material (both book and
non-book) would represent a workload to its examiners that is no greater than that
represented by a book thesis of 60,000 words for an MPhil or 100,000 words for a PhD
(c)
comment on the student’s declaration
Page 3 of 18
(d)
confirm that they have read the thesis in its final form (and scrutinised any non-book
component), and that it is, in their opinion, worthy of consideration for the degree for
which it is being submitted
(e)
confirm that the requirements for ethical review have been met (if applicable)
(f)
return the completed declaration form to the Research Degree Co-ordinator.
When the thesis has been submitted, the completed Candidate declaration form should be sent to
the Research Degrees Office to confirm the submission. A copy of the completed Candidate
declaration form must be sent to each of the examiners with the thesis.
Supervisors should not submit the Candidate declaration form if they are not able to confirm
that the thesis meets the criteria of the degree for which it is to be submitted (see section 8).
Where supervisors are unable to confirm that the thesis is of adequate standard for
submission, they are required to produce a written report, which may include copies of recent
progress report(s), making clear how the thesis falls short of an adequate standard. This
should be submitted by the Research Degree Co-ordinator to the Manager, Research Degrees
in Affiliated Research Centres in the Research Degrees Office, and copied to the student. The
report will be referred to the Chair of The Open University Research Degrees Committee, who
may:
(a)
confirm that submission for examination will not be permitted until appropriate
amendments have been made
(b)
ask the Research Degree Co-ordinator to arrange for the thesis to be externally
assessed and for the external assessor’s report to include a judgement about whether
the work is of an adequate standard for examination for the degree concerned
(c)
decide (with the agreement of the research degree co-ordinator) that the thesis should
be accepted for submission, as it stands, without the approval of the supervisors.
In the case of (b) a decision on eligibility for submission would be made by the Research
Degrees Committee, or the Chair acting on behalf of the Committee, on receipt of the external
assessor’s report and the comments of the Research Degree Co-ordinator.
3
Nomination and appointment of the examination panel
When the Research Degree Co-ordinator receives the student’s notification of intention to
submit, the supervisors should be asked to provide advice about the nomination of an
examination panel. The Research Degree Co-ordinator should send the completed
Examination Panel Nomination Form, together with an Examiner and EPC CV form for each
member of the panel, to the Research Degrees Office, with sufficient time to allow the panel
to be approved by or on behalf of the Research Degrees Committee before the student
submits her/his thesis. These forms can be downloaded from the forms and guidance section
of the VRE at www.open.ac.uk/students/research.
The supervisors or Research Degree Co-ordinator should approach the examiners before they
are formally nominated to confirm that they are willing to accept the appointment. If the thesis
contains a non-book component or is overlength, potential examiners should be made aware
at this stage.
3.1
Composition of the examination panel
The three possible examination panel combinations are:
(a)
examination panel chair
internal examiner
external examiner
(b)
examination panel chair
internal examiner
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2 external examiners
(c)
examination panel chair
2 external examiners.
The student’s supervisors or third party monitor(s) cannot be appointed as the examination
panel chair or the internal examiner.
3.2
Examination panels for resubmitted theses
The original panel should normally be appointed for the second oral and re-examination of the
resubmitted thesis. If it is not possible to appoint the same panel, a case outlining the
circumstances should be made to the Research Degrees Committee on the Examination panel
nomination form.
3.3
The observer
The Research Degrees Committee will normally expect one of the student’s supervisors to be
present as an observer at the examination, and at the pre- and post-examination meetings.
The observer is then able to offer:
(a)
advice to the panel, as someone who is familiar with the candidate’s work
(b)
reassurance to the candidate, as a familiar face
(c)
support in interpreting the exam panel’s request for amendments (if requested) following
the viva.
Independent examination panel chairs should consult the examiners to agree the role of the
observer. Observers should, before the day of the examination, clarify their role with the
examination panel chair.
Observers may be asked to withdraw from any part of the examination and should do so
without discussion if an examiner requests this. The examiners may want to have a private
discussion prior to, or after, the examination.
In exceptional circumstances, where a supervisor is unable to act as the observer, the
Research Degrees Committee requires an experienced member of the ARC to act in this
capacity.
Students may elect not to have an observer present. The Research Degrees Committee is of
the view that this is not in the student’s best interest. Students who do not wish to have an
observer present at their examination must confirm this in writing to the Research Degrees
Office, via the ARC Research Degrees Co-ordinator.
3.4
Appointment criteria for the examination panel chair
The examination panel chair should normally:
(a)
have experience of UK research degree supervision and examination
(b)
not be registered for a research degree themselves
(c)
be a member of staff of the student’s ARC, or a member of academic staff at The
Open University of lecturer status or above
(d)
be familiar with research degree regulations with specific reference to those relating
to examinations.
Members of staff at collaborating establishments are not eligible to act as examination panel
chair.
Page 5 of 18
Where the nominated examination panel chair does not meet these criteria, the Research
Degree Co-ordinator is asked to provide a supporting statement with the nomination.
3.5
Appointment criteria for examiners
Examiners should:
(a)
be qualified and experienced in the field of the thesis to be examined
(b)
not normally be registered for a research degree themselves
(c)
normally have experience of UK research degree supervision and examination
(d)
meet the criteria set out in Section 3.6 and 3.7.
The Research Degrees Committee will consider exceptions to the normal criteria. A case
should be included with the Examination panel nomination form. ARC Research Degree Coordinators should contact the Research Degrees Office for advice about nominations that do
not meet the normal criteria, prior to submitting the Examination panel nomination form.
Interpretation of the criteria, in the context of individual examinations, is often a matter of
judgement. The Research Degrees Office can provide guidance on the case being prepared
for approval by the Research Degrees Committee.
Internal examiners should be:

a member of staff of the student’s ARC, or

a member of staff of the student’s collaborating establishment, or

a member of salaried academic staff at The Open University of lecturer status or above.
Former members of Open University academic staff who have retained a formal
connection with the University through visiting appointments may be appointed as
internal examiners.
External examiners should normally be members of academic staff at a university or research
institution (of lecturer status or above). They should not normally be from the same
department as the student’s supervisor.
Academic staff from other ARCs may be nominated as external examiners provided that the
requirements for the panel are met in terms of subject expertise, independence in accordance
with the terms of the ‘Independence of Examiners’ statement below, and UK PhD examination
experience, and that the two ARCs are contracted separately with The Open University.
Former employees of the ARC or The Open University may not act as external examiners
unless they left the ARC or the University at least three years previously. Retired or emeritus
staff should not normally be considered as external examiners.
External members of the Life and Biomolecular Sciences Management Group may not be
appointed as external examiners for Open University research students.
In cases where the thesis to be examined contains a non-book component at least one of the
examiners should have experience of non-book theses. Peer review of artefacts can
substitute for direct experience of non-book thesis examination. Relevant experience should
be clarified on the Examiner & EPC CV form.
3.6
Independence of examiners and examination panel chairs
Those nominated for appointment as independent examination panel chairs or examiners
should not have had any influence on the design and implementation of the student’s research
project. The Research Degrees Committee requires that examiners are neither related to, nor
have a close personal, professional or contractual relationship with the candidate, supervisors
or other members of the examination panel. Examiners should be entirely independent, and
Page 6 of 18
where there is any interest which might prejudice this, it should be declared at nomination
stage. For example, examiners are required to ‘declare an interest’ if they:
(a)
plan to employ the candidate
(b)
have co-published, or plan to co-publish with the candidate
(c)
are involved, or have been, with the candidate or supervisors in a close personal
relationship of any kind
(d)
are a past student of any of the supervisors, with an ongoing professional relationship
(e)
are the ‘regular’ examiner for a particular supervisor or ARC
(f)
have a close professional, contractual or personal relationship with any other member of
the examination panel
(g)
are being nominated as an external examiner and have a relationship with the ARC, for
example through collaboration or as an external supervisor for another current or recent
student at that ARC.
Research Degrees Committee normally considers recent (i.e. within five years) and/or
frequent co-publication to be an indication of a close professional relationship and requests
that the nomination of examiners who have co-published with the candidate, the supervisors
and/or other nominated examiners, is avoided where possible. Potential examiners are
required to declare all co-publications with the candidate, the supervisors and other nominated
examiners at nomination stage. The Research Degree Co-ordinator is asked to provide a
supporting statement explaining the extent of the collaboration in each case, so that the
committee can make an informed judgement about the relationship.
Research Degree Co-ordinators are asked to verify that all nominations conform to the
‘Independence of Examiners and Examination Panel Chairs’ statement by endorsing the
nominations on the Examination Panel Nomination form. They are asked to declare all
nominations which may potentially be affected by the ‘Independence of Examiners and
Examination Panel Chairs’ criteria, and provide a supporting statement for consideration by
the Research Degrees Committee.
If there is difficulty nominating an independent examination panel according to the terms
outlined in the statement above, because there is a small field of research experts, a second
external examiner may be nominated if they are an expert in a related field and can bring the
necessary independence to the exam panel. The ARC Research Degrees Co-ordinator
should provide a supporting statement explaining the reason for the nomination.
Internal examiners are not excluded by virtue of having conducted the student’s probationary
review. Third party monitors may be required to offer advice after the viva, so should not be
selected as internal examiner unless an alterative third party monitor is available.
3.7
Appointment criteria for the examination panel
When considering examination panel nominations, the Research Degrees Committee will look
at the balance of subject expertise, independence, and UK research degree examination
experience, possessed by the nominated examiners collectively.
Examination panel nominations will not normally be approved where the examiners collectively
do not have experience of examining at least five UK PhDs, where the examination is to be at
PhD level, or experience of examining at least five UK MPhils and/or UK PhDs where the
examination is to be at MPhil level. This is to ensure that the candidate has a PhD or MPhil
viva voce examination experience which is comparable with the experience of other research
degree candidates in the UK education system. If this minimum requirement is not met, a
supporting statement must be made by the Research Degree Co-ordinator and included with
the Examination panel nomination form. The nominated examiners’ PhD examination
experience from the UK and from all other education systems should be presented with the
CV and case.
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A second external examiner may be nominated to ensure that the examination panel has the
required level of UK PhD examination experience1.
Although the exam panel chair is normally required to have UK PhD examination experience,
this is not taken into account as part of the examiners’ collective experience.
In cases where a small field of research experts causes difficulty in nominating an
independent examination panel according to the terms outlined in the ‘Independence of
Examiners’ statement above, a second external examiner may be nominated who is an expert
in a related field and who brings the necessary independence to the panel. The research
degree co-ordinator is asked to provide a supporting statement on the Examination panel
nomination form explaining the reason for the nomination.
3.8
Approval of nominations
The examination panel nominated by the ARC must be approved by the Research Degrees
Committee. Once the panel has been approved, the Research Degrees Office will write to the
nominated examiners formally confirming the appointment. These letters will be copied to the
Research Degree Co-ordinator together with a notice informing the student of the examiners’
names.
If the thesis has been submitted and the Candidate declaration form received by the
Research Degree Co-ordinator before the approval of the examination panel the thesis can be
sent to the examiners on receipt of the copies of the letters confirming the appointments.
Otherwise the thesis should be sent to the examiners as soon as the thesis and the Candidate
declaration form have been received.
4
Duties of the examiners
4.1
Duties of the examination panel chair
The examination panel chair does not assess whether the student has met the requirements
of the degree or make a recommendation on the award of the degree. S/he is not required to
read the thesis or prepare a Pre-viva report.
The duties are:
(a)
to arrange the oral examination of the student and to ensure that the research degree
co-ordinator is aware of the arrangements in order that s/he can notify all concerned
(b)
to ensure that the examiners prepare independent Pre-viva reports
(c)
to identify with the examiners the main points to be raised at the examination
(d)
to confirm with the examiners and observer the role of the observer at the examination
and in the examiners’ meetings
(e)
in cases where the submitted thesis contains a non-book component, to take account of
the specific requirements and ensure all members of the panel, the student and the
observer are fully briefed as to how the examination will proceed
(f)
to chair the examination and the examiners’ meetings
(g)
to ensure that the examination is conducted according to The Open University’s
regulations and procedures
1
Where there is a potential internal examiner who has relevant subject expertise and fulfils the independence criteria, yet
has little or no UK PhD examination experience, ARCs are encouraged to nominate external examiner(s) experienced in UK
PhD examinations. In this way ARCs may take the opportunity to develop the UK PhD examination experience of their
academic staff.
Page 8 of 18
4.2
(h)
to ensure that the Examination report form is completed and agreed by all the
examiners at the end of the examination. This should include a report on the
examination and a recommendation on the award of the degree. If corrections,
amendments or major revisions are required, they should be specified in the
Examination report form.
(i)
to email the completed Examination report form and the examiners’ Pre-viva reports on
the next working day following the examination to the ARC Research Degree
Coordinator. At least one copy of the thesis must also be returned to the Research
Degree Co-ordinator.
(j)
to ensure the feedback given to the student is appropriate and that the recommended
outcome is interim until approved by the Research Degree Examination Results
Approval Committee
(k)
to ensure that any amendments specified in Section 7 of the Examination report form
match the criteria / examples associated with the appropriate recommended outcome in
these guidelines.
Duties of the examiners
The duties are:
(a)
to prepare an independent Pre-viva report (see section 7).
(b)
to identify, in consultation with the other examiner(s), the main points to be raised at the
examination
(c)
to assess, with the other examiner(s), whether the student has met the requirements of
the relevant degree
(d)
to make a recommendation, with the other examiner(s), on the award of the degree and
any amendments required (see section 10)
(e)
to check corrections/amendments to the thesis following the viva examination as
specified in section 10
(f)
to abide by The Open University Confidentiality Statement.
5
Honoraria and Expenses
5.1
Honoraria
Honoraria payments for external examiners, and external supervisors who act as the observer,
are set and paid by the ARC.
5.2
Expenses
Expense rates for examiners and observers are set and paid by the ARC.
6
Submission
6.1
Eligibility
To be eligible to submit a thesis for examination, the student must:
(a)
be registered for the degree for which submission is intended
(b)
have completed the minimum period of study specified for the degree
(c)
have satisfied the supervisors that the thesis is of an adequate standard and worthy of
examination for the degree for which it is to be submitted
Page 9 of 18
(d)
not be in debt to The Open University.
Once the thesis has been submitted, Research Degrees Committee requires the examination
to take place even if the examiners consider the submission not to be of the required standard.
6.2
Length and format of thesis
The University’s regulations state that the length of thesis must be appropriate to the subject
area covered and must not exceed 60,000 words (including footnotes) for the Master of
Philosophy or 100,000 words for the Doctor of Philosophy.
In addition, the University’s research degree regulations (RD 6.2.2, 6.2.9 and 6.2.14) provide
for the submission of theses containing ‘non-book’ media in conjunction with the written
(‘book’) part of a thesis. The term ‘non-book’ refers to material of a non-printed book form.
This can include, but is not limited to, digital media, film, audio files, drawings and software.
The content and volume of material submitted in a combined book and non-book thesis
should adhere to two key principles:
6.3
a)
The combined material in both book and non-book form should contain as much
argument, analysis, deployment of evidence and referencing as would be
provided in a PhD thesis. The written component should include, inter alia, strong
arguments that: convey the conceptual underpinning of the research in the
context of the field; thoroughly locate the research within the relevant literature;
clearly and fully explain the methodology used; a clear explication of how the
non-book media exemplifies and develops the ideas described in the written
material; and which has a conclusion that, at a minimum, should summarise the
key findings of the research and its relevance to the extant literature. Note that a
detailed exposition of practices and/or technical skills in themselves is not a
requirement, nor a substitute for a part or whole of a PhD thesis.
b)
The volume of material contained in a combined book and non-book thesis
should represent a workload to its examiners that is no greater than that
represented by a book thesis of 60,000 words for an MPhil or 100,000 words for
a PhD.
Thesis presentation
Text
The thesis must be printed on international A4 (297 mm x 210 mm) paper of good quality. It
may be typewritten or printed on both sides of the paper. It should be typed or produced on a
word processor and printed on a printer which produces letter quality print. Dot matrix printing
is not acceptable. The text must be double spaced and the pages numbered consecutively.
The margins must be wide enough to allow for subsequent binding. The minimum
requirement is:

inside margin
40mm

top and outside margins
15mm

bottom margin
20mm.
The title page must provide the following information:

the student’s full name and degrees

the thesis title

the degree for which it has been submitted

the Affiliated Research Centre and collaborating establishment (if appropriate)
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
the date of submission for examination (or resubmission for re-examination if applicable)
It is the expectation that ‘The Open University’ will be included on the title page of the thesis.
There should be a contents page and, where appropriate, a table of illustrations and/or a list of
any items not bound with the thesis (e.g. supporting digital media, maps, plans, etc).
Footnotes
The regulations do not make any recommendations about the positioning of footnotes. The
method of referencing should be consistent, whether footnotes are positioned at the bottom of
the page, at the end of each chapter, or at the end of the thesis.
Binding the examination copies of the thesis
Students are advised to leave full binding of the thesis until after the examination. This will
avoid the additional cost of rebinding if the examiners require corrections to be made.
The covers of the examination copies of the thesis should be made of cardboard or a stronger
material.
The pages may be:

glued

stapled together or in sections

held in a ring binder

comb bound.
Ring binders are not suitable for very heavy or bulky theses as they are easily damaged in the
post. If the rings become distorted, the pages may become loose.
Care should be taken that the holes punched do not prevent the final binding after the
examination. Loose pages in a wallet folder are not acceptable.
Outsize documents
Any maps, plans, diagrams etc that are too large to bind with the thesis may be submitted in a
separate portfolio.
These documents should be produced on good quality material and cross-referenced to the
thesis. An itemised list of these documents should be included in both the thesis and the
portfolio.
Non-book media
The student should ensure that any non-book media (i.e. material in non-book form such as
digital media, film, software, audiotape, etc.) should be recorded by a suitable process on a
good quality stock. The system used should produce a durable item suited to preservation
over a long period without excessive deterioration of the message. The item should be suited
to digital media, such as images, audio files, drawings, software, etc. and be provided in a
suitable format for viewing or playback on technology in use at the University.
Where possible, digital non-book contributions should comply with existing standards
appropriate for the type of media (e.g. 3D, hypertext, image audio). Advice on media
standards can be sought from The Open University Library.
An itemised list of the non-book media should be included in the book component of the
thesis.
When supporting students in preparing for their viva, supervisors should ensure students are
able to present the non-book component along with the standard text thesis.
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6.4
Submission of the thesis
Students should submit three copies of their thesis including supporting material (e.g.
diagrams and non-book media) to the Research Degree Co-ordinator together with the
Candidate declaration form.
They should also submit an abstract of the thesis, not exceeding 300 words, in a form suitable
for publication; one copy must be placed at the front of each copy of the thesis and bound with
the book.
The Research Degree Co-ordinator completes section four of the Candidate declaration form
to confirm:
(a)
the date thesis was submitted for examination
and either:
(b)
that the thesis was sent to the examiners with the Candidate declaration form after
sections one, two and three of the form had been completed satisfactorily;
or
(c)
that the thesis will be sent to the examiners with the completed Candidate declaration
form.
The Candidate declaration form should be sent to the Research Degrees Office as soon as
the thesis has been submitted.
The thesis may be sent to the examiners with the completed Candidate declaration form on
receipt of the letters confirming appointment of the examiners, or upon submission if the
examination panel has already been appointed.
The Examination Guidelines for Students (ARCS11G) advise students to consult their
supervisors about suitable binding for the examination copies of their thesis.
Examiners should not discriminate against students because of a personal dislike for the way
in which the thesis is bound for examination.
7
Independent Pre-viva reports
All examiners are required to prepare independent written reports in advance of the viva as
specified in the Pre-viva report form. Examination panel chairs are exempt from this
requirement because they are not required to assess whether the student has met the
requirements of the degree or make recommendations about the award.
Examiners are asked to email their Pre-viva reports to the examination panel chair at least five
working days before the viva. The Pre-viva reports should be used to inform the panel’s
discussion at the pre-viva meeting.
The pre-viva reports must not be made available to students in advance of the viva. However
they could be made available subsequently in the event of an appeal or an access request
under the Data Protection Act.
The examination panel chair is responsible for ensuring that the Pre-viva reports are sent by
email to The Open University Research Degrees Office with the examination report and list of
any corrections.
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8
The Oral Examination
8.1
Arrangements for the examination
Arrangements for the examination, which the Research Degrees Committee usually expects to
take place within six weeks of the thesis being sent to examiners, are made by the ARC. At
certain times (e.g. the summer vacation) it is not always possible to hold the examination
within six weeks.
When making arrangements for a viva which involves non-book material, the Examination
Panel Chair should take account of the specific requirements and ensure all members of the
panel, the student and observer are fully briefed as to how the examination will proceed.
8.2
Examiners’ meeting
The examiners should meet without the observer present, before the examination (e.g. over
lunch), to confirm:
(a)
the structure of the questioning
(b)
the main points to be raised at the examination
(c)
the role of the observer.
The examiners may also wish to meet the observer before the examination to discuss his/her
role.
8.3
The scope and duration of the examination
Examinations usually last two to three hours depending on the nature of the thesis. The
examination should cover all aspects of the thesis and confirm that the thesis is the student’s
own original work.
The student should be given an opportunity to comment on any adverse points and on any
revisions which the examiners intend to recommend.
The examination may include the inspection of experimental apparatus, demonstration of
software, viewing of original data or other reasonable requests from the examiners. The
examiners should make any such requests in advance to the student.
Equally, the student may offer some form of practical introduction. Again such an offer should
be made in advance.
The student may take an annotated copy of the thesis and other source materials to the
examination.
8.4
Informing the student of the recommendation
Generally, the panel should inform the student of their recommendation following the
examination, after the examiners have adjourned for a brief discussion. Exceptionally the
panel may inform the student of their intended recommendation at the start of the examination.
Informing the student of the likely recommendation at the start of the examination may reduce
her/his uncertainty and will allow the student the opportunity to defend her/his work against an
adverse recommendation. In the case of an adverse2 recommendation, the examiners should
make clear to the student that their intended recommendation is based on the written thesis
and the examination offers the student a chance to demonstrate her/his knowledge and
expertise is of the required level.
2
Major revision and resubmission for re-examination either for the same degree or, for a PhD candidate the award of or
resubmission for re-examination for an MPhil.
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At this stage the decision of the examination panel is only a recommendation to the Open
University Research Degrees Examination Results Approval Committee. The decision of the
Committee, based on the examiners’ recommendation, is the formal result of the examination;
this should be borne in mind when the examination panel informs the student of their
recommendation.
9
Criteria for the award of the degree
To be awarded the relevant degree, the student’s thesis must fulfil the appropriate criteria as
indicated below.
9.1
Master of Philosophy
The thesis must be of good presentation and style, and show evidence of the student’s
proficiency in the methods and techniques of research, demonstrating an adequate knowledge
and discussion of the literature in a specific field of study. It must show initiative,
independence of thought and must be a distinct contribution to scholarship.
9.2
Doctor of Philosophy
The thesis must be of good presentation and style and show evidence of being a significant
contribution to knowledge and of the student’s capacity to pursue further research without
supervision. The thesis must contain a significant amount of material worthy of publication.
10
Recommendations available to examiners
The examiners may make the following recommendations. Note that in all outcomes where
amendments or further work is to be conducted, supervision must be available to the student
while this work is undertaken. Examiners should use their academic judgement to consider
their recommendation carefully against the criteria / examples set out below for each of the
recommended outcomes.
10.1 Award the degree
This recommendation should be made if the requirements of the relevant degree have been
met in full and no corrections and modifications or amendments to the thesis are required.
10.2 Minor corrections and modifications
This recommendation should be made if the requirements of the relevant degree have been
met in full subject to typographical corrections and/or minor editorial modifications.
The required corrections and modifications should be listed in the Examination report form, in
a format and language which is appropriate for forwarding to the student. The internal
examiner is normally responsible for checking the corrected thesis and completing a Corrected
thesis form. The Open University Research Degrees Examination Results Approval
Committee may request that the corrected thesis is referred to the external examiner(s).
Students are allowed two months to complete minor corrections and modifications. A second
oral examination is not required.
Examples of minor corrections include:
 Typographical and grammatical errors
 Corrections to references (citations and bibliography)
 Improvements to figures (e.g. image resolution, legends, scale bars)
 Minor corrections of fact
 Minor revisions to interpretation of data, results, conclusions
 Minor re-organisation of material
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10.3 Substantial amendment
This recommendation should be made if the requirements of the relevant degree have been
met in full subject to limited deficiencies which the panel is confident can be corrected
satisfactorily by the student.
The required amendments should be listed in the Examination report form, in a format and
language which is appropriate for forwarding to the student. The Research Degrees
Examination Result Approval Committee requires the amended thesis to be checked by all
examiners, who should each complete a Corrected thesis form.
Students are allowed six months to complete substantial amendment. Supervision should be
provided during this period. A second oral examination is not required. Following
consideration of the amended thesis, it is not expected that the examination panel will invite
further substantial amendments.
Examples of substantial amendment include:
 Reinterpretation of the data (including additional review of background literature)
 Substantial rewriting of large portions of the text (e.g. redrafting chapters)
 Substantial additional material to be incorporated within the text
 Substantial revisions to results and conclusions
 Thorough revisions of presentational matters which require a complete edit.
The research degree regulations are clear that the amended thesis must satisfy the examiners
for the degree to be awarded. It is appropriate for the examiners to require the student to
undertake minor corrections to the amended thesis to add polish to the document prior to
lodging it in the Open University library, but not to revisit the original amendments. When
considering a viva outcome of Substantial amendment, the examination panel is urged to
carefully consider whether Major revision and resubmission for re-examination may be more
appropriate when considerable changes to the thesis are requested.
10.4 Major revision and resubmission for re-examination
This recommendation is not available where a thesis is being examined following a
resubmission result at an earlier examination.
This recommendation should be made if the requirements of the relevant degree have not
been met but the panel is confident that the degree can be awarded subject to major revision
and re-examination.
Examiners should recommend resubmission rather than a fail result wherever they see the
prospect of the thesis being brought up to the required standard if the revisions are
satisfactorily completed.
The required revisions, which may include additional research work, should be listed in the
Examination report form.
Students are allowed twelve months to complete the major revision and resubmit their thesis
for re-examination. Supervision should be provided during this period. A second oral
examination must be held.
Examples of major revision include:
 Additional data collection (including additional background literature)
 Major revisions of large portions of the text (e.g. drafting new chapters)
 Major revisions to results and conclusions
When this outcome is recommended by the panel, the required revisions, which may include
additional research work, should be specified in Section 7 of the Examination report form. At
re-examination, the thesis must be evaluated against these requirements. Should the thesis
fall significantly short of the requirements, an appropriate alternative recommendation should
be made, Details of the available options post re-examination can be found in the
Examination guidelines for resubmitted theses (ARCS10aG).
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10.5 Alternative recommendation for PhD examinations
In exceptional cases examiners of a PhD may recommend the award of an MPhil degree. The
award of the degree may be subject to corrections and modifications, substantial
amendments, or major revision and resubmission for re-examination as detailed above.
If this recommendation is made, the Examination report form must include:
(a)
a statement confirming that the examination panel considered whether the thesis could
be revised and resubmitted to meet the requirements of the PhD and explaining why this
recommendation was rejected
(b)
confirmation that the requirements for the MPhil have been met in full, subject to
specified corrections and modifications, or substantial amendment (unless the student is
required to revise and resubmit the thesis for re-examination).
(c)
the corrections and modifications, substantial amendment required for the award of the
recommended degree, or the major revision required for resubmission for
re-examination.
10.6 Fail
This recommendation should be made if the requirements of the relevant degree have not
been met.
If this recommendation is made, the Examination report form must include details of:
11
(a)
why the candidate failed to meet the requirements of the relevant degree
(b)
why the examination panel is unable to recommend major revision and re-submission of
the thesis
(c)
why, in the case of a PhD examination, the option set out in 10.5 cannot be
recommended.
The Examination report form
After the examination, the examiners should complete the Examination report form, giving
their recommendation as to the award of the degree and justifying the recommendation by
providing information about:
(a)
The presentation and style of the thesis, including the standard of English. If the thesis
contains a non-book component comments are requested about the extent to which the
non-book component locates and exemplifies the ideas developed in the thesis
(b)
The way in which a PhD thesis is a significant contribution to knowledge in its field,
including details which would allow a subject specialist to understand the significance of
the work
(c)
The evidence from the thesis and the examination of a PhD candidate’s ability to go on
to undertake unsupervised research
(d)
What material worthy of publication is contained within the thesis
(e)
The candidate’s defence of the thesis in the examination, including an outline of the
topics covered and the candidate’s ability to respond to questioning on these topics.
The rationale for the recommended outcome should be explicit and references against the
academic benchmarks outlined above. It is helpful to the Research Degrees Examination
Result Approval Committee if examiners summarise additional factors they have taken into
account about the circumstances of individual students. The time allowances for completion
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of the different outcomes are fixed, such that it can be appropriate to take them into account
when recommending a particular outcome.
The report must provide, in section 7, comprehensive information about any corrections and
modifications, substantial amendment or major revisions which are required. It is not
acceptable for examiners to annotate the examination copy of the thesis and hand it to the
candidate. Lists of corrections or amendments, including typographical errors, must be
provided to the Research Degrees Office on the completed Examination report form to allow
the result recommendation to be approved, and should not be passed directly to the candidate
following the examination. Where an examiner has annotated the thesis with the corrections
or amendments that are required, these should be reproduced in the report.
If the examiners recommend the award of the degree subject to corrections and modifications,
substantial amendment, or major revision and resubmission, an examination copy of the thesis
should be retained by the Research Degree Co-ordinator until the academic requirements of
the degree have been met in full. This measure has been implemented by the Research
Degrees Committee to avoid any confusion concerning the material submitted for examination
in the event of an appeal.
12
Approval of the examination result
The decision as to the award of the degree is taken on behalf of The Open University
Research Degrees Committee on the basis of the Examination report form, the Pre-viva
reports and the list of corrections.
When the Committee has made its decision, the Research Degrees Office will send written
notification of the examination result to the Research Degree Co-ordinator.
12.1 Corrections and modifications to the thesis
The student has two months from the date of the approved result letter to supply the
Research Degree Co-ordinator with the corrected thesis. The nominated examiner(s) will then
be asked to confirm in writing to the Research Degree Co-ordinator that the corrections and
modifications have been completed satisfactorily. This confirmation should be sent to the
Research Degrees Office.
The date of the award is the date of the examiners’ confirmation that the academic
requirements of the degree have been met in full. Notification of the award is sent to the
Research Degree Co-ordinator.
12.2 Substantial amendment to the thesis
The student has six months from the date of the approved result letter to supply the
Research Degree Co-ordinator with the amended thesis. Supervision should be provided
throughout this period. Otherwise, the arrangements are the same as for corrections and
modifications in section 12.1.
The amended thesis is not subject to re-examination; the examiners should consider the
amendments in the context of the requested amendments listed on the Examination report
form. Should the thesis not meet the requirements set by the examiners, it is not expected
that a further round of substantial amendments be invited. Minor corrections and amendments
may be requested.
12.3 Major revision and resubmission of the thesis
The student has up to twelve months of supervised study from the date of the approved
result letter to revise and resubmit the thesis for re-examination. Supervision should be
provided throughout this period. The original panel should normally be appointed for the
second oral and re-examination of the resubmitted thesis. Detailed guidance for the
management of resubmitted theses can be found in the Examination guidelines for
resubmitted theses (ARCS10aG).
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12.4 Illness and suspended registration after the viva
During the ‘corrections period’, the student is entitled to apply for suspended registration,
subject to approval by the Research Degrees Office, and subject to the standard terms and
conditions.
13
Award of the degree
When the student has satisfied the academic requirements of the relevant degree, s/he is
required to submit two bound copies of the work to the Research Degrees Office within one
month of the date academic requirements were met for deposition in The Open University
Library. The regulations concerning the presentation of these bound copies are set out in the
Student Handbook (regulations 6.2.9 – 6.2.14).
The degree will be conferred and the student will be invited to attend a degree ceremony.
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