Procedure for research degree examinations

PGR examinations are carried out within a University governance framework which includes: 

• Ordinance X and its associated regulations: the University’s Ordinances define what qualifications the University awards and the associated regulations. Ordinance X relates directly to postgraduate researchers and provides details the criteria that must be met before a research degree can be awarded.
• Programme of study: each research degree has a programme of study. This includes the learning outcomes for that award and the possible outcomes after the viva.
• The Code of Practice for Research Degree Candidatures: this sets out the University’s quality assurance procedures for research degree examinations. It includes how examiners are selected and approved and expectations for the viva.

Graduate Board has delegated authority to the Progression and Examinations Group to implement University policy and procedures for the examination of research degree candidates. The Group conducts regular reviews of strategic and policy issues in relation to research degree examinations.

The Group also conducts regular reviews of procedures and all documentation associated with the examination of research degree candidates, including the procedure as set out on this page.

Related policies include:

• Instructions to examiners (PDF, log-in required)
• Research degree Turnitin protocol
• Reasonable adjustments for PGR assessments
• Video streaming policy and guidance
• PGR proof-reading policy and guidance
• PGR guidance on the use of generative AI tools
• Guidelines on the use of published material in a thesis submission
• Protocol for alternative format thesis which include published material
• Protocol for practice-led research degrees
• Inclusion of supplementary material in a thesis submission.

Supporting guidance for PGRs on the thesis examination process is provided by Doctoral College Operations and published on the postgraduate research pages.

PGRs are required to use GRAD to enter for examination and to submit their thesis for examination. PGRs who require an adjustment to the process due to disability or accessibility needs should contact their Graduate School.

The requirements and criteria for award for each research degree are provided in the ordinance and regulations. The learning outcomes are set out in the individual programmes of study entry for each degree. These are the criteria that examiners will use when examining a thesis.

PGRs should, at an early stage in their candidature, make themselves aware of the criteria for award and learning outcomes of the research degree programme for which they are registered. PGRs might find it helpful to look at the examiners’ report form (Sharepoint, requires log-in) which describes the criteria against which the examiners will be assessing their work.

The University has also published guidance for PGRs, supervisors and examiners on the assessment of learning outcomes in projects which have been affected by restrictions due to COVID-19.

The process for identifying, agreeing and communicating support and reasonable adjustments for a research degree viva is set out in the guidance on reasonable adjustments and support for PGR examinations.

PGRs who require an adjustment to the examination entry, thesis submission process or the oral examination due to a disability should contact their Graduate School.

PGRs must ensure that the work presented for assessment meets the University’s research and academic integrity expectations. PGRs must engage with the training and resources and the University’s published rules and guidance.

PGRs should use their acknowledgements page to recognise and credit those who have assisted with their work, including any use of generative AI tools or third-party proof reading assistance.

The PGR Turnitin screening guidance sets out the process agreed by the Progression and Examinations Group for the screening of PGR assessed work, including the thesis submission.

The PGR proof-reading policy and guidance explains what support is permitted from a third-party proof-reader with a thesis submission.

The University has approved detailed guidance on using generative Artificial Intelligence (AI) tools as part of a research degree candidature.

PGRs may consult a copy of their thesis during the viva, which may be annotated with notes. PGRs may also bring with them and access during the viva other material created by them during their candidature. Examples may include (this list is not exhaustive): solely or jointly-authored publications, supplementary data/material, lab books, longer versions of material in the thesis, failed attempts at a proof or experiments that were left out but then informed the direction that was taken.

Other third-party material not created by the PGR during the candidature is not permitted in the viva, whether in printed/physical form or in electronic format (for example accessing other tabs/pages or material on a tablet or laptop).

If the examiners identify any academic integrity concerns with the thesis or during the viva, the matter should be reported to the Director of PGR Studies and Graduate School immediately. The oral examination will be postponed pending the outcome of the investigation, in accordance with procedures for investigating academic misconduct in PGR assessments.  

Responsibility for the consideration and review of recommendations from schools for the appointment of examiners is delegated by the Graduate Board to its PGR Progression and Examinations Group. 

PGRs must enter for examination at least three months before the expected thesis submission date by completing the examination entry process. Examination entries received by Doctoral College Operations less than three months prior to thesis submission may delay the viva/examination process.

At least one internal examiner and one external examiner will be appointed. In some cases, an independent chair may also be appointed. The University publishes eligibility criteria for the appointment of examiners and independent chairs.

PGRs may be asked by supervisors for their views on individuals who might act as examiners but the decision about the recommendations for appointment will be made in consultation between the supervisors and the Director of PGR Studies. The final decision about the appointment of examiners is made by the Progression and Examinations Group.

Doctoral College Operations will formally notify examiners of their appointment at the point the thesis is sent for examination.

If the PGR’s research is in any of the subject areas designated as high risk or as one of the dual-use categories accessing the thesis or participating in the viva from outside the UK may be covered by export control legislation. Read the guidance on export controls (Sharepoint, log-in required).

Supervisors should contact the Trusted Research Environment Manager for further advice.

The thesis must be submitted for examination in accordance with the published format and presentation requirements.

The thesis must be written in English (with the exception of research degrees in the modern languages where, in certain circumstances approved by the Graduate Board, a thesis may be submitted in a language other than English).

PGRs should make available to their supervisors, within an agreed timescale, the whole of the draft thesis for comment prior to submission. The supervisor will read and comment on the whole of the draft thesis prior to submission, provided that it is submitted within a reasonable time.

The University expects that theses will normally not exceed the maximum length as specified in the programme of study for the degree. These limits include all appendices and footnotes but not bibliographies/reference lists. Requests to exceed the stated maximum must be made from the Director of PGR Studies to the Progression and Examinations Group.

PGRs registered for a practice-led research degree must also consult the practice-led protocol. This sets out information relating to the submission and assessment of practice-led research including the assessment of any live practice and the recording and format of the submission.

Further information on the use of work PGRs have published is available in the guidelines on the use of solely or jointly-authored publications in a thesis submission. PGRs must declare any use of their own published work at examination entry and in the thesis.

Protocols for the format and presentation of an alternative style of doctoral thesis including published material are available in some faculties which gives detail about the approval, format, content and presentation of an alternative format thesis.

For PGRs registered on a dual award PhD with a collaborative partner, there may be specific requirements for the thesis or the sequencing of the vivas. Dual award guidance is published on the submit your thesis for examination page.

PGRs are solely responsible for the decision to submit their work for examination and must take responsibility for the work that they submit. However, they should always seek advice from their supervisor(s) before submission and are strongly recommended not to submit against the advice of their supervisor(s), although they reserve the right to do so, providing that the standard period of study for the degree has been reached and the maximum period of study has not been exceeded. 

PGRs must submit their thesis for examination to GRAD on or before the maximum time limit (thesis submission deadline) for their programme. The deadline is 11.59pm on the thesis submission deadline. Where the maximum time limit for submission falls on a day when the University is closed due to a holiday period (for instance a bank holiday) or a weekend, the deadline for submission will be no later than 11.59pm the next working day.

Extensions to the deadline for submission are considered in accordance with the suspension and extension policy and guidance.  

A case must be made by the school for the early submission of a thesis before the end of the standard period of study, and must include confirmation that the supervisors have read the thesis and in their view that it is ready to be examined. There are limits to the length of the reduction that can be approved as defined in the programme of study for the degree.

The expected format of submission of a thesis for examination will normally be electronic. Printed submission can be facilitated, by exception: as a reasonable adjustment, or where there is an academic need (for example a practice-led thesis where the binding or physical presentation is integral to the examination).

Substitute versions of theses, additional pages or supplementary material cannot normally be accepted after submission of the thesis and these must not be sent directly to the examiners.

Where examination entry arrangements have been approved, the thesis will be made available to the examiners normally within 10 working days of submission. 

Doctoral College Operations will formally notify examiners of their appointment and distribute the thesis, instructions to examiners and associated documentation electronically. Submission of the thesis must be made to GRAD and the thesis must not be sent directly to the examiners by any party other than Doctoral College Operations. 

The thesis is sent to the examiners on the basis that they will treat the contents, and any issues relating to the candidature, as strictly confidential in the periods before, during and following the examination, until such stage as the work may be published in accordance with normal academic custom. The school must advise the examiners of any specific confidentiality undertakings that are required as a result of commercial agreements.

Each examiner must independently read the thesis and prepare a preliminary report prior to the oral examination. Preliminary reports are also required for resubmissions. 

The external examiner’s fee is paid by Doctoral College Operations (DCO), after receipt of the joint examiners’ report. Any expenses associated with examination are paid by the PGR’s school. 

All PGRs are required to complete an oral examination, also known as a viva.

PGRs should consult their supervisor(s) for appropriate guidance in preparation for their oral examination. A ‘mock viva’ may be requested.

The purpose of the viva is to ensure that the work reaches the University standards for the degree, that the work has been written by the PGR, and that the work is understood by the PGR.

There are no prescribed rules regarding the length or format of the viva, other than the thesis must be discussed in detail. The viva provides an opportunity for the PGR to address areas of concern and demonstrate that the criteria for the award are met. Examiners may also explore the PGR’s broader understanding of the subject.

The viva should normally be completed in a single day, with short comfort breaks as appropriate.

Vivas should normally be scheduled (and completed) within standard office hours. For remote vivas, time zone differences must be considered.

The viva must be conducted in English (with the exception of research degrees in the modern languages, where, in certain circumstances the viva might, with the agreement of the examiners, be conducted in a language other than English).

Once the examiners have received the thesis, they are asked to accept a timescale of three months (six months in the case of MD candidates) in which to complete the viva.

Arrangements for the viva are made by the internal examiner. Detailed guidance is provided in the instructions to examiners (PDF, log-in required).

Sufficient notice of the viva date should be given to allow the PGR to make necessary leave arrangements and reasonable accommodation should be given to, for example, employment. Examiners should consider known religious observances in planning the date.

PGRs are expected to attend for examination within the prescribed timeframe. The Progression and Examination Group may approve a delay, postponement or rescheduling if a valid reason is provided, supported by documentary evidence. Postponements will not normally exceed 12 months (15 months in the case of MD candidates) from the date the thesis is sent to examiners. Failure to provide a substantiated reason may result in withdrawal from the University without further opportunity to complete the viva.

There are three possible models for a viva:

1. Fully in person (all parties together on campus for a face-to-face viva).
2. Fully remote (all parties complete the viva via video streaming – see the policy and guidance on using video calls for a research degree transfer or viva).
3. Hybrid (some parties are face to face whilst others in the meeting are video streaming).

Attendees will be the PGR, internal and external examiners, the independent chair (if appointed), and the supervisor (if attending as an observer). Where reasonable adjustments have been agreed to allow for additional attendees (for example, supporter, note-taker, or mentor), these will be communicated in advance by the school. No other attendees are permitted.

PGRs may invite one of their supervisors to attend the oral examination as an observer. The supervisor may only attend with the PGR’s prior permission and must respect their wishes on this matter. If attending as an observer, the supervisor may not participate in the examination and takes no part in the academic judgement and the decision-making process. They must leave after the examination (along with the PGR) so the examiners can discuss their recommendation. Only one supervisor is permitted to attend the examination.

The recording of the viva by any party is not permitted.

Reasonable adjustments may be agreed in advance as set out in the guidance on reasonable adjustments and support for PGR examinations. The Graduate School will communicate any agreed reasonable adjustments and support arrangements to all parties. The Internal Examiner has responsibility for facilitating on the day any reasonable adjustments agreed upon.

Graduate Board accommodates ‘mitigating circumstances’ by considering a period of suspension or extension of study which will lengthen the overall candidature and delay the deadline for submission of the thesis. Any mitigating circumstances which may have affected the PGR during their period of study should not be taken into account as part of the assessment of the thesis, and should never lead the examiners to award a research degree where the work is not felt to be of the appropriate standard. However such factors might be taken into account when determining whether any reasonable adjustments to the examination process are needed, or support to complete any amendments to the thesis after the examination.

PGRs will be given one of recommendations set out in the outcomes after the viva section of this page, based on the assessment of the written thesis and the performance in the viva (further details of each is provided in the outcomes after the viva section).

Mastership by Research and MPhil degrees may be awarded with distinction. For doctoral candidates a recommendation for recognition of research excellence can be made by the examiners to the Progression and Examinations Group.

Evidence of research excellence may include:

• acceptance for high-profile publication of sections in major journals
• patents
• prizes for completed work
• marketable software
• original equipment
• new therapies
• major exhibitions or performances arising from the practical part of a practice-based degree
• the potential for significant impact on the research field, policy or professional practice.

If approved, a letter recognising this outstanding achievement will be sent from the Dean of the Leeds Doctoral College.

The outcome should normally be communicated verbally to the PGR and supervisor immediately following the viva but must be confirmed within 24 hours.

In the rare event that agreement cannot be reached within 24 hours of the viva the internal examiner must contact Doctoral College Operations. The Progression and Examinations Group has a procedure for disagreement between examiners to be followed.

After the viva, the examiners must produce a joint report which outlines their recommendation. In the case of a referral, notes for guidance must also be produced.

The joint report, along with the preliminary reports, independent chair’s report (if applicable) and notes for guidance (if referral) must be submitted to University within 10 working days of the viva.

The Progression and Examinations Group (Sharepoint, requires log-in) acts under delegated authority of Graduate Board to ratify examination results and award research degrees, subject to the Group being satisfied that the criteria for the award of the degree have been met. The report and recommendation of the examiners (and any nomination of research excellence) is subject to approval by the Group. The Group may request clarification from the examiners or further detail before approving the report.

In the case of a referral, the report and notes for guidance will be released by Doctoral College Operations after approval by the Progression and Examinations Group. Informal or draft notes for guidance must not be shared with the PGR before this.

In the case of an award, the joint report will be shared with the PGR and supervisors after the PGR has appeared on a pass list.

Recommendations for award subject to editorial and presentational corrections or minor deficiencies cannot be confirmed unless the internal examiner is satisfied that the corrections have been carried out to a satisfactory standard. The external examiner can be consulted on the corrections if they wish.

The thesis must be fully corrected, and it is not possible to simply provide an errata page.

The internal examiner must confirm approval of the corrections in writing to Doctoral College Operations.

The Progression and Examinations Group will consider extensions to the correction deadline if PGRs experience difficulties during the correction period and need extra time.

If the internal examiner determines that required corrections have not been satisfactorily completed, exceptional permission from the Progression and Examinations Group must be sought to grant a further correction period. A case must be submitted by the Director of PGR Studies.

Normally only one additional correction period of up to one month will be permitted. If, after this period, the corrections remain unsatisfactory, the PGR may be deemed not to have met the requirements for award, and the candidature may come to an end with no research degree awarded. All such cases must be considered by the Progression and Examinations Group.

To fulfil the requirements for the award of the degree, PGRs must deposit the final, corrected eThesis for retention in White Rose Etheses Online.

Wherever possible theses should be made ‘open access’, however access can be restricted for up to five years via where the thesis includes confidential or sensitive information, or where there is a journal article, monograph or other publication pending. Some funders (for example, UKRI) set terms and conditions on expected availability of the thesis.

Decisions on whether a temporary embargo is required and how long is appropriate should be taken in consultation between the PGR and their supervisor(s).

A case must be made by the Director of PGR Studies to the Progression and Examinations Group for:

• any embargo periods exceeding 12 months for UKRI funded PGRs. In these circumstances, consultation with the PGR Scholarships Manager will be required
• an embargo period of longer than five years (for example, patent pending)
• any request to restrict access to metadata on the thesis (for example, name, thesis title, abstract).

A redacted thesis may have some content removed or obscured and replaced with a statement such as "This image has been removed by the author of this thesis for copyright reasons”. If possible, when removing material, a placeholder should be included to retain the pagination of the original document. A complete eThesis file must still be supplied.

A redacted eThesis may be deposited, in addition to a complete eThesis, where it has not been possible to obtain the permission of the copyright holder (for example, where no response is received or because it would be too expensive).

PGRs and supervisors should agree on which research data or materials generated during the candidature are to be retained. Arrangements for hand-over/deposit should be made before the PGR leaves the University. Guidance is available via the Library research data pages.

A research degree can be awarded, and a PGR’s name included on a pass list once all the following conditions have been met:

• The examiners’ report has been approved by the Progression and Examinations Group.
• The internal examiner has confirmed they are satisfied with any corrections
• The full text version of the eThesis has been deposited in White Rose Etheses Online. Practice-led researchers eThesis will comprise both the written commentary and the related practice material, and all elements must be deposited before the award of the degree can be confirmed.
• All tuition fees to the University have been paid (including any resubmission fee).
• If applicable, all assessed or taught modules have been completed successfully.

No exceptions will be permitted and staff in Doctoral College have no discretion in these matters.

Pass lists are normally produced weekly. PGRs will receive email confirmation of their award. The date of award is the date of the Graduate Board's Progression and Examinations Group meeting at which the examiners’ report was considered and approved.

The University provides one original degree certificate. A diploma supplement is also issued.

PGRs who have successfully completed their award and have appeared on a pass list are eligible to attend the graduation ceremony. Read further information about graduation.

The period for resubmission is specified in the programme of study for the degree. PGRs may resubmit at any point in the referral period. The decision to resubmit lies solely with the PGR, although they are strongly advised to consider the advice of their supervisors when making this decision. Extensions may be requested in accordance with the suspension/extension policy.

A resubmission fee must be paid. The fee is subject to an increase each academic year.

Examiners will receive the resubmitted thesis, a summary from the PGR outlining how revisions were addressed, the original report and the notes for guidance.

Re-examination (including a second viva if needed) should be completed within three months.

Each examiner must independently read the resubmitted thesis and complete a preliminary report before discussing with the other examiner. Examiners must assess whether the work in the notes for guidance has been completed satisfactorily and whether the thesis now meets the minimum standard and criteria for award.

PGRs may only resubmit a thesis for examination once. Following resubmission (and second viva if needed), the examiners must recommend one of the following:

• Award the degree (with or without editorial/presentational corrections or minor deficiencies).
• Fail.
• For PhD resubmissions only: award of MPhil (with or without correction).

A second viva may be held if deemed necessary by the examiners. This decision should only be taken after reading the resubmitted thesis and completing a preliminary report. If the thesis meets the criteria for award, a second viva may not be required. A second viva must be held if the examiners reach a preliminary view that the PGR has not fulfilled the requirements for the award of the degree for which they submitted. 

If a second viva is required, an independent chair must be appointed. The process for the viva will then follow that for the first examination.

If a second viva is not required the internal examiner must inform the PGR and supervisor(s) of the outcome the examiners are recommending to the University, and any required corrections.

After the re-examination the examiners must produce a joint report which outlines their recommendation. The Progression and Examinations Group will review and ratify the outcome.

The process for award of the degree and pass list follows that for a first examination, including completing any corrections and deposit of the final eThesis in White Rose Etheses Online.

PGRs may appeal against an adverse academic outcome in their final examination using the University’s appeal procedure. 

• An award without corrections may be made where the thesis satisfies the requirements for award and does not require any alterations.
• PGRs must upload a copy of their eThesis to White Rose Etheses Online within one month of the viva.

• An award subject to editorial and presentational corrections may be made where the thesis satisfies the requirements for the award of the degree but is found to contain minor editorial errors (for example, trivial errors, typographical errors, simple mistakes of fact or the insertion of headings or other ‘signpost’ material for the sake of clarity). Examiners will confirm the corrections needed.
• Corrections must normally be completed within four weeks from the oral examination.
• Corrections must be approved by the internal examiner.
• The PGR must upload a copy of their eThesis to White Rose Etheses Online within one month of the internal examiner approving the corrections.

• An award subject to minor deficiencies may be made where the thesis satisfies the requirements for the award of the degree but is found to contain deficiencies which are genuinely minor in nature (for example, rewriting of sections, correcting calculations or clarifying arguments and the correction of minor typographical errors). Examiners will confirm the corrections needed. Corrections must normally be completed within 12 weeks from the oral examination.
• Corrections must be approved by the internal examiner.
• The PGR must upload a copy of their eThesis to White Rose Etheses Online within one month of the internal examiner approving the corrections.

• The decision to ‘refer’ a thesis is normally interpreted as signifying that, although the thesis is potentially of a standard to merit the award of the degree concerned it does not, at this stage, satisfy the requirements for award and certain sections and/or aspects of the thesis are in need of alteration and improvement and a re-examination of the work will be required.
• A thesis may also be referred in circumstances where the PGR does not completely satisfy the examiners through their performance at the oral examination that the award of the degree is justified at this stage.
• PGRs will be required to revise their thesis, which may entail further research, or any other activity required by the examiners, and resubmit this for re-examination.
• The examiners will prepare ‘notes for guidance’ which will set out what needs to be done for the thesis to reach the standards required for award of the degree.
• The examiners’ report and notes for guidance must be submitted to DCO for scrutiny by the Progression and Examinations Group. The examiners’ report and their notes for guidance will be issued to PGRs after approval by the Progression and Examinations Group with details of how to resubmit for re-examination. Examiners/schools are not permitted to issue informal notes for guidance and any advice given at the time of the viva or immediately after, is informal.
• PGRs may appeal against a decision to refer the thesis, once the formal outcome notification has been sent by Doctoral College Operations.

• This recommendation applies where a PhD submission does not achieve the standard for the award of a PhD but which nevertheless satisfies the criteria for the award of the degree of MPhil.
• The internal examiner will advise the PGR of any corrections that are needed to their thesis before MPhil award.
• The examiners’ report will provide reasons why this decision has been reached and this will be sent to the PGR by DCO after approval by the Progression and Examinations Group. PGRs may also request a copy of the examiners’ preliminary reports.
• PGRs may appeal against a decision to award MPhil on a PhD submission, once the formal outcome notification has been sent by Doctoral College Operations.

• If the examiners recommend that the thesis be failed there is no further opportunity to revise and submit the work.
• In their report the examiners must clearly explain their reasons for not recommending the award of a degree and this will be sent to the PGR by DCO after approval by the Progression and Examinations Group. PGRs may also request a copy of the examiners’ preliminary reports.
• PGRs may appeal against a decision not to award a research degree, once the formal outcome notification has been sent by Doctoral College Operations.