Appointment of examiners and independent chairs for research degrees

All examiners must be:

• appropriately experienced in the subject area
• independent of the candidate and the research being examined
• free from conflicts of interest that could compromise, or be perceived to compromise, their appointment as an examiner.

The Progression and Examinations Group considers the experience of the examining team as a whole. Normally, the proposed team should collectively demonstrate an appropriate balance of experience and seniority, with:

• at least one examiner being a senior member of staff of another University, and
• experience of at least three previous research degree examinations across the team, at least one of which must have been in the UK.

The internal examiner should normally:

• be a member of academic or academic-related staff at the University
• hold a permanent University appointment of at least 0.3 full time equivalent (FTE)
• have completed the University's internal examiner briefing or training within the previous five years, or have acted as an internal examiner at Leeds within the previous five years
• have had no involvement in the supervision of the candidate.

The external examiner should normally:

• be a senior member of staff at a university or higher education institution. For the purposes of these criteria, a senior member of staff would normally be at Grade 9 or above
• have previous experience of UK research degree examinations and standards
• have an active and independent research profile
• possess relevant expertise in the subject area being examined.

Where the proposed examining team has experience of fewer than three research degree examinations between them, a case must be submitted for consideration by the Progression and Examinations Group through the director of postgraduate research studies. When submitting cases clear justification should be provided explaining why the proposed team is nevertheless appropriate. An experienced, independent chair may be required.

The preferred level of experience for an examiner is:

• at least one examiner normally being a senior member of staff of another University
• previous experience of examining research degrees in the UK, and/or
• experience of supervising a doctoral candidate through to successful completion.

The Progression and Examinations Group recognises the value of appointing:

• early career academics/researchers who may not be senior and/or have examined before
• individuals from industry or professional practice
• colleagues from institutions outside the UK who may not have UK examination experience.

Such appointments may be approved where the individual has appropriate expertise and is paired with a more experienced examiner who can provide knowledge of UK research degree examination processes and standards, or through the addition of either an experienced, senior independent chair or additional examiner. In considering the appropriate action, and whether the addition of an experienced examiner or a chair would be appropriate, the Progression and Examinations Group will take account of the overall examination experience of the proposed examining team, including the extent of previous UK research degree examination experience.

Normally only one internal examiner and one external examiner will be appointed. The appointment of additional examiners may be considered where:

• the thesis is interdisciplinary and additional expertise is required to cover the thesis research
• the examining team does not have the expected level of previous UK research degree examination experience, and additional UK examination experience is required
• the PGR is a current or former member of University staff where two external examiners may be required (read the PGRs who are current or former University staff section).

An independent chair may be required where:

• the examining team has limited examination experience
• it has not been possible to achieve an appropriate balance of experience and seniority between the examiners
• where a second viva will be held after referral and resubmission.

The examination entry process is managed through GRAD.

Examiners should not be nominated until they have informally agreed to act.

Examination entry workflows must be submitted at least three months before the planned thesis submission date to allow for all necessary checks and review by the Progression and Examinations Group. Examination entry workflows received outside this period may lead to subsequent delays with the examination and viva process.

Postgraduate researchers may be asked for their views on potential examiners. However, responsibility for recommending examiners rests with supervisors in consultation with the director of postgraduate research studies.

When proposing examiners, schools should ensure that:

• all examiners meet the eligibility criteria outlined
• the examining team has an appropriate balance of expertise, seniority and examination experience
• any potential conflicts of interest have been considered
• sufficient information is provided to support the nomination
• any confidentiality requirements in addition to the standard confidentiality undertaking required by the University, are identified and considered at an early stage in the process.

The final decision about the appointment of examiners is made by the Progression and Examinations Group.

Any proposal that falls outside the published criteria should be made by the director of PGR studies and will be referred to the Progression and Examinations Group for consideration.

Where an external examiner from overseas is nominated, the Doctoral College will undertake additional checks with the Trusted Research team.

Independence and conflicts of interest

Examiners must be independent of both the postgraduate researcher (PGR) and the research being examined. The following individuals should not normally be appointed as examiners:

• anyone who has been substantially involved in the research project, for example, co-authoring or collaborative involvement in the PGR's work  
• anyone whose own work is the focus of the research project
• anyone who has a close professional relationship with the PGR
• anyone who has a close personal relationship with the PGR or a member of the supervisory team.

Examples of close professional relationships include:

• significant research collaboration
• co-authorship of publications
• co-workers or line management relationships (current or planned)

Examples of close personal relationships include:

• partners or spouses
• parents, children or siblings
• any relationship that could reasonably be perceived as creating a potential conflict of interest.

Other considerations

Recently retired academics may be appointed as examiners where they:

• maintain a formal association with their institution (for example through an honorary appointment or teaching activity), and 
• remain research active (for example, recent publications)
• Nominations involving staff holding visiting appointments at Leeds will be considered case-by-case.

Where a PGR is undertaking a second research degree at Leeds (for example, a PhD examination following an earlier Masters by Research examination) a different examining team should normally be appointed. A case for reappointing the same examiners will normally only be considered where an additional external examiner is also appointed.

Eligibility of internal examiners 

Internal examiners should normally: 

• be members of the academic or academic-related staff of the University
• hold a permanent University appointment of at least 0.3 FTE
• have completed the required training, or have acted as an internal examiner at Leeds, within the previous five years
• have familiarity with UK research degrees through supervision and/or examination experience
• have had no supervisory or other involvement with the PGR or candidature.

Prior supervisory or other involvement with the PGR’s candidature

Supervisors must not be appointed as examiners. Exceptions can be considered for an individual who was recorded as a nominal supervisor during the taught stage of an Integrated PhD and MSc where it can be demonstrated that they had no supervisory involvement in the PhD research. 

The same individual may act as the independent assessor or independent chair at the transfer stage and subsequently as the internal examiner.

Individuals who have acted as independent assessors as part of an Annual Progress Review under Model A are not eligible to act as internal examiner in the final examination. Participation in a Research Degree Committee or equivalent body under Model B APR will not normally prevent appointment as an internal examiner (including the director of PGR studies).

Individuals who have provided an independent academic assessment as part of the Progress Support Process should not act as internal examiner for the final examination.

Position held

Internal examiners should normally hold a permanent University appointment of at least 0.3 FTE.

Staff on fixed-term contracts may be approved on a case-by-case basis. Schools should take account of the possibility of the referral and resubmission period, where the same examining team would normally remain in place.

Members of staff who are themselves registered for a research degree may not act as internal examiner.

An honorary member of staff may act as sole internal examiner for the MD, DClinPsychol or DPaedDent, provided all other eligibility criteria are met. Otherwise, honorary members of staff may act as joint internal examiners for all other research degrees.

Any second (joint) internal examiner is a full member of the examining team and is required to fulfil all responsibilities of an examiner. The second internal examiner must:

• read and examine the thesis
• complete a preliminary report
• participate fully in the oral examination
• contribute to and sign the final examiners' report.

The second internal examiner may also provide guidance and support to a less experienced internal examiner on examination procedures.

It is not necessary for both internal examiners to approve corrections following the examination. This may be undertaken by the first internal examiner alone.

Independence from the University

External examiners must be independent of both the University and the School concerned. They should not normally hold any form of employment with the University.

A minimum period of five years should normally have elapsed before a former member of University staff may be appointed as an external examiner.

External examiners should not normally examine more than one PGR at the University within a twelve-month period.  Frequent repeat use of the same external examiner is discouraged. As a guide, the Progression and Examinations Group would not normally expect the same external examiner to be appointed on more than three occasions within a five-year period by overlapping supervisory teams. A clear academic rationale should be provided for any exceptions, for consideration by the Progression and Examinations Group.

Individuals holding honorary appointments at the University may not act as external examiners but may be considered for appointment as joint internal examiners.

An individual may not act both as external assessor at transfer and as external examiner for the final examination.

Eligibility of external examiners 

External examiners should normally:

• be senior members of staff within a university or higher education institution. For the purposes of these criteria, a senior member of staff would normally be at Grade 9 or above.
• have prior experience of UK research degree examinations
• have an active and independent research profile
• possess appropriate disciplinary expertise.

Where the normal criteria are not met

Where a proposed external examiner does not meet this, for example, early-career academics, individuals from industry from outside the UK, a case for appointment can be made. In these cases:

• the internal examiner should be a senior and experienced examiner with substantial examination experience, including at least once in the UK, and
• the external examiner must receive a briefing on University examination requirements.

Exceptionally a second external examiner with UK examination experience may be appointed.

Where a PGR is sponsored by, receives supervision from, or undertakes research within an industrial organisation, academic institution or other external organisation, an individual employed by that organisation will not normally be approved as an external examiner.

When proposing external examiners, supervisors should also consider whether the organisation has any confidentiality requirements in addition to the standard confidentiality undertaking required by the University. Any such requirements should be identified and considered at an early stage in the process.

Where a PGR is registered on a collaborative programme including (for example, programmes delivered through a Centre for Doctoral Training (CDT), Doctoral Landscape or Doctoral Focal Award or a Dual Award PhD, including those undertaken as part of an Innovative Training Network or equivalent partnership arrangement) the external examiner should normally be appointed from outside the partner institutions involved in delivering the programme. Exceptionally, an examiner from a partner institution may be considered where:

• the required academic expertise cannot reasonably be obtained elsewhere, and
• the independence of the examiner from the PGR, the research project and the delivery of the collaborative programme can be clearly demonstrated.

In the case of dual awards, exceptionally, this may include considering an examiner from an institution in the broader network.

Two external examiners must normally be appointed (one internal examiner must also be appointed) where the PGR is:

• a current or former member of University staff employed at Grade 7 or above
• medically qualified (on the clinical pay scales) and is a current or former member of staff of the University and is (or was) of the status of lecturer or above.

Exceptions to this requirement include:

• staff appointed to a Grade 7 role after completion of their standard period of study will normally require one external examiner
• staff employed through the Marie Sklodowska-Curie route will normally require one external examiner
• a medically qualified (on the clinical pay scales) or Health and Care Professions Council (HCPC) and Nursing and Midwifery Council (NMC) registered PGR who is a current or former member of staff of the University and is (or was) of the status of research fellow or tutor, will normally require one external examiner.

Examples of when an independent chair may be required include:

• where the internal examiner is undertaking their first UK research degree examination
• where neither examiner holds a senior academic position
• where the examining team has only one or two previous research degree examinations between them
• where a second viva is required following resubmission after referral
• where exceptional or non-standard examination arrangements have been approved.

The independent chair should normally be a member of University staff from a cognate discipline with substantial and recent experience of research degree examinations at Leeds. This would normally include experience as an internal examiner on at least three occasions, including at least once within the previous three years.

Other Leeds examination experience can be taken into account when considering nominations which fell below this criteria. This might include acting as director of PGR studies (recently or currently) or as a former or current member of the Progression and Examinations Group.

Responsibilities of the independent chair

The independent chair will:

• advise the examining team on University regulations and procedures
• attend the pre-viva meeting of examiners
• attend the viva
• attend the full post-viva discussions
• ensure the examination is conducted in accordance with University examination procedures
• ensure that all required documentation is completed and submitted
• complete an independent chair’s report after the examination.

The  independent chair does not: 

• read the thesis
• act as a subject specialist
• complete a preliminary report or contribute to the joint report
• assess the academic quality of the work
• question the candidate on the research
• arrange the viva examination.

Training for internal examiners

All internal examiners must complete the University's training requirements before acting as an internal examiner at Leeds. This training forms part of the University's quality assurance arrangements as an alternative to the practice of routinely appointing an independent chair. There are two courses available:

Update for Experienced Examiners course

The Update for Experienced Examiners (online, self-directed briefing) is an online briefing designed for experienced examiners. It must be completed by staff who have:

• previous experience as a research degree examiners, but
• are new to Leeds, or 
• have not acted as an internal examiner at Leeds within the last five years.

Role of the Internal Examiner course

The Role of the Internal Examiner (half-day workshop) is designed for those new to examining research degrees. It must be completed before the viva examination for any member of staff who has not examined a research degree before.

Examiners will be sent links to the courses when required.

In exceptional circumstances, where a new internal examiner may be unable to attend the full workshop before the viva, subject to the support of the director of PGR studies and approval by the Progression and Examinations Group, the following alternative arrangements may be approved. The internal examiner must:

• complete the training materials used within the Role of the Internal Examiner course
• meet with their director of PGR studies to discuss their preparation for the viva, and
• attend the next available Role of the Internal Examiner course following the examination.

Internal examiners

Where an individual has previous experience of examining research degrees but is undertaking their first UK appointment as an internal examiner at Leeds, they must:

• complete the Online Briefing for Experienced Internal Examiners before appointment, and
• receive a school-level briefing before the viva.

External examiners

Where the external examiner will be undertaking their first appointment as an examiner in the UK a briefing must be provided by the school before the viva.

In both cases this briefing should familiarise the examiner with:

• UK doctoral examination standards
• University of Leeds examination regulations and procedures
• expectations of the examining team and the role of the internal examiner at Leeds.

Guidance is provided to support schools in briefing examiners. This is intended to support discussion rather than provide a prescribed checklist. Briefings should allow sufficient opportunity for questions and discussion. The briefing must be provided by an experienced colleague who:

• has experience of acting as an internal examiner
• is familiar with University procedures, and
• is independent of the candidature and examination (not the supervisor or internal examiner, however, they could be the independent chair as part of their guidance role).

In some cases, sending a thesis for examination to an external examiner who is based outside the UK may be covered by Export Control legislation (as could a PGR completing their viva from overseas via video streaming). Please visit the Doctoral College SharePoint (log-in required).

Where an external examiner from overseas is nominated, the Doctoral College must undertake additional checks with the Trusted Research team. Examination entry workflows must be submitted at least three months before the planned thesis submission to allow for all checks.

Where an export control licence will be needed the Trusted Research Team will support the supervisors with those arrangements. The Doctoral College will place a hold ‘Condition’ on the PGR’s examination and will not send the thesis for review until the relevant approval has been granted. If and when a thesis contains controlled technology, the Trusted Research Team will need to ensure the examiner is told well in advance. The Trusted Research Team will liaise with the supervisors and can also discuss with the examiner to ensure they know how to proceed with the terms and conditions of the licence.

The internal examiner should normally be either:

• A member of University of Leeds staff who meets the University's eligibility requirements for appointment as an internal examiner, or
• A member of staff from the accredited institution may be appointed as internal examiner where they satisfy all of the following requirements: 
  • have previously acted as an internal examiner for the University of Leeds alongside a member of University staff (read the first appointment as an internal examiner section)
  • have supervised a PGR to successful completion for the research degree being examined
  • meet the other requirements for appointment as an internal examiner, including completing the training.

Previous examination experience at Leeds or completion of the required training must normally have taken place within the previous five years.

Where a member of staff from an accredited institution is acting as internal examiner for the first time, a second (joint) internal examiner will normally be appointed. This will usually be a member of University of Leeds staff, although an appropriately experienced member of staff from the accredited institution may be approved on a case-by-case basis.

Exceptions may be considered where a member of staff from an accredited institution is acting as an internal examiner for the University of Leeds for the first time but they:

• have substantial previous experience of research degree examinations at other UK institutions
• have completed the University of Leeds internal examiner training within the previous five years
• have supervised a PGR to successful completion for the research degree being examined, and
• meet all other requirements for appointment as an internal examiner. 

In such cases:

• an independent chair may be appointed in place of a second internal examiner
• the external examiner would normally be expected to be a senior member of staff with previous experience of UK research degree examinations.

Requests under these arrangements must be submitted as a special case by the individual with responsibility for academic administration at the accredited institution.

• Version 1.0, September 2018
  • Author: Examinations Group (Doctoral College) 
• Version 2.0, February 2021
  • Author: Examinations Group (Doctoral College) 
  • Changes: Updated Accredited Institution guidance 
• Version 3.0, June 2021
  • Author: Examinations Group (Doctoral College) 
  • Changes: Added 3 UK examinations across the team. Updated with Integrated PhD guidance.
• Version 4.0, May 2022
  • Author: Examinations Group (Doctoral College) 
  • Changes: Added collaborative programme advice and minor changes to Chair criteria.
• Version 5.0, August 2022
  • Author: Progression and Examinations Group (Doctoral College) 
  • Changes: Updated committee names. Removed reference to COVID-19 arrangements. Removed ‘half-day’ from ODPL course.   
• Version 6.0, September 2023
  • Author: Progression and Examinations Group (Doctoral College) 
  • Changes: Updated minimum exam experience, added Dual Award, personal relationships and SWAY.
• Version 7.0, April 2024
  • Author: Progression and Examinations Group (Doctoral College)
  • Changes: Added export control guidance for supervisors.
• Version 8.0 June 2026
  • removed requirement for independent chair to be a senior member of staff
• Version 8.1
  • Author: Progression and Examinations Group (Doctoral College) 
  • Changes:
    • Quantify ‘frequent’ use of an external examiner.
    • Clarified that someone who acts as independent chair for a second transfer viva after deferral may still act as internal examiner, if appropriate.
    • Removed the explicit seniority requirement for an independent chair and clarified the additional forms of relevant examination experience that may be taken into account.
    • Removed independent chair criteria and guidance for an online viva.
    • Otherwise amendments to reflect consistency of style with other procedures.