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Approved by Chair of Education Committee October 2008
Guidelines for External Examining of taught programmes at the University of Bristol
The following guidelines summarise the practice of the University of Bristol for the employment of external examiners for both undergraduate programmes and postgraduate taught masters programmes.
The purposes of the external examiner system is to help ensure that:
The duties and responsibilities of individual external examiners will be based on their role to act as independent and impartial advisors providing informed comment on academic standards set (including those associated with Professional and Statutory Bodies where appropriate) and student achievement in response to those standards.
The University has its own internal quality assurance procedures for the processing and consideration of assessment marks, and attaches great importance to peer review from colleagues in other academic institutions, professional bodies, industry and commerce. When arriving at the degree classifications given to final year undergraduates and the final award for taught postgraduates, appropriate weight should be given to the view of the external examiners as full and equal members of University Examination Boards.
The role of the external examiner is not confined to consideration of examination results and attendance at examination boards. External examiners may, and are encouraged, to comment and advise on the content, balance and structure of programmes and units, the development and review of programmes and/or units, and on assessment processes. These Guidelines contain information on the following aspects of external examiner services:
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1. |
Appointment |
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2. |
Data Protection and disclosure of the report |
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3. |
Role of the External Examiner in assessing student work |
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4. |
Boards of Examiners |
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5. |
Reporting |
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6. |
Discontinuation of appointment |
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7. |
Fees |
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8. |
Expenses |
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9. |
University procedure for the receipt of External Examiner reports |
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Annex A |
University Ordinance 17, Assessment for Academic Awards |
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Reporting Template |
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Departmental Response to External Examiner/s Form |
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External Examiner Nomination Form |
Exceptional Circumstances
Where it is not practical or possible to follow the guidelines, the written permission of the Pro-Vice-Chancellor must be obtained.
Note: Use of the word Department in this document can also relate to Schools or Centres.
1. Appointment
1.1 Senate regulates University examinations and recommends external examiners for appointment by Council. In practice Senate delegates responsibility for approving appointments of external examiners to the appropriate Faculty Board. It is normally the responsibility of Heads of Departments to monitor all appointments and to ensure adherence to the appointment procedures for external examiners. Heads of Department, or their nominees, after consultation with colleagues, will use their academic judgement in undertaking this responsibility.
1.2 For consideration by Faculty Board, the Head of Department must complete an External Examiner Nomination Form, available from the Education Support Unit website, section E of the Form gives guidance on the factors to consider when making the nomination. The Form should be signed by the Head of Department and the nominated examiner and then forwarded to the Faculty Office for consideration by Faculty Board. When the Faculty Board has approved the appointment the Faculty Dean or his/her nominee must countersign the Nomination Form and forward to the Education Support Unit for appointment. The Education Support Unit will establish and hold a curriculum vitae archive.
1.3 The Head of Department should ensure that a sufficient number of external examiners are appointed to ensure adequate expertise is available to cover all the major areas of the programme(s) being examined including the requirements of professional, statutory and regulatory bodies. In some subjects, for example where there are multiple external examiners who moderate different parts of the programme, it may be advisable to appoint a senior external examiner whose role is to assure the quality of the assessment and academic standards across the whole programme.
1.4 The Head of Department should ensure an appropriate match between the numbers of external examiners and the quantity of material being examined.
1.5 At least one external examiner is appointed for each subject or group of subjects, forming part of a degree programme leading to an award of the University.
1.6 An external examiner will normally be an academic from another UK HEI, however there are cases where someone from a professional, statutory or regulatory body or from industry is more appropriate. In these cases the department will need to provide additional appropriate support to enable these examiners to carry out the role.
1.7 It is important for departments to ensure they do not put in place reciprocal arrangements for external examiners, see Annex D, Section E for further details. Former members of staff and students should not be invited to become external examiners before a lapse of at least three years or in the case of former members of staff, sufficient time for students taught by that member to have passed through the system, whichever is the longer.
1.8 The Education Support Unit will establish and maintain an electronic list of the University's external examiners, by degree programme.
1.9 The Education Support Unit will ensure the lists are up to date through regular contact with Faculties and Departments.
1.10 When an external examiner is appointed, the Education Support Unit will send him/her:
1.11 and the relevant academic department will send him/her, as and when appropriate;
1.12 Each Head of Department will receive, from the Education Support Unit, an annual reminder that the most recent version of the Guidelines is available via the Web. Heads of Department have responsibility for ensuring that all the department's internal examiners including the chair and secretary of each exam board, have access to a copy of these Guidelines.
1.13 The normal period of appointment of external examiners for undergraduate and postgraduate taught programmes is three years. This may be exceptionally extended to four years with the permission of the Dean of the relevant Faculty. An external examiner will not normally be re-appointed within the three years following completion of their three, (or four year) contract.
2. Data Protection and disclosure of the report
2.1 All personal data supplied by the external examiner for the purpose of their appointment and subsequently their engagement as an external examiner will be held securely and for no longer than necessary.
2.2 The University will use this data for communication about and payment of fees and expenses and for any other necessary communications. This data may be shared, if necessary, with other departments of the University. The University will not disclose external examiners? contact details or any other personal details to third parties (ie. outside the University) without the consent of external examiners.
2.3 External examiners should ensure that reports do not name or otherwise identify individual students on the programme or unit.
2.4 The University will regard this report as confidential but it will be made available to various internal committees and groups and appropriate statutory and professional bodies. Copies of this report will also be made available to students on request to the Education Support Unit and to members of the public under the Freedom of Information (FOI) Act.
2.5 If the University receives a request to release an external examiner’s report under the FOI Act we will endeavour to let the external examiner know that we have received such a request. Please note that the name of the external examiner (and the names of any staff or students identified) will (in most circumstances) be removed if the report is publicly released. By signing the External Examiner Acceptance Form you are giving your consent to such disclosure as the University considers appropriate.
3. Role of the External Examiner in assessing student work
3.1 External examiners should be asked to comment on and suggest appropriate amendments for all examination papers contributing to the final degree result. It is also good practice to consult the external examiner on other forms of assessment contributing to final degree results while in draft form e.g. coursework essay titles or project outlines. Departments should ensure that external examiners are made aware of the outcomes of their comments and advice.
3.2 The external examiner may comment and advise on matters of curriculum content, balance and structure, in so far as these are revealed by the assessment process.
3.3 The external examiner has the right to see all degree examination scripts and any other work that contributes to the degree result.
3.4 The external examiner should act as a moderator of the decisions of internal examiners. Boards of Examiners should determine the range of assessed material and, where appropriate, the evidence relating to the award of marks for that assessed work that will be subject to moderation. In those cases where it is agreed with the external examiner that only a selection of scripts is to be seen by him or her, the principles for such selection should be agreed in advance. Where practical, in addition to marks, student work should be available to the meeting of Boards of Examiners.
3.5 Boards of Examiners should establish guidelines concerning the range of scripts that External Examiners should sample as part of the moderation process and which scripts should be brought specifically to the attention of the External Examiners. The external examiner should normally be asked to review the following:
• Fail marks
• First class marks and/or Masters distinctions
• Third class marks
• A sample of work from both lower and upper second class divisions
• Borderline marks and whether boundaries between classifications are set appropriately
It is good practice to involve the external examiner in decisions that will result in the student being required to leave the University.
The external examiner should negotiate with the department on the amount of student work they will receive
3.6 The external examiner may be asked to adjudicate where there are disagreements between the internal examiners, although internal examiners should try to agree marks where possible and only send irreconcilable conflicts to the external examiner.
3.7 Exceptionally the external examiner may act as the second marker, where there is insufficient internal expertise for full internal moderation and where this has been agreed with the external examiner.
3.8 External examiners can find guidelines for conducting oral assessments in the Universities Assessment Guidelines. The guidelines specify that two examiners should be present during oral examinations, the external examiner could be one of these.
3.9 Examination papers, scripts and any other relevant assessment material contributing to the degree classification or overall result, should normally be kept until at least one year after the relevant students have graduated from the University. This may not always be possible in respect of coursework returned to students.
Improper Practice
3.10 If an internal or external examiner considers that a candidate has engaged in an improper assessment practice or other academic misconduct, the examiner should, as soon as possible, report the circumstances to the Chairman of the appropriate Board of Examiners, who should follow the appropriate rules and regulations pertaining at that time.
4. Boards of Examiners
4.1 An initial examination board comprising at least three persons shall be convened to approve every undergraduate and taught postgraduate academic award of the University. For undergraduate and taught postgraduate awards, the initial examination board shall comprise the internal and external examiners for each subject or group of subjects included in the programme of study for the award. This examination board shall make recommendations to the faculty examination board of the faculty in which the degree is awarded. An external examiner will normally be required to be present at the meetings of the Boards of Examiners for the programme to which he or she has been appointed as external examiner, for each academic year after level one *. External examiners also have the right to attend any other examiners' meetings relating to the programme with which they are concerned and at which decisions on individual students are to be taken. In some circumstances, it may be necessary to consult other external examiners on units taken by students in subjects outside their programme subject area.
* In the Faculties of Medicine and Dentistry & Medical and Veterinary Sciences this principle can be applied flexibly to accommodate external examiners’ clinical commitments.
4.2 In arriving at the degree classifications given to final year students, considerable weight should be given to the view of the external examiner or examiners. In the event of a vote the opinion of the external examiner, as a member of the examination board is weighted the same as any internal examiner.
4.3 Minutes should be taken of all meetings of Boards of Examiners.
4.4 Departments should ensure they give as much notice as possible to external examiners of the dates of Board of Examiners and other occasions on which they may be required to be present so the quoracy of the board meeting is met. In the event that an external examiner cannot attend the department should be informed as soon as possible in order to agree an alternative process, e.g.:
Telephone conference; the external examiner receives relevant paperwork.
An alternative and appropriate external examiner attends instead.
Should neither be possible, the Department should consult the Pro Vice-Chancellor (Education) about what action is appropriate.
4.5 Departments should ensure that external examiners sign the completed final year student degree classification list, the template of this document is provided by the Examinations Office.
4.6 The University Ordinance 17, Assessment for Academic Awards, attached as Annex A includes details of the constitution and requirements for Boards of Examiners.
5. Reporting
5.1 The report should be completed in English on the External Examiners' Report Form. A hard copy is supplied with the appointment letter and attached as Annex B. The completed external examiner report must not name or otherwise identify students on the programme or unit. Electronic submission of reports is welcomed and encouraged but reports should also always be submitted in paper format to ensure that a signature is attached. To submit the electronic copy please email exex-admin@bristol.ac.uk
5.2 External examiners' reports should be addressed to the Vice-Chancellor and sent to the Education Support Unit within one month of the last visit or contact with the department for the year of the report. The Education Support Unit will log receipt of all reports and disseminate them to Departments.
5.3 When the external examiner is submitting a report for the final year of his/her period of appointment it is the opportunity for the examiner to write an overview of his/her experience at the University of Bristol. It should, therefore, include comment of the University's academic standards in the relevant subject and in particular any significant changes in standards over the three or four year period.
5.4 Should external examiners encounter particular problems during their term of office which they are unable to resolve with the appropriate academic staff and believe should be drawn to the attention of the Vice-Chancellor, they may submit a special report to him at any time.
5.5 The Education Support Unit should receive the external examiner's report either within one month of the last visit or contact with the department for the year of the report, or for taught postgraduate programmes within one month of the relevant examination board. If a report is not received within this period than the Education Support Unit will write to the external examiner requesting receipt of the report in order to enable fee payment to be made.
5.6 If the Education Support Unit has not received a report within a month of the reminder letter, they will inform the Director of the Education Support Unit who will write to the external examiner requesting receipt of the report in order to complete the University's quality assurance processes. This letter will be copied to the FQAT Chair.
5.7 If the Education Support Unit has not received a report within a month of the second reminder letter they will inform the Pro-Vice-Chancellor for Education who will write to the external examiner requesting receipt of the report.
5.8 If an external examiner has not returned a report from within 5 months of the last visit or contact with the department for the year of the report, his/her appointment will be terminated.
6. Discontinuation of appointment
6.1 Under certain circumstances, the appointment of an external examiner may be discontinued by the University or the individual examiner before the completion of his/her period of appointment.
6.2 Where an external examiner resigns prior to the expiry of the appointed term the appropriate department is responsible for obtaining written confirmation of the resignation, advising the Education Support Unit and nominating a replacement.
6.3 In the event of unsatisfactory performance, the University reserves the right to terminate employment at any time during the period of appointment. The decision to discontinue shall be based on a statement detailing the proposed grounds for discontinuation and submitted to the Pro-Vice-Chancellor (Education) for final decision. The Education Support Unit will inform the external examiner in writing of the decision and it will be reported to the department and the relevant Faculty Board.
7. Fees
7.1 The relevant department will determine the fee payable to each external examiner on the basis of a formula agreed by the University Planning and Resources Committee (UPARC) and reviewed every three years. This information is available on the Education Support Unit website.
7.2 The Education Support Unit will receive all reports in the first instance. Examiners will be paid when the Education Support Unit has logged receipt of their report. The level of fee paid to an external examiner should be taken into account if a department is considering whether to ask him/her to take on additional tasks.
7.3 External examiners will be provided with a claim form to be completed and returned to the Education Support Unit, this claim form may also include expense details. For UK nationals the University is required to deduct income tax at the standard rate. Payments made to external examiners are exempt from National Insurance deductions.
8. Expenses
8.1 Payment of examiners' expenses is the responsibility of the department, or may be the responsibility of the respective Education Committees in the Schools of Medicine, Dentistry and Clinical Veterinary Sciences. In the case of jointly appointed external examiners the participating departments should share these costs on a basis to be agreed between them.
8.2 The guidance of the Head(s) of Department should be sought on claiming for travelling expenses, especially where the costs of travel are likely to exceed the equivalent of second class rail fare or where travel by air is involved. The University's Regulations for Travelling and Subsistence Expense Claims is available from both the Finance Office and Education Support Unit websites.
8.3 External examiners will be provided with a claim form. The details of the claim for travel, accommodation and meals should be completed and the form returned to the department or Education Support Unit. Reimbursement will be made only on the basis of actual expenditure incurred and therefore receipts must be included with the claim, all claims must be made on the appropriate form(s) and show the account number(s) to be debited. Those departments which share these expenses should ensure that all signatures and account numbers are included.
9. University procedure for the receipt of External Examiners' reports
9.1 The ESU will be responsible for forwarding reports to:
9.2 The reports received by the Head of Department will be accompanied by a pro-forma (Annex C) which, following discussion within the department, the Head of Department or nominee will complete noting any issues, the actions required and any actions taken. The Departmental Response to External Examiner/s Form should then be returned to the External Examiner and copied to the ESU.
9.3 When an External Examiner has made suggestions that require a response, departments should correspond with the External Examiner to check that s/he is satisfied with that response.
9.4 The reports and relevant correspondence with External Examiners will be logged by the ESU. External examiner reports and departmental responses should be appended to Annual Programme Review reports prepared by departments and sent to their FQAT Chair. The Education Support Unit will provide FQATs with a list of expected and received reports for each year.
9.5 If the ESU does not receive the Departmental Response Form as part of the Annual Programme Review papers it notifies the relevant FQAT Chair(s) so that the matter will enter the normal annual FQAT procedures with reporting lines to the Dean of Faculty.
9.6 The ESU will prepare an annual report highlighting themes arising from the University's external examiner reports. This report will be received and discussed at a Plenary Meeting of the FQAT Chairs and subsequently by the Education Committee chaired by the Pro-Vice-Chancellor for Education, who will address any university wide issues.
9.7 The report is regarded as confidential but will be made available to various internal committees and groups and appropriate statutory and professional bodies. Copies of this report will also be made available to students on request to the Education Support Unit and to members of the public under the Freedom of Information Act. Please note that the name of the external examiner (and the names of any staff or students identified) will (in most circumstances) be removed if the report is publicly released.
Education Support Unit
University of Bristol
8-10 Berkeley Square
Clifton
Bristol
BS8 1HH
Tel: 0117 331 4211
www.bris.ac.uk/esu/
Email: exex-admin@bris.ac.uk
Approved by Education Committee, November 1998, Endorsed by Senate, November 1998
Revised and approved by Education Committee, November 2002
Revised and approved by Senate, December 2003
Minor amendments approved by Education Committee, March 2004
Minor amendments approved by Education Committee, February 2005
Minor amendments and Annex D approved by Education Committee, May 2005
Revised and approved by Chair of Education Committee, July 2005
Revised and approved by Chair of Education Committee, October 2007
Revised and approved by Chair of Education Committee, October 2008
ANNEX A
Approved by Senate 1 December 2003
Ordinance 17
Assessment for Academic Awards
Conduct of assessment for academic awards
Assessment of students for academic awards shall be carried out under the direction of the appropriate faculty board by properly appointed examiners. The following shall be governed by regulations:
a) assessment of University of Bristol students studying at other higher education institutions
b) assessment of students by members of staff of industrial or other similar organisations
Examiners
On behalf of Senate, the dean shall appoint examiners for higher degrees by research and faculty boards shall appoint other examiners, in accordance with regulations. Examiners shall be competent and respected individuals in their area of study. External examiners shall normally be members of the academic staff of other universities; they shall not be members of Council or of the University's staff and shall not have been employed by the University within the previous three years.
Examination boards
a) An initial examination board comprising at least three persons shall be convened to approve every undergraduate and taught postgraduate academic award of the University.
b) For undergraduate and taught postgraduate awards, the initial examination board shall comprise the internal and external examiners for each subject or group of subjects included in the programme of study for the award. This examination board shall make recommendations to the faculty examination board of the faculty in which the degree is awarded. The faculty examination board shall be chaired by the dean or his or her nominee and its composition shall be determined by the faculty board. The faculty examination board shall not question the academic judgment of the initial examination board, but shall ensure that proper procedures have been carried out, and that the treatment of special cases is fair across the faculty, including consideration given for illness and personal problems affecting a student's performance, the award of aegrotat degrees and penalties imposed for plagiarism. Within this remit, the faculty examination board shall have the power to accept or amend recommendations made by the initial examination board.
c) For all research degrees, the examiners shall make recommendations to the Research Degrees Examination Board, which shall have the power to accept or amend recommendations made by the examiners.