ChapterB7:ExternalExamining

Contents
TheQualityCode 1

AboutthisChapter 3

Introduction:ExternalexaminingintheUK 4

Expectation 6

Indicatorsofsoundpractice 7

Definingtheroleoftheexternalexaminer 7

Thenominationandappointmentofexternalexaminers 11

Carryingouttheroleofexternalexaminer 17

Recognitionoftheworkofexternalexaminers 20

Externalexaminers'reports 20

Appendix1-TheExpectationandIndicators 25

Appendix2-Sufficientevidenceproforma 29

Appendix3-MembershipoftheadvisorygroupforChapterB7:Externalexamining 30

References 32
T h e Q u a l i t y C o d e

AbouttheQualityCode
TheUKQualityCodeforHigherEducation(theQualityCode)isthedefinitivereferencepointforallUK
highereducationproviders.1Itmakesclearwhathighereducationprovidersarerequiredtodo,whatthey
canexpectofeachother,andwhatthegeneralpubliccanexpectofthem.TheQualityCodecoversall
fournationsoftheUKandallprovidersofUKhighereducationoperatinginternationally.Itprotectsthe
interestsofallstudents,regardlessofwheretheyarestudyingorwhethertheyarefull-time,part-time,
undergraduateorpostgraduatestudents.

TheQualityCodehasthreeParts.PartA:SettingandMaintainingAcademicStandardscontainsthree
ChaptersandsevenExpectations.Eachofthe11ChaptersofPartB:AssuringandEnhancingAcademic
Quality,andPartC:InformationaboutHigherEducationProvisioncontainasingleExpectation.An
Expectationexpressesthekeyprinciplethatthehighereducationcommunityhasidentifiedasessentialfor
theassuranceofacademicstandardsandqualitywithintheareacoveredbytherespectiveChapteror
Part.HighereducationprovidersreviewedbytheQualityAssuranceAgencyforHigherEducation(QAA)
arerequiredtomeetalltheExpectations.Themannerinwhichtheydosoistheirownresponsibility.
QAAcarriesoutreviewstocheckwhetherhighereducationprovidersaremeetingtheExpectations.2

TheExpectationsinPartCandeachChapterofPartBareaccompaniedbyaseriesofIndicatorsthat
reflectsoundpractice,andthroughwhichproviderscandemonstratetheyaremeetingtherelevant
Expectation.Indicatorsarenotdesignedtobeusedasachecklisttheyareintendedtohelpproviders
reflectonanddeveloptheirregulations,proceduresandpracticestodemonstratethattheExpectationsin
theQualityCodearebeingmet.EachIndicatorissupportedbyanexplanatorynotethatgivesmore
informationaboutit,togetherwithexamplesofhowtheIndicatormaybeinterpretedinpractice.Indicators
aregroupedintoclustersunderaheading.TherearenoIndicatorsinPartA.Theexplanatorytext
provideddirectlysupportstherelevantExpectation.

EachPartandChapterhasbeendevelopedbyQAAthroughanextensiveprocessofconsultationwith
highereducationproviderstheirrepresentativebodiestheNationalUnionofStudentsprofessional,
statutoryandregulatorybodiesandotherinterestedparties.

TheUKQualityCodeforHigherEducation:GeneralIntroduction3shouldbeconsideredinconjunction
withthisdocument.Itprovidesatechnicalintroductionforusers,includingguidanceconcerningthe
terminologyusedandaquick-referenceglossary.AmoredetailedglossaryisavailableonQAA'swebsite.4

TheQualityCodeandlegislation
Highereducationprovidersareresponsibleformeetingtherequirementsoflegislationandanyother
regulatoryrequirementsplaceduponthem,forexamplebyfundingbodies.TheQualityCodedoesnot
interpretlegislationnordoesitincorporatestatutoryorregulatoryrequirements.Sourcesofinformation
aboutotherrequirementsandexamplesofguidanceandgoodpracticearesignpostedwithinthePartor
Chapterwhereappropriate.Highereducationprovidersareresponsibleforhowtheyusetheseresources.

EqualityanddiversityintheQualityCode
TheQualityCodepromotesaninclusiveapproachbyembeddingconsiderationofequalityanddiversity
mattersthroughout.Promotingequalityinvolvestreatingeveryonewithequaldignityandworth,
irrespectiveofthegrouporgroupstowhichtheybelong,whilealsoraisingaspirationsandsupporting
achievementforpeoplewithdiverserequirements,entitlementsandbackgrounds.Aninclusive
environmentforlearninganticipatesthevariedrequirementsoflearners,forexample,becauseofa
declareddisability,specificculturalbackground,locationorage,andaimstoensurethatallstudentshave
equalaccesstoeducationalopportunities.Highereducationproviders,staffandstudentsallhavearolein
andresponsibilityforpromotingequality.

Equalityofopportunityinvolvesenablingaccessforpeoplewhohavedifferingindividualrequirementsas
wellaseliminatingarbitraryandunnecessarybarrierstolearning.Inaddition,disabledstudentsand
non-disabledstudentsareofferedlearningopportunitiesthatareequallyaccessibletothem,bymeansof

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inclusivedesignwhereverpossibleandbymeansofreasonableindividualadjustmentswherever
necessary.Offeringanequalopportunitytolearnisdistinguishedfromeverystudenthavinganequal
chanceofsuccess,becausethisisdependentonarangeoffactorsincludingtheirmotivationand
engagementinlearning.

Allhighereducationprovidershavelegalobligationswhichtheymustmeet,forexampleinrelationto
equalityofopportunityandeliminatingunlawfuldiscrimination(intheUKparticularconsiderations,suchas
theanticipatorydutytoprovidereasonableadjustments,applytodisabledstudents).TheQualityCode
doesnotseektoduplicateorinterprettheserequirements.

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A b o u t t h i s C h a p t e r

AboutthisChapter
ThefollowingsupersedestheCodeofPracticefortheAssuranceofAcademicQualityandStandardsin
HigherEducation(CodeofPractice),Section4:ExternalExamining(2004),publishedbytheQuality
AssuranceAgencyforHigherEducation(QAA),andformsaChapterofthenewUKQualityCodefor
HigherEducation(theQualityCode).Itincorporatestherecommendationsofthe
UniversitiesUK(UUK)/GuildHEreviewofexternalexaminingpublishedin2011.5

Theindicatorsinthischapterbuildupon,andincorporate,therecommendationsoftheUUK/GuildHE
review,andarethereforeexplicitabouttheactionsorwaysofworkingthatwilldemonstratethat
scrupuloususeisbeingmadeofexternalexaminers.

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I n t r o d u c t i o n : E x t e r n a l e x a m i n i n g i n t h e U K

Introduction:ExternalexaminingintheUK
IntheUK'ssystemofhighereducation,highereducationprovidersareresponsibleforthequalityofthe
educationtheyprovideand,inthecaseofproviderswithdegreeawardingpowers,theyareresponsible
fortheacademicstandardsoftheawardstheyoffer.

ExternalexaminingprovidesoneoftheprincipalmeansformaintainingUKacademicstandardswithin
autonomoushighereducationproviders.Externalexaminingisthereforeanintegralandessentialpartof
institutionalqualityassurance.

Degree-awardingbodiesappointasexternalexaminerspeopledrawnfromhighereducation,industry,
andprofessionsrangingfrommedicinetolaw.Thoseappointedaresuitablyqualifiedandexperiencedin
thesubject,orspecialismwithinthesubject,towhichtheappointmentrelates.Theyareexternalto,
andthereforeindependentof,theappointingbody.

Basedontheirqualificationsandexperience,theyareabletoprovidecarefullyconsideredadviceonthe
academicstandardsoftheawards,programmesand/ormodulestowhichtheyhavebeenassigned,and
canofferadviceongoodpracticeandopportunitiestoenhancethequalityofthoseprogrammes/modules.
Theyarealsoabletoofferaninformedviewofhowstandardscomparewiththesameorsimilarawardsat
otherhighereducationproviders(primarilyintheUK,andsometimesoverseasaswell)ofwhichtheyhave
experience.

AnimportantfeatureofexternalexaminingintheUKistheprovisionofannualwrittenreportstothe
degree-awardingbodybyeachexternalexaminerbasedonwhathe/shehasobservedofthe
degree-awardingbody'sassessmentprocessesandstudentassessedwork(inwhateverform).

Thesereportsprovideinvaluableindependentfeedbacktothedegree-awardingbodyatmoduleand/or
programmelevel,andsometimesalsoatinstitutionallevel.Degree-awardingbodiesconsiderthese
reportscarefully,andeithertakeactioninresponsetoanyrecommendationsormakeclearthereasons
fornottakingaction.Inveryexceptionalcases,anexternalexaminermayhaveseriousconcernsabout
thequalityorstandardsoftheprovision.He/shemayinsuchcasesprovideawrittenreporttotheheadof
thedegree-awardingbody,inconfidence.Asalastresort,externalexaminersmayaskQAAtoinvestigate
usingitsconcernsscheme.Suchaninvestigationwillbeappropriatewherethereisevidenceofsystemic
failingsinqualitymanagementinthedegree-awardingbody,butnotwherethereisaone-offcaseof
ineffectivepractice.

Highereducationprovidersrecognisetheimportanceoftheroleofstudentsincontributingtothe
managementofstandardsandquality.Externalexaminers'reportsarethereforemadeavailableto
students,oftenthroughstudentrepresentatives,aspartofinvolvingstudentsinqualitymanagement
processes.

ThisChapterisdesignedtoensurethatexternalexaminingcanoperateinawaywhichistransparent,
rigorous,andasconsistentaspossibleacrossallUKhighereducationproviders,takingintoaccounttheir
autonomyanddifferencesintheirmission,size,organisationalstructuresandrangeofprovision.Italso
recognisesthatinmanysubjectsawardsundergovaryingdegreesofoversightorregulationby
professional,statutoryorregulatorybodies(PSRBs).Degree-awardingbodiesthereforeensurethatthey
areclearabouttherequirementsofeachapplicablePSRB,whethertheserequirementsrelatetothe
appointmentofanexternalexaminer,and/orprovidingacopyoftheexternalexaminer'sreportand
evidenceofactiontakeninresponsetothatreport.

Thresholdstandards
ThroughoutthisChapterreferenceismadetothresholdacademicstandards.Thefollowingisthe
definitionapplicablewithintheQualityCode:

Thresholdacademicstandardsarethelevelofachievementthatastudenthastoreachtogainan
academicaward.Forequivalentawards,thethresholdlevelofachievementshouldbethesame
acrosstheUK.

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Generalprinciples
AspartoftheirjointreviewofexternalexaminingintheUKin2010-11,UUKandGuildHEagreedwith
highereducationprovidersthefollowinggeneralprinciplesforexternalexamining.

Principle1:IntheUKhighereducationsystem,eachinstitutionwithdegreeawardingpowershas
responsibilityforsettingthestandardsofitsdegreeswithinthecontextofcommonguidelines(thatis,
SubjectBenchmarkStatements,professionalbodyrequirements,andsoon)andissubjecttointernal
qualityassuranceproceduresandexternalreviewbyanindependentagency(QAA).Thisshould
continuetobesupportedandstrengthened.Externalexaminingisonlyonepart,albeitavery
importantpart,ofthissystem.

Principle2:Notwithstandingtheirautonomy,itisrightthatinstitutionsdegree-awardingbodies
shouldbeaccountableforthewayinwhichtheyexercisetheirresponsibilityforsettingand
maintainingstandards.TheprincipalmechanismforthisisInstitutionalreview,whichshouldtest
whetherornotexternalexaminingisworkinginpractice.Externalexaminingarrangementsshould
remainoneofthekeyareasforInstitutionalreviewandacriticalfactorindeterminingtheoutcomeof
Institutionalreview.

Principle3:Theroleoftheexternalexaminershouldbecomprehensibletostudents,themediaand
thegeneralpublic.Explanationsofitshouldbearticulatedclearlyandsimplyatalltimes.More
nationallyconsistent,developedandsupportedexternalexaminingexpectationswillimprovethe
effectiveness,transparencyandcredibilityofthesystem,especiallywithexternalaudiences.

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E x p e c t a t i o n

Expectation
TheQualityCodesetsoutthefollowingExpectationaboutexternalexamining,whichhighereducation
providersarerequiredtomeet.

Highereducationprovidersmakescrupuloususeofexternalexaminers.

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I n d i c a t o r s o f s o u n d p r a c t i c e

Indicatorsofsoundpractice
D e f i n i n g t h e r o l e o f t h e e x t e r n a l e x a m i n e r

Definingtheroleoftheexternalexaminer

Indicator1

Degree-awardingbodiesappointoneormoreexternalexaminer(s)tocarryouttherole(s)
definedinthisChapterforallprovisionthatleadstoahighereducationqualificationof
thedegree-awardingbody.

Externalexaminer(s)
Externalexaminersareindividualsdrawnfromacademiaandalsofromindustry,businessandthe
professions,whoareappointedinaccordancewiththecriteriasetoutinIndicator5.Noteveryexternal
examinernecessarilymeetsallthecriteria.Degree-awardingbodiesensurethatexceptionstoIndicator5
arecarefullyconsideredandapprovedatinstitutionallevel,andthatarrangementsforprovidingoversight
ofprovisionarerobust.

Externalexaminersareappointedtoprovideeachdegree-awardingbodywithimpartialandindependent
advice,aswellasinformativecommentonthedegree-awardingbody'sstandardsandonstudent
achievementinrelationtothosestandards.Thespecificresponsibilityofeachexternalexamineris
dependentontheroleallocatedbythedegree-awardingbodyonappointment,andmaybeatdifferent
levelsdependingonthenatureoftheprovisionandthewayinwhichadegree-awardingbody's
decision-makingprocessesaboutassessmentarestructured.Forexample,externalexaminersare
appointedtooverseeoneormoremodulesandtocontributetodecisionmakingatmodulelevelthrougha
moduleboard.Externalexaminersarealsoappointedatprogrammeorqualificationlevel,arolewhichmay
belessdependentontheirsubjectexpertise,beingmoreconcernedwiththeiroversightoftheassessment
processatprogramme/qualificationlevel(forexample,relatingtoprogressionandclassification).
Somedegree-awardingbodiesalsoengagea'chief'or'principal'examiner(inadditiontootherexternal
examiners)whomayhavearesponsibilitywhichiscross-faculty(orequivalent)orinvolvesoverseeing
multiplepathways.

TheIndicatorssetoutinthisChapteraredesignedtobesufficientlyflexibletoallowdegree-awarding
bodiestoappointexternalexaminerstofulfiltherolestheyrequire.Inallcasesthedegree-awardingbody
isresponsibleforensuringthatexternalexaminingarrangementsareinplacefor
subjects/specialisms/modulesthroughwhichcreditisachievedandquaificationsawarded.

Itisalsoresponsibleforensuringthatthose(tobe)appointedasexternalexaminers,andallinternal
examiners,areclearabouttheextentandnatureoftheappointment,includingwhethertheexternal
examineristoreportonstandardsandqualityatmoduleorprogramme/qualificationlevel,orboth.
TheIndicatorsdonot,therefore,assumeaspecificmodelofassessmentoversight,recognisingfor
examplethatsomedegree-awardingbodiesoperatewhataresometimesreferredtoas'single-tier'
systems(includingonelevelofboardsofexaminers)othersoperate'two-tier'systems(usuallyincluding
moduleandprogramme/qualificationboards).

TherolesofexternalexaminersaredefinedinIndicator2(academicstandards)andIndicator3(quality
enhancement).Indicators7and10explainmoreabouthowtheserolesarefulfilled.

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Thedegree-awardingbodyanditsresponsibilities
Theawardinginstitutionisresponsibleforthestandardsofitsqualifications.Therefore,theappointmentof
anexternalexaminerisexplicitlytheresponsibilityofthedegree-awardingbodymakingtheaward,
irrespectiveofwhetherallorpartoftheprogrammeisdeliveredbyapartner,deliveryorganisationor
supportprovider.Theextenttowhichsuchanorganisationbecomesinvolvedinaspectsoftheprocess
(forexamplenominatingandbriefingexternalexaminers)isamatterforthedegree-awardingbodyto
determinewiththeorganisation.Sucharrangementsareexplicitlycoveredinthewrittenagreementsetting
outthearrangementsorarelateddocument.6

Allsuchprovisionisthereforethesubjectofscrutinybyanappropriatelyappointedexternalexaminer
(orexaminers).Forjointawards(whereaprogrammeleadstoanawardgrantedjointlybytwoormore
degree-awardingbodies)anddualawards(whereprovisionleadstoseparatebutinterdependentawards
oftwoormoredegree-awardingbodies)theextentofthecoverageof,andarrangementsfor,external
examiningaredeterminedaspartofthepartnershipagreement.WhereonebodyisUK-based
(andthereforesubjecttothisChapteronexternalexamining)andtheotherisnot,theformerneedsto
ensurethatthestandardsofitsqualificationsandthequalityofitsprovisionaresecure.Othercountries
haveequivalentmeansofassuringthestandardsandqualityofhighereducationprogrammesand
qualifications,forexamplenationalprogrammeaccreditation.ItistheresponsibilityoftheUK
degree-awardingbodytoascertainwhatmeansofqualityassuranceareinplaceinthepartner
institution'scountry,andwhatlevelsandtypesofscrutinybytheUKbodyarethereforeappropriate.7

Furtherguidanceonarrangementsinvolvingpartners,deliveryorganisationsorsupportproviderscanbe
foundinChapterB10:ManagingHigherEducationProvisionwithOthers.

Awards
Externalexaminingisdesignedtohelpdegree-awardingbodiesensurethatthestandardofeachawardis
maintainedattheappropriatelevel,andthatthestandardsofstudentperformanceareproperlyjudged
againstthis.Degree-awardingbodiesthereforeensurethatexternalexaminersareappointedtooversee
theirawards,includingthosewhichmaybedeemedinterimorexitawards.Adegree-awardingbodymay
thinkitappropriatetostateexplicitly,forexample,thatanystudentachievementthatcontributestoa
namedawardwillbemoderatedbyanexternalexaminer.Alternatively,adegree-awardingbodymight
deemthat,inconfirmingtheacademicstandardsofafinalaward,anexternalexaminerconfirmsthat
he/sheendorsesthelevelandstandardsofitscomponentpartsasappropriatetothestructureofthat
award.Thepreciseallocationofresponsibilitiesisamatterforeachdegree-awardingbody,includingthe
extenttowhichexternalexaminersscrutiniseworkatdifferentlevelswithintheirawards.

Therequirementsofprofessional,statutoryandregulatorybodies
Anyrequirementsofprofessional,statutoryorregulatorybodies(PSRBs)areinadditiontotheIndicators
setoutinthisChapter.Eachdegree-awardingbodyisresponsibleforensuringthatitcansatisfythe
specificrequirementsofthePSRB.Suchrequirementsvaryfromoneorganisationtoanother.
Forexample,appointingornominatingexternalexaminers,beinginformedofappointments,andreceiving
copiesofreports.

Externalexaminingofresearchdegreeprovision
ExternalexamininginrelationtotheprovisionofresearchdegreesisaddressedinChapterB11:Research
Degrees.Someprogrammesmaycontainbothresearchandtaughtelements.Itisappropriatetoappoint
externalexaminerstofulfiltherolesetoutinthisChapterfortheelementsclassifiedas'taught',inaddition
toappointingexternalexaminerstoconsidertheresearchelement.Arrangementsforapprovingsuch
programmesmakeexplicitwhereaprogrammefallswithinthiscategory,definingthoseelementsthatare
'taught'andthereforesubjecttoscrutinybyanexternalexaminerunderthisChapter.

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 Indicator2

Degree-awardingbodiesexpecttheirexternalexaminerstoprovideinformativecomment
andrecommendationsuponwhetherornot:

thedegree-awardingbodyismaintainingthethresholdacademicstandardssetforits
awardsinaccordancewiththeframeworksforhighereducationqualificationsand
applicableSubjectBenchmarkStatements8
theassessmentprocessmeasuresstudentachievementrigorouslyandfairlyagainst
theintendedoutcomesoftheprogramme(s)andisconductedinlinewiththedegree
awardingbodyspoliciesandregulations
theacademicstandardsandtheachievementsofstudentsarecomparablewiththose
inotherUKdegree-awardingbodiesofwhichtheexternalexaminershaveexperience.

Indicator2definestheessentialroleoftheexternalexaminerinassistingthedegree-awardingbodyto
maintaintheacademicstandardsofitsawards.Responsibilityforthesettingofacademicstandardsis
clearlythatofthedegree-awardingbodyandiscarriedoutthroughformalprocessesofapproval
(orvalidation)usingotherformsofexternality.Theuseofexternalityinrelationtosettingandmaintaining
academicstandardsisaddressedinPartAoftheQualityCode.

Maintainingacademicstandards
Fundamentaltocarryingoutthispartoftheroleistoprovidefeedbackonwhether:

theprogrammeanditscomponentpartscontinuetobecoherentandtheiroutcomesalignedwiththe
relevantqualificationdescriptorsetoutintheapplicablequalificationsframework,supplementedwhere
applicablebyoneormoresubjectbenchmarkstatements
theprogrammereflectsanyadditionalPSRBrequirements
assessmentsinmodulesofthesamelevelareofacomparablestandardthecurriculumremainscurrent
assessmentcriteria,markingschemesandarrangementsforclassificationaresetatthe
appropriatelevel.

Measuringachievement,rigourandfairness
Animportantelementoftheexternalexaminer'sroleistoprovideassurancethattheassessmentprocess
isproperlydesignedandapplied,andiscarriedoutinamannerthatisfairandequitabletoallstudents
concernedaswellassupportiveofachievingtheintendedoutcomes.

Externalexaminerspayattentiontowhether:

thetypesofassessmentareappropriateforthesubject,thestudents,therespectivelevelofstudyand
theexpectedoutcomes
themarkingscheme/gradingcriteriahavebeenproperlyandconsistentlyapplied,andwhetherinternal
markingisthereforeofanappropriatestandard,fairandreliable
theassessmentprocessesarecarriedoutinaccordancewiththedegree-awardingbody'sregulations
andprocedures
proceduresgoverningmitigating/extenuatingcircumstances,academicintegrity/misconductand
borderlineperformanceshavebeenconsideredfairlyandequitablyapplyinginstitutionalregulations.

TheexplanatorynotetoIndicator7addressesthecircumstanceswhereanexternalexaminerconsiders
thatinternalmarkingisnotattheappropriatelevel(toogenerousortooharsh).

Externalexaminershavenospecialroleinindividualcasesrelatingtomitigatingcircumstancesor
academicintegrityexcepttoensurethatthedegree-awardingbody'srelevantprocedureshavebeen

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applied.Decisionmakingonsuchissuesmaybedelegatedtospecialistpanelsoperatingas
subcommitteesofexaminationboardsorbetheresponsibilityoffaculty/institutional-levelbodies.
However,assuchdecisionsaffecttheremitofanexaminationboard,9externalexaminerscanlegitimately
expecttobeinformedofdecisionsaffectingamoduleresultoraprogression/awarddecision.Theycan
alsoexpecttobeinformedofanyapplicableregulationsorprocedures.

Degree-awardingbodiesclarifytheextenttowhichtheycanreasonablyexpectexternalexaminerstobe
conversantwiththeirregulations,andtocommentontheextentoftheircorrectapplication.

Degree-awardingbodiesalsodeterminetheextenttowhichtheywillinvolveexternalexaminersin
commentingontheirregulationsratherthanontheirapplication.Therecanbevalueinconsultingexternal
examiners,alongsideotherformsofexternalscrutinyorconsultation,whenestablishingnewpoliciesor
reviewingexistingones.

Comparabilityofstandardsandstudentperformance
Externalexaminersprovidefeedbacktothedegree-awardingbodyonthecomparabilityofstandardsand
studentachievement.Thisfeedbackisbasedontheirexperienceofotherhighereducationproviders
(whetherasamemberofstaff,externalexaminerorotherrole).

However,theexternalexaminerisonlyoneofanumberofsourcesofexternalopinionwhichdegree-
awardingbodiesconsider,includingexternaladvicereceivedthroughapproval,monitoringandreview
processes.Externalexaminersarethereforenotthesoleguarantorsofthecomparabilityof
standardsachieved.

Comparabilityfocusesonstandardsandstudentachievementinoneormoreofthefollowing(accordingto
thespecificroleofeachexternalexaminer):

acrossthemoduleswithinasingleprogramme
acrossprogrammeswithinasinglesubjectareainanawardinginstitution
acrossprogrammeswithinasinglesubjectareaacrosshighereducationprovidersofwhichtheexternal
examinerhasexperience
anyoftheabove,acrosscohortsduringtheexaminer'speriodofappointment.

Theprogrammeandsubjectareaneedtobeunderstoodinthecontextofthespecificprovision.Insome
cases,especiallyatpostgraduatelevel,programmescanbeveryspecialist,limitingtheextenttowhich
comparisonscanbemadebyexternalexaminers.

Otherissuesofcomparabilityarisewhere,forexample,thesameprogrammeisdeliveredatdifferentsites
ordeliveredbypartners,deliveryorganizationsorsupportproviders.Degree-awardingbodiesensurethat
eachinstanceofdeliveryreceivesadequatescrutinyandcomment,andthattheappointmentand
expertiseofexternalexaminersreflectssuchconsiderationsandthereforeassurestheconsistent
applicationofstandards.Similarly,inthecaseofmoduleswhicharesharedacrossmorethanone
programme(includingthosedesignedtofacilitateinter-professionallearning),degree-awardingbodies
ensurethereisclarityoverwhichexternalexaminer(s)areresponsibleforeachmodule.

Unlessspecificallyappointedforthepurpose,andprovidedwithappropriatedata,anexternalexaminer
cannotbeexpectedtocommentonthecomparabilityofstudentperformanceacrossdifferentdisciplinesin
thedegree-awardingbody.

Degree-awardingbodiesdeterminewhether,whenandhowitisappropriatetoprovideexternalexaminers
withquantitativedatatosupporttheirevaluationofstudentperformance.Inadditionexaminationboards
maybeprovidedwithdescriptivestatisticalanalysesforeachcohortatmoduleandprogrammelevel.

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 Indicator3

Degree-awardingbodiesexpecttheirexternalexaminerstoprovideinformativecomment
andrecommendationson:

goodpracticeandinnovationrelatingtolearning,teachingandassessmentobserved
bytheexternalexaminers
opportunitiestoenhancethequalityofthelearningopportunities11providedto
students.

Externalexaminerscontributemuchtothedevelopmentofahighereducationprovidersprovisionthrough
identifyingexamplesofgoodpracticeandpotentialareasfordevelopment.Highereducationproviders
drawonthisfeedbackaspartoftheirannualmonitoringandperiodicreviewofprogrammes.
Highereducationprovidersdisseminateinternally,andencourageconsiderationof,recommendationsby
externalexaminersthatwillimpactontheenhancementoftheprovider'sprovisionandthestudents'
learningexperience.

Consultingwithexternalexaminersondraftcourseworkassignmentsandexaminationquestionsallowsthe
externalexaminers'expertisetoinformproviders'practiceasitoccurs,ratherthanprovidinganexclusively
retrospectivecommentonpastpractice.

Additionalroles
Degree-awardingbodiesmakeclearanyadditionalrolesthattheywishexternalexaminerstoundertake.
Inmakingsuchrequests,degree-awardingbodiesbearinmindtheessentialrolesidentifiedinIndicators2
and3,thetimecommitmentinvolved,andtherecognitionafforded.

T h e n o m i n a t i o n a n d a p p o i n t m e n t o f e x t e r n a l e x a m i n e r s

Thenominationandappointmentofexternalexaminers
Theproceduresfornominatingandappointingexternalexaminerswithinadegree-awardingbodyarean
importantpartoftheassuranceofacademicstandards.Goodpracticeinthisareaislikelytobeachieved
whenasenioracademicbodytakesresponsibilityforensuringthat:

criteriafortheidentification,nominationandappointmentofcandidatesareunderstoodandaccessible
toallstaffinitiatingappointments
nominationsareassessedeffectivelyandrigorously
anypotentialintellectualpropertydifficulties,suchasmightarisefromtheneedforcommercial
confidentiality,areresolvedpriortoappointment.

Itisnormalpracticeforaformalletterofappointment,orequivalent,tobesenttoanexternalexaminer
confirmingthetermsoftheappointment.

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 Indicator4

Degree-awardingbodieshaveexplicitpoliciesandregulationsgoverningthenomination
andappointmentofexternalexaminers.

Degree-awardingbodiescanterminateanexternalexaminer'sappointmentatanytime,
subjecttoapprovedinstitutionalprocedures,forfailurebytheexternalexaminertofulfil
his/herobligationsorifaconflictofinterestariseswhichcannotbesatisfactorily
resolved.

Appointment
Degree-awardingbodiesappointexternalexaminersinaccordancewiththecriteriaspecifiedinIndicator5.
Theyareresponsibleforthenumberanddeploymentoftheirexternalexaminers.

Indischargingtheirresponsibilities,degree-awardingbodies:

developguidancefortheprocessesofnominatingandappointingexternalexaminers
developpoliciesforavoidingreciprocalappointmentswithdepartments12ofotherdegree-awarding
bodies,andfordealingwithconflictsofinterestwheresuchappointmentsareunavoidable
putinplaceanapprovalprocessthatincludesconsiderationofappropriatedocumentationinsupportof
nominationsthiscanhelptoreassurestudentsandothersabouttherigouroftheappointments
process
establishsystemsforappointingexternalexaminersthatincludeconsiderationandconfirmationof
nominationsatinstitutionallevelthiscanhelptoreassurethedegree-awardingbodyabouttheintegrity
andobjectivityofproceduresoperatedbythoseactingonitsbehalf
keepacentralregisterofappointmentsandperiodsoftenurethiscanhelpdegree-awardingbodiesto
avoidinadvertentconflictsofinterestandensuretheproperrotationofexternalexaminers
ensureexternalexaminersareclearabouttheirduties
developcriteriaandproceduresfortheearlyterminationofthecontractbyeitherparty
provideexternalexaminerswithsufficientinformationabouttheroletheyarebeingaskedtoundertake
toenablethemtomakesounddecisionsaboutacceptingordeclininganappointment.

Wheremorethanoneexaminerisappointedtoaprogrammeorpartthereof,degree-awardingbodies
considerphasingexaminerappointmentstoenableandencouragethementoringofnewexaminers.
Whereoneexternalexaminerisappointedtoaprogrammeorpartthereof,supportshadowingor
handoverarrangementsareconsidered.

Terminationofcontract
Theimportanceoftheroleoftheexternalexaminerincontributingtoadegree-awardingbody's
managementofstandardsandqualitymeansthatanyfailuretofulfiltheroleisviewedseriouslybythe
degree-awardingbody.Actionistaken,includingearlyterminationofthecontract,inappropriatecases.

Inparticular,thefailuretoattendexaminationboards(whereattendanceisrequired)withoutmaking
alternativearrangements,thefailuretosubmitreports,ortheprovisionofincompletereportsmightbe
appropriategroundsforearlytermination.Insomeinstancesdegree-awardingbodiesoperatewith
one-yearrenewablecontractstofacilitatesuchaction.

Thepowertoterminatetheappointmentisnotrestrictedtoaparticulartimeperiod,suchastheendofthe
academicyear,butdegree-awardingbodiesensurethatdecisionsaremadeonsoundevidenceofnon
fulfilmentandmakesuchdecisionsinaccordancewithproceduressetoutintheirpoliciesand/or
regulations.Thesepoliciesmakeclearthelevelofauthority(suchasaseniormanagerorinstitutional
committee)atwhichsuchadecisionismade.

12
Aconflictofinterest(assetoutinIndicator5)mayariseduringatermoffice.Wherethiscannotbe
resolved,normalpracticewouldbefortheexternalexaminertoresign.However,asalastresorta
degree-awardingbodycouldterminatetheappointmenttoprotecttheindependenceofitsexternal
examiningarrangements,againfollowingtheappropriateprocedures.

Withregardtowhistle-blowing,neithertheraisingofwellfoundedconcernsaboutacademicstandards,
northesubmissionofaconfidentialreporttotheheadofthedegree-awardingbody(whetherornot
followedbythesubmissionofaconcerntoQAAorarelevantprofessionalbody),isavalidgroundfor
termination.

Indicator5

DegreeawardingbodiesapplythefollowingUK-widesetofcriteriaforappointing
externalexaminersandmakeeveryefforttoensurethattheirexternalexaminersare
competenttoundertaketheresponsibilitiesdefinedbytheinstitution.13

Degreeawardingbodiesusethecriteriatoensurethatpotentialconflictsofinterestare
identifiedandresolvedpriortoappointingexternalexaminersorassoonastheyarise.

Personspecification
a.Degree-awardingbodiesappointexternalexaminerswhocanshowappropriate
evidenceofthefollowing:

i)knowledgeandunderstandingofUKsectoragreedreferencepointsforthe
maintenanceofacademicstandardsandassuranceandenhancementofquality

ii)competenceandexperienceinthefieldscoveredbytheprogrammeofstudy,orparts
thereof

iii)relevantacademicand/orprofessionalqualificationstoatleastthelevelofthe
qualificationbeingexternallyexamined,and/orextensivepractitionerexperiencewhere
appropriate

iv)competenceandexperiencerelatingtodesigningandoperatingavarietyof
assessmenttasksappropriatetothesubjectandoperatingassessmentprocedures

v)sufficientstanding,credibilityandbreadthofexperiencewithinthedisciplinetobe
abletocommandtherespectofacademicpeersand,whereappropriate,professional
peers

vi)familiaritywiththestandardtobeexpectedofstudentstoachievetheawardthatis
tobeassessed

vii)fluencyinEnglish,andwhereprogrammesaredeliveredandassessedinlanguages
otherthanEnglish,fluencyintherelevantlanguage(s)(unlessothersecure
arrangementsareinplacetoensurethatexternalexaminersareprovidedwiththe
informationtomaketheirjudgements)

viii)meetingapplicablecriteriasetbyprofessional,statutoryorregulatorybodies

ix)awarenessofcurrentdevelopmentsinthedesignanddeliveryofrelevantcurricula

x)competenceandexperiencerelatingtotheenhancementofthestudentlearning
experience.

13
 Conflictsofinterest
b.Degree-awardingbodiesdonotappointasexternalexaminersanyoneinthefollowing
categoriesorcircumstances:

i)amemberofagoverningbodyorcommitteeoftheappointingbodyoroneofits
partners,deliveryorganisationsorsupportproviders,oracurrentemployeeofthe
appointingbodyoroneofitspartners,deliveryorganisationsorsupportproviders

ii)anyonewithacloseprofessional,contractualorpersonalrelationshipwithamember
ofstafforstudentinvolvedwiththeprogrammeofstudy

iii)anyonerequiredtoassesscolleagueswhoarerecruitedasstudentstothe
programmeofstudy

iv)anyonewhois,orknowstheywillbe,inapositiontoinfluencesignificantlythefuture
ofstudentsontheprogrammeofstudy

v)anyonesignificantlyinvolvedinrecentorcurrentsubstantivecollaborativeresearch
activitieswithamemberofstaffcloselyinvolvedinthedelivery,managementor
assessmentoftheprogramme(s)ormodulesinquestion

vi)formerstafforstudentsofthehighereducationproviderunlessaperiodoffive
yearshaselapsedandallstudentstaughtbyorwiththeexternalexaminerhave
completedtheirprogramme(s)

vii)areciprocalarrangementinvolvingcognateprogrammesatanotherhigher
educationprovider

viii)thesuccessionofanexternalexaminerbyacolleaguefromtheexaminer'shome
departmentandprovider

ix)theappointmentofmorethanoneexternalexaminerfromthesamedepartmentof
thesamehighereducationprovider.

Termsofoffice
c.Thedurationofanexternalexaminer'sappointmentwillnormallybeforfouryears,with
anexceptionalextensionofoneyeartoensurecontinuity.

d.Anexternalexaminermaybereappointedinexceptionalcircumstancesbutonlyaftera
periodoffiveyearsormorehaselapsedsincetheirlastappointment.

e.Externalexaminersnormallyholdnomorethantwoexternalexaminerappointments
fortaughtprogrammes/modulesatanypointintime.

Degree-awardingbodiesensurethatthecriteriainIndicator5aremetfortheirawardsthroughoneora
combinationofexternalexaminers.Thisensurestheintegrityofexternalexaminingwhilefacilitatingthe
appointmentoffirst-timeexternalexaminersandthosedrawnfromindustry,theprofessions,orwitha
backgroundprimarilyinresearch.

Nationalcriteriaforappointment
Thenationalcriteriaforappointmentaredesignedtoensurethatexternalexaminers,eitherasindividuals
orasteams,havethequalifications,experienceandexpertisetheyneedtofulfiltherolesandfunctionsfor
whichadegree-awardingbodyemploysthem.Degree-awardingbodiesapplythecriteria,takingaccount
oftheimplicationsofanyspecificroletheappointeeisbeingaskedtoundertake,forexampleatmodule,
programme/awardorotherlevel.Whereadegree-awardingbodyappliesadditionalcriteria,ittakesinto
accounttheneedtoensurethatthepoolofexternalexaminersisnotrestricted,andinparticularthatitis

14
possibleforsuitablepeopletoundertaketheirfirstpostasanexternalexaminerandsogainexperiencein
thatrole.

Thecriteriaforappointmentalsosupportdegree-awardingbodiesinidentifying,priortonominationand
appointment,whethertherearepotentialconflictsofinterestthatwouldneedtoberesolvedbythe
degree-awardingbody.Particularattentionispaidtonomineeswhohavebeeninvolvedinthe
developmentoftheprogrammeoritscomponentparts,forexampleasanexternalconsultant,orwhohave
actedasamemberofthevalidationpanel(orequivalent)whichapprovedtheprogramme.
Degree-awardingbodiesbalancethebenefitsofengagingsomeonewhoisfamiliarwiththeprogramme
anditsrationalewithanyrisktotheirabilitytoprovideafullyindependentperspective.

Degree-awardingbodiestypicallyengageexternalexaminersforfouryears,achievingabalancebetween
theneedtobringinafreshperspectivewiththeneedtobenefitfromtheexternal'sknowledgeandinsight
gatheredoveraperiodoftime.Anexceptionalextensionofoneyearallowsdegree-awardingbodiesto
achievecontinuity,forexamplewhereaprogrammeisbeingbroughttoanend.

Applicationtoprofessional,statutoryorregulatorybodyrequirements
Wheretheappointmentoftheexternalexaminer(s)isbyaprofessional,statutoryorregulatorybody,
ratherthanbythedegree-awardingbodyinquestion,theextenttowhichthesecriteriaapplyisamatter
fortherelevantprofessional,statutoryorregulatorybody.

Exceptionsandspecialcases
Thepurposeofnationalcriteriaistoenhancethetransparencyandconsistencyofinstitutionalpracticein
appointingcompetentstaffasexternalexaminerswhoarefreefrompotentialconflictsofinterestand
thereforesufficientlyindependenttofulfiltherole.Degree-awardingbodiesensurethatwherethereisa
legitimatecaseformakinganappointmentthatdoesnotfulfilallthecriteria,thereisarigorousand
transparentprocessformakingtheappointment,withapprovalatseniorinstitutionallevelandreportingto
anappropriatebody(suchasasenioracademiccommittee).Thisensuresthatthedegree-awardingbody
haseffectiveoversightofsuchdecisionsandcanmonitortrendsacrossallareasofitsprovision.

Externalexaminersdrawnfrombusiness,industryortheprofessionsmakeasignificantcontributionto
externalexaminingacrossarangeofdisciplines.Nomineesfromthesebackgroundsmaybeunabletofulfil
allthecriteriasetoutinIndicator5.Forexample,theymaypossessesconsiderableprofessional
experiencebutnottheformalqualificationsanticipated,theacademicbackground,orsufficientexperience
ofassessment.Likewise,adegree-awardingbodymaywishtoappointanexternalexaminerwhohas,asa
researcher,eminentstandingintherespectivediscipline,butlacksexperienceinprovidingandenhancing
thestudentlearningexperience.Degree-awardingbodiesconsidersuchcasesformallyasexceptionsto
thecriteria.Thisconsiderationmaybeassistedwheretheappointeeisnotthesoleexternalexaminerfor
theaward,hencehisorherexpertiseiscomplementedbythatofotherswhodosatisfythecriteria.
Whereanappointeedoesnotfulfilallthecriteriadegree-awardingbodiestakestepstoprovide
appropriatetrainingandsupportinrelationtoacademicexpectations.

Degree-awardingbodiesalsomakeappropriateuseofexceptionswhenaddressingnominationsfor
externalexaminersindisciplineswhichareverysmallandspecialistandwherethepoolofpotential
externalexaminersisthereforerestricted.

Appointmentoffirst-timeexternalexaminers
Wherethenomineehasnopreviousexperienceasanexternalexaminerforanydegree-awardingbody,
appointmentis-whereverpracticable-madetoateamofexternalexaminersand/orwithagreementthata
moreexperiencedexternalexaminerwillactasamentor.Therewillbeoccasionswhensuchan
arrangementisnotpracticable.Forexample,thesizeandnatureoftheprovisionmaymakeit
impracticabletohavemorethanoneexternalexaminer.

Thusthereisariskoflimitingtheopportunityforstafftobecomeexternalexaminers,notablyinspecialist
areas.Thiscanbemitigatedbysupportinganappointmentthroughdevelopmentormentoringbyan
experiencedexternalexaminerinadifferentfield.

15
Degree-awardingbodiesconsiderwhetherfirst-timeexternalexaminershaveadditionalinformationand
developmentneedswhencomparedwithexperiencedexaminers.

Indicator6

Degree-awardingbodiesensurethatallexternalexaminerstheyappointareinformed
aboutorganisationalprocedures,practices,andacademicregulations,andthecrucial
valueofexternalexaminers'feedbacktothedegree-awardingbodyaspartofthe
broadersystemofqualityassuranceandenhancement.

Informationforexternalexaminers
Degree-awardingbodiesinductexternalexaminers,providingopportunitiesforexternalexaminersto
familiarisethemselveswiththeorganisationanditsassessmentprocedures.Arrangementsforinduction
reflectsuchfactorsasthesizeoftheorganisations(forexample,smallorganisationsmayonlybe
appointingoneortwonewexternalexaminerseachyearandthereforelessformalarrangementsmaybe
moreeffective).Thecontentandthemeansfordeliveryofsuchaninductionisfortheappointingbodyto
decide,andtakesintoconsiderationthespecificneedsoftheexternalexaminerinquestion,especially
his/herlevelofexperienceasanexternalexaminer.

Asaminimum,degree-awardingbodies,workingwiththeirpartners,deliveryorganizationsorsupport
providers(whereapplicable),providetheirexternalexaminerswithinformationabout,andaccessto:

relevantinstitutionalandprogrammeregulations
thedegree-awardingbody'sexternalexaminingandassessmentguidelines
informationsuchasstudentandprogrammehandbooks,andmarkingandclassificationcriteria
learning,teachingandassessmentstrategies.

Informationisalsoprovidedaboutrelevantprofessionalissues,suchasfitnesstopractise,andany
featuresthatrelatetothespecificdiscipline.

Degree-awardingbodiesmayreferexternalexaminerstoguidanceandadvicethathasbeendeveloped
bysectorbodiesandsubjectcommunities.

Externalexaminers'professionaldevelopment
Partofbeinganexternalexaminerisfosteringone'sowndevelopmentintherole,takingadvantageofthe
rangeofsupportmechanismsavailable,locallyandnationally.

Preparationfortheroleofexternalexaminerispartofprofessionalacademicpracticeandmaybe
reflectedindevelopmentopportunitiesprovidedbyhighereducationprovidersfortheirownstaff
(seealsoIndicator11).Homeprovidersmay,forinstance,considerdevelopingtheirstaffsothatthey
betterunderstandtheroleofexternalexaminersinrelationtotheirownprovision.Supportprovidedbythe
recruitingdegreeawardingbodywillincluderegularupdatesonassessmentpolicyandprocedures,
drawingwhereappropriateuponnationalsupportmechanismsfortheexternalexaminingprocess.

Aclearunderstandingbyexternalexaminersofthewaysinwhichtheirworkcontributestothe
degree-awardingbody'squalityassuranceprocesseswillhelpthemtofulfiltheirroleeffectively.

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C a r r y i n g o u t t h e r o l e o f e x t e r n a l e x a m i n e r

Carryingouttheroleofexternalexaminer
Degree-awardingbodiesensurethatexternalexaminersareclearlybriefedtocarryouttherole.
Briefingincludes:confirmingthemodule(s),programme(s)oraward(s)towhichtheexternalexamineris
appointedtheevidencethathe/sherequirestoprovideoversightclarityabouthis/herpreciserolein
respectofscriptssent(forexample,samplingoradjudicatingincasesofdisagreement)his/herremitin
relationtoendorsingtheoutcomesoftheassessmentprocessandthetypeofcommentarythathe/sheis
expectedtoprovideontheoutcomesoftheassessmentsconductedwithinthoseprogrammes/modules.

Indicator7

Degree-awardingbodiescommunicateclearlyinwritingtoallconcernedthe:

modules,programmesand/orqualifications(s)towhicheachexternalexamineris
appointed
variousroles,powersandresponsibilitiesassignedtotheirexternalexaminers,
includingtheextentoftheirauthorityinexaminationboards.

Degree-awardingbodiesensurethatthoseappointedasexternalexaminers,andtheirownstaff,areclear
aboutwhichawards(and/orpartsofawardsorprogrammes)willbescrutinisedbywhichexternal
examiner.Aletterofappointmentprovidesaneffectivewayofcommunicatingthisinformationtoan
externalexaminer.(InformationforstudentsisaddressedinIndicator8.)

Factorsthathaveabearingonthenumberofexternalexaminersappointedinclude:

thecapacityofexistingexternalexaminerstomakecompetentjudgementsrelatingtoallagreedexternal
referencepoints(includingtherequirementsofPSRBs)
theneedforanappropriatematchbetweenthenumberofexternalexaminersandthequantityand
complexityofassessedmaterialbeingexamined
whethermorethanoneexaminerisneededforaprogrammeinasubjectwithanumberofspecialisms
howexaminerswillbedeployedtoassesstheoverallstandardsandcoherenceofcombinedstudiesand
interdisciplinaryorinter-professionalprogrammes(includingwheremodulesaresharedacrossmore
thanoneprogramme)
howexternalexaminerswillbedeployedwhereprovisionincludeswork-basedlearning,practice-based
learningorliveassessments(suchasperformances).

Membershipofexaminationboards
Fundamentaltocarryingouttheroleofexternalexamineristhemembershipoftherelevantexamination
board(s),whetheratmodule,programme,awardorotherlevel.Allinvolvedneedtobeclearwhatthe
externalexaminersroleisinrelationtotheboard,andwhatthedegree-awardingbodysexpectationsare
forattendanceatmeetings(includingreassessmentboardswhereapplicable).Seealso
ChapterB6:AssessmentofStudentsandtheRecognitionofPriorLearning.

Samplingassessedwork
Externalexaminersarenotnormallyresponsiblefor,orinvolvedin,theassessmentofindividualstudents
totheextentthattheydonotcarryoutmarkingofassessedwork.However,tofulfiltheirroleexternal
examinersviewstudentwork,whichrangesfromreadingessaysorexaminationscriptstoviewing
performances(liveorrecorded)orartefacts.Thevolumeofassessmentgenerallymeansthatanexternal
examinerisunlikelytobeabletoviewalltheassessedworkunlessthecohortissmall.Samplesareof
sufficientsizetoenablehim/hertoformaviewastowhethertheinternalmarkinghasproperlyassessed
studentperformanceagainsttheappropriatestandards.

17
Inviewingsamplesofstudents'assessedwork,externalexaminersarenotnormallyinapositiontoexpect
orencourageanexaminationboardtoraiseorlowermarksforindividualstudents,onthebasisthatsuch
apracticewouldbeunfairtothosecandidateswhoseworkisnotpartofthesample.Wheretheexternal
examinerhasconcernsabouttheinternalmarking,departmentalordegree-awardingbodyprocedures
makeexplicitwhatactionwillbetakenimmediatelytoaddresstheconcern.Thismayincludeprovidingthe
externalwithaccesstoalargersampleorwiderrangeofassessedwork.Thedegree-awardingbody
wouldinformtheexternalexaminerifitdecidesnottotakeanyactionandistherebyrejectinghis/herview.

Degree-awardingbodiesdistinguishbetweenconcernsexpressedbytheexternalexaminerthatneedto
beaddressedbeforethefinaldecisionsrelatingtothecurrentassessmentprocess,andthosethatmight
beappropriatelyaddressedonreceiptoftheexternalexaminer'sreport.

Examinationboardresponsibilities
Asmembersoftherelevantexaminationboard(s)externalexaminersarerarelyconsideredtobethefinal
arbiterfortheawardofmarks/grades,eitherwithinamoduleorforthefinalaward.Suchdecisionsarethe
responsibilityoftherelevantexaminationboardcollectively.Degree-awardingbodyregulationsor
proceduresmaketransparenthowdecisionswillbereachedindifficultcases,especiallythosewhere
candidates'performancesaredeemedborderline.Exceptionallytheremaybecaseswhereinternal
examinerswishtoseektheopinionoftheexternalexaminerinanindividualcase.Insuchcircumstances
thefinaldecisionwouldstillbemadebytheexaminationboard,withtheviewsoftherespectiveexaminers
madeknowntotheboard.

Indicator8

Highereducationprovidersincludethename,positionandinstitutionoftheirexternal
examinersinmoduleorprogrammeinformationprovidedtostudents.

Toensurethatdegree-awardingbodiesexternalexaminingarrangementsaretransparent,andtosupport
theinvolvementofstudentsinqualitymanagementprocesses,studentsaremadeawareoftheidentity
andcurrentpositionoftheexternalexaminersappointedtotheirmodules/programmesandawards.
Degree-awardingbodiesdecidehowthisisbestachievedwithoutunnecessaryworkloadoroverloading
studentswithinformation.

Wheretheexternalexaminerhasbeenappointedtofulfilaroleonbehalfofaprofessionalbodythisis
stated.

Highereducationprovidersmakecleartostudentsthatitisinappropriateforstudentstomakedirect
contactwithexternalexaminers,inparticularregardingtheirindividualperformanceinassessments,and
thatotherappropriatemechanismsareavailable,suchasanappealoracomplaint.Degree-awarding
bodiesexplaintostudentshowtheycanengageformallywiththequalitymanagementprocessthrough
whichdegree-awardingbodiesconsiderandrespondtoexternalexaminers.(SeealsoIndicators15
and16.)

Degree-awardingbodiesadvisetheirexternalexaminersthatitisappropriatetoreferanydirectcontact
receivedfromstudentstotheinstitution.

Equally,studentswhoareaskedtomeetwithanexternalexamineraregivenclearguidancebythe
degree-awardingbodyaboutthepurposeofthatmeetinganditslimitations(particularlywithregardto
individualassessmentoutcomes).

18
 Indicator9

Priortotheconfirmationofmarklists,passlistsorsimilardocuments,degree-awarding
bodiesexpectexternalexaminerstoendorsetheoutcomesoftheassessment
processestheyhavebeenappointedtoscrutinise.

Asindicatedabove,decisionsaboutassessmentoutcomesarethecollectivedecisionsofexamination
boardstowhichexternalexaminerscontributeasboardmembers.

Akeywayinwhichtheexternalexaminerprovidesanexpertviewoftherigourandfairnessofthe
assessmentprocessisbyendorsing,ornot,thedecisionsofthevboard.Suchendorsementindicatesnot
thattheexternalexamineragreeswitheveryindividualassessmentdecision,butthathe/sheissatisfied
withtheconductoftheassessmentprocess(asindicatedinIndicator2).

Institutionshaveclearproceduresforhowexternalexaminersrecordtheirendorsement,andcommunicate
thesetotheirexternalexaminers.Forexample,theexternalexaminermightsignthecompletedmarklist
during/attheendoftheexaminationboardmeeting.

Degree-awardingbodiesmakecleartoexternalexaminerswhethersuchresultsarefinaloraresubjectto
furtherendorsementbyahigherbody(suchasaninstitutional-levelcommittee).

Proceduresalsomakeclearwhathappensintheeventthatanexternalexaminerisunwillingtoprovide
endorsement,includingwhetherwrittenreasonsaretoberecordedoraseparatereportistobemadeto
thedegree-awardingbodyoritsseniorcommittee.Aparticularreasonforthisistoensurethatthe
consequencesareunderstoodforstudentswhosemarksarebeingconsidered.Studentsareinformedif
thereistobeanydelayinfinalisingandcommunicatingtheirresults.

Indicator10

Degree-awardingbodiesprovideexternalexaminerswithsufficientevidencetoenable
themtodischargetheirresponsibilities.

Inorderforexternalexaminerstofulfiltheirroleinrelationtoacademicstandards,degree-awarding
bodiesdeterminewiththeirexternalexaminerswhatevidencewillbeavailable,includinghowandwhenit
willbeavailable.Thisincludesthenatureandsizeofthesamplesofassessedwork,ensuringthatthey
addresstherangeofassessmentsused,includingthoserelatingtoplacements.

Tofulfiltheirroleinarigorousmanner,externalexaminersareinformedof:

whethertheyareentitledtomeetstudentsonprogrammesorpartsofprogrammestheyareexamining,
andifsothepurposeofanysuchmeeting
whatevidencetheyneedinordertojudgethequalityandappropriatenessofassessmentandtoassure
themselvesthatassessmentsaretestingtheintendedlearningoutcomes
howtheywillbegivenadequateopportunitytocommunicatewithinternalexaminersandothersinvolved
inteachingandassessment(suchasplacementproviders/assessors).

Externalexaminershavetheopportunitytoconfirmthattheyhavebeenprovidedwithsufficientevidence
tocarryouttheirroleintheannualreport(seeIndicator13).

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R e c o g n i t i o n o f t h e w o r k o f e x t e r n a l e x a m i n e r s

Recognitionoftheworkofexternalexaminers

Indicator11

Highereducationprovidersrecognisetheimportance,andmutualbenefit,ofthework
undertakenbymanyoftheirstaffasexternalexaminersforotherprovidersandagree
withstaffthetimetheyneedtofulfiltheseduties.

Externalexaminingdepends,nationally,ontheavailabilityofstafftotakeonandfulfiltherole.Inorderto
ensurethatthereisacontinuousandsufficientlylargesupplyofexternalexaminersavailable,higher
educationprovidersneedtosupportstaffwhowishtobecomeexternalexaminers.Primarily,thismeans
ensuringthattheyaregivenadequatetimetocarryouttherole,andareenabledtomanageandbalance
thetimingandcommitmentsofexternalexaminingwithcoincidinginternalduties.Wheredegree-awarding
bodiesappointexternalexaminersfromoutsidehighereducation,theymayneedtoconsiderengaging
withemployersregardingthenatureandextentofthecommitmentrequiredtofulfiltherole.

Itisforindividualhighereducationproviderstodecidehowtheyrecogniseexternalexaminingworkby
staff,forexamplethroughreward,recognitionorpromotioncriteriaorothermeans.

Highereducationprovidersmayprovidedevelopmentopportunitiesinexternalexaminingfornewand
experiencedstaffalike.Insodoing,highereducationprovidersrecognisetheaspirationsofmembersof
stafftoworkasexternalexaminersaspartoftheirprofessionalacademicpracticeatanappropriatestage
oftheircareer.

Itisforeachappointingdegree-awardingbodytodecide,andarticulateinpoliciesand/orregulations,
theleveloffeesandexpensespaidtoitsexternalexaminers.

Highereducationprovidersbenefitfrombeinginapositiontohaveanoverviewofstaffwhoareactive
externalexaminers(inparticulartoensurethatreciprocalarrangementsarenotputinplacesee
Indicator5).Staffwhoarelikelytotakeonworkasexternalexaminerstellappropriatecontactswithintheir
homeorganisation,whointurnensurethatthisadditionalcommitmentisrecognised.Likewise,external
examinerslettheirhomeorganisationknowifexternalexaminingarrangementscometoanendor
undergochangesduringthetermofappointment.Suchcommunicationisnotintendedtoallowthehome
organisationtobeinanywayinvolvedintheappointmentproceduresoftherecruitingdegree-awarding
bodyortogivethehomeorganisationanykindofoversightovertheexternalexaminer'swork.Rather,it
raisestheprofileoftheroleanditscommitments,andenableshighereducationproviderstofacilitatestaff
development,forexamplestaff-to-staffcoaching.

Externalexaminingisvaluable,notonlyfortheinstitutionwhichcontractstheexternalexaminer,butalso
fortheexaminer'shomeorganisation.Inrelationtomaintainingstandardsandpromotingquality
enhancement,boththecontractingandthehomeorganisationsbenefitfromtheexperienceofstaffwho
gaininsightsintopracticeacrossthesectoranddevelopexpertiseinevaluatingpracticethroughtheir
workasexternalexaminers.

Highereducationprovidersfacilitatetheconsistentdisseminationofexperiencegainedfromexternal
examiningactivitiesacrosstheproviderasappropriate.

E x t e r n a l e x a m i n e r s ' r e p o r t s

Externalexaminers'reports
Formalwrittenreportsprovidedbytheexternalexaminertothedegree-awardingbodyareacritical
elementofrobustprocessesformaintainingthresholdacademicstandardsandassuringandenhancing
quality.AssuchtheyformalisethegivingoffeedbackinrespectoftheareassetoutinIndicators2and3.

20
 Indicator12

Externalexaminerssubmitareportannually,atatimedeterminedbythedegree-
awardingbody,totheheadofthedegree-awardingbodyortooneormorenamed
individualsthathe/shedesignates.

Thetimingofthereportisamatterforthedegree-awardingbodytodetermine.Itreflectsthenatureofthe
provision,thedurationofteachingandassessmentperiods,andtheirtiminginthecalendar/academic
year.Toensuretransparencyandclarity,andtomanageexternalexaminers'expectationsabouttheir
commitment,timingisdeterminedatorganisationallevelratherthanbeingamatterforindividual
negotiation.

Theneedforannualreportingismodifiedinrespectofmodulesorprogrammeswhichdonotoperateon
anannualbasis.

Thesubmissionofareporttoanamedpersonatorganisationallevelreinforcestheimportanceof
organisationaloversightofthewayexternalexaminingisconductedwithinthedegree-awardingbody.
ThisisreflectedinIndicators15and16regardingtheconsiderationofreports,andIndicator4relatingto
actionintheeventthatanexternalexaminerdoesnotfulfilhis/herobligations.

Degree-awardingbodiesensurethatexternalexaminersareclearabouthowtheyshouldsubmittheir
report(forexample,electronicallyorinhardcopy).

Degree-awardingbodieshaveoversightofPSRBs'informationrequirementsinrelationtoexternal
examiners'reportsandwillmaketheseavailabletothebodiesconcerned,togetherwithanyactionplanor
responsefromtheprogrammesconcerned.

Corecontentofreports
Whetherdegree-awardingbodiesusestandardreportformsorprovideexternalexaminerswithguidance
concerningtheexpectedcontentsofthereports,degree-awardingbodiesandexternalexaminersensure
thatthecorecontentisaddressedineachreport.Thisensuresconsistencywiththerolesidentifiedin
Indicators2and3.Externalexaminersaremadefullyawarethatindividualstaffandstudentsmustnot
beidentified.

Indicator13

Externalexaminers'annualreportsprovideclearandinformativefeedbacktothe
degree-awardingbodyonthoseareasdefinedfortheroleinIndicators2and3(thecore
content).

Inaddition,theirreports:

confirmthatsufficientevidencewasreceivedtoenabletheroletobefulfilled(where
evidencewasinsufficient,theygivedetails)
statewhetherissuesraisedinthepreviousreport(s)havebeen,orarebeing,
addressedtotheirsatisfaction
addressanyissuesasspecificallyrequiredbyanyrelevantprofessionalbodygivean
overviewoftheirtermofoffice(whenconcluded).

AspartofensuringtheconsistencyofexternalexaminingacrossUKdegree-awardingbodies,Indicator13
makesexplicitwhatisaddressedinexternalexaminer'sreports.ThereisnoUK-widetemplate
degree-awardingbodiesdeterminetheformatanddesignoftheirreportform(orguidanceifnoformas

21
suchisused)andincludetheirownquestionstosuitinstitutionalneeds,providedthecorecontentis
addressed.

Thereportformorguidancecoversthecorecontentinsuchawayastoelicit,whererequired,informative
responses,includingsupportingevidence,fromtheexternalexaminer(ratherthanyes/noanswers),
forexamplebyusingopenquestions.Thisapproachenablesdegree-awardingbodiestogainthefull
benefitofexternalexamininginmanagingstandardsandqualityeffectively.

ThecorecontentisexplicitlyalignedtotheroledefinitioninIndicators2and3,andincludescoverageof
provisiondeliveredthroughpartnersordeliveryorganisationswhereapplicable.

Byconfirmingthatsufficientevidencehasbeenprovided,theexternalexaminerassurestheinstitutionthat
he/shehasreceivedtherequiredsupporttofulfiltherole,includingadequatetimetoconsidersamplesof
workandcontributetoexaminationboards.Thenationalreviewsuggestedthatthiscouldbedone
effectivelybymeansofasimplechecklistappendedtoareportproformathatcanquicklybecompleted
bytheexternalexaminerwhenfinalisingthereport.14

Itisalsoimportantthattheexternalexaminerconfirmswhetherpreviousissueshavebeenaddressed,or
arebeingaddressedincaseswherethemattermighttakelongertoresolve.Insodoing,he/sheprovides
furtherevidencetothedegree-awardingbodythatitsproceduresforexternalexaminingarebeing
implementedeffectively.

Providinganoverviewofthetermofofficeisofvaluebothtothedegree-awardingbodyandtothe
incomingexternalexaminer(s).

Degree-awardingbodiesremindexternalexaminersthatreportswillbemadeavailabletostudents
(seeIndicator14)andforthatreasonindividualstaffandstudentsmustnotbenamedinareport.

Whereprofessionalbodiesrequirecertainissuestobeaddressed,itisimportantthatthestandard
proforma(orguidancetotheexternalexaminer)doesnotconstrainexternalexaminersfromprovidingthe
relevantinformation.Requirementsvaryfrombodytobodyanddisciplinetodiscipline,andsome
informationthatisnotofimmediatevaluetothedegree-awardingbodyasawholewillbevaluableat
subjectlevelandtotheprofessionalbody(especiallyinrelationtoassessmentofclinicalor
practiceplacements).

Indicator14

Highereducationprovidersmakeexternalexaminers'annualreportsavailableinfullto
students,withthesoleexceptionofanyconfidentialreportmadedirectly,andseparately,
totheheadofthedegree-awardingbody.

Reportsaremadeavailabletostudents,reflectingthegeneralprinciplesofengagingstudentsinquality
managementprocesses.Thereisnoexpectationthatexternalexaminers'reportsbepublished,andhigher
educationprovidersthereforedecidethemostappropriatewaytomaketheirreportsavailable.

Reportsareamendedwheretheexternalexaminerhascontravenedtherequirementnottoidentify
individuals,orinveryexceptionalcaseswheretheexternalexaminerhasincludedsomethingintendedto
causeharmtothehighereducationproviderortobringitintodisrepute.

Highereducationproviders,workingwithstudentrepresentativebodies,agreeapolicyonwhatsupport
andguidanceisprovidedtostudentstoenablethemtobenefitfromreadingthereports,inparticular
linkingthereportstothedegree-awardingbodysconsiderationofwhatactionstotakeinresponsetothe
reports(seeIndicator15).Althoughreportsaremadeavailable,theyrelatetoqualitymanagementwithin
thedegree-awardingbodyandareseeninthiscontextratherthanasinformationprovidedexplicitly
forstudents.

22
 Indicator15

Atbothorganisationalandsubject/programmelevel,degree-awardingbodiesgivefull
andseriousconsiderationtothecommentsandrecommendationscontainedinexternal
examiners'reports.Theactionstakenasaresultofreports,orthereasonsfornottaking
action,areformallyrecordedandcirculatedtothoseconcerned.

Degree-awardingbodiesensurethatstudentrepresentativesaregiventheopportunity
tobefullyinvolvedinthisprocess,enablingthemtounderstandalltheissuesraisedand
thedegree-awardingbody'sresponse.

Atorganisationallevelthegeneralissuesandthemesarisingfromthereportsare
reviewed.

Toderivemaximumbenefitfromtheworkoftheirexternalexaminers,degree-awardingbodieshavein
placeeffectivewaysof:

consideringthereportsand,whereappropriate,takingactionassoonaspossible
ascertainingthatsubject/programme-levelstaffhavetakenaccountofthereportsforexample,by
recordingtheresponsesfromthesubjectareasconcernedandspecifyinghowexternalexaminerswill
beinformedofactionstaken
ensuringthatthoseresponsibleforaparticularassessmentaremadeawareoftherelevantexternal
examiner'sreportandaremonitoringanychangesthatoccurasaresult
decidinghowrecommendationswhichrelatetoorganisational-levelpoliciesandpracticeswillbedealt
withandwhowillrespondtotheexternalexaminerontheseissues.

Atseniormanagementlevel,itisestablishedpracticefordegree-awardingbodiestoprovideasummaryof
externalexaminers'responsesannually.Thisenablesthemtodrawoutanythemesorrecurring
recommendations,andensurethatthesearefullyaddressedatappropriatelevels.Afirststepinthis
processmaybetoproduceanoverviewreportforconsiderationbytherelevantqualityassurance
committee(s).Decisionscanthenbemadeaboutconsequentactionstoenhanceprovision.

Incaseswheretherequirementsofexternalprofessionalbodiesareinvolved,theremaybeaneedto
informthosebodiesofactiontakeninresponsetoanexternalexaminer'sreport.

Indicator16

Degree-awardingbodiesprovideexternalexaminerswithaconsideredandtimely
responsetotheircommentsandrecommendations,outlininganyactionstheywillbe
takingasaresultorthereasonsfornottakingaction.

Externalexaminersneedtohaveconfidencethatthedegree-awardingbodiestheyareassistingaregiving
properconsiderationtothecommentsandrecommendationstheyhavemade.Thisdoesnotmeanthat
degree-awardingbodieshavetoagreewithoracceptthemall.

Theformalresponsefromadegree-awardingbodytotheexternalexaminerisanimportantpartofthe
feedbackprocess.Responsestoexternalexaminersfromdegree-awardingbodiesincludeconsidered
feedbackontheircommentsandrecommendations,togetherwithdetailsofanyactionstakenasaresult,
orthereasonsfornottakingaction.Thedegree-awardingbodyhasfinalresponsibilityforthestandards
ofitsawardsandthequalityofitsprovision(irrespectiveofanyarrangementwithapartnerordelivery
organisation).Thereforethedegree-awardingbodyhastherighttorejecttheviewoftheexternal
examiner.However,suchrejectionmustproceedonlyfromcarefulconsiderationoftheissuesraisedand
(intheeventofsignificantissues)wouldnormallybemadeinconsultationwithseniorstaffora
senior-levelcommitteeofthedegree-awardingbody.

23
Seriousconcerns
Inexceptionalcases,externalexaminersmayhaveseriousconcernsabouttheacademicstandardsor
qualityofprovisionatthedegree-awardingbodiesonwhichtheyarereporting.Theremustbean
opportunityforsuchconcernstoberaiseddirectlywiththeheadofthedegree-awardingbody.Asalast
resort,andwheretheconcernissystemicandnotaone-offcaseofineffectivepractice,themattercanbe
raisedexternally.Thisisdonethroughanindependentmechanismfortheconsiderationofconcerns
(seeIndicator18).

Indicator17

Degree-awardingbodiesinformexternalexaminers,inwritingatthebeginningoftheir
termofoffice,thattheyhavearighttoraiseanymatterofseriousconcernwiththehead
ofthedegree-awardingbody,ifnecessarybymeansofaseparateconfidentialwritten
report.

Degree-awardingbodiesprovideaconsideredandtimelyresponsetoanyconfidential
reportreceived,outlininganyactionstheywillbetakingasaresult.

Externalexaminershavetherighttomakeaconfidentialreport,inwriting,totheheadofthe
degree-awardingbody-forexample,whereitisnecessarytonameamemberofstaff.Suchareport
wouldbemadeaswellasthenormalannualreport,thelattercontainingmattersnotdeemedconfidential.

Degree-awardingbodiesdeterminethemostappropriatewayofinformingexternalexaminersofthisright,
normallyusingtheletterofappointmentand/orinductioninformation.

Staffand/orstudentrepresentativesareinformedoftheimplicationsofanyconfidentialreport,orofthe
actionarisingfromsuchareport,wherethesehaveimplicationsforthem.

Indicator18

Whereanexternalexaminerhasaseriousconcernrelatingtosystemicfailingswiththe
academicstandardsofaprogrammeorprogrammesandhasexhaustedallpublished
applicableinternalprocedures,includingthesubmissionofaconfidentialreporttothe
headofthedegree-awardingbody,he/shemayinvokeQAA'sconcernsschemeorinform
therelevantprofessional,statutoryorregulatorybody.

Forinformationabouthowtheconcernsschemeappliestoexternalexamining,referenceshouldbemade
toQAA'sconcernsscheme:guidanceforexternalexaminers.15

Recoursetotheschemewillonlytakeplaceincaseswhereinternalmechanismsforfollowingup
concernshavebeenexhausted.Thescheme'sfocusisexplicitlyonsystemicfailingsinahighereducation
provider'smanagementofstandardsorquality.Therefore,theschememustnotbeusedforone-offcases
ofineffectivepractice,ortoraiseapersonalgrievanceorissuesrelatingtoanexternalexaminer's
appointment.

Degree-awardingbodiesensurethattheirproceduresaretransparentsothatthereisnodoubtbetween
themselvesandtheirexternalexaminerswhetherinternalprocedureshavebeenexhausted.

Theremaybeoccasionswhereaconcernisproperlyamatterfortheapplicableprofessionalbodyrather
thanforQAA.

24
A p p e n d i x 1 - T h e E x p e c t a t i o n a n d I n d i c a t o r s

Appendix1-TheExpectationandIndicators
ExternalExamining
TheExpectation
TheQualityCodesetsoutthefollowingExpectationaboutexternalexamining,whichhighereducation
institutionsarerequiredtomeet.

Highereducationprovidersmakescrupuloususeofexternalexaminers.

TheIndicators
Indicator1

Degree-awardingbodiesappointoneormoreexternalexaminer(s)tocarryouttherole(s)definedinthis
Chapterforallprovisionthatleadstoahighereducationqualificationofthedegree-awardingbody.

Indicator2

Degree-awardingbodiesexpecttheirexternalexaminerstoprovideinformativecommentand
recommendationsuponwhetherornot:

thedegree-awardingbodyismaintainingthethresholdacademicstandardssetforitsawardsin
accordancewiththeframeworksforhighereducationqualificationsandapplicableSubjectBenchmark
Statements3
theassessmentprocessmeasuresstudentachievementrigorouslyandfairlyagainsttheintended
outcomesoftheprogramme(s)andisconductedinlinewiththedegreeawardingbodyspoliciesand
regulations
theacademicstandardsandtheachievementsofstudentsarecomparablewiththoseinotherUK
degree-awardingbodiesofwhichtheexternalexaminershaveexperience.

Indicator3

Degree-awardingbodiesexpecttheirexternalexaminerstoprovideinformativecommentand
recommendationson:

goodpracticeandinnovationrelatingtolearning,teachingandassessmentobservedbytheexternal
examiners
opportunitiestoenhancethequalityofthelearningopportunities5providedtostudents.

Indicator4

Degree-awardingbodieshaveexplicitpoliciesandregulationsgoverningthenominationandappointment
ofexternalexaminers.

Degree-awardingbodiescanterminateanexternalexaminer'sappointmentatanytime,subjectto
approvedinstitutionalprocedures,forfailurebytheexternalexaminertofulfilhis/herobligationsorifa
conflictofinterestariseswhichcannotbesatisfactorilyresolved.

Indicator5

DegreeawardingbodiesapplythefollowingUK-widesetofcriteriaforappointingexternalexaminersand
makeeveryefforttoensurethattheirexternalexaminersarecompetenttoundertaketheresponsibilities
definedbytheinstitution.6

25
Degreeawardingbodiesusethecriteriatoensurethatpotentialconflictsofinterestareidentifiedand
resolvedpriortoappointingexternalexaminersorassoonastheyarise.

Personspecification
a.Degree-awardingbodiesappointexternalexaminerswhocanshowappropriateevidenceofthe
following:

i. knowledgeandunderstandingofUKsectoragreedreferencepointsforthemaintenanceof
academicstandardsandassuranceandenhancementofquality
ii. competenceandexperienceinthefieldscoveredbytheprogrammeofstudy,orpartsthereof
iii. relevantacademicand/orprofessionalqualificationstoatleastthelevelofthequalificationbeing
externallyexamined,and/orextensivepractitionerexperiencewhereappropriate
iv. competenceandexperiencerelatingtodesigningandoperatingavarietyofassessmenttasks
appropriatetothesubjectandoperatingassessmentprocedures
v. sufficientstanding,credibilityandbreadthofexperiencewithinthedisciplinetobeabletocommand
therespectofacademicpeersand,whereappropriate,professionalpeers
vi. familiaritywiththestandardtobeexpectedofstudentstoachievetheawardthatistobeassessed
vii. fluencyinEnglish,andwhereprogrammesaredeliveredandassessedinlanguagesotherthan
English,fluencyintherelevantlanguage(s)(unlessothersecurearrangementsareinplaceto
ensurethatexternalexaminersareprovidedwiththeinformationtomaketheirjudgements)
viii. meetingapplicablecriteriasetbyprofessional,statutoryorregulatorybodies
ix. awarenessofcurrentdevelopmentsinthedesignanddeliveryofrelevantcurricula
x. competenceandexperiencerelatingtotheenhancementofthestudentlearningexperience.

Conflictsofinterest
b.Degree-awardingbodiesdonotappointasexternalexaminersanyoneinthefollowingcategoriesor
circumstances:

i. amemberofagoverningbodyorcommitteeoftheappointingbodyoroneofitspartners,delivery
organisationsorsupportproviders,oracurrentemployeeoftheappointingbodyoroneofits
partners,deliveryorganisationsorsupportproviders
ii. anyonewithacloseprofessional,contractualorpersonalrelationshipwithamemberofstaffor
studentinvolvedwiththeprogrammeofstudy
iii. anyonerequiredtoassesscolleagueswhoarerecruitedasstudentstotheprogrammeofstudy
iv. anyonewhois,orknowstheywillbe,inapositiontoinfluencesignificantlythefutureofstudentson
theprogrammeofstudy
v. anyonesignificantlyinvolvedinrecentorcurrentsubstantivecollaborativeresearchactivitieswitha
memberofstaffcloselyinvolvedinthedelivery,managementorassessmentoftheprogramme(s)or
modulesinquestion
vi. formerstafforstudentsofthehighereducationproviderunlessaperiodoffiveyearshaselapsed
andallstudentstaughtbyorwiththeexternalexaminerhavecompletedtheirprogramme(s)
vii. areciprocalarrangementinvolvingcognateprogrammesatanotherhighereducationprovider
viii. thesuccessionofanexternalexaminerbyacolleaguefromtheexaminer'shomedepartmentand
provider
ix. theappointmentofmorethanoneexternalexaminerfromthesamedepartmentofthesamehigher
educationprovider.

Termsofoffice
a. Thedurationofanexternalexaminer'sappointmentwillnormallybeforfouryears,withan
exceptionalextensionofoneyeartoensurecontinuity.

26
 b. Anexternalexaminermaybereappointedinexceptionalcircumstancesbutonlyafteraperiodof
fiveyearsormorehaselapsedsincetheirlastappointment.
c. Externalexaminersnormallyholdnomorethantwoexternalexaminerappointmentsfortaught
programmes/modulesatanypointintime.

Indicator6

Degree-awardingbodiesensurethatallexternalexaminerstheyappointareinformedaboutorganisational
procedures,practices,andacademicregulations,andthecrucialvalueofexternalexaminers'feedbackto
thedegree-awardingbodyaspartofthebroadersystemofqualityassuranceandenhancement.

Indicator7

Degree-awardingbodiescommunicateclearlyinwritingtoallconcernedthe:

modules,programmesand/orqualifications(s)towhicheachexternalexaminerisappointed
variousroles,powersandresponsibilitiesassignedtotheirexternalexaminers,includingtheextentof
theirauthorityinexaminationboards.

Indicator8

Highereducationprovidersincludethename,positionandinstitutionoftheirexternalexaminersinmodule
orprogrammeinformationprovidedtostudents.

Indicator9

Priortotheconfirmationofmarklists,passlistsorsimilardocuments,degree-awardingbodiesexpect
externalexaminerstoendorsetheoutcomesoftheassessmentprocessestheyhavebeenappointedto
scrutinise.

Indicator10

Degree-awardingbodiesprovideexternalexaminerswithsufficientevidencetoenablethemtodischarge
theirresponsibilities.

Indicator11

Highereducationprovidersrecognisetheimportance,andmutualbenefit,oftheworkundertakenbymany
oftheirstaffasexternalexaminersforotherprovidersandagreewithstaffthetimetheyneedtofulfilthese
duties.

Indicator12

Externalexaminerssubmitareportannually,atatimedeterminedbythedegree-awardingbody,tothe
headofthedegree-awardingbodyortooneormorenamedindividualsthathe/shedesignates.

Indicator13

Externalexaminers'annualreportsprovideclearandinformativefeedbacktothedegreeawardingbody
onthoseareasdefinedfortheroleinIndicators2and3(thecorecontent).

Inaddition,theirreports:

confirmthatsufficientevidencewasreceivedtoenabletheroletobefulfilled(whereevidencewas
insufficient,theygivedetails)
statewhetherissuesraisedinthepreviousreport(s)havebeen,orarebeing,addressedtotheir
satisfaction
addressanyissuesasspecificallyrequiredbyanyrelevantprofessionalbody
giveanoverviewoftheirtermofoffice(whenconcluded).

27
Indicator14

Highereducationprovidersmakeexternalexaminers'annualreportsavailableinfulltostudents,withthe
soleexceptionofanyconfidentialreportmadedirectly,andseparately,totheheadofthe
degree-awardingbody.

Indicator15

Atbothorganisationalandsubject/programmelevel,degree-awardingbodiesgivefullandserious
considerationtothecommentsandrecommendationscontainedinexternalexaminers'reports.The
actionstakenasaresultofreports,orthereasonsfornottakingaction,areformallyrecordedand
circulatedtothoseconcerned.

Degree-awardingbodiesensurethatstudentrepresentativesaregiventheopportunitytobefullyinvolved
inthisprocess,enablingthemtounderstandalltheissuesraisedandthedegree-awardingbody's
response.

Atorganisationallevelthegeneralissuesandthemesarisingfromthereportsarereviewed.

Indicator16

Degree-awardingbodiesprovideexternalexaminerswithaconsideredandtimelyresponsetotheir
commentsandrecommendations,outlininganyactionstheywillbetakingasaresultofthereasonsfornot
takingaction.

Indicator17

Degree-awardingbodiesinformexternalexaminers,inwritingatthebeginningoftheirtermofoffice,that
theyhavearighttoraiseanymatterofseriousconcernwiththeheadofthedegree-awardingbody,if
necessarybymeansofaseparateconfidentialwrittenreport.

Degree-awardingbodiesprovideaconsideredandtimelyresponsetoanyconfidentialreportreceived,
outlininganyactionstheywillbetakingasaresult.

Indicator18

Whereanexternalexaminerhasaseriousconcernrelatingtosystemicfailingswiththeacademic
standardsofaprogrammeorprogrammesandhasexhaustedallpublishedapplicableinternal
procedures,includingthesubmissionofaconfidentialreporttotheheadofthedegree-awardingbody,
he/shemayinvokeQAA'sconcernsschemeorinformtherelevantprofessional,statutoryorregulatory
body.

28
A p p e n d i x 2 - S u f f i c i e n t e v i d e n c e p r o f o r m a

Appendix2-Sufficientevidenceproforma
Externalexaminers'reportchecklist:
www.qaa.ac.uk/en/AssuringStandardsAndQuality/Documents/Quality-Code-B7-Appendix-2.pdf

29
A p p e n d i x 3 - M e m b e r s h i p o f t h e a d v i s o r y g r o u p f o r C h a p t e r B 7 : E x t e r n a l e x a m i n i n g

Appendix3-Membershipoftheadvisorygroup
forChapterB7:Externalexamining
Name Position Organisation

DrJackAitken Director,SenateOffice UniversityofGlasgow

HeadoftheCentreforLearning,
DrStephenBostock GlyndwrUniversity
TeachingandAssessment

SeniorAcademicAdviser
Universityof
HilaryBurgess HEASubjectCentreforSocialPolicy
Southampton
andSocialWork

AssistantDirector,
DrTimBurton Research,Development QAA
andPartnerships

TheUniversityof
ProfPeterBush ProViceChancellorAcademic
Northampton

HeadofProgramme
JohnDavies Pearson
Development

DirectorofQualityand
JaneDurant GloucestershireCollege
Performance

HeadofQualityAssurance
StephenGriffiths CardiffUniversity
andEnhancement

DirectorofAcademic
DrFrankHaddleton QualityAssuranceand UniversityofHertfordshire
Enhancement

ProVice-Chancellor
ProfDavidHeeley UniversityofAbertay
(AcademicDevelopment)

DevelopmentOfficer,
DrAnettLoescher Research,Development QAA
andPartnerships

DirectorofAcademic
DrMartinLockett AshridgeBusinessSchool
Development

30
 QueenMary
SophieRichardson President UniversityofLondon
Students'Unions

DeanofStudentsand BishopGrosseteste
DrClaireTaylor
AcademicEngagement UniversityCollege

31
R e f e r e n c e s

References
1
www.qaa.ac.uk/assuring-standards-and-quality/the-quality-code
2
www.qaa.ac.uk/reviews-and-reports/how-we-review-higher-education
3
www.qaa.ac.uk/publications/information-and-guidance/publication?PubID=181
4
www.qaa.ac.uk/about-us/glossary
5
UUK/GuildHE(2011)ReviewofExternalExaminingArrangementsinUniversitiesandCollegesintheUK.
FinalReport:
www.universitiesuk.ac.uk/highereducation/Documents/2011/ReviewOfExternalExaminingArrangements.pdf
6
B10Indicator21-23
7
B10Indicator22
8
Furtherinformationontheframeworksforhigherqualificationsandsubjectbenchmarkstatementscan
befoundinPartAoftheQualityCode.
9
Furtherinformationontheframeworksforhigherqualificationsandsubjectbenchmarkstatementscan
befoundinPartAoftheQualityCode.
10
Anyreferenceto'examinationboard'includesanyequivalentbodywhethertheterm'assessment',
'award'orotherterminologyisusedbytheinstitution.
11
InScotland'qualityenhancement'isdefinedwithreferencetothe'studentlearningexperience'.
12
'Department'meansthe(nearest)equivalentunitorentitywithineachinstitutionasdeterminedbythe
institution.
13
Forconsiderationofexceptionsandspecialcasesseetheexplanatorytextonpage15.
14
AvailableonQAAswebsiteat:www.qaa.ac.uk/concerns.
15
AvailableonQAAswebsiteat:www.qaa.ac.uk/publications/information-and-guidance/publication?
PubID=159.

32
TheQualityAssuranceAgencyforHigherEducation2017
SouthgateHouse,SouthgateStreet,Gloucester,GL11UB

Tel:01452557000
Email:enquiries@qaa.ac.uk
Website:www.qaa.ac.uk

Registeredcharitynumbers1062746andSC037786

ThisdocumentwasdownloadedfromtheQAAwebsiteon28June2017

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