Student Learning & Experience Committee

Chapter D2:

External Examining Process

Document Owner: Academic Registry Version number: 5.0Effective date: November 2020 (Academic Year 2020-21)Date of next review: July 2021

This document is part of the University Quality Framework, which

governs the University’s academic provision.

C O N T E N T S

1. INTRODUCTION 12. PROCEDURE FOR APPOINTING AND APPROVING EXTERNAL

EXAMINERS12.1 Managing the Process 12.2 Nomination of a Potential External Examiner 12.3 Types of External Examiners 22.3.1 Module External Examiners..............................................................22.3.2 Award External Examiners................................................................22.3.3 Professional Doctorate External Examiner.......................................22.3.4 Pearson External Examiners............................................................22.3.5 Higher and Degree Apprenticeship Specialist Examiners.................32.4 Consideration for Appointment 32.5 Conflict of Interest 52.6 External Examiner Appointments and Contracts 62.7 UK Visas & Immigration Service Checks 7

3. PROCEDURE FOR INDUCTING/SUPPORTING EXTERNAL EXAMINERS7

4. TERMINATION OF CONTRACT AND RESIGNATIONS 105. PROCEDURE FOR PROCESSING EXTERNAL EXAMINER ANNUAL

REPORTS 115.1 Annual Report Template 115.2 Acknowledgement of Annual Reports and Forwarding to

Schools/Collaborative Partners 115.3 Concerns Raised in Annual Reports 115.3.1 Responding to Concerns...............................................................115.3.2 Recording and Reporting Concerns................................................125.4 Good Practice Reported in Annual Reports 125.5 Partnership Oversight and Monitoring 13

6. PROCEDURE FOR PEARSON PROVISION EXTERNAL EXAMINERS 137. SHARING EXTERNAL EXAMINER REPORTS WITH STUDENTS 138. INFORMATION PROVIDED TO STUDENTS ABOUT EXTERNAL

EXAMINERS149. ROLE OF EXTERNAL EXAMINER AT THE ASSESSMENT BOARD 1510. REPORTING EXTERNAL EXAMINER NON-ATTENDANCE AT

ASSESSMENT BOARDS 16

iiiQuality Framework Chapter D2 – External Examiner

11. EXTERNAL EXAMINERS REQUIRED TO SIGN NON-DISCLOSURE AGREEMENTS 16

12. PROCESSING OF EXTERNAL EXAMINER CLAIM FORMS1712.1 Fees 1712.2 Expenses17

13. EQUAL OPPORTUNITIES POLICY (INCORPORATING RACE EQUALITY) 18

14. INFORMATION GOVERNANCE 18

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1. INTRODUCTION

This External Examiner process should be utilised for the appointment of Examiners to taught provision only including awards delivered with/by collaborative partners. The principles and expectations expressed within this process are aligned with the requirements of the Quality Assurance Agency (QAA) and the UK Quality Code for Higher Education.The appointment of Research Degree Examiners is managed by Research & Innovation Services.

External Examiners are appointed by Schools on behalf of the Student Learning & Experience Committee (SLEC). The External Examiner Sub-Committee (EESC) receives confirmation of the nominations endorsed by the School Student Learning & Experience Sub-Committees (SSLESCs).

The appointment process for the Advanced Independent Work External Examiner (AIWEE) is available within the Handbook for External Examiners of Professional Doctorates.

The approval process ensures that External Examiners have the relevant qualifications and experience for the role they will be asked to carry out.(See the Criteria for Appointing Award External Examiners in the Standard Administrative Procedures for External Examiners).

The full list of External Examiner roles and responsibilities is located in the External Examiner Handbook.

2. PROCEDURE FOR APPOINTING AND APPROVING EXTERNAL EXAMINERS

2.1 Managing the Process

The external examining process is managed by the Academic Regsitry (Academic Policy and Regulations) Team (AREG (APR)), in accordance with the guidance provided on the External Examiner Website and External Examiner Handbook.

2.2 Nomination of a Potential External Examiner

Course Leaders are responsible for advertising External Examiner vacancies and making initial contact with prospective External Examiners (see the External Examiner Application for Approval in the Standard Administrative Procedures for External Examiners). A standard template email is available within the Standard Administrative Procedures available on the External Examiner SharePoint site for staff, which Schools are encouraged to send to prospective External Examiners, along with the Guidelines on the Role.

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The nomination procedure is a rolling process whereby Course Leaders forward nomination forms for replacement/new/reallocated/extended External Examiners to APR@tees.ac.uk for consideration at the following SSLESC meeting. If Course Leaders require assistance with advertising vacancies, they should contact APR@tees.ac.uk.

If a nomination is unsuccessful, the relevant Head of Department or nominee (e.g. Course Leader, PL Programmes) will contact the External Examiner to provide a rationale, referring to the agreed minutes of SSLESC as required.

2.3 Types of External Examiners

There are 5 types of External Examiners at TU as follows:

2.3.1 Module External ExaminersThe University normally requires Module External Examiners in all taught Courses at Levels 5, 6, 7 and 8. Module Examiners are required for all Level 4 awards of more than 60 credits and for Foundation Degrees and HND/Cs. Level 4 Module Examiners are NOT required for degree courses incorporating Level 4, 5 and 6 as per Teesside University (TU) policy, unless there is a Professional, Statutory and Regulatory Body (PSRB) requirement. The duties of a Level 4 Module External Examiner are the same as for Level 5 and 6 Module External Examiners. There is no requirement for Level 4 Module External Examiners to attend Foundation Degree/HND/C module/progression boards, but they are encouraged to do so. Module Examiners are not required for Level 3 modules (including Foundation Year provision), unless there is a PSRB requirement.

2.3.2 Award External Examiners Award External Examiners will have responsibility for one or more named awards (including intermediate awards). The Award External Examiner does not have to be (or have been) a Module External Examiner, although in many cases they will be a Module External Examiner for one area of the award(s) under consideration. Award Examiners are not appointed for Level 3 modules (including Foundation Year provision), unless there is a PSRB requirement. However, Award External Examiner(s) present at Progression/Award Assessment Boards will be asked to oversee the process and endorse results for Level 3 provision. The same Award External Examiner can be appointed for both taught courses, TU online courses and modules that are delivered online via a standard face to face or blended delivery model.

2.3.3 Professional Doctorate External Examiner For Professional Doctorate Courses, the University appoints Examiners who solely examine the Advanced Independent Work (AIW) element of the Professional Doctorate award. A Handbook, specifically designed for External Examiners of Professional Doctorate Advanced Independent Work (AIWEE) is available on the External Examiner website.

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2.3.4 Pearson External Examiners The University delivers a number of Pearson awards under Licence from Pearson. See section 6.

2.3.5 Higher and Degree Apprenticeship Specialist Examiners

From 2017, the University has offered Higher and Degree Apprenticeships (HDAs) in a number of subject areas. External Examiners have been appointed to examine on this provision. In July 2018, the QAA published a Second Edition of Quality Assuring Higher Education in Apprenticeships, which provides further clarity on the involvement of External Examiners in HDAs and the role of Schools in briefing relevant External Examiners on their role and duties for this provision. The following extracts will be useful to Schools:

“higher education providers are … expected to ensure that all examiners are suitably qualified to undertake the role, which might mean, for example, having an appropriate level of practice-based expertise. The required balance of subject and practice expertise might be achieved through the appointment of two external examiners, one a subject expert and the other with practice expertise.”.

and

“The requirements for EPA1, as described in EPA plans, include assurance that the process is appropriately independent. EPA plans will specify EQA2 requirements. EPA plans for integrated Degree Apprenticeships will necessarily include reference to external examiners, as the EPA is conducted as an integrated aspect of the qualification and, as such, must be under the auspices of the higher education independent external examiner system. However, where EPA is conducted by a separate independent EPAO3, higher education provider-appointed external examiners for the higher education award will not play a direct role in the EPA process.

Higher education providers ensure that external examiners are appropriately briefed as to the specific nature of their role for apprenticeships that involve higher education. This will need to include: specifying whether the apprenticeship involves integrated or separate EPA; the relationship between apprenticeship duties and KSBs4 and programme/modules learning outcomes; the way that EPA is conducted and any implications for their role; and how the learning opportunities provided by the higher education programme are delivered in the context of on-the-job and off-the-job learning.”.

1 EPA – End Point Assessment2 EQA – External Quality Assurance3 End Point Assessment Organisation 4 Knowledge, Skills and Behaviours

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2.4 Consideration for Appointment

The Criteria for the Appointment of Award and Module External Examiners is available from the Standard Administrative Procedures for External Examiners. Specific consideration will be given to the External Examiner’s qualifications and experience as well as any possible conflicts of interest.

The External Examiner should be familiar with the standard expected of students to achieve the award being assessed and should demonstrate experience of undertaking activities to enhance the student learning experience.

The University recognises that those External Examiners who are not employed in an academic institution, or have retired, may have substantial experience and expertise that they can bring to the role. In such cases, a supporting rationale must be submitted with the nomination and careful consideration will be given by SSLESC before confirming the appropriateness of any such appointment.

In some cases, External Examiners are drawn from business, industry or the professions (hereafter referred to as Practitioner External Examiners) who are not , or have never, worked in higher education. In these cases, the following principles will be followed:

Low Risk Provision (modules and UC awards of less than 60 credits)The appointment of a Practitioner External Examiner is subject to clearly defined support being provided by an academic Mentor, who is an experienced External Examiner already appointed at TU for at least 2 years. Exceptionally, for Foundation Degrees where the pool of External Examiners is potentially limited, SSLESC may consider it appropriate to approve a Practitioner External Examiner only.

High Risk Provision (awards of 60 credits or more, including PgCerts, final year projects/dissertations, and PG awards). The appointment of a Practitioner External Examiner is subject to a dual appointment of a practitioner and an experienced academic TU External Examiner (qualified in the appropriate subject).

In all cases the appointment of a Practitioner External Examiner will be for a minimum of one year, after which time the School will review the appointment and a decision made as to whether the practitioner could continue as the sole External Examiner. Schools (and Colleges in the case of UK Public Sector Validated College provision) will be required to carefully monitor and record support and development.

Where a nominee has no previous External Examining experience, there should be a clearly indicated balance of experience within the rest of the External Examiner Team and a more experienced Teesside University External Examiner must be appointed as a Mentor. Where this is not practicable, development and mentorship should be provided by an experienced TU External Examiner in a different field. A statement of

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support must be provided by the School on the nomination form. Guidance on the Mentor role can be found in the Mentoring Process and Guidelines (see External Examiner Handbook).

Where a PSRB is involved in awards, a statement must be included in all Course Handbooks, specifying what information will be provided to Students by the PSRB. External Examiners will be advised of the involvement of the PSRB during the appointment process by the School/College.

2.5 Conflict of Interest

A proposed External Examiner should not normally hold, in total, more than two substantial External Examiner appointments at any one time.

External Examiners must NOT be:

A member of a Governing Body or Committee of the appointing body or one of its Partners, delivery organisations or support providers, or a current employee of the appointing body or one of its Partners, delivery organisations or support providers.

Anyone with a close professional, contractual or personal relationship with a member of staff or student involved with the course of study.

Anyone required to assess colleagues who are recruited as students to the course of study.

Anyone who is, or knows they will be, in a position to significantly influence the future of students on the course of study.

Anyone significantly involved in recent or current substantive collaborative research activities with a member of staff closely involved in the delivery, management or assessment of the courses(s) or modules in question.

A former member of staff or student of Teesside University unless a period of three years has elapsed and all students taught by or with the External Examiner have completed their course(s).

Part of a reciprocal arrangement involving cognate courses at another higher education provider. There must be a two year gap before an External Examiner can be appointed from an HEI, where a member of TU staff has previously been an External Examiner at the same HEI.

External Examiners should NOT normally be:

From the preceeding Examiner's home provider and department. From the same department of the same higher education provider as an

existing External Examiner.

An External Examiner may be re-appointed in exceptional circumstances, but only after a period of three years or more has elapsed since their last appointment ended.

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Proposed Examiners should be drawn from a range of institutional contexts, to ensure that the academic provision may benefit from wide-ranging external scrutiny.

There should be an appropriate balance in an External Examiner Team including:

Examining experience. Academic and professional practice. A range of academic perspectives. Different types of higher education institutions.

There are institutional procedures in place to ensure that potential conflicts of interest are identified and resolved prior to the appointment of External Examiners. External Examiners are required to advise their School/College contactif a conflict of interest arises during their term. This may result in their appointment ending earlier than originally anticipated.

AREG (APR) maintains a central Conflict of Interest Database, regarding those TU and UK Public Sector Validated College Partner academic staff who hold external examiner appointments at other institutions.

2.6 External Examiner Appointments and Contracts

The External Examiner Process Workflow is available in the Standard Administrative Procedures for External Examiners.

The standard term of office for an External Examiner is five years, with an extension available for normally one academic year where there is a clear rationale for doing so.

Wherever possible, newly appointed External Examiners will take up their appointments on or before the retirement of their predecessors. Retiring Examiners will be expected to remain available to deal with any reviews of assessment decisions relating to their term of office.

There are 2 types of nomination forms, which are provided in the Administrative Procedures for External Examiners document:

1. Application for Approval of an External Examiner (Award and/or Module) - this form is to be used for new appointments.

2. Application for Approval of a Change of Duties of an Existing External Examiner - this form is to be used for extensions (in exceptional circumstances) and reallocation of duties.

(Nomination forms are available on the External Examiner Sharepoint site for Staff)

The nomination form must include specific details, particularly in relation to induction and support of newly appointed External Examiners and an up-to-

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date curriculum vitae, which clearly identifies any previous/current external examiner experience. Confirmation is required that the External Examiner has been asked if they are eligible to work in the UK. If they are not eligible, the nomination for the External Examiner must not be progressed (see 2.7).

Following notification from the SSLESC Secretary that nominations have been formally approved, contract letters are forwarded electronically by AREG (APR) to the External Examiners.

The External Examiner is requested to email APR@tees.ac.uk (within two months) as confirmation of acceptance of the offer. If an email confirmation is not received by AREG (APR) within two months of the date of the letter, the offer will lapse.

2.7 UK Visas & Immigration Service Checks

The UK Visas & Immigration Service (UKVI) requires all Universities to undertake identity checks on all temporary staff, including External Examiners, to ensure they are eligible to work in the UK.

AREG (APR) will send newly appointed External Examiners the Right to Work information and blank Personal Details Form with the contract letter, with instructions to return the completed Personal Details Form to APR@tees.ac.uk (together with the confirmation of acceptance) by email. AREG (APR) will then liaise with Campus Services at eeverification@tees.ac.uk to proceed with passport verification process.

Newly appointed External Examiners, will be contacted by Campus Services regarding the verification of their Passport and offered three options.The options are listed in the UKVI section of the Workflow process within the Standard Administrative Procedures for External Examiners.

3. PROCEDURE FOR INDUCTING/SUPPORTING EXTERNAL EXAMINERS

UK Public Sector Validated College Partners are required to complete a Report of External Examiner Induction Activity for all newly appointed External Examiners (see the Standard Administrative Procedures for External Examiners). AREG (APR) will log Induction Activities for all TU External Examiners and report annually to EESC.

AREG (APR) will forward all newly appointed External Examiners a link to the where they can access induction materials. It is the School’s/UK Public Sector Validated College Partner’s responsibility to forward the following School/College related documentation and information to the External Examiner on appointment: School/College contact details.

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Details of how they can communicate with internal markers and others involved in the teaching and assessment.

A written statement identifying the appointee in relation to the rest of the External Examiner team, including clarification on whether they will be required to report on standards and quality at module or Course/award level, or both.

A list of awards/modules they will be responsible for. Programme specification(s) and other relevant documentation, including

Course/Award Handbook. Course regulations and variances. Assessment Briefs in advance of being issued to students Module descriptors including learning outcomes and assessment

methods see Assessment & Feedback Policy. Arrangements for sampling students’ work in accordance with the

Assessment & Feedback Policy. Schedule of when assessments will be sent to the External Examiner

and a return date. Forthcoming Assessment Board Schedule(s). External Examiners may be offered the opportunity to visit the

University/College at any time during their appointment and Schools and Colleges are encouraged to consult with other External Examiners on the team on a regular basis.

The arrangements, where appropriate, for them to meet students on the course. External Examiners will not normally meet with students, unless PSRB requirements necessitate, or in exceptional circumstances. If an External Examiner specifically requests to meet with students, they should liaise with the School/College, who will make the necessary arrangements.

Where the External Examiner is responsible for collaborative provision courses(s), information and details of the nature of the provision and any variations in the course compared to those run at Teesside University.

Details of any additional duties required of them and PSRB requirements.

if the module(s)/award(s) are linked into a Higher and Degree Apprenticeship, a statement clarifying what this means to your role/duties5:

providing clarity on whether or not the End Point Assessment [EPA] is integrated into the academic award and any implications for your role

explaining the relationship between apprenticeships duties and Knowledge, Skills and Behaviours [KSBs] and course/module learning outcomes

identifying how the learning opportunities provided by the course are delivered in the context of on-the-job and off-the-job learning

AREG (APR) will host a central induction event, normally twice per year for Teesside University External Examiners. All newly appointed External Examiners will be invited by AREG (APR) to attend an induction. The events will follow the same format, with all External Examiners attending a

5 As outlined in the QAA Second Edition of Quality Assuring Higher Education in Apprenticeships

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central induction activity in the morning and then a School specific induction, hosted by the School in the afternoon.

UK Public Sector Validated College Partners have responsiblility for inducting their newly appointed External Examiners.

Ongoing throughout the Appointment the School/College will provide the External Examiner with the following:

Any amendments to School/College contact details. Revised programme specification(s) as appropriate. Assessment Board schedules. Annual report template with the front page completed and expenses

claim form. Module descriptors, including learning outcomes and assessment

methods. Significant changes to approved modules or courses that have taken

place between periodic reviews.

Module Leaders will upload the following into Module Boxes within Blackboard and provide External Examiners with details on how to access:

Assessment Internal Moderation Pack available in the Assessment & Feedback Policy), including quantitative assessment data.

A sample of 10 assessed ICA student work (examination papers, assignments, etc.) and feedback, the selection of which should have been agreed earlier in the academic year as well as a timetable for despatch, therefore allowing adequate time for consideration and response by the External Examiner. This should include, as a minimum, for first sit assessments:

A selection of student work reflecting grade distribution and/or quality – based on the work of 10 students (for modules with fewer than 10 students, then the work of all students) across all bands, but this can be expanded at the request of the External Examiner. The sample can include work that has been single-marked, double-marked, and internally sampled, and not be restricted to the sample that was used for internal sampling.

See Appendix E within the Assessment & Feedback Policy for the minimum specification for information to be retained in Module Boxes

If an External Examiner has concerns about the internal marking process, they should be asked to review the work of the full cohort, following which, the Assessment Board may consider recommendations for adjustment.

In addition to samples of work from a module, the External Examiner will be also be provided with an Internal Moderation Pack for each assessment and

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the Module Assessment Report, showing the cohort’s performance and related statistics (normally available at the Module Assessment).

The Module Boxes in Blackboard are specifically for External Examiners to access and are hidden from students’ view. They are accessible to External Examiners appointed to TU courses and those examining Teesside University College Partnership (TUCP) courses where the module is on Blackboard. Schools will make alternative arrangements to ensure Examiners are able to access those mdoules not on Blackboard.

4. CESSATION OF CONTRACT AND RESIGNATIONS

If an External Examiner does not fulfil the roles and responsibilities outlined in the External Examiner Handbook, including failing to submit an Annual Report, the Associate Dean (Learning & Teaching) is required to send full details to a meeting of EESC for consideration. This may result in a cessation of tenure with immediate effect.

If an External Examiner wishes to resign from their post before the end of their approved tenure, they are required to provide 12 weeks’ notice. Resignations should be sent via email to APR@tees.ac.uk.

5. PROCEDURE FOR PROCESSING EXTERNAL EXAMINER ANNUAL REPORTS

See the Annual Report section in the Workflow Process within the Standard Administrative Procedures for External Examiners.

5.1 Annual Report Template

The Annual Report template is reviewed by AREG (APR) annually and approved by EESC, normally in January each year before circulating to Schools and UK Public Sector Validated College Partners by AREG (APR).

Schools and UK Public Sector Validated College Partners are required to complete the front page of the report template prior to sending it to External Examiners. External Examiners appointed to Professional Doctorate awards are required to complete an alternative version of the Annual Report template.

The templates can be obtained by contacting APR@tees.ac.uk.

5.2 Acknowledgement of Annual Reports and Forwarding to Schools/Collaborative Partners

AREG (APR) will acknowledge receipt of the Annual Report directly with the External Examiner and circulate to Schools/Partners.

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External Examiners are required to submit one report each year, covering both first and reassessment periods. Where one report covers several modules/awards or covers more than one Partner, External Examiners are requested to be specific about which module/award/Partner/locations they are referring to.

AREG (APR) is responsible for sending out reminders between October and December of each year, and compiling a list of outstanding annual reports for EESC to consider in January.

5.3 Concerns Raised in Annual Reports

In order to safeguard and enhance academic standards, it is essential that concerns raised in External Examiner Annual Reports are recorded and responded to. Schools/UK Public Sector Validated College Partners are, therefore, required to undertake the following in relation to:

5.3.1 Responding to ConcernsTU Schools are required to respond within 20 working days to External Examiners who have raised a concern in Box 10 or 11. Responses must be approved by the SSLESC Chair (or nominee) prior to sending to the Examiner.

UK Public Sector Validated College Partners are required to submit draft responses to Box 10 and 11 concerns to APR@tees.ac.uk, who will liaise with the Schoo/Collegel where appropriate. In some cases, a UK Public Sector Validated College Partner may be required to provide an Action Plan to address the concerns raised by the External Examiner. AREG (APR) will return the approved response to the UK Public Sector Validated College Partner for onward transmission to the External Examiner. If further edits are made, the College must send the School a copy of the final version.

To ensure there is a cenral record, a copy of all final responses to Box 10 and 11 concerns must be sent to APR@tees.ac.uk.

5.3.2 Recording and Reporting Concerns For Continuous Monitoring & Enhancement (CME) purposes, Schools and Collaborative Partners are required to reflect on areas identified by External Examiners for development within the relevant Course Journal. These in turn will be considered at Student Voice Forums and when prepare the CME School Department Report.

UK Public Sector College Partners are required to consider External Examiner feedback including Box 10 and 11 concerns, along with their responses, as part of their Collaborative Provision Continuous Monitoring & Enhancement Report (CPCMER) (see Chapter D1, Annex 4 of the Quality Framework). Completed CPCMERs should be sent to the Assistant Academic Registrar (Quality Assurance and Validation) by the specified deadline. Reports will be reviewed and a summary of areas for development will be included in the annual UK College Partnerships Oversight Report

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(Chapter D1, Annex 7). This Report contributes to the CME Institutional Report presented to SLEC and UAB annually.

In addition, any cross-University issues or actions identified from the Box 10 and 11 concerns will be included in an External Examiner annual report presented to the EESC,SLEC and UAB as part of the University’s oversight, maintenance and enhancement of academic quality assurance and standards.

If an External Examiner is not satisfied with the School/College response, an additional and separate confidential report may be sent by the External Examiner to the Vice Chancellor. If the External Examiner is not satisfied with the the Vice Chancellors response, and having exhausted the University’s internal procedures, they make invoke the Quality Assurance Agency’s Concerns Scheme or inform the relevant PSRB.

5.4 Good Practice Reported in Annual Reports

For CME purposes, Schools and Collaborative Partners are required to include key areas of good practice identified by External Examiners within the CME School Report.

UK Public Sector College Partners are required to provide examples of good practice highlighted by External Examiners as part of their Collaborative Provision Continuous Monitoring & Enhancement Report (CPCMER) (see Chapter D1, Annex 4 of the Quality Framework). Completed CPCMERs should be sent to the Assistant Academic Registrar (QAV) by the specified deadline. Reports will be reviewed and a summary of the good practice will be included in the annual UK College Partnerships Oversight Report (POR) (Chapter D1, Annex 7). This Report contributes to the CME Institutional Report presented to SLEC and UAB

AREG (APR) will collate good practice which External Examiners have highlighted as significantly enhancing the student experience in Box 1 of their annual report, as part of the annual oversight of the External Examiner process and include this in the report referred to in 5.3.2 to promote effective dissemination of good practice.

5.5 Partnership Oversight and Monitoring

Partners will be requested by Schools to discuss External Examiner Annual Reports at relevant meetings and record External Examiner comments and related outcomes into the Course Journal(s) and the CPCMER, as part of their CME process. Partners should ensure that a copy of the CPCMER and Course Journal(s) is lodged within their Quality Department.

Schools should ensure that “External Examiner Annual Reports and Responses” is a standing agenda item for all SSLESC meetings, Autumn Student Voice Forums, and meetings between Teesside University staff and students at TUCP and International Collaborative Partners.

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6. PROCEDURE FOR PEARSON PROVISION EXTERNAL EXAMINERS

External Examiners examining Pearson Higher National Certificates (HNC)/Higher National Diplomas (HND) are appointed and paid by Teesside University, in the same way as other External Examiners. They will require a Central induction and the relevant documents referred to in Section 3.

External Examiners for Pearson provision are, in practice, both a Module and Award External, carrying out both roles identified in the External Examiner Handbook, and have the same rights and responsibilities as other TU External Examiners, including the submission of an Annual Report. Reports on sampling should be included or appended to the Annual Report. Pearson require the completion of an annual Institutional Review Report, which AREG (APR) are responsible for collating in liaison with the relevant Schools and forwarding to SLEC for approval prior to submission to Pearson in December each year.

7. SHARING EXTERNAL EXAMINER REPORTS WITH STUDENTS

All Higher Education Institutions (HEIs) are expected, by the QAA and the Office for Students (OfS), to make information on HE quality and standards available to student, including External Examiner Annual Reports.

Schools and Partners are required to provide Student Representatives with a link to relevant External Examiner Annual Reports prior to autumn Student Voice Forums or equivalent and at meetings between TU staff and students at International Collaborative Partners. The process of involving students ensures that institutional quality assurance is transparent and acknowledges them as key stakeholders and active participants. Any recommendations as a result of this discourse will be fed in via the Course Journal within the CME process. All External Examiner Annual Reports, including the responses where a concern has been raised in Boxes 10 and 11, are available via e-Vision for TU staff and students to view. Reports and responses for TUCP and UK Public Sector Validated College Partners are uploaded by AREG (APR) onto the relevant section of the Academic Registry External Examiner SharePoint Site.

Annual Reports that contain comments that could expose the University to legal liabilities or unfairly damage its reputation may be delayed or withheld. The Executive Director of Legal Services and University Secretary will make the final decision regarding such reports, in consultation with the Vice Chancellor.

8. INFORMATION PROVIDED TO STUDENTS ABOUT EXTERNAL EXAMINERS

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The following statement is included in all Course Handbooks:

“Standard Statement on External ExaminingStudents often ask questions about how we know that their degree is broadly of the same standard as degrees awarded for similar courses by other universities. In the UK we have a system called External Examining which is one of several ways that we confirm that standards are met. An External Examiner is generally an experienced lecturer from another University/Higher Education Institution, who offers an independent view as to whether the work of students on the course is of the correct standard. The External Examiner does this by looking at a sample of work (e.g. assignments, exam answers, dissertations), discussing the work with your lecturers and normally attending the assessment boards to endorse results. They then produce an annual report which highlights any good practice they have seen and allows them to report any concerns they may have. They also confirm in their Report that academic standards and achievement are comparable within the UK Higher Education sector. The External Examiners’ reports are made available to students via the ‘courses’ tab in e-vision and are considered annually at relevant Student Voice Forums.

The main External Examiner for your course is (insert name here) and they work at (insert place of work here). Sometimes, your modules may have a different External Examiner and your Module Leader can provide details on request.

Please note that students are not permitted to contact External Examiners directly and External Examiners will not respond to any communication from individual students. If you have any concerns about your course then please speak to your Course Leader.”

9. ROLE OF EXTERNAL EXAMINER AT THE ASSESSMENT BOARD

The External Examiner’s role at the Assessment Board is to ensure that the assessment process is equitable and is fairly operated in the marking, grading and classification of student performance, and that the decisions are made in accordance with University Regulations. External Examiners are expected to use their expertise, to ensure that students’ outcomes from the TU assessment processes are comparable to others within the HE sector. External Examiners will be aware of the publicity around grade inflation and the focus on degree algorithms. At TU, we carefully monitor the outcomes from our assessment processes, including an annual report to Academic Board and we continue to engage in the debates within the HE Sector.

The External Examiner is unable to amend any marks or grades at the Assessment Board, although they are encouraged to participate in discussion and make comments throughout. Any comments made by the External Examiner will be clearly recorded in the minutes. Additionally, the School/College will formally minute that the results presented are formally endorsed and note any exceptions that need further action.

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At the end of the Assessment Board, the External Examiner is required to complete and sign a proforma (Appendix B of the External Examiner Handbook) as confirmation of their endorsement of the assessment process and this must be held with the minutes of the Assessment Board. Results will not be released to students until the proforma has been signed by the External Examiner. If the External Examiner is absent from the Board or attends virtually, for example via Microsoft Teams, the School/College MUST send them the proforma for signature and return.

In exceptional circumstances, an External Examiner may feel unable to endorse the results of the Assessment Board and, where the matter cannot be resolved by the Board, the Chair of the Board must notify the Academic Registry as soon as possible, providing relevant information. The Academic Registry will consider the circumstances and, in consultation with the School and the Examiner make a recommendation. Where an External Examiner has a serious concern about the academic standards and considers the proposed recommendation insufficient, they may raise their concern directly with the Pro Vice-Chancellor (Learning & Teaching).

(See the Status of Assessment Board Decisions in the Standard Administrative Procedures for External Examiners).

10. REPORTING EXTERNAL EXAMINER NON-ATTENDANCE AT ASSESSMENT BOARDS

The University expects External Examiner attendance either in person or virtually (e.g. via Microsoft Teams) at Module, Progression and Award Boards (including interim and reassessment), as relevant to their role. However, it is acknowledged that there may be occasions where an External Examiner is unable to attend a Board.

On these occasions, Schools/Colleges should follow the procedure for Reporting Non-Attendance at Assessment Boards (see the Report of Non-Attendance of an External Examiner at an Assessment Board in the Standard Administrative Procedures for External Examiners). Guidance in relation to managing the Assessment Board process where an External Examiner cannot be present is included in the Standard Administrative Procedures for External Examiners.

If an External Examiner is unable to attend an Assessment Board in person or virtually and another External Examiner attends in their place, the original External Examiner contracted to examine the award must sign-off the results and complete the Endorsement of Assessment Board Form (see Appendix B of the External Examiner Handbook). The “stand-in” External Examiner

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is not required to complete an Annual Report but may, if they wish, submit comments regarding the process to the School/College.

11. EXTERNAL EXAMINERS REQUIRED TO SIGN NON-DISCLOSURE AGREEMENTS

Occassionally, External Examiners may have sight of certain confidential information included in assessments submitted by students that are on placement and may be required to sign a confidentiality agreement/non-disclosure agreement (NDA) at the request of the placement provider. External Examiners will be reasonably expected to sign these agreements and this will not affect their ability to make reports to any relevant regulatory body as may be required during the performance of their duties.

Schools are responsible for identifying and tracking External Examiners required to sign NDAs and as soon as the requirement is identified, the staff member must advise their School Registrar. The School Registrar or Associate Dean (Learning & Teaching) will liaise with the relevant External Examiner for the NDA to be signed to enable the External Examiner to engage in the scrutiny of associated assessments and fulfil their role in quality monitoring.

12. PROCESSING OF EXTERNAL EXAMINER CLAIM FORMS

12.1 Fees

All External Examiners will be paid a one off annual fee, on submission of their annual report, calculated on the amount of work required of them (see the External Examiners Fees and Expenses in the Standard Administrative Procedures for External Examiners).

Schools must indicate the fee band for each External Examiner on the nomination form. If an External Examiner submits more than one report per academic year, they will only receive one fee per year. If an External Examiner changes duties throughout their tenure, the School will be required to submit a Change of Duties form to EESC indicating the amended fee band, where appropriate.

The External Examiner Honorarium Payment Scheme can be used in exceptional circumstances where an External Examiner is required to undertake work outside their normal duties. An honorarium payment should only be used to cover one assessment period. If the period required to cover the workload exceeds one assessment period, then a Change of Duties should be processed via the normal process. (see the External Examiners Fees and Expenses in the Standard Administrative Procedures for External Examiners).

External Examiners are able to claim the one-off mentoring fee on their expense claim form. Any financial negotiations with External Examiners

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regarding their fees will be the School’s responsibility. All fees are subject to PAYE.

If a course(s) closes before the end of an External Examiner’s tenure, the External Examiner will be sent a letter from AREG (APR) confirming this and that in future, they will no longer be paid their annual fee. Schools must make AREG (APR) aware of any closures.

The fees paid to AIW External Examiners are available in the AIWEE Handbook.

12.2 Expenses

Schools and UK Public Sector Validated Colleges are responsible for liaising with External Examiners regarding the booking of accommodation and travel, and ensuring that External Examiners are provided with a copy of the External Examiner Expense Claim Form, which is available in the External Examiner Handbook (see Appendix D of the External Examiner Handbook). The External Examiner is required to submit their Expense Claim Form, within one month of incurring the expense.

Schools are responsible for identifying any outstanding expense claims and requesting External Examiners to submit immediately, to ensure that all outstanding claims are settled within the relevant academic year’s budget.

13. EQUAL OPPORTUNITIES POLICY (INCORPORATING RACE EQUALITY)

The University promotes acceptance of equal opportunity for all. Therefore, in support of this ideal, this policy does not actively identify individual groups, except when legally required to do so.

A copy of the University’s current Equal Opportunities Policy (incorporating Race Equality and Religion and Belief) is accessible online.

14. INFORMATION GOVERNANCE

Comments by an External Examiner about the performance of an individual candidate may be personal data and so available to a student under the provisions of the General Data Protection Regulations (GDPR) and the Data Protection Act 2018, referred to in this document as Data Protection Legislation (DPL). This applies to comments and opinions made by Internal or External Examiners, whether they are on an examination script or a separate marking script. Information which does not relate to specific individuals, such as External Examiners’ Reports, may be publicly accessible under the Freedom of Information Act (FoIA).

Examination scripts are considered to be “personal data” under DPL. Due care must be taken to keep them secure and confidential in accordance with the Data Protection Principles.

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Examiners are advised that written comments may be liable to disclosure to the subject of the comments or to other agencies/individuals as required or permitted by law and should, therefore, be intelligible and appropriate.

Comments relating to specific examination scripts should ideally be made on attached sheets rather than directly onto the scripts.

Where comments are handwritten and potentially illegible, it may be necessary to provide a word-processed version to fulfil the requirements under both the DPL and FoIA to provide information in an intelligible format.

Any files that have been downloaded during the assessment process that may contain student’s work, grades or personal details, should be deleted from External Examiner devices immediately. This is to ensure the University’s compliance with the requirements and safeguards of the General Data Protection Regulation and the Data Protection Act 2018, to protect the rights and privacy of individuals.

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