Accessibility statement

Appendix 1: Policy on the recording of second progress review meetings and oral examinations for research degrees

In accordance with the PoRD, a recording is made of second and final progress review meetings (ie where a PGR is making a second attempt at meeting the relevant University progression criteria and the written evidence submitted is not sufficient to satisfy the progression panel that the PGR has met or exceeded the relevant University progression criteria) and final oral examinations. 

Purpose of the recording

1.1 The recording (audio or audio-visual) provides an objective record of a second progress review meeting/oral examination that can be used: (i) in the event of an appeal or other concern raised about the review meeting/oral examination, or (ii), in the case of an oral examination only, in the event that the examiners have failed to agree between themselves whether or not the candidate has satisfied the requirements for a particular degree and the departmental Graduate School Board has been unable to resolve the disagreement. In the latter case, the recording will be heard by the subsequently appointed adjudicating examiner. 

1.2 The recording will not be copied or replayed except in situations (i) or (ii) above, which are the sole purposes for which the recording is made. The University’s understanding of the position in relation to statutory disclosure is set out below.

Responsibility for recordings

1.3 Graduate School Boards must ensure that all second progress review meetings/oral examinations (whether in person, hybrid or online) for which they are responsible are recorded, or, in the exceptional cases detailed below, that permission from the SCA is obtained for the use of an independent observer. 

1.4 Only the official recording is permitted; participants are not permitted to make their own recordings.

Notification of external examiners in the case of oral examinations

1.5 Graduate School Boards are asked to inform external examiners prior to nomination that the oral examination will be recorded and to confirm their assent on the Appointment of Examiners form. Prospective external examiners should be notified that the recordings will be held and treated in confidence.  

Notification of PGRs

1.6 Graduate School Boards are asked to ensure that their PGRs are aware that second progress review meetings/oral examinations will be recorded and understand the reasons for this. PGRs should be notified that the recordings will be held and treated in confidence.

Equipment including the use of back-up recording devices/methods

1.7 The University makes appropriate recording equipment available to departments for this purpose or departments may use a built-in record function when an oral examination is taking place via video-conferencing. The recording should be made using equipment/technology authorised for this purpose by the SCA (and in the case of the former, supplied by departments from the University’s Audio Visual Centre).

1.8 To ensure availability of recording equipment, a diary should be kept by each Graduate School Board of all prospective second progress review meetings/oral examinations for which they are responsible.

1.9 Departments should ensure that there is a back up means of recording the second progress review meeting/oral examination (this might include recording using a mobile phone) in case the chosen method fails. If the back-up recording method is used, everyone present should be asked to give their consent when the recording starts and the recording should be treated in accordance with the policy.

Connection problems when video-conferencing

1.10 Where participation by video-conferencing has been approved, participation in a second progress review meeting/oral examination should always start as an audio-video conference call. Should connection problems arise at a point where the examiners can not reasonably conclude the second progress review meeting/oral examination, the review meeting/oral examination can move to audio-only (ie audio-only conference call or telephone call), but only if: i) all parties consent (and continue to do so: this consent should be recorded), and ii) the recording of the review meeting/oral examination can be continued in an appropriate format. If consent to continue as audio-only is not given and /or recording cannot be continued in an appropriate format, PGRA must be informed and the remainder of the second progress review meeting/oral examination must be rescheduled as soon as possible (within 48 hours unless permission is requested from SCA for a longer delay). 

Failure of recording

1.11 If the second progress review meeting/oral examination is concluded and it is subsequently identified that no recording has been made (due to human or technical error):

  • If the outcome of the progress review meeting/oral examination is positive (ie progress or pass/pass with corrections), PGRA must be informed but the outcome will stand. 
  • If the outcome of the progress review meeting/oral examination is negative (ie withdrawal/transfer for a progress review meeting or revise and resubmit/downgrade/fail for an oral examination), PGRA must be informed and the PGR can be offered a choice - either the outcome can stand OR the outcome can be set aside, and the progress review meeting/oral examination rescheduled as soon as possible (within 48 hours unless permission is requested from SCA for a longer delay).

1.12 If the recording fails during a second progress review meeting/oral examination (ie there is a failure of the original and all backup means of recording), at a point where the examiners cannot reasonably conclude the progress review meeting/oral examination, PGRA must be informed and the remainder of the progress review meeting/oral examination must be rescheduled as soon as possible (within 48 hours unless permission is requested from SCA for a longer delay).

1.13 Any notes taken by the examiners during a second progress review meeting/oral examination where there are recording issues should be copied by the department and sent to PGRA where they will be kept for 12 months, or until the investigation of any appeal or complaint arising from the progress review meeting/oral examination is complete, whichever is later.

Recording the examination

1.14 The department is responsible for ensuring that a designated person is available before the start of the second progress review meeting/oral examination to assist the progression panel/examiners with recording equipment/technology. Before the second progress review meeting/oral examination, the designated person should ensure that the PGR’s name and student number and the date of the second progress review meeting/oral examination is appropriately linked to the recording.

1.15 The chair of the progression panel/internal examiner (or, in cases where there are two external examiners and no internal examiner, the independent chair) will inform those present at the start of the second progress review meeting/oral examination that the recording is starting and at the end of the second progress review meeting/oral examination that it is being stopped. The recording should end when the second progress review meeting/oral examination is complete, and the PGR leaves the room prior to the private discussion of the progression panel/examiners. Neither the private discussion of the progression panel/examiners, nor any subsequent discussion between the PGR and the progression panel/examiners, should be recorded. 

1.16 After the second progress review meeting/oral examination, the recording should be sent to PGRA for secure storage. No copy of the recording should be made, nor should it be listened to in the department.

Storage of recordings

1.17 The recording will be stored centrally and securely by the PGRA. It will be erased one year after the final result of the progression attempt/final examination has been confirmed by the SCA, or, if an appeal or complaint is received, after consideration within the University and, if applicable, subsequent consideration by the Office of the Independent Adjudicator for Higher Education (OIAHE).  

Status of the recordings

1.18 The recording has the status of examination script and is therefore exempt from subject access requests under the General Data Protection Regulation (the Regulation does not restrict the media that can constitute an examination script). However, this exemption does not extend to the progression panel/examiners’ comments on the PGR’s performance, or any other form of feedback or conversation beyond the requirements of the second progress review meeting/oral examination. Provided these are not recorded, the recordings are exempt from data requests by the PGR. The recording cannot be released to a third party under the Freedom of Information Act because it holds the PGR’s personal data, the wider disclosure of which is likely to be unfair and contrary to the purposes for which the data were obtained (see above). 

Use of the recording in the event of appeal

1.19 Grounds for appeal:

a) PGRs may not appeal against the academic judgement of progression panel/examiners;

b) PGRs may appeal against a decision reached as a consequence of assessment if they believe that a procedural irregularity has occurred, or that the assessment was conducted unfairly or improperly; or if, for good reason, relevant exceptional circumstances can be shown which could not reasonably have been brought to the attention of the progression panel/examiners before a decision on the PGR’s academic performance was reached. 

Procedure for consideration of appeals:

a) In considering an appeal Special Cases (SC) may request information from the academic department concerned or other relevant parties concerning any matter raised by the appellant. The recording may form part of the evidence considered. The recording will not be released to the PGR or any other party as a means to preparing an appeal; 

b) SC may ask the Graduate School Board concerned if, in the light of the evidence presented by the appellant, it is prepared to reconsider its recommendation or decision and the Board may agree to do so. The appellant will retain the right to appeal against a subsequent recommendation or decision; 

c) SC will give reasons for any decision that an appeal should not be heard;

d) If SC decides, wholly or partly on the evidence of the recording, that the appeal should be heard, a copy of the recording or, at SC’s discretion, of relevant parts, shall be made available to the members of the panel, the appellant and the other participants in the case review.

Exceptional use of an independent observer in place of a recording

1.20 The circumstances in which permission may be sought to employ an independent observer in place of a recording are if recording would present a PGR with difficulties on medical or psychological grounds. In these circumstances, the Graduate Chair must seek permission from the SCA for an independent observer to attend the second progress review meeting/oral examination, supplying appropriate documentation from a medical practitioner or counsellor. The Graduate Chair shall nominate the proposed observer (on the form for the appointment of examiners in the case of an oral examination).

1.21 The independent observer should be an academic member of University staff in the PGR’s discipline or related area (not including the PGR's supervisor(s)), but need not be an expert on the subject of the thesis. The observer will submit a brief report to the SCA on the conduct of the second progress review meeting/oral examination, noting the main subjects discussed and any areas of concern voiced by the progression panel/examiners. They must be prepared to provide an independent viewpoint on the second progress review meeting/oral examination should there be an appeal or complaint based on its conduct. In the event of an appeal or complaint, the observer’s report will be made available to SC (appeals) or the Complaints Team (complaint) and will be shared with relevant parties (including the appellant/complainant). The observer should not intervene during the second progress review meeting/oral examination unless an exceptional situation should arise. 

1.22 It is essential that these arrangements are made well in advance of the second progress review meeting/oral examination and conveyed to the PGR and progression panel/examiners.

Policy sections

1. Introduction

2. The criteria for the award of PGR degrees

3. The research environment

4. Selection, admission and induction of PGRs

5. Supervision

6. Responsibilities of PGRs and supervisors

7. Periods of enrolment, changes to PGRs' status and personal circumstances (including illness), working hours and holidays

8. Progress and review arrangements

9. Development of research and other skills

10. Evaluation of PGR programmes

11. Responsible research and academic integrity

12. Assessment

13. Dissemination of research results, intellectual property rights and responsibilities

14. PGR complaints and appeals

15. Research away from York (excluding PGRs on distance learning PGR programmes)

16. Arrangements for non-York PGRs

Appendices