Higher Degree by Research Examination Policy

Higher Degree by Research Examination Policy

Higher Degree by Research

ExaminationPolicy

Responsible Officer / Deputy Vice-Chancellor (Research)
Approved by / Vice-Chancellor
Approved and commenced / Month, 2017 /
Review by / Month, 2020
Relevant Legislation, Ordinance, Rule and/or Governance Level Principle / Australian Code for the Responsible Conduct of Research
Ordinance 8 – Student Complaints
Ordinance 9 - Student Discipline
Rule 4 - Rules of Graduate Research
Governance Level Principle - 12 Academic Standards
Governance Level Principle - 13 Quality Management Framework
Responsible Organisational Unit / Division of the Deputy Vice-Chancellor (Research)

CONTENTS

1Objective

2Scope

3Policy Provisions

3.1Principles

3.2Thesis Structure

3.3Including Publications in a Thesis

3.4Language of the Thesis

3.4.1Writing a thesis in an Australian Indigenous language

3.4.2Language of a thesis for a Joint Higher Degree by Research

3.4.3Translation of thesis and examiners’ reports

3.5Editing the Thesis

3.6Nomination and Appointment of Examiners

3.7Conflict of Interest

3.8Thesis Submission

3.8.1Submitting a Thesis against the advice of the Supervisors and Head of Academic Unit

3.8.2Data Management

3.9Eligibility for Examination

3.9.1Thesis Submission after withdrawal or termination

3.10Convenor of Examination

3.10.1Duties of the Convenor of Examination

3.11University Research Committee Higher Degree by Research Examination Sub-Committee

3.12Examination of the Thesis

3.12.1Determining whether an oral examination will be held

3.12.2Content of the Examination Report

3.12.3Receipt of Examiner Reports

3.12.4Facilitating the reaching of consensus on the examination outcome

3.12.5Responding to the Examination Reports

3.12.6Re-examination

3.12.7Examination of Theses under a Joint Research Training Program

3.13Degree Award Recommendation

3.14Requirements for Completion of a Higher Degree by Research Degree

3.15Submission of Final Copies of Thesis

3.16Recordkeeping Requirements

4Responsibilities

4.1The Dean of Graduate Research is responsible for:

4.2Heads of Academic Units are responsible for:

5Definitions and Acronyms

6Supporting Documentation

7Acknowledgements

8Versioning

1Objective

The objectiveof this Policy is:

• to provide transparent and consistent requirements for the preparation, submission and examination of Higher Degree by Researchtheses[1],and
• establish examination processes that provide a timely outcome for Higher Degree by Research candidates.

2Scope

This Policy applies to:

• all domestic, Aboriginal and Torres Strait Islander, and international Candidates enrolled in a Higher Degree by Research at theUniversity of Tasmania (the University)
• all academic and professional staff members of the University who are involved in the conduct or administration of the thesis examination process, and
• the examiners participating in the examination of Higher Degree by Research theses from the University.

3Policy Provisions

3.1Principles

A Higher Degree by Research thesis embodies the results of original research and investigation by a candidate enrolled in a Higher Degree by Research.The thesis must demonstrate the outcome of a sustained period of supervised research that has produced original findings, and constitutes a coherent and cogent argument communicating the significant aspects of research and writing undertaken for the degree.

In accordance with the 2015 Higher Education Standards Framework the examination of a Higher Degree by Researchthesiswill be conducted by at least threeexperts in the discipline (two of whom are external to the University),independentof the conduct of the research, and without any real or perceived conflict of interest.

3.2ThesisStructure

Thestructure of thethesis will be decided in consultation with theprimarysupervisor and conform to disciplinary norms. Athesismay include:

1. a written text organised inconventional chapters
2. relevant papers which have been published, accepted, submitted or prepared for publication (see clause 3.3 of this Policy)
3. a combination of 1 and 2, or
4. creative, visual or professional practice products (e.g., musical manuscript, audio-visual materials, models, designs, computer software, digital material or other non-written material) together with an exegesis.

The thesis must meet the minimum formatting requirements as set out in the General Requirements of a Higher Degree by Research Thesis.

3.3Including Publications in a Thesis

A candidate’s thesismay include relevant papers linked to the thesis researchwhich have been published, accepted, submitted or prepared for publication. The research upon which the papers are based must have been undertaken during thecandidate’s period of enrolment in the Higher Degree by Research for which they are submitting the thesis for examination.The papers should be included in accordance with UniversityGuidelines for Incorporating Publications into a Higher Degree by Research Thesis.

3.4Language of the Thesis

The language of instruction at the University is English and this is also the primary language of intellectual communication of peer-reviewed research outputs internationally. The thesisshall be written in English, subject to clause 3.4.1 or 3.4.2 of this Policy, and demonstratea satisfactory level of scholarly presentation.

3.4.1Writing a Thesis in an Australian Indigenous language

The Dean of Graduate Research may give approval for all or part of the thesis to be written in an Australian Indigenous language subject to clause 3.4.3. Candidates must present a case in writing to the Dean of Graduate Research prior to confirmation of candidature.

In considering a request, the Dean of Graduate Research,will take into account:

1. the Candidate’s research topic;

1. the capacity of the Academic Unit of Enrolment to provide continuity of appropriate linguistic expertise in the supervisory team;
2. the extent to which the thesis is intimately associated with the study of that language; and
3. the availability of expert examiners able to read the thesis in the nominated language, and whether its presentation in English would vitiate the thesis.

Where approval is given by the Dean of Graduate Research, the thesissubmitted for examination must contain an extended abstractin English that includes an introduction, chapter outline and conclusion. The extended abstract should be within the following word limits:

• 5,000-10,000 words for Doctoral Degrees
• 2,500-5,000 words for Masters of Research Degrees

3.4.2Language of a Thesis for a Joint Higher Degree by Research

The language of a thesis submitted for examination as part of a Joint Higher Degree by Research must be written in the language of either the home or host institution, subject to clause 3.4.3 of this Policy.

The language of the thesis must be agreed upon and approved by the Dean of Graduate Research prior to signing the Joint Higher Degree by Research Agreement.

A Candidate’s lack of proficiency with the English language is not an appropriate reason for seeking to write the thesis in a language other than English. Minimum English language proficiency requirements are provided in clause 3.3 of the Higher Degree by Research Admissions and Enrolment Procedure.

3.4.3Translation of Thesis and Examiners’ reports

Where the Dean of Graduate Research gives approval under clause 3.4.1 or 3.4.2 of this Policy for all or part of the thesis to be written in a language other than English, the Candidate may be required to submit a full English translation of the thesis.The translation of the thesis must be undertaken by the Candidate.

Examination reports in a language other than English must also be translated into English by a translator registered with the National Accreditation Authority for Translators and Interpreters (NAATI) or equivalent accrediting body in Australia.

3.5Editing the Thesis

Primary responsibility for editing a thesis lies with the candidate.

Professional editorial intervention should be restricted to copy-editing and proofreading as described intheAustralian Standards for Editing Practice.The primary supervisor must oversee the process and monitor professional proof reading on an individual basis. Professional editorial advice must be acknowledged in the thesis.

3.6Nomination and Appointment of Examiners

Examiners are nominated by the primary supervisor, in discussion with the supervisory team and endorsed by the Head of Academic Unit. Four potential examiners must be nominated and include:

1. one internal examiner
2. two external examiners (at least one must be international), and
3. one reserve examiner.

At least two of the three appointed examiners will normally hold a senior academic appointment, or evidence an equivalent level of scholarly practice and experience.

All examiners must:

• be independent of the supervisor(s) and Candidate and free from conflict of interest as per clause 3.7 of this Policy
• have appropriate qualifications, expertise, and experience in the examination of a Higher Degree by Research for which the thesis has been submitted for examination,and
• be national and/or international experts in the field of research of the thesis, have relevant high quality research outputs, and whose assessment will be respected nationally and internationally.

A Candidate may provide a request in writing to the primary supervisor for the exclusion of any discipline experts from examining the thesis, along with a rationale for that exclusion, as per the Higher Degree by Research Examination Procedure. The candidate must not be involved in any other part of the nomination of examiners.

The identity of potential, nominated or confirmed examiners must not be released to the candidate,subject to any exceptions outlined in the Higher Degree by Research Examination Procedure.

All examiners will be informed of the requirements and expectations of the University.

3.7Conflict of Interest

An examiner must not be involved in the examination of a thesis if there is a major, actual or perceived conflict of interest between the examiner and the candidate, the supervisor(s), the University, the subject matter itself or another examiner.

The primary supervisor must advise the Head of Academic Unit of any actual or perceived conflicts of interest with reference to the University’sConflict of Interest in the Appointment of Examiners of Research Theses Guidelines. The Head of Academic Unitmust disclose and manage any declared conflicts of interest in line with the University’s Conflict of Interest Policy.

3.8Thesis Submission

The thesis must be submitted in electronic format as per the Higher Degree by Research Examination Procedure.

Where a performance forms part of the examination, that performance must be recorded. Where an exhibition forms part of the examination all artefacts must be retained by the Candidate until a final outcome of examination has been determined and documented using appropriate digital recording or other means of capturing the exhibition content and context such that it can be reviewed at a later date if required.

A candidate must include and sign the relevant declarations in the front matter of the thesis in accordance with the General Requirements of a Higher Degree by Research Thesis.The Head of Academic Unit,on advice from the primary supervisortakes responsibility for certifying that the thesis meets the University Higher Degree by Research thesispreparation requirements andis suitable for submission.

3.8.1Submitting a Thesis against the advice of the Supervisors and Head of Academic Unit

Where a Candidate expresses an intention to proceed to examination against the advice of the primary supervisor andHead of Academic Unit, the Candidate will sign a statement acknowledging that the thesis has been submitted for examination without the endorsement of the primary supervisor andHead of Academic Unit. This statement will not be communicated to the examiners so as to avoid any prejudice in the examination process.

Under these circumstances, the University Research Committee Higher Degree by Research Examination Sub-Committee willappoint the Convenor of Examination who, in addition to the duties listed in clause 3.10 of this Policy, will nominate the examiners.

3.8.2Data Management

All research data and primary materials created or obtained as part of a Higher Degree by Research must be managed in line with the requirements of the University Management of Research Data Policy and Procedure.

Sufficient materials and data related to the research for all Higher Degrees by Research must be retained to justify the outcomes of the research and to defend those outcomes if they are challenged.

Where appropriate, data must be stored in the Research Data Management Portal.

3.9Eligibility for Examination

To be eligible to submit a thesis for examination, a candidate undertaking a Higher Degree by Research must:

1. be currently enrolled in the Higher Degree by Research for which they are seeking to be examinedand that enrolment be equal to or greater than the minimum degree period underRule 4 – Rules of Graduate Research (Rule 4),unless a shorter period is approved by the Dean of Graduate Research due to exceptional circumstances, and

1. have had their candidature confirmed.

A candidate must notify the Graduate Research Office of their intention to submit the thesisfor examination eight weeks prior to the intended date of submission.

When submitting a thesis, the candidate must:

1. make all necessary declarations and acknowledgements as described in clause 3.8 of this Policy and related procedures and guidelines

1. prepare the thesis in accordance with clause 3.8 of this Policy and the General Requirements of a Higher Degree by Research Thesis.
2. where required, provide the appropriate deed of assignment of intellectual property rights, and
3. where required, ensure thatprotocols approved by the relevant research ethics committee have been adhered to during the conduct of the research as per the Research Ethics Policy.

A thesis may not be submitted for examination if:

1. it is substantially similar to a thesis or research in whole or in part that has been used to acquire any other tertiary qualification except where the thesis is being submitted jointly to the University and another institution for a jointly awarded qualification under a formal Joint Higher Degree by Research Program
2. it is substantially similar to a thesis or previously examined, or assessed and rejected, unless the Dean of Graduate Research has given approval, or

1. the Candidate’s candidature has been terminated.

3.9.1Thesis Submission after withdrawal or termination

A person whose candidature has been terminated under Rule 4 or who has withdrawn from the Higher Degree by Research may be eligible under Rule 4 to subsequently apply for readmission to candidature to submit their thesis for examination, subject to approval of the Dean of Graduate Research. The University is under no obligation to accept a thesis for examination from a person whose candidature has been terminated or who has withdrawn from their Higher Degree by Research.

3.10Convenor of Examination

The University Research Committee Higher Degree by Research Examination Sub-Committee will maintain a list of approved Convenors of Examination.

A Convenor of Examination will be appointed by the Head of Academic Unitfrom this list to act as an independent Chair throughout the examination process of a Candidate’s thesis as per the Higher Degree by Research Examination Procedures.

Convenors of Examination must:

1. be a senior academic staff member of the University deemed to be a discipline expert in their primary field of research

1. hold a Doctoral degree or have a record of scholarly achievement and professional experience that the Dean of Graduate Research considers equivalent to a Doctoral degree
2. be familiar with the research discipline represented in the Candidate’sthesis, or in the case of an inter-disciplinary or multi-disciplinary thesis be familiar with part of the research disciplines represented by the thesis, and
3. be otherwise free from conflict of interest.

The following people must not be appointed as the Convenor of Examination:

1. current or former member of the supervisory team

1. the Head of Academic Unitin which the candidate isenrolled
2. the Graduate Research Coordinator of the Academic Unit of Enrolment, or
3. any person who has been involved in the management of the candidature of the author of thesis under examination.

3.10.1Duties of the Convenor of Examination

The Convenor of Examination will be responsible for:

1. managingthe thesis examination process
2. chairing the oral examination

1. facilitating a consensus decision amongst the examiners on the examination outcome and thesis corrections
2. in collaboration with the internal examiner, ensuring that the Candidate has made the changes where requested by the examiners or has defended on academic grounds the absence of a change, and
3. providing a report ontheexamination process and outcome to the University Research Committee Higher Degree by Research Examination Sub-Committee.

In the conduct of their duties, the Convenor of Examination is expected to:

1. confer with the candidate’s primary supervisor

1. consult other members of the supervisory team, where required,and
2. confine any judgements on the candidate’s thesis corrections to those raised by the examiner(s) in their reports.

3.11University Research Committee Higher Degree by Research Examination Sub-Committee

The University Research Committee Higher Degree by Research Examination Sub-Committeeis a committee of the University Research Committee chaired by the Dean of Graduate Research.

The University Research Committee Higher Degree by Research Examination Sub-Committeeis responsible for:

1. reviewing the examination report prepared by the Convenor of Examination and confirming that the thesis examination was conducted in line with this Policyand the Higher Degree by Research Examination Procedure
2. endorsing the final examination resultas the outcome of a proper process, and

1. appointing a Convenor of Examination where clause 3.8.1 of this Policyapplies.

All final examination outcomes will be reported to the University Research Committee Higher Degree by Research Examination Sub-Committeefor endorsement prior to reporting to the University Research Committee and Academic Senate for approval.

3.12Examination of the Thesis

The thesis will be submitted to three examiners appointed as per clause 3.6 of this Policy. Each examiner is required to individually andindependently assess the merit of the thesis in accordance with the guidelines provided to the examiners, and prepare a written report which makes and explains a preliminary recommendation to the Convenor of Examination for an examination outcome.

An oral examination on the topic of the thesis and the general field to which the topic belongs will normally be held as part of the Doctoral Degree examination subject to clause 3.12.1 of this Policy. The Candidate must demonstrate mastery of the thesis in the oral examination in order to be eligible for the award of the degree.Candidates enrolled in a Master of Research degree are not required to complete an oral examination.

The oral examination will be conducted by an examination committee in line with the Higher Degree by Research Examination Procedures consisting of:

1. the Convenor of Examination who acts as chair and is responsible for ensuring the oral examination is appropriately conducted, and

1. at least two of the three examiners, one of whom must be external to the University (international examiners may participate by video conference).

The format of the oral examinationmust be consistent with the Higher Degree by Research Oral Examination Guidelines and involve:

1. a presentation by the Candidate

1. questioning of the Candidate by the examiners,and
2. deliberation by the examination committee, without the Candidate or primary supervisor present.

An officer of the Graduate Research Office will be appointed as secretary and will record minutes of the in-camera deliberations of the examination committee.