HDR Thesis Submission and Examination Procedure

Intent

This Procedure has been established to outline the process for submission and examination, including re-examination, of a thesis produced by a Higher Degree by Research (HDR) candidate.

This Procedure addresses Higher Education Standards Framework (HESF) Standard 4.2.1d-g.

Scope

This Procedure applies to HDR candidates at James Cook University (JCU; the University) who are submitting their thesis for examination, and University staff involved in the thesis submission and examination process.

Definitions

Terms mentioned in this document and not defined here are defined in the Higher Degree by Research (HDR) Policy and the Policy Glossary.

Procedure

1. Nomination of Examiners  

1.1 Upon successful attainment of the Pre-completion Milestone, the advisory panel will submit a completed HDR Nomination of Examiners Form to the Graduate Research School (GRS) for approval by the Dean, Graduate Research and Researcher Development (GRRD).

1.2 All actual, potential and/or perceived conflicts of interest must be declared by the advisory panel and the HDR candidate at the time of the nomination of examiners.

1.3 No examiner should be nominated about whom the HDR candidate has expressed concerns in writing to their College Dean or the GRS.

1.4 The GRS will formally invite two approved examiners to participate and provide the necessary information explaining their role in the examination process.

2. Appointment of Chair

2.1 The Chair of the Candidature Committee will normally act as Chair of the Examination (the Chair).

2.2 When this is not possible a Chair will be nominated by the College Associate Dean, Research Education (ADRE).

2.3 The Chair will conduct the oral component of the examination and upon completion will provide a summary recommendation to the Dean, GRRD.

3. Thesis Submission

3.1 When submitting their thesis, HDR candidates must provide the following to the GRS:

a. An electronic copy of the thesis meeting the requirements described in the HDR Thesis Preparation Guide; and

b. A completed SUB-FORM-01 HDR Thesis Submission and Release Form signed by the HDR candidate and their advisory panel;

c. A completed PUB-FORM-01 Thesis Publications, Copyright and Sensitivity Declaration for those HDR candidates whose thesis contains publications derived from the research conducted during their HDR enrolment.

3.2 Upon successful submission of the thesis to the GRS, the HDR candidate will be placed ‘Under Examination’ in the Student Management System.

3.3 Where a HDR candidate request permission to submit without the advisory team certification, the HDR candidate must make a case to the Dean, GRRD in writing. Following consultation with the College Dean, ADRE, and Primary Advisor, a decision will be made by the Dean, GRRD.

3.4 The GRS will contact the nominated examiners and confirm no conflict of interest, and continued willingness to examine the thesis.

4. Examination

4.1 Examination comprises two components, examination of the written thesis and an oral examination.

Examination of the written thesis

4.2 The GRS will send the thesis   to the appointed examiners with the examiner information, the Guidelines for Examiners  , and thesis assessment form. Examiners will be asked to submit their reports within 5 weeks of receiving the thesis.

4.3 Examiners will be asked to ascertain whether a thesis conforms to the learning outcomes of the relevant degree as described in the Australian Qualifications Framework and detailed in the relevant Guidelines for Examiners.

4.4 During thesis examination the HDR candidate and advisors must not have contact with the examiners. All communication regarding the examination of the thesis must be conducted through the GRS.

4.5 Where the examiner has not submitted their report within 6 weeks   of receiving the thesis, the Dean, GRRD, in consultation with the Primary Advisor, may appoint an alternate examiner, who is normally the nominated replacement examiner provided at 1.1  .

4.6 Where both examiners agree that the thesis is ready to proceed to the oral component of the examination, the GRS will provide the examiners reports to the HDR candidate and Advisory Panel in preparation for the oral component of the examination to be held approximately 2 weeks following the HDR candidate’s receipt of the reports.

Oral Component of the Examination

4.5 The purpose of the oral examination is to allow examiners to verify the HDR candidate’s contribution to the thesis and to clarify points of principle or of detail in the thesis.

4.6 The oral component of the examination will be scheduled for at least 2 weeks after the due date for the examiners reports.

4.7 The oral examination panel will comprise:

a. The Chair;

b. Examiners, who may participate in person or using live video conferencing.

4.8 The oral examination may proceed with only one examiner present (in person or virtually) in exceptional cases only with approval of the Dean, GRRD. Comments from the second examiner may be provided.

4.9 The Advisory Panel does not take part in the oral examination but may attend at the discretion of the HDR candidate.

4.10 The oral examination will be conducted in accordance with the Guide for Conducting an Oral Examination.

4.11 Examiners will finalise their recommendations concerning the thesis following the oral examination and communicate these to the GRS through the Chair, as outlined in the Guide for Conducting an Oral Examination.

5. Examination Outcomes

5.1 Possible outcomes of the examination process are:

a. The HDR candidate is awarded the degree with no further changes;

b. The HDR candidate is awarded the degree after making corrections to the satisfaction of the College Dean;

c. The HDR candidate is not yet awarded the degree but is permitted to revise and resubmit the thesis for examination, before proceeding to the oral component of the examination.

d. The HDR candidate is not yet awarded the degree but is permitted to repeat the oral component of the examination in response to comments and recommendations of the oral examination panel;

e. For PhD Examinations, the thesis is not of sufficient standard for the award of a PhD degree but may be considered for the award of a MPhil; or

f. Fail: the thesis is not of the appropriate standard for the award of any HDR and/or the HDR candidate has not adequately met the expectations for the oral examination component.

5.2 Amendments to the thesis for outcomes requiring changes but no further examination are to be completed within 3 months.

5.3 Where the outcome of the examination is revise and resubmit the thesis, or repeat the oral examination component,   both original examiners will be invited to examine the re-submitted thesis. The HDR candidate will be given up to 12 months to resubmit the thesis for examination.

6. Conferral of Degree

6.1 HDR candidates will be eligible for their degree to be conferred only when all requirements are met, including:

a. Successful completion of all course requirements;

b. A summary of required amendments made to the thesis approved by the College Dean (if relevant);

c. A copy of the final thesis has been deposited in the library’s repository; and

d, Any outstanding university fees have been paid

6.2 Upon completion of all degree requirements, the Dean, GRRD will inform the HDR candidate in writing that they have met the requirements of the award.

6.3 Graduates are entitled to use the award title once the award have been conferred by the University Council. The schedule of Council meetings is published on the JCU Governance webpage.

6.4 The conferral of the award is considered public information. The University may publish or provide confirmation in relation to a graduate’s name, award(s) conferred and their conferral date in accordance with the student contract.

Related policy instruments

Higher Degree by Research (HDR) Policy

HDR Thesis Preparation Guide

Guidelines for Examiners (pending)

Guide for Conducting an Oral Examination

SUB-FORM-01 HDR Thesis Submission and Release Form

PUB-FORM-01 Thesis Publications, Copyright and Sensitivity Declaration

Schedules/Appendices

Appendix 1 Examples of Conflicts of Interest  (HDR Examiners)

Administration

NOTE: Printed copies of this procedure are uncontrolled, and currency can only be assured at the time of printing.

Approval Details

Revision History