Policy Central

Policy: Higher Degree Research Thesis Preparation, Submission and Examination

Purpose

This policy outlines requirements for the preparation, submission and examination of higher degree research (HDR) theses.

Overview

The University requires HDR candidates to prepare a thesis in fulfillment of research degree requirements and for the thesis to undergo a process of external examination. Reports of the examination process are submitted in writing and reviewed by the Higher Degree Research Committee (HDRC). When all work on the thesis has been completed to the satisfaction of HDRC and any compulsory coursework units have been satisfactorily completed, a recommendation is made to Academic Senate as to the award of the degree.

The University encourages candidates to prepare a thesis by publication as this format provides an opportunity to add further value to the research student experience. A thesis by publication also provides an incentive for a timely completion, enhances employment prospects, improves publication outputs and strengthens the University’s research rankings.

This policy outlines requirements for the thesis preparation, submission and examination, appointment of examiners and the recommendation for a Macquarie award.

Scope

This policy applies to all higher degree research candidates enrolled at Macquarie University and to all Principal, Acting, Associate, Co and Adjunct Supervisors, as well as other Macquarie staff acting on behalf of these HDR candidates. It applies to all examiners of Macquarie HDR theses.

The Policy

Thesis Preparation

An HDR thesis embodies the results of original research and investigation by a candidate enrolled in a research degree.
The University requires that a contribution to knowledge be made through research degree completion and that this contribution (‘distinct’ in the case of doctoral degrees) be made during candidature, that is, while enrolled in the research degree. The thesis must also not have formed part of another degree successfully completed at Macquarie or elsewhere, unless under the auspices of a joint enrolment agreement.
The University recognises that theses or parts of theses may be presented in a variety of formats and media but will incorporate a written component which is situated in an academic discourse appropriate for the discipline area.
Theses may include relevant papers (including conference presentations) published, accepted, submitted or prepared for publication. The research for these papers is to be undertaken during the period of candidature. These papers should form a coherent and integrated body of work, which includes a comprehensive and critical introduction and an integrative conclusion and focus on a single project or set of related questions or propositions.
The preparation of papers both in journal article format and in high quality publications both during and following candidature requires time and planning. Macquarie University encourages research candidates and supervisors at the commencement of candidature to design HDR projects incorporating such papers.
The thesis must be the candidate’s own work and any contribution by other people, including co-authors of papers, must be clearly stated in the thesis.
The length of the thesis is to conform to the requirements set by the Executive Dean of the Faculty in which the candidate is enrolled and will allow for discipline variations.
The thesis shall contain an abstract of approximately 200 words.
The thesis shall be written in English and reach a satisfactory level of literary presentation. HDRC may permit candidates to submit a thesis or part thereof in a language other than English.

Thesis Submission

The HDR candidate is required to submit four copies of a doctoral thesis and three copies of a Masters thesis embodying the results of the candidate’s work. The format of the thesis is to conform to the Guidelines approved by the University.
The Principal Supervisor must certify in writing that the thesis meets University requirements.
A candidate may submit a thesis for examination against the advice of the Principal Supervisor, for consideration by HDRC.

Thesis Examination

Examiners are required to address the following criteria in the assessment of the thesis: that it forms a (‘distinct’ in the case of a doctoral degree) contribution to the knowledge of the subject area; that it affords evidence of originality through the discovery of new facts or by the exercise of independent critical analysis and that it is satisfactory as regards its literary presentation.
The examination of the thesis will assess the candidate’s work undertaken during enrolment and reported in the thesis. It will exclude any work which formed part of another degree successfully completed at the University or elsewhere, unless completed as part of an approved joint enrolment agreement. The candidate will be responsible for clearly indicating any such contribution from excluded sources.
Thesis content will remain confidential during the examination period and the University reserves the right to request examiners to sign a Non Disclosure Agreement if required.
The examiners shall report in writing to HDRC in an approved form indicating their assessment of the thesis and their recommendation as to whether the degree should or should not be awarded or whether additional work should be undertaken by the candidate. They may recommend to HDRC that the candidate undertake such oral, written or practical examination as they may specify.
HDRC may determine that an oral examination be used to resolve concerns about the thesis. An oral examination is viewed as a supplementary examination. The HDR candidate is required to attend the oral examination.
Only one submission for re-examination is permitted.
A candidate who does not re-submit a thesis for examination within the specified time will be deemed to have not satisfied requirements for the award of the degree.

Appointment of Examiners

Examiners of HDR theses are appointed by HDRC following advice and information provided by Faculties. Each doctoral thesis is normally examined by three examiners and each Masters thesis is examined by at least two examiners.
The nomination and selection of examiners is based on the principle that candidates receive an impartial examination by high quality examiners in the field of research.
Examiners are to be appointed who are national and/or international experts in the HDR thesis field, normally with senior academic appointments in the field of research, with relevant high quality research publications, with previous HDR thesis examination experience, and whose assessment will be respected nationally and internationally.
Examiners should normally include at least one international and one national examiner to maintain the international quality of Macquarie’s HDR awards..
No more than one examiner from any single institution or academic network in a single city shall normally be appointed.
The examiners must not have had any involvement in the preparation of the thesis, e.g. as a member of the supervisory panel or as an academic advisor for the candidate and must satisfy other University policy requirements such as those relating to conflict of interest.
Unless there are exceptional circumstances approved by HDRC, examiners must not be currently employed, or within the last four years have been employed, by Macquarie University; or be doctoral graduates of Macquarie University; co-authors of publications with the candidate or with supervisors. .
At least two examiners must be external to Macquarie in the case of a doctoral thesis and at least one examiner must be external to Macquarie in the case of a Masters thesis.
In exceptional circumstances, the HDRC may approve the examination of a doctoral thesis by two examiners. In such a case, both examiners must be external to Macquarie University.

Macquarie Recommendation

The HDRC will determine the examination recommendation to be made to Academic Senate. The determination will be finalised following a recommendation to HDRC by the Program and Examination Sub-Committee.
The Program and Examination Sub-Committee will review individual examination reports and the comments submitted about the examination reports by the Principal Supervisor.
A recommendation for the award of a Vice –Chancellor’s Commendation will be made for theses which are nominated by all examiners as being in the top 5% (or equivalent) of all theses examined.

Thesis Finalisation

A final Library copy of the thesis must be lodged with the Macquarie University Library within 4 weeks of the candidate qualifying to receive the degree award, subject to any approved moratorium conditions.

Policy Information


Contact Officer	Manager, Higher Degree Research Office
Date Approved	18 November 2008
Approval Authority	Academic Senate
Date of Commencement	Continuous
Amendment Dates	3 April 2009 (HDRC)
Date for Next Review	August 2011
Related Policies, Procedures and Guidelines	Higher Degree Research Thesis Preparation, Submission and Examination Procedures. Higher Degree Research - Thesis by Publication Guideline. Higher Degree Research - Re-Examination of a Thesis Guideline. Oral Examination Procedure (TBA).
Policies Superceded by This Policy	The Doctoral Degree Rules and Rules for the Degree of Master by Research Rule 7. Appointment of Examiners Policy (Higher Degree Research Committee 6 February 2004) Thesis by Publication Policy (Higher Degree Research Committee 2 June 2006).
Keywords	Thesis examination; thesis submission; thesis re-examination; examiner appointment; examiner approval; nomination of examiners; examination confidentiality; library copy; external examination; thesis by publication; thesis abstract; joint enrolment agreement; oral examination; Higher Degree Research Committee; Academic Senate; Program and Examination Sub-Committee; Vice-Chancellor’s Commendation.

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