Examination of thesis

The examination rules for the PhD are included in Appendix 3 in this handbook. While these rules refer specifically to the PhD, faculties are required to follow them (with appropriate modifications) for other research degrees.

Appointment of examiners

The examination process starts before the thesis has been completed. The University attempts to avoid any unnecessary delays in the examining process, and one way of reducing delays is to ensure that when the thesis is submitted the examiners have been arranged and are willing and ready to act.

You, as the candidate, should know when your thesis is likely to be ready for examination and alert your supervisor to identify suitable available examiners. Particularly at some times of the year, it can take time to make contact with potential examiners who are able to examine when your thesis is expected to be submitted.

You are required to let your supervisor and/or the head of your department/school know, three months before you expect to submit your thesis. The 'Notice of Intention to Submit Thesis' form is available from your faculty.

If you wish to submit your thesis in electronic form, advise your supervisor and/or the department/school, by way of the appropriate form available at the faculty office, at least three months prior to submission.

While the appointment of examiners remains the responsibility of the University, you, as a candidate, may make an input. In appointing examiners the University seeks to ensure that they are appropriately qualified in and conversant with current research in the field concerned, are familiar with the requirements for the degree in question, and are free from bias for or against the candidate or supervisor.

You as the candidate may indicate in writing to your head of department/school, chair of the postgraduate committee or dean of your faculty, the name of any person you believe should not be appointed as an examiner, clearly stating your reasons. You may also initiate with your supervisor and/or head a discussion as to the range of possible examiners.

Care must be taken not to jeopardise the integrity and independence of the examination process. As such, you will not be privy to the names of the examiners chosen to mark your thesis until after the examination is complete, and only then if they agree to the release of their details.

In the case of the PhD, the recommendation for appointment of examiners is made on a form which iterates the requirements expected of examiners and asks for supporting documentation if the examiner is not obviously research active or qualified by virtue of an academic appointment to so act (if they have retired, for example, or work in industry). The procedure is similar but less elaborate for master’s degrees.

Before a PhD thesis can be dispatched for examination, the examiners must be approved by the PhD Award Sub-Committee of Academic Board to ensure that they are suitably qualified to assess your work for the award of the degree.

Due to the time taken to approve the appointment of examiners, it is essential that the appointment process is commenced before you submit your thesis to avoid delay in the examination of your thesis. Lodgement of the Intension to Submit form three months before submission prompts the faculty to contact your supervisor to formally commence the appointment process.

Generally, your supervisor will recommend the appointment to your head of department/school (who officially forwards the recommendation to the dean for for endorsement before it is forwarded to the PhD Award Sub-Committee. Once the PhD Award Sub-Committee has approved the appointment, the faculty are contacted and the examination may commence as soon as your thesis is lodged.

Number of examiners

Three examiners are required for the PhD, DSW and EdD and generally two for master's degrees and for the SJD and doctorates by research and advanced coursework.

From 2001, it is a requirement of University funding that every postgraduate research thesis, including those at the master's level, be examined by at least one external examiner. In 2000 the Academic Board determined that there must be at least two examiners external to the University for the PhD degree, that an internal examiner need not be expected, and that the supervisor cannot be an examiner.

The examination

The examiners are requested to report within two months of receipt of the thesis. The faculty or college office monitors their progress and sends reminder notices if an examiner has not responded, and, if absolutely necessary, moves to appoint a replacement examiner.

On occasions there are problems with getting examiners' reports returned promptly. However, delays can be lessened by having examiners ready to act on receipt of the thesis at the time they expected to receive it, and ensuring where possible that your thesis is submitted at the time indicated on your 'Intention to Submit' form. If your thesis is not submitted within three months of the appointment of examiners, those examiners may need to confirm their continued willingness and availability to examine.

Examiners are required to produce independent reports on a thesis and are not told who the other examiners are. If consultation inadvertently takes place, they are asked to indicate in their reports the extent of that consultation.

Recommendations on thesis

When all the examiners' reports have been received, in respect of master’s degrees, the EdD, DSW and SJD, they are sent to the head of department/school for a recommendation. The head, particularly if there is any disagreement among the examiners, should, if reasonably possible, consult the supervisor and the annual progress reports before making a recommendation.

In the case of master’s degrees the recommendation is made to the dean of the faculty or to a designated associate dean or college officer who will either act or refer the recommendation to the faculty or college postgraduate committee.

In the case of the EdD, DSW, SJD and other doctorates by research and advanced coursework, the recommendation is made to the PhD Award Sub-Committee which can either award the degree without further conditions or subject to minor correction or subject to the making of emendations, or it can refer the recommendation to the faculty's postgraduate committee.

In the case of the PhD there has been a series of delegations allowing the relevant faculty, in certain circumstances depending on the recommendations of the examiners, to award the degree without further conditions, subject to minor correction, or subject to the making of more substantial emendations, or the satisfaction of other conditions. In other circumstances a recommendation is made to the PhD Award Sub-Committee which can decide on whether or not to award the degree and under what conditions.

The outcomes that are possible are as follows:

• that the degree be awarded without further conditions
• that the degree be awarded subject to minor correction before the degree is conferred (this includes correction of minor errors or omissions in the thesis, such as incorrect citations, omissions, or typographical errors, which must be corrected but which do not alter the conclusions of the thesis)
• that the degree be awarded subject to emendations being made in all the copies of the thesis to be retained in the University
• except in the case of the report of an oral examination, that the candidate be required to pass an additional (usually oral) examination or answer specific questions put by an examiner
• except in the case of the report of an oral examination, that further examination processes be gone through such as the appointment of an additional examiner or the appointment of an additional examiner to act as an assessor or the referral of the reports to the other examiners together with the comments of the supervisor
• that the candidate not be awarded the degree but allowed to revise and resubmit the thesis within a prescribed maximum period of time
• that the degree not be awarded.

The policy and procedures relating to oral examinations are set out below.

Where the recommendations of the examiners are all for award or for award subject to minor correction, the requirement for a recommendation from the head of department/school is dispensed with and the degree is awarded at faculty level. The candidate will be advised any corrections that are necessary by his or her head of department/school or supervisor. These corrections must be made in the Library copy of the thesis which must be lodged before graduation can occur.

Where the decision is that the degree will be awarded subject to the making of emendations the candidate will be advised what emendations are necessary by his or her head of department/school or supervisor. The Academic Board considers that copies of the thesis retained within the University (in Fisher or departmental libraries, for example) should be as free of error as possible and that where examiners have pointed out errors these should be corrected in all copies.

When these corrections/emendations have been completed to the head of department/school's satisfaction, the head so advises the faculty office which, after it receives a copy of the thesis for lodgement in the University Archives, writes a further letter advising that the degree is to be awarded.

Any emendations or corrections should normally be made within three months of the candidate being informed of the outcome. If this has not happened within that time the head of department/school is required to report the circumstances to the faculty or college's postgraduate committee which could then determine that the degree not be awarded. Quite simply, the sooner the emended thesis is submitted, the sooner your degree will be awarded.

If you are required to revise and resubmit you will be informed of this decision and invited to comment on the recommendation (see below). You will be advised on how long you have to complete the revision and when you will be expected to submit the revised thesis, and will be required to re-enrol for this period.

At the end of the revision period, you will resubmit copies of the thesis following the same process as for the first examination. Note that the same examiners will be reappointed to assess the revised thesis unless those examiners are unwilling or unable to act or the faculty considers that there are good academic reasons for not doing so.

When a thesis is submitted for re-examination, the examiners do not have available to them the recommendation of further revision and a third examination. Such a recommendation is available to the department/faculty only in exceptional circumstances and would require the special permission of the Graduate Studies Committee. In the case of a revised thesis, there is no option for the candidate to request that an oral examination be conducted.

In the circumstance that it has been recommended that the degree not be awarded, it may be possible to resubmit the thesis for a lower degree, graduate diploma or graduate certificate, either after some additional work or immediately. In the case of some degrees there is provision for the award of a lower degree without re-submission. For example, an MA can be awarded to an MPhil candidate.

If a faculty or college board forms the intention not to award the degree or not to award but allow revision and re-submission, there is a period of deferral to allow a process of consultation with the candidate. You will be advised in writing of the faculty or college board's intent and may be given unidentified copies of such of the examiners' reports as the examiners have said may be released.

You then have four weeks to give notice that you wish to provide comment on the proposed resolution of the faculty and a total of eight weeks to actually do so. This is a time when you should consult with your supervisor and/or your head of department/school or the associate dean or dean.

This process is intended to allow you to bring forward any additional information that you believe should be taken into account. Your comments, if any, are then considered by the faculty or college board and a decision made.

Examiners' reports

When this examination process is complete you will be sent the reports of the examiners or extracts from those reports. If the examiner has agreed to the release of his or her name the report will be identified, otherwise, reports are anonymous.

Examiners are asked to return their copies of the thesis by surface mail. You will be advised if and when these are received back in the faculty office so that you can either collect them or give instructions for their disposal.

Examiners are requested to make all comments or note all necessary corrections in the formal examination report, so access to the hard copy of the thesis that they have examined is generally not needed to complete any recommended changes before submission of the final version of the thesis.

Please note that while examiners are requested to return theses sometimes they fail to do so (especially if they are located overseas) and do not respond to further reminders. That is generally as far as the University will take the matter, so please do not harass administrative staff to chase outstanding copies.

Occasionally an examiner will ask to keep a copy of a thesis and such a request will be passed on to you after the examination process is complete. It could be an advantage for you in your professional career to comply with such a request, but you are by no means obliged to do so.