Higher Degree Research Examination Policy

PURPOSE

This policy details Leaders Institute’s (LI) principles and processes to regulate the examination of Higher Degree Research (HDR) theses or portfolios.

SCOPE

All HDR supervisors and students

PRINCIPLES

LI is committed to the following HDR examination principles:

• the thesis/portfolio adheres to research integrity as stipulated in the All research undertaken at LI complies with the National Statement on Ethical Conduct in Human Research and the Australian Code for the Responsible Conduct of Research, including authorship, academic misconduct, and research ethics;
• the thesis/portfolio includes a signed statement of originality incorporating an acknowledgement of other contributors, editorial assistance, and copyright provisions and approvals;
• any real or potential conflict of interest between examiners, supervisors, and the HDR student are declared so that the thesis may be assessed free from bias or preferential treatment. A conflict of interest will normally result in the non-appointment of an examiner;
• LI requires that all researchers identify, manage, and declare circumstances and associations that may give rise to a conflict of interest;
• confidentiality of the examination process is maintained. The supervisors and HDR student must not communicate with examiners during the examination process;
• examiners provide written reports on the thesis/portfolio;
• processes for determining the outcome of the examination are available to examiners, supervisors, and HDR students;
• after passing examination, the HDR student submits a digital copy of the thesis/portfolio to the LI library.

EXAMINERS

HDR examinations are conducted by a minimum of two independent examiners. The HDR Program Director is responsible for administering HDR examinations. HDR examiners must:

• be external to LI;
• have no conflict of interest;
• hold a completed N+1 degree if examining a Master of Research thesis;
• hold a degree equivalent to the degree they are examining if examining a Doctorate thesis;
• have good international standing in the field of research;
• have a demonstrated track record as a HDR supervisor or examiner at the AQF level at which they examine.

PROCEDURES

HDR EXAMINATION PROCESS FLOWCHART

SUBMISSION

To submit a thesis/portfolio for examination, the HDR student must:

• be currently enrolled at the time of submission;
• have completed the minimum duration of candidature (2.5 years for doctorate and 1 year for masters by research), unless otherwise approved by the HDR Program Director;
• have successfully completed all core coursework;
• have successfully completed all compulsory milestones or received exemptions;
• ensure that the principal supervisor confirms that the thesis/portfolio adheres to the Australian Code for the Responsible Conduct of Research and meets legislative requirements regarding ethics, copyright, and privacy;
• ensure that the thesis/portfolio is approved by the supervisors as being of examinable standard. If the student chooses to submit the thesis/portfolio for examination without the approval of the supervisors, this must be noted by the student on the front cover of the submission.

The thesis/portfolio is submitted electronically to the Learning Management System in the form specified. It must also be submitted to the HDR Program Director in both word and PDF formats.

APPOINTMENT OF EXAMINERS

The principal supervisor, in consultation with the HDR student, recommends to the HDR Program Director four potential examiners. These potential examiners should have no conflicts of interest. This list should include at least two international examiners. Potential examiners must then be approved by the HDR Program Director. If the HDR Program Director is also the student’s supervisor, then the potential examiners should be approved by a delegated representative. The selected names will remain confidential. The supervisors and students are not to make direct contact with examiners until after the examination process is complete.

Examiners are given eight weeks to complete the examination. Each examiner provides an independent detailed written report to the HDR Program Director in accordance with LI’s Guidelines for HDR Examiners. The report should detail how the thesis/portfolio has or has not met the learning outcomes of the course and provide the student with feedback for improvements or revisions.

The HDR Program Director may excuse any examiner and/or their report if:

• the examiner fails to return a completed examination report within the requested time;
• unauthorised contact with the examiner occurred during examination;
• a conflict of interest is discovered during or after the examination; and/or
• there is reason to believe that the examination has not been properly conducted.

EXAMINATION OUTCOMES

Examinations have the following possible outcomes:

• C1 passed with no changes – student is eligible to apply to graduate.
• C2 passed with minor changes – student has two months to complete the changes and resubmit to the HDR Program Director for approval, including a report of the revisions completed by the student.
• C3 passed with major changes – student has four months to complete these changes and resubmit to the HDR Program Director for approval, including a report of the corrections and amendments completed by the student. If the HDR Program Director is dissatisfied with the changes, the student might be asked to make further minor changes or to revise and resubmit.
• C4 revise and resubmit – student must resubmit for examination a revised thesis/portfolio after a further period of research, substantial reorganisation, or reconceptualisation. Students have up to 12 months to complete these changes and then re-submit the thesis/portfolio for examination. Only one resubmission is allowed. The HDR Program Director may choose the initial examiners or alternate examiners to examine the revised work. Examiners are provided with the revised version of the thesis/portfolio and a report from the student listing amendments made and justification for any recommended amendments not made. The thesis/portfolio follows the usual examination process.
• C5 fail – thesis/portfolio is not of the appropriate standard for an HDR award. No further submission is allowed.

In the case of a C3 result or otherwise specified by LI’s Examination Schedule, the HDR Examination Committee may be convened and prepares a report.

THIRD EXAMINER

If the examiners’ reports are substantially different and irreconcilable, the HDR Program Director may appoint a third examiner from among the originally suggested examiners. If necessary, the principal supervisor can suggest additional names. The examination result will be determined by the majority position of the three reports according to the LI Examinations Schedule. If two of the three examiners do not substantially agree, then the HDR Examinations Committee may be convened.

HDR EXAMINATION COMMITTEE

The HDR Examination Committee is an ad hoc subcommittee of Research and Scholarship Committee. Terms of reference are outlined in the Academic Board Terms of Reference Policy. The committee is convened concerning:

• classification of disparate examiners’ reports in accordance with the LI Examinations Schedule;
• amount and type of revisions required;
• need for any additional support to be provided to the student;
• recommendation of the appointment of a third examiner where the examiner’s reports are unable to be reconciled;
• or whether, in rare cases, an examiner should be disqualified if there is evidence of bias, or conflict of interest which was not disclosed at the time of appointment.

The HDR student’s supervisors are invited to attend the HDR Examination Committee meeting but are not members. Supervisors cannot be involved in the determination of the classification. De-identified examiners reports are provided to the supervisor/s but information within the reports must be kept confidential.

HDR Examination Committee may request more information from the HDR Program Director, if required. Direct contact with examiners must not be made by the HDR student, supervisors, or members of the committee.

Once the classification has been determined, the Chair informs the HDR Program Director, who informs the student and supervisors. In the event of a C3 or C4 recommendation, HDR Examination Committee must specify the number and type of revisions required by the student.

FINAL APPROVAL

The HDR Program Director determines the examination outcome, as per the LI Guidelines for HDR Examiners, based on the two examiners’ reports and recommendations, and, if HDR Examination Committee has been convened, the Student’s Summary Report of Revisions and/or the third examiner’s report.

The HDR Program Director may deem that the student’s work is not sufficient for the award of a doctorate but is sufficient for the award of a masters by research. In this instance, the HDR Program Director will then advise the student and supervisors of this decision. Students must advise the HDR Program Director within 20 business days that the masters by research will be accepted. If it is not accepted, the HDR Program Director may fail the student.

COMPLETION

Once all required revisions have been completed and approved by the HDR Program Director, the student is eligible to apply to graduate. All primary research data is stored by LI for at least seven years after successful completion of the thesis/portfolio. HDR students must submit a digital copy of the successful thesis/portfolio to the LI Library.

APPEAL

An HDR student who receives a C5 classification may appeal in adherence to the Complaints, Grievances, and Appeals Policy.

EXCELLENCE IN RESEARCH AWARD

In alignment with the Scholarships, Subsidies, and Awards Policy, the Research and Scholarship Committee may bestow an Excellence in Research Award which recognises HDR graduands who demonstrate creativity, innovation, and excellence in research.