Doctoral study regulations

The graduate program director or program designate shall ensure that the members of a supervisory committee are sufficiently competent and experienced to serve at the required level. In forming a supervisory committee, the graduate program director or program designate should consider the rank and experience of the supervisor and prospective members, their publications and other demonstrations of competence in the field of specialization, and the prospective members’ experience in graduate supervision.

As minimum criteria, supervisors must normally:

• be full-time, continuing Athabasca University (AU) faculty, having a tenured (or tenure-track) faculty appointment,
• have experience co-supervising or serving on a supervisory committee,
• be an active researcher in an area relevant to the general area of the student’s research,
• hold a degree equivalent to or higher than that for which the student is a candidate, and demonstrate continuing scholarly or creative activity of an original nature as defined in item 3.7.3.b. of the Athabasca University Faculty Association (AUFA) Collective Agreement.

Committee members minimum criteria:

• be an active researcher in an area relevant to the student’s research,
• hold a degree equivalent to or higher than that for which the student is a candidate, and
• demonstrate continuing scholarly or creative activity of an original nature as defined in item 3.7.3.b. of the AUFA Collective Agreement.

Because of diverse interpretations of the term “scholarly or creative activity”, in case of doubt, the program director or program designate must consult the Faculty of Graduate Studies (FGS) to ensure minimum faculty eligibility criteria are met.

Any AU faculty member who meets the above minimum criteria is a member of FGS.

Individuals who do not meet the eligibility criteria above may be recommended to serve as co-supervisors and as members of the supervisory, candidacy, and examining committees. For approval of the following categories, the graduate program designate shall formally apply to FGS:

• retired professors or professors’ emeriti,
• qualified professors from other institutions
• adjunct professors (an adjunct professor is an honorary appointment at AU see AU Policy 025 003),
• faculty members who do not hold a degree equivalent to or higher than that for which the student is a candidate but are exceptional in their scholarly work and well-recognized as experts in their field,
• faculty in non-continuing positions teaching in an AU program or elsewhere, and
• other experts (e.g., First Nations’ Elders, academic coordinators, academic staff, or well-known experts in industry).

The request from the supervisor and graduate program director to FGS for committee membership approval of someone from the “Other” category should include the individual’s curriculum vitae (CV), and a description for the reasons for and benefits of having such a colleague as co-supervisor or on the proposed supervisory, candidacy, or examination committee. If approved, the colleague will become an associate member of FGS and remain eligible for appointment to other supervisory committees for a 3-year period after the initial decanal approval. Additional approvals will be dependent on a favourable recommendation from supervisors working with the colleague. Appointments will only be made of those individuals expected to be able to remain on the committee until completion of the student’s degree program. FGS may waive the approval mechanism where circumstances warrant.

Requests for continuing supervision by supervisors who have taken retirement will be dealt with by FGS on a case-by-case basis. The guiding principle will be that faculty who take retirement can continue to supervise their graduate student(s) upon recommendation by the graduate program to FGS.

In all cases, colleagues from the above groups should demonstrate continuing scholarly or creative activity as demonstrated by satisfying the criteria set out in item 3.7.3.b of the AUFA Collective Agreement.

Graduate students who write a dissertation are required to have a supervisor. In the doctoral program, the supervisor should be identified as soon as feasible after admission to the program, subject to the graduate regulations of the program. In some programs, an interim supervisor is assigned when the student is accepted. In this case, the interim supervisor will provide advisement to the student until the supervisor is selected and approved.

Students normally identify their supervisor, who is usually a faculty member from the program in which the student is enrolled. In cases where the supervisor is associated with another program at AU other than the student’s, the supervisor must agree to follow the policies and regulations of the student’s program in all matters related to the supervisory responsibilities. If the faculty member agrees to become the supervisor, the student obtains the Supervisor Approval Form from the FGS forms webpage, completes initial information, then submits it.  Their supervisor then confirms their agreement to supervise the student and the form is directed to the graduate program director and FGS for approval.

The supervisor works with the student on selecting the supervisory committee. The supervisory committee consists of a supervisor and a minimum of 2 other members:

• The chair of the committee shall be the supervisor or a co-supervisor, normally from the student’s faculty or centre/school.
• Two committee members shall be from the student’s faculty or centre/school.
• One of the committee members shall be either internal to AU but from a different faculty or centre/school or external to AU. In circumstances where the external committee member is from outside AU, the committee member should be approved by FGS. If there are co-supervisors, the 2 co-supervisors serve as 2 members of the supervisory committee.
• If there is a co-supervisor from outside of the student’s faculty or centre/school, this co-supervisor should count as the external member of the supervisory committee.

The committee must meet the eligibility criteria requirements and must not be in a position of conflict of interest (AU Policy 150 002). Once the committee is selected, the supervisor completes the Supervisory Committee Approval - Doctoral Program Form, seeking approval from the student’s graduate program director. The graduate program director shall recommend and submit the names to FGS. The final authority for the approval of the supervisor and supervisory committee rests with FGS.

In some cases, co-supervision of a student may be recommended to FGS. Co-supervisors must meet the eligibility criteria outlined for members of supervisory committees, which includes the criteria under “Other categories”.  There should normally be no more than 1 co-supervisor. The signatures of both the supervisor and the co-supervisor are required on all documents where the supervisor’s signature is required.

The parameters set out in the roles and responsibilities of faculty and students and FGS regulations shall be followed. This website includes the roles and responsibilities of supervisors and graduate students. More specific guidelines, pertinent to the specific discipline or program, may be developed and should be posted in the program’s regulations.

It is the responsibility of the supervisor or designate to keep committee members informed of the student’s progress and coordinate committee meetings. The supervisor and the supervisory committee (if formed at that time) shall meet with the student at least once per year. At this time, the Annual Progress Report (APR) is completed. In the APR, the student discusses the achievement of goals during the past year, expresses goals for the subsequent year, and provides dates for significant milestones in the program, such as dissertation proposal completion date or commencement of data collection. If the supervisory committee has been formed, then signatures from each of the committee members and the student are required on the form. The form is submitted to the graduate program director and FGS for approval.

The graduate program director may recommend changes of a supervisor and/or revisions to the supervisory committee by formally seeking approval from FGS. In cases of sudden or unexpected interruption of supervision, such as resignation, illness, or death, the graduate program director must, without delay, make arrangements to provide continuity of supervision, pending the appointment of a new supervisor or supervisory committee member. Procedures for changing the supervisory committee can be found here.

It is the responsibility of supervisors to make adequate provision for supervision of their graduate students during a leave. Supervisors who intend to take leave (exceeding 2 consecutive months) during a period in which they have graduate students under their supervision shall discuss alternative arrangements with their student(s). The supervisor shall submit a written statement to the student’s graduate program director for approval, describing the arrangements which have been made to provide satisfactory supervision during the period of leave. Once approved, the finalized arrangement will be communicated in writing to the student(s) involved. FGS should also be informed of any changes.

Before the proposal is forwarded to the examination committee, the supervisory committee members shall declare in writing to the supervisor either:

• that the proposal is of adequate substance and quality to warrant that the proposal is ready to be reviewed by the examination committee, and that the student is ready to proceed to the candidacy; or
• that the proposal is unsatisfactory (that further work is needed), and the student should not be allowed to proceed to the candidacy

It is important that this preliminary acceptance of the proposal is conducted in order to protect and uphold the reputation of the program and the university for excellence in graduate programs. It is also critical to ensure that the examination committee members are not asked to invest time reading a substandard document.

If the supervisor considers the proposal ready for the examination committee, the Preliminary Acceptance of Proposal by Supervisory Committee Form must be completed by the supervisory committee indicating their opinion of the readiness of the proposal and the student to proceed to the candidacy. This form must be completed and submitted 4 to 6 weeks prior to the anticipated date of the examination. No changes can be made to document after it has been sent to external examiner.

At this time, the supervisor may also submit their recommendation for the examination committee to FGS (see Section 4.3).

It is the responsibility of the supervisor to ensure that these regulations and the procedures herein are followed, and that proper arrangements are made for the examination(s). The student is not required to make any of these arrangements. In the absence of the supervisor, a designate shall be responsible for these arrangements.

Regardless of the nature of the candidacy examination chosen by the program, only 1 examination committee will be struck to oversee and evaluate the student’s ability and knowledge to meet these requirements.

The examination committee will consist of the supervisory committee and the addition of 1 or 2 other members. It is the responsibility of the supervisor to nominate the additional member(s) of the examination committee to the graduate program director, and then to FGS, for approval, using the Supervisory Committee Approval - Doctoral Program Form. The proposed examination committee members must meet the eligibility criteria, and must not be in a position of conflict of interest (AU Policy 150 002).

A maximum of 5 members shall comprise the committee:

• The supervisory committee members and normally the addition of 1 or 2 new faculty members.   
• At least 1 of the new members shall be either internal to AU but from a different faculty or centre/school or external to AU. This member must be at arm’s length (see Section 4.4) from the student and the proposal development, and
• All members must agree to participate in the examination.

The proposed external examination committee member must be in a no-conflict-of-interest situation (AU Policy 150 002) and ‘at arm’s length’ to the student and supervisor/co-supervisor. The external examiner should not have:

• been involved in the development of the proposal or dissertation,
• been associated with the student or supervisor/co-supervisor as a close friend; relative; or in a commercial, business, or financial relationship; or
• published or held research funding with the student or supervisor/co-supervisor during the past 5 years.

The questions and the format of the responses (such as length, writing style, and deadline for submission) are developed by the examination committee, according to the regulations of the program, and then submitted to the graduate program director, with a copy for FGS. The graduate program director or supervisor distributes the questions and instructions to the student. The student submits their responses to the graduate program director or supervisor within a specified time period as set out in the regulations of the program and FGS. The graduate program director or supervisor then distributes the responses to the examination committee. The committee has a specified time within which to grade the responses and submit their adjudication results to the graduate program designate.

At least 4 weeks prior to the oral candidacy examination, it is the responsibility of the supervisor to initiate the External Examiner and Notice for Candidacy Oral Examination Form and recommend an external examiner to be approved by FGS.

FGS will make the necessary arrangements for the exam based on the information obtained from the above form.

In the absence of the supervisor, the above responsibilities shall be carried out by a designate of the supervisor. The student is not required to make the arrangements for the examination.

The candidacy oral examination is considered a “closed” examination. Only the examination committee members, the student, and the neutral chair are in attendance.

The oral examination shall be chaired by a neutral chair appointed by FGS. This neutral chair is normally from outside the student’s program and is considered at arm’s length to the committee and student.

The chair is responsible for moderating the discussion, directing questions, and ensuring that the procedures outlined in Section 7.0 of these regulations is followed. The chair is not considered a member of the examination committee and therefore has no voting privileges. A report on the proceedings must be completed by the neutral chair, Report of the Neutral Chair and submitted to FGS after the oral examination.

Each student is required to develop a written dissertation proposal in their chosen field of study. The dissertation proposal is developed under the mentorship of the supervisor and the supervisory committee. At the time of candidacy, the examination committee must formally approve the written dissertation proposal.

One of the following outcomes of the written dissertation proposal must be recorded on the Final Report of Candidacy Oral Exam and Proposal Form: Pass, Pass with Minor or Major Revisions, or Fail.  The decision shall be that of the majority. The form is initiated by the supervisor as soon as possible after the deliberations.  The approval of each committee member is required. The dissertation proposal shall be given 1 of the following ratings:

• Pass
• Pass with Minor Revisions
• Pass with Major Revisions
• Fail

General procedures for all adjudication categories (see individual category for specifics):

• The candidate must be informed of the recommendation and the reasons immediately after the deliberations
• The chair completes the Report of the Neutral Chair Form indicating the results of the deliberations and submits the form to FGS immediately after the oral examination.
• The supervisor will initiate the Final Report of Candidacy Oral Exam and Proposal Form immediately after the examination which will confirm the adjudications and recommendations of all examination committee members.

Pass

No revisions are required aside from minor grammatical errors or minor points of clarification.

The proposal is deemed to be of sufficient quality to represent doctoral research.

Procedure

• The student is provided with clear written instructions on the necessary revisions and is given a timeline within which to complete them.
• It is the supervisor’s responsibility to ensure the student has completed the required revisions.
• Once the supervisor and the committee (if applicable) has approved the final proposal with the revisions, the supervisor must inform FGS.

Pass with Minor Revisions

Minor revisions are those that involve stylistic changes and/or minor additions or clarifications.  Minor revisions are those that may be corrected within 3 months from the date of the examination, but the committee can determine the length of time required. The supervisor will inform the student of the necessary corrections and time to complete them.

Procedure

• The student is provided with clear written instructions on the necessary revisions and is given a timeline within which to complete them.
• It is the supervisor’s responsibility to ensure the student has completed the required revisions.
• Once the supervisor has approved the final proposal with the revisions, the supervisor must inform FGS.

Pass with Major Revisions 

Major revisions are those that require more than changes in style, minor additions, or clarifications. Major revisions involve more qualification of materials and/or research findings or may involve additions to the content of the proposal.  Major revisions may take longer than 3 months, but the committee can determine the length of time required. The supervisor will inform the student of the necessary revisions and time to complete them.

Procedure

• The student is provided with clear written instructions on the necessary revisions and is given a timeline within which to complete them. The supervisor must specify with as much precision as possible, the nature of the deficiencies and the extent of the revisions required. It must be clear to the student what will be required to receive a pass.
• The nature of the supervision and assistance the student may expect from the committee members in making the necessary revisions should be specified. A timeframe for completing the changes must be identified.
• Once the supervisor has approved the final proposal with the revisions, the supervisor must inform FGS.

Fail

The concerns with the proposal must be serious enough to warrant a fail. A fail will appear on the transcript.

Procedure

• The supervisor shall provide the reasons for the fail to the student immediately after deliberations, and within (2) two business days in writing. The nature of the deficiencies must be specified with as much precision as possible.
• The Final Report of Candidacy Oral Exam and Proposal form shall indicate the reasons for the fail and recommendations for further action.
• FGS may arrange to meet with the student and the examination committee before acting upon the committee’s recommendations.

Normally, one of the following outcomes of the oral examination must be recorded on the Final Report of Candidacy Oral Exam and Proposal Form: Pass; Fail; or Adjourned.

General procedures for all adjudication categories (see individual category for specifics):

• The student must be informed of the recommendation and the reasons immediately after the deliberations

• The chair completes the Report of the Neutral Chair Form indicating the results of the deliberations and submits the form to FGS immediately after the oral examination.
• The supervisor will initiate the Final Report of Candidacy Oral Exam and Proposal Form immediately after the examination which will confirm the adjudications and recommendations of all examination committee members.

Pass

The presentation clearly described the proposal, and the student was able to accurately answer the questions.

Fail

The presentation of the proposal was poor, with inadequate description of the study; the student answered the questions poorly, indicating a lack of knowledge in the research they conducted.

Procedure

• The supervisor shall provide the student with the reasons for the fail in writing within 2 business days of the oral examination. The nature of the deficiencies must be specified with as much precision as possible.
• FGS may arrange to meet with the student and/or the examination committee representatives before acting upon the committee’s recommendation.

Adjourned

There may be unexpected or extenuating circumstances that cause the oral examination to be adjourned, such as severe anxiety, technology problems of 30 minutes or more, illness, or an absent committee member.

The supervisor confers with the student, the examination committee members, and FGS to determine an appropriate course of action and timeline.

Before the dissertation is forwarded to the external examiner, the doctoral supervisory committee members shall ensure that the dissertation is of adequate substance and quality to warrant that the dissertation is ready to be reviewed by the external examiner, and that the student is ready to proceed to the final oral examination.

If the supervisory committee considers the dissertation ready for the examination committee, the supervisor will initiate the Preliminary Acceptance of Dissertation by Supervisory Committee Form to indicate their approval of the dissertation and the students readiness proceed to the final oral examination. This form must be initiated 8 weeks prior to the anticipated date of the oral examination. At this time, the supervisor may also submit their recommendation for the examination committee to FGS.

It is important that this preliminary acceptance of the dissertation by the supervisory committee is conducted in order to protect and uphold the reputation of the program and the university for excellence in graduate programs. It is also critical to ensure that the external examiner and other additional members of the committee are not asked to invest time reading a substandard document.

The doctoral dissertation examination committee shall be composed of a maximum of 5 examiners and will include:

• The existing supervisory committee, with (normally) the addition of 1 or 2 new members.  This is often 3 committee members plus 1 faculty member external to Athabasca University,
• One of the new members must be from outside Athabasca University. This committee member shall be called the external examiner, and
• If there is to be a fifth member, this individual may be from within or outside the student’s faculty or centre/school but is someone who comes to the finished dissertation having read none of its earlier drafts.

At least 8 weeks before the proposed date of the oral examination, the graduate program director and/or the student’s supervisor shall submit the name of a potential individual for the role of external examiner to FGS. The special field(s) of expertise and achievements of each individual will be reviewed before approved. This may include a review of publications by the individual that have been of central importance, or are closely related to the doctoral candidate’s research. The individual whose names are submitted to FGS should be individuals who are recognized authorities in a specialized field related to the candidate’s dissertation. Experience in supervising doctoral candidates is preferred. Once the external is approved by FGS, the supervisor will initiate the External Examiner and Notice for Dissertation Oral Examination Form.

The proposed external examiner must be in a position to review the dissertation objectively and to analyse critically the work and the presentation (at arms-length). Supervisors who have questions about the eligibility of a potential external examiner should contact FGS to review the case before providing FGS with names.

FGS will select and invite the external examiner, after preliminary discussion with the individuals regarding their research area, availability, and interest in participating as an external examiner. When FGS approves the external examiner, FGS will issue a formal letter of confirmation to the external examiner specifying the responsibilities of the role.

FGS will request that the external examiner provide a detailed report on the merits and deficiencies of the dissertation overall, and more specifically:

• Rate the dissertation using the 3 categories (acceptable, major revisions, and unacceptable) to indicate whether the dissertation is ready, and the student can proceed to the examination,
• A brief, written commentary on the scope, structure, methodology, and findings of the dissertation,
• A list of corrections (if any), and
• A list of clear, direct, contextualized questions (preferably no more than 5) for the candidate to address during the examination (if the external examiner is unable to attend the oral examination).

The external examiner will be asked to provide the report to FGS within 4 weeks of receipt of the dissertation. There should be no contact between the external examiner and the supervisor, committee, or student regarding the dissertation, nor should arrangements be made related to the examination during this period.

It is expected that the external examiner will participate virtually in the dissertation oral examination, but in exceptional circumstances, this may not be possible. In such cases, the neutral chair will present the external examiner’s report and questions to the candidate during the examination, and the committee will evaluate the candidate’s answers as part of the examination.

The candidate must submit to FGS the dissertation in PDF or Word format, depending upon the preference of the examination committee members. FGS will distribute a copy of the dissertation to the external member of the examination committee with instructions on the criteria for final review. The distribution must occur at least 6 to 8 weeks prior to the anticipated oral examination date. The external examiner will be given up to 4 weeks to review the dissertation and provide their comments and adjudication decision. The document must conform to the dissertation guidelines as set out in the formats for theses and dissertations guidelines.

This final period can become complex and timelines are critical to successful completion and convocation.

FGS must approve any changes to the examination committee. A memo informing FGS of the reasons for the changes and the details about the new examination committee member must be provided in writing. No changes shall be made in the examination committee after the dissertation is distributed by FGS to the committee. In certain circumstances, if a committee member becomes unavailable to review the dissertation or attend the oral examination, discussions must occur between FGS, the supervisor, and the candidate to arrive at the most suitable solution for both the candidate and the committee.

The recommendation of the external examiner and, if applicable, of the fifth member will determine whether the candidate proceeds to the oral examination. When applicable, if there are opposing views between the external examiner and the fifth member who is also reading the dissertation for the first time, the dean of FGS will discuss the recommendations with the supervisor, and a course of action will be determined.

Acceptable and Ready to Proceed to Oral Examination

The dissertation is given preliminary approval. It may or may not need some revisions. However, the examiners consider the quality of the dissertation adequate and the dissertation indicates the candidate has sufficient knowledge in the research area to proceed to the oral examination.

Procedure

• FGS will inform the supervisor of the “acceptable” adjudication recommendation. FGS will provide the supervisor with the details of the external examiner’s report. The supervisor must then notify the candidate and the remainder of the supervisory committee (except for the external examiner) of the “acceptable” adjudication recommendation of the external examiner.
• FGS will work with the examination committee to determine a date for the oral exam.

Requires Major Revisions

The dissertation needs major revisions. The candidate cannot proceed to the oral examination until the concerns are addressed.

Procedure

• FGS contacts the supervisor regarding this recommendation of the external examiner, to discuss the nature of the concerns and provides with the details of the external examiner’s report.
• The supervisor must then notify the candidate and the remainder of the supervisory committee of the outcome. The supervisor will meet with the candidate and indicate in writing the concerns, a time frame of no longer than 6 months within which to address the issues. The candidate then resubmits the dissertation to FGS within 6 months.
• FGS then sends back the dissertation to the same external examiner for the determination whether the revised dissertation is “acceptable and ready to proceed to oral examination.” The candidate will need to clearly indicate what changes have been made in response to the committee’s comments. The oral examination shall be held no later than 8 months after the first adjudication.
• When the external examiner finds the revised dissertation acceptable, FGS will inform the supervisor of the “acceptable” adjudication recommendation. FGS will provide the supervisor with the details of the external examiner’s report. The supervisor must then notify the candidate and the remainder of the supervisory committee.
• When the external examiner finds the revised dissertation is still not ready for oral examination, FGS contacts the supervisor regarding this recommendation of the external examiner, to discuss the nature of the concerns and provides with the details of the external examiner’s report.  A different external examiner will then be selected to review the dissertation.
• A candidate has the right to an examination of the dissertation if they believe it is ready for examination.

Unacceptable

The dissertation is unacceptable and a major revision within 6 months is less probable. 

Procedure

• FGS contacts the supervisor regarding this recommendation of the external examiner, to discuss the nature of the concerns.
• The supervisor will meet with the candidate and indicate in writing the concerns, a time frame of no longer than 12 months within which to address the issues. The candidate then resubmits the dissertation to FGS within 12 months.
• A different external examiner will be selected to review the dissertation.
• FGS then distributes the dissertation to the external examiner and, when applicable, to the fifth member for their determination whether the document is “acceptable and ready to proceed to oral examination.” The candidate will need to clearly indicate what changes have been made in response to the committee’s comments.
• If a recommendation is made that the dissertation is acceptable (a preliminary acceptance), then FGS will contact the candidate, examination committee, and external examiner to arrange a date for the oral examination.
• A candidate has the right to an examination of the dissertation if they believe it is ready for examination.

Except in exceptional circumstances unrelated to the quality of the work, no dissertation should be sent to more than 2 external examiners.

It is the responsibility of FGS to ensure that:

• Proper arrangements are made for the candidate’s oral examination based on the External Examiner and Notice for Dissertation Oral Examination
• The results of the review of the dissertation by the external examiner are communicated to the supervisor immediately after all the commentaries have been received by FGS,
• All committee members are aware that they must attend the examination,
• The oral examination is scheduled and held in accordance with FGS regulations,
• The neutral chair for the oral examination is appointed by FGS,
• The external examiner is contacted and provided with appropriate instructions on their role at the oral examination, and
• The candidate is notified of, but is not required to make, any of these arrangements.

The doctoral dissertation oral examination shall be chaired by a faculty member who is considered neutral to the examination committee and the student and who is not from the candidate’s program. FGS will appoint the chair and provide them with the appropriate instructions for the conduct of the oral examination, the procedure for the deliberations, and the necessary forms that require completion and return to FGS. See section 4 of the oral examination guidelines for the procedures for chairing the oral examination and the instructions to be given to the student and committee.

Normally the final oral examination will be considered an “open” session, which anyone may attend. All observers must notify FGS in advance of their attendance. The program sets the maximum number of attendees present. Observers will be provided with the information to access the oral examination. FGS will inform the supervisor of the list of observers prior to the oral examination.

At the oral examination, persons who are not members of the examination committee:

• may participate in the questioning only by permission of the chair
• are not permitted to participate in the discussion of the candidate’s performance, and
• must disconnect before the committee deliberates on the outcome of the candidate’s dissertation and oral examination.

At the completion of the questioning period, the audience and the candidate will disconnect in order for the committee to deliberate. The chair, candidate and the examiners will reconvene when the examiners have completed their adjudication.

Only in certain circumstances, the oral examination may be “closed”; for example, when the results of the dissertation must be kept confidential for a period of time. In such cases, the candidate’s supervisor and graduate program director shall recommend such action to FGS, who shall then approve that the final examination be closed to all but the examination committee, the external examiner, the chair, and FGS.

The decision of the examination committee will be based both on the quality of the dissertation and on the candidate’s ability to defend it. The decision shall be that of the majority. The external examiner shall have a vote equal to that of the other committee members.

The dissertation will be rated as a Pass, Pass with Revisions (Minor or Major) or Fail. In the case of a pass where revisions are required, the supervisor and/or the committee can withhold their signature(s) until the revisions are made. The withholding of a signature may result in a delay of graduation if the student does not complete the revisions in a timely manner. This will result in a delay in obtaining final approval from the supervisor and FGS. Such a delay may result in a Fail. It is in the best interests of the candidate that they complete the required revisions in a timely manner. If the candidate receives a Fail on their final dissertation, they will receive a Fail on their transcript.

In the case, where the examination committee recommends Adjourned, Repeat Oral to FGS, the student will be given a second opportunity to conduct another oral examination.  At the second attempt, the examination committee must select 1 of 2 adjudication categories – Pass or Fail. If the committee recommends a Fail, the student will receive a Fail on their transcript. Under extraordinary circumstances, the student may obtain an Adjournment on the second attempt.

If a decision cannot be reached, the supervisor’s report should record the recommendation of each committee member on the Dissertation and Oral Exam Final Report Form. The chair shall also include in their report the recommendations, the distribution of the votes, a summary of the committee’s comments, and any remarks that the chair may wish to make, that may help the dean of FGS, in reaching a decision.

(At the time of the final oral examination)

General procedures for all adjudication categories (see individual category for specifics)

• The candidate must be informed of the recommendation and the reasons immediately after the deliberations

• The chair completes the Report of the Neutral Chair Form indicating the results of the deliberations and submits the form to FGS immediately after the oral examination.
• The supervisor will initiate the Dissertation and Oral Exam Final Report Form immediately after the examination, which will confirm the adjudications and recommendations of all examination committee members.

Pass

No revisions are required aside from minor grammatical errors or minor points of clarification.

The dissertation is deemed to be of sufficient quality to represent doctoral research. After any minor revisions are approved, the candidate can proceed to graduate if they received a Pass on their oral examination.

Procedures

• The candidate is provided with clear written instructions on the necessary revisions and is given a timeline within which to complete them.
• It is the supervisor’s responsibility to ensure the candidate has completed the required revisions.
• Once the supervisor and the committee (if applicable) has approved the final dissertation with the revisions, the supervisor must inform FGS.

Pass with Minor Revisions

Minor revisions are those that involve stylistic changes and/or minor additions or clarifications.  Minor revisions are those that may be corrected within 3 months from the date of the examination, but the committee can determine the length of time required.  The supervisor will inform the student of the necessary corrections and time to complete them. 

Procedure

• The candidate is provided with clear written instructions on the necessary revisions and is given a timeline within which to complete them.
• It is the supervisor’s responsibility to ensure the candidate has completed the required revisions.
• Once the supervisor has approved the final dissertation with the revisions, the supervisor must inform FGS.

Pass with Major Revisions 

Major revisions are those that require more than changes in style, minor additions, or clarifications.  Major revisions involve more qualification of materials and/or research findings or may involve additions to the content of the proposal.  Major revisions may take longer than 3 months, but the committee can determine the length of time required.  The supervisor will inform the student of the necessary revisions and time to complete them.

Procedure

• The candidate is provided with clear written instructions on the necessary revisions and is given a timeline within which to complete them. The supervisor must specify with as much precision as possible, the nature of the deficiencies and the extent of the revisions required. It must be clear to the student what will be required to receive a Pass.
• The nature of the supervision and assistance the student may expect from the committee members in making the necessary revisions should be specified. A timeframe for completing the changes must be identified.
• Once the supervisor has approved the final dissertation with the revisions, the supervisor must inform FGS.

Fail

The concerns with the dissertation must be serious enough to warrant a Fail. A Fail will appear on the transcript.

Procedure

• The supervisor shall provide the reasons for the Fail to the student immediately after deliberations and within (2) 2 business days in writing. The nature of the deficiencies must be specified with as much precision as possible.
• The Dissertation and Oral Exam Final Report shall indicate the reasons for the Fail and recommendations for further action.
• FGS may arrange to meet with the candidate and the examination committee before acting upon the committee’s recommendations.

General procedures for all adjudication categories (see individual category for specifics):

• The candidate must be informed of the recommendation and the reasons immediately after the deliberations

• The chair completes the Report of the Neutral Chair Form indicating the results of the deliberations and submits the form to FGS immediately after the oral examination.
• The supervisor will initiate the Dissertation and Oral Exam Final Report Form immediately after the examination which will confirm the adjudications and recommendations of all examination committee members.

Pass

The presentation clearly described the research, and the candidate was able to accurately answer the questions.

Adjourned

There may be unexpected or extenuating circumstances that cause the oral examination to be adjourned, such as severe anxiety, technology problems of 30 minutes or more, illness, or an absent committee member.

The supervisor confers with the student, the examination committee members, and FGS, to determine an appropriate course of action and timeline.

Fail

The presentation of the research was poor, with inadequate description of the study; the candidate answered the questions poorly, indicating a lack of knowledge in the research they conducted.

Procedure

• The supervisor shall provide the candidate with the reasons for the Fail in writing within 2 business days of the oral examination. The nature of the deficiencies must be specified with as much precision as possible.
• FGS may arrange to meet with the candidate and/or the examination committee representatives, before acting upon the committee’s recommendation.