Graduate Handbook

Definition of admission by exception

Individuals who apply for admission to an AU graduate degree program who do not meet the normal educational requirements of the program, but whom the program admissions committee and graduate program director recommend admission based on other characteristics that the academic unit and the discipline see as desirable and demonstrate the applicant's potential to successfully complete the specific graduate program.

Details pertaining to an admission by exception request

An applicant must review the admission requirements of the specific program to which they are applying. Each program requires specific documents that formulate an admission package that must be submitted to the appropriate academic unit.

Procedures

1. The student should check with the specific program to determine how to apply to the program requesting admission by exception.
   
   The required documents may include:
   1. student name and program applied for;
   2. official transcript(s) from the previous educational institution(s);
   3. work experience (years and type of position);
   4. professional credentials;
   5. comments from the applicant's references (do they consider the applicant capable of graduate work; initiative; critical thinking; communication ability);
   6. AU courses taken in the past and their grades;
   7. English language proficiency scores or courses.
2. The Admissions committee of the specific program reviews the admissions material and provides a recommendation to the graduate program director of that academic unit. Upon review of the documentation, the graduate program director informs the Faculty of Graduate Studies of their decision at the time applications were considered. The graduate program director will inform the Registrar and the applicant.

For more information on Student Appeals Policy, please visit the Student Code of Conduct and Right to Appeals Regulations found here.

Definition of concurrent program enrolment

When a student is enrolled in 2 programs concurrently either at 2 different post-secondary educational institutions or within AU as a 'program' student.

Procedure

In cases where students plan to enrol in 2 programs concurrently, consultation with their program advisor (or graduate program director) is recommended to discuss the program requirements and the ability to fulfill the requirements of both programs. The ability to enrol in more than 1 AU program may be limited by the student information system. It is important to include this in the discussion.

Approved at Faculty of Graduate Studies Council February 7, 2013.

There are several important issues related to copyright for students:

1. obtaining written permission from copyright holder(s) for material included in your thesis/dissertation
2. ensuring that your work is protected as part of your degree program
3. granting a license to Athabasca University and Library and Archives Canada to make your work available for use by others

Copyright permission

In conformity with the Copyright Act and the National Library Guidelines, there must be no substantial amount of copyrighted material in the thesis. Under the Copyright Act, a reasonable extract of another person’s work can be included in the thesis. If the quote is more than this extract, written permission must be obtained from the copyright holder(s). A copy of the permission from the copyright holder(s) must be given to the student’s supervisor and included in the appendix of the thesis. A template for requesting permission from the copyright holder(s) is located on the Faculty of Graduate Studies website:

Permission to Use Copyrighted Material in a Master’s/Doctoral Thesis

Furthermore, if the thesis contains a chapter (or chapters) that the student has published as a journal article or as part of a book, permission must be obtained permission from the copyright holder(s) (i.e. publisher) to include the material in the thesis. Also, inform the publisher about the Theses Non-Exclusive License you have signed with Library and Archives Canada.

If part of the thesis was written in conjunction with another author (or authors), a statement from the co-author(s) permitting the inclusion of the material in the thesis must be obtained. This ensures that the work of all persons who have contributed to the theses is duly recognized. Inform the co-author(s) that you have signed a Theses Non-Exclusive License that authorizes Library and Archives Canada to reproduce, communicate to the public on the Internet, loan, distribute or sell copies of your thesis, among other things.

In all cases permission to use copyrighted material must be included in the appendix of the thesis.

For more information on the National Library guidelines refer to their website.

For more information about copyright, consult the Copyright Act or the Canadian Intellectual Property Office.

Fair dealing

Limited reproduction of copyrighted work without permission is permitted under the Canadian Copyright Act for the purposes of research and scholarship.

Athabasca University has a Fair Dealing Procedure to help you determine whether or not it is necessary to obtain copyright permission:

This tool may also help inform your decision to seek copyright permission:

http://library.athabascau.ca/services/video/fair-use/FairUse_Main.html

Obtaining copyright permission

Acquiring letters of copyright permission takes a considerable amount of time. Students requesting such letters should do this well in advance of the submission of the thesis. Students are to use the template letter when requesting copyright permission:

Permission to Use Copyrighted Material in a Master’s/Doctoral Thesis

A copy of the letters of copyright permission should be submitted to the supervisor for their records and placed as an appendix in the thesis. When letters of copyright permission cannot be obtained the student has 2 options:

1. omit the material for which they cannot obtain copyright permission
   or
2. “blank out” the specific material and explain that the material involved has been removed because of copyright restrictions, what information the material contained, and the original source of the material (e.g. page 12 has been removed due to copyright restrictions. The information removed was Figure C (describe the figure information and source).

Declaration regarding use of copyright material in the thesis/dissertation

For all students, whether master’s or doctoral, the Thesis/Dissertation Copyright Declaration form must be completed by the student and a final copy of the thesis/dissertation must be sent to the Faculty of Graduate Studies. Failure to complete this form may result in a denial to graduate. The form will be kept in the Faculty of Graduate Studies records.

Student copyright protection of thesis/dissertation

The student, as author, retains the copyright to their thesis/dissertation, whether it is in electronic or paper (hard-copy) form. Under the Canadian Copyright Act legal rights are automatically attributed to the student as author and the work may be used within the fair dealing provisions without the work having a copyright symbol or obtaining permission. However, the copyright symbol is often included on the title page of the thesis so that the person to contact for permission is clear if the intent to use the work falls outside of fair dealing provisions. This is why the copyright symbol is included on the title page of theses/dissertations.

Students may choose to use the copyright symbol on their title page or release the thesis/dissertation under a Creative Commons (CC) License and use the CC license symbol on the title page. This is because obtaining permission to use the work outside of the fair dealing provisions can be cumbersome. If the student chooses to release their work under the Creative Commons license they are communicating consent to permit uses that are more generous than those allowed under Canadian Copyright Law. The Creative Commons movement has grown in the spirit of open access and global information sharing. As the author, the student still retains ownership of the material and the work still has to be acknowledged, but the work can be more easily shared.

When completing the Thesis/Dissertation Copyright Declaration form students are required to do two things:

1. declare if any copyrighted materials have been used in the thesis, and
2. indicate if their thesis/dissertation will be released under copyright (©) or released under the Creative Commons license (cc)

The student should then indicate on the title page (see the Thesis/Dissertation template) the appropriate symbol based on their choice. Information on the Creative Commons license options are available on the website above. That way when a reader accesses the thesis/dissertation on the DTheses website, they will know which options for licensing the graduate has chosen.

The options for how this information should be displayed on the title page (similar to the options on the declaration form) are:

• © Student Name (means copyrighted and not released under CC Attribution License)
• (cc) by 2019 Student Name (means fully released under CC Attribution License)
• (cc) by SA 2019 Student Name (means Share alike under CC Attribution License)
• (cc) by ND 2019 Student Name (means No-derivatives under CC Attribution License)
• (cc) by NC 2019 Student Name (means Non-commercial under CC Attribution License)

For regulations and study guidelines for doctoral learners, refer to this resource that provides assistance and procedures when doing your dissertation.

Editorial assistance

Obtaining editorial assistance as a student is permissible for assignments, and major requirements such as a project, thesis or dissertation. However, the purpose of the editing and the nature of the editing is limited and must follow ethical standards.

The Editors’ Association of Canada provides editing services for students, government, not-for-profit, and academic individuals and organizations. The editors are independent practitioners who provide various kinds of editing services.

The Association has developed guidelines to assist thesis/dissertation supervisors and their students in determining whether professional editing should be obtained and the type of the editing that is needed. A sample contract that clarifies the specific editing role and expectations of all parties can be found on their website. The website specifies editing for doctoral theses; however, each editor is an independent practitioner and when approached will determine the type of documents they will edit. The costs related to the editing are the responsibility of the student.

Students who are in the thesis route of a master's program or in a doctoral program are required to submit their thesis/dissertation electronically as one of the requirements toward the fulfillment of their degree. There are a number of steps that must be followed when preparing for and submitting the thesis/dissertation in order for the student to graduate.

The Electronic Thesis and Dissertation Policy and Procedures provide direction for the student and their supervisor on the discussions they need to hold prior to the final submission as well as the process for the submission. A number of steps are outlined below; however refer to the Policy and Procedures for a more detailed list of the discussions and steps that need to be considered by the student and their supervisor.

Students should ensure their thesis/dissertation has been submitted to the DTheses repository well in advance of the application for graduation deadline (4 to 6 weeks). The steps that must be taken prior to the 4 to 6 weeks include:

• the thesis/dissertation with revisions, have been completed and subsequently approved by the supervisor
• copyright permission would have been obtained as necessary (see the Copyright section above)
• the format requirements of the student's faculty as well as those of Faculty of Graduate Studies would have been met (see Formats for Theses & Dissertations)
• the Approval of Thesis form (for Master's students) or the Final Approval of Dissertation form would have been inserted into the thesis/dissertation by the student
• the student would have submitted the Thesis/Dissertation Copyright Declaration form and the Library and Archives Canada Theses Non-Exclusive License to Faculty of Graduate Studies
• the student converts the thesis to a PDF document. See the AU Library DTheses repository under Student Submission - About Submissions, for instructions on how to do this.
  
  

  Please do not use spaces in the title of your submission or it cannot be harvested by Library and Archives Canada.

• the thesis/dissertation is then submitted by the student to the DTheses repository (see the AU Library DTheses repository for instructions on how to do this)
• Faculty of Graduate Studies will review the thesis/dissertation for adequate copyright adherence and compliance with Faculty of Graduate Studies and LAC format requirements.

If the thesis does not comply with the requirements, the thesis will be returned to the student with an email to the supervisor, informing them of the required changes. The student will not be able to graduate until the format requirements and copyright compliance have been met and correctly submitted by the student.

After Faculty of Graduate Studies approves the thesis, Faculty of Graduate Studies will conduct the final submission into the DTheses repository. The Registrar's office will be automatically electronically notified of the submission, confirming that the student has now fulfilled all of the requirements of the degree. Faculty of Graduate Studies will notify the student that the thesis has been approved and electronic submission has been completed. The student is now eligible to graduate. For information on the process the student needs to complete in order to graduate refer to this page on the Office of the Registrar site.

After submission, the thesis will be available almost immediately for access and viewing in the AU DTheses repository. It may take up to 2 weeks before the thesis/dissertation is available to access on the Library and Archives Canada site.

Advantages of electronic thesis and dissertation (ETD) submission

Electronic submission to the AU DTheses repository will allow harvesting of the thesis/dissertation by Library and Archives Canada (LAC). There are a number of advantages to the repository submission:

• Library and Archives Canada makes the document accessible to a large scholarly audience.
• Digital repositories like Library and Archives Canada are easier for individuals to interact with than campus Web servers.
• The documents in the repository endure long-term accessibility (they are given a reference URL that will never change).
• Digital repositories are indexed by all the major search engines.
• The institution-based repositories in Canada, such as the AU DTheses repository, are also indexed by a specialized 'harvester' that brings together all the content from Canadian repositories and makes it available as a single collection.
• The wide availability of the student research can be beneficial for the student in their future educational endeavors, their application for awards/scholarships/grants, and employment opportunities.

Ownership of copyright by the student

Although the thesis/dissertation is available publicly, the student continues to own the copyright for the thesis. Signature of the Library and Archives Canada Thesis Non-Exclusive License and the AU DTheses repository copyright permission form makes the thesis available for future research only. Publication for commercial purposes remains the sole right of the author. The author reserves other publication rights, and neither the thesis nor extensive extracts from it may be printed or otherwise reproduced without the author's written permission. Refer to the Thesis Canada, Information for Students website for more information.

Agreement for Library and Archives Canada to collect the thesis/dissertation does not normally preclude further publication of the thesis/dissertation or any part of it in a journal or book. If the student is planning to publish their thesis/dissertation findings, it is their responsibility, in consultation with their supervisor, to identify any restrictions or conditions potential journals may have.

Information about AU's English-language proficiency requirements can be found on the Graduate Calendar site.

APA 7th Edition

• Thesis and Dissertation Formatting Guidelines
• Thesis and Dissertation Template
• Thesis and Dissertation Completion Checklist
• APA 7th Edition Guidelines
• APA Sample Paper (Note: This is not a thesis/dissertation)
• APA Headings and Seriation
• APA In-text Citations
• Verb tenses in APA Style papers

Students are enrolled in a graduate program for a number of years. Frequent interaction between students and their supervisor is needed to ensure students meet their goals, understand the expectations of the program, meet realistic timelines for program requirements, and complete their degree in a timely manner. To facilitate the student through their program of study and ensure their progress and performance is documented, a number of forms are required to be completed by the student, supervisor, and committee. Forms for the Master’s Study and Doctoral Study programs can be accessed from this site.

As the student progresses through their graduate program a number of milestones and program requirements must be attained. There are 2 supervision plans – Program of Study Plan and Time Plan – that are provided to help the supervisor and student track his or her progress in the program.

Doctoral study forms

Master's study forms

Timelines for Forms for Master’s Thesis Route Program

Other forms

As the student progresses through their graduate program a number of milestones and program requirements must be attained. Two supervision plans are provided to help the supervisor and student track his or her progress in the program:

• Program of Study Plan
• Time Plan

The Program of Study Plan can be used by the supervisor or co-supervisor to monitor the scheduling of the student’s course work, the type and number of courses the student is planning to take and when the student has completed them.

The Time Plan provides a calendar or specific milestones the student normally encounters and accomplishes during their graduate program. This form can be used at the time of the student’s annual progress report, to review the student’s progress at other times, and assist in the overall pacing and planning of the various requirements. (An example of a completed Sample Time Plan can be used as a reference.)

The glossary of terms used in graduate studies can be found on the Graduate Calendar site.

Definition of transfer credit in cases of "All but dissertation"

The student may have completed partial or all of their doctoral course work, including their comprehensive or candidacy exam at another university and is requesting transfer to an AU doctoral program in order to complete the AU program requirements and graduate.

Guideline

Students applying for admission to an AU doctoral program may be eligible to receive credit for completed doctoral program requirements from another recognized university to be used for credit toward the AU degree program. The academic unit will determine the maximum number of credits that can be transferred. A completed comprehensive exam or candidacy examination cannot normally be transferred for credit.

This guideline is to be used in conjunction with the AU Graduate Transfer Credit Policy.

Procedures for "All but dissertation"

1. The student interested in transferring to an AU doctoral program, should discuss with the graduate program director for the desired program the feasibility of their request and the AU eligibility requirements. Any discussion does not guarantee admission.
2. The student submits required documentation for transfer to the AU doctoral program to the graduate program director for the desired program. Each program will have specific documentation they require from the applicant and will have their own assessment procedures for review of the application.
3. The academic unit will determine the maximum number of courses that can be transferred. A completed comprehensive exam or candidacy examination cannot normally be transferred for credit.
4. Upon adjudication by the specific adjudication committee (or graduate program director), a recommendation is made to the graduate program director. The graduate program director then submits the following documentation with their recommendation to Faculty of Graduate Studies for final approval:
   • the official transcript indicating minimum grades of B-
   • that they were in good standing in the previous program
   • that none of the courses have been used toward another degree
   • an AU faculty member has agreed to supervise the student and provides a memo indicating this
   • a letter from the student making a case for why they should have their courses credited, why the learning outcomes of the AU program fit their goals and research program, and a timeline for completion of all doctoral requirements
   • a letter of recommendation from the graduate director regarding the student
   • that the student has agreed to complete the AU proposal course, the candidacy examination, and the dissertation and any other requirements the AU supervisor deems appropriate to their dissertation.
5. Upon review of the material, the Faculty of Graduate Studies will inform the graduate program director of the review outcome.
6. The Graduate Director will inform the prospective student, the supervisor and the Registrar's office. The Registrar will need to know the courses and the number of credits being transferred.

Approved at Faculty of Graduate Studies Council, February 10, 2013.

For regulations and guidelines for intellectual property, refer to this resource.

For regulations and study guidelines for master-level learners, refer to this resource that provides assistance and procedures when doing your dissertation.

Guidelines and procedures for oral examinations for Master's Thesis Route and Doctoral Programs

Oral examinations will normally be conducted at a distance, with both the student and committee members in separate and/or off-site locations. The presentation and question period will normally be closed for the master’s proposal oral examination and the doctoral candidacy oral examination. The final oral examination for the thesis and dissertation will be open. The adjudication process will always be closed. The academic unit has the option to hold an informal presentation and discussion separate from the formal oral examination. Any deviation from the procedures outlined below must be approved in advance by the dean of the Faculty of Graduate Studies.

Technology is evolving with current modes exhibiting inconsistent quality and reliability. Over time this will improve. AU is a world leader in distance education and therefore has a mandate, role and responsibility to “push the envelope” and create new and flexible strategies to bring education to the world. And yet, must be accountable to its students, academic colleagues, and funders ensuring that a high quality of education is provided.

The integrity of the oral examination must be ensured. This means there must be:

• satisfactory accommodation for reliable technology
• back-up to the primary technology selected
• arrangements that ensure safety and support for the student who will be anxious at the examination
• verification of the student's identity
• maintained academic honesty and integrity

---

1. Choosing technology for the oral examination

1.1

The supervisor and student are responsible for choosing an appropriate preferred technology for the oral examination, based on the following considerations:

1.1.1

An alternative technology must always be provided as the back-up if the technology of choice fails;

1.1.2

The technology must be secure and appropriate under current FOIPP guidelines and

1.1.3

Alberta legislation, with reasonable expectation of security and privacy; An appropriate technology is one that allows for effective communication, is ethical and culturally sensitive, and will not be a detriment to the student’s defense;

1.1.4

The supervisor is responsible for ensuring that all committee members have access to and familiarity with the proposed technology;

1.1.5

The technology must be synchronous, not asynchronous (e.g. everyone must be present and active for the fixed duration of the examination);

1.1.6

If the student chooses to use the technology with additional cost on the student’s end, it is the student’s responsibility to bear that cost (e.g. videoconferencing facilities).

1.1.7

The supervisor ensures that the type of technology allows the adjudication deliberations to occur in private, with only the examination committee members and the chair (if applicable) present;

1.1.8

That the technology allows the supervisor to re-establish communication with the student after deliberations are completed.

1.2

The FGS is responsible for the management of the technology, including the availability of any necessary technical support, for the duration of the oral examination at the university end. The student is responsible for same at the distant site, as are distance participants from the committee.

1.2.1

Normally, the FGS will connect to the student or make available to the student the means for the communication.

1.2.2

The FGS can provide the student and examination committee members with the Adobe Connect url if this technology will be used;

1.2.3

The student and committee will be given sufficient time in advance of the start of the oral examination to set up and test the presentation software or other technology used (15 to 30 minutes).

1.3

In the event that the examination is interrupted for up to 30 minutes (for one length of time or several periods of time during the examination) or if connections cannot be reestablished within that time, the examination will be rescheduled.

1.3.1

The rescheduled examination will be considered the student’s first examination;

1.3.2

The supervisor or neutral chair must immediately notify the FGS regarding the interruption;

1.3.3

Back-up technology must be available to the primary technology selected. For example, phone numbers of each of the committee members must be available should the supervisor need to establish contact with them during the examination. A toll free number that all members and the student could use to reconnect as a teleconference may comprise a back-up strategy also. The back-up information should have been included on the Notice of Oral Examination forms External Examiner and Notice for Final Thesis Oral Exam (Master’s), Notice of Candidacy Oral Examination (Doctoral) or Notice of Dissertation Oral Examination (Doctoral)

1.4

The student and supervisor are responsible for proposing an appropriate location for the oral examination. Location may be determined by the availability of the technology. If the student is from outside Canada, an institution recognized by AU may be used by the student. The location or institution must be approved by the supervisor and FGS four (4) weeks prior to the anticipated oral examination date. If the setting requires payment, this is the student's responsibility. AU has a list of approved exam invigilation sites in Canada that students may use.

1.4.1

No one in addition to the student can be present at the student’s location unless preapproved by the FGS;

1.5

For the oral examinations that are 'open' (the final thesis and final dissertation oral examinations):

1.5.1

All observers must apply in advance to the Faculty of Graduate Studies (FGS) for permission to attend;

1.5.2

The academic unit sets the maximum number of attendees present. The total number includes the student, the committee members, the proctor, if applicable, and any observers;

1.5.3

Observers are not allowed to participate in any part of the oral examination unless they have advance permission from the chair;

1.5.4

Observers are not allowed to exit or enter during the oral examination. They must be present for the duration of the presentation and question period;

1.5.5

The observers must exit or will be disconnected (depending upon the technology) immediately after the question period.

1.6

A designate of FGS will be available by phone or email to address issues that arise prior to or during the oral examination. This designate may be the chair for the oral examination. In the event that FGS or the designate cannot be reached, the Dean or the Director of the academic unit will have the decision-making authority. If the latter are unavailable, the supervisor will have the authority.

---

2. Procedures preceding the oral examinations

2.1

The supervisor will submit the Notice of Oral Examination form (links under 1.3.3) to the FGS at least four weeks before the examination and will include the following:

2.1.1

The date of the oral examination. The supervisor is responsible for scheduling the oral examination confirming availability with the student, all committee members and FGS;

2.1.2

The proposed proctor, if applicable, including name, occupation, current place of employment, and short CV, or alternative method of ensuring examination security and procedural standards;

2.1.3

The preferred technology and alternate/backup technology for both the presentation/question period and for the closed adjudication process to ensure privacy;

2.1.4

Back-up phone numbers of each of the committee members so they can be contacted and reconnected to the examination in case the technology fails during the examination;

2.1.5

The total number of observers allowed (inclusive of committee, student, neutral chair, and proctor);

2.1.6

The location of the oral examination;

2.1.7

The name of the student, degree being sought and academic unit of student;

2.1.8

The title of the thesis/dissertation;

2.2

Between 3 to 4 weeks before the examination, the FGS will have approved and informed the proctor in writing of the appointment and provide pertinent guidelines and regulations (see section 3.0). The proctor should verify in writing that he/she accepts the responsibility incumbent upon that position.

2.3

At least two weeks in advance of the oral examination, the FGS will:

2.3.1

Confirm the date, the technology set up, and proctor with the supervisor;

2.3.2

Post the information about the final oral examination under Announcements on the FGS website. This includes (name of student, date of examination and thesis title; in the case of the doctoral examination, the abstract of the dissertation will also be posted). The announcement will indicate that if anyone is interested in attending the oral examination they are to request permission from the FGS.

2.3.3

Provide the supervisor, chair and student with any documents necessary for the oral examination, such as:

For master’s examinations

• Master’s Thesis Proposal Oral Examination Report or the Master’s Thesis and Oral Examination Final Report
• the procedures that describe the role of the chair and the proceedings of the oral examination [see section 4, 4.1, 4.2] (for the supervisor, chair and student);
• the Report of the Neutral Chair (if applicable), and any other documents deemed necessary.

For doctoral examinations

• Final Report of Candidacy Oral Examination and Proposal or Dissertation and Oral Exam Final Report
• the procedures that describe the role of the chair and the proceedings of the oral examination [see section 4, 4.1, 4.2] (for the supervisor, chair and student);
• the Report of the Neutral Chair (if applicable), and any other documents deemed necessary.

The supervisor is responsible for disseminating necessary information to the examination committee members.

2.4

At least 72 hours prior to the oral examination, the FGS will provide the supervisor and neutral chair with the list of approved observers.

---

3. Duties of the proctor

3.1

Unless a member of the examination committee is present with the student for the entire process, a mechanism must be in place to ensure both the identity of the student, effective application of the examination procedures, and the integrity of the examination and its program requirements. In the case where a proctor will be used, the following applies:

3.1.1

The proctor must be preapproved by FGS as part of the External Examiner and Notice for Final Thesis Oral Exam (Master’s), Notice of Candidacy Oral Examination (Doctoral) or Notice of Dissertation Oral Examination(Doctoral)

3.1.2

The proctor is not involved in the distribution of documents related to the student’s presentation or thesis/dissertation;

3.1.3

The proctor must meet the criteria for invigilators outlined in the AU calendar;

3.1.4

Proctors will not be paid by the university. If the proctor requires payment, the cost is borne by the student.

3.2

Where a proctor or committee member is invigilating the oral examination at the student’s location, the proctor or committee member is responsible to:

3.2.1

Verify the identity of the student through appropriate photo identification;

3.2.2

Verify that the student cannot access the deliberations of the examination committee during the closed adjudication process;

3.2.3

Ensure that all observers at the distance site with the student leave immediately following the open presentation and question period;

3.2.4

Stay with the student until the examination committee has communicated its decision to the student;

3.2.5

Within 5 days, submit the Report of the Proctor confirming compliance with FGS regulations and noting any unusual circumstances. The form should address procedural rather than substantive issues and note any problems, especially technical, that might have occurred during the examination. It should indicate the time the examination started, the time it ended, and the names of the people present in the room at the distant site during the examination;

3.2.6

In the event of a failed examination, an examination resulting in a lack of unanimity, or an examination in which there were procedural irregularities, a report must be submitted within 24 hours to the FGS.

---

4. Conduct of the oral examination

4.1 Rules for guest attending oral examinations

FGS will inform the guests of the attendance regulations when they have been approved. At the beginning of the oral exam the neutral chair will inform all in attendance of the regulations:

• Must sign into the examination between 5 – 15 minutes prior to the beginning of the session;
• Must mute their microphones;
• Cannot write in the chat box during the oral examination;
• Must not enter and withdraw during the session;
• Cannot participate in the questioning;
• Must withdraw from the session after the examiner’s questions are over;

4.2 Chairing an oral examination

FGS will inform the guests of the attendance regulations when they have been approved. At the beginning of the oral exam the neutral chair will inform all in attendance of the regulations:

4.3 Procedures for chairing the oral examination

In the master’s thesis route, the supervisor chairs the oral examinations for the proposal and the final thesis. The entire oral examination, including the presentation by the student and the period of questioning should normally not be longer than 1.5 hours.

The chair for the master’s proposal and thesis oral examinations is there to ensure that policies and procedures are correctly followed during and after the oral examination, guard against perceived conflict of interest or undue influence, uphold the integrity and fairness of the process and maintain the timing of the meeting.

In the doctoral program, a neutral chair is selected by the FGS for both the candidacy and final dissertation oral examinations. The entire oral examination, including the presentation by the student and the period of questioning should not normally be longer than two hours. The neutral chair is not a member of the examination committee. The nature of their background, being from outside the academic unit of the student who is undergoing the oral examination, allows an objective observation of the proceedings. They do not read the dissertation, participate in the discussion about the dissertation, or vote.

The role of the neutral chair is to:

• ensure that policies and procedures are correctly followed during and after the oral examination,
• guard against perceived conflict of interest or undue influence,
• uphold the integrity and fairness of the process,
• maintain the timing of the presentation and questioning period.
• The neutral chair presides over the oral examination and the subsequent confidential discussion. They complete a report on the proceedings Report of the Neutral Chair, which is submitted to the Dean of the Faculty of Graduate Studies after the oral examination.
• The Report of the Neutral Chair should provide details regarding:
  • all procedural anomalies, e.g. if an examiner fails to participate, any technical problems that may have occurred, if there appears to be bias against the student, or a lack of agreement on the adjudication outcome;
  • the time the examination started, the time of finishing, the names of the people present in the room and those at the distance site during the examination;
  • whether revisions were needed and name of individual responsible for ensuring the revisions are completed with the timeframe agreed upon by the student and committee;
  • technical problems.
• See this url for the appointment of the neutral chair for the candidacy oral examination
• See this url for the appointment of the neutral chair for the final doctoral oral examination

4.4 The order of the proceedings for the oral examinations for the chair or neutral chair

The Order of the Proceedings for the Oral Examinations for the Chair or Neutral Chair. (In this section the title ‘chair’ will denote the individual chairing the examination for the master’s or doctoral programs.)

A script is provided by FGS for the chair to follow to ensure all oral exams follow consistent procedures. Below is an outline of the process. Before the oral examination officially begins, the chair verifies that:

• The technology is working for the examination committee members and the student;
• All examination committee members are present;
• The student is who they claim to be (this may be done by various means – a proctor being present with the student and indicating their identity; the examination being done by videoconference, or other means deemed appropriate by the academic unit and FGS);
• The student is alone in the room and will be alone for the duration of the examination, unless a proctor who has been approved in advance is present;
• Only preapproved observers are present during the presentation and question period (only applicable for the final oral examination which is open). Roll call will take place at the outset and anyone without pre-approval will be asked to leave the oral;
• Observers will be informed of the rules regarding their attendance (Section 4.1)
• All examination committee members are required to be present for the entire examination and deliberations;
• In the event that the examination is interrupted for up to 30 minutes (for one length of time or several periods of time during the examination) or if connections cannot be reestablished within that time, the examination will be rescheduled. The rescheduled examination will be considered the student’s first examination;
• The student’s presentation and the questioning period will not be recorded.

The chair welcomes all of those in attendance and may congratulate the student on arriving at this milestone in their program.

The chair impresses upon the student and the examiners that this is a formal examination. The chair then proceeds to provide information on the order of the proceedings as outlined below:

• The student will conduct a short presentation of their proposed or completed research study that is approximately 20 minutes in duration;
• After the presentation, the committee members will take turns asking questions. Each examiner will be given a maximum of 15 minutes for questioning. Starting with the most external person and working toward the supervisor. There is normally two rounds of questions for the doctoral oral examinations;
• Round 1: One round of questions (15 minutes each) for each committee member. Starting with the most external person and working toward the supervisor;
• Round 2: A second round of questions (15 minutes each) for each committee member
• After completion of the rounds of questions the chair will ask the student if they wish to add anything to the material present
• Then the chair will ensure the student and the observers are not present while the committee deliberates; The supervisor, or someone of authority who is familiar with the technology, will ensure the student is not able to hear the deliberations;
• The chair will ask each committee member in sequence their adjudication proposal/dissertation and oral examination, based on the regulations;
• After the deliberations and decision, the student is reconnected with the committee;
• The chair informs the student of the adjudication outcome;
• Any revisions and their completion deadline should be verbally discussed with the student and also provided to the student in writing by the supervisor. The supervisor or the committee members must decide who will assume the responsibility to ensure the revisions are completed by the agreed upon date.

For the master’s oral examinations, the supervisor and the committee completes the Master’s Thesis Proposal Oral Examination Report for the proposal or the Master’s Thesis Oral Examination Final Report for the final thesis oral examination.

For the candidacy oral examination, the supervisor is responsible for ensuring the committee members indicate their adjudication decision and comments on the form Final Report of Candidacy Oral Examination and Proposal and that the form is submitted to the FGS as soon after the oral examination as possible.

For the final dissertation oral examination, the supervisor and the examination committee complete the Dissertation and Oral Examination Final Report. It is the supervisor’s responsibility to ensure that all committee members indicate their decision on the form and that the form is submitted to the FGS as soon as possible. The Neutral Chair must complete the Report of the Neutral Chair and submit it to FGS as soon after the oral examination as possible.

To comply with the Freedom of Information and Protection of Privacy Act, and to help prevent identity theft, ensure that personal information such as:

• home telephone numbers
• home addresses
• personal email addresses
• signatures (in a scanned letter or sample questionnaire)

in a thesis/dissertation are blanked out, blacked out, or ‘xxx’ed out.

Definition of a program deferral

An interval of time when a student is unable and not expected to make progress in their program of study due to extenuating circumstances. The time of the deferral is not counted toward the maximum number of years allowed in the program.

Details pertaining to a program deferral

While enrolled in the program there may be situations in which students are temporarily unable to continue their program. One alternative for the student is to request a deferral in order to suspend the program requirements for a period of time. The maximum length of one deferral is one (1) year. In special circumstances, students may reapply for a 2nd year of deferral during their time in their program.

A deferral is typically reserved for situations when extenuating circumstances are present, such as:

• serious health conditions
• pregnancy
• significant caregiving responsibilities
• adoption
• unexpected military service or deployment
• participation in a political election
• executive position on AUGSA
• required jury duty

Having multiple competing responsibilities is not sufficient to be considered extenuating circumstances.

The length of time of the deferral is not included in the time period for completion of the program and deadlines will be adjusted accordingly.

During the deferral, the student will have limited access to the program, University, and supervisory resources.

No program fees or tuition fees will be charged for deferrals.

Factors to consider before requesting a program deferral

All deferral arrangements must be discussed as early as possible with the student's supervisor (or in the case of course-based programs with the graduate program director) so that appropriate adjustments can be made prior to the start date of the leave.

If the student holds any awards/scholarships at the time of the request of the deferral, they must check the criteria of the award/scholarship to determine whether the award can be deferred or interrupted and discover the necessary process to seek deferral or interruption of the award/scholarship.

Students should make themselves aware that the deferral may cause some of their courses to be 'stale-dated'.

Students whose research involves ethics approval and agency access approvals need to be aware that the AU REB and the pertinent agencies approval to conduct their research ceases when they are no longer a currently registered student. They cannot conduct their research during this time and they will have to resubmit their ethics/access applications upon their return to study.

The maximum length of a deferral is 1 year. In special circumstances, students may reapply to their graduate program director for a 2nd deferral during their time in their program.

The student needs to make themselves aware of any costs related to the program deferral. No program or tuition fees will be paid by the student during the deferral.

Procedure

1. The student shall submit the Request for program deferral form to their supervisor (or graduate program director if they do not have a supervisor). The request should include the following:
   • reasons for the request
   • length of deferral requested
   • pertinent documentation related to the deferral request (e.g. if a medical leave, provide a letter from a qualified health practitioner)
2. After discussion with the supervisor (or graduate program director) the supervisor indicates their recommendation with any pertinent comments in a letter to the graduate program director (including the student's completed form).
3. The graduate program director submits the form with their recommendation and the accompanying documentation to the Dean, Faculty of Graduate Studies for information.
4. The graduate program director or designate will advise the Graduate Administrative Assistant of the deferral and they will place a special notation on the student's record.
5. Approval must be obtained from the Faculty of Graduate Studies if a student requests a 3rd year of a deferral.

Definition of program extension

An amount of time that is added to the maximum number of years permitted in a program in order to allow students to complete their studies and graduate.

Details pertaining to a program extension

Each program may have a maximum number of years within which to fulfill the requirements of the degree, i.e. the number of years permitted between a student's initial registration after acceptance to the program and the completion of all requirements to graduate from that program.

Enrolling in graduate studies involves a commitment by the student to complete a program within a specified time frame. Adult learners may have difficulty completing their program within the length of time allowed due to unforeseen circumstances.

If a student is unable to complete the program within the expected maximum number of years for completion, a program extension may be considered. Requests for an extension will be considered only under compelling circumstances.

The maximum length of a program extension is 1 year. In exceptional circumstances students may reapply if additional time is necessary.

Factors to consider before requesting a program extension

• The timing of the request for a program extension must adhere to the relevant application procedures and deadlines for the student's program.
• The maximum length of a program extension is 1 year. In exceptional circumstances students may reapply if additional time is necessary.
• It is the student's responsibility, if they are in receipt of an award/scholarship or other financial aid, to investigate the implications of their program extension on their funding.
• It is the student's responsibility to become aware of any fees. A program extension (continuation fee) fee will be paid by the student upon approval of the program extension. Additional fees may be charged by the student's faculty/centre.

Procedures

1. The student shall submit the Request for Program Extension form (PDF) to their supervisor (or graduate program director if they do not have a supervisor).
   1. For students in the thesis-route and in the doctoral programs, the student completes an Annual Progress Report with their supervisor and supervisory committee (if formed). At this time the student's progress through the program is discussed with specific goals outlined for the subsequent year. After discussion and agreement by the supervisor, the student can proceed with their request for a program extension.
   2. In a course-based route, the graduate program director (or designate) may be the substitute for the supervisor. When the student is entering their final year of the expected time-to-completion, the student and the graduate program director may determine that the student will be unable to fulfill all of the requirements of the program within the remaining time left in the program. At this time the student may apply for a program extension.
2. In the request, the student must submit the following information to the graduate program director:
   1. a summary of their progress to date
   2. reasons for the program extension (e.g. cause of delay, extenuating circumstances)
   3. length of program extension requested (maximum 1 year)
   4. a plan with timeline that indicates how the degree requirements will be completed in the period requested
3. The submission is presented to the graduate program director who then submits the documentation and recommendation to the Faculty of Graduate Studies for approval.
4. Upon review of the documentation, Faculty of Graduate Studies will notify the graduate program designate of the decision.

Approved at Faculty of Graduate Studies Faculty Council November 1, 2012.

The supervision of graduate students is part of the mandate of AU. The purpose of the documents below is to clarify expectations and responsibilities of the supervisor and the student. The work performed by graduate students forms a vital part of a university’s research agenda. When students enter a graduate program, they commit time and energy to a thesis or dissertation that will make a substantial and original contribution to knowledge. It is the responsibility of the supervisor to advise and mentor the student in the development of his or her research and intellectual growth. Likewise, it is the responsibility of the student to conform to university policies and program requirements, and to fulfill certain responsibilities when engaging in a supervisor-student relationship.

While many models of supervision exist across disciplines and graduate programs, the guidelines, roles, and responsibilities of the supervisor and student are provided to clarify expectations in order to reduce conflict and facilitate the thesis/dissertation process. It is the role of the Faculty of Graduate Studies to provide policies and guidelines that help to ensure a minimum standard of excellence in graduate education and promote a fair set of expectations across all programs.

Guidelines for graduate student supervision

Successful program completion and/or withdrawal rates have been linked to the quality and quantity of advisement provided to graduate students. The supervisor assumes a number of roles in the supervisor-student relationship. The role may range from a very structured “master to apprentice” scenario to a very unstructured “subtle guide of an independent scholar.” Within the supervisory responsibility, the supervisor is a mentor, advocate, expert, leader, and facilitator for the student.

The Canadian Association for Graduate Studies has developed a number of guiding principles as a resource for supervisors and students. Some of the guiding principles are as follows:

• a supervisor should be identified in a timely fashion.
• supervisory committees or equivalents should be established early.
• expectations, roles, and responsibilities of graduate students and supervisors should be made clear.
• supervisors should be readily accessible to their students and regular monitoring and feedback should be ensured.
• student-supervisor relationships should be professional.
• intellectual debate and challenge should be encouraged and supported.
• supervisors should be mentors.
• issues of intellectual property and authorship should be made clear.
• conflicts should be resolved at the lowest level possible.
• continuity is important in graduate supervision.
• alternative supervision should be available.
• students have substantial responsibilities for managing their own graduate education.

Responsibilities of the supervisor

The supervisor is a mentor, advocate, expert, leader, and facilitator in the formation of a partnership between the student, the committee, and graduate studies.

The responsibilities of the supervisor are to ensure equitable and quality service to the student. Responsibilities include:

• being familiar with the policies and regulations within the supervisor’s academic unit and the Faculty of Graduate Studies (FGS)
• providing an environment for the student that is conducive to research and in which the student can grow intellectually
• constructing an academic plan (program of study) for the period of time for the degree:
• assisting and advising the student with their application to the AU Research Ethics Board (if conducting research with human subjects) or applications to other ethics or access boards as required
• informing the student of awards/scholarships/research funding in his or her area of research and assist the student in submitting a strong application
• informing the student of conferences and assist the student in preparing an abstract for the conference
• clarifying with the student any questions regarding intellectual property rights, primary authorship on research activities, and the specific role of the student, the supervisor and other collaborators in the research program
• determining when the student is ready to proceed to their candidacies and proposal, when the thesis is ready for distribution to externals, and the student is ready for the final oral defence
• ensuring that the student is adequately supervised by providing an acting supervisor (who should be a member of the supervisory committee) when on leave or an extended period of absence

Responsibilities of the interim supervisor

The interim supervisor is identified by the academic unit, a graduate program designate or by a student upon admission to the doctoral program based on common research interests or other factors. The position of interim supervisor/advisor should exist no longer than the first 2 years after the student has begun the program. The interim supervisor/advisor may or may not become the student’s thesis/dissertation supervisor/advisor or a member of the student’s supervisory committee.

The overall purpose of the interim supervisor’s role is to assist the student in his or her adjustment to the graduate program and its expectations, act as a mentor, and provide advisement regarding program requirements and progress in the program until the supervisor/advisor is selected. More specifically, the interim supervisor would:

• confirm a time frame with the student for completion of the degree requirements
• advise and guide the student on their program of study
• approve changes to the student’s course of study with a recommendation that would be forwarded to the graduate program designate and the Faculty of Graduate Studies, such as requests for leaves
• act as a resource person or advisor to the student until such time as the student acquires a supervisor/advisor pertaining to:
  • awards
  • scholarships
  • conferences
  • research ideas
  • ideas for committee members
• act in conjunction with the graduate program designate and the Faculty of Graduate Studies, ensuring the student meets faculty requirements and university regulations, or petitions in a timely manner for their waiver
• meeting with the student on a regular basis to monitor progress (complete the annual progress report with the student) until this responsibility is assumed by the supervisor/advisor
• assisting in identifying research and funding opportunities and assist the student in the application process

Responsibilities of the co-supervisor

In the case where a doctoral student will have two co-supervisors, the co-supervisor who will be assuming the primary responsibility for the fulfillment of AU policies must be a full-time, continuing tenured (or tenure track) faculty member at Athabasca University. In all instances, the co-supervisors must work together cooperatively to provide an environment for the student that is conducive to research and in which the student can grow intellectually. Below are the role descriptions for the co-supervisory model, should this model of supervision be adopted:

The AU co-supervisor will:

• serve as the external co-supervisor's liaison to AU and the Faculty/Centre program office
• be familiar with the policies and regulations within the AU Faculty/Centre and the Faculty of Graduate Studies
• work jointly with the external co-supervisor to construct an academic plan (program of study), establish a timeline and goals with the student at the beginning of the relationship, and assist and advise the student with his or her application to the AU Research Ethics Board, if appropriate
• determine jointly with the external supervisor when the student is ready to proceed to the candidacy exam, when the dissertation is ready for distribution to all committee members, and when the student is ready for the final oral defence

The external co-supervisor will:

• provide support to the student in the form of enhancement of ideas, research methodology and assistance in the completion of the proposal and of the dissertation.
• work jointly with the AU co-supervisor to construct an academic plan (program of study), establish a timeline and goals with the student at the beginning of the relationship, and assist and advise the student with his or her application to the au research ethics board, if appropriate.
• review draft copies of the dissertation proposal prior to the candidacy exam and of the dissertation prior to the dissertation defence and advise the AU co-supervisor and the program director as to whether or not the student is ready to defend his/her proposal and final dissertation.
• be available to student(s) on a regular basis, responding to specific academic questions and issues from the student(s) via email, fax, telephone and databases as appropriate.

Responsibilities of the supervisory committee members

The supervisory committee member will:

• read and provide prompt and constructive feedback on the dissertationproposal.
• participate in the candidacy exam (in person or electronically).
• provide advice and expertise to the student with their dissertation research.
• provide timely and constructive feedback on the dissertation.
• attend supervisory committee meetings at least once/year for completion of the Annual Progress Report (in person or electronically).
• participate in the dissertation oral examination (in person or electronically).

Responsibilities of the graduate student

Students should regard graduate research as a partnership with their supervisor. When a student enters a graduate program, he or she commits time and energy necessary for research leading to a thesis/dissertation that makes a contribution to the knowledge in the student’s area. Although it is the duty of the supervisor to be reasonably available for consultation, ultimately the student is responsible for conducting the proposed research work and the program of study. The responsibilities of the student include:

• become familiar with the policies, procedures, and regulations of his or her Academic Unit and the Faculty of Graduate Studies
• assess his or her financial needs during the tenure of the graduate program
• adhere to all deadlines and policies regarding registration, withdrawal, thesis submission, and deadlines established with the supervisor and by the committee
• develop, with the guidance of the supervisor, a written research proposal, which must be approved by the supervisory committee
• self-evaluate progress and productivity throughout the program
• become familiar with the policies regarding research ethics
• meet with the supervisor when requested and report regularly on progress and resultsorganize and be efficient in processing the data and in the planning of future research
• keep abreast of current literature in the field
• allow adequate time for the supervisor or committee to provide comments o written material
• keep the supervisor informed on how he or she can be contacted and inform your supervisor of any significant changes that may affect the progress of th research
• keep a systematic record of research work and results, and be prepared t answer to the supervisory committee with respect to progress

It is a violation of the Copyright Act to include personal information, such as signatures in publicly accessible documents. This includes documents that normally contain signatures, such as approvals obtained from an Ethics committee. In such cases where the form includes signatures and is required to be included in the thesis/ dissertation/ project, the signatures must be 'blanked out' with the original retained by the student.

In the case of a thesis/ dissertation the examination committee normally signs a form confirming their approval that the student has fulfilled the requirements of their degree (“Approval of Master's Thesis” or “Final Approval of Dissertation”). To prevent violation of the Copyright Act, the Faculty of Graduate Studies will provide the student with the “Approval of Master's Thesis” page or in the case of the doctoral student, the “Final Approval of Dissertation” page. This page contains a typewritten list of the names of the examination committee members, and signifies to the readers of the thesis/dissertation that it had received final formal approval. The Faculty of Graduate Studies will provide the student with this page after the thesis/dissertation has received final approval. The student will insert this page into their document immediately after the title page.

The provision of access to information and technology is a defining feature of Athabasca University. The university supports the principle of academic freedom and free access to the results of university research, which includes research conducted by AU students. Dissemination of research results is a primary function of Athabasca University.

It is the responsibility of the student’s supervisor, in early discussions about their research topic to advise:

• against selection of thesis/dissertation topics if the results cannot be published upon completion of all requirements for their degree
• of policies and regulations that will affect the publication of their thesis or dissertation, such as requirements of agencies from whom the student may receive funding for their research.

Anonymity and confidentiality of participants and data in research is paramount. Approval from the AU Research Ethics Board will ensure that the anonymity of the sample (whether individuals, groups, or organizations) is maintained. The Freedom of Information and Protection of Privacy Act and the Freedom of Information and Protection of Privacy Regulation also dictate that personal information not be included in documents that are considered to be public.

Criteria for the restriction of theses or dissertations

There may be specific situations in which the student and supervisor are obliged to restrict the publication of the student’s thesis/dissertation for a temporary period of time. A request for approval from the Dean, Faculty of Graduate Studies must be made. Valid reasons to restrict the publication of the thesis or dissertation include:

• time is required for submission of a patent application for a device or idea that might emerge from the thesis or dissertation;
• the thesis or dissertation describes something of considerable commercial viability potential which, if given an opportunity to develop it, could benefit the student;
• funding for the research was provided by a sponsor who has requested a delay in publication;
• public interest is best served by a delay in publication;
• other reason (this reason must be specified by the student and supervisor).

A plan to submit chapters of the thesis or dissertation for journal publication is not, by itself, grounds for withholding a thesis or dissertation from publication in the AU DTheses repository or being harvested by Library and Archives Canada (LAC). Many journals and book publishers accept a thesis for traditional publication even if it is already available electronically on the website of an educational institution. It is the responsibility of the student to become acquainted with the policies of a prospective publisher to determine if there is a publication restriction. If the publisher specifies a restriction period this should be entered as a reason for temporary restriction under the ‘other’ category.

The thesis or dissertation will not be available for student or public access or harvesting by Library and Archives Canada until after the restricted period. Upon expiration of the restricted period, the thesis or dissertation will automatically be released into the AU DTheses repository and made available for harvesting by Library and Archives Canada.

Procedures

1. The student and supervisor must submit their request no later than when arrangements for the final oral examination are being discussed (at least 2 months prior to the anticipated date of the final oral examination).
2. The form Request for Approval to Temporarily Restrict Publication of Thesis or Dissertation is to be completed by the student and supervisor.
3. The student initiates the completion of the form.
4. The student specifies the restriction period up to a maximum of 12 months.
5. Documentation must accompany the form indicating how the request corresponds with one of the policy’s criteria to restrict the publication of the thesis or dissertation.
6. The supervisor must sign the form indicating they agree with the request and may provide additional supporting arguments for the request and/or the length of the time restriction.
7. The request is submitted to the graduate program designate in the student’s academic unit, who indicates their agreement with the request with recommendation to the Dean, Faculty of Graduate Studies.
8. The Dean, Faculty of Graduate Studies determines the outcome of the request.
9. The abstract of the thesis or dissertation will be posted by the student in the AU DTheses repository with the disclaimer that the document has ‘restricted access for the period of ___________ months until dd/mm/yyyy’.