Master's 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 a full-time, continuing Athabasca University (AU) faculty or academic coordinator, having a tenured (or tenure-track) 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 of 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.

Students normally identify their supervisor, who is usually a faculty member from the faculty or centre/school in which they are enrolled. When the faculty member agrees to become the supervisor, the student completes the Master's Thesis Supervisor Approval Form and submits it to the graduate program designate for approval. Upon approval by the graduate program designate, the designate then submits the request to FGS for approval.

2.3.1 Supervisory committee composition

The supervisor works with the student on selecting the supervisory committee. A master’s thesis supervisory committee is normally comprised of a minimum of 2 people, one being the supervisor.

• The chair of the committee shall be the supervisor, normally from the student’s faculty or center/school;
• At least 1 of the committee members shall be from the student’s faculty or center/school.

The committee must meet the eligibility criteria requirements and must not be in a position of conflict of interest (AU Policy 150 002), such as having been or being currently associated with the student, supervisor, or co-supervisor as a close friend or relative, or be in a commercial, business, or financial relationship.

Once the committee is selected, the supervisor completes the Master's Thesis Supervisory Committee Approval Form for approval by the graduate program designate. The graduate program designate shall recommend and submit the names of the committee members 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 the FGS.

Co-supervisors must meet the eligibility criteria outlined for members of supervisory committees, which includes the criteria under “Other categories”. 

Co-supervision normally represents 1 of the following relationships:

• The co-supervisor may be a faculty member who is being mentored by the supervisor into the role of eventual supervisor for a future student,
• the co-supervisor may be an external faculty member, from another AU faculty, or external to AU, who holds experience in supervising graduate students and is mentoring the supervisor, or
• the 2 individuals may have key expertise in the student’s research area and so have agreed to co-supervise the student.

In a co-supervision situation, the co-supervisor may be from another AU faculty or external to AU, but the supervisor must always be an AU faculty member, preferably from the student’s faculty or centre/school.

This supervisor holds the legal responsibility to ensure that AU policies and procedures are followed and holds the ultimate responsibility and authority for decisions regarding the student’s progress and outcome. The signatures of both the supervisor and the co-supervisor are required on all documents where the supervisor’s signature is required.

It is the responsibility of the supervisor or designate to keep committee members informed of the student’s progress and meetings of the committee. The supervisor and the supervisory committee (if formed at that time) shall meet formally with the student at least once per year to discuss progress and the student’s goals for the next year.  

The Annual Progress Report (APR) - Masters Student must be completed and submitted to the Faculty of Graduate Studies (FGS) annually, in which the student lists the goals they achieved during the past year and identifies their goals for the subsequent year, such as thesis proposal completion date or commencement of data collection. The student also lists publications, paper/poster presentations, and awards received during the past year.

If the supervisor recommends that certain aspects of the student’s work need improvement, specific actions to be taken by the student for improvement are identified on the form. The form is submitted to the graduate program designate and FGS for information and any needed follow-up.

The graduate program designate may recommend changes to a supervisor and/or recommend revisions to the supervisory committee. They would notify FGS to determine which form to complete. In cases of sudden or unexpected interruption of supervision, such as resignation, illness, or death, the graduate program designate must, without delay, arrange for continuity of supervision, pending the appointment of a new supervisor or supervisory committee member.

It is the responsibility of supervisors to ensure 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 graduate program designate 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.

The student submits the proposal to the committee and conducts an oral presentation to the committee. At this time, the supervisor and the supervisory committee must formally approve the thesis proposal. The student conducts a formal presentation of the proposal to the committee within normally a closed session (no one besides the student, the supervisory committee, and a designate from the office of the Faculty of Graduate Studies (FGS) can be present). The presentation is followed by an oral examination, in which the committee will ask questions related to the proposal, raise questions or issues the student may anticipate in conducting the research, and determine whether the student is adequately knowledgeable in the proposed research area to proceed with the thesis research. The conduct of the oral examination component must follow the oral examination guidelines.

The proposal and the oral examination are adjudicated at the same time; however, they are given different ratings. For example, the student may receive a Pass on the oral examination but may receive a Fail on the proposal. To proceed to Ethics (if applicable) or with their research, the student must receive a Pass on both the proposal and the oral examination. 

The decision shall be that of the majority. If a decision cannot be reached, the supervisor’s report should record the recommendation of each committee member on the Master's Thesis Proposal Oral Examination Report. This is submitted to FGS.

In the case where the examination committee recommends an adjournment, the student is given a second opportunity for the oral examination. At the second attempt, the oral examination and proposal must be rated as a Pass or Fail. Under extraordinary circumstances, the student may obtain an Adjournment on the second attempt.

If the recommendation is a Fail, consultation with FGS will be required. Depending upon the reason for the Fail, the committee may recommend to FGS that the student be allowed a second attempt at the oral examination or proposal. If FGS agrees with this recommendation, at the second attempt the examination committee must select 1 of 2 adjudication categories, Pass or Fail. Any student who receives a Fail at the second attempt is required to withdraw from the program with a Fail appearing on the transcript.

Pass

All committee members agree that no revisions are needed. The student receives a clear Pass.

Procedure

• All committee members indicate their decision on the Master's Thesis Proposal Oral Examination Report. The supervisor sends the form to FGS.
• The student can proceed to submit their proposal to the Ethics Review Board (if applicable) and/or begin with their research if they have also received a Pass on the oral examination.

Pass, Subject to Minor Revisions

Minor copy-editing revisions may be needed. The student cannot proceed to Ethics approval (if needed) or with the research until the supervisor has approved the revisions. In some cases, the supervisor may want a committee member to also approve the revisions.

Procedure

• All committee members must indicate their decision on the Master's Thesis Proposal Oral Examination Report.
• The revised proposal must be submitted no later than 4 weeks from the date of the initial examination.
• The supervisor must approve the revisions before the student can proceed for Ethics approval and with the research.
• The supervisor sends the form to FGS.
• FGS approves the Pass and the student can proceed.

Pass, Subject to Major Revisions

The proposal requires substantial revisions.  A reconvening of the committee is not normally required but may occur depending upon the preference of the committee members.

Normally, the committee members must review the revisions and determine whether the revisions are adequate and that the student can receive a Pass. The student cannot proceed to Ethics approval (if needed) or with the research until all committee members have approved the revisions.

Procedure

• Specify in writing to the student, 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 obtain a Pass.
• Identify the mechanism for meeting the required revisions. For example, who will provide the final approval and by what date. The final date set for resubmission shall be no later than 6 months from the date of the initial examination.
• Specify the supervision and assistance the student may expect from the committee members while performing the required revisions.
• The Master's Thesis Proposal Oral Examination Report should be submitted to FGS, with the results of the adjudication, reasons for the resubmission, and recommendations for further action after the examination.
• When the revisions have been approved, the supervisor notifies FGS. FGS will then inform the necessary individuals, allowing the student to proceed with the Research Ethics Board (REB) application or their research.

Fail

The proposal is unacceptable; e.g., poorly written, does not adequately address the literature in the research area, contains other significant omissions, or displays evidence of academic misconduct, such as plagiarism.

Procedure

• The supervisor verbally provides the student with the reasons for the Fail immediately after deliberations.
• The supervisor shall provide written reasons for the Fail to the student within 2 working days. The nature of the deficiencies must be specified with as much precision as possible in the written report.
• Depending upon the reason for the Fail, the supervisor and committee may recommend to FGS that the student be allowed a final resubmission of the proposal. It must be made clear to the student what will be required to achieve a Pass, and any assistance the student may expect from the supervisor and committee members in performing the required revisions.
• The Master's Thesis Proposal Oral Examination Report should be submitted to the Faculty of Graduate Studies (FGS) as soon as possible after the deliberations, containing the signatures of the members, the distribution of the votes, the reasons for the Fail, and recommendations for further action.
• The FGS dean may arrange to meet with the student and the committee before acting upon the committee’s recommendation.

Pass

The presentation accurately described the intended research. The student was able to accurately and articulately answer the committee’s questions.

Procedure

• All committee members indicate their decision on the Master's Thesis Proposal Oral Examination Report. The supervisor sends the form to FGS.
• The student can proceed to submit their proposal to the Ethics Review Board (if applicable) and/or begin with their research if they have also received a Pass on their proposal.

Fail

The presentation of the proposal was poor with inadequate description of the intended study; the questions were answered poorly; it did not appear that the student was well-informed on the background to their study or the intended research approach.

Procedure

• The supervisor, in the presence of the committee, must inform the student of this recommendation, with reasons, immediately after their deliberations.
• The supervisor must provide the student with the reasons for the Fail in writing within 2 business days. The nature of the deficiencies must be specified with as much precision as possible.
• Depending upon the reason for the Fail, the supervisor and committee may recommend to FGS that the student be allowed a second attempt on the oral presentation and examination. It must be made clear to the student what will be required to achieve a Pass before the oral examination is reconvened. Specify the supervision and assistance the student may expect from the committee members in performing the required revisions.
• The Master's Thesis Proposal Oral Examination Report must be submitted to FGS as soon as possible containing the signatures of the members, the distribution of the votes, the reasons for the Fail, and recommendations for further action.
• FGS may arrange to meet with the student and the examining committee before acting upon the committee’s recommendation.
• A Fail will appear on the transcript if FGS agrees with the committee’s decision regarding the Fail.

Adjournment

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.

Procedure

• The supervisor will confer with the student, the supervisory committee, and FGS to determine an appropriate course of action.
• The Master's Thesis Proposal Oral Examination Report should be completed by the committee and submitted to FGS, outlining the outcome of the oral examination and tentative plans for a second attempt.

A master’s oral thesis examination committee will be composed of the supervisory committee, plus one member from outside the student’s faculty or centre/school (external).  The individual must be “at arm’s length” and have no conflict of interest with the student and supervisor/co-supervisor.

The supervisor, after consultation with the graduate program designate, submits the External Examiner and Notice for Final Thesis Oral Exam to the Faculty of Graduate Studies (FGS) for approval. Documentation regarding rationale for the selection of the examiner may be requested by FGS. This notice must be received by FGS at least 4 weeks prior to any planned oral exam date.

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 thesis proposal or thesis,
• 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.

It is important to obtain preliminary acceptance, in writing, from the supervisory committee members indicating that the thesis is ready to be reviewed by the examination committee and that the student is ready to proceed. This process is critical to protect and uphold the reputation of the program and the university for excellence in graduate education. It is also important that an external is not asked to invest time in reading a thesis that is substandard. The thesis should have proper formatting and grammar illustrating graduate level communication of the research in a logical and organized manner.

At least 4 weeks prior to the oral thesis examination, it is the responsibility of the supervisor to:

• ensure each supervisory committee member has completed the Preliminary Acceptance of Thesis Prior to Final Examination Form;
• notify the examination committee and student of the examination date, time, and other arrangements necessary for the examination;
• supply the examination committee with a copy of the thesis so that they may have adequate time to appraise the document. The committee is normally given 3 to 4 weeks to review the thesis. In the absence of the supervisor, the above responsibilities shall be carried out by a designate of the supervisor.
• The student should not be making the arrangements for the examination.

In rare circumstances, the supervisor may recommend changes to the membership of the examination committee. The Faculty of Graduate Studies (FGS) must be notified in writing and approve the change in membership.

It is essential that all members of the examination committee participate in the examination for which the committee is charged. If FGS has advanced notification that the supervisor or an examiner cannot attend the examination, the following can occur:

• the examination may be postponed and rescheduled;
• the missing committee member may submit questions to the chair, who will read the questions at the examination; or
• the committee member may be replaced.

In cases of emergency, where there is little or no notice of the absence of a committee member (i.e., sudden illness), the situation will be dealt with on a case-by-case basis by the supervisor and/or FGS.

Normally, the oral thesis examination is “open”, enabling faculty members and students to attend. The student completes the Announcement of Final Thesis Oral Examination Form, which details the student’s educational and scholarly accomplishments.

FGS will prepare a formal announcement that is placed on FGS and the student’s program website. Guests may register with FGS to attend the oral examination. This is normally done approximately 1 week in advance of the oral examination.

There may be a case in which the oral examination may be closed, for example, when the results of the thesis must be kept confidential for a certain length of time, such as a patent pending. In such cases, the examination committee and graduate program designate shall recommend such action to the FGS. If approved, it will be closed to all but the examination committee and the dean of FGS.

The decision of the examination committee will be based both on the a) written thesis and b) student’s ability to defend it. The examiners will consider the merits of the oral examination and the written thesis. They will also determine the nature of and procedures for approval of any revisions that will be required prior to submission to FGS. All examination committee members must sign the Master's Thesis and Oral Examination Final Report, indicating their decision.

The decision shall be that of the majority, with the external committee member having decision-making authority equal to the rest of the examination committee members. If a decision cannot be reached, the supervisor shall record the recommendation of each committee member in the report form. This is submitted to FGS who will lead a discussion on an appropriate course of action.

Depending upon the reason for the Fail in the oral examination or the thesis, the committee may recommend to FGS that the student be allowed a second attempt on the oral examination or resubmit the thesis. If FGS agrees with this recommendation, at the second attempt, the examination committee must select 1 of 2 adjudication categories: Pass or Fail. Students will not be allowed to resubmit their thesis at the second attempt. Any student who is granted permission for a second attempt and receives a Fail on either the final thesis or the oral examination must withdraw from the program and will receive a Fail on their transcript.

The supervisor, who is the chair, is responsible for procuring signatures from all examination committee members at the time of the examination or as soon as possible after the examination. All committee members must sign the Master's Thesis and Oral Examination Final Report, indicating their decision regarding the thesis and oral examination.

7.3.1 Adjudication categories and procedures of the thesis

Pass

All committee members agree that no revisions are needed. The student receives a clear Pass.

Procedure

• All committee members indicate their decision on the Master's Thesis and Oral Examination Final Report. The supervisor sends the form to FGS.
• FGS will provide the student with the instructions for submission into the DTheses repository and application for graduation.

Pass, Subject to Minor Revisions

Minor copy-editing revisions may be needed. The supervisor must approve the revisions before the student can submit their thesis into the DTheses repository and apply to graduate.

Procedure

• Since these are very minor revisions/modifications, the supervisor may decide to withhold only their signature until the revisions/modifications have been made. The nature of the changes and the withholding of the signature are to be included in the report.
• The student has 3 months within which to complete the revisions. When the supervisor has approved the revisions, they are to inform FGS.
• FGS will then provide the student with instructions for submission into the DTheses repository and application for graduation.

Pass, Subject to Major Revisions

The revisions to the thesis are sufficiently substantial (e.g., major reworking of 1 section, or the committee is not satisfied with the general presentation of the thesis). Approval of changes will involve the supervisor as well as committee members.

Procedure

• The supervisor (chair) must specify in writing to the student, with as much precision as possible, the nature of the deficiencies, and in the case of revisions, the extent of the revisions required. It must be made clear to the student what will be required to obtain 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.
• It is expected that the student will make the changes in time to submit the thesis to FGS on or before a deadline set by the examination committee during the oral examination deliberations. The maximum length of time to make the revisions is 3 months.
• It is the responsibility of the supervisor to ensure the necessary revisions/changes have occurred before the student receives a Pass.
• The Master's Thesis and Oral Examination Final Report should be submitted to FGS, indicating the Pass subject to revisions, reasons for this adjudication, and recommendations regarding further action.
• When the revisions have been approved by the supervisor and/or committee, the supervisor notifies FGS that the thesis now receives a Pass.
• FGS will then provide the student with instructions for submission into the DTheses repository and application for graduation.

Fail

The thesis is unacceptable. It does not meet the standards of a master’s thesis. There may evidence of academic misconduct, such as plagiarism.

Procedure

• The supervisor provides the student with the reasons for the Fail immediately after deliberations.
• The supervisor shall provide written reasons for the Fail to the student within 2 business days. The nature of the deficiencies must be specified with as much precision as possible in the written report.
• The Master's Thesis and Oral Examination Final Report is to be completed by the supervisor and submitted to FGS as soon as possible, containing the signatures of the members, the distribution of the votes, 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 recommendation.
• A Fail will appear on the transcript if FGS agrees with the decision of the committee.

7.3.2 Adjudication categories and procedures for the oral examination

Students must pass an oral examination about the thesis and matters relating thereto.

Pass

The presentation accurately described the research, and the student was able to accurately and articulately answer the questions.

Procedure

• If a Pass is received on both the thesis and oral examination, all committee members indicate their decision on the Master's Thesis and Oral Examination Final Report The supervisor sends the form to FGS.
• FGS will provide the student with the instructions for submission into the DTheses repository and application for graduation.

Fail

The presentation of the research 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, in the presence of the examination committee, must inform the student of this recommendation, with reasons, immediately after their deliberations.
• The supervisor must provide the student with the reasons for the Fail in writing within 2 business days. The nature of the deficiencies must be specified with as much precision as possible.
• Depending upon the reason for the Fail, the supervisor and committee may recommend to FGS that the student be allowed a second attempt on the oral presentation and examination. It must be made clear to the student what will be required to achieve a Pass before the oral examination is reconvened. Specify the supervision and assistance the student may expect from the committee members in performing the required revisions.
• The Master's Thesis and Oral Examination Final Report must be submitted to FGS as soon as possible, containing the signatures of the members, the distribution of the votes, the reasons for the Fail, and recommendations for further action.
• FGS may arrange to meet with the student and the examining committee before acting upon the committee’s recommendation.
• A Fail will appear on the transcript if FGS agrees with the committee’s decision regarding the Fail.

Adjournment

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.

Procedure

• The supervisor will confer with the student, the supervisory committee and FGS to determine an appropriate course of action.
• The Master's Thesis and Oral Examination Final Report is completed by the committee and submitted to FGS, outlining the outcome of the oral examination and tentative plans for a second attempt.