anu thesis examination

Directories

Assessment of higher degree research

All ANU candidates are required to meet satisfactory academic progress. This means that they must meet the minimum academic performance requirements, which are assessed through progress milestones.

Introducing the ANU Confirmation of Candidature

From 16 September 2024, the Confirmation of Candidature milestone has replaced the Thesis Proposal Review (TPR) at ANU.

The TPR milestone has been replaced by the Confirmation of Candidature milestone for all candidates who:

began their program from 1 January 2024, or
began their program before January 2024 and had not yet completed their TPR by the end of August 2024.

More information is available on the Confirmation of Candidature SharePoint site .

Why the change?

The change to the Confirmation has been made to give research candidates more support at the beginning of their research experience at ANU. This is part of the ANU PhD strategy and has been the result of a long period of consultation and negotiation across the University.

There is a wide range of research at ANU, and PhD and MPhil research itself is original and unique. However, there has been large variations in the requirements for the TPR milestone across ANU such that expectations have been either too broad or lacking in enough clarity for candidates, supervisors, and other staff. Additionally, the TPR milestone in retrospect, has sometimes been lacking in rigour.

Having an ANU standard Confirmation of Candidature aims to promote a better quality of PhD and Masters by Research experience, while also supporting more timely completion of programs.

Confirmation of Candidature is intended to be a rigorous yet collegial process. It ensures that:

candidates receive the best possible supervision arrangements,
the project is developed with guidance to be a suitable PhD or MPhil project, and
resources and training needs are identified and agreed upon, including accessibility resources and requirements.

It is intended that candidates emerge from the Confirmation process with a clear understanding of their project, the support available to them, and their supervisors, and an enhanced sense of their place in the research environment at the ANU. By giving a high level of support and attention to PhD and MPhil candidates they are more likely to proceed with confidence in their project.

How is it different to the Thesis Proposal Review (TPR)?

The procedural differences to the TPR are :

Each candidate will have a Confirmation Review Panel (CRP) consisting of the Supervisory panel and headed by a Confirmation Review Panel Chair. The CRP Chair is external to the supervisory panel.
The CRP assesses the training and development needs of the candidate.
The CRP assesses the level of resources required for the project and either ensures that the candidate can access the resources they need, or that the project be modified so that it can be achieved.
There is both a written and an oral requirement for Confirmation of Candidature.

The other main difference is that there will be consistency across the ANU on the components of the milestone, which have been agreed upon after a thorough design and consultation process. Although there is an ANU standard Confirmation of Candidature, some aspects of the process can be varied. These must be recorded and approved by the Pro Vice-Chancellor (Graduate Research).

When does the Confirmation of Candidature occur?

The Confirmation of Candidature process must be finalised within 9-12 months of the start of candidature, unless the program has an alternative approved process (see above).

What is the Confirmation Review Panel (CRP)?

For each candidate, a CRP will be appointed to oversee the confirmation process. The CRP must be constituted 3 months into candidature at the time of the First Annual Plan, except for programs with a variation. For candidates who commenced prior to 2024 and have not completed the TPR milestone, the CRP should be appointed prior to the candidate undertaking the Confirmation milestone.

The role of the CRP is to consider all information provided as part of the Confirmation process and to make a recommendation to the Delegated Authority about the outcome of the Confirmation.

The CRP will include all supervisory panel members, including industry-based supervisors. The CRP will include at least one additional person who is independent and external to the supervisory panel who will serve as the Chair.

This independent person will be the Delegated Authority, or their independent delegate. They may be the HDR Convenor or they could be another ANU academic appointed by the Delegated Authority. They must not be a member of the panel or have a close personal relationship to a panel member or the candidate.

The Delegated Authority constitutes the panel and decides who will be the Chair, giving due consideration to the candidate’s preferences and other factors such as conflict of interest.

Industry based advisors who are not on the supervisory panel may be invited to sit on the panel.

There is flexibility around the number of panel members. The minimum requirement is for all members of the supervision panel plus the Chair, who must be independent. No maximum number is stipulated but it is expected that there be no more than five (5) members.

What is the assessment structure?

Candidature is confirmed when all of the assessment components of the Confirmation are approved by the Delegated Authority.

All Confirmations at ANU must consist of a written component and an oral component, and affirm the following criteria:

Academic rigour of the proposed research, using the AQF Level 10 (for PhD) and AQF Level 9 (for MPhil) expectations guide.
Capacity to meet the learning outcomes of the Program within the program length.
Feasibility of the proposed research.
Training needs assessment.
Accessibility needs assessment, if required.
Resource requirements.
Supervisory panel.

Written component – Thesis Proposal

The Thesis Proposal is the written component of the Confirmation milestone, and its purpose is to outline the research question and the proposed research. The preparation of this document should be considered as a roadmap for the candidate, where they describe their initial investigations and how they plan to carry out their project.

The minimum standard requirement for the written component is 5,000 words, or as specified in an approved variation, and must be submitted at least 10 working days prior to the oral presentation.

It must include:

a literature review,
the proposed methodology,
a description of how the proposed research will make an original contribution to the field of study,
a timeline and project plan that demonstrates the research can be completed within the Program length,
accessibility requirements if desired by the candidate, and
an assessment of the skills the candidate needs to develop to complete the research.

The skills assessment is intended to form the basis for candidates to discuss professional development needs and opportunities with the CRP. The Thesis Proposal should include a summary of the resources that will be required to complete the research and intended sources of funding, if required.

Oral component – Thesis Proposal presentation

An oral presentation should outline the proposed research and summarise the existing literature, describe the proposed methodology, and provide a description of how the proposed research will make an original contribution to the field of study. It is a presentation based on the written Thesis Proposal.

The Thesis Proposal presentation should be open to all members of the discipline area and can be open to the public, if desired or appropriate. The presentation should be approximately 40-60 minutes in length with 20 minutes for discussion. The minimum requirement to be set at Program level is 20 minutes presentation and 10 minutes discussion.

All members of the CRP must attend. Opportunities to attend remotely should be provided. In the rare circumstances that a panel member is not able to attend the presentation they should provide written feedback to the Thesis Proposal as presented in its written form or of a recording of the Thesis Proposal if appropriate.

What is the Confirmation process?

The Confirmation itself refers to the combination of

the written component (the thesis proposal),
the oral presentation of the thesis proposal,
a meeting of the CRP about the thesis proposal and the presentation where they decide on the outcome of the confirmation, and
a meeting of the CRP and the candidate to convey and discuss this outcome.

Meeting of the Candidate and CRP Chair

Before the Confirmation, the candidate is given the opportunity to meet with the independent CRP Chair. This is a chance for the candidate to discuss any aspect of their candidature, including resourcing, funding, skill or professional development, and to discuss their supervisory arrangements.

Thesis Proposal document (see above);

Thesis Proposal Presentation (see above)

Meeting of CRP members

After the submission of the Thesis Proposal and the oral presentation, the CRP members will meet without the candidate present to discuss the proposal and decide on the outcome.

The panel should consider the viability of the proposed research within the program length, the funding and other resources required to complete the research, and the suitability of the existing panel to supervise the research and the candidate.

Confirmation of Candidature meeting

The Confirmation outcome is communicated at a meeting of the candidate and the CRP after the CRP meeting. The candidate may invite a support person when they meet with the panel. A support person is not part of the decision-making process. At this meeting the CRP and candidate will discuss:

The research plan, timeline, and any amendments resulting from the Thesis Proposal Presentation or review of the written proposal.
The appropriate supervisory panel to oversee the proposed research.
The training or development needs of the candidate.
The resources required to complete the proposed research.
Accessibility requirements of the candidate, if appropriate.

The CRP communicates the outcome to the candidate at the meeting, and agrees upon any amendments required for the candidature to be confirmed.

What are the possible outcomes of a Confirmation of Candidature?

The CRP Chair will make a recommendation to the Delegated Authority on behalf of the CRP.

Possible outcomes:

Confirming supervisory panel.
Approve resourcing for research project.
Further review (e.g. of project progress, methodology, or level of resourcing) with timeline for decision within 3 months.
Convert to MPhil/PhD.
Withdraw/discontinue.

If there is disagreement within the CRP, the Confirmation will be referred to the Associate Dean (HDR) for review. The ADHDR may require supplementary material.

The final piece of assessment for higher degree research (HDR) programs is the thesis. The thesis is submitted at the end of the program and is the culmination of the research conducted during the program.

In addition to the thesis, research students are required to complete progress milestones during their program. Some research programs also require the completion of coursework.

Your supervisory team will support and assist you in your research and guide you through the formation of your thesis. Once it is completed it is to be submitted for examination following the thesis submission guidelines.

Theses are examined in accordance with the Research Awards Rules.

On the recommendation of the Delegated Authority, the appropriate Education Dean will appoint at least two external expert examiners of international standing to examine your thesis. Members of your supervisory panel cannot be an examiner of your thesis.

Once your thesis has been examined, you will be notified of the examiners' recommendations. For each thesis, examiners are required to recommend one of the following outcomes:

that the student be granted the award
that the student be granted the award subject to corrections or revisions required by the examiners in the thesis to be made to the satisfaction of the Delegated Authority in the copy intended for deposit with the University Library
that the student be permitted to submit a revised thesis for re-examination
that the student be failed.

Students have the right to appeal a fail result.

Advisory information

Academic problems, appeals, complaints process
Research Candidate Milestones
Submitting a thesis

Reference documents

ANU Confirmation of Candidature - Standard Requirements (PDF, 105.29 KB)

Use contact details to request an alternative file format.

Legislations

Research Awards Rule 2021 (Latest version)
+61 25 5777

Policy Library

Search ANU web, staff & maps
Search current site content

Search Policy Library

Accommodation
Access & Use
Art Collection
Capital Projects
Drill Hall Gallery
Environment & Heritage
Gardens & Grounds
Maintenance & Small Alterations
Names , Numbers & Signage
Specifications
Alumni Relations
Work & Life Balance
Chart of Accounts
Investments
Delegations
Fire & Emergencies
Occupational Health & Safety
Infrastructure
Records & Archives
Information Security
Company Directorships
Advertising
University Branding
Grants & Consultancies
Integrity & Ethics
Intellectual Property
Employment of Staff
Grievances & Appeals
Health & Working Safely
Leave & Absences
Performance Expectation
Performance Expectations
Remuneration & Benefits
Staff & Career Development
Assesment, Academic Progress & Appeals
Assessment, Academic Progress & Appeals
Finance & Fees
Higher Research Degrees
Student and University Experience
Bookings & Expenses
Parking & Traffic
Prospective Staff
Prospective Students
Staff-Academic
Staff-Academic-Research
Staff-Professional
Students-Distance
Students-Graduate
Students-Graduate-Coursework
Students-Graduate-Research
Students-NonAward
Students-Undergraduate
ANU Advancement
ANU International Office
Chief Information Security Officer
Communications and Engagement
Corporate Governance & Risk Office
Division of Student Administration and Academic Services
Facilities & Services
Finance & Business Services
Higher Degree Research
Human Resources Division
Information Technology Services
International Strategy and Future Students
Planning & Service Performance
Research Services
Scholarly Information Services
Advanced Search
Policy Governance Framework
Legislation
University Glossary

Related sites

Office of VC
Governance Office

P rocedure: Higher degree by research - thesis by compilation and thesis by creative works

This document outlines the content, format, and approval process for an HDR Thesis by Compilation or Thesis by Creative Works submission.

This document is to be read in conjunction with the Research Awards Rule .
This procedure supplements the information provided in the Higher Degree by Research Submission and Examination of Theses Procedure . Where information is not varied or detailed in this procedure the Higher Degree by Research Submission and Examination of Theses Procedure prevails.
This procedure outlines the minimum requirements and may be supplemented by College / School specific guidelines.

Thesis by c ompilation

A thesis by compilation consists of papers (e.g. research articles, chapters in books) of which the candidate is the sole or joint author and which are in the process of being published, have been accepted for publication, or have been published.
Where the paper is jointly authored it is expected that at least the majority of the first draft is written by the candidate.
All papers submitted in a thesis by compilation must follow the ANU Responsible Conduct of Authorship guidelines .
A thesis by compilation, in addition to its component papers, contains
An introduction to the field of study and the hypothesis or research questions of the thesis, how these are addressed through its component papers, and a general account of the theory and methodological components of the research where these elements may be distributed across separate papers.
Linking text to establish the relationship between one paper and the next, such as through a foreword to each paper.
A conclusion drawing together the published papers in a cohesive manner, and addresses how the individual publications link to the theory and methodology adopted and evaluate the contribution that the research makes to the advancement of the research area.
Papers in the following categories may be included within the thesis:
Published papers ;
Manuscripts accepted for publication ;
Manuscripts under revision following reviewers reports;
Manuscripts submitted and under review by reviewers; and
Manuscripts in preparation for submission.
Unless otherwise approved in writing by the Delegated Authority, a thesis by compilation must consist primarily of papers in categories (a) and (b) of section 8.
A thesis by compilation may also include video recordings, film or other works of visual or sonic arts, computer software, digital material or other non-written material for which approval has been given for submission in alternative format.
The papers must have been researched and written during the course of the candidature, except in the case of candidates admitted to a PhD program as a staff member under the Research Awards Rule.
The scope and quality of a thesis by compilation is commensurate with the contribution to knowledge expected of a candidate for the relevant degree. The numbers of papers that constitute this requirement may vary between disciplines depending on their norms.
A thesis by compilation includes a signed declaration that specifies:
Title, word length, authorship and publication outlet of each paper.
The current status of each paper (In press, Accepted, Under Review, In preparation).
The extent of the contribution of the candidate to developing the research questions, creation and collection of data, analysis and interpretation of the data, and to the writing of the paper.
For each paper for which the candidate is not the sole author, the collaborating authors sign the declaration. Where this is not possible the lead author signs the declaration on behalf of the collaborating authors, unless the lead author is the candidate or a panel member, in which case another author should sign the declaration.
The thesis may also include relevant appendices containing additional papers that are not related to the main thrust of the thesis, raw data, programs, questionnaires and other material as deemed appropriate for each discipline.
The non-published parts of the thesis should be formatted as per the Higher Degree by Research Submission and Examination of Theses Procedure. Published papers or manuscripts should be formatted as published.
Candidates submitting by compilation will obtain endorsement from their supervisory panel, and approval from the Delegated Authority about the format of their thesis no more than 12 months prior to submission, and no later than 6 months prior to submission.
In considering the request the supervisory panel will provide the candidate with discipline ‐ specific guidance on the appropriate quantity and quality of papers for submission as a thesis, as well as practical guidance about realistic peer ‐ review and publication timeframes in their discipline.
The Delegated Authority may permit the approval of a thesis by compilation and the composition of that thesis less than 6 months prior to submission in exceptional circumstances.
Following submission of the thesis the standard ANU examination procedures will apply.
Candidates who are undertaking a thesis by compilation ensure publisher’s agreements do not preclude the inclusion of the published work in their thesis.
Only in exceptional circumstances will approval be given to a candidate for a Master of Philosophy or Professional Doctorate to submit a thesis by compilation.

Thesis by creative w orks

A thesis by creative works is an original work which includes one or more of the following: a multimedia or digital work, a film, an exhibition, a performance, a musical composition, a novel, a play, a series of poems, creative art work or other works considered acceptable by the Delegated Authority.
The written thesis accompanying the creative work may be a dissertation or an exegesis or a combination of both as approved by the Delegated Authority.
The exegesis details the development of the creative work over the duration of the course of study, and provides the broad context for the ideas and precedents which inform the development of the research program. The exegesis enables the candidate to present an account of the research, demonstrating how the work addresses the objectives of the approved research project, and how the topic(s) of the dissertation or coursework have informed the creative work-based research.
For the dissertation, candidates present a substantial academic essay on a topic of relevance to the objectives of the creative work-based research project. The candidate presents a standalone paper or one that is framed within appropriate academic methods through research, documentation and theoretical and conceptual discourse in a form that is relevant to the topic in question.

Length of thesis

In the case of a combined body of a Thesis by Creative Works PhD, the written work for a PhD must be a substantial work of 30,000 to 60,000 words that complements the other work submitted.
In the case of the combined body of a Thesis by Creative Works MPhil, the written work for an MPhil must be a substantial work of 15,000 to 30,000 words that complements the other work submitted.
The additional material submitted or presented in the form of a public recital must be:
A substantial and genuine contribution to research; and
A work of equivalent quality to a written thesis using criteria appropriate to the particular medium and program of study in which it is submitted.
The submission as a whole must be a coherent contribution to the advancement of knowledge and a pass standard must be achieved in all components.
Possible examination outcomes for the approved components of a Thesis by Creative Works are the same as for Thesis by Standard Format and Thesis by Compilation: Pass without revision, Pass with revisions, Revision and Resubmission, and Fail. Each component of a Thesis by Creative Works may receive a different examination outcome.
In the case of resubmission being required only that component that has failed to meet the appropriate standard is required to be resubmitted.
If one component of a Thesis by Creative Works receives a final assessment of Fail then the whole Thesis by Creative Works is to be assessed as a Fail.

Examination of creative w ork other than a written thesis

The final outcome of the creative work component of the thesis is presented for examination in the form of an exhibition, or audio-visual presentation, recital, lecture recital or in such other form as had been approved by the Delegated Authority in the candidate's research program.
The Delegated Authority approves whether artistic practice is examined by a theoretical dissertation or by creative work and written thesis.
In cases where the creative work is presented in the form of an exhibition, audio-visual presentation, recital, lecture recital etc., the written thesis is made available to the examiners at least one month before the presentation of the creative work so that the examiners are fully aware of the context of research which has led to the work in the final presentation. Any additional items such as video of the performance, visual presentation of artwork, recording, are either:
supplied to the examiners with the written thesis; or
supplied to examiners as soon as the documentation is available.

Responsible Officer: Office of the Vice-Chancellor / Page Contact: Contact ANU