CHE Office of Graduate Studies - Thesis and Dissertation

THESIS AND DISSERTATION

Guidelines on Thesis and Dissertation

A. Master Thesis

B. Doctoral Dissertation

Thesis/Dissertation Downloadable Forms

A. Thesis/Dissertation Proposal Defense

B. Thesis/Dissertation Final Oral Defense

Thesis/Dissertation Proposal Defense Flowchart

A. Onsite

B. Online

Thesis/Dissertation Final Oral Defense Flowchart

A. Onsite

B. Online

Guidelines on Thesis and Dissertation

A. Master Thesis

MASTER’S THESIS (THESIS OPTION)

a. A student shall enrol the 6-unit research course (300 level) to officially start the Master’s thesis. If unable to finish the thesis after 2 years, then the student shall re-enrol the course.

b. Standards for the Master’s Thesis

The Master’s Thesis shall:

i. embody an original or highly advanced, independent, significant, scientific research or creative work showing depth and breadth of knowledge that significantly contributes to the field of specialization

ii. show the student’s capacity to make a critical evaluation of previous work done in his/her chosen research topic; and

iii. demonstrate the student’s ability to present research findings in a clear, systematic, and scholarly manner.

iv. show advanced knowledge and skills in specialized fields of study (that may be inter-disciplinary or multi-disciplinary) for professional practice or self-directed research

v. demonstrate careful consideration of ethical procedures and standards applied during the research as approved by the CHE Ethical Advisory Committee

c. The Thesis Committee

i. Upon completion of course work, a Thesis Committee consisting of three (3) to five (5) members shall be constituted. The Committee may consist of an Adviser, a Reader/Critic, and one (1) to three (3) panel members/readers. In special cases requiring joint advising, the Committee may consist of an Adviser, a Co-Adviser, and a Reader/Critic; one (1) to two (2) additional panel members/readers may be included. The Dean shall appoint a representative to take part in the proposal and oral defense.

ii. The Thesis Committee shall consist of graduate faculty members with master’s degrees, upon the recommendation of the Department Graduate Committee. The Thesis Committee members shall be chosen based on their area of specializations and the specific requirements of the student’s research. A maximum of one (1) out of three (3) or two (2) out of (5) members of the Panel (excluding the Dean’s Representative) may come from an institution outside the University.

iii. The Adviser shall belong to the Department where the student is enrolled. The Co-Adviser and one of the Readers may belong to an outside unit/College/University.

iv. Professorial Lecturers, Professors Emeriti, and experts from outside the College/unit/University may also serve as Co-Adviser, Reader, and panellists upon approval by the Dean, through channels.

v. The Thesis Committee members shall be appointed by the Dean, through channels.

d. Functions of the Thesis Committee

The Thesis Committee shall (1) approve the thesis proposal: and (2) evaluate the acceptability of the final thesis.

e. The Thesis Adviser and Co-Adviser

i. After the student completes the prescribed academic requirements, he/she shall request the Dean for a Thesis Adviser and a Co-Adviser, if necessary. The Dean shall then appoint the Adviser/Co-Adviser who shall be chosen on the basis of their expertise in the student’s research topic, upon recommendation of the Department Graduate Committee (CHE GForm 10). The Adviser must come from the Department where the student is enrolled. In cases of joint advising, the Co-Adviser may come from outside the unit. In cases that there is no available adviser in the

concerned Department to handle the student’s research topic, expert faculty members within the college may be assigned by the Dean, through channels.

ii. The Thesis Adviser shall be mainly responsible for:

1. advising the student in the preparation of the thesis proposal;

2. guiding and monitoring his/her thesis research;

3. endorsing his/her master’s thesis for oral defense to the reader/critic and panel

4. evaluating the pre-print article as second author

iii. The Thesis Co-Adviser shall provide additional guidance to substantiate the research paper. Likewise, the co- adviser shall also be responsible in:

1. advising the student in the preparation of the thesis proposal;

2. guiding and monitoring his/her thesis research; and

3. endorsing his/her master’s thesis for oral defense to the reader/critic and panel.

f. The Reader/Critic

The functions of the Reader/Critic are to (1) evaluate the thesis for oral defense; and (2) endorse the thesis to the Oral Defense Panel.

g. The Panel Chair

One member of the panel should be assigned as the panel chair. The panel chair will be responsible in facilitating the conduct of the thesis proposal and final oral defense (i.e. introducing the student and the other members of the panel, managing time during the oral examination, facilitating questions at the end of the student’s presentation, and announcing the results of the oral defense)

h. The Dean shall also appoint a representative to take part in the proposal and oral defense of the master’s thesis (CHE GForm 15A). The representative must have the following qualifications:

i. He/she must be a member of the CGFC and a fulltime faculty.

ii. He/she must be teaching in a degree program that is distinct from that of the thesis student.

iii. He/she must have a master’s degree.

The Dean’s Representative shall have the following functions:

i. To ensure that the procedures involving the proposal and oral defense have been followed.

ii. To participate in the student’s proposal and oral defense, without voting rights.

iii. To report to the Dean the proceedings of the oral defense (CHE GForm 20).

i. Change in the Composition of the Thesis Committee

i. Any change in the composition of the Thesis Committee (e.g. Adviser, Reader) shall be approved by the Dean. The new member/s of the panel shall be appointed by the Dean upon the recommendation of the Department Graduate Committee.

ii. A student who wishes to change the composition of the Thesis Committee shall formally write the Dean, through channels, stating the reason/s for the request. Such request shall be endorsed by the thesis adviser and the committee member to be replaced. (See CHE GForm 13)

iii. The Adviser may request to be relieved of his/her duties for justifiable reasons. He/she shall formally write the Dean, through channels.

j. Number of Thesis Advisees

The number of advisees (inclusive of thesis and dissertation students) shall be left to the discretion of the College Graduate Faculty Council. The College Graduate Committee, headed by the Dean, recommends a maximum of three (3) thesis advisees at a time per adviser.

k. The Thesis Proposal

The student shall submit a written thesis proposal to the Thesis Adviser, Co-Adviser (if any) and Reader. The proposal shall be defended orally before the Thesis Committee members. A certified copy of the approved thesis proposal and a form endorsing it, duly signed by the thesis Committee shall be submitted to the Dean, through channels. Upon approval of the proposal, the student may then carry out the thesis research.

ORAL DEFENSE OF THE MASTER’S THESIS

a. Administration of the Oral Defense

i. After the student’s completed draft has been favourably evaluated by the Research Adviser and Reader/Critic, they shall endorse it for oral defense to the Dean, through channels using CHE GForm 15.

ii. The request for oral defense should be at least one (1) month prior to the intended date.

iii. The oral defense must be held in the College/unit at a time recommended by the Panel, and authorized by the Dean, through channels.

iv. The time and place of the master’s defense shall be officially announced by the Office of the College Secretary at least two (2) weeks before the scheduled oral defense (CHE GForm 16). Announcements consisting of the title of the research and time and place of the defense shall be posted at designated places in the College for the information of the public. The schedule of the defense may be changed only upon the recommendation of the Oral Defense Panel, and authorized by the Dean, through channels. The oral defense must be held in the College/unit at a time recommended by the Panel, and authorized by the Dean, through channels.

v. The oral defense may be held only under the following conditions:

1. The thesis manuscript has been received by each member of the Oral Defense Panel at least two (2) weeks before the scheduled examination; and

2. All members of the Oral Defense Panel are present, except for programs that require the inclusion of a foreign Co-Adviser or foreign external examiner. If the latter is absent, he/she shall be required to send his/her comments to the Chair of the Panel who shall integrate this in the final report. In unavoidable circumstances, live video conferencing of a maximum of one out of three and two out of five panel members may be allowed.

vi. If any other member of the Panel is absent, the defense shall be rescheduled.

vii. The oral defense shall be open to the public, the duration of which shall be left to the discretion of the Panel. The evaluation and rating of the student’s oral defense shall be done by the Panel in a closed-door meeting to be held immediately after the defense.

b. Oral Defense Panel

i. The Oral Defense Panel shall consist of three (3) to five (5) members, inclusive of the members of the Thesis Committee, who are master’s degree holders. The panel members shall be appointed by the Dean upon recommendation of the Department Graduate Committee. In addition, the Dean shall appoint a representative to take part in the proceedings.

ii. A maximum of one (1) out of three (3) or two (2) out of five (5) members of the Master’s Oral Defense Panel (excluding the Dean’s Representative) may come from an academic institution or qualified agency outside the University.

c. Rating

i. There shall be three (3) ratings for the defense: “Pass,” “Provisional Pass,” or “Fail.”

“Pass” means that a few minor revisions are required that need to be approved by the adviser only.

“Provisional Pass” means that several minor revisions are required that need to be approved by the panel members. All members of the Panel must agree on the recommended revisions, which must be specified in writing and attached to the final report (CHE GForm 17). A second rating sheet shall be signed only after the student has incorporated the revisions and the Oral Defense Panel has certified that the revisions have been made.

“Fail” means substantial/major revisions are required by at least two-thirds of the Panel members. Any member who fails the student must specify the reason/s in writing, a copy of which shall be attached to the report of the panel.

ii. The result of the oral defense must be reported by the Panel to the Dean, through channels, within three working days after the defense (CHE GForm 17).

d. Passing or Failing the Master’s Defense

If the student passes the oral defense, his/her master’s thesis shall be considered approved. If the student fails the defense, he/she may submit himself/herself to a second oral defense within one (1) academic year after the first defense. Failure to pass the second oral defense or to retake it within the prescribed period disqualifies the student from his/her current master’s program, and from being admitted into other master’s programs offered by the same unit.

GRADUATION

a. Application for Graduation

After the student passes the master’s oral defense, he/she shall be qualified to apply for graduation to the University Registrar through the Office of the College Secretary.

b. Submission of Bound Copies of the Master’s Thesis

The applicant for graduation must submit to the Department five (5) bound copies of the approved master’s thesis as a prerequisite for graduation to be distributed as follows: three (3) all original copies for the CHE library; one (1) copy for the Thesis Adviser; and one (1) copy for the student. The bound copies must conform to the standard format of the college and contain the official approval of the thesis by the members of the Oral Defense Panel, the Department Graduate Committee and the official acceptance of the thesis by the Dean.

c. Conferment of the Master’s Degree

After the graduation of the student shall have been recommended by the College Faculty Assembly, or appropriate body, endorsed by the University Council, and approved by the Board of Regents, he/she shall be officially conferred the Master’s degree.

B. Doctoral Dissertation

DOCTORAL DISSERTATION

a. A student shall enrol the 12-unit research course (400 level) to officially start the Dissertation. If unable to finish the dissertation after 4 years then the student shall re-enrol the course.

b. Standards for the Doctoral Dissertation The Doctoral Dissertation shall:

ii. show the student’s capacity to make a critical evaluation of previous work done in his/her chosen research topic; and

iii. demonstrate the student’s ability to present research findings in a clear, systematic, and scholarly manner.

iv. show advanced knowledge and skills in specialized fields of study (that may be inter-disciplinary or multi-disciplinary ) for professional practice or self-directed research

v. demonstrate careful consideration of ethical procedures and standards applied during the research as approved by the CHE Ethical Advisory Committee

c. The Dissertation Committee

i. Upon advancement to candidacy, a Dissertation Committee consisting of at least five (5) members (an Adviser, a Reader/Critic, and three (3) other panel members/readers) shall be constituted (CHE GForm 11). In special cases requiring joint advising, the Dissertation Committee may consist of an Adviser, a Co-Adviser, a Reader/Critic and two (2) other panel members/readers. The Dean will also appoint a representative as an additional member of the panel.

ii. The Dissertation Committee shall consist of graduate faculty members with doctoral degrees, upon the recommendation of the Department Graduate Committee. The Dissertation Committee members shall be chosen based on their area of specializations and the specific requirements of the student’s research. A maximum of two (2) members of the Panel may come from an academic institution outside the University, including foreign institutions.

iii. The Adviser shall belong to the College/unit where the student is enrolled. The Co-Adviser and one of the Readers may belong to an outside unit/College/University.

iv. Professorial Lecturers or Professors Emeriti may serve as Co-Adviser upon approval by the Dean, through channels.

v. The Dissertation Committee members shall be appointed by the Dean, through channels.

d. Functions of the Dissertation Committee

The Dissertation Committee shall:

i. approve the dissertation proposal and;

ii. evaluate the acceptability of the final dissertation paper.

e. The Dissertation Adviser and Co-Adviser

i. After the student passes the Candidacy Examination, he/she shall request the Dean for a Dissertation Adviser and a Co-Adviser, if necessary (CHE GForm 10). The Dean shall then appoint the Adviser/Co-Adviser who shall be chosen on the basis of their expertise in the student’s research topic, upon recommendation of the Department Graduate Committee. The Adviser must come from the unit where the student is enrolled. In cases of joint advising, the Co-Adviser may come from outside the unit. In cases that there is no available adviser in the concerned Department to handle the student’s research topic, expert faculty members within

the college may be assigned by the Dean, through channels.

ii. The Dissertation Adviser shall be mainly responsible for:

1. advising the student in the preparation of the dissertation proposal;

2. guiding and monitoring his/her dissertation research;

3. endorsing his/her doctoral dissertation for oral defense.

iii. The Thesis Co-Adviser shall provide additional guidance to substantiate the

research paper. The co-adviser shall also be responsible for:

1. advising the student in the preparation of the dissertation proposal;

2. guiding and monitoring his/her dissertation research; and

3. endorsing his/her doctoral dissertation for oral defense

f. The Reader/Critic

The functions of the Reader/Critic are to: (1) evaluate the dissertation for defense; and (2) endorse the dissertation to the Dissertation Committee.

g. The Panel Chair

One member of the panel should be assigned as the panel chair. The panel chair will be responsible in facilitating the conduct of the dissertation proposal and final oral defense (i.e. introducing the student and the other members of the panel, managing time during the oral examination, facilitating questions at the end of the student’s presentation, and announcing the results of the oral defense).

h. The Dean shall also appoint a representative to take part in the proposal and oral defense of the master’s thesis (CHE GForm 15A). The representative must have the following qualifications:

i. He/she must be a member of the CGFC and a fulltime faculty.

ii. He/she must be teaching in a degree program that is distinct from that of the thesis student.

iii. He/she must have a doctoral degree.

The Dean’s Representative shall have the following functions:

i. To ensure that the procedures involving the proposal and oral defense have been followed.

ii. To participate in the student’s proposal and oral defense, without voting rights.

iii. To report to the Dean the proceedings of the oral defense (CHE GForm 20).

i. Change in the Composition of the Dissertation Committee

i. Any change in the composition of the Dissertation Committee (e.g. Adviser, Reader) shall be approved by the Dean. The new member/s of the panel shall be appointed by the Dean upon the recommendation of the Department Graduate Committee.

ii. A student who wishes to change the composition of the dissertation committee shall formally write the Dean, through channels, stating the reason/s for the request.(Please see CHE GForm 13)

iii. The Adviser may request to be relieved of his/her duties for justifiable reasons.

He/she shall formally write the Dean, through channels.

j. Number of Dissertation Advisees

The number of advisees (inclusive of thesis and dissertation students) shall be left to the discretion of the College Graduate Faculty Council. The CHE College Graduate Faculty Council recommends a maximum of two (2) to three (3) Thesis/dissertation advisees at a time per adviser.

k. The Dissertation Proposal

The student shall submit a written dissertation proposal to the Dissertation Adviser/Committee. The proposal shall be defended orally before the Dissertation Committee members. A certified copy of the approved dissertation proposal and a form endorsing it, duly signed by the Dissertation Committee shall be submitted to the Dean, through channels. Upon approval of the proposal, the student may then carry out the dissertation research.

ORAL DEFENSE OF THE DOCTORAL DISSERTATION

a. Administration of the Oral Defense

ii. The request for oral defense should be at least one (1) month prior to the intended date with a letter of endorsement from Reader/Critic stating work is ready for defense.

iii. The oral defense must be held in the College/unit at a time recommended by the Panel, and authorized by the Dean, through channels.

iv. The time and place of the doctoral defense shall be officially announced by the Office of the College Secretary at least two (2) weeks before the scheduled oral defense. Announcements consisting of the title of the research and time and place of the defense shall be posted at designated places in the College for the information of the public. The schedule of the defense may be changed only upon the recommendation of the Oral Defense Panel, and authorized by the Dean, through channels. The oral defense shall be held at the College.

v. The oral defense may be held only under the following conditions:

1. the dissertation manuscript has been received by each member of the Oral Defense Panel at least two (2) weeks before the scheduled examination; and

2. all members of the Oral Defense Panel are present, except for programs that require the inclusion of a foreign Co-Adviser or foreign external examiner. If the latter is absent, he/she shall be required to send his/her comments to the Chair of the Panel who shall integrate this in the final report. In unavoidable circumstances, live video conferencing of a maximum of one out of three and two out of five panel members may be allowed.

vi. If any other member of the Panel is absent, the defense shall be re-scheduled.

e. Oral Defense Panel

i. The Oral Defense Panel shall consist of at least five (5) members, inclusive of the members of the Dissertation Committee, who are doctoral degree holders. The panel members shall be appointed by the Dean upon recommendation of the Department Graduate Committee. In addition, the Dean shall appoint a representative to take part in the proposal and oral defense.

ii. A maximum of two (2) out of the five (5) members of the Dissertation Oral Defense Panel may come from an external institution, i.e. outside the Department, College/University.

f. Rating

i. There shall be three (3) ratings for the defense: “Pass,” “Provisional Pass,” or “Fail.”

“Pass” means that few minor revisions are required. Corresponding revisions are to be approved by the adviser only.

ii. The result of the oral defense must be reported by the Panel to the Dean, through channels, within three working days after the defense (CHE GForm 17).

g. Passing or Failing the Doctoral Defense

If the student passes the oral defense, his/her doctoral dissertation shall be considered approved. If the student fails the defense, he/she may submit himself/herself to a second oral defense within one (1) academic year after the first defense. Failure to pass the second oral defense or to retake it within the prescribed period disqualifies the student from his/her current doctoral program, and from being admitted into other doctoral

programs offered by the same unit.

GRADUATION

a. Application for Graduation

After the student passes the oral defense, he/she shall be qualified to apply for graduation to the University Registrar through the Office of the College Secretary.

b. Submission of Bound Copies

The applicant for graduation must submit to the Department six (6) bound copies of the approved doctoral dissertation as a prerequisite for graduation to be distributed as follows: three (3) all original copies for the CHE library; one (1) copy for the Dissertation Adviser; one (1) copy for the studied participant/institution and one (1)

copy for the student. The bound copies must conform to the standard format of the College and contain the official approval of the dissertation by the members of the Oral Defense Panel, the Department Graduate Committee, and the official acceptance of the dissertation by the Dean.

c. Submission of at least one Article

The applicant for graduation must submit to the Department Graduate Committee at least one (1) article on the approved doctoral dissertation with proof of submission to a peer reviewed journal, as another prerequisite for graduation.

d. Conferment of the Doctoral Degree

After the graduation of the student shall have been recommended by the Department Graduate Committee and the College Faculty Assembly, endorsed by the University Council, and approved by the Board of Regents, he/she shall be officially conferred the Doctoral degree.