19 th March, 2015 University of Liverpool Professional Doctorate programmes delivered in partnership with Laureate Online Education. 1
Contents Introduction... 3 Aim of the DBA Thesis... 3 Requirements of a Research Degree... 3 Supervision Arrangements for the DBA programme... 4 Allocation of Primary and Second Supervisors... 5 Primary Supervisor Role and Responsibilities... 5 Second Supervisor Role and Responsibilities... 7 Student Progress Panel... 7 Student Responsibilities... 8 Quality Assurance... 9 Stages in the Thesis Process... 9 Research Ethics application Process in the DBA programme... 9 Presentation of the Thesis... 12 The Viva Voce (defence)... 17 Outcomes of the Viva... 17 Appeals... 18 2
Introduction This handbook is designed for students and faculty members on the DBA. It specifically covers the thesis period of the programme and should be read in conjunction with the DBA Student Handbook. Aim of the DBA Thesis The thesis element of the DBA programme carries 180 credits. The aim is to create an original piece of research that is acknowledged as significant in the Management academic and practice communities and generates new, actionable knowledge. Students are expected to carry out a research intervention with the purposes of understanding and working towards solving an identified, organizationally-based problem. Requirements of a Research Degree Doctorates are awarded to students who have demonstrated: i. the creation and interpretation of new knowledge, through original research or other advanced scholarship, of a quality to satisfy peer review, extend the forefront of the discipline, and merit publication; 3 ii. iii. iv. a systematic acquisition and understanding of a substantial body of knowledge which is at the forefront of an academic discipline or area of professional practice; the general ability to conceptualise, design and implement a project for the generation of new knowledge, applications or understanding at the forefront of the discipline, and to adjust the project design in the light of unforeseen problems; a detailed understanding of applicable techniques for research and advanced academic enquiry.
Typically, holders of the qualification will be able to: a. make informed judgements on complex issues in specialist fields, often in the absence of complete data, and be able to communicate their ideas and conclusions clearly and effectively to specialist and non-specialist audiences; b. continue to undertake pure and/or applied research and development at an advanced level, contributing substantially to the development of new techniques, ideas, or approaches; and will have: c. the qualities and transferable skills necessary for employment requiring the exercise of personal responsibility and largely autonomous initiative in complex and unpredictable situations, in professional or equivalent environments. These descriptors for qualifications at Doctoral (D) level are reproduced from the: QAA Framework for higher education qualifications in England, Wales and Northern Ireland. Supervision Arrangements for the DBA programme University of Liverpool academics will take responsibility for overseeing the supervision of up to 40 students (approximately 2 cohorts) These cohort managers or Directors of Studies are responsible for the effective supervision of each student and may be the named first supervisor for some students in the cohorts they manage and also in other cohorts. Each student will be allocated either a UoL or Laureate primary supervisor, dependent on subject matter or methodological expertise and availability. The Director of Studies will oversee the work of primary supervisors and ensure that the work produced by students in the cohort is of the appropriate quality. 4 Directors of Studies are responsible for the management and quality assurance of all students during the thesis stage of the programme. This includes: - Allocation, in collaboration with Laureate, of primary and second supervisors (see below) - Ensuring that ethical approval is gained - Chairing Student Progress Panels and responding to issues raised regarding individual students and the quality of thesis supervision in general. - Completion of annual progress reports, - Providing academic support and advice to students:
o o Annual meeting (may be by email or Skype) with each student to ensure that progress is being made and that students feel supported in their work. Providing feedback to each student on at least one draft chapter of their thesis whilst work is in progress (this is in addition to the first supervisor s feedback) and on the draft thesis. - Ensuring that students are allocated an appropriate supervisor if their primary supervisor cannot continue or if the relationship breaks down, in conjunction with the Laureate Director of Online Studies - Suspension and mitigating circumstances issues - Reporting on quality assurance matters to the Board of Studies - Overseeing arrangements for an exit award in appropriate cases - Appointment, in conjunction with the Programme Director, of internal and external examiners - Arrangement of the viva including the appointment of a Chair where appropriate. Allocation of Primary and Second Supervisors 5 The Director of Studies will be responsible, along with the Laureate Director of Online Studies and her team, for the allocation of supervisors. Normally, where a student is allocated a primary supervisor employed by Laureate, s/he would have the Director of Studies (cohort manager) as the named second supervisor thus ensuring a clear link to a Liverpool academic. The Director of Studies may choose to delegate any detailed work on the thesis to a Liverpool colleague, especially when the subject area or methodology is not within the scope of the Director of Studies expertise. Where the student has a primary supervisor who is a Liverpool academic, s/he will normally be allocated a named second supervisor employed by Laureate. The second supervisor should have subject matter and/or methodological expertise in the area of the student s thesis. Primary Supervisor Role and Responsibilities Primary Supervisors have the following Duties and Responsibilities under the Code of Practice on Supervision of Research Students: (i) To ensure that students are familiar with the Codes of Practice and the Ordinances and Regulations that cover the DBA.
(ii) (iii) (iv) (v) (vi) (vii) (viii) (ix) (x) (xi) (xii) (xiii) (xiv) To ensure that students are aware of the current developments in both specific and wider areas of research. To submit 3 progress reports per year to the Student Progress Panel and to be a member of that panel whilst performing supervisory duties. To report on the student s progress to the Student Progress Panel. To give guidance about the planning of the research programme. A draft programme of work should be agreed by the student and supervisor at the outset, with indicative deadlines for completion of the stages of the research programme. To give guidance to students in attaining ethical approval for their research. To give guidance about literature and sources, about appropriate methodologies and about the problem of plagiarism. To ensure that at least eight formal meetings takes place with the student each year with an agreed record of outcomes and targets following the meeting, which must be recorded. These meetings may be synchronous or asynchronous. A record of asynchronous conversations will be stored within the learning platform. The outcomes of synchronous meetings (e.g. Skype calls) must also be recorded and presented to the SPP. To be accessible to students as appropriate at times other than formal meetings within reasonable limits. To encourage students to question critically the existing literature, the assumptions of the research project and the results they obtain. To ensure that students are made aware of inadequacy of progress or of standards of work below those generally expected. (Constructive criticism is an important role of the primary supervisor.) To ensure that a draft of the thesis is read within an agreed timescale and suitable feedback given in good time to ensure submission. To ensure that any circumstances that might require a student s formal registration to be amended or suspended are brought to the attention of the Director of Studies. To assist with the selection of the Examiners and to ensure that the 6
student is prepared and supported for the oral examination (viva voce). Second Supervisor Role and Responsibilities The second supervisor will: (i) Provide feedback and guidance to the student on the thesis proposal in conjunction with the primary supervisor before the first Student Progress Panel meeting (4 months after the thesis period begins). (ii) Ensure that the quality of work is of the appropriate standard by reading and providing feedback on a least one draft chapter of each student s work. This will normally comprise giving feedback on a 6,000-8,000 word draft and should be completed before, and reported by, the 3 rd Student Progress Panel meeting. In the cases of students aiming to complete within the minimum 12 month period, this draft should be submitted by the second SPP meeting. (iii) Read and comment upon the draft thesis before the final version is submitted. N.B. Students should allow up to four weeks for this feedback to be posted. 7 Student Progress Panel The purposes of the Student Progress Panel are: 1. To monitor the progression of students at the thesis stage of the programme. 2. To ensure that the work of students is at the appropriate level. 3. To ensure that students receive appropriate supervision and guidance. The Student Progress Panel will be comprised of the Chair of the Student Progress Panel, the Director of Online Studies (or representative) from Laureate, a representative from Laureate and all primary supervisors of students being considered at that meeting. Each Student Progress Panel will consider the work of up to 50 students and each student s work will be reviewed every four months. The Student Progress Panel Guidance Notes can be found at: http://www.support.liverpoolonline.com/~/media/files/uolcss/dba/dba_student_progress_panel_guidance_note.pdf The Student Progress Panel will receive 3 reports per year on each student s progress. These reports will be submitted by the primary supervisor and comprise: 1. During month 4: Completed Thesis proposal form and Thesis Proposal Feedback
2. During months 8, 12, 16 etc until completion: DBA Thesis,Student Progress Report (a copy of the report can be found at: http://www.support.liverpoolonline.com/~/media/files/uolcss/dba/dba_student_progress_reporting_proform a.docx Student Responsibilities It is important to remember that this is your thesis, not your supervisor s. You should not expect your supervisor to chase you to meet deadlines nor to strictly direct your research. Students should keep in regular contact with their primary supervisor and submit work for review at regular intervals. It is crucial that you listen to the advice of your supervisor as this will help you to avoid making major errors. However, you should not expect your supervisor to comment on the minutiae of your work (s/he is not a proofreader) nor to supply you with a definitive set of references. You should aim to be an expert in your field by the time you submit your thesis and this will normally mean having a more detailed knowledge of your research area than anyone else, including your supervisor. Specifically, you will need to: 8 1. Ensure that you have ethical approval for your work before you begin to collect any data or make any form of intervention. You should discuss this with your supervisor who will guide you on the process and format. 2. Arrange and attend regular meetings with your supervisor (8 per year). 3. Keep a record of any meetings that are not recorded in the learning platform and send these to your supervisor. 4. Submit a full draft of your thesis for review by your supervisor and a second supervisor before formally submitting. 5. Inform your supervisor that you intend to formally submit your thesis and gain his/her agreement to this. 6. Make your own local arrangements for the viva voce that will be run by teleconference. From time to time, the supervisor/student relationship can break down. This can normally be avoided by regular contact, both parties acting in a professional manner and open and honest discussions. If you feel that your relationship with your supervisor is not helpful then you should firstly discuss the situation with him or her. You may also want to take the advice of your Student Support Manager. If there is a need to escalate the discussion, you should contact the Thesis Faculty Manager in order to help you resolve these issues.
Quality Assurance Quality assurance of academic work carried out at thesis stage will be monitored by the Board of Studies. Chairs of Student Progress Panels will report once a year on the overall progress of DBA students covered by each panel. This will include data regarding student progress and completion. Supervision of DBA students will be monitored by the Director of Studies in Liverpool or his/her delegate(s). The Director of Studies will produce a summative annual report covering the overall progression and quality at the thesis stage of the programme to the Board of Studies. Stages in the Thesis Process 1. Student prepares proposal and posts into the research space 2. Student allocated to a Supervisor, and confirmed in writing by the Doctoral Thesis Faculty Manager. 3. Student submits Proposal and Ethical Approval to primary supervisor for approval 4. Student obtains Ethical approval including local and organizational approval if required 5. Primary supervisors submit progress reports to Student Progress Panel 6. Progress checks on student by Student Progress Panel 7. Draft submission to be reviewed by primary supervisor and second supervisor 8. Thesis final submission 9. Viva voce 10. Revisions, as required 11. Graduation 9 Research Ethics application Process in the DBA programme Preamble The ethical conduct of research is a critical feature of research quality. In the context of the DBA programme it represents an important opportunity for students to reflect upon their identity and practice as a scholar-practitioner. For the University of Liverpool and Laureate Online Education ethical conduct is a mandatory requirement of research conducted in their name.
If research involves collecting data from human participants then it is essential that formal research ethics approval is received before those participants are approached. It is highly likely that every DBA student will need formal research ethics authorisation before data collection commences for his or her DBA thesis. Submission of a thesis for examination where that thesis is not supported by formal research ethics approval (where it was required) will result in a Fail. Securing research ethics approval need not be an onerous task. This note explains the application process, and should be read alongside the various application forms posted in your Blackboard Thesis Classroom. This note only concerns process, and not the principles of research ethics. The starting point After the completion of the taught phase of the programme (the modules and the DDP) you will progress into thesis. Your first task will be to submit (a separate communication will explain how) an initial thesis proposal. On the basis of this document you will be assigned a thesis supervisor, who will advise on all aspects of your thesis work and stay with you until the successful completion of the programme. Your first work together will involve the refinement of your initial thesis proposal and the development of a thesis project plan. As part of this work, your supervisor will advise the appropriate time to apply for research ethics approval. Under no circumstances should you formally approach potential participants in your research before you have research ethics approval. 10 So once you are ready to apply, here s the process Research Ethics Application Process 1. Under the guidance of your supervisor you complete the Full Ethics Application Form Online Version. This form (and all others mentioned in this note) is available within your BB Thesis classroom. This form has been slightly modified from the standard Liverpool ethics form to make it more appropriate for online students.
2. As part of the application process you will also need to prepare a Participant Information Sheet and an Informed Consent Form. Once approved (and not before) these forms will be used to obtain the informed consent of the participants in your research project. 3. Having completed this documentation there is one final form called the Ethics Response Form. This form acts as a checklist for you and the reviewer of your application, to ensure your proposal covers all relevant research ethics principles and practices. You complete the blue coloured column on the form. 4. You should now be ready to submit the proposal. There are certain submission tasks that you must complete and some for your supervisor. 5. You should submit copies of the four forms you have completed to the Research Ethics thread within your BB Thesis class. You should also submit the same forms to Turnitin. 6. Your supervisor should submit to the DBA Research Ethics committee (via the Thesis Faculty Manager) the same four forms, plus your final Thesis Proposal, plus your Supervisor s feedback on that proposal, plus copies of any survey questions/interview protocols. The University of Liverpool insists that research ethics proposals for doctoral candidates are submitted by the supervisor. Please do not submit the forms to any of Liverpool s general research ethics email addresses. Doing so will only cause delays. 11 7. The forms are circulated amongst members of the DBA Research Ethics Committee who meet every two weeks to review proposals. 8. The Committee s first decision is to decide whether it has the authority to examine the proposal, or whether it needs referring to a more senior research ethics committee. Proposals that the DBA Committee can review are known as expedited proposals. The more senior committee is known as IOREC (International Online Research Ethics Committee). The decision to refer is based on the (ethical) complexity of the proposal. If your proposal is escalated then you will be informed along with the reasons for that decision. 9. From this point on two review paths are possible: (a) The DBA Research Ethics Committee or (b) IOREC. Please note that the members of the DBA Committee have no involvement with the IOREC and cannot advise on proposals being examined by
them. 10. If the review recommends minor changes: a. The DBA Ethics Committee will explain its feedback using the Ethics Response Form (first introduced in step 3 above). Copies of the feedback will be sent to the student and supervisor along with instructions for submitting a revised proposal. If the changes needed are only minor, an individual member of the committee will be empowered to review and authorise the revised ethics proposal. In other words: you may not have to wait until the next committee meeting for authorisation. b. The IOREC committee will give feedback and instructions as per their processes. 11. If the review recommends more significant changes: a. The DBA Ethics Committee will explain its feedback using the Ethics Response Form (see point 3 above). Copies of the feedback will be sent to the student and supervisor along with instructions for submitting a revised proposal. The student/supervisor will need to submit the revised proposal in the manner described in steps 5 & 6 (above). b. The IOREC committee will give feedback and instructions as per their processes. 12 12. If the review recommends authorisation, then the student and supervisor will be notified by email. 13. Research proceeds. However, if the there is a major change in the research project as it refers to human participants, then this change should be referred to the DBA Research Ethics Committee in case a new application is needed. Presentation of the Thesis The following notes have been produced for the guidance of DBA candidates in the presentation of their theses. All students, however, should ensure that they also consult their supervisor(s) about the presentation of their theses. (i) Sources Candidates must state generally in the preface and specifically in
the body of the thesis the sources from which their information is derived and the extent to which they have availed themselves of the work of others. (ii) Length In no circumstances should a thesis of more than 50,000 words be submitted for the DBA including the footnotes and appendices, unless written permission has been obtained from the candidate s supervisor and the Director of Studies for the DBA. It is recommended that the supervisor seek the view of potential examiners before granting his/her approval. (iii) References (iv) References to published work should be given consistently in a format that is currently accepted in the field of work covered by the thesis. If in doubt, candidates should consult their supervisors about the best method. Submission of the thesis 13 The thesis will be submitted electronically and through the prescribed plagiarism detection software (e.g. Turnitin). DBA candidates are further required to submit an electronic copy of the final approved version of their thesis. (v) Restrictions on access to theses An author may impose restrictions on access to theses and copying annually for up to five years, if the supervisor endorses the author s statement that such restriction is necessary for good reasons, e.g. preparation for publication or a patent application. This will not prevent the publication of the Abstract. Permanent restriction is not permitted, nor does the University accept theses written under contracts of secrecy (see section 18 above and the Note on Theses in the current edition of the University Calendar).
(vi) Presentation and Layout In the following specification some of the requirements of BS 4821:1990 have been adopted to ensure that doctoral theses conform to the standards expected by the British Library. Copies of the British Standard (now withdrawn from publication) may be consulted at the British Standards website at the following address: https://bsol-bsigroup-com.ezproxy.liv.ac.uk/en/bsolhomepage/ (Students need to use their online library login) Authors rights are protected under the University s agreement with the British Library. (vii) Typing, printing and copying Type must be uniform and clear in all copies, for both text and illustrations. The main body of the text must be in black ink on white background. 14 (viii) Title page (Centred) Title of thesis then Thesis submitted in accordance with the requirements of the University of Liverpool for the degree of Doctor of Business Administration by full forenames and surname. then (centred) Date (month and year) with suitable line spacing. (ix) Table of contents The table of contents must show chapter headings and page numbers. All separate sections of the thesis, such as bibliography, lists of abbreviations, supporting papers, etc., must also be identified on the contents page. (xi) Abstract The thesis must be accompanied by an Abstract indicating the
aims of the investigation and the results achieved. It must not longer than 500 words and show the author and title of the thesis in the form of a heading. (xii) Margins and line spacing 1½ line spacing is advised, but at least double line spacing should be used for text that contains many subscripts and superscripts. Quotations may be indented. (xiv) Page numbers Pages should be numbered consecutively and the position of page numbers (candidate s choice or as advised by the supervisor) should be consistent throughout. 15
(xv)referencing Harvard referencing should be used within the thesis. (xvi) Diagrams, maps, illustrations and supporting material Diagrams, maps and illustrations should be placed as near to the relevant text as possible. (xvii) Plagiarism and Fabrication of Data Please refer to Appendix L of the Code of Practice on Assessment, Academic Integrity Policy at: http://www.liv.ac.uk/tqsd/code-ofpractice-on-assessment/ (xviii) Intellectual Property Unless you are supported by an outside body where specific provisions relating to intellectual property are embodied in the condition of the support, you are required to agree to assign to the University all your rights to intellectual property arising from your studies or research at the University in accordance with normal custom and practice. The University has a policy of sharing any profits arising from the exploitation of the results of research with the staff and research students concerned. 16 You will not be prevented, by the terms of a contract from an outside sponsor or any other means, from including in your thesis submitted for a higher degree all material relevant to the research project and from being examined upon it. If material of a confidential nature is included in your thesis, obligations of confidentiality may be imposed upon the examiner sand you may restrict access to the thesis deposited in the Library as provided for above. Further guidance on the University s position on Intellectual Property may be obtained from the Business Gateway division, details of which are available at www.liv.ac.uk/businessgateway/howwecanhelp/intellectualproper ty
The Viva Voce (defence) The final thesis examination requires a viva voce (oral) examination as the student defends his or her thesis. Students will normally be examined by one external examiner and one internal examiner. In those circumstances where the student is a University employee then examiners will both be external appointments. The external examiner will be drawn from an external university or organisation consistent with the process used for appointing external examiners for the PhD examination. The internal examiner will be drawn from the relevant School within the University. Where in such instances a relevant academic from within the School is not available, then a second examiner from the Student Progress Panel will be recruited providing non-association with the student is confirmed. Normally, the viva voce will be conducted via video-conference at split site involving the internal examiner, the external examiner and the student. The University reserves the right to conduct the viva voce in Liverpool should there be an adequate reason for such an arrangement. 17 A DBA thesis and its defence should demonstrate: キ The creation of new knowledge and/or a contribution to practice in an organisational setting and within the context of existing literature and practice. キ The professional development of the candidate. キ The skills and understanding required to design and manage a research project within the chosen context, using appropriate methodology and techniques. キ The ability to present the thesis in a critical and thoughtful way that conforms to academic practice both in its writing and in its defence at the viva. Outcomes of the Viva The examiners may recommend:
the immediate award of the degree (providing all other elements of the programme have been successfully completed); the award of the degree after minor modifications, which should normally be made to the satisfaction of the Examiners, and within a time limit, imposed by the Examiners (usually not more than three months). The Internal Examiner will normally take responsibility for ensuring that the minor modifications have been completed satisfactorily; major revision and re-submission of the thesis (subject to a fee of $3,600) - if this recommendation is used, the Examiners should state, if appropriate, whether a further oral examination should be held on re-examination of the thesis; the award of MRes Helpful tips on how to prepare for the viva can be found at http://pcwww.liv.ac.uk/~pgro/viva- Resources/documents/Preparing%20for%20your%20viva/page_06.htm 18 Appeals Students should consult the Code of Practice on Assessment, Regulations for Research Degree Appeals.