Doctor of Philosophy and Higher Degrees

Statute for the Degree of Doctor of Philosophy – PhD

Preamble

1 a Candidates for the degree of Doctor of Philosophy are required to pursue an approved programme of advanced study and research under supervision as enrolled students of the University. The demands of PhD research require a significant commitment by candidates in terms of time and resources, and candidates are normally expected to be working full-time on their doctoral research.

b It is expected that this programme will usually be completed within three to four years of full-time candidature. Part-time candidature may also be permitted.

c Upon completion of an approved programme of research:

(i) a candidate must submit a thesis that meets the requirements set out in Clause 1e

(ii) in the case of a candidate enrolled in a creative arts or design discipline, upon recommendation of the Academic Head and approval from the Board of Graduate Studies, the candidate may present a corpus of creative work for assessment with a written thesis, comprising an integrated whole, that meets the requirements set out in Clause 1e.

d In order for the PhD degree to be awarded, the candidate must satisfy the examiners in an oral examination and any other relevant examination that may be required on the subject of the thesis and on relevant matters in the field or fields to which the subject belongs.

e The PhD degree is awarded for a formal and systematic exposition of a coherent programme of advanced research work. The work is carried out over the period of enrolment for the degree and, in the opinion of the examiners and the Board of Graduate Studies, satisfies all of the following criteria:

(i) is an original contribution to knowledge or understanding in its field

and

(ii) meets internationally recognised standards for such work

and

(iii) demonstrates knowledge of the literature relevant to the subject and the field or fields to which the subject belongs, and the ability to exercise critical and analytical judgement of it

and

(iv) is satisfactory in its methodology, in the quality and coherence of its expression, and in its scholarly presentation and format.

f PhD theses may not, without the prior permission of the Board of Graduate Studies, exceed 100,000 words in total, or 60,000 words in total when accompanied by a corpus of creative work by a candidate enrolled in a creative arts or design discipline.

g If the core of the thesis comprises a series of published or unpublished research papers and/or case studies, the candidate must be the lead or sole author of each paper or case study and have written the text, and must provide a contextual framework and concluding discussion that will normally amount to 20,000-30,000 words. The range and focus of this material shall generally correspond with the introductory and concluding chapters of a thesis. The thesis must be presented in a consistent format, citation style and typeface.

h If the core of the thesis does not comprise a series of published or unpublished research papers and/or case studies, a candidate may still include within their thesis published or unpublished research papers and/or case studies, provided that the candidate was the lead or sole author of each paper or case study and wrote the text. The thesis must be presented in a consistent format, citation style and typeface.

i In the case of published or unpublished research papers and/or case studies that the candidate has contributed to but is not the sole or lead author of, the candidate may report in the thesis their contribution to the research with due reference to the original paper and/or case study. The thesis must be presented in a consistent format, citation style and typeface.

j All material which is not the original work of the author of the thesis must:

(i) be fully and appropriately attributed

(ii) if a substantial part of another work, be reproduced only with the written permission of the copyright owner of that other work.

k All research for the thesis is to be conducted in accordance with The University of Auckland Guidelines for the Conduct of Research.

Eligibility

2 Candidates for the degree of Doctor of Philosophy are required to have:

a (i) completed the requirements for the award of a masters degree with First Class or Second Class (Division I) Honours at The University of Auckland

(ii) completed the requirements for the award of a bachelors degree with First Class or Second Class (Division I) Honours at The University of Auckland

(iii) completed all the taught course work requirements (if any) for a masters degree of The University of Auckland at the equivalent of First Class or Second Class (Division I) Honours level, and have made substantial progress towards completion of the masters research thesis

(iv) completed the requirements for the award of a qualification that the Board of Graduate Studies considers to be equivalent to a masters degree with First Class or Second Class (Division I) Honours or a bachelors degree with First Class or Second Class (Division I) Honours from The University of Auckland

and

b demonstrated an ability to pursue doctoral-level research

and

c if presenting a corpus of creative work for assessment, have demonstrated advanced training or experience in a relevant creative practice, and, in their provisional year, have identified their intention to present a corpus of creative work for final assessment and have received the approval of the Board of Graduate Studies.

d In exceptional circumstances, the Board of Graduate Studies may consider for registration a person whose qualifications do not meet the requirements of Clause 2a, if it is satisfied that the person's experience in research and the results of that experience are so outstanding that the person is likely to have the ability to complete the degree successfully.

Admission

3 Admission Essential

Every candidate for the degree of Doctor of Philosophy must have applied for admission and been admitted to The University of Auckland.

Registration

4 a Registration Essential

Every candidate for the degree of Doctor of Philosophy must be registered by the Board of Graduate Studies.

b Provisional Registration

Registration is provisional for all candidates for the first 12 months of equivalent full-time study following the Date of Registration as defined in Clause 4j of this Statute.

c Application for Registration

Application for registration must be made to the Head of Department, Division, School, Chair of a Board of Studies or Director of the Research Centre or Institute (“the Head of Department”) in the discipline in which the candidate is to be primarily registered.

d Part-time Registration

Candidates with compelling reasons may be permitted to register as part-time students if the Board of Graduate Studies expects that the candidate will be able to complete the PhD within the permitted time frame. A candidate must normally submit the thesis in no fewer than six and no more than eight years if they have been registered as a part-time student for the whole period of their registration.

e Non-resident Candidature

Where an intending candidate is not resident in Auckland, the Head of Department must provide the Board of Graduate Studies with evidence that the candidate will be provided with research resources and supervisory support at the location in which the research is to be carried out.

f Concurrent Registration

In exceptional cases a candidate may be permitted to enrol concurrently in a second degree in order to complete that degree, provided it is not the qualifying degree for entry into the PhD programme.

g Role of the Head of Department

The Head of Department will make a recommendation to the Faculty Associate Dean (Postgraduate) as to:

(i) whether the candidate:

(a) meets the eligibility requirements

and

(b) has a preliminary thesis proposal capable of meeting the requirements of Clause 1e of this Statute

and

(c) has an appropriate set of goals for the provisional year of registration, agreed to by both the candidate and main supervisor

and

if the Head of Department is of that opinion, then they will recommend:

(ii) whether their Department (in conjunction with any other Department where the field of study is interdisciplinary, or other university in the case of jointly awarded degrees) accepts the responsibility for:

(a) making satisfactory supervision arrangements over the whole course of the PhD

and

(b) providing adequate research resources and facilities

and

if the Head of Department is of that opinion, then they will nominate:

(iii) which other Departments will be involved if the field of study is interdisciplinary. In these cases, the Heads of any other Departments involved are required to endorse the recommendation

and

(iv) suitably qualified supervisors and, where appropriate, advisers

and

(v) in the case of a candidate in a Department of Languages and Literatures, or a candidate for whom joint registration with another university in a non-English speaking country is proposed, the language in which the thesis is to be submitted and examined.

h Role of the Associate Dean (Postgraduate)

On receipt of the recommendation of the Head of Department, the Faculty Associate Dean (Postgraduate) will make a recommendation to the Board of Graduate Studies as to the matters set out in Clause 4g.

i Role of the Board of Graduate Studies

On receipt of the recommendation of the Faculty Associate Dean (Postgraduate), the Board of Graduate Studies will decide whether or not to register the candidate and, if so, the conditions which will apply to the registration. The Board of Graduate Studies may call for any further information it considers relevant before making its decision.

j Date of Registration

Registration takes effect on the date (the “Date of Registration”) approved by the Board of Graduate Studies. Where a candidate has already started supervised research on the PhD topic the Date of Registration may be backdated by not more than six months, except for a candidate transferring from a masters degree under Clause 2a(iii), when the Date of Registration may be backdated not earlier than the date on which the coursework component (if any) of the masters degree was completed.

k Supervision

The Board of Graduate Studies will appoint the supervisors for each candidate. The supervisors must be actively involved in research in the candidate's general field, and must either hold a doctoral degree or be appropriately qualified and experienced. Persons who are themselves candidates for the degree of PhD may not be appointed as supervisors, although they may be appointed as advisers.

l For each candidate the Board of Graduate Studies will appoint a suitably qualified main supervisor who takes overall responsibility for the supervision of the candidate and for assistance in the provision of research resources. The main supervisor must be a staff member of The University of Auckland.

m In addition, the Board of Graduate Studies will appoint for each candidate:

(i) at least one suitably qualified co-supervisor

and/or

(ii) an advisory committee or adviser/s.

n Coursework

(i) The Board of Graduate Studies may require the candidate to undertake coursework that is considered to be necessary for the successful completion of the programme of research. Such coursework must be completed as part of the provisional registration requirements, will not normally exceed 60 points in total and should either be at the postgraduate level or, in special cases, at undergraduate level. Candidates must normally pass any such research-related coursework at the grade of at least B+ or its equivalent, or any such undergraduate generic skill course at the grade of at least B or its equivalent

(ii) The Board of Graduate Studies may require the candidate to include a structured coursework component into the candidate's provisional year goals that is considered to be necessary for the successful completion of the programme of research. The structured coursework component will consist of designated courses that are compulsory within the provisional year. Candidates will be required to pass with a minimum B+ average across all courses, with no course lower than a B. The courses taken in the structured coursework component will not normally exceed 60 points in total and shall be at the postgraduate level.

o Presentation in Te Reo Māori

Candidates wishing to present and defend a thesis in Māori must, before applying to the Head of Department to be registered, obtain the permission of the Pro Vice-Chancellor (Māori). When such permission is granted, the Pro Vice-Chancellor (Māori) will make a recommendation to the Board of Graduate Studies as to:

(i) whether the candidate has adequate fluency and literacy in Te Reo Māori in the subject area of the thesis

and

(ii) the likelihood of being able to find appropriately qualified examiners for the thesis.

Reviews of Registration

5 a Provisional Goals

During provisional registration, a candidate must:

(i) achieve the goals prescribed by the Board of Graduate Studies at the commencement of the registration

and

(ii) complete a full thesis proposal, including a provisional title, a schedule of research, an outline of the thesis structure and a statement of the resources required to complete the research. The thesis proposal should be submitted for approval to the appropriate postgraduate committee of the Department, Institute and/or Faculty in which the candidate is registered. The committee may accept the proposal, or indicate changes needed to the candidate and supervisor/s and request a resubmission, or it may decline the proposal. It will inform the Head of Department of its decision.

b Provisional Review

At the end of the provisional registration period, the candidate, the supervisor/s and the Head of Department are to submit a formal report to the Board of Graduate Studies on the progress of the candidate. The report should clearly state whether or not the progress of the candidate has been satisfactory, the goals laid down for the provisional year have been achieved and the candidate's research proposal has been approved according to Clause 5a(ii). The report should include a recommendation that the candidate's registration be:

(i) confirmed

(ii) continued on a provisional basis for a period of three to six months

(iii) discontinued and the candidate recommended for enrolment in another degree

(iv) terminated.

c Where the recommendation is to confirm the candidate's registration, the report to the Board of Graduate Studies must include a copy of the candidate's full thesis proposal and provisional title.

d Annual Review of Registration

In each year of registration each candidate must pursue a programme of advanced study and research to the satisfaction of the Head of Department and the main supervisor. At the end of each year of registration following the provisional period, the main supervisor, the candidate and the Head of Department are to submit, through the Associate Dean (Postgraduate) of the Faculty, a joint report to the Board of Graduate Studies on the candidate's progress. As part of this report the main supervisor and the Head of Department are to make one of the following recommendations:

(i) that the candidate's registration be continued

(ii) that the candidate's registration be continued subject to specified conditions

(iii) that the candidate's registration be terminated.

e Specified Conditions for Registration

Where a recommendation is made under Clauses 5b(ii) or 5d(ii), the Head of Department will also recommend to the Board of Graduate Studies the specific goals and/or conditions to be met by the candidate and the time in which these are to be completed. At the end of this period the Head of Department and main supervisor will advise the Board of Graduate Studies whether or not these requirements have been met. Registration will terminate if the specified conditions have not been fulfilled to the satisfaction of the Board of Graduate Studies.

f Recommendation to Terminate

No decision to terminate registration may be made by the Board of Graduate Studies unless the candidate has been notified in writing and given reasonable opportunity to respond.

Enrolment and Fees

6 a Enrolment

Candidates for the PhD degree must be enrolled and pay fees in each academic year for which they are registered. Candidates need not pay tuition fees for any period during which their registration is suspended under Clause 7g.

b On enrolment in each academic year every candidate must pay the fee prescribed for that academic year.

c Refunds

A candidate who submits a thesis or terminates their registration will receive a refund of one-twelfth of the tuition fee paid for each complete month of the period between the date of submission of the thesis or termination of registration and the end of the academic year for which fees have been paid.

d Fees other than Tuition Fees

Unless otherwise exempted under the relevant regulations, all candidates must pay the prescribed Building Levy and Student Services fees and any other fees as may be prescribed from time to time. There is no refund of these fees.

e Fees to be paid before Thesis is Accepted

No thesis will be accepted for examination unless outstanding fees have been paid for the academic year in which a candidate is registered.

f Other Fees Payable

Candidates who enrol for courses other than those specified in their provisional year goals must pay the fees prescribed for those courses on enrolment.

Changes to the Conditions of Registration

7 a The Head of Department may, after consultation with the candidate, make a written recommendation to the Board of Graduate Studies for changes in the conditions of registration for the candidate. The candidate may express his or her written views on the recommendation to the Board of Graduate Studies if he or she wishes. After considering a recommendation from the Head of Department, the Board of Graduate Studies may, after considering any submissions made by the candidate, change the conditions of registration for that candidate.

b In the case of a candidate enrolled in a creative arts or design discipline, permission to present a corpus of creative work for assessment with the written thesis as an integrated whole requires the recommendation of the Academic Head and approval from the Board of Graduate Studies. It is not expected that candidates will be granted permission to include a corpus of creative work after the provisional year review.

c Absence from the University

Where a resident candidate intends to be absent from the University in pursuit of their research for more than two months, supervisors are to submit for approval by the Board of Graduate Studies, through the Head of Department and before the candidate's departure, suitable plans for the supervision of the candidate during their absence.

d Changes in Supervision

When necessary, the Head of Department is to recommend changes to the supervision of the candidate for approval by the Board of Graduate Studies. This will normally be required when a supervisor is granted leave, resigns or retires.

e Change to Part-time or Full-time Registration

Candidates may apply to change their registration from part-time to full-time and vice versa.

f Extension of Time for Submission

When the Board of Graduate Studies is satisfied that there is sufficient reason, it may extend a candidate's submission date. Before approving an extension of submission time the Board of Graduate Studies will require the candidate, the supervisor/s and Head of Department to agree on the programme of supervision and schedule of research considered necessary for submission by the new date proposed.

g Suspension of Registration

Where a candidate is unable to continue with their research programme because of circumstances beyond their control, the Board of Graduate Studies may suspend their registration for a specified period of time. The following conditions apply:

(i) the length of time for which a candidate's registration may be suspended will be in multiples of whole calendar months

(ii) the Board of Graduate Studies must be satisfied that any period of suspension will not adversely affect the viability of the candidate's research

(iii) any period of suspension will be excluded from the calculation of the final submission date

(iv) while registration is suspended, a candidate is exempt from fees and enrolment, and is not entitled to any tuition or supervision, or to the use of any other research resources of the University.

h Discontinuation of Registration

Enrolment and Programme Regulations regarding discontinuation apply to PhD candidates.

i Termination of Registration

The Board of Graduate Studies may terminate the registration of any candidate who:

(i) fails to enrol for any academic year corresponding to a year of registration

(ii) fails to make payment of any tuition fees related to the PhD registration

(iii) applies to cease being registered

(iv) has not made satisfactory progress while under provisional registration

(v) has received an unsatisfactory annual report

(vi) has not met any conditions specified under Clause 5e

(vii) has not submitted or re-submitted the thesis in time

(viii) has had the termination of their registration recommended by a decision of a Disputes Committee constituted pursuant to Clause 11 of this Statute

(ix) is prohibited under the Disciplinary Statute of the University from enrolling.

Before making a decision to terminate a candidate's registration pursuant to this Clause or otherwise, the Board of Graduate Studies will allow the candidate a reasonable opportunity to respond.

Submission

8 a Copies of Thesis

All candidates are initially required to submit three copies in temporary binding and one electronic copy in pdf format of the thesis to the Graduate Centre. Copies should include the following statement to examiners on the first page:

“This thesis is for examination purposes only and is confidential to the examination process.”

b Time for Submission

Unless permitted to do otherwise by the Board of Graduate Studies under Clause 7f, a candidate must normally submit the thesis in no fewer than three and no more than four years from the Date of Registration if they are full-time students, or no fewer than six and no more than eight years in the case of candidates who have been registered as part-time students for the whole period of their registration. In the case of candidates who have been permitted to change between full-time and part-time registration, the submission times will be calculated on a pro rata basis.

c Notification of Submission

Three months prior to the expected date of submission, candidates should notify the Graduate Centre in writing of their intention to submit. If the candidate has reason to believe that any person would be unsuitable to serve as an examiner of the thesis on the grounds of conflict of interest, he or she may also submit at this time the name of this person and a statement in writing as to the nature of the conflict of interest to the Graduate Centre.

d Declaration as to Originality

The thesis is to be accompanied by a statutory declaration, signed by the candidate, stating that the thesis is the candidate's own work and that neither the thesis nor any part of it has been submitted or accepted for any other degree or diploma and that written permission has been obtained for any third-party copyright material reproduced in the thesis that represents a “substantial part” of the other work. The declaration should also state that the temporary-bound copies and electronic copy are identical.

e Where the thesis contains jointly authored research papers, case studies and/or any other work, published or unpublished, a Co-Authorship Form must be signed by the candidate and all the joint authors, stating the extent to which the jointly authored material is the candidate's own work.

Where the thesis includes research reported in published or unpublished co-authored works (other than as in Clauses 1g and 1h) a Co-Authorship Form must be signed by the candidate and all the joint authors, stating the extent to which the jointly authored material is the candidate's own work.

Where the thesis includes co-produced creative work, a Co-Production Form must be signed by the candidate and all the joint producers, stating the elements of the jointly produced material which are the candidate's own work.

f Language of Thesis

The thesis is to be presented in English unless otherwise approved by the Board of Graduate Studies at the time of first registration of the candidate.

Examination

9 a General Provisions

The Head of Department and/or the Associate Dean (Postgraduate) of the Faculty may nominate another person to the Board of Graduate Studies to be authorised to act in his or her place in all of the provisions of this Clause 9. If either the Head of Department or the Associate Dean (Postgraduate) is a supervisor of the candidate, an alternate must be nominated and appointed.

b Neither the supervisors nor the candidate may communicate with the examiners regarding the examination at any stage of the examination process, except as specified in this Clause 9.

c Nomination of Examiners

On notification of submission or intent to submit under Clause 8c, the Head of Department will, on the advice of the supervisor/s, nominate at least two suitably qualified persons to the Board of Graduate Studies for selection as examiners. The nominees should each hold a doctoral degree, or have equivalent expertise and experience, and be expert in the field of study which is the subject of the thesis. At least one nominee should be from outside New Zealand. The examiners may not be staff members of the University or have been involved in either the thesis research or the preparation of the thesis.

d Appointment of Examiners

The Board of Graduate Studies will consider the nominations provided by the Head of Department and any submissions made by the candidate under the provisions of Clause 8c and will appoint two suitably qualified persons who are available to act as examiners. One examiner (the Oral Examiner) must be able to attend the oral examination and will normally be resident in New Zealand or Australia.

e Appointment of Examination Committee

The Board of Graduate Studies will also appoint an Examination Committee which will normally be composed of:

(i) the Head of Department

and

(ii) an Associate Dean (Postgraduate), who will chair the Examination Committee

and

(iii) one other person (“the Head of Department Nominee”) nominated by the Head of Department. This person will have thorough knowledge of the general field of the thesis, but not necessarily of the thesis topic, and will normally be a staff member of the University.

No member of the Examination Committee may be a supervisor or have been involved in either the thesis research or the preparation of the thesis. The Associate Dean will normally be from the same faculty as the candidate, but if that person is in the same department as the candidate then an Associate Dean from another faculty should be substituted.

f Examiners' Reports

Each examiner will be provided with a copy of the thesis and, acting independently, is required to provide the Graduate Centre, within two months of receipt of the thesis, with a written report in English on the quality of the thesis according to the criteria outlined in Clause 1e. One copy of the thesis will be provided to the Examination Committee.

g The examiners will include with their reports one of the following recommendations:

(i) to award the degree, subject to satisfactory performance at the oral examination.

The thesis can be passed without any further amendment or correction. Sometimes examiners may wish to include a list of suggested amendments for the candidate to use when publishing the material.

(ii) to award the degree after specified “minor corrections” have been made to the thesis and/or corpus of creative work, to the satisfaction of the Oral Examiner or nominee (who may be the Main Supervisor), by a specified date, and subject to satisfactory performance at the oral examination.

This recommendation can be made when the thesis has reached the required standard but for minor problems such as inconsistency in terminology, referencing problems, or typographical errors. These changes can normally be made within a 3 month period. When these corrections are made, the thesis will meet the standard and then will be ready for permanent binding and placement in the Library.

(iii) (a) to award the degree after revisions have been made to the thesis and/or corpus of creative work, to the satisfaction of the Oral Examiner or nominee (who will be the Head of Department), by a specified date, and subject to satisfactory performance at the oral examination.

This recommendation is made when an examiner concludes that the revisions required are not minor, but are substantive including re-analysis of data, or rewriting of chapters, or corrections of significant lapses in logic or coherence. When the Head of Department acts as the nominee of the Oral Examiner, the nature of the revisions must be such that he or she can certify that compliance has been achieved. In such cases, the Head of Department may discuss the revisions with the Head of Department Nominee on the Examination Committee and/or the Main Supervisor. These changes can normally be made within a 3-6 month period.

(b) to award the degree after revisions have been made to the thesis and/or corpus of creative work, to the satisfaction of the Examiner by a specified date, and subject to satisfactory performance at the oral examination.

This recommendation is made when an examiner concludes that the revisions required are not minor, but are substantive including re-analysis of data, or rewriting of chapters, or corrections of significant lapses in logic or coherence. The nature of the revisions must be such that subject-specific knowledge is required and the Examiner wishes to see and approve the changes. These changes can normally be made within a 3-6 month period.

(iv) to permit the candidate to revise the thesis and/or corpus of creative work, and resubmit it for examination on one further occasion only.

This recommendation is made when an examiner concludes that the thesis is not yet of PhD standard. It will require either further research, rewriting of specific sections, reconceptualisation, and/or reorganisation in order to reach the required PhD standard. The candidate will be permitted to resubmit, normally within a 12 month period.

(v) not to award the degree, but refer the thesis to the appropriate authority within the University for consideration of the award of another degree.

This recommendation is made when an examiner is of the opinion that the thesis has substantive flaws incompatible with the requirements of a PhD.

(vi) not to award any degree.

h As suppliers of evaluative material in terms of the Privacy Act 1993, all examiners will be informed that the information and reports they supply as such will be held in confidence to the candidate, supervisors and to persons involved in the formal examination process. Candidates' preparation for an oral examination or thesis revision should be assisted by knowing what the examiners have said about their thesis. Examiners' reports will normally be released initially to those involved in the examination process, other than the candidate. Part 1 of the report, the recommendation, will not be released to the candidate, but the examiners' evaluations (Part 2 of the report) will be released to the candidate by the Graduate Centre once the Board of Graduate Studies has approved the Examination Committee's recommendation. At this stage, the candidate will not be informed of the names, or other identifying information, of their examiners. Part 2 of the report will also be released for the purpose of judging the Vice-Chancellor's Prize for Best Doctoral Thesis for those candidates who have been nominated. The Board of Graduate Studies (through the Dean of Graduate Studies) reserves the right to remove from an examiner's report made available to the candidate any material that it considers should not be released.

i Replacement of Examiners

If a report has not been received within two months, the Graduate Centre will send a reminder to the examiner and advise him or her that unless the report is received within two further months the appointment of the examiner will be terminated. If the report has not been received within two months of the date of the reminder, the Board of Graduate Studies may appoint a replacement examiner.

j Consideration of Examiners' Reports

Upon receipt of both of the examiners' reports, the Graduate Centre will provide copies for consideration by the Examination Committee. The examiners' reports will also be made available to the supervisor/s on a confidential basis. Supervisor/s may comment on the reports in writing to the Examination Committee on a confidential basis. The Examination Committee may also request clarification of issues raised in examiners' reports from the examiners and, if necessary, from supervisors. If the recommendations of the examiners are in conflict and the Examination Committee considers that the conflict may be resolved, the Chair may invite the two examiners to consult and to provide a written report or reports on the outcome of their consultations.

k Recommendation of the Examination Committee

The Examination Committee will then make a report to the Board of Graduate Studies which includes the nature and outcome of any communications with the examiners and/or supervisor/s made under Clause 9j and which recommends one of the following:

(i) to appoint one or more further independent Examiners to report on any areas of conflict

(ii) to proceed to the Oral Examination

(iii) to permit the candidate to revise the thesis and/or corpus of creative work, and resubmit it for examination on one further occasion only

(iv) to refer the thesis to the appropriate authority within the University for consideration of the award of another degree

(v) not to award the degree.

l Further Examiners

In the event that the examiners' reports are in serious conflict the Board of Graduate Studies may appoint further independent external examiners to report on any matters which it may specify. In this event the candidate will be kept informed, and Clauses 9f to 9i will apply for the reports of the further examiners.

m Oral Examination

In the event that the Board of Graduate Studies accepts a recommendation to proceed to an oral examination, the following procedures will apply:

(i) the Head of Department will arrange this examination

(ii) the Board of Graduate Studies, on the recommendation of the Head of Department, will appoint a person to act as an independent Chair of the oral examination. The Chair must be a member of the academic staff of the University, but will not normally be a member of a faculty in which the candidate is registered

(iii) the examination must be attended by the candidate, the Oral Examiner, the Chair and the Head of Department Nominee on the Examination Committee. The main supervisor may attend with the agreement of the candidate, but will not act as an examiner and may only participate to the extent requested by the Chair

(iv) subject to Clause 9h above, the Graduate Centre will forward copies of Part 2 of the examiners' reports to the candidate no fewer than five working days before the Oral Examination

(v) during the oral examination, the Oral Examiner and Head of Department Nominee will discuss with the candidate the subject of the thesis and relevant matters in the field or fields to which the subject belongs. The Oral Examiner will discuss with the candidate issues raised in the examiners' reports and ask questions of the candidate on behalf of the other examiner. The Head of Department Nominee will ensure that the External Examiner's comments and questions are discussed.

n Recommendation of the Oral Examination

On completion of the oral examination, the Chair will provide a written report and recommendation, endorsed by the Head of Department Nominee and the Oral Examiner, to the Board of Graduate Studies. The report will include one of the following recommendations:

either

(i) to award the degree

(ii) to award the degree after specified “minor corrections” (see Clause 9g(ii)) have been made to the thesis and/or corpus of creative work, to the satisfaction of the Oral Examiner or nominee (who may be the Main Supervisor), and by a specified date

(iii) (a) to award the degree subject to revising part or parts of the thesis and/or corpus of creative work, to the satisfaction of the Oral Examiner or nominee (who will be the Head of Department), by a specified date

(b) to award the degree subject to revising part or parts of the thesis and/or corpus of creative work, to the satisfaction of the Examiner or Examiners by a specified date

(iv) to permit the candidate to revise the thesis and/or corpus of creative work, and resubmit it for examination on one further occasion only, but only if the candidate has not already been permitted to revise and resubmit under Clause 9k(iii)

(v) to refer the thesis to the appropriate authority within the University for consideration of the award of another degree

(vi) not to award the degree.

In the case of recommendations 9n(iii) and 9n(iv), the report must also state clearly the nature of the revisions recommended.

o When Minor Corrections are Required

In the event that the Board of Graduate Studies requires the candidate to undertake minor corrections the following provisions apply:

(i) the Head of Department Nominee of the Oral Examination, in consultation with the Oral Examiner or nominee (who may be the Main Supervisor), will prepare a written report detailing the minor corrections required

(ii) the Head of Department Nominee will ensure that the candidate is provided with a copy of the required minor corrections, and the specified date for the corrections to be completed by

(iii) if the required minor corrections are completed to the satisfaction of the Oral Examiner or nominee (who may be the Main Supervisor) by the specified date, that person will notify the School of Graduate Studies that the degree may be awarded

(iv) in cases where the Oral Examiner or nominee (who may be the Main Supervisor) reports that the minor corrections were not completed to their satisfaction or by the specified date, the Examination Committee will consider the evidence and will make a report and recommendation to the Board of Graduate Studies.

p When Revisions are Required

In the event that the Board of Graduate Studies requires the candidate to undertake revisions to the satisfaction of the Oral Examiner or nominee (who will be Head of Department), or to the satisfaction of the Examiner, the following provisions apply:

(i) the Head of Department Nominee of the Oral Examination, in consultation with the Oral Examiner or nominee (who will be Head of Department), or the Examiner, will prepare a written report detailing the revisions required

(ii) the Head of Department Nominee will ensure that the candidate is provided with a copy of the required revisions, and the specified date for the revisions to be completed by

(iii) if the required revisions are completed to the satisfaction of the Oral Examiner or nominee (who will be the Head of Department), or the Examiner, by the specified date, that person will notify the School of Graduate Studies that the degree may be awarded

(iv) in cases where the Oral Examiner or nominee (who will be Head of Department) or the Examiner reports that the revisions were not completed to their satisfaction or by the specified date, the Examination Committee will consider the evidence and will make a report and recommendation to the Board of Graduate Studies. This recommendation may include the need to undertake further revisions.

q When Revision and Resubmission are Permitted

In the event that the Board of Graduate Studies requires the candidate to revise the thesis and/or corpus of creative work, for resubmission, either prior to or following an oral examination, the following provisions apply:

(i) if an oral examination has already been held, a copy of the report of the oral examination will be sent to the Examination Committee

(ii) the Examination Committee will agree on the date by which the thesis is to be resubmitted and the nature of the revisions recommended, and will convene a meeting with the candidate and supervisor/s to discuss these revisions. Both the revisions and the date are then to be reported in writing by the Chair of the Examination Committee to the Graduate Centre for approval by the Board of Graduate Studies and formal communication to the candidate. The date of resubmission may not be more than 12 months from the date of the oral examination or, in the case of a recommendation under Clause 9k(iii), not more than 12 months from the date the examiners' reports were forwarded to the Examination Committee by the Graduate Centre

(iii) the candidate is required to enrol and pay the prescribed tuition and research fees from the month in which the decision was made to the month in which the thesis is to be resubmitted. The registration of the candidate is to continue under the conditions applying at the first date of submission

(iv) if the thesis is not resubmitted by the prescribed date, the registration of the candidate will normally be terminated

(v) upon resubmission, the revised thesis is to be examined as a whole by the same examiners in accordance with the provisions of this Clause, excepting that a further resubmission may not be recommended and that the Examination Committee may recommend that a second oral examination not be held. If one or both of the original examiners is unavailable to re-examine the thesis the Board of Graduate Studies will appoint alternative examiners

(vi) upon receipt of both of the examiners' reports, the Graduate Centre will provide copies of the new examiners' reports, the original examiners' reports and the report of the oral examination (if held) to the Examination Committee and to the supervisor/s on a confidential basis. The procedure followed by the Examination Committee will be that in Clause 9j. Following consideration of all examiners' reports the Examination Committee will make a report to the Board of Graduate Studies which includes the nature and outcome of any communications with the examiners and/or supervisor/s made under Clause 9j. In the case where an oral examination has not already been held the Examination Committee report must recommend that either an oral examination be held or the degree not be awarded. If an oral examination is to be held, the examiners' evaluations of the revised thesis (Part 2 of the report) will be released to the candidate by the Graduate Centre once the Board of Graduate Studies has approved the Examination Committee's recommendation no fewer than five working days before the oral examination. In the case where an oral examination has previously been held the Examination Committee report must recommend one of the following:

(a) to proceed to a second oral examination (in which case Clause 9m(iv) applies)

(b) to award the degree

(c) to award the degree after specified “minor corrections” (see Clause 9g(ii)) have been made to the thesis and/or corpus of creative work to the satisfaction of the Oral Examiner or nominee (who may be the Main Supervisor), by a specified date

(d) to refer the thesis to the appropriate authority within the University for consideration of the award of another degree

(e) not to award the degree.

r Final Decision

After considering all of the reports of the examiners and the Examination Committee the Board of Graduate Studies will make the final decision as to the award of the degree.

s Copies for Deposit

(i) On successful completion of the examination, candidates will be required to deposit two hardbound copies of the thesis and one digital copy, corrected or revised as may be required, with the Graduate Centre. The degree will not be conferred until the candidate has complied with this requirement.

(ii) When two hardbound copies and a digital copy of the PhD thesis are deposited, these must be accompanied by a statutory declaration signed by the candidate stating that the hardbound copies and the digital copy are the same.

t (i) The digital thesis deposited shall be formatted as specified in the Guidelines for Formatting a Digital Thesis at The University of Auckland.

(ii) A thesis which is deposited in digital form will be accessible through the University's digital repository, unless embargoed under Clause 24 of the Examination Regulations.

Appeals

10 As to Registration

a Candidates, supervisors or Heads of Department may appeal against any decision of the Board of Graduate Studies made under Clauses 4, 5, 7 or 8 of this Statute, normally within three months of the making of the decision, on the grounds that:

(i) relevant information which was not available to the Board of Graduate Studies at the time of its making the decision has since become available

and/or

(ii) the procedure adopted in arriving at the decision was unfair. The appeal must state clearly all grounds relied on by the appellant and all relevant documentation must be attached.

b Any appeal made under Clause 10a will be considered by the Chair of the Board of Graduate Studies, or their nominee, who may seek further information relating to the grounds of the appeal and shall notify the candidate of such information before making any decision. The Chair shall give a written decision outlining the reason(s) for the decision. A decision:

(i) grounded on the lack of relevant information shall be final

(ii) grounded on procedural unfairness may be further appealed within six months after the decision is made to the Vice-Chancellor (or nominee) whose decision shall be final.

As to Examination

c If a PhD candidate believes that he or she has been significantly disadvantaged by the examination process, or by any part of the examination process, then a written appeal may be made to the Board of Graduate Studies, setting out the grounds of the appeal. All relevant documents relied upon must be submitted with the appeal.

d Any appeal as to examination process must be lodged within three months of the result of the examination being officially communicated to the candidate. The appeal document must state clearly all grounds relied on and include all relevant documents.

e In the case of appeals as to examination process:

(i) the Chair of the Board of Graduate Studies will undertake a preliminary investigation and determine if there are grounds for the appeal to be taken to a further stage

(ii) if there are grounds for further consideration of an appeal, this will be undertaken by two members of the Board of Graduate Studies who have not been involved in the examination process who will make a recommendation to the Vice-Chancellor

(iii) the candidate will be provided with a copy of the recommendation to the Vice-Chancellor and will have the opportunity to respond to the recommendation

(iv) the decision of the Vice-Chancellor will be final and may involve a re-examination of the work.

Dispute Resolution Procedures

11 Disputes are to be resolved according to the policy Resolution of Research Problems: Postgraduate Research Students.

Transitional Arrangements

12 a This Statute came into force on 1 January 2011 and revoked the previous Statute for the Degree of Doctor of Philosophy. It was further amended by the Board of Graduate Studies and Senate in August 2011.

b For candidates initially registered under a previous statute, the Board of Graduate Studies may agree to vary the application of the provisions of this Statute to ensure consistency with the provisions of the statute under which the candidate was enrolled, where it is satisfied that the candidate would otherwise be at a disadvantage.

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Source: The University of Auckland 2012 Online Calendar
Last updated on: Tuesday 1 November 2011
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