phd statute guidelines

8/3/2019 Phd Statute Guidelines

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Statute & Guidelines for the Degree of Doctor of Philosophy |

Statute and Guidelinesfor the Degree of Doctorof Philosophy (PhD)

This document details the Statute or the Degree

o Doctor o Philosophy, and includes guidelines

explaining how this Statute is applied and what

procedures are involved in PhD registration.

These guidelines also explain how the Board o

Graduate Studies interprets and applies the

Statute or the Degree o Doctor o Philosophy at

The University o Auckland.

This document is intended or people who are

registered as candidates or the PhD Degree, or

who wish to register as candidates or the PhD,

and or those involved with the administration,

supervision and examination o the PhD at The

University o Auckland.

All candidates who are registered or the Degree

o Doctor o Philosophy at The University o

Auckland rom 1 January 2008 and those whohave chosen to transer rom the 1999 and 2003

Statutes are governed by the Statute detailed in

these guidelines.

This document can be accessed online through:

www.postgrad.auckland.ac.nz


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| Statute & Guidelines for the Degree of Doctor of Philosophy

Contents

Clause 1 Preamble ............................................................................................................ 5

Clause 2 Eligibility ............................................................................................................. 6

Clause 3 Admission ........................................................................................................... 7

Admission Essential ..................................................................................................................................7

Clause 4 Registration ....................................................................................................... 7

Registration Essential ...............................................................................................................................7

Provisional Registration ...........................................................................................................................7

Application or Registration ....................................................................................................................7

Part-time Registration ..............................................................................................................................7

Non-resident Candidature ......................................................................................................................7

Concurrent Registration ..........................................................................................................................8

Role o the Head o Department ...........................................................................................................8

Role o the Associate Dean (Postgraduate) .........................................................................................9

Role o the Board o Graduate Studies .................................................................................................9

Date o Registration .................................................................................................................................9

Supervision .................................................................................................................................................9

Coursework ............................................................................................................................................ 10

Presentation in Te Reo Mori .............................................................................................................. 10

Clause 5 Reviews of Registration .................................................................................. 10

Provisional Goals ................................................................................................................................... 10

Provisional Review ................................................................................................................................. 10Annual Review o Registration .............................................................................................................11

Specied Conditions or Registration ..................................................................................................11

Recommendation to Terminate ............................................................................................................11

Clause 6 Enrolment and Fees......................................................................................... 12

Enrolment .................................................................................................................................................12

Reunds .....................................................................................................................................................12

Fees Other than Tuition Fees ................................................................................................................12

Fees to be Paid beore Thesis Accepted .............................................................................................12

Other Fees Payable............................................................................................................... ..................12

Clause 7 Changes to the Conditions of Registration .................................................. 12

Absence rom the University ................................................................................................................13

Changes in Supervision .........................................................................................................................13

Change to Part-time Registration ........................................................................................................13

Extension o Time or Submission ........................................................................................................13

Suspension o Registration ....................................................................................................................13

Termination o Registration ..................................................................................................................14

Clause 8 Submission ....................................................................................................... 14

Copies o Thesis ......................................................................................................................................14

Time or Submission ...............................................................................................................................15


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Notication o Submission ....................................................................................................................15

Declaration as to Originality ................................................................................................................15

Statement rom Supervisors .................................................................................................................15

Language o Thesis.................................................................................................................................15

Clause 9 Examination ..................................................................................................... 16

General Provisions ..................................................................................................................................16

Nomination o Examiners ......................................................................................................................16

Appointment o Examiners....................................................................................................................16

Appointment o Examination Committee ..........................................................................................16

Examiners Reports .................................................................................................................................17

Replacement o Examiners....................................................................................................................18

Consideration o Examiners Reports .................................................................................................18

Recommendation o the Examination Committee ...........................................................................18

Further Examiners ...................................................................................................................................19

Oral Examination ....................................................................................................................................19

Recommendation o the Oral Examination .......................................................................................19

When Revision and Resubmission are Permitted ............................................................................ 20

Final Decision ..........................................................................................................................................21

Copies or Deposit ..................................................................................................................................21

Clause 10 Appeals........................................................................................................... 22

As to Registration .................................................................................................................................. 22

As to Examination .................................................................................................................................. 22

Clause 11 Dispute Resolution Procedures .................................................................... 23

Clause 12 Transitional Arrangements ........................................................................... 23

Guidelines

Eligibility ........................................................................................................................... 24

Guideline 1...............................................................................................................................................24

Guideline 2...............................................................................................................................................24

Guideline 3...............................................................................................................................................24

Guideline 4.............................................................................................................................................. 25Guideline 5.............................................................................................................................................. 25

Admission ......................................................................................................................... 25

Guideline 6.............................................................................................................................................. 25

Registration ..................................................................................................................... 25

Guideline 7.............................................................................................................................................. 25

Guideline 8.............................................................................................................................................. 25

Guideline 9.............................................................................................................................................. 26

Guideline 10 ........................................................................................................................................... 26

Guideline 11............................................................................................................................................ 26


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Guideline 12 ........................................................................................................................................... 26

Guideline 13 ............................................................................................................................................27

Guideline 14 ............................................................................................................................................27

Guideline 15 ............................................................................................................................................27Guideline 16 ............................................................................................................................................27

Reviews of Registration .................................................................................................. 28

Guideline 17 ........................................................................................................................................... 28

Guideline 18 ........................................................................................................................................... 28

Enrolment and Fees......................................................................................................... 28

Guideline 19 ........................................................................................................................................... 28

Guideline 20 ........................................................................................................................................... 28

Changes to the Conditions of Registration ..................................................................... 29Guideline 21 ........................................................................................................................................... 29

Guideline 22 ........................................................................................................................................... 29

Guideline 23 ........................................................................................................................................... 29

Guideline 24 ........................................................................................................................................... 29

Guideline 25 ........................................................................................................................................... 30

Guideline 26 ........................................................................................................................................... 30

Submission ....................................................................................................................... 30

Guideline 27 ........................................................................................................................................... 30

Guideline 28 ............................................................................................................................................31

Guideline 29 ............................................................................................................................................31Guideline 30 ............................................................................................................................................31

Examination ..................................................................................................................... 31

Guideline 31 ............................................................................................................................................31

Guideline 32 ........................................................................................................................................... 32

Guideline 33 ........................................................................................................................................... 32

Guideline 34 ........................................................................................................................................... 32

Guideline 35 ........................................................................................................................................... 32

Guideline 36 .......................................................................................................................................... 33

Guideline 37 ........................................................................................................................................... 33

Appeals ............................................................................................................................. 33

Guideline 38 ........................................................................................................................................... 33

Transitional Arrangements ............................................................................................. 33

Guideline 39 ........................................................................................................................................... 33

Appendices....................................................................................................................... 34

Appendix A: The Temporary Binding Option or Theses ................................................................ 34

Appendix B: Library Access or Intending Candidates ................................................................... 34

Appendix C: Web Links to Relevant Postgraduate Guidelines, Procedures and Forms ........... 35


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Statute for the Degree of

Doctor of PhilosophyPlease note that all of the forms and most of the policy documents referred to below maybe found on the internet at www.postgrad.auckland.ac.nz and are also available in hard

copy from the Graduate Centre.

Clause 1 Preamble

a Candidates or the Degree o Doctor o Philosophy are required to pursue an approved programme

o advanced study and research as enrolled students o the University. The demands o PhD research

require a signicant commitment by candidates in terms o time and resources, and candidates are

normally expected to be working ull-time on their doctoral research.

b It is expected that this programme will usually be completed within three to our years o ull-time

candidature. Part-time candidature may also be permitted.

c Upon completion o an approved programme o research, the PhD will be awarded to a candidate:

(i) whose submitted thesis meets the requirements set out in Clause 1d

and

(ii) who has satised the examiners in an oral examination and any other examination that may be

required on the subject o the thesis and on relevant matters in the eld or elds to which the

subject belongs.

d The PhD degree is awarded or a ormal and systematic exposition o a coherent programme o

advanced research work carried out over the period o registration or the degree which in the

opinion o the examiners and the Board o Graduate Studies satises all o the ollowing criteria:

(i) to be an original contribution to knowledge or understanding in its eld

and

(ii) to meet internationally recognised standards or such work

and

(iii) to demonstrate a knowledge o the literature relevant to the subject and the eld or elds towhich the subject belongs, and the ability to exercise critical and analytical judgement o it

and

(iv) to be satisactory in its methodology, in the quality and coherence o its written expression, and

in its scholarly presentation and ormat.

e PhD theses may not exceed 100,000 words in total without the prior permission o the Board o

Graduate Studies.

Where a thesis includes published research papers and/or case studies, published or unpublished,

these must be ully integrated into the subject matter and text o the thesis and be listed in

the bibliography.


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g All material which is not the original work o the author o the thesis must:

(i) be ully and appropriately attributed

or

(ii) i a substantial part o another work, only be reproduced with the written permission o the

copyright owner o that other work.

h All research or the thesis is to be conducted in accordance with The University o Auckland

Guidelines for the Conduct of Research.

Clause 2 Eligibility

Candidates or the Degree o Doctor o Philosophy are required to have:

a (i) completed the requirements or the award o a masters degree with First Class or Second Class

(Division I) Honours at The University o Auckland

Guideline1

or

(ii) completed the requirements or the award o a bachelors degree with First Class or Second Class

(Division I) Honours at The University o Auckland

or

(iii) completed all the taught course work requirements (i any) or a masters degree o The University

o Auckland at the equivalent o First Class or Second Class (Division I) Honours level, and havemade substantial progress towards completion o the masters research thesis

Guideline2

or

(iv) completed the requirements or the award o a qualication that the Board o 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 rom The

University o Auckland.

Guideline3

and

b demonstrated an ability to pursue doctoral-level research.

Guideline4

c In exceptional circumstances, the Board o Graduate Studies may consider or registration a person

whose qualications do not meet the requirements o Clause 2a, i it is satised that the persons

experience in research and the results o that experience are so outstanding that the person is likely

to have the ability to complete the degree successully.

Guideline5


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Clause 3 Admission

Admission Essential

a Every candidate or the Degree o Doctor o Philosophy must have applied or admission and beenadmitted to The University o Auckland.

Guideline6

Clause 4 Registration

Registration Essential

a Every candidate or the Degree o Doctor o Philosophy must be registered by the Board o Graduate

Studies in accordance with this Clause 4.

Provisional Registration

b Registration is provisional or all candidates or the rst 12 months ollowing the Date o Registration

as dened in Clause 4k o this Statute.

Guideline7

Application or Registration

c Application or registration must be made to the Head o Department, Division, School, Chair o a

Board o Studies or Director o the Research Centre or Institute (the Head o Department) in thediscipline in which the candidate is to be primarily registered.

Guideline8

Part-time Registration

d Candidates who are in ull-time employment in a research supportive environment at the time o rst

registration, and who expect to continue in that employment situation, may apply to register as part-

time students.

Guideline9

e An applicant with demanding amily responsibilities which prevent attending the Universityand participating in research activities on a ull-time basis may apply to be registered as a

part-time student.

Non-resident Candidature

Where an intending candidate is not resident in Auckland, the Head o Department must provide the

Board o 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.

Guideline10

ProceduresandGuidelinesforOff-CampusRegistration


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Concurrent Registration

g 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 qualiying degree or entry into the PhD programme.

Guideline11

Role o the Head o Department

h The Head o Department will make a recommendation in writing 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 o meeting the requirements o Clause 1d othis Statute

and

(c) has an appropriate set o goals or the provisional year o registration, agreed to by both the

candidate and Main Supervisor.

Guideline12

and i the Head o Department is o that opinion, then:

(ii) whether their Department (in conjunction with any other Department where the eld o study is

interdisciplinary, or other university in the case o jointly awarded degrees) accepts the

responsibility or

(a) making satisactory supervision arrangements over the whole course o the PhD

and

(b) providing adequate research resources and acilities

Guideline13

StatementofResourcesandSupportforPhDResearch

and

(iii) whether the eld o study is interdisciplinary, and i so, which other Departments will be involved.

In these cases, the Heads o any other Departments involved are required to endorse therecommendation

Guideline14

and

(iv) nominate suitably qualied supervisors and, where appropriate, advisers

and


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(v) in the case o a candidate in a Department o Languages and Literatures, or a candidate or

whom joint registration with another university in a non-English speaking country is proposed, a

recommendation as to the language in which the thesis is to be submitted and examined.

Guideline30 ManagementofCo-supervised/JointlyAwardedPhDDegrees

Role o the Associate Dean (Postgraduate)

i On receipt o the recommendation o the Head o Department, the Faculty Associate Dean

(Postgraduate) will make a recommendation in writing to the Board o Graduate Studies as to the

matters set out in Clause 4h.

Role o the Board o Graduate Studies

j On receipt o the recommendation o the Faculty Associate Dean (Postgraduate), the Board o

Graduate Studies will decide whether or not to register the candidate and, i so, the conditions which

will apply to the registration. The Board o Graduate Studies may call or any urther inormation it

considers relevant beore making its decision.

Date o Registration

k Registration takes eect on the date (the Date o Registration) approved by the Board o Graduate

Studies. Where a candidate has already started supervised research on the PhD topic the Date o

Registration may be backdated by not more than six months, except or a candidate transerring rom

a masters degree under Clause 2a(iii), when the Date o Registration may be backdated not earlier

than the date on which the course work component (i any) o the masters degree was completed.

Guideline15

FeesStatute

Supervision

l The Board o Graduate Studies will appoint the supervisors or each candidate. The supervisors must

be actively involved in research in the candidates general eld, and must either hold a doctoral

degree or be appropriately qualied and experienced. Persons who are themselves candidates or the

degree o PhD may not be appointed as supervisors, although they may be appointed as advisers.

m For each candidate the Board o Graduate Studies will appoint a suitably qualied main supervisor

who takes overall responsibility or the supervision o the candidate and or assistance in the

provision o research resources. The main supervisor must be a sta member o The University o

Auckland.

n In addition, the Board o Graduate Studies will appoint or each candidate:

(i) at least one suitably qualied co-supervisor

and/or

(ii) an advisory committee or adviser/s.

Guideline16

GuidelinesonThesisSupervision


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| Statute & Guidelines for the Degree of Doctor of Philosophy0

Coursework

o The Board o Graduate Studies may require the candidate to undertake coursework that is

considered to be necessary or the successul completion o the programme o research. Such

coursework must be completed as part o the provisional registration requirements, will not normallyexceed 60 points in total and should either be at the postgraduate level or, in special cases, at

Stage III level. Candidates must normally pass any such coursework at the grade o at least B+ or

its equivalent.

Presentation in Te Reo Mori

p Candidates wishing to present and deend a thesis in Mori must, beore applying to the Head o

Department to be registered, obtain the permission o the Pro Vice-Chancellor (Mori). When such

permission is granted, the Pro Vice-Chancellor (Mori) will make a recommendation in writing to the

Board o Graduate Studies as to:

(i) whether the candidate has adequate fuency and literacy in te reo Mori in the subject area othe thesis

and

(ii) the likelihood o being able to nd appropriately qualied examiners or the thesis.

Clause 5 Reviews of Registration

Provisional Goals

a During provisional registration, a candidate must:(i) achieve the goals prescribed by the Board o Graduate Studies at the commencement o

the registration

and

(ii) complete a ull thesis proposal, including a provisional title, a schedule o research, an outline o

the thesis structure and a statement o the resources required to complete the research. The

thesis proposal should be submitted or approval to the appropriate postgraduate committee o

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 to accept the proposal. It will inorm the Head o

Department o its decision.

Guideline17

Provisional Review

b At the end o the 12 months o provisional registration, the supervisor/s and the Head o

Department are to submit a ormal report to the Board o Graduate Studies on the progress o the

candidate. The report should clearly state whether or not the progress o the candidate has been

satisactory, the goals laid down or the provisional year have been achieved and the candidates

research proposal has been approved according to Clause 5a(ii). The report should include a

recommendation that the candidates registration be:


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(i) conrmed

or

(ii) terminated

or

(iii) continued on a provisional basis or a period o three to six months.

The candidate shall be given an opportunity to make written submissions to the Board o Graduate

Studies on the above provisional report.

Guideline17

c Where the recommendation is to conrm the candidates registration, the report to the Board o

Graduate Studies must include a copy o the candidates ull thesis proposal and provisional title.

Annual Review o Registrationd In each year o registration each candidate must pursue a programme o advanced study and

research to the satisaction o the Head o Department and the Main Supervisor. At the end o each

year o registration ollowing the provisional period, the Main Supervisor, the candidate and the

Head o Department are to submit, through the Associate Dean (Postgraduate) o the Faculty, a joint

report to the Board o Graduate Studies on the candidates progress. As part o this report the Main

Supervisor and the Head o Department are to make one o the ollowing recommendations:

(i) that the candidates registration be continued

or

(ii) that the candidates registration be continued subject to specied conditions

or

(iii) that the candidates registration be terminated.


Studies on the above annual report.

Guideline18

Specifed Conditions or Registration

e Where a recommendation is made under Clauses 5b(iii) or 5d(ii), the Head o Department will alsorecommend to the Board o Graduate Studies the specic goals and/or conditions to be met by the

candidate and the time in which these are to be completed. At the end o this period the Head o

Department and Main Supervisor will advise the Board o Graduate Studies whether or not these

requirements have been met. Registration will terminate i the specied conditions have not been

ullled to the satisaction o the Board o Graduate Studies.

Recommendation to Terminate

No decision to terminate registration may be made by the Board o Graduate Studies unless the

candidate has been notied in writing and given reasonable opportunity to respond.


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Clause 6 Enrolment and Fees

Enrolment

a Candidates or the PhD Degree must be enrolled and pay ees in each academic year or which theyare registered. Candidates need not pay tuition ees or any period during which their registration is

suspended under Clause 7.

b On enrolment in each academic year every candidate must pay the ee prescribed or that

academic year.

Reunds

c A candidate who submits a thesis or terminates their registration will receive a reund o one-twelth

o the tuition ee paid or each complete month o the period between the date o submission o the

thesis or termination o registration and the end o the academic year or which ees have been paid.

Fees Other than Tuition Fees

d Unless otherwise exempted under the relevant regulations, all candidates must pay the prescribed

Building Levy and Student Services ees and any other ees as may be prescribed rom time to time.

There is no reund o these ees.

Fees to be Paid beore Thesis is Accepted

e No thesis will be accepted or examination unless outstanding ees have been paid or the academic

year in which a candidate is registered.

Other Fees Payable

Candidates who enrol or courses other than those required as part o their programme or the PhD

Degree must pay the ees prescribed or those courses on enrolment.

Guidelines19and20

FeesStatute

Clause 7 Changes to the Conditions of Registration

a The Head o Department may, ater consultation with the candidate, make a written

recommendation to the Board o Graduate Studies or changes in the conditions o registration or

the candidate. The candidate may express his or her written views on the recommendation to the

Board o Graduate Studies i he or she wishes. Ater considering a recommendation rom the Head o

Department, the Board o Graduate Studies may, ater considering any submissions made by the

candidate, change the conditions o registration or that candidate.

Guideline21


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Absence rom the University

b Where a resident candidate intends to be absent rom the University in pursuit o their research or

more than two months, supervisors are to submit or approval by the Board o Graduate Studies,

through the Head o Department and beore the candidates departure, suitable plans or thesupervision o the candidate during their absence.

Guideline22

ProceduresandGuidelinesforOff-CampusRegistration

Changes in Supervision

c When necessary, the Head o Department is to recommend changes to the supervision o the

candidate or approval by the Board o Graduate Studies. This will normally be required when a

supervisor is granted leave, resigns or retires.

Guideline23

Change to Part-time Registration

d Candidates who have been registered ull-time or a period o two years may apply to be registered

part-time.

Guideline24

Extension o Time or Submission

e When the Board o Graduate Studies is satised that there is sucient reason, it may extend a

candidates submission date. Beore approving an extension o submission time the Board oGraduate Studies will require the candidate, the supervisor/s and Head o Department to agree on

the programme o supervision and schedule o research considered necessary or submission by the

new date proposed.

Suspension o Registration

Where a candidate is unable to continue with their research programme because o circumstances

beyond their control, the Board o Graduate Studies may suspend their registration or a specied

period o time. The ollowing conditions apply:

(i) The length o time or which a candidates registration may be suspended will be in multiples o

whole calendar months.

(ii) The Board o Graduate Studies must be satised that any period o suspension will not adversely

aect the viability o the candidates research.

(iii) Any period o suspension will be excluded rom the calculation o the nal submission date.

(iv) While registration is suspended, a candidate is exempt rom ees and enrolment, and is

not entitled to any tuition or supervision, or to the use o any other research resources o

the University.

Guideline25


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Termination o Registration

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

(i) ails to enrol or any academic year corresponding to a year o registration

or

(ii) ails to make payment o any Tuition and Research ees related to the PhD registration

or

(iii) applies to cease being registered

or

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

or

(v) has received an unsatisactory annual report

or

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

or

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

or

(viii) has had the termination o their registration recommended by a decision o a Disputes

Committee constituted pursuant to Clause 11 o this Statute

or

(ix) is prohibited under the Disciplinary Statute o the University rom enrolling.

Beore making a decision to terminate a candidates registration pursuant to this clause or otherwise,

the Board o Graduate Studies will allow the candidate a reasonable opportunity to respond.

Guideline26

Clause 8 Submission

Copies o Thesisa All candidates are initially required to submit three copies o the thesis to the Graduate Centre. The

thesis should have a temporary binding and a statement to examiners as specied in the Guide to

Theses and Dissertations.

Guideline27

GuidetoThesesandDissertations


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Time or Submission

b Unless permitted to do otherwise by the Board o Graduate Studies under Clause 7e, a candidate

must normally submit the thesis in not less than three and not more than our years rom the Date o

Registration i they are ull-time students, or not less than six and not more than eight years in thecase o candidates who have been registered as part-time students or the whole period o their

registration. In the case o candidates who have been permitted to change between ull-time and

part-time, the submission times will be calculated on a pro rata basis.

Notifcation o Submission

c Three months prior to the expected date o submission, candidates should notiy the Graduate Centre

in writing o their intention to submit. I the candidate has reason to believe that any person would be

unsuitable to serve as an examiner o the thesis on the grounds o confict o interest, he or she may

also submit at this time the name o this person and a statement in writing as to the nature o the

confict o interest to the Graduate Centre.

Guideline28

Declaration as to Originality

d The thesis is to be accompanied by a statutory declaration, signed by the candidate, stating that the

thesis is the candidates own work and that neither the thesis nor any part o it has been submitted

or accepted or any other degree or diploma and that written permission has been obtained or any

third-party copyright material reproduced in the thesis that represents a substantial part o the

other work.

e Where the thesis contains jointly authored research papers, case studies and/or any other work,

published or unpublished, the declaration is to state the extent to which the jointly authored material

is the candidates own work. Evidence that all co-authors have approved the inclusion o the joint

work must be supplied.

Guideline29

Statement rom Supervisors

When the thesis is submitted, the Graduate Centre will invite a statement rom the supervisor/s

regarding the context or outcome o the thesis research. This statement must be endorsed by the

Head o Department and the candidate. The Graduate Centre will orward a copy o the statement

to the Chair o the Examination Committee or its consideration.

Language o Thesis

g The thesis is to be presented in English unless otherwise approved by the Board o Graduate Studies

at the time o rst registration o the candidate.

Guideline30


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Clause 9 Examination

General Provisions

a The Head o Department and/or the Associate Dean (Postgraduate) o the Faculty may nominateanother person to the Board o Graduate Studies to be authorised to act in his or her place in all o

the provisions o this Clause 9. I either the Head o Department or the Associate Dean

(Postgraduate) is a supervisor o 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 o the examination process, except as specied in this Clause 9.

Nomination o Examiners

c On notication o submission or intent to submit under Clause 8c, the Head o Department will

nominate at least two suitably qualied persons to the Board o Graduate Studies or selection as

examiners. The nominees should each hold a doctoral degree, or have equivalent expertise and

experience, and be expert in the eld o study which is the subject o the thesis. At least one nominee

should be rom outside New Zealand. The examiners may not be sta members o the University or

have been involved in either the thesis research or the preparation o the thesis.

Guideline31

Appointment o Examiners

d The Board o Graduate Studies will consider the nominations provided by the Head o Department

and any submissions made by the candidate under the provisions o Clause 8c and will appoint

two suitably qualied persons who are available to act as examiners. One examiner (the OralExaminer) must be able to attend the oral examination and will normally be resident in New Zealand

or Australia.

Guideline32

Appointment o Examination Committee

e The Board o Graduate Studies will also appoint an Examination Committee which will normally be

composed o:

(i) the Head o Department

and

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

and

(iii) one other person (the Head o Department Nominee) nominated by the Head o Department.

This person will have thorough knowledge o the general eld o the thesis, but not necessarily o

the thesis topic, and will normally be a sta member o the University.

No member o the Examination Committee may be a supervisor or have been involved in either the

thesis research or the preparation o the thesis. The Associate Dean will normally be rom the same

Faculty as the candidate, but i that person is in the same Department as the candidate then an

Associate Dean rom another Faculty should be substituted.


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Examiners Reports

As suppliers o evaluative material in terms o the Privacy Act 1993, all examiners will be inormed

that the inormation and reports they supply as such will be held in condence to supervisors and to

persons involved in the ormal examination process. Candidates will not be inormed o the names, orother identiying inormation, o their examiners, except that o the Oral Examiner.

Guideline33

g Each examiner will be provided with a copy o the thesis and, acting independently, is required to

provide the Graduate Centre, within two months o receipt o the thesis, with a written report in

English on the quality o the thesis according to the criteria outlined in Clause 1d. One copy o the

thesis will be provided to the Examination Committee.

h The examiners will include with their reports one o the ollowing recommendations:

(i) To award the degree.

The thesis can be passed without any urther amendment or correction. Sometimes examinersmay wish to include a list o suggested amendments or the candidate to use when publishing

the material.

or

(ii) To award the degree ater specied minor corrections have been made to the thesis to the

satisaction o the Oral Examiner or Nominee, who may be the Main Supervisor, by a

specied date.

This recommendation can be made when the thesis has reached the required standard but or

minor problems such as inconsistency in terminology, reerencing problems, or typographical

errors. When these are corrected, the thesis will meet the standard and then will be ready or

permanent binding and placement in the Library.

or

(iii) (a) To award the degree subject to revising part or parts o the thesis to the satisaction o the

Oral Examiner or Nominee, who will be the Head o Department, by a specied date.

This recommendation is made when the Examiner concludes that the revisions required are

not minor, but are substantive including re-analysis o data, or rewriting o chapters, or

corrections o signicant lapses in logic or coherence. The nature o the revisions must be

such that, when the Head o Department acts as the nominee o the Oral Examiner, he or

she can certiy that compliance has been achieved. In such cases, the Head o Department

may discuss the revisions with the Head o Department Nominee on the ExaminationCommittee and/or Main Supervisor. These changes can normally be made within a 3-6

month period.

or

(b) To award the degree subject to revising part or parts o the thesis to the satisaction o the

Examiner by a specied date.

This recommendation is made when the Examiner concludes that the revisions required are

not minor, but are substantive including re-analysis o data, or rewriting o chapters, or

corrections o signicant lapses in logic or coherence. The nature o the revisions must be

such that subject-specic 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.


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or

(iv) To permit the candidate to revise the thesis and resubmit it or examination on one urther

occasion only.

This recommendation is made when the Examiner concludes that the thesis is not yet o PhDstandard. It will require either urther research, rewriting o specic 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.

or

(v) Not to award the degree.

This recommendation is made when the Examiner is o the opinion that the thesis has

substantive faws incompatible with the requirements o a PhD.

Replacement o Examinersi I 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 urther months the

appointment as examiner will lapse. I the report has not been received within two months o the

date o the reminder, the Board o Graduate Studies may appoint a replacement examiner.

Guideline34

Consideration o Examiners Reports

j Upon receipt o both o the examiners reports, the Graduate Centre will provide copies or

consideration by the Examination Committee. The examiners reports will also be made available tothe supervisor/s on a condential basis. Supervisor/s may comment on the reports in writing to the

Examination Committee on a condential basis. The Examination Committee may also request

clarication o issues raised in examiners reports rom the examiners and, i necessary, rom

supervisors. I the recommendations o the examiners are in confict and the Examination Committee

considers that the confict may be resolved, the Chair may invite the two examiners to consult and to

provide a written report or reports on the outcome o their consultations.

Guideline33

Recommendation o the Examination Committee

k The Examination Committee will then make a report to the Board o Graduate Studies which includes

the nature and outcome o any communications with the examiners and/or supervisor/s made under

Clause 9j and which recommends one o the ollowing:

(i) to appoint one or more urther independent examiners to report on any areas o confict

or

(ii) to proceed to the oral examination

or

(iii) to permit the candidate to revise the thesis and resubmit it or examination on one urther

occasion only


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or

(iv) not to award the degree.

Further Examiners

l In the event that the examiners reports are in serious confict the Board o Graduate Studies may

appoint urther independent external examiners to report on any matters which it may speciy. In this

event the candidate will be kept inormed, and Clauses 9 to 9i will apply or the reports o the

urther examiners.

Oral Examination

m In the event that the Board o Graduate Studies accepts a recommendation to proceed to an oral

examination, the ollowing procedures will apply:

(i) The Head o Department will arrange this examination.

(ii) The Board o Graduate Studies, on the recommendation o the Head o Department, will appoint

a person to act as an independent Chair o the oral examination. The Chair must be a member

o the academic sta o the University, but will not normally be a member o a aculty in which

the candidate is registered.

Guideline35

(iii) The examination must be attended by the candidate, the Oral Examiner, the Chair and the Head

o Department Nominee on the Examination Committee.

(iv) The Graduate Centre will orward copies o the examiners reports to the supervisor/s. The Main

Supervisor may attend the oral examination, but will not act as an examiner and may onlyparticipate to the extent requested by the Chair.

(v) During the oral examination, the Oral Examiner and Head o Department Nominee will discuss

with the candidate the subject o the thesis and relevant matters in the eld or elds to which the

subject belongs. The Oral Examiner will discuss with the candidate issues raised in the examiners

reports and ask questions o the candidate on behal o the other examiner.

Recommendation o the Oral Examination

n On completion o the oral examination, the Chair will provide a written report and recommendation,

endorsed by the Head o Department Nominee and the Oral Examiner, to the Board o Graduate

Studies. The report will include one o the ollowing recommendations:

either

(i) to award the degree

or

(ii) to award the degree ater specied minor corrections have been made to the thesis to the

satisaction o the Oral Examiner or Nominee, who may be the Main Supervisor, and by a

specied date

or


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(iii) (a) to award the degree subject to revising part or parts o the thesis to the satisaction o the

Oral Examiner or Nominee, who will be the Head o Department, by a specied date

or

(b) to award the degree subject to revising part or parts o the thesis to the satisaction o theExaminer or Examiners by a specied date

or

(iv) to permit the candidate to revise the thesis and resubmit it or examination on one urther

occasion only, but only i the candidate has not already been permitted to revise and resubmit

under Clause 9k (iii)

or

(v) not to award the degree.

In the case o recommendations (iii) and (iv), the report must also state clearly the nature o the

revisions recommended.

Guideline36

When Revision and Resubmission are Permitted

o In the event that the Board o Graduate Studies requires the candidate to revise the thesis or

resubmission, either prior to or ollowing an oral examination, the ollowing provisions apply:

(i) I an oral examination has already been held, a copy o the report o 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 andthe nature o the revisions recommended, and will convene a meeting with the candidate and

supervisors to discuss these revisions. Both the revisions and the date are then to be reported in

writing by the Chair o the Examination Committee to the Graduate Centre or approval by the

Board o Graduate Studies and ormal communication to the candidate. The date o

resubmission may not be more than 12 months rom the date o the oral examination or, in the

case o a recommendation under Clause 9k(iii), not more than 12 months rom the date the

examiners reports were orwarded to the Examination Committee by the Graduate Centre.

Guideline37

(iii) The candidate is required to enrol and pay the prescribed tuition and research ees rom the

month in which the decision was made to the month by which the thesis is to be resubmitted. Theregistration o the candidate is to continue under the conditions applying at the rst date

o submission.

(iv) I the thesis is not resubmitted by the prescribed date, the registration o 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 o this Clause, excepting that a urther resubmission may not be

recommended and that the Examination Committee may recommend that a second oral

examination not be held. I one or both o the original examiners is unavailable to re-examine the

thesis the Board o Graduate Studies will appoint alternative examiners.


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(vi) Upon receipt o both o the examiners reports, the Graduate Centre will provide copies o the

new examiners reports, the original examiners reports and the oral examination (i held) to the

Examination Committee and to the supervisor/s on a condential basis. The procedure ollowed

by the Examination Committee will be that in Clause 9j. Following consideration o all examiners

reports the Examination Committee will make a report to the Board o Graduate Studies whichincludes the nature and outcome o 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. In the case where an oral examination has previously been held the

Examination Committee report must recommend one o the ollowing:

(a) to proceed to a second oral examination

or

(b) to award the degree

or

(c) to award the degree ater specied minor corrections have been made to the thesis to the

satisaction o the Oral Examiner or Nominee, who may be the Main Supervisor, by a specied date

or

(d) not to award the degree.

Final Decision

p Ater considering all o the reports o the examiners and the Examination Committee the Board o

Graduate Studies will make the nal decision as to the award o the degree.

Copies or Deposit

q (i) On successul completion o the examination, candidates who rst registered in a PhD

programme prior to 1 January 2007 will be required to deposit either, three hardbound copies

o the thesis or, two hardbound copies and one digital copy o the thesis, corrected as may be

required, with the Graduate Centre. The degree will not be conerred until the candidate has

complied with this requirement.

(ii) On successul completion o the examination, candidates who rst registered in a PhD

programme on or after 1 January 2007 will be required to deposit two hardbound copies o

the thesis and one digital copy, corrected as may be required, with the Graduate Centre. The

degree will not be conerred until the candidate has complied with this requirement.

(iii) When two hardbound copies and a digital copy o 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.

Guideline36

r (i) The digital thesis deposited shall be ormatted as specied in the Guidelines on Formatting and

Submitting a Digital Thesis at The University of Auckland.

(ii) A thesis which is deposited in digital orm will be accessible through the Universitys digital

repository, unless embargoed under clause 24 o the Examination Regulations.

Guideline36


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Clause 10 Appeals

As to Registration

a Candidates, supervisors or Heads o Department may appeal against any decision o the Board oGraduate Studies made under Clauses 4, 5, 7 or 8 o this Statute, normally within three months o

the making o the decision, on the grounds that:

(i) relevant inormation which was not available to the Board o Graduate Studies at the time o its

making the decision has since become available

and/or

(ii) the procedure adopted in arriving at the decision was unair. The appeal must state clearly all

grounds relied on by the appellant and attach all relevant documentation.

b Any appeal made under Clause 10a will be considered by the Chair o the Board o Graduate

Studies, or their nominee, who may seek urther inormation relating to the grounds o the appealand shall notiy the candidate o such inormation beore making any decision. The Chair shall give a

written decision outlining the reason(s) or the decision. A decision:

(i) grounded on the lack o relevant inormation shall be nal

or

(ii) grounded on procedural unairness, may be urther appealed within six months ater the decision

is made, to the Vice-Chancellor (or nominee) whose decision shall be nal.

Guideline38

As to Examination

c I a PhD candidate believes that he or she has been signicantly disadvantaged by the examination

process, or by any part o the examination process, then a written appeal may be made to the Board

o Graduate Studies, setting out the grounds o the appeal. All relevant documents relied on must be

submitted with the appeal.

d Any appeal as to examination process must be lodged within three months o the result o the

examination being ocially communicated to the candidate. The appeal document must state clearly

all grounds relied on and include all relevant documents.

e In the case o appeals as to examination process:

(i) The Chair o the Board o Graduate Studies will undertake a preliminary investigation and

determine i there are grounds or the appeal to be taken to a urther stage.

(ii) I there are grounds or urther consideration o an appeal, this will be undertaken by two

members o the Board o 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 o the recommendation to the Vice-Chancellor and

will have the opportunity to respond to the recommendation.

(iv) The decision o the Vice-Chancellor will be nal and may involve a re-examination o the work.

Guideline38


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Clause 11 Dispute Resolution Procedures

a Disputes are to be resolved according to the Policy for Resolution of Research Problems: Postgraduate

Research Students.

Clause 12 Transitional Arrangements

a This Statute came into orce on 1 January 2008 and revoked the previous Statute or the Degree o

Doctor o Philosophy.

b For candidates initially registered under a previous statute, the Board o Graduate Studies may agree

to vary the application o the provisions o this Statute to ensure consistency with the provisions o

the statute under which the candidate was enrolled, where it is satised that the candidate would

otherwise be at a disadvantage.

Guideline39


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Guidelines

Please note that all o the orms and most o the documents reerred to below may be ound on the

Internet at www.postgrad.auckland.ac.nz and are also available in hard copy rom the Graduate Centre.

Eligibility

Guideline 1 Clause 2a

Where there is doubt about a candidates qualiying criteria, it is preerable to enrol that candidate in a

masters degree or an appropriate transitional course o study. Registration or a PhD may then be

considered at a later date should the candidates perormance prove satisactory.

Guideline 2 Clause 2a(iii)

A candidate may apply to convert an unnished masters thesis into a PhD thesis, where such a

conversion meets the criteria o Clause 1. Candidates will not be able to convert an unnished masters

degree to a PhD on the basis o taught coursework only. Candidates must appreciate that the ability to

convert an unnished masters thesis into a PhD thesis is not automatic, but is dependent on meeting the

ollowing criteria.

Candidates registered under this provision shall normally have achieved a minimum average o B+ or

the coursework component o their masters degree or postgraduate diploma under which they qualied

or admission to their masters. The Head o Department must certiy that the thesis work completed is

at the required honours level standard, and that the thesis topic is capable o being extended to a PhD.Once they have been awarded the PhD, candidates admitted under this Clause will not be permitted to

go back and complete the masters degree that they have converted.

Guideline 3 Clause 2a(iv)

This Clause allows the Board o Graduate Studies to admit suitably qualied people who do not strictly

meet the requirements o Clauses 2a(i) and 2a(ii). It particularly applies to:

Candidates who have an equivalent qualication rom another New Zealand university or rom an

overseas university.

Candidates who have qualied or admission to the Degree o Bachelor o Medicine and Bachelor o

Surgery and have undertaken the equivalent o at least 30 points o research work.

Candidates registered or the Degree o Doctor o Philosophy at another university who wish to

complete at this University. These candidates are required to withdraw rom registration at the other

university and to provide the Board o Graduate Studies with a statutory declaration concerning the

nature and extent o the research done and the supervision received at the other university.


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Guideline 4 Clause 2b

In order to meet this requirement intending candidates need to have successully undertaken a

substantial research project. Masters degrees comprised wholly or primarily o coursework will not

usually satisy the research requirement or PhD admission. Students are normally required to haveundertaken the equivalent o at least 30 points o research work prior to undertaking doctoral research.

As part o this requirement, candidates must have demonstrated a high level o prociency in the

English language.

Guideline 5 Clause 2c

For a candidate to be considered or admission under Clause 2c, the Department needs to make a case

in writing to the Board o Graduate Studies providing evidence o the nature, quality and relevance o

the research experience and any other supporting evidence, such as publication record.

Admission


The new PhD degree application process combines the ormer admission, registration and enrolment

processes and will be available electronically rom mid-2008 onwards on the University website.

Candidates will be asked to provide documentation electronically during the application process.

Candidates whose qualiying degree was conerred by another university need to apply to have their

qualications assessed by the University as part o this application process.

Registration

Guideline 7 Clause 4b, see also Clauses 5a, 5b

The purpose o Provisional Registration is to enable the Board o Graduate Studies to conrm the ability

o the candidate to complete a PhD satisactorily and to provide guidance to the candidate regarding

the rate o progress expected.

Guideline 8 Clause 4c, see also Clause 4h

NZVCC Guidelines

Active participation in and support rom an active research community is an essential part o the PhD

process, and the Head o Department and the Main Supervisor have particular responsibility or

ensuring that this is provided. The Board o Graduate Studies, in accordance with the New Zealand Vice-

Chancellors Committee guidelines on this matter, requires candidates to be ormally associated with a

teaching Department or School so as to encourage this active participation. Head o Department

means the academic head o a Faculty, School, Department or Research Institute.


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Guideline 9 Clause 4d, see also Clauses 1b, 4e, 4f, 7d

Procedures and Guidelines for Off-Campus Registration

This Clause would normally apply to employees, such as academics or scientists, who are required to

carry out research as part o their duties. Candidates need to provide a letter rom their employerstating the term and nature o the ull-time employment and expressing support or the candidates

registration. The letter must also state the nature o the research support being provided by the

employer, which may include assistance with supervision and access to appropriate research acilities.

Guideline 10 Clauses 4f, 7b, see also Clause 4d


Conditions o non-resident candidature are outlined in Procedures and Guidelines for Off-Campus

Registration.

Guideline 11 Clause 4g

A candidate must seek approval or concurrent registration rom the Board o Graduate Studies at the

time o registration or re-enrolment.

Guideline 12 Clauses 4h(i)c, 5a, see also Clause 4b

The ollowing provisional goals are required o all candidates:

Completion o a ull thesis proposal. This should normally be completed in the rst 6 months.

Provision o a substantial piece o written work e.g. the literature review. This should be completed

within the rst 12 months.

Presentation by the student o the proposal and/or work in progress to an appropriate orum e.g.

seminar, research group, conerence, to the satisaction o the supervisors.

Approval o the ull thesis proposal by the appropriate departmental/aculty postgraduate committee.

Ethics approval(s)/permissions obtained or the research (i required).

Attendance at one o the Doctoral Skills Programme Induction Days.

Other provisional goals may be added and should be realistically and specically ramed to provide a

clear indication at the end o the year o the candidates ability to complete the PhD satisactorily. The

goals should be measurable, and provide tangible evidence o satisactory progress in candidates

research during the rst year. Suitable goals could include achievements such as the completion o a

chapter or chapters, the initial development and testing o models, the completion o preliminary eld

work and collection o eld data.


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Guideline 13 Clause 4h(ii)b

Statement of Resources and Support for PhD Research

The minimum levels o resources and acilities the Department must provide are outlined inStatement of

Resources and Support for PhD Research.

Guideline 14 Clause 4h(iii)

To ensure that candidates undertaking interdisciplinary projects are not disadvantaged in terms o

supervision and resources, one Department must be clearly designated as the primary Department in

which the candidate is registered.

Guideline 15 Clause 4k

Fees Statute

Payment o ees is always required rom the Date o Registration, which will be the rst day o the

calendar month. This should be taken into account when recommending a registration date. For those

candidates who have applied or and have been awarded a doctoral scholarship, payments may

commence only when the registration procedure has been completed, and will be payable rom the Date

o Registration.

Guideline 16 Clause 4l, 4m, 4n

Guidelines on Thesis Supervision

The Main Supervisor must have a contractual obligation to provide adequate supervision and is

normally a member o the academic sta o a Department or School in which the candidate isregistered. Honorary sta members are not eligible to be the Main Supervisor.

Sta on xed term agreements who have the likelihood o unding or the expected period o supervision

may be appointed as Main Supervisors. In such circumstances, the Co-supervisor should not be on a

xed term agreement, in order to maximise stability o supervision. The student should be made aware

o the situation prior to provisional registration. Sta on xed term agreements appointed as Main

Supervisors should be inormed that appointment as a Main Supervisor does not imply or give any

expectation o permanent employment.

Co-supervisors or advisers will normally be members o the academic sta o The University o Auckland

or o another tertiary institution, or ull time members o sta o an appropriate research organisation.

Co-supervisors are expected to be active in assisting the Main Supervisor in the supervision o the

candidate. Advisers, on the other hand, are expected to assist candidates and supervisors by providing

support and advice when they are requested.

An advisory committee should normally consist o not more than six members, including the supervisors.

Its role is to meet at least once a year with the candidate to review and provide guidance on the

progress and content o the research. This meeting may take the orm o the candidate presenting a

seminar to the committee and receiving written eedback.

It is expected that all supervision will be conducted in accord withSenate Guidelines on Thesis Supervision.


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Reviews o Registration

Guideline 17 Clauses 5a, 5b, see also Clause 4b, 4h(i)c

Advice regarding the need to complete the Doctoral Provisional Year Review report orm will be provided

to students and supervisors by the School o Graduate Studies or provisionally registered candidates

prior to the anniversary o their Date o Registration. Candidates should note that this orm diers rom

the Annual Report orm used in subsequent Annual Reviews.


Studies on the provisional report. Candidates and sta are advised that extensions o Provisional

Registration may be granted or periods o 3-6 months i additional time is necessary in order to

complete the provisional goals. Such additional time will be approved ollowing due consideration o the

circumstances. Where candidates clearly ail to meet the requirements o Provisional Registration, it is

expected that termination o their registration will be recommended.

Guideline 18 Clause 5d, see also Clauses 5e, 5f

The candidate should be given an opportunity to make written submissions to the Board o Graduate

Studies on the annual report.

Advice regarding the need to complete the Annual Report orm will be provided by the School o

Graduate Studies or conrmed candidates prior to the anniversary o their Date o Registration. The

Head o Department then orwards the report to the Associate Dean (Postgraduate) who in turn

orwards it to the Board o Graduate Studies.

Reports must be completed in ull, and should enable the Board o Graduate Studies to make a reliable

assessment o the progress o the research. For candidates in their third or ourth year o registration aschedule o work still remaining should also be provided, with a timetable or its completion.

Enrolment and Fees

Guideline 19 Clause 6

Fees Statute

In the rst year o candidature, ees will be charged rom the Date o Registration to the end o that

academic year. In each subsequent year, candidates are required to pay ees or the ull academic year

(currently 1 March to 28 February) in accordance with the Clauses below. Upon submission o the thesis,

a candidate will be reunded the appropriate proportion o the tuition ees paid or that year. These eesare payable or each year o enrolment at the beginning o that year.

Guideline 20 Clause 6f

Fees Statute

Where candidates are required to undertake coursework as part o their PhD registration, the tuition

ees or their thesis will be reduced by the amount o ees payable or the required courses. Heads o

Department are advised that addition or alteration o required courses to a candidates registration

requires the approval o the Board o Graduate Studies and to accompany their recommendation with


29/36


an appropriate justication. There is no examination ee. Candidates should be aware that ees may

increase rom time to time during the period o the candidates course o study. GST is included in all ees.

Changes to the Conditions o Registration

Guideline 21 Clause 7a, see also Clause 10

During the progress o the PhD it may become necessary to change various conditions o registration,

such as the topic or supervisor/s. Generally, all changes require the consent o the Board o Graduate

Studies, ater receiving a recommendation rom the Head o Department in consultation with the Main

Supervisor. The normal procedure is or the Head o Department to ll out the appropriate orm or send

a memo to the Associate Dean (Postgraduate) o the Faculty. It will then be orwarded, via the Graduate

Centre, to the Board o Graduate Studies or consideration.

Heads o Department are advised that recommendations should always be accompanied by detailed

reasons in support o the change. Recommendations that contain inadequate inormation will bereturned with a request or satisactory inormation to be provided.

Appeals regarding any decision made by the Board o Graduate Studies should be carried out using the

Appeals Procedures outlined in Clause 10.

Guideline 22 Clause 7b, see also Clause 4f


Absence rom the University is acceptable provided that it is or a clearly specied period o time, that it

is to pursue eld work, laboratory work, or research, and that there are suitable supervision

arrangements or the duration o the absence. More inormation can be ound in Procedures andGuidelines for Off-Campus Registration.

Guideline 23 Clause 7c, see also Clauses 4l, 4m, 4n

Guidelines on Thesis Supervision

As ar as practicable, changes in supervision due to leave or retirement should be anticipated by the

advance appointment o a Co-supervisor able to take over the role o the Main Supervisor.

When supervisors retire, it is oten desirable that they continue to be involved in the supervision o their

PhD candidates. The Board o Graduate Studies will normally approve such involvement when

candidates are likely to complete within a year or two and the retired supervisor is willing and able toassist candidates in their research. A new Main Supervisor should be appointed i the retiring supervisor

holds that position. In each case, the candidate, the retired supervisor, the Main Supervisor and the

Head o Department must consent to the new supervision arrangement.

Guideline 24 Clause 7d, see also Clause 1b

A change to part-time candidature will be approved only when the candidate can show good reasons or

not being able to work ull-time on their PhD. Changes rom ull-time to part-time or rom part-time to

ull-time will only be permitted at the time o re-enrolment.


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Guideline 25 Clause 7f

A suspension is a concession granted by the Board o Graduate Studies to avoid disadvantaging a

candidate in terms o time when they are unable to continue their research or a specied period.

When recommending a suspension, the Head o Department needs to stipulate not only the reasons,

but the time required, and should comment on the possible eects o interruption on the viability o

the research.

Suspensions or incapacity arising rom illnesses or accidents will normally be approved, as will those

arising rom events such as childbirth or bereavement. Appropriate evidence o incapacity, such as a

medical certicate, needs to be provided with the recommendation. Requests to suspend because o

other work or personal commitments may also be considered, but part-time enrolment may be more

appropriate in such cases.

Suspensions will not normally be approved or less than 3 months or more than one year at a time.

Where it is necessary, a urther period o suspension may be granted. Because periods o suspension

may be harmul to the quality o research and hinder satisactory completion, ater three years o

suspension it is more appropriate to recommend termination. Where the incapacity has no clearly

oreseeable conclusion, or is likely to persist or more than three years, it is more appropriate to

recommend that the registration be terminated.

When appropriate an approved period o suspension may be shortened, but where it becomes apparent

that a candidate has continued to engage in research during a period o suspension the suspension will

be revoked and ees charged.

Guideline 26 Clause 7g

Candidates whose registration has been terminated will not normally be permitted to resume in the

same subject at a later date.

Submission


Guide to Theses and Dissertations

Examination Regulations (Clauses 22, 23)

For details concerning the layout o theses candidates should consult their supervisor/s and the

University Librarys Guide to the Presentation of Theses, and are advised to consult The Preparation andStyle of Manuscripts published by Auckland University Press.

The Guide to Theses and Dissertations is available ree o charge rom the Library and the Graduate

Centre.

It is important that candidates consult with their supervisor/s about any specic departmental

requirements or the preparation and style o theses.

Candidates will normally be allowed to submit additional material, such as CD-ROMS and audio

cassettes, with their theses provided that such material is accompanied by a declaration, signed by the

candidate and the Main Supervisor and endorsed by the Head o Department. This declaration is to

detail the content o the additional material, explain how it is related to the thesis, and state that it doesnot contain any direct appeal to the examiners.


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The attention o candidates and sta is drawn to the Examination Regulations printed in the Calendar

concerning PhD theses and abstracts.

Reerence to publications arising rom the thesis research may only be made in the text and bibliography

or by incorporating the papers in the thesis itsel.

Guideline 28 Clause 8c

The advance notication o submission is intended to allow time or the appointment o examiners in

order to minimise the time taken or examination. Examiners should be inormally approached by the

Main Supervisor who should obtain examiners agreement to complete their examination reports within

6-8 weeks.

Any statement regarding confict o interest will normally only be considered by the Board o Graduate

Studies prior to the appointment o examiners.

Guideline 29 Clause 8d, 8e

Declaration to Accompany a Doctoral Thesis on Submission

The approval o co-authors is required to satisy copyright laws. The recommended ormat and wording

or this declaration is available rom the Graduate Centre.

Guideline 30 Clause 4h(v), 8g, see also Clause 4p

A candidate who wishes to submit a thesis in a language other than English is required to request

permission to do so when applying to register or the Degree o Doctor o Philosophy. This request must

be accompanied by the recommendation o the Head o Department or both Heads o Departments in

case o a jointly supervised PhD. Candidates wishing to submit in te reo Mori should consult Clause 4p.

The Board o Graduate Studies will consider applications or theses to be submitted in a language other

than English on a case by case basis, and give permission only where it is satised that:

The eld o study and topic o the thesis make this essential.

Suitable examiners will be available or the examination o the thesis.

All examiners reports and recommendations will be submitted in English.

It is not a sucient reason or permission that the candidates rst language is not English.

Examination

Guideline 31 Clause 9c, see also Clauses 9a, 9b, 9d

Nominations o examiners are made to the Board o Graduate Studies by the Head o Department on

the advice o the supervisor/s, sending the appropriate orm via the Associate Dean (Postgraduate) o

the Faculty.

Formal requests to act as examiners are made by the School o Graduate Studies once the Board o

Graduate Studies has approved the nominations. Candidates should not expect to be involved in the

selection o examiners.


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Guideline 32 Clause 9d

It is not the intention o this provision to exclude the appointment o examiners who have had a minor

consultative role on some aspect o the candidates research.

It is expected that at least one o the external examiners will be resident outside New Zealand. As the

University is expected to provide travel and expenses or the Oral Examiner, nancial considerations

make it desirable that this examiner should normally be resident in New Zealand, or on the eastern

seaboard o Australia. Departments will be required to assist with the travel expenses o examiners rom

urther aeld, or when the costs exceed the amount budgeted or an examination.

Guideline 33 Clauses 9f, 9j, 9o

At no stage should candidates be provided with copies o the examiners reports. The only exception to

this is that the School o Graduate Studies may, i requested by the candidate, release the examiners

reports subject to the agreement o all examiners and the Dean o Graduate Studies, and only ater theexamination process is completed.

Where any corrections or revisions are necessary, the Head o

phd statute guidelines

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