DocFA Submission and Examination Procedures

Doctor of Fine Art (DocFA) candidates governed by programme regulations that came into effect in 2022.

Note: DocFA candidates governed by earlier programme regulations should consult the relevant programme regulations.

To specify the procedures that apply to the submission and examination of the creative work and supporting thesis within the DocFA.

Submission

1. All work to be examined for the DocFA must be submitted in accordance with the duration clauses of the DocFA programme regulations.

2.

a) Subject to clause 2b, DocFA candidates seeking permission to submit the examinable work for the degree prior to completion of 36 months of full-time equivalent programme enrolment (“early submission”) must supply for consideration by the Board of Graduate Studies (or delegate):

• a statement detailing how the candidate’s rate of progress was achieved, including average weekly hours worked during any periods of part-time candidature
• confirmation that all candidate work undertaken for the research project was undertaken during enrolment for the degree
• a submission from the supervisor as to the candidate’s statement and as to the readiness of the creative work and supporting thesis for submission on academic grounds only.

Note: The DocFA programme regulations preclude submission where a candidate has been enrolled for less than 24 months (FTE).

b) Where the creative work takes the form of an examiner-attended exhibition and/or performance, a candidate has permission from the Board of Graduate Studies (or delegate), under this clause, to submit the supporting thesis after 35 months of full-time programme enrolment without provision of further information for consideration under clause 2a.

Note: The supporting thesis is required to be submitted one month prior to an examiner-attended exhibition and/or performance.

3. Applications under clause 2a must normally be made via the “Early Thesis Submission” form in Wahapū.

Note: Where Wahapū is unavailable, application must be made via email to the School of Graduate Studies.

4. Applications under clause 2a may be approved by the Board of Graduate Studies (or delegate) on academic grounds only. A candidate’s personal circumstances are not grounds for consideration for early submission.

5. Where the creative work is presented for examination in the form of an examiner-attended exhibition and/or performance:

a) The supporting thesis must be submitted in digital form in accordance with clauses 10-11 below one month prior to commencement of the exhibition and/or performance.

b) The candidate must arrange for the exhibition and/or performance to be digitally recorded and submitted to the School of Graduate Studies to maintain for the duration of the examination process.

Note: Candidate attention is drawn to clauses 6, 8, 17b and 24b below.

c) The attendance of the two examiners and the Academic Head (AH) Nominee at the exhibition and/or performance may be virtual or physical and must be limited to a single live event.

d) Persons involved in the examination process are prohibited from conferring on the candidate’s work while in attendance at the exhibition and/or performance.

e) The academic unit must organise the exhibition and/or performance, and bear the costs associated with the attendance of the examiners and the Academic Head (AH) Nominee.

6. The candidate must ensure that the quality of the digital recording at 5b is appropriate for the purposes of these procedures.

Note: Purposes include the substitution of the digital recording for examiner attendance at the exhibition and/or performance under clause 24b and/or clause 26.

7.

a) Where the creative work is presented for examination in the form of an audio, visual, digital or other recording or documentation, both the creative work and the supporting thesis must be submitted simultaneously in digital form.

b) The candidate must arrange for the recording/documentation of their work under clause 7a and ensure that the quality of the digital recording/documentation is appropriate for the purposes of these procedures.

8.

a) The candidate must articulate their role in the recording/documentation of their work in accordance with clause 22 of the Doctoral Thesis Policy and Procedures.

b) The candidate must gain the permission of any co-producers of the recording/documentation of their work and supply it in accordance with clause 22 of the Doctoral Thesis Policy and Procedures.

9. Three months prior to the intended date of submission of the supporting thesis, the candidate must submit the “Intention to submit” form via Wahapū.

a) Where examiners are to attend an exhibition and/or performance, the notification must include details of the date and venue for approval by the Board of Graduate Studies (or delegate).

b) Where Wahapū is unavailable, the candidate must notify the School of Graduate Studies via email.

10. All digital material required for submission under clause 5a and clause 7a above must be normally be submitted through Wahapū.

Note: Where Wahapū is unavailable, the candidate must complete an equivalent digital submission process as stipulated by the School of Graduate Studies.

11. As part of the digital submission process, the candidate must complete the thesis declaration form, which applies to the entirety of the examinable work including any exhibition and/or performance.

12. The supervisor may comment to the School of Graduate Studies on the submission. Any such comment will be visible to the candidate but not to examiners.

13. All submissions are subject to review by the School of Graduate Studies who may reject a submission that does not meet the requirements of these procedures.

14. No submission may proceed to examination without complying with the Doctoral Thesis Policy and Procedures and the DocFA programme regulations.

Examination

15. Two examiners will be appointed by the Board of Graduate Studies (or delegate) in accordance with the Doctoral Appointment of Examiners Policy and Procedures.

16. The Academic Head will appoint a nominee (hereafter the ‘AH Nominee’), who will serve on the Examination Committee (where convened) and on the Oral Examination Committee (where an oral examination is held).

• The AH Nominee will have knowledge of the general field of the work submitted for examination, but not necessarily of the specific topic, and will normally be a staff member of the University.
• The Academic Head and the AH Nominee must not have been involved in the supervision or preparation of the work submitted for examination.
• The Academic Head and the AH Nominee must not have a personal or business relationship with the candidate or a close personal relationship with an examiner or member of the candidate’s supervisory team.

Examiner Reports

17. Where the creative work takes the form of an examiner-attended exhibition and/or performance, each examiner will be provided with:

a) a digital copy of the thesis at least ten working days prior to (virtual or physical) attendance at the exhibition and/or performance

and

b) access to a digital recording of the creative work post the exhibition and/or performance, for reference purposes, upon request to the School of Graduate Studies.

18. Where the creative work does not take the form of an examiner-attended exhibition and/or performance, each examiner will be provided with digital copies of the creative work and supporting thesis.

19. After any attendance at an exhibition and/or performance, each examiner must examine, and provide a written report on, the creative work and supporting thesis in relation to the criteria outlined in Regulation 8b of DocFA regulations.

20. Examiners must contact the School of Graduate Studies immediately if they consider they may have a conflict of interest.

21. Examiners are not permitted to communicate with each other about the examination before they have submitted their reports.

• This includes a prohibition on conferral regarding the work while in attendance at any exhibition and/or performance.

22. Neither the supervisors nor the candidate may communicate with the examiners regarding the examination at any stage of the examination process except as permitted pursuant to these procedures.

• If an examiner is contacted by someone other than a member of the School of Graduate Studies in relation to the examination, the examiner must refer the matter to the School of Graduate Studies.

23. Examiners must report on the work submitted or resubmitted for examination in its entirety, including material which may have been previously refereed for publication.

• Examiners are at liberty to disagree with the conclusions of peer review processes.

24. The examination will proceed in accordance with clauses 9-55 of the Doctoral Examination Procedures, except that where one or more further or replacement examiners is/are appointed under clause 22 of the Doctoral Examination Procedures:

a) the further or replacement examiner(s) will examine the submitted work as per clauses 19-23 of these DocFA Submission and Examination Procedures and clauses 9-10 of the Doctoral Examination Procedures (instead of clauses 3-10 of the Doctoral Examination Procedures).

and

b) where the creative work took the form of an examiner-attended exhibition and/or performance, the digital recording of the exhibition and/or performance will, together with the supporting thesis, comprise the submitted work for the replacement/further examiner(s).

25. Where a candidate proceeds to oral examination, the oral examination is to be held in accordance with the Doctoral Oral Examination Procedures.

26. Where it is necessary to replace the AH Nominee in the course of an examination and where the creative work took the form of an examiner-attended exhibition and/or performance, the digital recording of the exhibition and/or performance will, together with the supporting thesis, comprise the submitted work for the replacement AH Nominee.

27. Where an academic unit requests an in-person oral examination, the academic unit is responsible for the costs of that oral examination.

Submission (post examination)

28. The final successfully examined and approved thesis, together with a digital record of the final successfully examined and approved creative work, must be submitted in accordance with the Doctoral Thesis Submission Post-Examination Procedures in order for the requirements of the DocFA degree to be met.

29. Where the decision of the Board of Graduate Studies (or delegate) at the conclusion of the examination process is that the degree not be awarded, the work submitted for examination is not permitted to be held in the University library or digital repository.

The following definitions apply to this document:

Academic head is the head of the relevant academic unit or their nominee for doctoral matters.

Candidates are candidates for the DocFA degree at the University; candidature commences upon enrolment in the doctoral programme and concludes when the requirements for the degree are met or confirmed as not having been met, except where candidature is terminated or expires or a candidate withdraws prior to completion of the degree.

DocFA Programme Regulations refers to the regulations for the DocFA degree as contained in the University calendar for the year in which the candidate commenced their DocFA enrolment.

Submitted work refers to the creative work, whether presented for examination in the form of an examiner-attended exhibition and/or performance or in a digital recording submitted together with the thesis, and to the supporting thesis. It includes recordings made of exhibitions and/or performances where such recordings are utilised within the examination process.

Thesis refers to the thesis that supports the creative work.

University means the University of Auckland and includes all subsidiaries.

Include the following:

• PhD Statute
• Doctoral Examination Procedures
• DocFA programme regulations

Owner: Dean of Graduate Studies
Content manager: School of Graduate Studies
Approved by: Board of Graduate Studies, Senate and Council
Approval date: December 2021
Review date: December 2024