Doctoral Thesis Submission Pre-Examination Procedures

PhD, DClinPsy, DHSc,  DMedSc, EdD and MD candidates who are governed by programme regulations that came into effect in or after 2020.

• All other doctoral candidates must satisfy the submission requirements as stipulated in the applicable programme regulations.

To specify the procedures that apply to the submission of work in fulfilment of the thesis requirement within the PhD, DClinPsy, DHSc, DMedSc, EdD and MD programmes at the University.

Timing of submission

1. All work to be examined in fulfilment of the thesis requirement must be completed in accordance with the applicable programme regulations and submitted in accordance with the duration clauses of the applicable programme regulations.

2. Where scholarly creative work is submitted as part of the thesis requirement for the PhD, the submission is subject to the PhD Including Scholarly Creative Work Policy and Procedures as well as these procedures.

3. PhD candidates seeking permission to submit the examinable work for the degree, and EdD and DHSc candidates seeking permission to submit the thesis, 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 thesis for submission

Note: The PhD Statute, the EdD and the DHSc regulations preclude submission where a candidate has been enrolled for less than 24 months (FTE) in the thesis component.

4.

a) DMedSc and MD candidates, who are not drawing on research conducted prior to enrolment in the programme and who are seeking permission to submit the thesis prior to 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
• a submission from the supervisor as to the candidate’s statement and as to the readiness of the thesis for submission.

Note: The DMedSc and MD regulations preclude submission of the thesis where a candidate has been enrolled for less than 24 months and is not drawing on research completed prior to enrolment in the programme.

b) DMedSc and MD candidates seeking permission to submit the thesis after 12 months of enrolment (“early submission”) must provide for consideration by the Board of Graduate Studies (or delegate):

• details of their use of research conducted prior to enrolment in the programme
• a submission from the supervisor as to the candidate’s statement and as to the readiness of the thesis for submission.

Note: The DMEdSc and MD regulations preclude submission of the thesis where a candidate has been enrolled for less than 12 months, and where a candidate has been enrolled for less than 24 months and is not drawing on research completed prior to enrolment in the programme.

5. 
a) PhD candidates must normally submit applications under item 3 via the “Early Thesis Submission” form in Wahapū. Where Wahapū is unavailable, the application is to be submitted in accordance with item 5(b) of these Procedures.

b) Named doctorate candidates, and PhD candidates who do not have access to Wahapū, must submit applications under items 3 and 4 via email to the School of Graduate Studies at doctoraladvice@auckland.ac.nz

6.   Applications under items 3 and 4 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.

Notification of submission

7.  Three months prior to the intended date of submission of the work for examination:

a) PhD candidates must submit the “Intention to submit” form via Wahapū. Where Wahapū is unavailable, item 7b applies to PhD candidates.

b) Named doctorate candidates, and PhD candidates who do not have access to Wahapū, must notify the School of Graduate Studies (via email to the School of Graduate Studies at doctoraladvice@auckland.ac.nz) of their intention to submit.

Submission

8.  All documentation to be examined in fulfilment of the thesis requirement must be submitted in digital form. 

a) PhD candidates must normally submit the documentation via Wahapū.

Note: Where Wahapū is unavailable, the candidate must contact the School of Graduate Studies at doctoraladvice@auckland.ac.nz for instructions.

b) Named doctorate candidates must submit the documentation in accordance with the web drop-off process detailed by the School of Graduate Studies in response to the candidate’s emailed notification of intention to submit the work for examination.

9.  As part of the submission the candidate must complete the thesis declaration form, which applies to the entirety of the work being submitted for examination in fulfilment of the thesis requirement. 

a) PhD candidates must normally complete the thesis declaration form in Wahapū. Where Wahapū is unavailable, item 9(b) applies to PhD candidates.

b) Named doctorate candidates, and PhD candidates who do not have access to Wahapū, must use the Doc 7 form to complete the thesis declaration.

10.  The supervisor may comment (normally via Wahapū)  to the School of Graduate Studies on the submission. Any such comment will be made visible to the candidate (via Wahapū or on request) but not to examiners.

11. 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.

12. No submission may proceed to examination without complying with the Doctoral Thesis Policy and Procedures and, where applicable, with the PhD Including Scholarly Creative Work Policy and Procedures.

The following definitions apply to this document:

Candidates, for the purposes of these procedures, are candidates for the PhD or DClinPsy or DHSc or DMedSc or EdD or MD degree, who are governed by programme regulations that came into effect in or after 2020.

FTE is an abbreviation for Full Time Equivalent.

Supervisor refers to the (acting) main supervisor or to a joint or co-supervisor.

Thesis is a substantial presentation of the outcome of an original and coherent doctoral research project. It situates the research in the broader framework of the disciplinary field(s), and entails a cohesive written document.

University means the University of Auckland and includes all subsidiaries.

Wahapū is the University’s online doctoral candidature management system.

Include the following:

• PhD Statute
• Doctoral Thesis Policy and Procedures
• PhD Including Scholarly Creative Work Policy and Procedures

Owned by: Pro Vice-Chancellor Global and Graduate Research
Content manager: School of Graduate Studies
Approved by: Board of Graduate Studies, Senate and Council
Date approved: October 2021
Reviewed date: December 2024
Next Review date: December 2029