Doctoral Candidates - Including Publications in a Thesis Policy and Procedures (2011/2016 PhD Statutes/General Regulations only)

This document applies to PhD candidates governed by a PhD Statute other than that which came into effect on 1 October 2020, and to MD and DClinPsy candidates governed by the 2016 General Regulations for Named Doctorates. All other PhD, MD and DClinPsy candidates should consult the Doctoral Thesis Policy and Procedures.

To outline the procedures which must be followed in order to include publications in a doctoral thesis. This document is to be read in conjunction with the PhD Statute Regulations 1g-i. It is supported by Doctoral Candidates – Including Publications in a Thesis Guidelines.

1. All work included in a PhD or DClinPsy thesis must have been undertaken under supervision for the degree.

2. In order for a publication to be included in a thesis, the candidate must have written all or the majority of the text and be the lead author.

3. The thesis must be a coherent whole and publications included in the thesis must therefore be integrated by the effective use of linking passages.

Co-authorship agreements

4. For a co-authored publication to be included in a thesis, the candidate must be the lead author.

5. If work reported in the thesis has been published jointly, then the agreement of the co-authors to the inclusion of the work in the thesis must be obtained.

6. These agreements and the signed co-authorship form/s must be obtained before submission of the thesis for examination.

7. The co-authorship form/s must be included in the copy of the thesis sent to the examiners, and in the final copy deposited in the University Library.

8. The forms must be placed directly after the acknowledgements page.

Publisher approvals/third party copyright agreements

9. The candidate must secure permission from the publisher to include that work in their thesis.

10. The candidate must meet any publisher requirements, e.g. including a statement and electronic link with the publication.

11. Lists of publishers’ approvals and third party copyright agreements, if any, must be included in the thesis.

12. The lists of publishers’ approvals must make reference to the article, the publisher’s name and the page number where the article appears in the thesis.

13. The lists must be included in the examination copies and in the final copy deposited in the University Library.

14. Lists must be placed after the acknowledgements page and after any co-authorship form/s.

Formatting

15. Candidates must not include in their thesis a reproduction of an entire published copy, whether in print form or electronically as a pdf.

Note: This is to ensure that the thesis is presented in a consistent format so that examiners and other readers of the work are not distracted by formatting inconsistencies.

The following definitions apply to this document:

Doctoral candidates are candidates who are enrolled in a doctoral degree at the University.

Lead author means the candidate must have written all or the majority of the text and must have their contribution to the publication confirmed by all co-authors as no less than 65%.

Publications include any work that has appeared in a journal, book or other publication, and any work submitted or accepted for publication but which had not appeared at the time of submission of the thesis. Publications include ‘traditional’ hard copy works, such as books and journal articles, and works that only appear in digital form.

University means Waipapa Taumata Rau, the University of Auckland and includes all subsidiaries.

Include the following:

• PhD Statute
• MD regulations
• 2016 DClinPsy regulations
• Doctoral Candidates – Including Publications in a Thesis Guidelines
• Co-Authorship Form

Owner: Dean of Graduate Studies
Content manager: School of Graduate Studies
Approved by: Board of Graduate Studies, Senate and Council
Approval date: 19 September 2022
Review date: 19 September 2027