Doctoral Thesis Submission Post-Examination Procedures

Application

Doctoral candidates governed by programme regulations that came into effect in or after 2020.

Purpose

To specify the procedures that apply with regard to the submission of theses post examination for the award of a doctoral degree at the University of Auckland.

Procedures

1. Where the decision of the Board of Graduate Studies (or delegate) is that no degree be awarded, the work submitted for examination is not permitted to be held in the University library or digital repository and is not eligible for submission under these procedures.

2. Where the decision of the Board of Graduate Studies (or delegate) is that the candidate be invited to fulfil the requirements for the award of the MPhil degree:

a) the thesis is not eligible for submission under these procedures

and

b) the final submission requirements of the MPhil Procedures apply in the event that the candidate accepts the invitation to fulfil the requirements for the award of the MPhil degree.

3. Where the decision of the Board of Graduate Studies is that the doctoral degree be awarded, all documentation submitted for examination (other than as part of the coursework component of named doctorates) must be submitted in digital form to ResearchSpace within one month of the final version being approved (post examination) pursuant to the Doctoral Examination Procedures and (where applicable) the DocFA Submission and Examination Procedures.

4. A candidate may apply, at the time of final submission, to embargo the examined work, normally for a maximum of two years, if it contains confidential and sensitive material that would:

  • breach prior contractual arrangements with outside organisations

and/or

  • prevent or jeopardise an application for a patent, licence, or registration

and/or

5. A candidate may apply at the time of final submission, to embargo the examined work, normally for a maximum of one year, if there are plans to publish all or part of the examined work, and public access will jeopardise the author’s intellectual property rights.

6. 
a) PhD candidates will normally complete the processes at items 3-5 via Wahapū. Where Wahapū is unavailable, the candidate must complete the process in accordance with item 6(b) of these Procedures.

b) Named doctorate candidates, and PhD candidates who do not have access to Wahapū, must:

i) notify the School of Graduate Studies, via email to sgs-exams@auckland.ac.nz, of their submission to ResearchSpace at the time of their submission under item 3.

ii) use the Thesis Embargo form to apply, via email to sgs-exams@auckland.ac.nz, to embargo a thesis under item 4 or 5.

7. A statement from the supervisor is required as part of an application under items 4 or 5.

8. Applications to embargo the examined work will be determined by the Pro Vice-Chancellor Global and Graduate Research (or nominee).

9. All other post-examination requirements stipulated in the relevant named doctorate regulations must be met in order for the relevant named doctorate to be awarded.

Definitions

The following definitions apply to this document:

Candidate, for the purposes of these procedures, refers to a person who has had all work for the relevant doctorate successfully examined.

ResearchSpace refers to the University of Auckland research repository.

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

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

Key relevant documents

Includes the following:

Document management and control

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: December 2021
Reviewed date: December 2024
Next Review date: December 2029