Submission and examination
- Submission
- Examination
- Dean's List of Exceptional Doctoral theses
- Finalisation of examination result
- Public record
- Graduation
- Appeals
Further detailed information regarding the submission and examination process is available in the ‘Handbook for Doctoral Examination Convenors’ available on the GRS website.
Submission
Candidates must submit four bound copies of the thesis in book format for examination. It is recommended that these be either spiral bound or hot melt bound rather than hard bound for the examination process. Candidates may either submit their theses to the GRS in Palmerston North, or to campus Contact Offices at Auckland or Wellington campuses. Alternatively, theses may be mailed/couriered directly to the GRS. The documentation of publicly presented components in creative and performing arts must be submitted in an appropriate format. At submission a receipt will be issued.
The Doctoral examination application proforma 
DRC 4 Application to be examined for a doctoral degree (32 KB)
needs to accompany the submission, but should not be bound into the thesis. This proforma must be completed by the candidate and supervisor and signed by the Head of Academic Unit. The GRS cannot commence the examination process without receipt of this completed form. Note: Sign off of the thesis by the supervisor does not guarantee a successful examination. Students are responsible for the content and quality of their thesis, and by the time of submission, students are expected to have exceeded their supervisors in the knowledge of their thesis topic.
A citation prepared by both the supervisor and candidate, highlighting the significant outcomes of the research must also be submitted electronically to the GRS. These notes will be used for the graduation programme and/or a press release. The citation policy and examples of good citations can be viewed on the GRS website.
Providing the supervisor has submitted the nomination of the proposed examiners, and the DRC have approved these, the thesis will normally be dispatched within a day of receipt to the examiners. The overseas examiner’s copy is sent by airmail and will not be returned unless a confidentiality agreement is associated with the thesis, or if the thesis is under embargo. Candidates must advise the GRS of an impending embargo at the time of submission.
For the creative arts disciplines, the process varies according to the form the creative component embodies.
Student Allowances and Living Costs for Domestic Students
It is the Ministry of Education regulation that Student Allowances and Living Costs are intended for students who are "enrolled in a full-time course at a tertiary provider or secondary school and meets the attendance and performance requirements of that provider or school for tuition" (Section 12c(1)). Once a doctoral student has submitted their thesis, they no longer satisfy the ‘full-time’ requirement and therefore will be ineligible for further payments from StudyLink.
Examination
The Doctoral thesis is examined by an examination committee consisting of an internal examiner, who shall normally be a member of the academic staff of the University not involved in the candidate’s research, and two external examiners, one of whom will normally be from outside New Zealand. This committee also has a neutral convenor appointed by the DRC.
There are two parts to the examination. First the three examiners write independent thesis assessment reports. These are sent to the GRS who forwards copies to the examination convenor. Then the candidate has an oral examination with the committee members who have by then all seen each other’s reports. The overseas examiner is not normally in attendance, but is invited to ask questions and give comments in his/her written report which are raised by other members of the committee.
For the creative arts disciplines, the candidate will hold an exhibition/installation/performance after the exegesis has been received by the examiners. The examiners will then write a thesis assessment report examining both the exegesis and exhibition/installation/performance, and finally attend an oral examination.
For performances spread over a period of time arrangements will be made for examiners to attend the critical performers.
Appointment of examiners
About two months before the thesis is submitted, the supervisor after consultation with the co-supervisor(s) should nominate the internal and two external examiners. The supervisor must give the candidate the opportunity to suggest both suitable and unsuitable examiners, however the candidate should not know the identity of the examiners until all three written thesis assessment reports have been received. Likewise, examiners’ should not know one anothers’ identity until all three written thesis assessment reports have been received by the GRS.
The timing of the nomination is critical. If examiners are appointed too soon before the thesis is submitted, it may be that changed circumstances affect their availability or ability to assess the thesis promptly, so delaying the examination process. On the other hand, if the nomination is left too late, the submitted thesis will have to be held in the GRS waiting until examiners are appointed.
The examiners should be senior in experience to the candidate, should not have been involved in supervisory or significant advisory roles in relation to the candidature, and should not have been involved with the candidate on research projects during the candidature. External examiners should not have been a recent student within the Academic Unit concerned and would normally be associated with an academic institution, or be eminent and well respected specialists in their field.
Where it might not be possible to find either a suitable New Zealand examiner, or a suitable overseas examiner, the DRC will consider a case for the appointment of either two New Zealand examiners or two overseas examiners. If two overseas examiners are appointed, then one of the examiners will be asked to participate in the oral examination, via tele-conference.
When considering potential examiners, the supervisor should bear in mind that the nature of the course and examination for the Doctoral degree is not always fully understood by people in other countries.
The supervisors should consult a member of the DRC if they have any concerns regarding the suitability of a proposed examiner.
Before officially nominating examiners, the supervisor should contact them unofficially and ask them whether they will agree to be examiners. In particular they should ask them whether they could examine the thesis within the suggested time of six to eight weeks from receipt of the thesis. Formal application for the appointment of external examiners is to be made by the supervisor to the DRC using proforma DRC 5 Nomination of examiners (33 KB)
.
When the DRC has approved the nominations, the GRS will write and formally invite the nominees to be examiners. They will be sent a copy of the thesis when it is submitted, together with advice on the nature of the examination procedures and the expected format of their report. An honorarium is paid to external examiners.
Examiners' thesis assessment reports
All three examiners are required to write an independent report on the thesis and to make a recommendation of assessment. This material is sent directly to the GRS. Examiners should write their reports in the strictest confidence. Neither the thesis nor any part of it shall be given to any other persons, for any purposes whatsoever. If an examiner finds that he/she is not qualified to comment on certain technical aspects, then he/she should seek the approval of the GRS to ask the opinion of someone who has the appropriate expertise.
Examiners who require clarification on any point of procedure should seek direction from the GRS.
Thesis assessment reports can vary from a few pages to a lengthier document. The content of reports will vary according to the nature of the thesis and the conventions relevant to the appropriate discipline, but examiners are also asked to make observations on matters common to all theses (refer to proforma DRC 6.1 Notes on the preparation of Examiner's Report (44 KB)
). Thus examiners are asked for general comments on whether:-
- The candidate shows familiarity with, and understanding of, relevant literature.
- The thesis provides a sufficiently comprehensive study of the topic.
- The research questions have been identified.
- The methods adopted are appropriate to the subject matter and are properly applied.
- The research findings are suitably set out and accompanied by adequate exposition.
- The quality of English and general presentation is of very high standard.
- The thesis as a whole makes an original contribution to the knowledge of the subject with which it deals, and the candidate understands the relationship of the thesis to the wider context of knowledge in which it belongs.
For the creative arts disciplines (refer to DRC 6.6 Guidelines for Examiners of Doctoral Thesis Involving Creative Works (46 KB)
), examiners should also comment on whether:-
- The methods and techniques applied in the execution of the work are appropriate to the subject matter and are aesthetically effective, and properly applied.
- The creative work demonstrates a sufficiently high standard of literacy, visual, digital, musical, or performance quality, and is presented in a professional manner.
- The research questions have been identified and tested through the creative work.
- There is an appropriate and substantive synthesis between the creative work and the written exegesis.
Examiners’ reports list what mandatory or recommended changes should be made to the thesis before it is regarded as of an acceptable standard for the award of the degree.
Examiners’ reports should generally note the areas where the candidate might be questioned in the oral examination. The overseas examiner must list such questions in detail.
To accompany their report, each examiner also makes an initial recommendation of assessment on form DRC 6.2 Thesis assessment recommendations (25 KB)
, that may be modified consequently upon the outcome of the oral examination.
The list of possible recommendations at this stage is the same as that which is used for the oral examination committee’s joint recommendation after the oral examination (see Determining the result)
In the event of a recommendation for a fail, the examiner should indicate whether they believe an oral is appropriate. In such cases the DRC will be responsible for making the decision based upon the recommendations from the examiners, as to whether or not to proceed with the oral examination at this stage, or to fail the candidate. It is not anticipated that such situations will be common. However, they may prevent a situation occurring where it is unrealistic in terms of time and/or cost for the candidate to conduct more research to bring the thesis to an acceptable standard. At this stage the DRC may also opt to seek the view of an additional person in order to resolve any significant disagreements between examiners, either as an adjudicator or as a fourth examiner.
Role of convenor before the oral examination
Upon receipt of all three examiners written thesis assessment reports, the GRS appoints an independent examination convenor, who is not associated with the discipline related to the thesis topic. The convenor’s role is to be responsible for all communications and reports made in the name of the DRC and to oversee the whole examination process to make sure that it is conducted fairly and properly. Convenors are supplied with a flow chart to keep a check on their duties (proforma DRC 8 Examination convenor's flow chart (29 KB)
).
The GRS send electronic copies of the examiners’ written thesis assessment reports to the convenor. If the reports are not received by the GRS within eight weeks of posting the thesis the GRS will send a reminder letter to the examiner(s).
When the convenor has received all three written reports, these are made available to the examiners prior to arranging the oral examination. The GRS will forward the reports to the supervisor 24 hours before the start of the oral examination.
These reports are strictly confidential to the examination committee, at this stage, and are not to be revealed to the candidate or anyone else.
The GRS is responsible for arranging the oral examination. This involves deciding if a tentative place, date and time are convenient to the examiners, candidate, supervisor(s) and convenor. The formal arrangements for the examination must be made by the GRS (including travel arrangements for examiners), and normally are confirmed in writing via email.
Any expenses incurred by the New Zealand examiner at the time of the oral examination are submitted to the GRS together with their contract, following the oral examination. The GRS will arrange for reimbursement of expenses to be made and payment of the examination fee.
Any expenses for the attendance of an off-campus co-supervisor at the oral examination shall be borne by the Academic Unit, not the DRC.
In the case of the creative and performing arts disciplines, the GRS, working with the convenor, are responsible for ensuring the examination of the exhibition/installation/performance is facilitated.
In cases where two overseas examiners have been appointed to the examination committee, (in the absence of a suitably qualified New Zealand examiner), one overseas examiner may be brought to New Zealand. The DRC will meet part of the expenses, but it is often more appropriate for teleconference or videoconference facilities to be used.
A convenor should also either meet with the candidate or telephone the candidate a few days before the examination to advise him/her about the examination procedures that will be followed.
The presentation of a seminar by the candidate on the same day as the oral examination is not permitted, nor should any such seminar be given in the presence of the external examiner(s) or the convenor.
Oral examination
The candidate, the internal examiner, the New Zealand examiner, and the convenor are the required participants in the oral examination. The supervisor and co-supervisors may attend the examination but they do not have any formal status with regard to the outcome of the examination.
The oral examination typically lasts for one and a half to two hours, or sometimes longer. It is not a formality and even in situations where a clear pass is anticipated it gives the candidate a chance to elaborate further on the thesis and to ‘shine’.
In some universities, the oral examination has been dispensed with altogether, or made optional only for difficult cases. Massey University has maintained the convention, believing it to be a most constructive aspect of the examination process, and one which gives candidates an opportunity to demonstrate to recognised experts an understanding of the thesis work, to respond directly to concerns and criticisms raised by examiners, and to display a general knowledge of the subject area. It is a convention that helps to maintain the highest international standards for Doctoral programmes, and this has been acknowledged by external audit committees. Successful candidates are well assured that their work has truly stood the test of a thorough examination process.
Determining the result
The examination committee, with the guidance of the convenor, is asked to reach a consensus of opinion by making a recommendation on the examination result to the DRC following due consideration of the thesis assessment reports and the oral examination.
For the creative arts disciplines, the examiners would also consider the exhibition/installation/performance.
The examination committee makes its choice following the oral examination from the following options:
- Pass without emendation
The thesis is of an acceptable standard for the award of the Doctoral degree and should be passed without amendment.
or - Emendments required
The candidate is required to complete emendations to the satisfaction of specified examiner(s) but is not required to have a re-examination. The candidate will have a maximum of six months full time or nine months part time to complete the emendations and during this time the candidate will not be required to pay tuition fees. If the candidate does not complete the emendations to the satisfaction of the specified examiner(s) within the stipulated time, the candidate will be failed. In this case a candidate shall not be permitted to be re-examined.
In this case the examiners, or a delegated examiner will prepare a list of the required emendations, in consultation with the convenor. The convenor will advise the candidate in writing, the nature of the reworking and/or emendations required, and advise who will approve the emendations and what time frame the candidate has to complete the emendations.
or - Further research and re-examination required
The thesis shall be re-examined following the completion of further research and/or revisions. Such an examination shall be in accordance with the Doctoral examination regulations. An oral examination may be requested by the examiners. A candidate may only revise and re-submit a thesis for re-examination once. The candidate will have a maximum of one-year full time equivalent or 18 months part time to conduct the required additional research and/or revisions. The candidate must re-enrol and pay tuition fees (see Fees). If the candidate does not complete the revisions to the satisfaction of all the examiners, and within the specified time, the candidate will be failed. In this case a candidate shall not be permitted to be re-examined.In this case the examiners’ will prepare a list of the required further research and revisions in consultation with the convenor. Any further research and revisions must be able to be completed within 12 months full time equivalent or 18 months part time.
If the required revisions are such that they cannot be completed within these timeframes the candidate should be failed. The convenor will outline to the candidate in writing, the nature of the further work required. Supervisory changes may be made by the DRC following appropriate consultation. The DRC however, shall not have the power to change the name or nature of the thesis unilaterally.
When the candidate has completed the necessary research and rewriting, the thesis must formally be resubmitted and a new examination will be arranged. This may involve the appointment of one or more new examiners; where possible, however, the same examination panel will be used. The candidate must submit with the revised thesis, a concise summary of the main changes made with their page/location. For the creative and performing arts disciplines, the candidate may be required to complete a second exhibition/installation/performance of the creative works.
or - Fail
The thesis is not of a standard acceptable for the award of the Doctoral degree and that the degree should not be awarded. The candidate shall not be permitted to apply for re-examination.
If the examination committee can readily come to a consensus, say within half an hour, then the candidate can be invited back into the room and be informed unofficially of the recommended result. If the candidate has passed, he/she should be advised that the result cannot officially be approved until the recommendation of the examiners has been approved by the DRC.
If reaching a consensus is going to be difficult and long, the candidate should be advised that the convenor will communicate the result when all the deliberations have been concluded. In most cases examination committees reach a consensus fairly readily.
Where a consensus cannot be reached readily, it may be necessary to have further negotiations with the examiners. The final decision is not achieved by voting, but by negotiating a position acceptable to all examiners.
Candidates' and supervisor's access to the examiners' reports
Examiners’ reports are provided to facilitate the examination process and the approval of a final result, and are not primarily intended as feedback to candidates and supervisors. Candidates will normally be permitted to see the full reports under the names of the respective examiners, but this will occur only if the examination process is not compromised in any way by the release of the reports in this form. Unnecessarily derogatory or inappropriate comments may be deleted before the release of the reports.
Supervisors will receive copies of the examiners’ reports in an appropriate form within 24 hours before the start of the oral examination. Candidates will receive copies of the examiners’ reports in the same form after the completion of the examination as follows:
If the candidate is awarded a pass without amendment, the candidate should be given copies of the released examiners’ reports at the conclusion of the oral examination, or as soon as a decision has been reached thereafter. It is the responsibility of the convenor to see that the candidate receives these reports.
Candidates who have to make amendments, rewrite sections, or rewrite and resubmit the thesis as a whole, should be given copies of relevant sections of the examiners’ reports to assist them. If the convenor deems it appropriate, copies of the three reports as released to the supervisors can be given to the candidate at that time.
If candidates have been given only sections of the reports at this time, the convenor should give them the released reports when the emendations/rewriting have been completed and the examination concluded.
Candidates are expected to complete the agreed changes specified by the examiners. When the amended thesis is resubmitted it must be approved by one or more of the examiners, as agreed post the oral examination. For minor emendations, the checking may be assigned to the supervisor.
If a candidate is failed outright, copies of the examiners’ reports as released to the supervisors, together with general written comments on the reasons for the failure are to be given to the candidate after the result has been approved by the DRC.
Supervisors and candidates should note that the examiners' reports are for information only and are confidential to them. Under no circumstances should examiners be contacted regarding the content of their reports.
Administrative follow on
At the conclusion of the oral examination the convenor will obtain a written and signed report from the examiners present which details their mutually agreed recommendation on the result (proforma DRC 10 Examination recommendations (31 KB)
). The convenor will send this to the GRS.
The convenor will also submit to the GRS a confidential written report on the conduct of the examination that will record any differences of opinion, including that of the overseas examiner. This report will conclude by making an overall recommendation to the DRC on the outcome of the examination.
Dean’s List of Exceptional Doctoral Theses
Candidate’s whose research is assessed by the examiners as being of exceptionally high quality, may be considered for inclusion on the Dean’s List. Candidate’s who are approved for the Dean’s List will receive a certificate, and have the award noted on their academic record and in the Graduation handbook. Criteria for a candidate’s thesis to be considered are as follows:
- That the thesis is in the top ten percent of Doctoral theses in its field.
- That all examiners have indicated in their reports that the thesis as originally submitted for examination was of exceptional quality in every respect: including research and analytical content, originality, quality of expression and accuracy of presentation.
- The thesis is passed without any requirement for more than minor editorial changes. These would be in the nature of minimal typographical errors or subtle points of grammar, but would not extend to alterations which add or remove information, or which alter an interpretation or conclusion.
- That the candidate performed well at the oral.
- That the candidate submitted their thesis before or by their official submission date, without having to apply for an extension to their study.
The Dean of the Graduate Research School reserves the right to vary these conditions in exceptional circumstances.
Finalisation of examination result
The DRC, at their monthly meeting, will consider the Thesis Assessment Reports, the recommendation of examiners after the oral examination, and the convenor’s confidential examination report.
If the thesis is recommended for a pass without emendation, the DRC will approve the award of the degree subject to receipt of two hard bound copies and one digital copy of the thesis by GRS.
If the examination is continuing, the award of the degree will be approved subject to the emendations being satisfactorily completed and receipt of two hard bound copies and one digital copy of the amended thesis by GRS.
If a re-examination is recommended the aforementioned steps will not occur until a further round of Thesis Assessment Reports and the Examiners’ recommendation are received and considered by the DRC. At this point the examination outcome may be either pass or a fail.
Public record
After the examination has been completed two ‘hard bound’ copies and one digital copy of the thesis must be deposited with the GRS before a final result can be recommended to the DRC. The digital copy must be on a CD-ROM in either word or PDF format. The paper and digital copies must be accompanied by a declaration signed by the candidate, stating that the paper and digital copies are the same. One hard bound copy and the digital copy are deposited in the university library for public record. The paper copy is placed in the vault for security; the digital copy will be lodged permanently in the University’s digital repository for reference. Theses which have been embargoed will be made available only after the date stipulated by the candidate on the embargo form and approved by Massey University. The second hard bound copy is deposited with the candidate’s Academic Unit.
Candidates often present their supervisor(s) with a courtesy copy, but this is not mandatory.
Graduation
The GRS will send successful candidates the web link for the online application form for the conferment of the degree. Candidates have the choice of graduating at a Massey University graduation ceremony (either in person or in absentia), or have their degree awarded in absentia at a meeting of the University Council (the Council meets monthly). This application form also has details on the hire of appropriate academic dress to be worn at the graduation ceremony, which are generally held in either April (Auckland), May (Palmerston North and Wellington) and November (Palmerston North).
Appeals
An appeal may be allowed on the basis of a procedural irregularity in the examination process only. If a procedural appeal is lodged, the Vice-Chancellor will appoint a mediator to help resolve any issues. If the basis of the appeal cannot be resolved, an Ad hoc Appeals Committee will be established by the Vice-Chancellor. The main function of this Committee is to ensure that the examination was conducted thoroughly in all aspects, and that there were no irregularities.
Students may use the University Grievance Procedures for any appeals not based on examination procedural irregularities. The University Calendar sets out the process to be followed. In all cases, before any formal process is invoked, mediation will be used in the first instance to help resolve any issues. The failure of a thesis is not in itself grounds for a grievance.
Applications for an appeal or grievance must be made within three months of formal notification of the examination result by the GRS, and can be made by either the candidate, supervisor, or Head of Academic Unit.
Note: The dissatisfaction of a final result can not form the basis of an appeal or grievance. Examination results are a consensus decision formed by three independent examiners, and the outcome is final.
