PhD - Including Scholarly Creative Work Policy and Procedures

Applicants and candidates wishing to present scholarly creative work as part of the thesis requirement for the PhD at the University of Auckland, and the (proposed) supervisors and academic units of applicants and candidates.

This policy and associated procedures do not apply to candidates governed by a PhD Statute other than that which came into effect on 1 October 2020.

To specify the policy and procedures that apply to the presentation of scholarly creative work as part of the thesis requirement for the PhD at the University of Auckland.

General requirements

1. Candidates who are permitted, in accordance with this policy and the procedures below, to present scholarly creative work as part of the thesis requirement for the PhD, are subject to the PhD Statute and all policies and procedures cited therein, including the Doctoral Thesis Policy and Procedures, which should be read in conjunction with this policy.

2. A PhD thesis is required to be a substantial presentation of the outcome of an original and coherent doctoral research project. The thesis must situate the doctoral research in the broader framework of the disciplinary field(s) of study.

3. The PhD thesis requirement must be satisfied by a cohesive written document. Scholarly creative work (written or otherwise) that forms an integrated whole with the written document may, subject to this policy and the procedures below, be submitted for examination as part of the thesis requirement.

4. All PhD research projects must involve enquiry that is experimental and/or critical in nature and be driven by an intellectual hypothesis, position, problem or question(s) capable of being rigorously explored and of making an original and significant contribution to knowledge and/or understanding in the relevant field(s) of study. All PhD research projects must be capable of satisfying the criteria stipulated in Regulation 6 of the PhD Statute.

5. The PhD research undertaken, and the work submitted for examination in fulfilment of the PhD thesis requirement, must present an integrated as well as rigorous approach to the intellectual hypothesis, position, problem or question(s) required under clause 4.

6. The scholarly creative work that may, subject to clause 3 of this policy, be presented as part of the thesis requirement for the PhD may comprise more than one mode of scholarly creative practice.

7. The scholarly creative work that may, subject to clause 3 of this policy, be submitted as part of the thesis requirement includes, but is not limited to, written fiction or creative nonfiction, performance, exhibitions and/or artefacts (such as images, composition, designs, models, structures, digital media).

8. For the avoidance of doubt, and the requirements of clause 5 notwithstanding, the written document (excluding any scholarly creative writing submitted as part of the thesis requirement) remains the primary presentation of the outcome of the PhD research project, and the primary examinable output in relation to the criteria at Regulation 6 of the PhD Statute, regardless of the scale or variety of the scholarly creative work submitted for examination as part of the thesis requirement.

9. Creative practice that forms part of the research process and/or generation of material for analysis but which is not itself assessable as (part of) the presentation of an original and significant contribution to knowledge and/or understanding may be reported in the thesis but is not appropriate for submission for examination as part of the thesis requirement.

10. Applicants seeking to present scholarly creative work as part of the thesis requirement must detail how their proposed projects will be consistent with clauses 3-9 above and clause 17 or 18 below.

11. Subject to clause 13, permission to present scholarly creative work as part of the thesis requirement must be sought at the time of application for programme admission.

12. The presentation of scholarly creative work as part of the thesis requirement for the PhD may have significant resource implications. The availability of appropriate resources for the conduct of the research and examination (where examiners are to attend a performance or exhibition of scholarly creative work) are the responsibility of the academic unit and must be declared by the applicant at the time of application and considered by the Academic Head before the Academic Head makes a recommendation as to programme admission under clause 13f of the PhD Statute.

* To avoid doubt: this requirement does not preclude access to PReSS funds in accordance with the PReSS account policy and procedures. PReSS funds are not permitted to contribute to the costs of examiner attendance at performances/exhibitions.

13. Only in exceptional circumstances as approved by the Board of Graduate Studies (or delegate), and only with the permission of the Board of Graduate Studies (or delegate), may scholarly creative work be introduced into a doctoral research project after programme admission and prior to the outcome of the confirmation of candidature review process.

14. Scholarly creative work may not be introduced to a doctoral research project post confirmation of candidature.

15. Permission to present scholarly creative work as part of the thesis requirement for the PhD is provisional until confirmed through the confirmation of candidature process.

16. Candidates who are permitted, in accordance with this policy and the procedures below, to present scholarly creative work as part of the thesis requirement, must ensure that their projects remain consistent with clauses 3-9 above and clause 17 or 18 below.

Length

17. Where non-written and/or written scholarly creative work (other than a novel, or part thereof, exceeding 40,000 words) is to be presented as part of the thesis requirement for the PhD, the length of the written document submitted in fulfilment of the thesis requirement, excluding any scholarly creative written work, must be approximately 60% of the disciplinary norm (at the University of Auckland) for PhD thesis length where scholarly creative work is not presented as part of the thesis requirement.

18. Where scholarly creative work in the form of a novel (or part thereof) exceeding 40,000 words is to be presented as part of the thesis requirement for the PhD:

a) the length of the written work submitted for examination, excluding all scholarly creative written work, must be approximately 60% of the disciplinary norm (at the University of Auckland) for PhD thesis length where scholarly creative work is not presented as part of the thesis requirement.

b) the 100,000 word limit at clause 11 of the Doctoral Thesis Policy and Procedures does not apply where a single written document comprising all examinable components is presented in fulfilment of the thesis requirement.

Supervision

19. Where scholarly creative work is to be submitted as part of the thesis requirement, the appointment of the supervision team for the doctoral research project is subject to the Doctoral Supervision Policy and Procedures and the following requirements:

a) The main supervisor, or at least one of the joint supervisors, must have a PhD or a substantial publication record deemed appropriate by the Board of Graduate Studies (or delegate)

and

b) At least one member of the supervisory team must have extensive professional experience in the relevant area of creative practice to the satisfaction of the Board of Graduate Studies (or delegate).

Application for admission

20. PhD applicants seeking to present scholarly creative work as part of the thesis requirement must complete the PhD Including Scholarly Creative Work: Statement of Research Intent at the time of application for programme admission.

Eligibility

21. To be admitted to the PhD programme and granted provisional approval to present scholarly creative work as part of the thesis requirement for the PhD, applicants are required to satisfy the admission clauses of the PhD Statute and clauses 22-26 of these procedures.

22. Applicants with a relevant bachelor honours or masters degree from the University of Auckland (or a relevant equivalent qualification), which is 50% or more comprised of creative practice, must have achieved:

a) at least the equivalent of a B+ average at the University of Auckland in the overall degree

and

b) at least the equivalent of a B+ average at the University of Auckland in the equivalent of at least 60 points (50% of a full year of study) of non-creative practice courses at postgraduate level in a relevant discipline, including a non-creative practice research component of at least 30 points or equivalent (25% of a full year of study) in a relevant discipline completed to the equivalent of at least B+ standard at the University of Auckland.

23. The Board of Graduate Studies (or delegate) may approve an individual bridging programme at the University of Auckland for the purpose of providing an applicant with an opportunity to satisfy clause 22b of these procedures.

24. Applicants must have training and/or professional experience in the relevant area of creative practice to a level deemed appropriate by the Board of Graduate Studies (or delegate).

25. Equivalence and relevance at clauses 22 and 24 of these procedures are determined by the Board of Graduate Studies (or delegate).

Research project approval

26. The Board of Graduate Studies (or delegate) must be satisfied that the proposed research project is consistent with clauses 3-9 and clause 17 or 18 of the above policy.

27. The confirmation milestones for a candidate presenting scholarly creative work as part of the thesis requirement for the PhD must include one or more milestones, proposed and approved in accordance with the Doctoral - Confirmation of Candidature Policy and Procedures pertaining to the progress of relevant scholarly creative practice research.

28. In order for candidature, and permission to present scholarly creative work as part of the thesis requirement, to be confirmed, a candidate must satisfy the Doctoral - Confirmation of Candidature Policy and Procedures and must

a) within their full thesis proposal:

• identify the intended examinable format of the scholarly creative work to be presented as part of the thesis requirement
• detail how the total work submitted for examination will form an integrated whole in terms of research project, research process and presentation of research outcome(s)
  and

b) present, in fulfilment of the “substantial piece of written work” confirmation milestone, a satisfactory draft literature review or methodology chapter, or other satisfactory piece of draft thesis material that does not include scholarly creative work

and

c) satisfy the confirmation review committee, through performance in the creative practice confirmation milestone(s), full thesis proposal, presentation, and in discussion with the committee, as to the candidate’s ability to undertake creative practice research at doctoral level and as to the project’s capacity to meet the requirements of clauses 3-9 and clause 17 or 18 of the above policy

and

d) where resource needs have changed from the time of programme admission, secure the revised resources, or the approval of a viable resourcing plan, from the Academic Head.

29. The outcome of the confirmation review will be determined by the Board of Graduate Studies (or delegate) in accordance with the Doctoral - Confirmation of Candidature Policy and Procedures.

Submission formats

30. Scholarly creative work must be submitted for examination as part of the thesis requirement in one or more of the following formats:

• as print material integrated with the written document into a complete thesis document
• as a digital recording that can accompany the written document
• as a single live performance and/or exhibition of an artefact, a digital recording of which must also be made and submitted, for reference purposes, along with the written document.

31.

a) The candidate must arrange for all performances and/or exhibitions being presented for examination to be recorded.

b) The candidate must ensure that the quality of the digital recordings at clause 30 is appropriate for the purposes of the examination process.

Note: Candidate attention is drawn to clause 37 below.

32. If a performance or exhibition is presented for examination as a digital recording, the candidate must articulate their role in the digital recording and editing process in accordance with clause 22 of the Doctoral Thesis Policy and Procedures.

33. The candidate must gain the permission of any co-producers of the digital recording of the work and record it in accordance with clause 22 of the Doctoral Thesis Policy and Procedures.

Examination of live performance/exhibition

34. The attendance of the PhD examiners and the Academic Head (AH) Nominee must only be required at one live performance and/or exhibition, irrespective of the number of components of scholarly creative work presented as part of the thesis requirement.

Note: Examiner and/or AH Nominee attendance at the live performance and/or exhibition may be virtual or physical.

35. The academic unit must organise the live performance and/or exhibition and attendance by the examiners and the AH Nominee, and bear the costs associated with attendance by those persons.

36. Examiners attending any live performance and/or exhibition must not confer with each other or any other person on the candidate’s work.

37.

a) Where the scholarly creative work was submitted for examination in the form of a live performance and/or exhibition, and one or more further or replacement examiners is/are appointed under clause 22 of the Doctoral Examination Procedures, the cohesive written document and the digital recording of the live performance and/or exhibition will comprise the “submitted work” for the replacement/further examiner under the Doctoral Examination Procedures.

b) Where the scholarly creative work was submitted for examination in the form of a live performance and/or exhibition, and it is necessary for the Board of Graduate Studies (or delegate) to appoint a replacement AH Nominee in the course of an examination, the cohesive written document and the digital recording of the live performance and/or exhibition will comprise the “submitted work” for the replacement AH Nominee under the Doctoral Examination Procedures.

38. Normal schedules and protocols for PhD examinations must not be impacted by the timing of the live performance and/or exhibition examination. This precludes the possibility of combining the oral examination with the live performance and/or exhibition examination.

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

40. Where the scholarly creative work presented as part of the thesis requirement is in a format distinct from the written document, the candidate may make the two submissions sequentially rather than simultaneously, provided that:

a) all work is submitted for examination within a six-month period, except where otherwise approved by the Board of Graduate Studies (or delegate)

and

b) all work is submitted by the maximum date allowed under Regulation 7 of the PhD Statute or by the maximum date approved by the Board of Graduate Studies (or delegate) pursuant to the extension provisions of that regulation.

The following definitions apply to this document:

Academic Head refers to the head of the relevant academic unit or their nominee for the purposes of doctoral matters.

Academic Head (AH) Nominee refers to the staff member appointed to the Academic Head Nominee role under the doctoral examination procedures Academic unit may refer to a faculty, Large Scale Research Institute (LSRI), school or department.

Confirmation milestones are the activities that a candidate must complete, to the satisfaction of the named party or at the required standard, in order to be confirmed in their doctoral programme.

Joint supervisors are the two supervisors who share responsibility for the supervision of a candidate. At least one of the joint supervisors must be a University staff member.

Main supervisor is the lead supervisor who takes primary responsibility for the supervision of a candidate.

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.

Include the following:

• PhD Statute
• Doctoral - Confirmation of Candidature Policy and Procedures
• Doctoral Supervision Policy and Procedures
• Doctoral Thesis Policy and Procedures

Content manager: School of Graduate Studies
Owner: Dean of Graduate Studies
Approved by: Board of Graduate Studies, Senate and Council
Date approved: 11  December 2023
Review date: 11  December 2028