Doctoral Candidates - Including Publications in a Thesis Guidelines


Application


Doctoral candidates at the University who wish to include publications as part of their theses

Purpose


This document provides further information for doctoral candidates wishing to include publications as part of their theses. Mandatory policy and procedures can be found in the document Doctoral Candidates – Including Publications in a Thesis Policy and Procedures

Background


The 2011 PhD Statute and the MD regulations allow doctoral candidates to include publications as part of their theses. There is no requirement that candidates must include any publications in their theses

Guidelines


Revisions to published work

  • Candidates are not required to include a publication in its entirety, and may choose to enhance or update it prior to inclusion in the thesis

 

Number of publications

  • There is no requirement as to the number of publications that can be included in a thesis
  • It is recommended that candidates discuss disciplinary norms and expectations with their supervisor/s

 

Co-authorship

  • Co-authored papers may be included if the candidate was the lead author

 

Publication rights

  • Candidates are encouraged to seek the publisher’s permission to include a work in their thesis at the time the work is accepted for publication
  • If the publisher does not agree to this, candidates may wish to withdraw their work from consideration, and submit it to a publisher that allows publications to be included in theses
  • The publisher’s agreement is not usually needed if a candidate reports their contribution to a published work with due reference to the published paper, but does not include the work in their thesis
  • There is no requirement as to the ranking of the journal in which the candidate’s work appeared

 

Formatting

  • The graphical elements of published articles such as diagrams, tables and photographs may be included provided the reproduction of these is of an acceptable quality

 

Examination

  • Candidates should be aware that the inclusion of one or more publications in a thesis does not alter the University’s examination processes. The thesis is examined as a whole and examiners are therefore at liberty to disagree with the findings in a published paper and to require revision to published work

 

 

Definitions


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 the University of Auckland and includes all subsidiaries
 

Document management and control


Owner: Dean of Graduate Studies

Content manager: School of Graduate Studies

Approved by: Dean of Graduate Studies

Approval date: October 2015

Review date: October 2018