Doctoral life cycle
Current doctoral students
The life cycle of doctoral study takes you from conditional enrolment through to confirmation of enrolment, and covers the necessities of annual re-enrolment and progress reporting.
There is also information for those who are considering studying off-campus, or for international candidates who plan to travel overseas while enrolled.
We encourage all research degree candidates to become familiar with the code of conduct that relates to research.
If you have any questions regarding doctoral study, email our School of Graduate Research staff, who will be more than happy to chat over your options with you.
The conditional enrolment period is usually for six months of full-time equivalent study. During this time you will work to develop your full research proposal. Ethical approval for your research is also sought during this period, if required.
It is the responsibility of your research supervisor(s) to advise you on ethical matters and to ensure that any necessary approvals are granted before you embarks on your actual research.
Master of Philosophy (MPhil) students do not have a period of conditional enrolment as their initial research proposal, which must include an ethics statement, forms the basis for approval to enrol in an MPhil degree.
The research proposal
The research proposal forms the basis for the research project. Its development should be a major part of your early work (usually six months full-time or 12 months part-time for doctoral study).
A well-prepared research proposal generally increases the likelihood of timely completion of the research qualification.
Guidelines for preparing a full research proposal
The full research proposal should contain the following minimum components:
- Working title
- Outline of significance of topic (e.g. its importance for advancing knowledge in the field/discipline or regions and/or implications for methodology or understanding)
- Literature review in a form consistent with practices of the discipline
- Statement of the research questions or hypotheses
- The methodologies that will be used to investigate the questions or hypotheses (if appropriate)
- How the data will be analysed
- Thesis outline
- Any resource requirements
- Timetable for research and thesis writing, including dates when key objectives should be met
- A statement concerning the requirement for any ethical approvals and a copy of that approval having been granted by the Division/School
If you are enrolled in a Doctor of Musical Arts (DMA), Doctor of Education (EdD), Doctor of Health Science (DHSc), Doctor of Juridicial Science (SJD) there may be additional requirements to reaching confirmed enrolment. You can find these on our Qualification page.
During development of the proposal, consideration should also be given to implications for intellectual property and confidentiality matters which might lead to a request to embargo the thesis.
At the end of the conditional enrolment period, you will present their research proposal to your Division/School and apply to reach confirmed enrolment.
- Guide to Preparing a Full Research Proposal for Confirmed Enrolment
- Confirmed Enrolment Presentation Guidelines
Research support
Availability of resources
The resources that you may require during your study are managed by Divisions/Schools. These may include:
- Office space and furniture
- Electronic facilities
- Financial support for research related costs
Academic Support
There is a range of academic support available to postgraduate students, we have given some key places to go for support:
- CeTTL
- Library
- Mai Ki
- Pacific Support
- PGRD
Additional Papers in PhD programme – 60pts initiative
PhD students (both domestic and international) are eligible to apply to enrol in additional papers, up to 60 points, during their enrolment. Papers are subject to approval by the Division/School and the Dean of the School of Graduate Research and must be relevant to your studies.
In some circumstances, the costs of the additional paper(s) may be covered by your School. We would advise you to discuss the financial arrangements with your supervisory panel before applying.
Confirmation of enrolment
At the end of six months full-time equivalent enrolment, you will be required to apply to reach confirmed enrolment and present your full research proposal.
The School of Graduate Research will send you and your supervisors an email outlining the process of applying for confirmed enrolment.
Overview of the key steps of applying for confirmed enrolment
- Agree on a date, time and venue for your confirmation presentation with your Chief Supervisor. Your Chief Supervisor will invite the Confirmation of Enrolment panel.
- Log-in to Moodle and follow the Confirmed Enrolment steps to upload your full research proposal and download your Turnitin report.
- Complete an Application for Confirmed Enrolment and send this to your Chief Supervisor along with a copy of your full research proposal and Turnitin report, at least one week prior to your presentation.
- Give an oral presentation of your full research proposal to a Confirmation of Enrolment panel. This panel comprises of: your supervisors, Head of School and the Associate Dean (Postgraduate) within the Division.
The School of Graduate Research encourages you to complete the steps in Moodle well ahead of time, so your Chief Supervisor can discuss any concerns with you prior to your oral presentation.
You or your Chief Supervisor will need to take your Application for Confirmed Enrolment Form to your presentation. Following your presentation, your application and full research proposal will be submitted to the School of Graduate Research.
At your confirmed enrolment presentation, one of the following options will be recommended:
a. that the student proceed to confirmed enrolment because satisfactory progress has been
made and the student has demonstrated sufficient ability to proceed, or
b. that the student revise and resubmit their confirmed enrolment presentation, or
c. that the student withdraw from the doctoral programme due to an identified lack of ability,
or
d. that the student transfer to the MPhil, MEd or LLM degree as appropriate.
If your full research proposal has not been submitted and approved within the first nine months of full-time equivalent enrolment, then there may be a recommendation that your enrolment in doctoral study be terminated.
As a normal requirement of the University, all students must re-enrol for study each year. For all higher research degree students this happens on the anniversary of first enrolment in the degree, although periods of suspension may lead to an adjustment to the date of annual re-enrolment.
Annual re-enrolment is conditional upon the student and the student's Chief Supervisor submitting progress reports every six months.
A student is required to be enrolled continuously for the entire period of their enrolment, up to the submission of the thesis for examination, unless approval has been granted for a suspension.
Students will receive a re-enrolment message in MyWaikato one month prior to the expiry of their current enrolment period, which will direct them to re-enrol online through MyWaikato.
It is a requirement for continued enrolment in doctoral and MPhil degree study at the University of Waikato that all students complete six-monthly progress reporting, whether they are under full-time or part-time enrolment.
Reporting starts at varying stages, dependent on the qualification:
- PhD/DMA/MPhil students report six-monthly from the start of their programme of study
- EdD/SJD/DHSc students report six-monthly during Part 2 of their programme of study
A link to the online progress reporting system will be available in MyWaikato at the start of the month in which the progress report is due.
Students are expected to provide an assessment of their previous six months work, and a plan for the following six months work.
The report will move automatically through the online system as each participant submits their part, starting with the Student Evaluation. From there the report will move on to the Chief Supervisor, then the Supervisor/s followed by a Student Acknowledgement. Each report will be endorsed by the Head of School and Associate Dean (Postgraduate).
Completed reports are processed by the School of Graduate Research and a final PDF copy will be available in MyWaikato.
Reports which evaluate the student as performing "below expectations" will be brought to the attention of the Dean of the School of Graduate Research.
Students who have any concerns affecting their ability to make full comments in their progress report, should preferably approach the Head of School or the Associate Dean (Postgraduate), or if necessary the School of Graduate Research in confidence, to discuss those concerns.
How to submit a PhD, DMA, EdD, SJD, DHSc or MPhil thesis
The School of Graduate Research will send you an email at least one month prior to your submission due date to outline the submission process.
You will need to complete a Submission for Examination form and submit your thesis for examination via Moodle. Full and detailed instructions are provided in Moodle:
a. Provide a 250-word thesis abstract summary
b. Upload your thesis and download a Turnitin report
c. Email your Chief Supervisor with the following:
- Submission for Examination form
- Turnitin report
- A copy of your final thesis
- Embargo application (if applicable)
Your Chief Supervisor will complete the Submission for Examination form and return it to you to upload with your final thesis on Moodle.
A thesis submitted for examination is in partial fulfilment of the requirements for the degree, when approval has been given to submit a thesis for completion, it will be in fulfilment of the requirements for the degree.
If the Chief Supervisor considers that the thesis is not ready for submission, their reservations should be explained to the student and attached in writing to the Submission for Examination Form as a Statement of Reservations. The student will be required to certify that these reservations have been sighted by countersigning the Statement of Reservations.
Please note that you must be fully enrolled before you will be able to submit your thesis.
Where a thesis is used as a final report to a collaborating organisation, it is not forwarded to that organisation until it has been formally accepted in fulfilment of the requirements for the award of a higher degree by the University. That is, once the examination process is complete and the student has submitted the thesis for completion of the degree.
Additional requirements for the DMA
DMA students are required to submit the final full-length (90 minutes) research-based public recital for Part 1 which will be assessed by a panel appointed by the University at the recommendation of the Convenor of Music consisting of an internal moderator (who is not the student's supervisor) and two external examiners of international repute. Overseas examiner(s) will receive a recording of the final performance.
Additional requirements for a PhD with a Creative Practice Component
A PhD which includes a creative practice component is an alternative to the traditional PhD by thesis. This model is an option for students who intend to integrate a creative practice component such as a music or dance performance, composition, film or work for stage, screen or broadcast, creative written work, exhibition or design, with a thesis. The PhD with a creative practice component involves both producing new and original works in the candidate’s chosen medium/media, and engaging in critical reflection and/or theoretical analysis of their research question. Please refer to the Requirements for a PhD with a Creative Practice Component for more information.
Submission of a PhD with Publication
Where a thesis is to be submitted as a PhD with Publication, co-authorship of papers with thesis supervisors is acceptable. The thesis should include as an appendix, a Co-Authorship Form for each research publication included in the thesis, which details the contribution of all the named co-authors, the percentage of their contribution, and the parts to which they contributed in terms of research and/or writing. Please refer to the Requirements for PhD with Publication for more information.
Approaching external examiners
One month before the thesis is to be submitted, the Chief Supervisor in consultation with other supervisors will nominate the external examiners.
Examiners are external to the University and must not be directly connected with the student or their research. At least one examiner will normally be external to New Zealand. Each examiner makes an independent report on the student's work.
Criteria and protocols for external examiners
External examiners should:
- Be an expert in the topic and/or methodology of the thesis and have sufficient current research and/or professional experience to evaluate whether or not the thesis fulfils the requirements for the degree.
- Hold a degree at least at the same level as the thesis under examination.
- Be independent and impartial.
- Agree to complete their examination within six weeks of receipt of the thesis.
External examiners should not normally:
- Have been involved in the supervision of the candidate as a supervisor, co-supervisor or advisor.
- Be, or have been, involved in any research collaboration with the candidate or provision of advice to the candidate beyond the "minor consultative role on some aspect of the candidate's research" permitted.
- Be currently enrolled in a degree in the same subject and at the same level as that being examined.
- Currently hold any appointment, paid or honorary, at the University of Waikato or have held such an appointment during the candidate's enrolment in the degree under examination.
- Have any current or previous familial or personal relationship with the candidate, members of their supervisory team, or members of any panel involved in recommending the examiner nomination.
- Be, or have been, involved in any substantial research collaboration of more than one publication, core supervision of a student or externally funded research with any of the candidate's supervisory panel within the last five years.
- Be a graduate of the University of Waikato in the same or related discipline unless the examiner's degree studies at Waikato were completed prior to the candidate's enrolment for the degree under examination.
Timeline for examination
Once approved by the Postgraduate Research Committee, the external examiners are sent the thesis by the School of Graduate Research. Where a thesis is under embargo examiners will be sent a confidentiality agreement prior to examining the thesis. The School of Graduate Research aim to complete the oral examination process within three months of submission of the thesis.
The Chief Supervisor should discuss with both external examiners the timeline for the examination. Normally, it is expected that the external examination will be completed within six to eight weeks of receiving the thesis.
The examiner's report
Each examiner is required to:
- write an independent report on the thesis; and
- make a recommendation of assessment
Examiners may suggest either questions which should be put to the student before or at the oral examination, or topics which should be further explored with the student during the oral examination.
The questions, or topics, provided by the overseas examiner are put to the student by the New Zealand examiner, who takes part in the oral examination.
Students have the right to see the written reports of examiners, via their Chief Supervisor prior to the oral examination. It is therefore important that examiners accept this condition when they agree to act as examiners. The overseas examiner does have the right to remain anonymous to the student but this option is not available to the New Zealand examiner who takes part in the oral examination.
The examiners are asked, as part of their report, to make an initial recommendation of assessment for the award of the degree. This recommendation may be subsequently modified in the light of the oral examination.
In their recommendation, examiners are asked to indicate the level of revisions necessary to allow the thesis to be accepted for award of the degree.
Examiners may choose from the following recommendations:
- Thesis should proceed to oral examination, does not require significant revisions.
- Thesis should proceed to oral examination, revisions anticipated.
- Thesis should not proceed to oral examination. Student should be asked to re-enrol and to undertake the major revisions indicated in the report and in due course to re-submit the thesis for re-examination.
- Thesis should not proceed to oral examination and should not be accepted for the award of a doctoral degree.
- Thesis is not accepted for the doctoral degree but is accepted as fulfilling the requirements for the degree of Master of Philosophy/Master of Education/Master of Laws (subject to amendments of a minor nature, principally the correction of typographical errors if appropriate).
Where the examination results in both examiners recommending option 3 (Thesis should not proceed to oral examination. Student should be asked to re-enrol and to undertake the major revisions indicated in my report and in due course to re-submit the thesis for re-examination), the student will be required to re-enrol and resume paying tuition fees and levies for a minimum of six months full-time equivalent enrolment, at which time they will re-submit their thesis for re-examination.
Divergent examination results
When the School of Graduate Research receives divergent reports from the two examiners, the Postgraduate Research Committee will appoint a third examiner based on the Chief Supervisors nomination.
In all higher research degree thesis examinations, the external examiners' reports are directed in the first instance to the School of Graduate Research and are not disclosed to any third party until approved for action by the Postgraduate Research Committee.
Reports by Chief Supervisors
The Chief Supervisor is not an examiner but does provide a report. Following submission of the thesis the Chief Supervisor must submit a written report to the Postgraduate Research Committee confirming that:
- The work presented in the thesis is that of the student and that any contribution from
another person has been properly identified by the student. - Ethical approval was obtained for the research undertaken (if required).
- Any factors which may have influenced the work of the student, along with any comments on the student's performance and the quality of the thesis.
The supervisory panel report(s) are sent to the examiners once the thesis has been approved to proceed to oral examination and will be taken into account by the examiners at the oral examination.
A student is only entitled to one re-enrol, revise and resubmit period and one oral examination. Where a thesis has been resubmitted, a further resubmission will not be permitted irrespective of the contents of the examiners' reports. An oral examination will only be held once, either following the initial recommendation of the examiners, or if recommended following the resubmission of a thesis.
The purpose of the oral examination is:
- To enable the student to demonstrate his/her knowledge and understanding of the discipline or field of study, the appropriateness of the research methodologies and methods of analysis, and the validity of the conclusions.
- To clarify any matters that the examiners regard as being unclear.
- To allow the examiners and student to discuss any amendments which may be required.
- To assist the student in understanding the full import of the examiners' comments.
- To assist the examiners to reach a decision where the thesis is on the borderline between pass or failure.
An oral examination will be held for all students enrolled in the PhD, EdD, SJD, DHSc and DMA programmes.
Oral examinations of MPhil students do not usually occur unless recommended by the examiners.
The oral examination is organised by the Chief Supervisor after the examiners' reports have been approved by the Postgraduate Research Committee. Once the time and venue has been arranged, the Chief Supervisor is required to inform the School of Graduate Research at least two weeks before the examination is due to take place so a convenor, or chairperson, can be appointed.
The format of the oral examination will vary from case to case. Normally, it will include:
- A brief overview of the thesis by the student;
- Questions from the examiners on the substantive issues communicated to the student beforehand; and
- Other questions and free discussion.
Usually the venue for the oral examination should be on the University campus and be comfortable, quiet, of adequate size and be in such a location as to ensure the examination is conducted in privacy and without interruption. The Chief Supervisor is responsible for finding and booking the venue and for ensuring that any necessary arrangements for videoconferencing are made.
The participants in the oral examination are the convenor, a supervisor (normally the Chief Supervisor), at least one of the examiners (normally the New Zealand examiner), and the student. The overseas examiner may be requested by the Postgraduate Research Committee to participate through a videoconference link.
The student can have whānau and/or support people present at the oral examination provided the thesis is not under embargo. If the thesis is under embargo, only the examination panel (convenor, supervision panel and examiner) are allowed in the room for the duration of the oral examination. Whānau and support people do not have speaking rights at an oral examination and may be asked to leave if the convenor has concerns about interruptions to the examination.
For more information, please read the Whānau Information Sheet for oral exam attendees.
Role of the Convenor
The convenor is a senior and experienced University academic. The convenor is appointed by the Postgraduate Research Committee to chair the meeting but does not act as an examiner.
The convenor is not an examiner, but is expected to:
- Check that the venue is suitable.
- Ensure that the examination is fair.
- The requirements of the examiners are understood by the student.
- Ensure that the questions and views of the overseas examiner are put to the student.
- Ensure that the examiner's report of the oral examination is received by the School of Graduate Research as soon as possible following the oral examination.
- In exceptional circumstances, where the examiners are unable to agree on a recommendation, the convenor should report the circumstances to the Postgraduate Research Committee.
Role of the Chief Supervisor
The Chief Supervisor is not an examiner, but is also expected to:
- Select a venue that is comfortable and situated in a quiet location.
- Ensure any video conferencing requirements are arranged.
- Participate fully in the oral examination as support to the student.
- Be present during the deliberation stage on the examination.
- Be available to discuss the Chief Supervisor's report with the examiners.
- Advise the convenor of any whānau or support people who may be in attendance at the oral examination.
Role of the supervisory panel
Other members of the supervisory panel may attend the oral examination. During the examination process, the student is entitled to the support of the Chief Supervisor (or delegated supervisor).
The Chief Supervisor, or other members of the supervisory panel, is present during the deliberation stage of the examination. In arriving at a decision, the examiner(s) will take into account the report(s) of supervisor(s) and may consult with any member of the supervisory panel.
Role of the attending Examiner
The examiner is a respected specialist in their research field who is external to the University and not directly connected to the student or the student's research. They have been appointed by the Postgraduate Research Committee to examine the students thesis and give a recommendation of whether the work is worthy of the degree. They are responsible for conveying the questions and views of both examiners at the oral examination.
Oral examination report
Following the oral examination and the deliberation stage involving the convenor and the Chief Supervisor (or delegated member of the supervisory panel), the New Zealand examiner prepares the final report and recommendation, using the Examiner's Report, Oral Examination Form. The report, which takes into account the views of the overseas examiner and is a consensus of the examiners, is conveyed to the Postgraduate Research Committee through the convenor.
The examiner(s) shall recommend one of the following options:
6. That the thesis be accepted in its present form as fulfilling the requirements for the degree. The final thesis is to be submitted to the School of Graduate Research within two weeks of the examination taking place.
7. That the thesis be accepted as fulfilling the requirements for the degree, subject to the student undertaking minor amendments and/or correcting typographical errors to the satisfaction of the Chief Supervisor. These amendments are to be completed and the final thesis submitted to the School of Graduate Research within four weeks.
8. That the thesis be accepted subject to the student completing substantial amendments, provided that these amendments are not so substantial as to necessitate re-submission, but are more substantial than required under option 2. These amendments are to be completed, and the final thesis submitted to the School of Graduate Research within ten weeks of the oral examination.
9. That the thesis is not acceptable in its present form and should be returned to the student, who may revise it and re-submit it for examination after a re-enrolment for a minimum period of six months.
10. That the thesis not be accepted for the degree, but be accepted as fulfilling the requirements for the degree of Master of Philosophy or Master of Education or Master of Laws.
11. That the student has failed to meet the required standard and that no degree be awarded.
It is important to note that only one period of re-enrolment, revision and re-submission is allowed.
After the oral examination
After the oral examination, the convenor will deliver the signed examiner's recommendations and any noted amendments to the School of Graduate Research. The Postgraduate Research Committee will then review the examination outcome before a formal outcome is confirmed to the student.
Resolution of divergent views of examiners
In exceptional circumstances, where the examiners participating in the oral examination are unable to agree on a recommendation, the convenor shall report the circumstances fully to the Postgraduate Research Committee, who will decide whether the degree should be awarded or what other action is necessary.
The Postgraduate Research Committee has discretion to appoint an adjudicator who will be asked to consider the thesis and the written reports of the examiners and convenor and will be invited to recommend one of the following:
- pass
- changes to thesis and re-submission to the mediator as sole judge
- failure
Thesis resubmission
A student is only eligible to one re-enrol, revise and resubmit period and one oral examination. Where a thesis has been resubmitted, a further resubmission will not be permitted irrespective of the contents of the examiners' reports. An oral examination will only be held once, either following the initial recommendation of the examiners, or if recommended following the resubmission of a thesis.
Student's access to examiner's reports
Students will usually have received either full or partial copies of the examiners' reports before the oral examination, via their Chief Supervisor. If this has not occurred, and an examiner requested the report to be kept confidential until after the oral exam, these reports will be made available to the student after the examination.
If the examiners have recommended that the thesis should be failed, then copies of the examiners' reports should be given to the student after the result has been approved by the Postgraduate Research Committee.
Once successfully passing the oral examination (or written examination for MPhil), a completed Submission for Completion Form must be provided to the School of Graduate Research, and a final digital PDF copy of the thesis deposited to the Research Commons.
The Submission for Completion Form can be emailed to SGR@waikato.ac.nz or handed into the School directly.
Students are welcome to print paper (soft or hardbound) copies of the thesis for personal use.
Award of the degree and graduation
Once the student submits their thesis to the Research Commons and provides the School of Graduate Research with the completed Submission for Completion Form, the requirements for the degree are complete.
Successful students will then be sent a letter confirming that they have met the requirements for the Degree and are eligible to graduate.
Graduands have the choice of graduating at one of the University graduation ceremonies, or of having their degree awarded in absentia at a meeting of the University Council.
At conferment of the Degree, the student can use the title 'Dr'.
Graduation is a special time to celebrate your success and academic achievements with your family and friends.
You can learn more about the process at the Graduation homepage.