FINISHING DOCTORAL DEGREE

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1 FINISHING DOCTORAL DEGREE The doctoral thesis is ready if it shows evidence that the doctoral student can independently and critically apply scientific research methods and generate new scientific knowledge. The doctoral thesis cannot be sent for pre-examination without filling in the Application for Permission to Defend a Doctoral Thesis. It is recommended to reserve at least half a year for the process of finishing the doctoral thesis. Finishing the doctoral thesis manuscript The doctoral student discusses the finishing of the thesis at the annual meeting with the Follow-up Group. The doctoral student finalizes the manuscript for the doctoral thesis, puts the thesis into the format required by the publishing series, and submits the finished thesis manuscript to the supervisors and chair of the follow-up group. The student fills in the Application for Permission to Defend a Doctoral and delivers a clean copy of the thesis manuscript with appended publications to the Chief Academic Officer. The doctoral student takes care of permissions for the re-publication of published articles in the doctoral thesis, and reviews his/her doctoral studies with the service point officer. Examination procedures for the doctoral thesis manuscript The principal supervisor submits a proposal for nominating the pre-examiners of the thesis, who should meet certain conditions. The chairperson of the Follow-up Group endorses the principal supervisor s proposal for the preexaminers. The student submits the Application for Permission to Defend a Doctoral Thesis to the Chief Academic Officer. The chairperson of the Doctoral Training Committee makes the decision concerning the appointment of the pre-examiners. The Chief Academic Officer ensures that the manuscript and guidelines are delivered to the preexaminers. Permission to Defend a Doctoral Thesis and finalizing the thesis The doctoral student review the thesis based on the examiners statements, and makes sure that the language has been reviewed and that the publication guidelines are observed. The principal supervisor submits a proposal for nominating the opponent(s) and custos. The Chief Academic Officer presents the final Application for Permission to Defend a Doctoral Thesis at the Doctoral Training Committee meeting. When granting the permission to defend the doctoral thesis, the Doctoral Training Committee also makes the decisions for the appointment of the opponent(s) and the custos. The printing and publishing of the thesis may begin when the Doctoral Training Committee has granted the permission to defend the doctoral thesis. Thesis defense, evaluation of the thesis and the graduation The doctoral student familiarizes him-/herself with the formal details of thesis defense by reading the detailed instructions. After the defense, the opponent prepares a statement based on the evaluation criteria of the Graduate School, and submits the statement and a proposal for the final grade to the Chief Academic Officer. The Doctoral Training Committee makes the decision for the approval of the doctoral thesis and the grade. Erkki Koiso-Kanttilan katu 1

2 The student requests the degree from the Graduate School by completing the Application for a Degree Certificate. The dean of the Graduate School grants the doctoral degree. DETAILED INSTRUCTIONS FOR FINISHING DOCTORAL DEGREE Finishing the doctoral thesis manuscript The completion of the work: 1. The status of the doctoral thesis is reviewed at the student s annual meeting with the Follow-up Group. In the third (or last) meeting, discussions on finishing the thesis take place. 2. The doctoral student finalizes the manuscript for the doctoral thesis and puts the thesis into the form required by the publishing series (e.g. Acta Universitatis, instructions). 3. The doctoral student submits the finished thesis manuscript to the supervisors and to the chairperson of the follow-up group (if the student does not have a follow-up group, then the right person would be the professor of the major subject). 4. The doctoral student finds out about the final processes from the Chief Academic Officers of his/her faculty. Filling in the Application for Permission to Defend a Doctoral Thesis: 1. The doctoral student fills in the Application for Permission to Defend a Doctoral Thesis. 2. The content of the Application for Permission to Defend a Doctoral Thesis: A The Applicant and the thesis manuscript information about the applicant; registration details; title of the thesis; supervisors of the thesis; information about the thesis research: o if necessary a clarification on the independent contribution in joint publications (approved by the signature of the principal supervisor); o a written consent by the primary author(s) of the joint publications to use the article in this thesis, if the primary author is not the defender of the thesis; Candidate s opinion regarding the pre-examiners. B Pre-examination of the thesis manuscript a proposal by the principal supervisor for the nomination of the pre- examiners of the thesis; a statement from the Follow-up Group on the status of the doctoral thesis, and statements on the proposal for the pre-examiners; decision made by the chair of the doctoral training committee concerning the appointment of the pre-examiners. C Permission to defend a Thesis a proposal by the principal supervisor for the nomination of the opponent(s); a proposal by the principal supervisor for the nomination of the custos; the decision concerning the thesis defence permission and the opponent(s) and custos is made in the meeting of the doctoral training committee.

3 The preparation work: 1. The doctoral student delivers a clean copy of the thesis manuscript with appended publications to the Chief Academic Officer 1 copy (+2 copies if he/she sends it to the pre-examiners); 2. The doctoral student should remember that previously published articles require permission for republication from the publisher(s) of the articles. This may take some time. 3. The student reviews his/her doctoral studies (courses and credits) with the service point officer. The study record is compared with the study plan. The service point checks the record and the necessary number of credits. All courses listed in the study plan must be completed and registered in WebOodi before the manuscript is submitted for the pre-examination. Any exceptions must be justified. 4. Discuss with your principal supervisor about submitting the thesis manuscript for review in Urkund. Examination procedures for the doctoral thesis manuscript Proposing the pre-examiners: 1. The doctoral student provides the information necessary for the Application for Permission to Defend a Doctoral Thesis (part A). 2. The doctoral student delivers then the application to the principal supervisor. 3. The principal supervisor provides the information necessary for the Application for Permission to Defend a Doctoral Thesis (part B). 4. The principal supervisor discusses the appointment of pre-examiners of the thesis with the chairperson of the Follow-up Group and the doctoral student. 5. The principal supervisor negotiates with the pre-examiners. 6. The principal supervisor submits a proposal for the nomination of the pre-examiners of the thesis (2 persons). Pre-examiners should meet the following conditions: Pre-examiners should be professors, or have at least a doctoral degree; Pre-examiners should come from outside of the University of Oulu; Docents of the University of Oulu may be appointed as pre-examiners, if they are employed full-time elsewhere and if the previous conditions are fulfilled; Pre-examiners cannot be co-authors of the thesis, or in articles included in the thesis, and may not have joint publications with the candidate within the last five years; Pre-examiners cannot be supervisors of the thesis; A person cannot act as a pre-examiner, if he/she has a close cooperation with the supervisor. A close cooperation is, for example, if there have been joint publications during the last four years. Possible cooperation should be mentioned when proposing the pre-examiners; The chairperson of the Follow-up Group provides a statement on the submission of the thesis for review by the pre-examiners. If the student does not have the follow-up group, the endorsement is given by 1) the responsible person of the doctoral training, or 2) the responsible person of the Major subject, or 3) research dean of the faculty. 7. The doctoral student is given the opportunity to comment on the choice of pre-examiners. Decision on the appointment of the pre-examiners: 1. The student submits the Application for Permission to Defend a Doctoral Thesis to the Chief of Academic Officers, who delivers it to the chairperson of the Doctoral Training Committee to be signed.

4 2. The chairperson of the Doctoral Training Committee appoints the pre-examiners. 3. The Chief Academic Officer informs the principal supervisor, the doctoral student and the responsible person of the Major about the appointment of the pre-examiners by the chairperson of the doctoral training committee, and keeps the original Application for Permission to Defend a Doctoral Thesis. 4. The Chief Academic Officer ensures that the manuscript of the thesis and the guidelines for its evaluation are delivered to the pre-examiners. Pre-examination: 1. The pre-examiners must submit a written statement within 2 months of receiving the manuscript. The statement must include grounds for either granting, or for refusing the Permission to Defend a Doctoral Thesis. 2. In addition to the written statement, the pre-examiners fill in the evaluation form, which includes the assessment of the different parts of the thesis. 3. The statements are delivered to the Chief Academic Officer, who transmits them to the doctoral student, the principal supervisor and to the responsible professor of the Major subject. Permission to defend the doctoral thesis and finalising the thesis Finalising the thesis based on the statements: 1. The student reviews the thesis based on the examiners statements. The revisions and schedule shall be agreed upon with the principal supervisor. 2. The doctoral student must always be given an opportunity to respond formally to the preexaminer s statement. In the event that the statements are not in favour of granting the permission to defend the doctoral thesis, the student must agree with the principal supervisor and the Chief Academic Officer on further procedures. 3. The doctoral student makes sure that the format of the manuscript conforms to the required layout of the publication series and that the publication guidelines are observed. 4. The doctoral student makes sure that the language used in thesis is appropriate by sending the manuscript for proofreading (also applies to theses written in Finnish). Requesting the Permission to Defend a Doctoral Thesis and proposals for opponent and custos: 1. In the event that the pre-examiners statements are in favour of granting the permission to defend the doctoral thesis, the student may request a decision from the Doctoral Training Committee to grant the Permission to Defend a Doctoral Thesis (Application for Permission to Defend a Doctoral Thesis, part C). 2. The principal supervisor makes sure that all the required corrections have been made to the thesis, and that the thesis is ready for the publishing. 3. The principal supervisor submits a proposal for the nomination of the opponent(s) and custos. It is recommended that the opponent be a person other than the pre-examiners. If there are two opponents, one of them may also have acted as a pre-examiner. If a pre-examiner is proposed as the only opponent, the reasons for the proposal must be clarified. A person cannot act as a pre-examiner, if he/she has a close cooperation with the supervisor. A close cooperation is, for example, if there have been joint publications during the last four years. Possible cooperation should be mentioned when proposing the opponent(s). The custos does not have to be employed by the University of Oulu. 4. The student submits the Application for Permission to Defend a Doctoral Thesis to the Chief Academic Officer. 5. The doctoral student is given the opportunity to comment on the choice of the opponent(s).

5 Granting the permission to defend the thesis and nominating the opponent and custos: 1. The Chief Academic Officer presents the final Application for Permission to Defend a Doctoral Thesis at the Doctoral Training Committee meeting. 2. When granting the permission to defend the doctoral thesis, the Doctoral Training Committee also makes the decisions for appointing the opponent(s) and the custos. 3. Granting the permission to defend the doctoral thesis automatically grants the printing permission. 4. The Chief Academic Officer informs the doctoral student, the principal supervisor, and the responsible professor of the Major subject about the decision of the Doctoral Training Committee to grant the permission to defend the doctoral thesis. 5. The doctoral candidate must agree on the date of the defence with the custos and the opponent, with the help of the principal supervisor. 6. The Chief Academic Officer ensures the delivery of the guidelines for the defence, and the thesis evaluation criteria, to the opponent. Publishing the thesis 1. The printing and publishing of the thesis may begin when the Doctoral Training Committee has granted the permission to defend the doctoral thesis. 2. Material for the thesis should be delivered to the publisher well in advance (at least 6 weeks before the thesis defence). 3. Doctoral theses of the University of Oulu are generally published in the Acta Universitatis Ouluensis series. Alternatively, the thesis can be published in a scientific journal of the university, or published as a single book. More information is available at University Communications (Julkaisupalvelut) 4. The doctoral student contacts the person of the faculty responsible for publishing the thesis. 5. The student takes care of the publication contract (2 copies) and other tasks related to the publication of the thesis: Contact information of the publishing services: Distribution of the thesis 1. For theses published in the Acta Universitatis Ouluensis series, the University of Oulu pays the cost of the obligatory distribution (32 copies) and for the doctoral student s copies (15). Mandatory distribution: 1) University library, 15 copies; 2) research services and communications services, 2 copies (1 each); 3) the series editor, 1 copy; 4) the faculty, 6 copies; 5) the free copies, 6 copies; 6) the department, unit, etc., 2 copies; The Virastomestarit will send an to the doctoral student when the books arrive in Linnanmaa. They perform the distribution of the copies detailed in (1)-(4) above. The printing office sends free copies to the National Library. In addition, the student picks up 17 copies, and delivers 2 of those to the department, unit etc. Instructions concerning the obligatory distribution and costs for theses published in other publication series can be found here: instructions. 2. Please note that a printed copy of the thesis must be displayed publicly 10 days before the thesis defence. 3. The doctoral student should take care of the spreading of the information concerning the public defence.

6 Thesis defence, evaluation of the thesis and the graduation Before the thesis defence 1. Make sure that you have a lecture hall deserved for the day, a place for the coffee service after the event, and all other materials/facilitators needed for the defence. 2. Familiarize yourself with the formal details of the thesis defence before the occasion. See instructions. 3. Even though the day is important for the doctoral student, it should be remembered that the opponent is the guest of honor, and should be treated as such during the whole day. 4. The doctoral student, custos and opponent(s) can meet each other before the defence informally. 5. The doctoral student should consult with the custos and the opponent about the dress code, both for the viva (public defence) and the Karonkka. Male doctoral candidates, the custos and the opponent(s) wear tails and a black waistcoat, or a dark suit. Females wear a (long black dress?)lbd. It can be also agreed that males wear black suits. In this case, females should wear a short suit. Opponents who have been awarded their Doctoral degrees abroad wear their own academic outfit, which might include a gown, hood and cap. The custos and the opponent hold their doctoral hats in their hands when entering and leaving the lecture hall. The thesis defence: 1. On arrival for the public examination, the doctoral candidate enters the lecture hall first, followed by the custos and, finally, the opponent. 2. The audience stands up with respect as they enter the room. 3. The custos and the opponent hold their doctoral hats in their hands when entering the lecture hall. For the duration of the viva, they place their hats on the table in front of them with the lyre emblem facing the audience. 4. After reaching their places (the doctoral candidate on the left of the Kustos), the custos declares the public examination opened by saying: "...as the custos nominated by the University of Oulu Graduate School, I declare the public examination to have begun". The kustos and the opponent(s) sit down. 5. The candidate speaks to the audience as follows: "Honourable custos, honourable opponent, ladies and gentlemen." 6. The doctoral candidate remains standing to give the introductory lecture, in which he/she explains the background of his research, and the points of contact with scientific and practical life problems. This lectio praecursoria may last 20 minutes at the most. It is normally given in Finnish and an Opponent from abroad is provided with a translation, but may also be given in English. 7. After the lecture is finished, the doctoral candidate says: "I now request, honourable Professor (Doctor etc.)..., as the opponent nominated by the University of Oulu Graduate School, to offer any criticism, to which my doctoral dissertation, in your opinion, gives rise". 8. The opponent stands up to offer a short background presentation from her/his perspective about the piece of research which is under review. Finally, he informs the listeners that he will begin the

7 detailed examination of the research. After the opponent's presentation, the opponent and the doctoral candidate sit down. 9. The Opponent examines the doctoral dissertation, beginning by looking at general questions, such as the research topic, methods of the research and the choice of research data; then s/he moves on to a detailed examination. The candidate seeks to defend his/her work as well as possible, because the successfulness of the defence is evaluated in the opponent s statement later on. 10. The Opponent is allowed to spend a maximum of four (4) hours on his examination, so that there remains enough time for possible further opponents to come forward. The entire public examination may last a maximum of six hours. 11. Upon completion of the examination, the opponent stands up to deliver his final statement, during which the doctoral candidate stands too. 12. The doctoral candidate will then thank the opponent and then, turning to the audience, will deliver the following invitation: "I would now like to invite those members of the distinguished audience who have anything to ask, or remarks to make, about my dissertation, to ask the custos to be given the floor." 13. The custos acts as the Chair, giving the floor in turns, making sure that the doctoral candidate has an opportunity to respond to each remark immediately; the custos is the judge of the relevance of the questions. At the end, the custos stands up to close the public examination by saying: " I declare this public examination closed". 14. Before the audience leaves the lecture hall, the doctoral candidate invites everybody to attend a coffee, or sparkling wine reception. 15. The custos and the opponent carry their doctoral hats in their hands when leaving the lecture hall, and they leave in the same order they entered: the doctoral candidate leaves first, then the custos and finally the opponent. 16. More information concerning the public examination and the evening celebration, or Karonkka, can be found here, instructions. Evaluation of the thesis and the graduation process 1. After the defence (preferably immediately afterwards), the opponent prepares a statement based on the evaluation criteria of the Graduate School. The principal supervisor / custos should instruct the opponent that it is recommended to write the outline of the statement beforehand. The statement can be refined later, taking into account the defence itself. 2. The opponent also fills in the evaluation form, where the work and the thesis defence evaluated. 4. The opponent submits the statement and a proposal for the final grade to the Chief Academic Officer, who then forwards the statements to the principal supervisor (the primary representative of the subject) and the student. 5. The student may respond to the opponent s statement. 6. The Chief Academic Officer submits the proposal for the grade to the Doctoral Training Committee. 7. The Doctoral Training Committee makes the decision for the approval of the doctoral thesis and the grade. 8. The Chief Academic Officer notifies the student, the principal supervisor and the responsible professor for the major subject about the Committee s decision. 9. The student may, within 14 days of being notified of the decision, submit an appeal to the Degree Committee (Board of Examiners) concerning the evaluation of the doctoral thesis.

8 Finishing the degree and the degree certificate 1. The student requests the degree from the Graduate School by completing the Application for a Degree Certificate. 2. The Application for a Degree Certificate is delivered to the Chief Academic Officer. 3. The service point prepares the degree certificate, the transcript of studies and the diploma supplement. 4. The Chief Academic Officer forwards the degree certificate to be signed by the dean of the Graduate School. 5. The degree certificate will be ready for collection within 24 days following the meeting of the Doctoral Training Committee. The days of the meetings are announced on the website of the Graduate School. 6. The student can obtain the degree certificate at the Faculty service point, or can request that it be sent by post.

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