Dissertation Guidelines of Faculty of Humanities

• Doctoral researcher must be registered with the university as an attending student when they submit their doctoral dissertation for the preliminary examination.
• In addition, the postgraduate studies to be included in the degree (40-60 credits) must be completed and entered in the study register (Peppi).
• In exceptional circumstances, with the permission of the Dean, the preliminary examination process may be started before all postgraduate studies have been completed. In case, all studies must be completed and entered in the study register before the permission to defend is granted.
• The doctoral researcher first checks that all studies has been entered in the study register and that the study module meets the curriculum requirements. After that they asks the coordinator (meri.heinonen@utu.fi) to check the study module. If all required studies has been completed, the coordinator asks the person in charge of postgraduate studies in the major subject to approve the study module and marks it as completed in the Peppi system.
• The dissertation manuscript must be checked for originality using Turnitin Originality Check system before the manuscript is submitted for preliminary examination. The supervisor is responsible for checking the thesis. A certificate of the check is signed and submitted to the faculty as attached to the electronic 'proposal of pre-examiners' form  (see UTU Instructions for Turnitin)
• The dissertation manuscript is checked in its entirety (including the articles in the case of an article dissertation).
• Information about the Turnitin check is  added to the publication information of the dissertation: 'In accordance with the University of Turku's quality system, the originality of this publication has been checked using the Turnitin OriginalityCheck system'.

• The doctoral researcher submits the manuscript to the faculty using an electronic form, which can also be found in the UGIS.
• In addition to the main contents of the dissertation, a monograph dissertation manuscript should contain at least a title page, a table of contents and a list of references.
• An article manuscript should include a title page, a table of contents, a summary section with bibliography and all articles. The content of the articles must be identical to that of the original publications. When an article manuscript is submitted for pre-examination, a separate list of where the articles have been published or accepted for publication must be included. In case of joint publications, a written statement of the independent contribution of the doctoral researcher must be submitted. 
• The faculty submits the manuscript to the pre-examiners by e-mail. The supervisor should check with the pre-examiners whether an electronic version of the manuscript is sufficient for the pre-examiners. If the pre-examiner(s) prefer a paper copy of the manuscript, the doctoral researcher submits the paper copy in a folder (or other easily mailed form) to the faculty's Service Secretary (hum-toimistopalvelut@utu.fi) for mailing. The manuscript should be printed on one-sided and it should be submitted to Service Secretary only after the doctoral researcher has been informed of the faculty's decision on the preliminary examiners.

• The professor in charge of doctoral studies in the major subject makes a proposal of the pre-examiners with an electronic form, which can also be found in UGIS. The professor checks that the proposed examiners will agree to take part in the process before submitting the form to the faculty. 
• A Turnitin certificate signed by the supervisor is attached to the electronic form.
• The proposal of pre-examiners is submitted for approval to the doctoral researcher by e-mail. When the doctoral researcher has approved the proposal, the proposal is forwarded to the faculty.
• The dissertation must have at least two pre-examiners, who should, when possible, have the qualifications of a docent or equivalent. If the person proposed as a pre-examiner is not at least a docent, a list of their publications or CV must be attached to the form.
• The provisions on disqualification according to the Administrative Procedure Act (434/2003, 27§) apply to the pre-examiners. The decision on disqualification must be made by the person itself or the administrative body or person who is responsible for the appointment. 
• The pre-examiners must be from outside the University of Turku. In exceptional cases, one of the pre-examiners may be from another faculty of the University of Turku (University of Turku Regulation on Studies 8.2). The supervisor cannot act as a pre-examiner.
• The pre-examiners must not have co-published articles or other close research collaboration with the doctoral researcher or persons close the them during the doctoral researcher's postgraduate studies.
• The pre-examiner and the supervisor must not have co-published articles or other close and recent research collaboration (as a rule, within the last three years). Exceptions to this policy may be made for justified reasons.
• A docent at the University of Turku may serve as a pre-examiner if they does not have an employment contract or a valid university commitment with the University of Turku.
• The dean appoints the pre-examiners when both the proposal of the pre-examiners and the doctoral dissertation manuscript have been submitted to the faculty.
• The dean's decision is informed to the doctoral researcher, the supervisors and the person in charge of postgraduate studies in the major subject by e-mail.
• The pre-examiners have two months (excluding July) to submit their statement(s).

• The pre-examiners should give their statemen(s) within two months. The deadline is calculated from the date of the preliminary examination decision (July excluded).
• Neither the doctoral researcher nor the supervisor should be in contact with the pre-examiners during the pre-examination. If necessary, the administrative staff in charge of postgraduate studies in the faculty will be in contact with the pre-examiners.
• The pre-examiner should assess whether the manuscript can be accepted as a dissertation in its present state or not and to provide a reasoned written statement on the matter. 
• In their statement the pre-examiners may make suggestions for corrections and improvements, but the statement cannot be conditional.
• The preliminary examiners, or one of them, will not always support the dissertation manuscript to be accepted. A negative statement will result in the pre-examination process being discontinued at the request of the doctoral researcher or by decision of the dean or the faculty council. However, the doctoral researcher has the possibility to submit a reply to the statements in accordance with the University Act (558/2009, 44§). When the manuscript has been revised and the professor in charge of the postgraduate studies in the major subject is in favour of restarting the preliminary examination, the dean appoints the preliminary examiners. It is possible to appoint the same or new pre-examiners to complete the task. 

Ohjeet esitarkastajille (FI)

Guidelines for pre-examiners (EN)

• Once the statements of both pre-examiners have been received by the faculty, they are sent by e-mail to the doctoral researcher, the professor in charge of postgraduate studies in the major subject and the supervisors. The doctoral researcher will be given the opportunity to respond in writing to the pre-examiners' statements.
• If both pre-examiners' statements are in favour of granting the permission to defend and the doctoral researcher has submitted a report of the language check to the faculty, the dean will grant the permission to defend. (Language check report is required for doctoral theses written in a non-native language, see Language Revision of Dissertation).
• Permission to defend requires also that all doctoral studies (40-60 credits) have been completed and entered in the study register (Peppi). 
• A permission to defend is also a permission to print and publish the thesis. 
• The date of the public dissertation defence is agreed between the custos and the doctoral researcher as soon as possible after the granting of the permission. The custos will ensure that the date is convenient for the opponent(s) and the members of the grading committee. The defence date should be entered in UGIS as soon as the date is agreed.
• According to the decision of the faculty council (17.2.2024), the public dissertation defence is to be arranged within twelve months from granting the permission to defend. Upon the request of the doctoral researcher and for justified reasons, the dean, taking into account the doctoral researchers' legal protection and the faculty's interest, may grant a reasonable extension for organizing the public defence. For those doctoral reserachers who were granted permission to defend before the decision was made, the twelve-month period is calculated from the decision date, 17.2.2024.

• The doctoral researcher ensures that the dissertation is made available to the public at least 10 days before the dissertation defence. The doctoral researcher must also make the announcement of the public defence of he doctoral dissertation according to the University's guidelines (see Guidelines for Dissertation Defence --> Communicating about the doctoral dissertation). 
• The Faculty grants a printing support of 600 euro to all doctoral researchers. In order to receive the printing support the doctoral researcher must use the printing houses tendered by the University (see Guidelines for Dissertation Defence --> Publishing and printing doctoral dissertation). 
• The tendered printing house (Painosalama) can send the invoice to the University of Turku, Faculty of Humanities, cost centre: 2602000, internal order 26003181.
• Dissertations must have an abstract both in Finnish and in English (Rector's decision 5.11.2013).
• The published dissertation must include the following information after the title page:
  • University of Turku
  • Faculty
  • Department
  • Major subject
  • Doctoral Programme
  • Supervisor(s)
  • Pre-examiners
  • Opponent(s)
• On the same page the doctoral researcher must include following note stating that the originality check has been performed: “The originality of this thesis has been checked in accordance with the University of Turku quality assurance system using the Turnitin OriginalityCheck service.”
• Guidelines for the publication of a doctoral thesis, see Guidelines for Dissertation Defence --> Publishing and printing doctoral dissertation.
• Guidelines on the minimum printing requirements for and distribution of dissertations. 
• NOTE! If an article dissertation is published electronically only, the bound hard copies to be submitted to the Library and the Faculty, as well as to the opponent and the members of the grading committee, must include also all  (published and unpublished) articles.
• The dissertation should be submitted to the opponent and the members of the grading committee well in advance of the dissertation defence (it is often advisable to send the final electronic version as soon as possible and printed copy or bound/stapled hard copy afterwards).
• The (second) pre-examiner will also receive the dissertation (for electronically published dissertations, only a link).
• In most cases, the copies of the members of the grading committee can be sent by internal mail of the university. If necessary, address details can be obtained from humpostgraduate@utu.fi.
• The doctoral researcher can post copies of the dissertation to the opponent, the pre-examiner and, where appropriate, the member(s) of the grading committee and the custos via the University.
• The mailing right applies to the dissertation and, in case of a dissertation published exclusively electronically, to the bound/stapled hard copies sent to the opponent and to the members of the grading committee.
• If the doctoral researcher commissions a spiral-bound version with every other page blank for the opponent, they are responsible for the postage costs.
• For assistance with postage, please contact the faculty Service Secretaries: hum-toimistopalvelut@utu.fi
• Copies to be posted can be delivered with address details to the service desk of the faculty's Study Office in the Arcanum (1st floor) during office hours Mon-Thu 9-11 and 12-15.
• The faculty's dissertation copy (1 copy) can also be delivered to the same service desk in Arcanum or sent by internal mail (Faculty of Humanities/Doctoral Studies, Arcanum) or mailed to Faculty of Humanities/Doctoral Studies, Arcanum, 20014 University of Turku.

• The professor in charge of the postgraduate studies in the major subject will propose the opponent(s), the custos and the members of the grading committee who have been asked for their consent in advance. The proposal is made using an electronic form (the link to the form is also available in the UGIS system).
• The form will be sent to the doctoral researcher for approval by e-mail. When the proposal has been approved by the doctoral researcher, the proposal is sent to the faculty automatically.
• The opponent should, if possible, have the qualifications of a docent or equivalent scientific merits.
• The opponent must be from outside the University of Turku. If there is more than one opponent, at least one opponent must be from outside the University of Turku.
• The thesis supervisor cannot act as an opponent.
• The same rules on disqualification apply to the opponent as to the pre-examiner.
• A professor of the major subject or a related field of study or a docent employed by the University of Turku may act as a custos.
• The supervisor may also be an emeritus/emerita professor who has an emeritus contract with the University of Turku.
• The members of the grading committee include the Opponent(s) and 1-2 expert members appointed by the faculty. At least one of the expert members must be an adjunct professor (docent) employed by the University of Turku and representing a related discipline
• Also, pre-examiner of the dissertation or a representative of related disciplines from other universities can be named as an expert member of the Grading Committee.
• The expert member who is an employee of the University of Turku introduces the Opponent(s) and the other members of the Grading Committee to the Faculty’s grading practices, grading scale and other regulations, and acts as the chair and secretary of the Grading Committee that gathers after the public examination.
• After the public defence of the dissertation, the grading committee has a meeting where they discuss about the grading of the dissertation. All members of the Grading Committee must be present at the defence and the committee meeting.
• The Grading Committee delivers a statement form to the Faculty. (Please see below ‘The grading of the doctoral dissertation’).
• The opponent delivers in addition their own written statement to the Faculty.

• The custos will familiarise the opponent with the University of Turku's dissertation procedure and the conduct of the dissertation defence.
• They will also act as the opponent's host at the University of Turku during the visit (unless otherwise agreed).
• The custos will make travel and accommodation arrangements for the opponent through the University Travel Services (utu.matkat@certia.fi) and the Faculty Office Services (hum-toimistopalvelut@utu.fi).
• The custos will ask the Travel Services to book accommodation and, if necessary, travel tickets for opponent(s) within Finland (see instructions for travellers not employed by the University).
• According to the framework agreement, the accommodation of the opponent will be arranged at the Original Sokos Hotel Kupittaa (except if the dissertation is held in Pori).
• If the opponent wishes, they can also make their own travel arrangements and invoice the faculty for travel expenses after the trip against receipts (the faculty will instruct the opponent on invoicing).
• As a rule, the faculty will reimburse the opponent's travel expenses according to public transport fares, in accordance with the principle of affordability.
• For justified reasons, the opponent may be reimbursed for the use of their own car (kilometre allowance).
• In the case of opponent travelling from outside Finland, the custos should contact the faculty's office services in good time advance. The service secretary of the office services will send the faculty's travel reservation form with instructions to the custos and the opponent.
• The University Travel Services are responsible for travel and accommodation reservations and procurement. The Faculty Services Secretary will act as a liaison between the opponent and the travel services when necessary.
• Travel and accommodation expenses for the opponent will be invoiced to the internal order 26003181 of the Faculty of Humanities.
• The faculty will reimburse the opponent's travel expenses up to a maximum of €1700 (including max. 2 nights accommodation, 3 nights accommodation for non-Europeans) in accordance with the University's travel regulations. Excess costs will be paid by the doctoral researcher's department, major subject or project.
• The University will not reimburse the costs of the avec and the opponent will not be paid a daily allowance. 
• The faculty pays the opponent a fee of €523.

• The doctoral researcher is responsible for all practical arrangements for the dissertation defence, such as booking the lecture hall for the defence and arranging any remote access (see Practical arrangements for the dissertation defence). The lecture hall is paid by the faculty (cost centre: 2602000, internal order 26003181). If the doctoral researcher wishes to offer coffee&cake/toast after the defence in front of the lecture hall they should also book the entrance hall for this purpose.
• Instructions for the conduct of the dissertation defence, dress code, etc.( --> Dissertation defence). 
• If the doctoral researcher wishes, they may organise a post-doctoral party (Karonkka)  on the same evening as the defence. The nature of the event and the dress code will be decided by the doctoral researcher. For instructions on how to organise a traditional academic karonkka, see the university's dissertation guidelines (->traditional post-doctoral party)

• The dissertation is evaluated and approved on the basis of the statements of the opponent and the grading committee.
• Dissertations will be evaluated on a scale: Fail, Pass, Pass with Distinction. Dissertations are mainly approved on a pass/fail scale, with only exceptionally high quality and meritorious dissertations receiving the grade 'Pass with Distinction'.
• The opponent must submit to the the faculty a statement on the scientific merit of the dissertation within one month of the dissertation defence.
• The statement should include a proposal for the grade of the dissertation and should be 3-5 pages in length. 
• Within one month of the dissertation defence, the grading committee must submit a statement to the faculty, evaluating the merits and shortcomings of the dissertation, the defence of the doctoral researcher and a proposal for the acceptance and grade of the dissertation. The evaluation is given on the faculty's evaluation form .
• The proposal of the grading committee does not have to be unanimous. In case of disagreement, each member of the grading committee shall state their opinion on the evaluation form.
• If the opponent and the grading committee propose a the grade 'Pass with Distinction', they must justify their proposal in writing as part of the evaluation of the graduating committee in a separate appendix. When proposing the grade 'Pass with Distinction' the dissertation should represent the highest 10 % quality of it's field.
• See Guidelines for Opponents and Members of Grading Committee (in English) and Vastaväittäjän ja arvostelutoimikunnan ohje (in Finnish). 

• The doctoral researcher is given the opportunity to respond in writing to the statements of the opponent(s) and the grading committee. The faculty will deliver the statements to the doctoral researcher by e-mail.
• The dissertation can be approved once all necessary documents (the opponent's statement, the evaluation of the grading committee, and the doctoral researcher's announcement of the acceptance of the statements) have been received by the faculty. Once the decision has been made, the documents are public.
• If the doctoral researcher submits a respond to the statements, it will be submitted to the faculty council meeting for discussion.
• A dissertation researcher who is dissatisfied with the evaluation of the dissertation may appeal in writing to the dean within 14 days of notification of the decision.
• The dean will decide on the award of the degree of Doctor of Philosophy. The certificate is issued after the decision to approve the doctoral thesis, without a separate request, and is mailed to the doctoral researcher's address registered in the Peppi system.