You are on page 1of 94

Contents

Preface 7
Staff Holding Administrative Positions 8
Abbreviations 9
1.0 Introduction 10
1.1 Aims of the PhD Handbook 10
1.2 Staff involved in the Management of PhDs 10
1.2.1 The Supervisors 10
1.2.2 The Administrative Supervisor 10
1.2.3 The Head of School 11
1.2.4 The Postgraduate Coordinator/Director 11
1.2.5 The School Research/Postgraduate Committee 11
1.2.6 The Associate Deans 12
1.2.7 The Faculty Office 12
1.2.8 The PhD Convener 12
1.2.9 The Research Degrees Committee 12
1.2.10 The Research and Postgraduate Studies Office 12
1.2.11 The Deputy Vice-Chancellor (Research) 12
2.0 Background to the PhD 13
2.1 The Place of the PhD Degree in the University 13
2.2 Academic Requirements of PhD Study 13
3.0 An Outline of the Process 15
3.1 Initial Approach to the School and the University 15
3.2 Developing a Proposal 15
3.3 Provisional Registration 15
3.4 The Research Period 15
3.5 Writing-Up and Submission 16
3.6 Examination 16
3.7 Flowchart Summary 17
4.0 Research Proposals 18
4.1 Initial Proposal 18
4.2 Research involving Confidential or Sensitive Material 18
4.3 Research Proposals from Scholarship Holders 19
4.4 External Party Involvement in the Support of Research Students 19
5.0 Supervisors 20
5.1 The Appointment of Supervisors 20
5.2 The Administrative Supervisor 20
5.3 Changes to the Supervisory Team 20
5.4 Supervisor Training 20
5.5 External Supervisors 21

PhD Handbook 1
6.0 Formal Admission and Registration Requirements 22
6.1 Admissions Criteria 22
6.2 Conversion of a Master’s Degree to a PhD 22
6.3 International Students 22
6.4 Applications to Register 23
6.5 Approval of Provisional Registration 23
6.6 Enrolment and Payment of Fees 23
6.7 Annual Re-enrolment 23
6.8 Attendance at University and Study at a Distance 23
6.9 Employment 24
6.10 Period of Overseas Research 24
6.11 Collaborating Institutions 24
6.12 Move from Provisional to Full Registration 26
6.13 Confirmation of Full Registration 26
6.13.1 Full Research Proposal 26
6.13.2 Presentation of the Proposal 27
6.13.3 Approval 27
6.14 Date of Registration 28
6.15 Duration of Registration 28
6.16 Notification of Changes to Registration 28
6.17 Maintenance of Registration 29
6.18 Registration and Other Work 29
6.19 Extensions and Suspensions of Registration 29
6.20 Concurrent Study 29
6.21 Change of Title 29
6.22 Conversion of a PhD to a Master’s Degree 30
7.0 Supervision Protocols 31
7.1 The Role of Supervisors 31
7.2 The Responsibilities of Supervisors 31
7.2.1 Assessing the Student 31
7.2.2 Providing Academic Guidance 31
7.2.3 Scheduling Meetings 32
7.2.4 Milestones 32
7.2.5 Providing Feedback 32
7.2.6 Identifying Problems 32
7.2.7 Six-monthly Progress Reports 32
7.2.8 Supporting the Student 33
7.2.9 Encouraging Academic Contacts 33
7.2.10 Facilitating Administrative Compliance 33
7.2.11 Assisting Examination Arrangements 34
7.2.12 Encouraging Publication 34

2 PhD Handbook
7.2.13 Support for Supervisors 34
7.3 The Responsibilities of Candidates 35
7.3.1 Planning the Research 35
7.3.2 Actively Pursuing the Research 35
7.3.3 Participating in University Intellectual Life 35
7.3.4 Identifying Problems 35
7.3.5 Facilitating Administrative Compliance 35
7.3.6 Meeting Ethical Guidelines 35
7.3.7 Giving Notice of Submission 35
7.3.8 Submitting the Thesis 36
7.3.9 Publishing 36
7.4 Evaluation of Research Supervision 36
8.0 Research Ethics 37
8.1 Human Ethics Committee 37
8.2 Human Ethics Approval for Research 37
8.3 Animal Ethics Committee 37
8.4 Authorship and Acknowledgement Guidelines 37
8.5 Appropriate Conduct in Research 38
9.0 Research Resources 39
9.1 School Resources to Support PhD Candidates 39
9.1.1 Responsibilities of the Head of School 39
9.1.2 Minimum Resources Agreement 39
9.1.3 Financial Assistance 39
9.2 Information Technology Resources 39
9.2.1 Introduction 39
9.2.2 Range of services 39
9.2.3 Registration as an ITS Client 40
9.2.4 Accessing the Network 40
9.2.5 ITS Student Help Desk Service 40
9.3 The University Library - Te Pataka Korero 40
9.3.1 Lending Services 40
9.3.2 Reference and Research Services 41
9.3.3 Research Seminars 41
9.3.4 Inter-Library Loan and Document Delivery 41
9.3.5 Specialised Collections 42
9.3.6 Other Libraries 42
10.0 Research Advice 43
10.1 Student Learning Support Service 43
10.2 Statistical Advice 43
10.2.1 Statistical Packages 43

PhD Handbook 3
11.0 Research Funding and Financial Support 44
11.1 University Scholarships 44
11.2 PhD Submission Scholarships 44
11.3 Doctoral Completion Awards 44
11.4 Externally-funded Scholarships and Grants 44
11.5 Research Grants 45
11.6 Loans and Allowances 45
11.7 Tutoring and Demonstrating 45
12.0 Resolution of Problems 46
12.1 Introduction 46
12.2 General Principles 46
12.3 General Guidelines 46
12.3.1 Seeking Assistance from the Administrative Supervisor 47
12.3.2 Seeking Assistance from the Associate Dean 47
12.3.3 Seeking Assistance Outside the Faculty 47
12.3.4 Lodging a Formal Grievance 47
12.4 Resolving Administrative Difficulties 48
13.0 The Thesis 49
13.1 Introduction 49
13.2 Guide to the Presentation of Theses 49
13.2.1 Layout 49
13.2.2 Citation style 50
13.2.3 Format 51
13.2.4 Pagination 51
13.2.5 Paper 51
13.2.6 Photographic and Colour Copy Illustrations 51
13.2.7 Length 51
13.2.8 Computer Use 52
13.2.9 Specimen Layout of Title Page 53
13.3 Binding 54
13.3.1 Temporary Binding for Examination 54
13.3.2 Permanent Binding of the Thesis 54
13.4 Availability and Withholding of Access to Theses 54
13.4.1 Public Availability of Theses 54
13.4.2 Deposit 54
13.4.3 Copyright and Intellectual Property 55
13.4.4 Withholding Access to Theses 55
13.4.6 Official Information Act 1982 56
14.0 The PhD Examination 59
14.1 Appointment of Examiners 59
14.2 Early Submission 59

4 PhD Handbook
14.3 Submission 59
14.4 Examination 61
14.5 Examination of the Thesis 62
14.6 Arrangement of Oral Examination 63
14.7 Conduct of Oral Examination 63
14.8 Report on the Oral Examination 63
14.9 Minor Amendments and Revisions 64
14.9.1 Minor Amendments 64
14.9.2 Revisions 64
14.9.3 Disputes about Revision 65
14.10 Revision and Re-Submission of Thesis for Second Examination 65
15.0 The University Community 66
15.1 Introduction 66
15.2 Values and Ethos 66
15.3 Collegiality 66
15.4 The VUW Postgraduate Students’ Association 67
15.5 Rights and Obligations Regarding Conduct 67
15.5.1 The Statute on Student Conduct 67
15.5.2 The Policy on Staff Conduct 68
15.5.3 Formal procedures 68
16.0 University Student Services 69
16.1 Student Services Group 69
16.1.1 Accommodation Service 69
16.1.2 Career Development and Employment 69
16.1.3 Counselling Service 70
16.1.4 Childcare 70
16.1.5 Disability Support Services 70
16.1.6 Kaiwawao Maori/ Maori Student Services Adviser 70
16.1.7 MAI Ki Poneke 70
16.1.8 Financial Support and Advice 71
16.1.9 Student Health Service 71
16.1.10 Student Learning Support Service 71
16.1.11 Victoria Interntational 72
16.1.12 Alumni Association 72
16.1.13 Court of Convocation 72
16.2 Student Union Complex 72
16.2.1 Student Union Building 72
16.2.2 Recreation Centre 73
References 74
Appendix 1: Summary of Tasks and Responsibilities 75
Appendix 2: Summary of Role Responsibilities 77
Appendix 3: Statute for the Degree of Doctor of Philosophy 86

PhD Handbook 5
International Students
If you are an international student who is not currently enrolled, there are things you will need to
know before you read the PhD Handbook. Please contact Victoria International www.victoria.ac.nz/
international/; email victoria-international@vuw.ac.nz; tel 64 4-463-5350.

Postgraduate Student Website


PostgradLife is a student-centred website that aims to provide students with ‘everything they need
to know’ about postgraduate study at Victoria. As well as linking directly to relevant sites, it offers
practical advice and support, and a forum for students to post details about their research online
www.victoria.ac.nz/postgradlife

The PhD Handbook was updated by the Research and Postgraduate Studies office in 2008. Comments
and suggestions for improvements are welcome: researchoffice@vuw.ac.nz.

Web access to policy information and the guidelines referred to in the PhD Handbook can be viewed
at: www.victoria.ac.nz/home/about/policy/research.aspx The web version of the Handbook is likely to
contain any recent updates or changes and can be downloaded directly at www.victoria.ac.nz/home/
about/newspubs/universitypubs/phd_handbook.pdf

6 PhD Handbook
Preface
To the Candidate
On behalf of Victoria University of Wellington, I would like to welcome you to your PhD studies
at this institution. The PhD Handbook is an important dimension of the support we provide for all
our students enrolled at doctoral level. The Handbook offers you and your supervisor guidance on
many aspects of the process of supervised research, which is a distinctive feature of study for this
degree. The information provided in the Handbook is governed by the PhD Statute and policy of the
University.

Parts of the Handbook draw attention to the amount of effort and time you will have to commit to
completing your PhD. These are important issues, but we would also like you to realise that study
for this degree poses exciting challenges and holds out the prospect of significant (and well-earned)
rewards. Many of the rewards of study for the PhD degree are what we might call ‘intrinsic’; they
are a consequence of your commitment to undertake intensive original work in your chosen field of
study. During the course of your research you will build upon your previous education and training to
work at the highest scholarly level and produce a thesis that will make a significant contribution to
your discipline. PhD theses are evaluated by international standards, often by examiners from around
the world, so the award of this degree is a mark of truly global academic distinction.

In addition to these intrinsic benefits, study undertaken for your PhD will provide you with what
could be termed ‘extrinsic’ opportunities to improve yourself professionally. You will develop
and demonstrate skills in research; analysis; theorising; organising your work and time; written
communication in the language of your discipline; and verbal presentation skills. These skills provide
the basis for further academic work and they are also likely to be invaluable in a wide range of other
occupations, pastimes and forms of community service. We know from the research that students
are more likely to complete their degree if they develop academic and social connections with their
peers, as well as spending serious and concentrated time on their studies. I hope that the information
presented in this handbook will help to ensure that your experience as a PhD student at Victoria is a
well-rounded one, and that it will be enjoyable, intellectually stimulating and ultimately, rewarding.

Neil Quigley
Deputy Vice-Chancellor (Research)

PhD Handbook 7
Staff Holding Administrative Positions
At the time of publishing, these details are correct, but users should refer to the website for any
updates.
Deputy Vice-Chancellor (Research), Professor Neil Quigley
PhD Convener, Convener of the Research Degrees Committee, Professor Laurie Bauer, x5619
Research Manager, Dr Theresa Sawicka, x5190
Postgraduate Research Coordinator, x6112
Scholarships Manager, Philippa Hay, x7493

Associate Deans and Delegated Authorities


Architecture and Design, Professor George Baird, x6231, Postgraduate Coordinator
Commerce and Administration, Professor Sally Davenport, x5144, Associate Dean (Graduate Studies
and Research)
Education, Professor Luanna Meyer, x9598, Professor of Research
Humanities and Social Sciences, Associate Professor Allison Kirkman, x5676, Deputy Dean
Law, Professor Tony Angelo, x6324, PhD Adviser
Science, Shona de Sain, x8068, Associate Dean (Students)

Managers, Faculty Offices


Architecture and Design, Sandra France, x6217
Commerce and Administration, Lois Baillie, x5087
Education, Jenny Calder-Smith, x9569
Humanities and Social Sciences, Kristina McGuiness-King, x5192
Law, Alison Munro, x6975
Science, Johann Barnard, x5980

Other advice and support


Senior Academic Policy Adviser, Jenny Christie, x5191, Office of Assistant Vice-Chancellor (Academic),
Robert Stout Building, Room 205
Facilitator and Disputes Adviser, Jon Everest, x5023, 14 Wai-te-ata Road, Room 207
VUWSA Education Coordinator, Sandra Crews, sandra.crews@vuwsa.org.nz x6984. Ground floor,
Student Union Building, www.vuwsa.org.nz or through VUW Students’ Association 0-4-463 6716

Contacting VUW staff


All extension numbers beginning 5xxx or 6xxx may be dialled from outside the University by adding
the prefix 463. Extension numbers beginning 8xxx may be reached by calling the automated
attendant on 0-4-463 5233, then dialling the extension required. Individual staff email addresses
follow the form: firstname.lastname@vuw.ac.nz

8 PhD Handbook
Abbreviations
AVC (Academic) Assistant Vice-Chancellor (Academic)

CRI Crown Research Institute

DVC (Research) Deputy Vice-Chancellor (Research)

HEC Human Ethics Committee

HoS Head of School

PG Coordinator Postgraduate Coordinator

PGSA Postgraduate Students’ Association

PhD Convener Convener of the University’s Research Degrees Committee

PhD Statute Statute for the Degree of Doctor of Philosophy

PhD Policy PhD Policy: Approving, Enrolling, Supervising and Examining Candidates

RDC Research Degrees Committee (a committee of the Academic Board)

SCS Student Computing Services

SRC School Research/Postgraduate Committee (the committee in each school


responsible for advising the HoS on research and postgraduate matters)

URC University Research Committee

UTDC University Teaching Development Centre

VUW Victoria University of Wellington

VUWSA Victoria University of Wellington Students’ Association

PhD Handbook 9
1.0 Introduction
1.1 Aims of the PhD Handbook
The aims of this handbook are to:

• provide PhD candidates, PhD supervisors, Heads of Schools and Associate Deans with guidelines
for the academic management of the PhD degree;

• inform PhD candidates of the resources and services available at the University to support their
research.

The Handbook is published every two years, but the PhD Policy and Statute are updated more
frequently. The most recent versions of these documents may have significant differences from the
Handbook and should be referred to at www.victoria.ac.nz/home/about/policy/research.aspx

1.2 Staff involved in the Management of PhDs


Many staff are involved in the management of each PhD candidacy. The descriptions given here are
introductory and more detailed information is provided later in the Handbook and in the appendices.
In Appendix 1 there is a summary of key tasks and responsibilities and Appendix 2 has a summary of
key role responsibilities for quick reference.

1.2.1 The Supervisors


Supervisors are the staff members appointed by the University to take academic responsibility
for guiding a PhD candidate during the period of research and writing up. Each candidate works
under the guidance of two supervisors. The supervisors may be appointed as ‘primary supervisor’
and ‘secondary supervisor’, or both supervisors may ‘co-supervise’ a candidate. The appointment of
supervisors is outlined in Chapter 5, and the role of supervisors is discussed more fully in Chapter 7.

1.2.2 The Administrative Supervisor


In addition to two academic supervisors, each PhD candidate will have an Administrative Supervisor
who is usually the head of the school of registration. The Administrative Supervisor is responsible for
the School/Faculty paperwork involved in the candidacy (e.g. for ensuring that six-monthly progress
reports are provided). The Administrative Supervisor is normally the first source of advice for the
supervisors, and the first source of advice beyond the supervisors for the candidate. The person who
fulfils the role of the Administrative Supervisor varies from faculty to faculty.

The administrative responsibilities for PhD students are routinely delegated by the Head of School to
the School Research/Postgraduate Committee or to another member of staff. School Postgraduate
Coordinators often fulfil this role and they also serve as the initial point of contact for potential PhD
students.

10 PhD Handbook
1.2.3 The Head of School
The Head of School (HoS) role varies from faculty to faculty and from one school to another. In
the Faculties of Humanities and Social Sciences, Education and Science, the HoS will normally
be the Administrative Supervisor. In some cases, this task is delegated to another member of
staff. Regardless of whether the HoS has this role, they will have responsibility for making
recommendations on supervisors to the Associate Dean and for approving the arrangements for
access to school facilities for PhD candidates. Schools appoint Postgraduate Coordinators (PG
Coordinators) to manage postgraduate matters. The HoS (or school administrator) will be able to
direct students to the appropriate PG Coordinators. In each school, the HoS is assisted by a School
Research/Postgraduate Committee, which vets thesis proposals and provides advice on issues of
postgraduate student management.

1.2.4 The Postgraduate Coordinator/Director


The Postgraduate Coordinator in each school is responsible for providing information and guidance to
prospective and enrolled PhD students and supervisors within a subject area. Specific responsibilities
include:

• discussing potential research projects with a candidate and making decisions about their
suitability;

• referring prospective candidates to possible supervisors;

• vetting initial research proposals in conjunction with the School Research Committee (SRC);

• ensuring that the candidate has two supervisors;

• overseeing acceptance of a candidate within a school;

• ensuring that the candidate has a copy PhD Handbook;

• ensuring that records are kept and six monthly progress reports are monitored;

• liaising with the Associate Dean over progress;

• providing candidates with university and additional school-specific criteria for progressing from
provisional to full registration;

• overseeing the transfer of a candidate from provisional to full registration;

• providing advice and support for supervisors;

• responding to student queries and concerns; and

• managing all administrative procedures with school administration staff.

The PG Coordinator may also run research seminars and be a member of the SRC.

1.2.5 The School Research/Postgraduate Committee


The School Research/Postgraduate Committee (SRC) is responsible for management of PhD
candidature in the School. Roles include vetting thesis proposals and developing guidelines in
addition to the University criteria for the movement from provisional to full registration.

PhD Handbook 11
1.2.6 The Associate Deans
In each faculty an Associate Dean or delegated authority is responsible for the approval of all
administrative decisions and for all academic matters related to the PhD degree programmes of
candidates within their faculty. The Associate Deans (see page 8 for contact details) will normally
consult with supervisors and Administrative Supervisors on such matters.

In all faculties, the Associate Deans have responsibility for approving provisional registrations,
confirming registrations and granting extensions and suspensions. They also have an advisory role,
and should normally be the first person to be approached with any matters relating to supervision,
funding and grievances which have not been dealt with by the PG Coordinator, Administrative
Supervisor or the Head of School.

1.2.7 The Faculty Office


The appropriate Faculty Office is the central processing and service centre for all administrative
details related to the PhD candidature. The areas of responsibility of the Faculty Office include the
administration of registration, extensions, suspensions, fees, receipt of six-monthly progress reports,
receipt of the thesis, sending the thesis to examiners, and official notification of results. The Faculty
Office should be able to provide any information required about these administrative processes - see
page 8 for contact details.

1.2.8 The PhD Convener


The Research Degrees Committee (RDC) is convened by the PhD Convener, who is appointed by the
Deputy Vice-Chancellor (Research). The PhD Convener approves the examination arrangements for
PhDs in consultation with the relevant Associate Dean, assesses examiners’ reports, grants extensions
and suspensions for candidates over five years and makes a decision concerning the examination
result on behalf of the RDC.

1.2.9 The Research Degrees Committee


The Research Degrees Committee (RDC) of the Academic Board has responsibility for ensuring
that the processes concerning the PhD are appropriately consistent across the University. The RDC
approves the examination arrangements for PhDs in consultation with the relevant Associate Dean,
considers examiners’ reports and makes a decision concerning the examination result.

1.2.10 Research and Postgraduate Studies Office


The Research and Postgraduate Studies office assists in the formulation of policy, supports research
administration in the University (including scholarships), liaises with schools and faculties and
provides advice and assistance in support of staff and student research. They may also be consulted
about problems relating to PhD candidacy if matters cannot satisfactorily be resolved at the School
or Faculty level.

The office can provide information and advice on university research policy and procedural matters
that may arise in the course of a PhD candidature. Further information is available at http://
intranet.victoria.ac.nz/research-office/

1.2.11 The Deputy Vice-Chancellor (Research)


The Deputy Vice-Chancellor (Research)(DVC (Research) is responsible for the development of
the University’s research policies, the appointment of Honorary Research Associates as external
supervisors and chairs the University Research Committee. Academic grievances concerning PhD
candidacy are dealt with by the Assistant Vice-Chancellor (Academic) who will consult with the DVC
(Research).

12 PhD Handbook
2.0 Background to the PhD
2.1 The Place of the PhD Degree in the University
The PhD is the highest degree awarded by the University for research work carried out under the
immediate supervision of its staff or, in approved circumstances, staff of other institutions. The PhD
candidature involves a commitment from candidate, supervisors and the University which extends
over some years.

Research is fundamental to the University; the PhD degree is a key part of the University’s research
activity and training. The enhancement of research is recognised in the University as a vital element
in its national and international responsibilities. The University has a commitment to build upon
an already high national and international reputation in many fields of research through a range
of strategies, including the provision of an environment which fosters postgraduate students and
postgraduate training. The University acknowledges a responsibility to ensure that candidates for the
PhD degree work in an appropriate intellectual and academic environment.

A full description of the University’s mission and values is set out in the University Charter. A copy
is held in the main collection of the Library. Heads of Schools hold copies of the Charter and the
current Strategic Plan. These documents are available on: www.victoria.ac.nz/council/publications.
htm

2.2 Academic Requirements of PhD Study


Candidates for the PhD are normally expected to have obtained a first or second class pass in an
Honours degree or a Master’s degree. However, candidates may also be admitted on other criteria at
the discretion of the Associate Dean on the recommendation of the School.

Experience shows that candidates are unlikely to succeed unless they have a strong interest in a
substantial research project and a commitment to complete the project. Other qualities which have
been found to be important to success include the following: self-discipline (particularly in relation
to work habits); persistence in the face of setbacks; ability to evaluate one’s own work; willingness to
respond effectively to advice and criticism; ability to work independently; willingness to work within
the scholarly tradition; and good writing ability. It is particularly important for candidates whose
first language is not English, but who are proposing to write their thesis in English, to demonstrate
proficiency in writing English. Although it may seem obvious, it is also necessary for a candidate to
be sure that they have the time available to undertake the research. Stable financial and personal
circumstances are also important factors in success. While it is possible to succeed in spite of
difficulties in some of these areas, prospective candidates need to be aware of likely problems, and
are advised to develop strategies to minimise their impact, thus enhancing the chances of success.

A candidate will only be accepted for a PhD if the School concerned is satisfied that it can provide
adequate supervision and resources for the proposed topic, if the Library has adequate resources to
support the research, and if the proposal meets the University’s ethical standards. These requirements
are for the protection of both the candidate and the University; only if the University can meet the
candidate’s research needs will the relationship be mutually beneficial.

Candidates are expected to demonstrate a capacity for independent research and an ability to make
a substantial contribution to knowledge and understanding in their field. These are the standards
which will be used in the examination of the thesis.

It is also expected that candidates will make a contribution to the ongoing intellectual life of the
School in which they are registered. This includes taking an appropriate part in school or faculty

PhD Handbook 13
activities, both formal and informal, and exchanging ideas with staff and other students through
seminars, email and other forms of informal discussion. Candidates can expect that schools will make
such opportunities for participation available.

At Victoria University of Wellington, the PhD is assessed entirely on the presented thesis.
Occasionally a school will ask a candidate to undertake certain papers, or simply to attend certain
lectures, to obtain background necessary to aspects of their PhD research. Permission is required to
enrol in any additional papers (see 6.20). The results from such papers do not form part of the final
assessment of the PhD.

Apart from such papers as the School may consider necessary, candidates are discouraged from
attempting any other academic study together with a PhD because of the demands of a PhD thesis.

The minimum period of enrolment is 24 months but in the majority of cases, it takes at least 36
months to complete a satisfactory research project and write it up. For half-time candidates, the
total period for completion will, of course, be longer. The minimum period of enrolment for half-time
candidates is 36 months (PhD Statute 4.2 (b)).

14 PhD Handbook
3.0 An Outline of the Process
3.1 Initial Approach to the School and the University
Potential candidates need to be accepted both by the University and the School in which they
wish to enrol. Victoria University of Wellington (VUW) schools have web pages detailing degrees
offered, staff and their research areas and contact details. The VUW website www.victoria.ac.nz is
an excellent starting point for those interested in gathering information on what the University and
each school has to offer.

Prospective candidates should begin by making informal contact with the School concerned. At this
stage, candidates will need to supply:

• academic background information, particularly showing evidence of prior research experience;

• a curriculum vitae;

• as much detail as possible about the proposed area of research; and

• details of any funding which has been obtained or which is being sought, for example,
scholarships, industry sponsorship etc.

This will enable the School to make an initial assessment of whether a candidate has a suitable
academic background, and whether the School is able to provide adequate supervision and resources.

3.2 Developing a Proposal


Once agreement has been reached that the project is likely to prove viable, and that the School is
able to provide adequate supervision and resources, the prospective candidate will be invited to
submit an initial research proposal. Supervisors will then be nominated and any ethical approvals
required will be sought. See Chapter 8 for information regarding ethical approval.

3.3 Provisional Registration


When the proposal is accepted, the candidate will be registered provisionally for a period of 12
months. This may be backdated to include the time spent developing the proposal. Provided that
satisfactory progress is made and that university requirements are met, registration will be confirmed
within 15 months (see 6.12 and 6.13).

3.4 The Research Period


It is normal for supervisors to require sections of the research to be written up in the course of the
research period. Such written reports allow a better assessment of progress and can also serve as the
basis for the final thesis. Students doing experimental work are also encouraged to keep log books
documenting their work.

During the period of enrolment, six-monthly progress reports are required. These give candidates, as
well as supervisors, the opportunity to take stock of progress.

There are likely to be periods of great progress, but candidates should also prepare themselves for
moments when they feel overwhelmed, unmotivated and unable to clearly map out the next step.
They are encouraged to try to develop an organised work system, to maintain close contact with, and
seek advice from, their supervisors, and above all to realise that most other students experience the
same difficulties and are able to work effectively through these and progress to completion. Student
Learning Support Services offer seminars to support postgraduate research students (see 16.1.10).

PhD Handbook 15
3.5 Writing-Up and Submission
In due course, the candidate will decide that the research phase has proceeded to the point where
writing-up should begin. While further research may be prompted by this process, the candidate and
supervisors should be focusing on writing-up.

The writing-up process concludes when the candidate decides that the thesis is ready for
examination. The agreement of the supervisors is not required, although it is usual for supervisors
and candidate to reach mutual agreement on this. The agreement of the supervisors does not imply a
successful result from the examination process.

A thesis should be presented in a form which is suitable for examination in the discipline concerned
and it should conform to all other formal requirements of the University for presentation, including
word limits.

When the candidate indicates the thesis is complete, supervisors should review the thesis before
application for examination is made. This review period should not usually exceed four weeks. If the
supervisors are of the opinion that the thesis is incomplete, they may recommend to the Associate
Dean that the thesis is not acceptable for examination, in which case the candidate should continue
working on the thesis until it is acceptable.

Candidates should consult section 4.14 of the PhD Policy for the regulations on submission. Where
the Statute has changed, candidates may elect to complete under the regulations that existed at the
time of enrolment subject to the conditions outlined in the Personal Courses of Study Statute section
22 (a) to (c).

3.6 Examination
The thesis should then be printed, soft bound and submitted for examination. The examination
procedures are fully specified in Chapter 14. The procedure following the examination will depend
on the result of the examination. If the degree is to be awarded, then any necessary corrections will
be made, and the thesis hard bound. Two copies (one hard bound and one electronic) will then be
deposited in the Library. If the thesis requires substantial re-writing, a timeframe will be set and
the candidate will be given guidance on the required re-writing. In due course, the thesis will be
re-submitted and the examination process will begin again. If the thesis fails to meet the standard
required of a PhD thesis, the candidate may be offered a Master’s degree. It is possible the thesis may
be rejected completely, in which case the candidacy will be terminated.

16 PhD Handbook
Process of submission of a PhD thesis at Victoria University of Wellington
1. Approval of examiners

Candidate gives Supervisor suggests

PhD Handbook
notice of intention School nominates Associate Dean PhD Convener
examiners and checks examiners approves examiners confirms examiners
to submit with candidate
3.7 Flowchart Summary

2. Submission and examination of thesis

Faculty Office Yes Associate Dean


Candidate submits Faculty Office monitors Examiners send Examiners makes
thesis to Faculty sends out thesis examiners’ reports to Faculty agree? recommendation
Office to examiners progress Office to PhD Convener
No
No
Internal
Internal Examiner Candidate makes Referee appointed Referee Examiner/Associate
signs off changes changes needed? Dean seek
Yes compromise

Yes
Associate Dean No
makes PhD Convener Changes Oral examination
recommendation confirms award of needed? takes place if
to PhD Convener degree required

Candidate On seeing the library receipt, the Faculty Office

17
deposits thesis in informs the PhD Convener of completion and
the Library arranges graduation
4.0 Research Proposals
4.1 Initial Proposal
The initiative in seeking PhD enrolment usually lies with the candidate. Prospective candidates are
advised to think carefully about the kind of research project to which they would like to commit
themselves. The topic must be suitable to meet the academic requirements of a PhD. The initial
research proposal (minimum one page) should detail the project, the method of study and any ethical
considerations. Candidates should always enter into their topic in a spirit of genuine enquiry. Those
who enter into a topic thinking they already know the answers to their central questions or who are
emotionally committed to an outcome, may very well find that their topic is not a good choice. The
next step is to discuss the potential project with the Postgraduate Coordinator (PG Coordinator) of
the relevant discipline, who will refer them to possible supervisors.

The School concerned must be satisfied that it is able to provide appropriate supervision and
resources for the proposed topic. The School must also ensure that the candidate will be offered
supervision during periods when supervisors are on research and study leave or in the event that a
supervisor may take up employment elsewhere.

The minimum resources available to thesis students in all schools of the University are outlined in
the Minimum Resources Agreement negotiated between the PGSA and Victoria University in 2006:
see https://intranet.victoria.ac.nz/research%2Doffice/postgraduate/minimum-resources.aspx Where
students require additional resources for the project, this must be negotiated with the Head of
School (HoS) when the student first enrols and recorded in a Research Memorandum. This document
becomes part of the record of registration (see the PhD Policy section 4.3 (b)). The School Research/
Postgraduate Committee (SRC) will then scrutinise the initial research proposal and Research
Memorandum, and make a recommendation to the HoS. It is the HoS’s responsibility to approve the
School taking on a PhD candidate.

Special care should be taken where a project requires access to confidential information from
outside the University. If it is clear that ethical approval is required from the Human or Animal Ethics
Committee, the candidate should be directed to the University’s ethical guidelines. See also Chapter
8 of this handbook.

If the HoS approves the recommendation from the SRC, the applicant, all the supervisors and the
HoS complete the application form and then return the form, the initial proposal, the Research
Memorandum, and the SRC recommendation to the Faculty Office for final approval by the Associate
Dean.

If a candidate has not yet received the PhD Handbook the PG Coordinator will provide them with a
copy.

An Outline of the Application Procedure for PhD Candidates can be found at http://intranet.victoria.
ac.nz/research-office/forms-and-templates.aspx

4.2 Research involving Confidential or Sensitive Material


Candidates should be aware that theses are public documents and are subject to scrutiny not only
by a community of scholars, but also the general public. If a research proposal is likely to result in a
request for the withholding of access to the thesis, the issues should be addressed at the outset of
the project. Candidates need to discuss the possibility with their supervisors. A request to withhold
access to a thesis is a formal process and approval is not lightly given. Further advice can be found in
13.4.

18 PhD Handbook
4.3 Research Proposals from Scholarship Holders
Overseas candidates who are scholarship holders must formulate a proposal before enrolment is
approved. As scholarships may be paid, in some instances, from the day of the candidate’s arrival in
New Zealand, candidates must be able to start work on their projects as soon as they arrive or they
may be disadvantaged by the scholarship coming to an end before the project is completed. The
holding of a scholarship is always conditional upon the scholarship recipient gaining enrolment as a
PhD student at Victoria University.

4.4 External Party Involvement in the Support of Research Students


External parties may include researchers from other universities, research institutions (e.g. Crown
Research Institutes), government bodies or the private sector. This involvement may include co-
supervision, provision of data, support for research and support for the student. The PhD Policy
requires that the particular conditions governing sponsorship and supervisory arrangements between
all parties are specified clearly in a written agreement at the outset of a candidature in order
to reduce the risk of any future misunderstandings. The guidelines for managing external party
involvement are available at http://intranet.victoria.ac.nz/research-office/forms-and-templates.aspx

PhD Handbook 19
5.0 Supervisors
5.1 The Appointment of Supervisors
Each candidate will be assigned three supervisors. Two supervisors will be responsible for academic
guidance and the third will be responsible for administration (Administrative Supervisor).
One academic supervisor may be appointed as the primary supervisor (the other becomes the
secondary supervisor) or both academic supervisors may ‘co-supervise’ a candidate. A PhD may be
interdisciplinary and in such cases it is desirable for supervisors to be appointed from each discipline.
However, candidates will be registered with only one school.

The primary supervisor will normally be a full-time teacher at the University in the sense of
the Victoria University of Wellington Act 1961. This includes Professors, Readers and Associate
Professors, Senior Lecturers, Lecturers or, in individually-argued cases, people holding appointments
such as research fellowships. Only those staff who have a doctorate and/or appropriate experience
and training can be appointed as primary supervisors. Supervisors are appointed by the Associate
Deans or delegated authorities on behalf of the Academic Board, following nomination by schools.

If the primary supervisor is absent from the University for any period longer than a month, the
supervisor and Head of School need to ensure that alternative supervision arrangements are in place.
The role and responsibilities of supervisors are discussed in Chapter 7.

5.2 The Administrative Supervisor


The Administrative Supervisor is generally the Head of School (HoS) in which the student is enrolled.
In the case of an inter-disciplinary thesis involving more than one school/programme, responsibility
lies with the HoS with which the student is most closely associated. There will be some cases in
which it will be inappropriate for the HoS to assume this role. One reason for this could be that they
are the primary supervisor. In such cases the responsibility should be delegated to another staff
member.

5.3 Changes to the Supervisory Team


If changes are required to the supervisory team, the Administrative Supervisor seeks approval from
the Associate Dean by providing a rationale for the change and the appointment of new supervisors.
The changes take effect on the Administrative Supervisor’s receipt of the Associate Dean’s approval.
Changes in supervision, which compromise the ability of the former supervisor to take any role in
the assessment of the student, must be notified to the Research Degrees Committee by the Associate
Dean.

5.4 Supervisor Training


If a staff member has not already acted as a primary supervisor or co-supervisor of at least one
doctoral candidate or of three masters’ candidates, it is the Head of School’s responsibility to ensure
they attend a professional development programme for supervisors, organised by the Research and
Postgraduate Studies office. Staff who are new to the University, but who are already experienced
supervisors, are expected to attend the training session dealing with Victoria University’s statutes
and policies. It is advisable that staff who have not previously supervised any candidate should act as
secondary supervisor to a primary supervisor in order to gain experience.

20 PhD Handbook
5.5 External Supervisors
Other supervisors may include part-time teachers or other scholars and researchers from within
New Zealand or overseas. If it is proposed that a scholar outside the University be appointed as
a supervisor, the Administrative Supervisor must make an appropriate recommendation, through
the Associate Dean, to the Deputy Vice-Chancellor (Research) or their delegated authority for the
appointment of this person as an Honorary Research Associate (HRA) see: https://intranet.victoria.
ac.nz/research-office/postgraduate/forms-and-templates.aspx#hra The recommendation must be
accompanied by a curriculum vitae. If the external supervisor has not already acted as a primary
supervisor or co-supervisor of at least one doctoral candidate or of three Masters’ candidates, they
will be invited to participate in a professional development programme or receive an information
pack.

If the HRA belongs to an external organisation, for example a Crown Research Institute, an
agreement between Victoria University, the candidate and the external party must be reached before
the project commences. The agreement will address issues relevant to the relationship including the
expectations and obligations of the parties concerned. It will also establish the terms and conditions
under which it is intended that the project proceed, including provisions for revisiting the agreed
terms which should be monitored in the six-monthly reports. Any agreement must also comply with
the Intellectual Property Policy and the Management of External Research Consultancy and Related
Contracts Policy. These can be found on the policy database on the University website.

External supervisors will also be given the contact details of the Postgraduate Coordinator in the
candidate’s school and a PhD Handbook. Guidelines for supervisory arrangements with external
parties outside the University can be obtained from the Research Office website. Responsibility lies
with the Primary Supervisor to ensure that the candidate and all supervisors are fully aware of the
agreed responsibilities, including the completion of six-monthly reports. It is also important that
the Administrative Supervisor ensures that the primary supervisor accepts responsibility for seeing
the PhD project to completion. The Administrative Supervisor should convene a meeting with the
supervisors and candidate to discuss and clarify these issues.

PhD Handbook 21
6.0 Formal Admission and Registration Requirements
6.1 Admissions Criteria
Candidates will normally have a first or second class pass in an Honours or Master’s degree. This
degree need not have been in the subject area of the PhD research, provided candidates can
demonstrate adequate competence to undertake the proposed research.

Candidates whose academic qualifications were gained outside New Zealand (including university
staff) should apply through the appropriate Faculty Office for admission with graduate status (ad
eundem statum) with the right to apply for registration for a PhD. They should provide as much
evidence as possible to permit the relevant school/ Faculty Office to evaluate their qualifications
relative to the standard of a local Honours or Master’s degree. Victoria International staff are able
to provide assistance to administrative staff or potential candidates with evaluating qualifications -
email victoria-international@vuw.ac.nz; tel 0-4-463 5350. Only when admission ad eundem statum
has been granted can an application for registration be prepared and submitted.

The Associate Dean may also admit other persons who can show evidence of adequate training
and ability (see the PhD Statute, 4.1(a) (iii)). Entry under this section of the PhD Statute requires
candidates to satisfy the Associate Dean, who will seek advice from the Head of School, that they
have demonstrated a level of ability and relevant experience equivalent to that necessary to obtain a
first or second class Honours or Master’s degree.

Admissions for a PhD can take place at any time of the year.

6.2 Conversion of a Master’s Degree to a PhD


It is possible for a student who has not yet submitted the Master’s thesis to convert their enrolment
from a Master’s degree into a PhD degree. If the supervisor believes that the student enrolled in
a Master’s degree has demonstrated the aptitude and level of competence required for PhD study
and the research, with modifications, could form the basis of a PhD thesis, the supervisor should
discuss a conversion to a PhD with the student. If it is agreed to convert to a PhD, the student and
the supervisor must discuss the change of status with the School Research/Postgraduate Committee
(SRC), who must be satisfied that the existing supervisor is appropriately qualified and experienced to
supervise the student at the PhD level. The SRC will also ensure that a second supervisor is available
to be appointed. The student and the three supervisors will agree in writing on the additional work
required for the new degree. This document will substitute for the initial research proposal in the
application for a PhD. If the application is approved by the Associate Dean, the student will be
deemed to have been provisionally registered for the degree of Doctor of Philosophy from the date of
registration for the Master’s degree, but will still have to satisfy the requirements for full registration.

6.3 International Students


International students must be granted admission ad eundem statum before they can apply for a
student entry visa. Prospective candidates should therefore seek this admission at an early stage,
as financial and accommodation guarantees must also be given before a visa is issued. Applications
must be made through Victoria International, www.victoria.ac.nz/international/; email victoria-
international@victoria.ac.nz; tel 0-4-463 5350. Please also refer to page 6 and section 16.1.11.

22 PhD Handbook
6.4 Applications to Register
Applicants for a PhD should obtain an application form from the appropriate Faculty Office. This form
should be completed by the candidate once the School is satisfied with the viability of the project.
The form must be signed by the Head of School and supervisors and returned to the Faculty Office. It
will then be forwarded to the Associate Dean.

Students are deemed to be full-time when they are able to devote a minimum of 30 hours per week
to the thesis, on average, over the year. This excludes statutory holiday periods. Students who cannot
work on the thesis for the amount of time specified above are enrolled as half-time students.

6.5 Approval of Provisional Registration


The Associate Dean will consider the application, and if approval is given, the candidate will be
granted provisional registration. The Associate Dean will consult with the Head of School if any
difficulties arise. To pass from provisional to full registration the School Research/Postgraduate
Committee and the supervisor must be confident that the student has demonstrated the aptitude
and level of competence required for PhD study and that the project is viable. International students
may have to fulfil additional requirements.

In the case of conversion from a Master’s to a PhD there is no provisional registration although
candidates must still fulfil all requirements as set out in 6.2. Refer also to 6.13.

6.6 Enrolment and Payment of Fees


Candidates will be advised by the Faculty Office in writing to enrol and pay the necessary fees
(tuition fees, Students’ Association Fee, Student Services Levy and Student Assistance Scheme and
Amenities Levy). Enrolment entitles a candidate to: access to supervision; access to Library and
Information Technology Services; and access to school-based services and resources.

6.7 Annual Re-enrolment


Candidates must re-enrol annually within one month of the expiry of the previous period of
enrolment. After two years, re-enrolment may be carried out on a six-monthly basis.

6.8 Attendance at University and Study at a Distance


The candidate is expected to maintain close contact with the School in which they are registered.
In some programmes the nature of the research will require that candidates work in the School and
in these cases laboratory and/or study space will be provided in the University. Candidates in other
programmes may need to spend a great deal of time in the Library or field, and either through choice
or because of space limitations in the school; they may also study at home.

Any half-time student has to agree with the School on their period of attendance during each year
and their minimum period of enrolment shall be determined by the Associate Dean in accordance
with the PhD Statute 4.2(b).

Permission will not normally be given for students to work away from the University until full
registration has been achieved, but permission for absence from the University of up to one month
may be granted to undertake fieldwork or library searches necessary for the preparation of the full
proposal for the thesis during the period of provisional registration.

Where registered students are working away from the University a School memorandum for PhD
Study at a Distance is required (go to: http://intranet.victoria.ac.nz/research-office/postgraduate/
forms-and-templates.aspx). The normal practice is that candidates will reside within reasonable

PhD Handbook 23
proximity to the University. Candidates and supervisors will be expected to provide the Associate
Deans with a rationale for prolonged absence from the Wellington region. This rationale must take
account of academic considerations, give an assurance of regular contact (for example by phone, fax
and/or email) and schedule meetings at regular intervals in Wellington.

Candidates who are working away from an institution and regular supervision need to be highly
motivated and thoroughly prepared. In such circumstances the following must be considered:

• a minimum expectation is that students will spend one month per year of study (regardless of
being full-time or half-time) attending the University or under equivalent supervision organised
by VUW;

• regular contact and reporting by the candidate is expected;

• a memorandum for PhD Study at a Distance must be approved by the School Research/
Postgraduate Committee;

• a required period of preparation within the University before the candidate departs for periods
of data collection etc;

• a required period of writing-up within the University before submission of the thesis; and

• contributions from the candidate to seminars etc while the candidate is working within the
University are expected.

6.9 Employment
Half-time candidates whose normal place of work includes research facilities should not
automatically assume that they might use these facilities rather than those at the University. In all
such cases, specific approval must be obtained from the Associate Dean and will be granted only if
it is clear that the arrangement is in the interests of the research project and will not unnecessarily
impede the candidate’s appropriate involvement in general school activities.

Time spent in carrying out a candidate’s normal employment duties will not usually be regarded
as part of the period of registration unless that employment is very highly specialised and relates
directly and in detail to the thesis project.

6.10 Period of Overseas Research


Candidates who wish to pursue a period of research overseas must first acquire permission from the
Associate Dean. Scholarship holders should also seek approval from the Scholarships Committee.

6.11 Collaborating Institutions


In some circumstances, PhD research can be successfully undertaken by candidates working in other
institutions. Crown Research Institutes, some hospitals, and some industrial organisations have
research facilities which complement those of the University. The following guidelines should be
addressed by supervisors and candidates when setting up such projects:

• candidates who are working for a major part of their higher degree study in an institution other
than the University should be supervised both by a university staff member who is the primary
supervisor and a designated member of staff of the collaborating institution;

• if it is proposed that a scholar outside the University be appointed as a supervisor, the


Administrative Supervisor must make an appropriate recommendation, through the Associate
Dean, to the Deputy Vice-Chancellor (Research) (DVC Research) for the appointment of this

24 PhD Handbook
person as an Honorary Research Associate. The recommendation must be accompanied by a
curriculum vitae. The appointment will be made for four years. If the external supervisor has
not already acted as a primary supervisor or co-supervisor of at least one doctoral candidate or
of three Masters’ candidates, they will be invited to participate in a Research and Postgraduate
Studies office professional development programme or receive an equivalent package;

• research institutions which wish, and undertake, to provide resources and supervision for PhD
candidates should be invited to enter into agreements for formal academic collaboration with
the University so that collaboration is recognised by the Council and is seen as a long-term
commitment which is of benefit to candidates, to academic staff and to collaborating staff of
the non-university institution;

• placement of candidates into institutions which are doing commercial work should be covered
by a contract in which:

- the candidate’s and the University’s share of income from discoveries is clearly set out;

- the intellectual property rights which may belong to the University, the candidate and the
collaborating institution are recognised and apportioned between them;

- the rights of the University to examine the work of the candidate are protected;

- any agreement to withhold publication for purposes such as taking out patents must be
approved by the Research Degrees Committee (see Library Statute section 4.12.3 (c));

• supervisors arranging for placement of a candidate off campus must refer the case to the
Research and Postgraduate Studies office for advice about the appropriate form of agreement.
Any contract with the collaborating institution requires the approval of the DVC (Research) or
nominee; and

• approval for candidates to undertake research off campus is more likely to be given when the
following criteria are satisfied:

- data collection and examination of base materials can only be carried out off campus;

- the resources of a collaborating institution or establishment have been inspected and found
to be appropriate for the needs of the candidate;

- the staff who will provide day-to-day support to the candidate are willing, able and
qualified to assist the candidate;

- the collaborating institution agrees that the candidate will have access to all suitable
resources for completion of the higher degree;

- the collaborating institution is able to provide a stimulating research environment;

- the collaborating institution will provide ready access for supervising university staff to the
candidate and to the research facilities used by the candidate;

- the candidate is encouraged to present seminars both in the collaborating institution and in
the University.

PhD Handbook 25
6.12 Move from Provisional to Full Registration
The confirmation of full registration is a milestone in PhD candidature. Victoria University expects
this to occur between six and 12 months after the initial registration date for full-time candidates.
Regulations allow a total of 15 months provisional registration for full-time candidates (and 24
months for half-time candidates). The School Research/Postgraduate Committee may terminate
candidature if the student fails to meet the requirements within 15 months of first registration.

PhD students achieve full registration if they demonstrate satisfactory progress of previously
established and agreed upon performance standards. Indicators of satisfactory progress may include:

• knowledge of the literature in the field of study;

• ability to summarise, interpret, evaluate and critique that literature;

• ability to design and interpret research tasks;

• ability to summarise, interpret, evaluate and critique data;

• ability to communicate research findings in formats appropriate to the discipline;

• any other abilities important in the field of study;

• satisfactory completion of any required course work.

Supervisors are required to give serious consideration to these matters. It is in the best interests of
candidates, supervisors and schools that every effort is made to assist the candidate’s progress during
the provisional registration period. It is equally important that candidates should demonstrate an
ability to process with doctoral level work before their full registration is confirmed.

6.13 Confirmation of Full Registration


The move from provisional to full registration requires candidates to meet University criteria (see
6.13.1). Additional criteria may be required by the School or programme where the candidate
is enrolled. School or programme criteria can be obtained from the Postgraduate Coordinator or
supervisor.

To progress from provisional to full registration, the candidate is required to have the approval of
the School Research/Postgraduate Committee. To achieve full registration the candidate must write
a formal research proposal and may also be required to present the proposal orally. If the School
requires the candidate to undertake certain papers as background for the PhD, the papers must
generally be satisfactorily completed before the registration is confirmed.

6.13.1 Full research proposal


As a guide, the proposal will be between 3,000 and 10,000 words. To the extent appropriate in the
discipline the proposal will contain the following elements:

• an outline of the basic thesis/research question;

• appropriate theoretical frameworks;

• a literature review. This is the appropriate way to show that the candidate has understood and
can interpret the literature;

• a demonstration that the methodology is appropriate;

• a statement as to whether ethical approval is required and, if so, whether or not that has been

26 PhD Handbook
obtained from all required institutions. If approval has not been obtained the timetable for
approval is to be noted; and

• a statement that there are no foreseeable cultural, social or legal impediments to the
successful completion and/or publication of the research.

The proposal will establish preliminary goals for the next six months and will contain a tentative
timetable for the completion of the thesis.

It must be submitted to the School’s Research/Postgraduate Committee (SRC). The SRC will scrutinise
the proposal according to the following criteria:

• that the student has sufficient knowledge or understanding of the topic;

• that the proposal outlines an appropriate theoretical framework which will lead to an original
and defensible theory;

• that the proposed research is original or adds value to existing knowledge; and

• that the research can be placed into the existing body of knowledge (for this purpose a
summary of the recent research literature relevant to the topic must be included).

6.13.2 Presentation of the proposal


Candidates may also be required to present their proposal. If this is part of a school or programme
procedure, it is recommended that the presentation be announced in VicNews and open to all who
may be interested.

Schools/programmes are free to determine the format of the presentation and it is recommended
that it include the following elements: the candidate’s summary of the material in the proposal
highlighting key issues, the conceptual framework, any problems anticipated in carrying out the
research and the intended methodology. The candidate may also be given the opportunity to respond
to questions and feedback from the SRC and others in attendance.

6.13.3 Approval
The candidate will send a copy of the proposal, including any suggested revisions to the SRC, along
with a cover letter indicating where changes were made. If some of the suggested changes were
not taken up, the candidate must indicate the reasoning for this. Where there are no changes to
be made, and the SRC has been delegated the authority to accept the proposal, the SRC should
recommend full registration of the candidate to the Associate Dean.

The SRC will assess the proposal and report to the Associate Dean (with copies to the Head of School,
supervisors and the candidate). The report may:

• recommend approval of the candidate’s transfer to full registration;

• require that full registration be delayed by up to six months;

• recommend the candidate transfer to a Master’s degree; or

• terminate the candidate’s registration.

Where registration is to be delayed, the SRC should provide clear and constructive guidance to the
student and supervisor on the steps that are required to gain full registration. Where the decision is
to terminate registration, the SRC should meet with the candidate and explain face-to-face why this
action was taken.

PhD Handbook 27
Full registration is confirmed by the Associate Dean, on receipt of the recommendation from the SRC.
A candidate’s progress during full registration continues to be monitored by six-monthly progress
reports.

Candidates whose registration is terminated have the right of appeal to the Deputy Vice-Chancellor
(Research) through the Postgraduate Research Coordinator in the Research and Postgraduate Studies
office.

6.14 Date of Registration


The date of provisional registration is the date on which the candidate begins work on the course of
study for a PhD. This date is shown on the registration form. If candidates have spent productive time
in developing their research proposal, the date of provisional registration can be backdated to give
credit for that time. The Associate Dean will not usually expect to backdate a registration by more
than about two months from the time of registration.

If the research proceeds smoothly, the date of provisional registration will become the date of
registration. If there are major difficulties in the early part of the project, the Associate Dean may
terminate the provisional registration and request the candidate to consider the possibility of
identifying a new research project.

6.15 Duration of Registration


The PhD Statute requires a minimum registration period of 24 months under clause 4.2(b) for full-
time enrolment and 36 months for half-time enrolment.

The University expects that it will take between two and a half and three and a half years of work
for a full-time candidate to achieve the necessary standard. The thesis is to be presented within four
years of registration. See 6.19 for the implications of extensions and suspensions of registration.

At the time of registration, the Associate Dean will specify a period during which candidates must
be working under direct supervision. During this time, the candidate must be in direct contact with
the supervisors, although he or she may be away from the University working in libraries and similar
institutions. Longer periods in external laboratories or on fieldwork may also be approved, but
individual applications to the Associate Dean by supervisors are required for any extensive “time out”
on the project.

Half-time candidates are required to supply details of their other obligations on the enrolment form.
The Associate Dean must be satisfied that such candidates can reasonably be expected to complete a
thesis within six years from the date of registration and will not normally accept candidates who are
unable to devote regularly at least something close to half normal working hours to the PhD project.

Throughout the candidature, even after completion of the minimum two year period of full-time
research, candidates must maintain direct contact with their supervisors and sustain satisfactory
progress or the registration will be terminated. The same conditions apply to a registration of more
than two years that allows for some other work at the same time as the PhD research. One of
the principal reasons for this requirement is that protracted research may be overtaken by other
researchers working in the same field.

6.16 Notification of Changes to Registration


Candidates must notify the Associate Dean if the circumstances which have been taken into account
in setting the period of registration change in any material way.

28 PhD Handbook
6.17 Maintenance of Registration
The course of study for a PhD is best undertaken continuously and while candidates are working on
PhD projects, their registration must be maintained. If the registration lapses, it can be resumed only
with the permission of the Associate Dean. This permission is not readily given.

6.18 Registration and Other Work


It may be valuable for full-time students to undertake tutoring or other part-time jobs around the
University, but it is recommended that students do not overload themselves with paid work outside
the scholarly work in preparation for the thesis.

6.19 Extensions and Suspensions of Registration


The University discourages candidates from spending an undue length of time on thesis work and it
is expected that theses will be submitted within four years of registration for full-time candidates
or six years for candidates who have been enrolled exclusively half-time. While the regulations state
that the Research Degrees Committee (RDC) through the Associate Dean may grant an extension
beyond the due date, extensions will be granted “only in exceptional circumstances, where good
cause is shown, and will not usually exceed twelve months” (PhD Statute, clause 4.3(e)).

Where, for unexpected reasons, it appears that the candidate’s work on the thesis will be completely
interrupted for a period application should be made to the Associate Dean for suspension of
registration for that period. The minimum period for a suspension is one month.

During the period of suspension the candidate pays no fees, but is not entitled to receive supervision
or to make use of the University’s facilities. Periods of suspension are not included in calculations of
total registration time.

If the candidate wishes to take a break from research it must be approved by the Associate Dean who
will revise the terms on which the candidate was registered and advise the new minimum duration of
registration. Note that this applies also to any change from full-time study, or vice versa.

Applications for variations in the conditions of registration are made through supervisors. An
application for an extension or suspension is made in writing to the appropriate Faculty Office, which
will forward it to the Associate Dean. Applications must have the support of supervisors and Head of
School and should be sent directly to the Faculty Office, along with the candidate’s most recent six-
monthly progress report. All retrospective suspensions are approved by the Convener of the RDC.

6.20 Concurrent Study


If candidates have a genuine reason for undertaking a paper other than any required by the School,
they must apply to the Associate Dean for permission before enrolling in it. Such applications must
have the written support of supervisors and Head of School and set out the reasons why permission
is sought.

6.21 Change of Title


Any change to the provisional title of the thesis should be reported when registration is confirmed
or at any later stage of the thesis prior to its submission. The supervisors, after consultation with the
candidate, should recommend the change to the Associate Dean for approval.

PhD Handbook 29
6.22 Conversion of a PhD to a Master’s Degree
It is possible for a thesis being prepared for a PhD to be converted to and submitted for a Master’s
degree. This may occur at the end of 12 months of provisional PhD registration if no request for an
extension of provisional enrolment is received or there is no endorsement of the candidate’s ability to
progress to full registration.

This option may also be taken if the supervisors believe a student has not demonstrated the aptitude
and level of competence required for PhD study and that the thesis could, with modifications, form
the basis of a Master’s thesis. Written application for conversion to a Master’s degree must be
made to the Associate Dean. The written support of the Administrative Supervisor and supervisors is
needed, as is the agreement of the student.

30 PhD Handbook
7.0 Supervision Protocols
7.1 The Role of Supervisors
Supervisors undertake to guide the candidate through the academic and administrative requirements
of the PhD. They cannot guarantee the success of the project, which is up to the candidate, but they
should have a close interest in the project and a commitment to facilitating its completion.

Good communication and mutual trust and respect are essential for a productive working
relationship with a satisfactory outcome. Supervisors need to have a sympathetic ear and sufficient
time and energy to devote to the task of supervision. It is the Head of School’s responsibility to make
sure that workload is allocated such that supervisors have enough time to carry out the supervisory
role. For this reason, a supervisor should not have too many candidates at one time.

The amount and frequency of academic contact between supervisors and candidates will vary,
depending on the nature of the discipline and the stage of the project, but regular discussions should
be held and adequate records of meetings should be kept. One meeting per month is considered a
minimum. Effective two-way communication is vital. It is important to avoid the situation where
candidates only see their supervisors when real difficulties arise.

7.2 The Responsibilities of Supervisors


The overall responsibility of supervisors is to assist the student to complete their research
successfully within an agreed time frame. The responsibilities of supervisors are outlined below.

7.2.1 Assessing the Student


Before provisional registration, the supervisors should assess the student’s academic and technical
skills and be satisfied before confirmation of registration that appropriate skills do exist or will
develop during the time of the enrolment for the degree.

7.2.2 Providing Academic Guidance


Supervisors should provide guidance on:

• the nature of research;

• the development and refinement of the proposal;

• the planning of the programme;

• the undertaking of a literature review;

• the access to resources (technical and financial); and

• the need to get approval from the relevant Ethics Committee if the research involves human or
animal subjects or tissue.

Supervisors should also:

• identify with candidates the particular research skills that they will need to acquire to
complete the programme of research;

• ensure that appropriate and timely advice is given on requirements regarding style,
presentation and production of theses;

• ensure the candidate is aware of the academic criteria to be met for award of the degree; and

PhD Handbook 31
• have a sense of the expectations of examiners throughout the research process and use that as
a guide in supervising the student’s work.

7.2.3 Scheduling Meetings


Supervisors should, in consultation with the student, arrange regular supervisory meetings. One
meeting per month is regarded as the minimum entitlement, but more frequent meetings will usually
be desirable. Supervisors and students are required to keep a record of the dates of supervisory
meetings and of any significant advice or transactions that are not dealt with in more formal written
reports provided to students. If supervisors are absent from the University for any period longer
than one month they must ensure that the Head of School knows that appropriate supervision
arrangements will be provided during their absence.

7.2.4 Milestones
Supervisors should reach agreement with the candidate on the indicators of progress and the dates
for the submission of appropriate written work, interim reports or research results. Supervisors should
encourage the candidate to make productive use of the available time, ensuring that an appropriate
timetable is set to allow the degree to be completed within the allotted timeframe. Supervisors
should help the student to plan for the writing up of the thesis and to schedule sufficient time for
that purpose.

7.2.5 Providing Feedback


Supervisors should provide regular feedback on progress to the student. Written comments should be
made on work submitted by the student. As a guide, feedback should be provided within two weeks
in the case of relatively short pieces of work, and a maximum of four weeks for substantial thesis
drafts.

7.2.6 Identifying Problems


Supervisors should ensure that the student is made aware of inadequate progress or of standards
of work below that generally expected. They should identify the problems and suggest ways of
addressing them.

7.2.7 Six-monthly Progress Reports


Six-monthly reports are required as part of the postgraduate supervision process in May and
November in each year of enrolment. The report template is available at https://intranet.victoria.
ac.nz/research-office/postgraduate/forms-and-templates.aspx

While the Faculty Office initiates the six-monthly reporting process, the report writing is the
responsibility of the supervisors, in close conjunction with the student. Identified problems and
proposed methods of addressing them should be discussed with the student before the report is
finalised.

The final version of the six-monthly report, which has been agreed to and signed by the student and
supervisors, must be reviewed by the Head of School (HoS) before being submitted to the Associate
Dean. A copy must be provided to the student. The report will then be filed in the student’s file held
by the relevant Faculty Office. Except in exceptional circumstances, the Associate Dean will not
approve applications for re-enrolment unless one six-monthly report for the previous enrolment
period is held in the student’s file.

Where there are major or continuing problems with a student’s performance, the six-monthly
report should specify what action needs to be taken to rectify the problems and stipulate a time
period within which such action is to be taken. The HoS must agree to, and monitor, the proposed

32 PhD Handbook
actions. In the event that the student fails to take the required action so that problems persist, the
HoS must notify the Associate Dean who may then take action, upon the recommendation of the
Administrative Supervisor, to discontinue the student’s enrolment. The HoS must offer the student
the opportunity to respond and then will monitor the proposed actions. The HoS will also inform
the student of their entitlement to representation via Victoria University of Wellington’s Students’
Association (VUWSA) and the Postgraduate Students’ Association (PGSA).

Monitoring the completion of six-monthly reports occurs twice yearly and is the responsibility of
the Associate Dean. University-wide monitoring of compliance is the responsibility of the Research
Degrees Committee and forms part of their Reports to the Academic Board.

7.2.8 Supporting the Student


Without compromising a student’s privacy, supervisors should attempt to keep themselves informed
of the range of factors that may have a bearing on the timely and successful completion of the
thesis. Where necessary, supervisors should refer a student to student support services (see Chapter
16).

Supervisors should ensure that the Administrative Supervisor (as defined in 5.2) is informed if any
problems develop during the enrolment. Supervisors and Administrative Supervisors have a joint
responsibility to advise the Associate Dean and Faculty Office as necessary.

7.2.9 Encouraging Academic Contacts


Supervisors should encourage the candidate at the appropriate stages in their course of study:

• to extend their contacts within the School and elsewhere;

• ensure that the candidate has the opportunity to participate in the life of the School;

• encourage both attendance and presentation at seminars and conferences;

• help the candidate make contact with other scholars in related fields;

• provide assistance and information where appropriate on scholarships and financial support;

• encourage the candidate to publish; and

• provide advice, encouragement and support to further the candidate’s career in their chosen
field.

7.2.10 Facilitating Administrative Compliance


Supervisors should be knowledgeable about, and comply with, the administrative requirements of
supervision and advise the candidate as necessary (for example, regarding six-monthly progress
reports, applications for suspension or absences overseas, changes to full-time status, etc).

This includes advising candidates about:

• applicable governmental, institutional or professional guidelines for the conduct of research;

• ensuring, as far as possible, that the work submitted by candidates is their own and that the
data is valid;

• ensuring that candidates are aware of intellectual property rights;

• ensuring that candidates are aware of any requirements regarding the retention of data within
schools; and

PhD Handbook 33
• ensuring that safe working practices are developed and maintained and that candidates are
aware of the University’s Occupational Health and Safety Policies.

7.2.11 Assisting Examination Arrangements


Supervisors assist the Associate Dean to arrange the examination in accordance with the PhD Policy:
Approving, Enrolling, Supervising and Examining Candidates and the guidelines of this handbook.
In consultation with the Administrative Supervisor, supervisors recommend suitable examiners
and supply the Associate Dean with relevant documentation i.e. a rationale for the choice of the
particular examiners for the thesis and a brief curriculum vitae for the two external examiners.
The Associate Dean will scrutinise the recommendations and forward them to the Research
Degrees Committee (RDC). The RDC appoints the PhD examiners. Supervisors should forward their
recommendations at least one month before the expected submission of the thesis. Supervisors
should be available to discuss feedback from the written and/or oral examinations with their student.

7.2.12 Encouraging Publication


The PhD is a research degree, and publications are the currency of success in research. In most
disciplines publications are increasingly necessary for entry into an academic profession. Publication
should be seen as part of PhD study rather than a barrier to timely completion of the thesis.

Supervisors are encouraged to discuss the publication process with students, including the
differences between writing a thesis and preparing a manuscript for publication. They should be
mindful of the fact that emerging researchers are often unaware of most aspects of the publication
process, and should therefore take steps to avoid misunderstandings that may arise as a result of
inexperience. It is also the responsibility of the supervisor to discuss with students the possible
exploitation of any invention or other intellectual property arising from their research.

Students should incorporate plans to write, submit and revise publishable manuscripts within
the timetable for their PhD studies. They should endeavour to publish their research, possibly in
collaboration with their supervisor(s), in outlets valued by their discipline.

When students and supervisors pool their talents to publish research both benefit from increased
research productivity. The goal for both parties is:

• protection of the student’s interests

• promotion of understanding of the publishing process for the student

• recognition of the supervisor’s intellectual contribution to the process

If a student and supervisor/s wish to co-publish, then this must be discussed early on in the
process towards publication. All parties should agree in writing about issues concerning intellectual
property and authorship. Where joint authorship is contemplated, or in other cases where issues of
recognition arise, supervisors should ensure that students are informed about:

• the conventions that apply in their discipline; and

• Victoria University’s Policy on Recognition of Authorship http://policy.victoria.ac.nz

7.2.13 Support for Supervisors


The Research and Postgraduate Studies office offers regular seminars/workshops for new and more
experienced supervisors. Topics include supervisory roles and responsibilities, the research process
and administrative matters.

34 PhD Handbook
7.3 The Responsibilities of Candidates
Completing a doctoral programme requires progressive development of skills, competence and
confidence. Candidates, with the guidance of their supervisors, must take responsibility for
developing their intellectual independence. The responsibilities of candidates are outlined below.

7.3.1 Planning the Research


Candidates should plan and execute the research project under the guidance of the supervisors,
within the expected time period.

7.3.2 Actively Pursuing the Research


Candidates should devote sufficient time to the course of study, be committed to the research and
avoid activities which will interfere with its satisfactory completion within the time limit. They
should attend regular meetings, as agreed with supervisors, and strive to achieve agreed milestones.

Candidates should reach agreement with supervisors about indicators of progress being made and
about submission of appropriate written work, interim reports or research results.

7.3.3 Participating in University Intellectual Life


Candidates are encouraged to participate in the School community by attending seminars, presenting
their work and interacting with the staff and other postgraduate students. Where appropriate
candidates may also be involved in academic activities in their chosen research field, for example,
attending relevant seminars in other schools or institutions, and participating in academic
conferences (finances and resources permitting).

7.3.4 Identifying Problems


Candidates should take the initiative in raising with supervisors any problems or difficulties with the
project or its supervision. If the student is unable to discuss the matter with their supervisor/s, they
should contact the Administrative Supervisor or the PG Coordinator. Alternatively, the Associate Dean
(Students/Research) in the Faculty Office or VUWSA’s Education Coordinator are available to discuss
areas of concern.

7.3.5 Facilitating Administrative Compliance


Candidates should become familiar with, and abide by, university, faculty and school statutes and
policies and any other written guidelines and regulations for the degree. This includes:

• becoming familiar with the administrative requirements of the Faculty Office (such as applying
for the approval needed to spend time away from the University as part of the enrolment, and
suspension of enrolment);

• adopting at all times safe working practices relevant to the field of research; and

• complying with any institutional occupational health and safety policies.

7.3.6 Meeting Ethical Guidelines


Candidates should become familiar with all relevant ethical guidelines for the conduct of research
and ensure that the necessary approvals are obtained for research involving animal or human
subjects, or tissue.

7.3.7 Giving Notice of Submission


Candidates should give three months’ notice to the primary supervisor of the expected submission
date of the thesis in order to allow early selection of examiners.

PhD Handbook 35
7.3.8 Submitting the Thesis
Candidates are solely responsible for the content, style, presentation, production and binding
of the thesis that is finally submitted, and for promptly making any required amendments after
examination.

7.3.9 Publishing
Candidates should accept responsibility for the academic content of the thesis and for publishing any
parts of it if appropriate.

7.4 Evaluative Feedback on Research Supervision


PhD students are encouraged to provide feedback about the quality of supervision by completing
an Exit Questionnaire which is held by the Faculty Office until the thesis has been marked. The
questionnaire is then returned to the supervisors, with a copy to the Administrative Supervisor. In
order to improve supervisory practices across the University, the Associate Dean of the Faculty will
also receive a copy of the student’s written comments with all identification removed (names, course
codes etc).

Once a year, the Research Degrees Committee will also use this information to monitor supervision
across the University. Issues emerging from the Exit Questionnaires are passed to the Research and
Postgraduate Studies office to be incorporated into workshops for postgraduate supervisors.

36 PhD Handbook
8.0 Research Ethics
8.1 Human Ethics Committee
Where research activity involves human subjects the University has a responsibility to ensure it
protects the privacy, safety, health, social and cultural sensitivities, and welfare of such subjects.
The role of the University Human Ethics Committee (HEC) is to review and approve the adequacy of
protection for human subjects in research projects (see HEC Guidelines, Appendix 1 of the Human
Ethics Policy - http://policy.victoria.ac.nz).

The purpose of the HEC is to promote, not prevent, research and teaching. In so doing, it seeks to
ensure that all researchers and teachers are aware of the ethical issues involving human subjects,
either in research or teaching. The HEC recognises that individual researchers and teachers, working
in and familiar with their own disciplines, are generally in the best position to assess their proposed
activity. Nevertheless, in order to ensure consistency and impartiality in considering the interests of
potential subjects, as well as to provide a degree of protection for the researcher or teacher, certain
categories of research (and teaching) activities must be approved in accordance with the Human
Ethics Policy and HEC Guidelines (Appendix 1) before being conducted.

8.2 Human Ethics Approval for Research


If PhD research involves human subjects or human tissue or otherwise affects people’s privacy,
rights and freedoms, it is subject to Human Ethics Committee (HEC) Guidelines (see Appendix 1 of
the Human Ethics Policy - http://policy.victoria.ac.nz). It is important that PhD candidates read the
HEC Guidelines carefully and ensure that they are familiar with basic ethical issues, principles and
practice. Candidates must then discuss the ethical implications of their research with their primary
supervisor to determine whether HEC approval is required. If either candidate or supervisors are in
any doubt as to whether approval is required, further advice should be sought from the Head of
School (HoS) or the Convener of the HEC. Responsibility for applying for HEC approval rests with the
candidate, but the application must be approved and countersigned by the primary supervisor and
the HoS. Application forms can be accessed via the Human Ethics Policy: http://policy.victoria.ac.nz

8.3 Animal Ethics Committee


If PhD research involves animal subjects, it must be approved by the University’s Animal Ethics
Committee. It is important that PhD candidates read the Animal Ethics Policy carefully and ensure
that they are familiar with basic ethical issues, principles and practice. The policy and application
forms can be accessed via http://policy.victoria.ac.nz

8.4 Authorship and Acknowledgement Guidelines


It must be clearly understood that:

• the thesis presented for the PhD degree is the candidate’s own work and must have been
prepared specifically for this degree;

• it must not contain work extracted from a thesis, dissertation or research paper already
presented by the author for another degree or diploma at this or any other university;

• any material quoted from another author’s work (published or unpublished) must be clearly
referenced and acknowledged in the main text of the thesis (attention is drawn to the
statement on plagiarism in the Statute on Student Conduct (section 4.2 (e) (iii));

• all assistance which candidates have received in their research be clearly acknowledged in the
thesis; and

PhD Handbook 37
• it is the primary supervisor’s responsibility to ensure that the thesis as presented is the
candidate’s own work, and that candidates make it clear what, if any, assistance they have
received from other persons. This will ensure that external examiners are in no doubt as to the
fact that the work they are assessing is that of the candidate.

All candidates will be asked to sign a statement that the above conditions have been satisfied when
the thesis is submitted.

8.5 Appropriate Conduct in Research


Candidates are expected to conduct all research in an honest, academically responsible and ethical
manner. Misconduct in research is unacceptable to the University. The University has provisions for
dealing with cases of research misconduct, which is defined as follows in the Statute on Student
Conduct:

Academic misconduct includes:

• fabrication of data, including claiming results where none have been obtained;

• the falsification of data, including fraudulent changing of records;

• plagiarism, which is the copying of ideas, organisation, wording or anything else from another
source without appropriate reference or acknowledgement so that it appears to be one’s own
work. This includes published and unpublished work, material on the Internet and the work of
other students and staff;

• misleading ascription of authorship, including listing as authors without their permission,


attributing work to others who have not in fact contributed to the research, and/or failing to
acknowledge work primarily produced by a research student/trainee/associate;

• intentional infringements of the guidelines issues by the University’s Human Ethics Committee
and Animal Ethics Committee, or of other relevant professional practices and codes of ethics;

• cheating or other dishonest practices in relation to assessment; and

• other academic or research practices which bring or are likely to bring the University into
disrepute.

Note: Academic misconduct does not include honest errors or honest differences in the interpretation
of data or conclusions drawn.

38 PhD Handbook
9.0 Research Resources
9.1 School Resources to Support PhD Candidates
9.1.1 Responsibilities of the Head of School
The Head of School (HoS) is responsible for ensuring that each PhD proposal is feasible in terms of
time, facilities, equipment, source materials, and funding for the expected duration of the research.
With reference to the Minimum Resources Agreement, the HoS will agree, with the supervisors and
the candidate, the candidate’s entitlements and document these in the Research Memorandum
which becomes part of the record of registration.

9.1.2 Minimum Resources Agreement


Minimum Resources Agreement (MRA) outlines the minimum resources for thesis students in all
schools of the University and is available at https://intranet.victoria.ac.nz/research%2Doffice/
postgraduate/minimum-resources.aspx

It includes information about orientation, office space and furniture, electronic facilities and
financial support. It also contains some information about the faculty research grants and the
protocol for addressing concerns about resources.

9.1.3 Financial Assistance


The payment of research expenses varies from school to school. Candidates should expect to spend
some of their own money on travel, photocopying, items of equipment like calculators, paper
supplies, correspondence and so on. Some schools are able to provide some financial assistance
from school resources and this is a subject for negotiation within the School. See also Chapter 11,
Research Funding and Financial Support.

9.2 Information Technology Resources


9.2.1 Introduction
PhD candidates should email its-service@vuw.ac.nz or call Information Technology Services (ITS)
service desk, x5050 for help with the services ITS provides. All PhD candidates are advised of their
obligation to observe the Information Systems Statute which can be found at: http://policy.victoria.
ac.nz

9.2.2 Range of services


ITS – Student Services currently provides the following range of computing resources and
communication services for the University student community:

• Access to web-based email. Also, Internet browsing and printing services are available for
a small charge. Candidates working from home can access the student environment via
the myVictoria portal. This provides access to features such as personal storage and a large
number of library databases. Further information on these services and others is available by
consulting: www.studentvuw.vuw.ac.nz

• ITS have Help Desks located in five physical locations around the campus: RB205a (Library);
MY223; OGB132 (Law); Railway (RW 225); and WCE (T208). Candidates may visit these
locations in person, or alternatively the ITS service desk can be contacted over the phone on
x5050. Enquiries via email can be sent to: its-service@vuw.ac.nz

PhD Handbook 39
9.2.3 Registration as an ITS Client
All candidates will have a computer account on enrolment. For further information on your account
username please check your Confirmation of Study form or contact an ITS Help Desk.

9.2.4 Accessing the Network


All postgraduate thesis students have the right to access Victoria’s network via the staff domain.
Note, candidates must choose access via either the staff domain or the student domain, otherwise
their profiles will be affected. There is no common data storage between the student domain and
the staff domain.

Access to the network via the staff domain requires students to contact their school administrator
who will set them up as an ‘interested party’.

Access to the network via the student domain requires a student computing account and depends on
whether the connection is from an ITS terminal, a networked school desktop computer or through an
external Internet Service Provider (ISP).

When connecting from an ITS computer log directly into the student domain. However, when
connecting from a networked school desktop computer or via the Internet from home (requires a
personal ISP) connect via the VUW Portal: www.studentvuw.vuw.ac.nz

9.2.5 ITS Student Help Desk Service


Help Desks are available specific hours that change from trimester to trimester, with reduced hours
on weekends and during term breaks. Clients should always contact the Help Desk in the first
instance with enquiries, problems or complaints rather than other ITS staff so that the call is logged
and is directed to the most appropriate support person for resolution.

9.3 The University Library - Te Pataka Korero


The University Library comprises the Central Library in the Rankine Brown Building on the Kelburn
Campus, the Architecture and Design Library in Vivian Street, the Commerce Library at Railway West
Wing, the Education Library at the Karori Campus and the Law Library in the Government Buildings.
Authorised students may use all of these libraries following registration.

This section contains information relevant to all PhD students. For further and more comprehensive
information, including a complete Staff Directory, students should refer to the Library website at
www.victoria.ac.nz/library/ Students are advised to check this site and the myVictoria portal regularly
for updated information about the Library and its services. The Website is also a gateway to the
online catalogue of Victoria University of Wellington Library. A range of printed information leaflets
about specific library services and collections is available from service points in all libraries.

All PhD candidates are advised to consult the Library Statute at: http://policy.victoria.ac.nz/
Amphora!~~policy.vuw.ac.nz~POLICY~000000000021.pdf

9.3.1 Lending Services


PhD research often necessitates heavy and specialised use of library services. If borrowing privileges
are required prior to enrolment while a thesis proposal is being prepared, the Lending and Reader
Services Group will normally grant temporary borrowing privileges upon receipt of a supporting letter
from the proposed primary supervisor.

Following enrolment and payment of fees, PhD candidates will receive a student ID card which,
after validation at the Central Issue desk, will give postgraduate library privileges. Books from the

40 PhD Handbook
main collection are issued for eight weeks, except for three-day-loan books. Most periodicals in the
Central Library are issued for two weeks, with some exceptions. Please note that all current issues
of periodicals are reference-only items. All items on issue are subject to recall if required by other
borrowers. Law, Architecture and Design library periodicals are not available for loan.

The Closed Reserve Desk on Level 2 of the Central Library holds copies of the bibliographic
management software ‘Endnote’. Candidates wishing to borrow this CD in order to install ‘Endnote’
on their personal computer should consult the Closed Reserve Desk staff.

For further information about borrowing books and periodicals, request and renewal procedures, and
library hours of opening, candidates should refer to the Library website: www.victoria.ac.nz/library/

9.3.2 Reference and Research Services


Reference and Liaison Services, Level 2 of the Central Library, offer comprehensive information
services, through both printed and electronic resources. Liaison library staff are assigned to each
school in the Faculties of Science and Humanities and Social Sciences and can be consulted for
assistance in particular subject areas. The Reference Office and Library website can be consulted for
the names of liaison librarians.

Staff will give advice about electronic and print information resources in a range of subject areas. In
the Central Library student computing facilities are available on Levels 1 and 2. The Architecture and
Design, Commerce and Law Libraries have similar facilities for subject-specific database searching.

The range of databases to which the Library provides access is very comprehensive and a
continuously updated list will be found on the Library website.

Reference staff are always happy to give advice on suitable information resources as well as provide
assistance with search techniques and strategies. If candidates experience technical problems in
accessing the University and Library websites or networked information resources they should discuss
this with staff at the Student Computing Helpdesk.

Reference and Liaison Services have (in both print and electronic format) a range of University
Calendars from New Zealand and overseas, as well as scholarship guides and other directories related
to further study.

9.3.3 Research Seminars


Postgraduate research seminars are offered at the beginning of the first trimester. Subject-specific
seminars and individual consultations are available from the Library throughout the year on request
to a liaison librarian or the Reference Office. Details of seminars will be given in library notices, on
the Library website or through the Postgraduate Students’ Association (PGSA).

9.3.4 Inter-Library Loan and Document Delivery


Lending and Reader Services is responsible for requesting material from other libraries and
information providers both in New Zealand and overseas. The Interloans team process requests from
the Central Library as well as the Architecture and Design, Commerce and Law Libraries. Requests
must relate to study, teaching and research purposes only.

Requests may be sent electronically from the Library website at www.victoria.ac.nz/library or by


going directly to: www.victoria.ac.nz/library/forms/interloan-request.aspx

Printed request forms may also be collected from the Reference desk and the Reserves desk in the
Central Library or from the Architecture and Design, Commerce and Law Libraries.

PhD Handbook 41
Further information may be obtained by contacting the Interloans staff or checking the Library
website.

9.3.5 Specialised Collections


PhD candidates should be aware of the following collections at the Central Library:

• J.C. Beaglehole Room, Level 1. The Beaglehole Room holds collections of rare books, archives
and manuscripts and the VUW Authors’ collection. There is restricted access to some of the
material.

• U.N. and Official Publications Collection, Level 1. The Collection comprises material published
by the United Nations and its associated agencies, publications issued by other international
organisations as well as statistics and yearbooks from New Zealand and many other countries.

9.3.6 Other Libraries


As a general principle, PhD candidates should first and foremost rely on the resources of Victoria
University of Wellington Library. Material from other libraries can normally be accessed through
interlibrary loan and document delivery services. Reference staff can readily identify holdings of
other libraries both in New Zealand and overseas and can advise students about electronic self-
access to other collections. If PhD candidates wish to access other libraries directly, Reference and
Liaison Services will be happy to give advice and help to facilitate such access.

42 PhD Handbook
10.0 Research Advice
While it is expected that most of the necessary research advice will be provided by supervisors and
other members of schools, the Student Learning Support Service offers general advice on research,
and statistical advice may be sought from the School of Mathematics, Statistics and Computer
Science. Specific information on the advice obtainable from these two sources follows.

10.1 Student Learning Support Service


The Student Learning Support Service (SLSS) organises a series of seminars on issues of relevance
to PhD candidates at both Kelburn and Pipitea campuses, in the first weeks of each trimester. Guest
speakers cover topics such as: Writing a Research Proposal; Literature Reviews; The Ethical Approval
Process; Qualitative and Quantitative Methodologies; Managing Your Studies; and Thesis Writing.
SLSS also facilitates a regular writing group, runs intensive thesis writing workshops and provides
one-to-one support throughout students’ candidature. Details are advertised on: www.vuwvictoria.
ac.nz/st_services/slss/ in the Postgraduate Students’ Association newsletter and on school notice
boards. Further information can be obtained by phoning x5908 or viewing PostgradLife, a student-
centred website at www.victoria.ac.nz/postgradlife see: 16.1.10.

10.2 Statistical Advice


Many research projects require statistical analysis of experimental or survey data. It is the
responsibility of supervisors to ensure that proper statistical advice is sought. PhD candidates are
strongly advised to discuss this with their supervisor at an early stage of planning their research – it
may be impossible to extract useful information if your survey or experiment is not well designed.
The School of Mathematics, Statistics and Computer Science offers a number of undergraduate and
graduate courses in Applied Statistics. You should consider whether any of them may meet your
needs.

The University Research Committee also funds a consulting statistician, based at the School of
Mathematics, Statistics and Computer Science. You and your supervisor are welcome to discuss
statistical aspects of your research with the consultant who can be contacted via email at:
statsconsult@mcs.vuw.ac.nz or by phone on (04) 463-6779. For further details, go to: www.mcs.
victoria.ac.nz/stat/consulting

10.2.1 Statistical Packages


Statistical packages such as SPSS (Statistical Product and Service Solutions) are available on all the
SCS computers across the campus-wide network. Some other packages are available within selected
specialist school facilities. For enquiries please contact a SCS Help Desk or email scs-help@vuw.
ac.nz.

PhD Handbook 43
11.0 Research Funding and Financial Support
If PhD candidates are contemplating PhD study and would like to apply for a scholarship, they should
consult the Scholarships Office (email Scholarships-Office@vuw.ac.nz). Information and application
forms can also be downloaded from the University website: www.victoria.ac.nz/scholarships

11.1 University Scholarships


There are three rounds of PhD scholarships each year. Applications for Victoria University PhD
Scholarships must be submitted to the Scholarships Office by 15 June or 1 November. Applications
for Vice Chancellor’s Strategic Research Scholarships must be submitted by 15 May – topics for these
scholarships are advertised in February of the year of application. All Victoria PhD Scholarships are
tenable for up to three years from first enrolment. Unsuccessful applicants may apply again in the
follow round after consultation with the Scholarships Manager.

11.2 PhD Submission Scholarships


These scholarships enable students already enrolled for several years to bring their research to a
successful completion. PhD Submission Scholarships are tenable for three months only and there is
a closing date every two months starting in January each year. Successful applicants are expected to
work full-time on their research during the tenure of the scholarship. The scholarships are awarded
on the basis of academic merit and an assessment by the school of the applicant’s ability to complete
the dissertation within the specified timeframe.

11.3 Doctoral Completion Awards


Victoria Doctoral Completion Awards come into effect on 1 January 2008 and are available to
doctoral candidates who submit their thesis for examination within 42 months from the date of
first registration. Candidates must have the endorsement of their supervisor and Head of School to
submit.

The intent of these awards is to support PhD candidates in the period immediately following
submission of their theses and enable them to prepare their research for eventual publication.
Information and documentation is available at: http://www.fis.org.nz/BreakOut/vuw/schols.
phtml?detail+600532 or from the Scholarships Manager.

11.4 Externally-funded Scholarships and Grants


Over the past years there has been an increase in the amount and range of contestable funding
available to postgraduate students in New Zealand Universities in the form of grants and
scholarships. This funding includes the growing range of scholarships administered by the New
Zealand Vice-Chancellors’ Committee [www.nzvcc.ac.nz], including Commonwealth and Rhodes
Scholarships, government funding through the Tertiary Education Commission [www.tec.govt.nz]
- the Bright Future scheme, the Foundation for Research, Science and Technology [www.frst.govt.nz]
and Education New Zealand [www.newzealandeducated.org.nz].

Some supervisors may also have contacts with businesses or enterprises through which other funding
can be arranged. Funds from these sources are usually of great benefit to research students, but
before agreements are reached with external funders, careful consideration must be given to any
conditions attached to, or implications of, the grant in question. It is also important to ensure that
agreements with funders are formulated in a way that protects their interests, those of research
students, and the University. It is therefore essential that applications for, and offers of, funding
from outside enterprises are discussed with those responsible for external research income before
any agreement is signed. If a grant imposes any obligations or restrictions upon the candidate or the

44 PhD Handbook
University, parties responsible for external research income will negotiate changes before the offer
of a grant is accepted. Funds for scholarships or research expenses must be channelled through the
University Scholarship Office and not paid directly to the candidate.

11.5 Research Grants


PhD candidates can seek advice and apply for Research Grants either through their faculty or
school where available. Funds typically granted by faculty committees are used to cover identifiable
expenditure on inter-library loan costs, costs incurred in securing research material and travel for
field-work and conference attendance. Candidates who wish to apply for a Research Grant should
discuss their application with their supervisors.

11.6 Loans and Allowances


Information on allowances and loans can be obtained from StudyLink, Ministry of Social
Development, tel 0800 889 900, www.studylink.govt.nz. Candidates may like to seek assistance from
the Victoria University of Wellington Students’ Association’s (VUWSA’s) Education Coordinators in
this matter.

11.7 Tutoring and Demonstrating


Many PhD students support their studies by tutoring or demonstrating. Tutors and demonstrators
are employed by schools to teach undergraduate (usually first-year) classes and to do associated
marking. Candidates should consult their Head of School with questions concerning the availability
of tutoring or demonstrating positions. If candidates are offered such work, they should be aware of
the need to strike a balance between the demands placed on their time by the associated duties and
their own study. In this, as in other cases of paid employment, it may be worth sacrificing income in
order to facilitate the speedy and successful completion of the degree.

Tutor training is offered through the University Teaching Development Centre (UTDC) and some
schools also provide discipline-specific training. Tutors may complete a Tutor Training Certificate of
Attendance through the UTDC. For further information see the UTDC website: www.utdc.victoria.
ac.nz/tutors Other courses are also available throughout the year and are advertised on the UTDC
website, in VicNews and on the tutor/demonstrator email list: tutors@vuw.ac.nz or tel 0-4-463
5793.

PhD Handbook 45
12.0 Resolution of Problems
12.1 Introduction
In the course of the research process, differences of opinion may arise over questions that are related
directly to the scope of the topic or to the investigation of it. Candidates and supervisors should be
able to discuss the issues involved and reach agreement on how any obstacles might be overcome.
Where difficulties occur between a candidate and one supervisor, the other supervisor may be able
to provide assistance. Candidates are also free to seek advice from other scholars, the Postgraduate
Students Association (PGSA) and Victoria University of Wellington Students’ Association (VUWSA).
In some cases, however, supervisors and candidates encounter difficulties that may prevent fruitful
co-operation. Both parties are advised that a variety of options are available for the resolution of
difficulties, and that the University will give every assistance that might be necessary to ensure
productive supervisor-candidate relationships and to facilitate the timely completion of the research
project.

It is desirable that any problems that may arise are addressed and settled as quickly as possible,
preferably within the School.

The following section indicates to both supervisors and candidates a general means of resolving
difficulties arising in the supervisory relationship. It is assumed that the parties have attempted to
resolve the difficulties themselves, but have been unable to do so.

In the event of difficulties of a more personal nature that may involve a breach of the Policy on Staff
Conduct or the Statute on Student Conduct, candidates and supervisors are urged to refer to these
documents at http://policy.vuw.ac.nz Further information can be found in this Handbook in 15.5
- Rights and Obligations Regarding Conduct.

12.2 General Principles


It is essential that steps are taken to resolve any problems immediately, with both candidate and
supervisor seeking assistance as necessary and appropriate. Candidates can reasonably expect the
University to actively seek prompt resolution of any problems. The University recognises the pressure
candidates may be under to complete research and acknowledges that avoidable delays could
have significant financial and academic implications for candidates. Whatever process of conflict
resolution is adopted, the goal is to allow the research to continue and to be completed within the
scheduled timeframe. In some instances both parties may need to accept that a change of supervisor
may resolve the problem and ensure completion of the project. The University will expect all parties
to the resolution process to conduct themselves with professionalism, mindful of maintaining the
reputation and standing of the University. All parties must be sensitive to the needs of any candidate
who has sought assistance.

12.3 General Guidelines


Candidates and supervisors might find the following process helpful in addressing problems.

46 PhD Handbook
12.3.1 Seeking Assistance from the Administrative Supervisor
In the first instance, any difficulties should be discussed between the candidate and the supervisor(s).
Where this fails to resolve the problem, or where either the candidate or the supervisor(s) feel it
is inappropriate to address their concerns to each other, they may approach the Administrative
Supervisor for assistance in resolving their difficulties. Such assistance might take the form
of eliciting information, seeking clarification or providing guidance and/or mediation. It is the
responsibility of the Administrative Supervisor to attempt prompt resolution of the difficulties, with
respect for all parties.

If research progress is being affected by difficulties, it is the responsibility of the Administrative


Supervisor to inform the Associate Dean immediately in writing, outlining how the candidate and
supervisor(s) are working towards the resolution of those difficulties. The Associate Dean must be
kept informed at all stages and copies of correspondence must be sent to the Manager, Faculty
Office.

12.3.2 Seeking Assistance from the Associate Dean


If the Administrative Supervisors find themselves unable to resolve any difficulties, they have a duty
to refer the matter immediately, in writing, to the Associate Dean, following consultation with the
candidate and supervisor.

If either candidate or supervisors feel that resolution is not being achieved to their satisfaction
within the School, they are entitled to take the matter either separately or collectively to the
Associate Dean, following consultation with the Administrative Supervisor. Alternatively, if
candidates or supervisors do not wish to talk to anyone within the School they are free to seek
assistance directly from the Associate Dean. It is the responsibility of the Associate Dean to attempt
prompt resolution of any difficulties, with respect for all parties. The Administrative Supervisor must
be kept informed, as appropriate. The Associate Dean will liaise with the Manager of the Faculty
Office, and the University Facilitator and Disputes Adviser, as necessary.

12.3.3 Seeking Assistance outside the Faculty


Victoria University of Wellington Students’ Association’s (VUWSA) Education Coordinator is available
to offer advice and support to candidates experiencing difficulties, and if required, can raise the
problem with appropriate people on their behalf. The Education Coordinator is available where
candidates may wish to sound out their concerns with someone outside the Faculty. If required, the
Education Coordinator can deal with both academic and conduct issues. Candidates may also wish to
approach the Student Counselling Service.

Candidates may also approach the Senior Academic Policy Adviser for advice and assistance or
the Facilitator and Disputes Adviser. The Senior Academic Policy Adviser deals with academic
matters covered by the Academic Grievance Policy, while the Facilitator and Disputes Adviser deals
with problems relating to matters covered by the Policy on Staff Conduct. Both Advisers will act
as a sounding board to help explore a range of options and processes and can be a mediator or
intermediary who can be consulted in place of, or before resorting to, more formal procedures. For a
list of people who can offer advice and support see page 8.

12.3.4 Lodging a Formal Grievance


If, after trying the above channels, a candidate is still dissatisfied, formal grievance procedures
can be invoked. This must be done in writing and should include information on what informal
procedures have been followed. Grievances relating to academic disadvantage are considered under
the Academic Grievance Policy. Academic grievances concerning PhD candidacy are dealt with by the

PhD Handbook 47
Assistant Vice-Chancellor (Academic) who will consult the Deputy Vice Chancellor (Research).

Grievances relating to staff misconduct are considered under the Policy on Staff Conduct (both
documents can be viewed by searching for the relevant title on: http://policy.victoria.ac.nz/). Formal
grievances regarding staff misconduct normally are handled by the relevant manager. In each case,
formal grievances beyond the levels described above should be submitted to the relevant Pro Vice-
Chancellor.

Policy/Statute Nature of Grievance Submit to

Academic disadvantage
Academic Grievance Policy AVC (Academic)
regarding PhD candidacy

The relevant Pro Vice-


Policy on Staff Conduct Staff misconduct
Chancellor

12.4 Resolving Administrative Difficulties


If the difficulties are of an administrative or procedural nature, candidates, supervisors and
Administrative Supervisors are encouraged to make direct contact with Faculty Office Managers. The
Manager will request appropriate action from Administrative Supervisors and supervisors if necessary.
If anyone is, for any reason, dissatisfied with the administrative performance of their Faculty Office,
they are invited to discuss the matter with the Manager of the Faculty Office in the first instance,
and then the Pro Vice-Chancellor of the Faculty if necessary.

48 PhD Handbook
13.0 The Thesis
13.1 Introduction
This section contains information on the presentation, binding, and availability of the thesis.

Nearly all candidates find that the actual writing of a thesis takes much longer than expected. The
preparation of a first draft may be the most difficult part of the work, but its transformation into the
final draft for submission usually takes much longer than planned.

The thesis structure is a matter for discussion between candidates and supervisors. The only general
requirement is that the thesis should be an integrated report. The precise interpretation of this varies
from discipline to discipline. Where the research project consists of a number of cases of more or less
separate studies, the thesis must explain their relationship to one another. It may include published
material, but it must be a report on the work which has been carried out during a supervised course
of research while the candidate was registered for the PhD degree.

13.2 Guide to the Presentation of Theses


Candidates should secure a copy of Library Requirements for Deposit of Theses (available from the
Library Reference desk) and ensure that their thesis meets these requirements. Schools may also
specify distinct requirements bearing on style and presentation. Candidates should check details of
presentation and production with the primary supervisor before final preparation of the thesis. The
following guidelines may assist candidates in preparing their theses for presentation.

A student may present a thesis in Te Reo Maori as outlined in The Use of Te Reo Maori for Assessment
Policy. Prior approval is required and it is important that this is organised as early as possible and
before examiners are appointed.

13.2.1 Layout
It is recommended that the contents of the thesis be presented in the following order:

• Title page: a specimen page is provided on page 53.

• Abstract: the regulations require that the thesis should include a short abstract, providing
a summary of the methods of investigation and conclusions reached in a form suitable for
publication. A length of about 300 words is recommended. The abstract must not exceed 500
words.

• Preface: a preface may not be necessary as the abstract can state the scope of the study.

• Acknowledgements: candidates are required to acknowledge all assistance that has been
received with the research and production of the thesis.

• Table of contents: candidates should list chapters with relevant page numbers. If the thesis
consists of more than one volume, candidates should show the contents of all volumes on
the contents page of the first volume. Separate contents pages should also be included in
subsequent volumes.

• List of illustrations, plates etc: all illustrations should be numbered and page references given.
If the thesis contains a large quantity of folded material it may be advisable to place it in a
special folder or pocket at the end of the volume, or in a separate companion volume or box.

• Body of the text: relevant advice is provided in section 13.2.3.

PhD Handbook 49
• Appendices (if applicable): candidates may wish to include here any material that does not fit
conveniently into the body of the text.

• References and/or Bibliography: references in the text should be made in the form appropriate
to the discipline concerned, and the listing in the References/Bibliography should reflect
disciplinary norms. If in-text references are in the form of footnotes, it is preferable, though
not essential, that these footnotes appear at the bottom of the page to which they refer. (It
is often inconvenient to refer to notes and references placed at the end of the chapter or at
the end of the thesis, especially if the thesis is later reproduced on microfiche. However, if the
footnotes become very extensive it is acceptable to list them in a separate section at the end of
the thesis.)

• Index: if candidates wish to include an index, please consult the Library Reference and
Research staff for advice on its format and for guides on its preparation.

13.2.2 Citation style


Particular disciplines often have individual citation conventions. Be sure to conform consistently to
the standards considered appropriate for the relevant discipline; in cases of doubt the full form of
any reference should be used rather than abbreviations. The supervisors are able to advise on the
appropriate forms.

For specific examples of how to cite a book (single, multiple or corporate authorship) in part or as
a whole, or how to cite journal articles, the books listed below may be useful. These works are all
available in the Library. Consult the Reference and Research staff for further guidance.

Achtert, Walter S. The MLA style manual. 2nd ed. New York: Modern Language Association of
America, 1998.

American Psychological Association. Publication manual of the American Psychological Association.


5th ed. Washington: the Association, 2001.

Brause, Rita S. Writing your doctoral dissertation: invisible rules for success. London: Falmer Press,
2000.

Day, Robert. How to write and publish a scientific paper. 4th ed. Phoenix: Oryx Press, 1994.

Dunleavy, Patrick. Authoring a PhD: how to plan, draft, write and finish a doctoral thesis or
dissertation. Basingston, Houndmills, 2003.

Gibaldi, Joseph. M L A handbook for writers of research papers. 6th ed. New York: Modern Language
Association of America, 2003.

Gibaldi, Joseph. M L A style manual and guide to scholarly publishing. 2nd ed. New York: Modern
Language Association of America, 1998.

New Zealand Government Printing Office. The New Zealand Style Book. 5th ed. Wellington: GP
Publications, 1995. (Also titled Style Book: a guide for New Zealand writers and editors.)

Swales, John M. English in today’s research world: a writing guide. Ann Arbor, University of Michigan
Press, 2000.

Turabian, K. L. A manual for writers of term papers, theses and dissertations. 6th ed. Chicago:
University of Chicago Press, 1996.

University of Chicago Press. The Chicago manual of style. 15h ed. Chicago: University Press, 2003.

50 PhD Handbook
13.2.3 Format
• Word-processing and 12-point type font is recommended.

• Printing on one side of the paper only is preferred, but text on both sides is acceptable,
especially if the thesis is very long, provided the text is correctly imposed with uniform and
sufficient margins. Lines should be double spaced or at least one and a half spaces apart.
Leave a margin of at least 4 cm on the left or binding side of the page, uniform on all pages,
including diagrams and charts. On the other three sides of the page the margins should be not
less than 1.5 cm as the edges will be trimmed by the binders and there must be no danger of
losing part of the text, especially the footnotes.

• Use single spacing for footnotes but double spacing between individual notes.

• Candidates may also wish to distinguish indented quotations from the main text by using
single spacing or a smaller font size.

13.2.4 Pagination
• Pages must be numbered consecutively and page numbers should appear on every page in a
consistent position, except the title page which is normally counted but not numbered.

• The main body of the text should be numbered in Arabic numerals but it is acceptable to assign
Roman numerals in lower-case to preliminary pages (title page, abstract, table of contents etc).

• Interpolated leaves - illustrations, maps or charts - should be included in the main numbering
sequence.

• Avoid, if possible, sub-numbering of pages/leaves (e.g. 115 (a), 115 (b) etc).

13.2.5 Paper
• The physical appearance of the thesis is very important. The paper used should be of good
quality and be in A4 format. It is essential that all leaves be of the same size so that they may
be readily bound together.

• Larger material such as charts, diagrams and maps may be folded to conform to the A4 format.

13.2.6 Photographic and Colour Copy Illustrations


• Photographs should be dry mounted where possible, or mounted on guard sheets. It is
recommended that photographs be mounted on heavier paper than that used for the main text.

• The Library provides a self-service colour photocopier in the photocopying room on Level 2
of the Central Library, Rankine Brown Building. Candidates should contact University Image
Services for information on available photographic and digital imaging services and current
costs. Candidates should discuss payment with supervisors. Image Services may be contacted
at: tel 0-4-463 5133; email Image-Services@vuw.ac.nz; room 116, New Kirk.

13.2.7 Length
• A PhD thesis should be concise: examiners often criticise excessive length, which frequently
indicates poor judgement.

• Candidates should be guided by their supervisors on an appropriate length for the thesis.

• The Victoria University PhD Statute stipulates that “the thesis shall not exceed a total of
100,000 words in length (including scholarly apparatus). In exceptional circumstances the

PhD Handbook 51
Research Degrees Committee may grant permission for a longer thesis to be submitted for
examination” (PhD Statute 4.4 (b)). Permission should be sought well in advance of submission
of the thesis for examination. At the time of submission the candidate must certify that the
thesis falls within this word limit.

13.2.8 Computer Use


Most PhD theses are produced by candidates using a computer. The following advice should help
candidates make the most efficient use of their computers and avoid commonly-made mistakes.
Information Technology Services staff may also be able to provide advice.

• Candidates should be aware of the dangers of developing occupational overuse syndrome (OOS)
with prolonged computer use. The Health and Safety webpage: www.victoria.ac.nz/hr/heath_
safety/health-safety-training.html describes how a computer workstation should be set up.
Also OOS Buster courses (I hour) are held regularly during term time.

• Candidates should consult the relevant thesis presentation guides before they begin. Using
the required guidelines from the outset will save a great deal of time and anxiety in the final
stages of thesis preparation.

• Candidates should make sure that the printer-driver for the printer that will be used for the
final printout is chosen during any formatting exercise. Different drivers impose different page
specifications, and a change in printer-driver can affect the layout significantly, particularly for
complex formats like tables. If a draft printout from another printer is needed, students should
make a copy and print from that, or use the original, but close without saving changes.

• Candidates should always back up their work, keeping the back-up in a different place from the
original. A supervisor or school administrator, for instance, might be prepared to hold a back-up
copy. One at home and one at the University, regularly up-dated, is necessary insurance.

52 PhD Handbook
13.2.9 Specimen Layout of Title Page

THE FULL TITLE OF THE THESIS

By

Candidate’s Full Name

A thesis
submitted to the Victoria University of Wellington
in fulfilment of the requirements for the degree of
Doctor of Philosophy
in History

Victoria University of Wellington


2008

PhD Handbook 53
13.3 Binding
13.3.1 Temporary Binding for Examination
• Candidates are encouraged to submit the three copies of their thesis for examination in
temporary soft binding, to facilitate any revisions or corrections and/or re-submission. The
binding must ensure that the thesis can later be permanently bound to conform to the Library
requirements.

• Care should be taken to ensure that the temporary binding does not produce a row of holes
down the page, as this will interfere with the permanent binding. The thesis must be firmly
bound within the temporary cover so that pages cannot become detached.

• A list of local commercial binders, who will soft bind theses for examination, is available from
the Reference desk in the Library.

13.3.2 Permanent Binding of the Thesis


• The candidate is solely responsible for having the thesis bound after the examination to the
satisfaction of the University Librarian, for deposit in the University Library. If in doubt, advice
may be sought from library staff. The degree will not be awarded until this has been done.

• The thesis must be fully bound, never stapled, and cased in cloth or buckram. The author’s last
name and initials and the title/short title must be lettered on the spine. Lettering on the front
cover is recommended but not essential.

• The Reference desk of the Library holds a list of approved binders.

• Works which do not fall within the usual A4 format, such as musical scores, may be bound or
boxed in a fashion appropriate for their preservation, provided the relevant information (as
above) is visible when the item is shelved.

• Authors are responsible for all binding charges.

13.4 Availability and Withholding of Access to Theses


13.4.1 Public Availability of Theses
The University Human Ethics Committee (HEC) Guidelines (see Appendix 1 of the Human Ethics
Policy: www.victoria.ac.nz/home/about_victoria/policy.html) require that research results must be
disseminated and not kept secret. It is an important component of the University tradition that
knowledge is openly available for examination and criticism by peers (see also 13.4.4).

13.4.2 Deposit
• Completed PhD theses are deposited in the University Library on the understanding that
completed work becomes an important part of the Library resources and may be consulted by
other researchers.

• Theses are deposited with Collection Services on Level 1 of the Central Library. Law,
Architecture and Design theses are deposited with the relevant campus library.

• A receipt is issued at the time of deposit.

54 PhD Handbook
• The Faculty Office is responsible for ensuring that the candidate deposits one hard-bound and
one electronic copy of the thesis in the Library immediately upon receipt of advice from the
Convener of the Research Degrees Committee that the degree is to be awarded. For electronic
deposit, the use of any third party content must not be in breach of copyright, i.e. it must be
in the public domain, fall within the provisions of the Copyright Act 1994 and Amendments, or
comply with the terms of any agreement.

• The Library must always receive the original or “best” copy (and this includes the figures,
graphs, and photographs included in the thesis). Second or third copies are usually photocopies.
A completed availability slip MUST accompany the deposit, or it will not be accepted.
Availability slips are obtained from the Faculty Office at the time of enrolment.

• The third bound copy is retained by the candidate. In some cases the candidate’s school will
also request a copy.

13.4.3 Copyright and Intellectual Property


The author retains the copyright to the thesis after deposit in the Library and redress for plagiarism
can be sought under the laws protecting copyright. Copyright in publications other than the thesis
arising from supervised research is likewise owned by the creator(s).

In general, research students own the intellectual property originally created exclusively by them in
the course of their studies. In certain circumstances, however, research students will be required to
enter into an agreement assigning or apportioning intellectual property to the University.

Students should consult the Victoria University Intellectual Property Policy at http://policy.victoria.
ac.nz It describes ownership and what is required should intellectual property issues arise from
research undertaken while a student at the University.

13.4.4 Withholding Access to Theses


Where there are good reasons why a thesis should not be publicly available candidates must apply
in writing to the Research Degrees Committee (RDC) for approval to withhold access for a given
period. This should be done at the outset of research, or as soon as the need for an embargo becomes
apparent. If application is delayed difficulties may arise if the RDC subsequently declines the
application after the research has been completed. The application must also be supported by the
supervisors and Head of School. The Associate Dean can provide further advice. Candidates should
consult section 4.12.3(c) of the Library Statute for a full description of the provisions regarding the
Withholding of Access to Theses and see http://policy.vuw.ac.nz/Amphora!~~policy.vuw.ac.nz~POLICY
~000000000034.pdf for the Withholding of Theses Procedure.

13.4.5 The Implications of Withholding Access


All information held by the University is subject to the Official Information Act 1982 which operates
on “the principle that the information shall be available unless there is good reason for withholding
it.” A description of what constitutes a good reason for withholding information held by the
University is dealt with principally in Sections 6, 7 and 9 of the Act. If making information available
would be likely to prejudice the security or defence of New Zealand or international relations with
New Zealand, or prejudice the maintenance of law and order, endanger the safety of any person, or
seriously damage the economy of New Zealand, that likelihood is good reason for non-disclosure.

PhD Handbook 55
Candidates should give particular attention to Section 9 of the Act. Among many possible reasons
for withholding information mentioned there is specific reference to material of a sensitive personal
or commercial nature. It is important to note that although the section lists good reasons for
withholding information, disclosure may be required if “in the circumstances of the particular case,
the withholding of that information is outweighed by other considerations which render it desirable,
in the public interest, to make that information available.” It is for this reason that the University can
give no guarantee that information held by it will not have to be made available under the Official
Information Act 1982.

Candidates and supervisors should bear these factors in mind in choosing topics for research, making
requests for research information from outside sources, giving undertakings to the suppliers of
information in respect of the maintenance of confidentiality, and deciding how information will be
handled in the examining of the thesis or research paper, and its inclusion or exclusion from the
research document as formally presented for examination.

Where arrangements have been made under the Library Regulation 4.12.3(c) for the withholding of a
thesis or research paper from consultation, the University will, as a matter of policy, seek to withhold
information in it under the Official Information Act 1982. It will cite as the specific ground for
withholding the document, the ground identified in the written request made by the author under
the Library Regulation 4.12.3(c).

13.4.6 Official Information Act 1982


For the information of candidates and supervisors, Sections 6 and 9 of the Official Information Act
are reproduced here:

Section 6. Conclusive reasons for withholding official information


Good reason for withholding official information exists, for the purpose of section 5 of this Act, if the
making available of that information would be likely:

(a) To prejudice the security or defence of New Zealand or the international relations of the
Government of New Zealand; or

(b) To prejudice the entrusting of information to the Government of New Zealand on a basis of
confidence by:

i) the government of any other country or any agency of such a government; or

ii) any international organisation; or

(c) To prejudice the maintenance of the law, including the prevention, investigation, and detection
of offences, and the right to a fair trial; or

(d) To endanger the safety of any person; or

(e) To damage seriously the economy of New Zealand by disclosing prematurely decisions to
change or continue Government economic or financial policies relating to:

i) exchange rates or the control of overseas exchange transactions;

ii) the regulation of banking or credit;

iii) taxation;

iv) the stability, control and adjustment of prices of goods and services, rents and other costs,

56 PhD Handbook
and rates of wages, salaries and other incomes;

v) the borrowing of money by the Government of New Zealand;

vi) the entering into of overseas trade agreements.

Section 9. Other reasons for withholding official information:


(1) Where this section applies, good reason for withholding official information exists, for the
purpose of section 5 of this Act, unless, in the circumstances of the particular case, the
withholding of that information is outweighed by other considerations which render it
desirable, in the public interest, to make that information available.

(2) Subject to sections 6, 7, 10, and 18 of this Act, this section applies, if, and only if, the
withholding of the information is necessary to –

(a) Protect the privacy of natural persons, including that of deceased natural persons; or

(b) Protect information where the making available of the information

i) Would disclose a trade secret; or

ii) Would be likely unreasonably to prejudice the commercial position of the person who
supplied or who is the subject of the information; or

(ba) Protect information which is subject to an obligation of confidence or which any person
has been or could be compelled to provide under the authority of any enactment, where the
making available of the information

i) Would be likely to prejudice the supply of similar information, or information from the
same source, and it is in the public interest that such information should continue to be
supplied; or

ii) Would be likely otherwise to damage the public interest; or

(c) Avoid prejudice to measures protecting the health or safety of members of the public; or

(d) Avoid prejudice to the substantial economic interests of New Zealand; or

(e) Avoid prejudice to measures that prevent or mitigate material loss to members of the
public; or

(f) Maintain the constitutional conventions for the time being which protect:

i) The confidentiality of communications by or with the Sovereign or her representative;

ii) Collective and individual ministerial responsibility;

iii) The political neutrality of officials;

iv) The confidentiality of advice tendered by Ministers of the Crown and officials; or

(g) Maintain the effective conduct of public affairs through

i) The free and frank expression of opinions by or between or to Ministers of the Crown or
members of an organisation or officers and employees of any Department or organisation in
the course of their duty; or

PhD Handbook 57
ii) The protection of such Ministers, members of organisations, officers, and employees from
improper pressure or harassment; or

(h) Maintain legal professional privilege; or

(i) Enable a Minister of the Crown or any Department or organisation holding the
information to carry on, without prejudice or disadvantage, commercial activities; or

(j) Enable a Minister of the Crown or any Department or organisation holding the
information to carry on, without prejudice or disadvantage, negotiations (including
commercial and industrial negotiations); or

(k) Prevent the disclosure or use of official information for improper gain or improper
advantage.

58 PhD Handbook
14.0 The PhD Examination
14.1 Appointment of Examiners
The PhD thesis is examined by three examiners who are people with standing in the field of the
thesis being examined and who normally have experience of PhD supervision and examination. At
least one examiner is normally a member of the staff of an overseas university or similar institution
(the overseas examiner). The intention behind this is to establish a common standard between New
Zealand and overseas scholarship and to preserve the international standing of the Victoria PhD
degree. Normally at least one examiner will be from another New Zealand University (the external
New Zealand examiner). The third examiner should be a member of the Victoria University staff (the
internal examiner). If the candidate is a member of Victoria University staff, the internal examiner
should not normally be a close working colleague, e.g., a member of the same teaching/research
group. Only in exceptional circumstances will the internal examiner be the primary supervisor or co-
supervisor.

Supervisors, in consultation with the Administrative Supervisor, recommend suitable examiners to


the Associate Dean, and supply the Associate Dean with a brief curriculum vitae or other information
which establishes the suitability of the proposed examiners. Examiners must be in a position to
provide a fair and impartial assessment of the thesis. Suitable examiners are those who have no
significant personal, professional or contractual relationships with the candidate. In cases where the
most qualified examiner has such a relationship with the candidate, the Research Degrees Committee
(RDC) should be consulted. Candidates can be consulted on potential examiners, but may not be told
which examiners have been nominated or appointed.

The Associate Dean will scrutinise the recommendations and forward them to the RDC. The RDC
approves the nominations and appoints the examiners.

The availability and suitability of examiners should be established well in advance of the thesis
being submitted so that the thesis can be sent to examiners as soon as it is received by the Faculty
Office on behalf of the Associate Dean. ‘Availability’ means willingness to accept appointment and
agreement to examine the thesis and complete a report within eight weeks of receiving the thesis.
Availability is normally established through informal contact and the Associate Dean is responsible
for ensuring that this is done.

Concerns with any aspect of the recommendation of examiners should be addressed to the Associate
Dean.

14.2 Early Submission


In cases where a candidate makes exceptional progress with their research, or where a candidate
who has transferred from a Master’s degree is able to complete their thesis in less than the
predetermined period of registration, the Associate Dean will give favourable consideration to a
request for early submission.

14.3 Submission
A thesis is an integrated report. If it consists of several studies or cases, their relationship to one
another should be demonstrated. The thesis may include the candidate’s previously published work
or material based on previous research, as long as the report constituting the thesis is written under
supervision during the period of registration.

The decision to make application for a thesis to be examined is one to be made by the candidate.

PhD Handbook 59
However, it is expected that such decision will be made by agreement between the candidate and
the supervisors. The University has an obligation to examiners to ensure that any thesis sent for
examination is complete and suitable for examination.

The University expects that normally a candidate would be enrolled for the three months
immediately preceding submission. Students may appeal to the PhD Convener, to submit without
three months prior enrolment, in exceptional circumstances. A grace period starts on the last day for
which fees are paid and covers the following 28 days. If a thesis is submitted in the grace period no
extra fees will charged.

When the candidate indicates the thesis is complete, it should be reviewed by at least the primary
supervisor before application is made for examination. This review period should not usually exceed
four weeks.

If the supervisors are of the opinion that the thesis is not complete, the primary supervisor may
recommend to the Associate Dean that the thesis not be accepted for examination. Such a
recommendation shall be accompanied by reasons and notified to the candidate who shall have the
opportunity to make submissions to the Associate Dean.

A thesis is not complete unless it constitutes a complete scholarly work inclusive of all scholarly
apparatus usual in the discipline. It should be presented in a form regarded as suitable for
examination in the discipline concerned and it should conform to all other formal requirements of
the University for presentation of a thesis, including word limits.

The Associate Dean, after appropriate consultation, may decide that the thesis is not complete if the
quality of the thesis submitted is such that no examiner could reasonably be expected to recommend
that the candidate be awarded either a PhD or a Master’s degree. If the Associate Dean so decides
the candidate shall be advised of the reasons for the decision and the changes necessary to make the
thesis suitable for examination.

Should the Associate Dean decide that a thesis is not complete the candidate may appeal that
decision to the Research Degrees Committee (RDC). Where it is decided that a thesis is not complete
for the reasons stipulated above and the candidate has followed the process set out in the PhD
Policy, the candidate retains the right to have the thesis examined.

Before submission, the Faculty Office will provide the following documents to the candidate:

• a Statement of Authorship form to confirm that the work of others has been acknowledged in
the thesis and that the thesis has not been submitted previously for another degree;

• two Availability of Thesis forms providing consent for the thesis to be consulted, borrowed,
copied or reproduced in accordance with the Library regulations. This requirement is delayed if
the candidate has received the approval of the RDC to have access to the thesis withheld for
a limited given period of time (see Withholding of Theses Procedure http://policy.vuw.ac.nz/
Amphora!~~policy.vuw.ac.nz~POLICY~000000000034.pdf);

• a statement that the thesis does not exceed 100,000 words in length*

• a research supervision Exit Questionnaire to canvas PhD students for written comments about
the supervision of their thesis.

On submission of the thesis, the candidate shall submit three copies of the thesis to the Faculty
Office and signed copies of the above statements (completion of the Exit Questionnaire is
recommended but not compulsory) and apply for examination.

60 PhD Handbook
* Note: The 100,000 words must include everything necessary to mark the thesis, and therefore
includes scholarly apparatus such as bibliographies, foot and/or end-notes and essential appendices.
Where the candidate wishes to provide extensive additional material it is suggested that this
material should be attached in electronic format.

14.4 Examination
The examination comprises an expert review of the thesis by three examiners and may include
an oral examination. In some faculties the requirement for an oral examination is waived unless
specifically requested by an examiner, a supervisor, the candidate or the Research Degrees Committee
(RDC).

Candidates can normally expect the examination process to take approximately 4 months (including
8 weeks for the examiners to complete their reports). In exceptional circumstances the process
may take several months longer. The RDC is responsible for reviewing all reports and deciding the
outcome of the examination process.

14.5 Examination of the Thesis


Each examiner is supplied by the Faculty Office, on behalf of the Associate Dean, with a copy of the
thesis, the relevant statute and policy and information detailing what is required from them. The
information is specified in https://intranet.victoria.ac.nz/research-office/postgraduate/forms-and-
templates.aspx All examiners write an independent report on the thesis and make a recommendation
on the result. Consultation between examiners before independent reports have been submitted
to the Associate Dean is prohibited, as is any communication with either the candidate or the
supervisors. After reports have been submitted however, in those cases where examiners make
differing recommendations on the outcome of the examination, consultation is permitted.

The recommendations of the examiners on the basis of their reading of the thesis should be one of
the following:

• that the thesis meets the requirements of the PhD;

• that the thesis will meet the requirements of the PhD on completion of any minor amendments
(defined in 14.9.1) to the thesis recommended by the examiners, to the satisfaction of the
internal examiner;.

• that the thesis will meet the requirements of the PhD on completion of any revisions (defined
in 14.9.2) to the thesis recommended by the examiners, to the satisfaction of the internal
examiner;

• that the thesis does not meet the requirements of the PhD, but that the candidate be permitted
to resubmit a revised thesis within a specified period. In this case the examiners should offer
detailed advice to assist the candidate towards a successful re-submission;

• that the candidate be declined a PhD but offered a Master’s degree, subject to any minor
amendments that may be required;

• that no degree be awarded and the candidate’s registration be terminated.

In the case that examiners make differing recommendations on the outcome of the examination, the
Associate Dean may ask the internal examiner (or a New Zealand-based examiner) to co-ordinate
consultation between examiners to see if the differing recommendations can be resolved. Where the
examiners agree on a joint report on the outcome of the examination, this report will be submitted

PhD Handbook 61
to the Associate Dean by the co-ordinating examiner.

The PhD Convener and the Research Degrees Committee (RDC) is responsible for reviewing the
reports of the Associate Dean and the examiners and making a decision on the outcome of the
examination process.

The Associate Dean sends a report of the examination of the thesis to the PhD Convener, including all
the examiners’ reports and a recommendation on the outcome.

On receipt of the report from the Associate Dean where the examiners are in agreement, the PhD
Convener, on behalf of the RDC, will usually accept their recommendation. Where the examiners’
views of the thesis differ significantly or are in other ways controversial, the PhD Convener will
consult with the academic members of the RDC, who may require an oral examination. In cases
where there is significant disagreement between examiners, it may be appropriate to initiate
a discussion between the examiners with the objective of achieving consensus. The discussion
will be coordinated by the PhD Convener or their nominee. In cases where differences prevent
the examiners agreeing on a joint recommendation, the RDC may elect to proceed on a majority
report. Alternatively, the RDC may ask for further efforts to reconcile the examiners or seek a
recommendation from a referee to whom the thesis and the anonymised examiners’ reports shall be
referred. The referee will advise the RDC of their recommendation.

Once approved by the RDC, the PhD Convener will inform the Associate Dean, who will convey the
decision on the acceptability of the thesis in writing, and send copies of the examiners’ reports to the
candidate, the primary supervisor, the Administrative Supervisor and the Head of School.

If the supervisor, the candidate or the RDC requests an oral examination, the PhD Convener will ask
the Associate Dean to arrange one. The candidate should receive the examiners’ reports at least five
days before an oral examination.

On receipt of the report on the oral examination from the Associate Dean, the RDC will reconsider
all the reports and make a final decision on the acceptability of the thesis on behalf of the Academic
Board.

14.6 Arrangement of Oral Examination


The purpose of the oral examination is to defend the thesis and determine the result. Additional
purposes may include: checking the understanding of particular aspects; allowing the candidate to
demonstrate the extent of work involved; clarifying the scope and detail of the revisions required,
particularly where there are conflicting statements from examiners.

In some faculties and schools an oral examination is always held as part of the PhD examination
process and this is determined by faculty policy as approved by Faculty Boards.

After consulting one another, a supervisor or the candidate may also request an oral examination
within 10 days of receiving copies of the examiners’ reports. A request for an oral examination must
be justified in terms of the statement of the purposes of the oral examination.

Where an oral examination is required the following takes place. The oral examination is organised
by the Associate Dean who will also chair it or appoint an appropriate person as chairperson. The
examination will usually be conducted by the New Zealand examiner and the internal examiner,
and questions provided by the overseas examiner will be presented by the internal examiner. The
primary supervisor will normally be in attendance, but not as part of the examining panel, and other
supervisors may also attend.

62 PhD Handbook
Circumstances will occasionally make it necessary to depart from the normal examination
procedure. The Convener of the Research Degrees Committee (RDC) should be consulted in all such
circumstances; the RDC must approve any unusual procedure. If problems are foreseen they should
be discussed with the Convener as early as possible.

A common problem with arranging the oral examination occurs when both external examiners
are overseas, or when the candidate has already taken up an overseas position. In such cases an
examination by telephone or video conference may be approved. However, there should always be
one examiner present with the candidate. If it is impractical for the candidate to meet with any of
the examiners, some responsible person, for example an academic from another university, must
be present with the candidate and must supply a written statement that the examination was
conducted properly.

14.7 Conduct of Oral Examination


The length and format of the oral examination depends on the discipline being examined and the
issues arising from the thesis. A two-hour examination would be fairly typical.

Every effort will be made to involve all examiners in the oral examination, using technology where
appropriate, particularly for overseas examiners. In cases where the overseas examiner is not present,
questions from the overseas examiner will be presented at the oral examination. However, it is the
examiners present who must decide whether the candidate’s responses are adequate, and whether
the Faculty objectives of the oral examination have been met.

If an oral is required as part of the examination process, then the examination process is not
complete until the oral has taken place. Reports received before the oral are provisional. The final
report after the oral determines whether or not the candidate will be granted a PhD.

Where a thesis is clearly acceptable, the oral examination may become a reasonably informal
discussion of ways in which the research might be developed or how the thesis could be prepared for
publication. In other circumstances the examiners may need to clarify issues arising from the thesis
or to evaluate the candidate’s understanding of the subject.

Section 4.1(b) of The use of Te Reo Maori for Assessment Policy states that “Students may use Te Reo
Maori in assessed oral presentations only with the prior agreement of the examiner.” If a student
wishes to use Te Reo Maori in an oral examination, this should be cleared with the School before
the appointment of examiners has taken place, so that consideration can be given to appointing
examiners who can understand Te Reo Maori sufficiently well to undertake this task.

14.8 Report on the Oral Examination


All examiners present at the oral examination must reach agreement and sign a report on the oral
examination. There is no objection to the examiners telling a candidate unofficially what their
recommendation is likely to be at the conclusion of the oral examination.

The Associate Dean must then make a report on the examination as a whole to the Research
Degrees Committee (RDC). Where the overseas examiner’s report recommends an outcome which is
acceptable to the examiners present at the oral examination, a simple statement may be produced
immediately. In other cases, telephone conversations or correspondence with the overseas examiner
may be needed before reporting. It is the responsibility of the Associate Dean to coordinate any such
negotiations, and to report the results to the RDC.

Following the completion of the oral examination, the examiners’ agreed recommendation to the
RDC must take one of the following forms:

PhD Handbook 63
• that the candidate be awarded the PhD;

• that the candidate be awarded the PhD subject to the completion of any minor amendments
(defined in 14.9.1) to the thesis recommended by the examiners, to the satisfaction of the
internal examiner;

• that the candidate be awarded the PhD subject to the completion of any revisions (defined
in 14.9.2) to the thesis recommended by the examiners, to the satisfaction of the internal
examiner;

• that although the thesis is acceptable (or acceptable with minor amendment/revision) the
degree not be awarded but that the candidate be permitted to re-present himself/herself for
oral or written examination within a specified period of time;

• that the degree not be awarded but that the candidate be permitted to re-submit a revised
thesis within a specified period. In this case the examiners should offer detailed advice to assist
the candidate towards a successful re-submission;

• that the candidate be declined a PhD but offered a Master’s degree;

• that no degree be awarded and the candidate’s registration be terminated.

14.9 Minor Amendments and Revisions


The responsibility for overseeing the minor amendments or revisions is usually taken by the internal
examiner. If the internal examiner is not available, then the primary supervisor will take this role. If
the primary supervisor is not available then the Administrative Supervisor will take this role.

After consultation with the candidate, the person responsible for overseeing the minor amendments
or revisions will stipulate in writing the timeframe within which these must be completed.

14.9.1 Minor Amendments


It is very common for examiners to ask candidates to make small corrections to the thesis before it
is accepted. Generally minor amendments are formal only, such as making small corrections, adding
missing citations, or fixing typographical errors, but ‘minor’ can include slight changes or additions
of substance. As a guide, amendments that are ‘minor’ should be able to be completed within two
weeks’ full-time work or equivalent. The internal examiner (or primary supervisor) is responsible for
ensuring that the candidate is fully informed of any corrections which must be made before the
final submission of the thesis. When the candidate has completed the corrections they are inspected
by the internal examiner who writes to the Associate Dean (with a copy to the Convener of the
Research Degrees Committee) confirming that the requirements of the examiners have been met in
full.

14.9.2 Revisions
Where more than minor amendments are required, the candidate may be asked to revise aspects of
their work and sometimes write new sections, for example, to clarify an argument. Where examiners
require ‘revision’ it is expected that:

• the thesis is generally of the required standard and the changes required are such that it does
not need to be re-examined as a whole;

• the changes that the examiners require are such that it is reasonable for the internal examiner
alone to assess the revised thesis; and

64 PhD Handbook
• the revisions are of a kind and scope that it would be reasonable to expect that they might be
completed within six months’ full-time work.

The revisions required will be notified to the candidate in writing. It is the responsibility of the School
Research/Postgraduate Committee (SRC), which will usually delegate this to the internal examiner
and/or the primary supervisor, to ensure that the candidate understands exactly what is required to
meet the examiners’ concerns and to oversee the revision process. The suggested revisions must be
completed to the satisfaction of the SRC or nominee who will then notify the Associate Dean (with
a copy to the Convener of the Research Degrees Committee) that the requirements of the examiners
have been met.

While candidates have a maximum of six months to make the suggested revisions, it is desirable that
the work is completed as soon as possible.

Any candidate for whom the result of the first round of the examination process is that the thesis
may be resubmitted, may, at their discretion, opt to make only minor editorial changes to the thesis
and to accept the relevant general Masters qualification (MA, MSc, MCA, MMus, LLM) in place of the
doctoral qualification. The Masters in such cases will be awarded at the Pass level. Once the thesis
has been resubmitted, this option no longer applies.

14.9.3 Disputes about Revision


If there is substantial disagreement between the two external examiners and/or the internal
examiner, it is recommended that the internal examiner discuss the matter with senior researchers in
the School or wider university. Following such discussions, a formal Memorandum of Understanding
should be agreed before entering into negotiations with the candidate as to the completion of these
revisions.

If there is good reason why the internal examiner should not be the person to undertake this task,
an explanation should be given to the Research Degrees Committee, who will then appoint an
appropriate substitute.

14.10 Revision and Re-Submission of Thesis for Second Examination


Where the examiners have recommended re-submission and the Research Degrees Committee
(RDC) confirms that result, all copies of the thesis are returned to the candidate who is given the
date by which re-submission must be made. The internal examiner is responsible for explaining to
the candidate, in writing with a copy to the Convener of the RDC, which parts of the thesis require
revision and for what reasons.

Re-enrolment is required for re-submission. Where re-submission is involved, a period of further


supervision will be required. It is the duty of the School Research Committee to organize this, and to
change the primary supervisor if this is academically advisable. Any such change must be notified to
the relevant Faculty Office.

When the thesis is re-submitted, the examination process begins again. Only in exceptional
circumstances will the RDC consent to a change of examiners.

When the examiners recommend that the thesis be re-submitted after revision, they may also
recommend that a second oral examination is not required. This is appropriate when they consider
that the candidate has performed satisfactorily in the oral examination and that the weaknesses
are only in certain aspects of the writing of the thesis. Where the problems are more fundamental
(requiring, for example, the gathering of further data, or a restructuring of the thesis), a second oral
may be necessary. Any recommendation regarding a second oral examination requires confirmation
by the RDC.

PhD Handbook 65
15.0 The University Community
15.1 Introduction
While engaged in PhD study, candidates occupy a special albeit transitional, place in the University
system. Like many transitional states, PhD candidates’ status can be rather ambiguous, neither
members of the main student body, nor members of the academic staff. While PhD students are
usually treated collegially by academic staff, at the same time they require guidance, and ultimately
will be examined by the academic staff. For PhD students in small schools, isolation can be a
problem, although the Postgraduate Students’ Association (PGSA) can provide important social and
academic contacts.

During the time of study, PhD students are expected to conduct themselves and their research in
a manner which conforms to the University’s values and to assist the University in achieving its
research goals. The University, in return, endeavours to maintain an environment which will foster
and protect PhD students, and provide an academically exciting and intellectually stimulating
environment.

The sections that follow outline the principal values of the University community, and the principal
rights and obligations of PhD students.

15.2 Values and Ethos


The guiding values of the University community are:

• excellence in learning, teaching and research;

• high ethical standards of accuracy, co-operation, tolerance, acceptance of obligations as well


as rights to enable all in the University community to develop their full potential;

• acknowledgement of the principles of the Treaty of Waitangi and recognition of the special
relationship with the tangata whenua;

• equity of educational and employment opportunity for those who are socially and economically
disadvantaged;

• intellectual openness and questioning of accepted wisdom;

• a nurturing environment providing the atmosphere for growth and learning;

• a commitment to leadership in the community and an awareness of the needs of that


community; and

• a commitment to teaching and research that embraces both theory and practice.

A full description of the University’s Mission and Values is set out in the University Charter. A copy
is available in the main collection of the Library. This document is also available at: www.victoria.
ac.nz/home/about/newspubs/publications/Charter.pdf

15.3 Collegiality
The University recognises that a vital aspect of the learning experience for PhD candidates is an
environment of strong and supportive collegiality. Students should be aware that undertaking a PhD
has the potential to be a solitary and isolating experience and should work to mitigate this.

The University encourages candidates to get to know each other so that experiences can be shared

66 PhD Handbook
and problems jointly addressed. The use of email is very helpful for this purpose. Candidates are also
encouraged to attend the appropriate faculty and school seminars, which can be a helpful means of
ensuring contact with colleagues and avoiding isolation.

15.4 The VUW Postgraduate Students’ Association


The Postgraduate Students’ Association (PGSA) is an independent organisation that represents all
postgraduate students and their interests at Victoria. Recognised by the University and Victoria
University of Wellington Students’ Association (VUWSA) as the lead representative body of all
postgraduate students, the PGSA is committed to maintaining and improving the conditions under
which all postgraduates work at Victoria. The PGSA aims to create a vibrant postgraduate community
at Victoria and to promote the value and role of postgraduate contributions to the University.

It lobbies on issues, represents postgraduate students on a variety of university committees and


arranges social activities, seminars, training workshops and information. It acts on behalf of
postgraduates, lobbying to foster the academic, financial and social needs of higher degree students,
and provides advice and advocacy for individuals and groups of postgraduate students.

The PGSA also organises the University’s annual teaching awards (the Victorias) and offers a small
postgraduate computing space in the Trinity Newman Postgraduate Centre.

The PGSA is run by the Executive, elected each year and comprised of up to ten voluntary
postgraduate students. The PGSA also coordinates the network of postgraduate representatives on
university committees and bodies. The PGSA is always eager for postgraduates to get involved, and
welcomes enquiries.

The PGSA operates an electronic mailing list for all members which keeps postgraduate students
informed about PGSA initiatives, relevant information for postgraduates and social events. The PGSA
sends out a monthly e-newsletter The Postgraduate News. To subscribe or unsubscribe to the list go
to www.victoria.ac.nz/pgsa/resources/mailing-list.aspx and fill in your details.

You can also contact the PGSA on tel 0-4-463 6973 or email pgsa-ea@vuw.ac.nz or www.victoria.
ac.nz/pgsa The PGSA’s office is in Room 202, 20 Kelburn Parade.

15.5 Rights and Obligations Regarding Conduct


15.5.1 The Statute on Student Conduct
The supporting values and ethos of the University can only be sustained in an environment of safety
and respect for all members of the University community. All PhD candidates are therefore reminded
of their obligation to observe the Statute on Student Conduct, which can be viewed by searching for
‘Statute on Student Conduct’ at: http://policy.victoria.ac.nz

The Statute on Student Conduct identifies unacceptable behaviour and provides processes by which
people can seek to have concerns addressed. The preamble to the Statute on Student Conduct states
that: “Students are expected to contribute with reason and consideration to the University’s role,
guiding values and standing and to regulate their own conduct so as not to impede or prejudice the
work of other members of the community. They are entitled to work, learn, study and participate
in the social aspects of the University’s life in an environment of safety and respect. It is expected
that students will act with integrity and demonstrate respect for others and their confidences when
given.”

If differences or disputes arise between members of the University community, it is expected that
they will attempt to resolve any conflict themselves, co-operatively and in a professional manner.

PhD Handbook 67
The Statute prohibits the following conduct: discrimination; sexual harassment; racial harassment;
causing racial disharmony; academic misconduct including plagiarism; misuse of information; misuse
of University computer systems; and other misconduct, all defined in section 4.2 of the Statute.

15.5.2 The Policy on Staff Conduct


The corresponding rights and obligations of supervisors and other University staff are dealt with in
the Policy on Staff Conduct which can be viewed by searching for ‘Policy on Staff Conduct’ at: http://
policy.victoria.ac.nz/ The preamble to the Policy on Staff Conduct states: “Members of the University
community are expected to contribute with reason and consideration to the University’s role, guiding
values and standing and to regulate their own conduct so as not to impede or prejudice the work of
other members of the community. They are entitled to work, learn, study and participate in the social
aspects of the University’s life in an environment of safety and respect. “

It is expected that members of the University community will act with integrity and in a professional
manner and demonstrate respect for others and their confidences when given. Those with seniority
or authority have a particular responsibility to ensure that these standards are upheld and that
sensitivity to unequal degrees of power is displayed.

If differences or disputes arise between members of the University community, it is expected that
they will attempt to resolve any conflict themselves, co-operatively and in a professional manner.

The Policy on Staff Conduct identifies misconduct as including: discrimination; harassment; sexual
harassment; racial harassment; causing racial disharmony; misuse of authority; misconduct in
research; misconduct involving a conflict of interest; misuse of information; and other misconduct,
all defined in section 4.2 of the Policy. These definitions of misconduct are not intended to apply to
reasonable comment by staff in the exercise of academic freedom.

15.5.3 Formal Procedures


The University policy is that the formal procedures laid down in the Statute on Student Conduct
and the Policy on Staff Conduct should only be used where other methods of resolving conflicts
or controlling conduct would be ineffective or inappropriate. It is also University policy that all
disciplinary procedures conform to the principles of natural justice. Various procedures have been
adopted in the Statute and the Policy to safeguard the rights of the individuals in this respect. In
particular, the University has clearly defined procedures under the Policy on Staff Conduct for dealing
with sexual harassment. If any PhD candidate has been subjected to unwelcome and distressing
behaviour and would like guidance as to whether it amounts to sexual harassment, they should in
the first instance, contact the University Facilitator and Disputes Advisor. Further information is
available in the brochure Respect: Sex and Relationships: what’s OKAY and what’s not at http://www.
vuw.ac.nz/disputes-advice/

68 PhD Handbook
16.0 University Student Services
16.1 Student Services Group
Victoria has an excellent support network for students. Many of these services are run by the Student
Services Group, which is funded by the University and by students through a small levy paid upon
enrolment.

16.1.1 Accommodation Service


Level 1, Student Union Building
Hours: 9am to 5pm Monday to Friday
tel 0-4-463 5896, fax 0-4-463 5252, email Accommodation@vuw.ac.nz
The Accommodation Service helps students find suitable accommodation in Wellington, handles
applications for Victoria’s Halls of Residence, and operates a Letting Service of vacancies in the
private market. The Letting Service can be accessed online at: www.victoria.ac.nz/st_services/
accommodation/ or on notice boards in the Accommodation Service.

Staff are happy to advise students on any matters related to tenancy and flatting and have a wide
range of information available from Tenancy Services.

16.1.2 Career Development and Employment


14 Kelburn Parade
Hours: 9am to 5pm Monday to Friday, except Wednesday 10.30am-5 pm
tel 0-4-463 5393, fax 0-4-463 5252, email careers-service@vuw.ac.nz
Career Development and Employment (www.victoria.ac.nz/st_services/careers/) provides information
and guidance to students with career and course-related questions. The Service has three
professionally-trained careers advisers available for informal, confidential discussions. They can
help with a wide range of queries - from the general exploration of career ideas and the career
implications of postgraduate courses, to details of specific jobs, employers and checking draft
copies of resumes. A Graduate Recruitment Programme runs throughout most of the year, in which
a number of employers come to Victoria to offer informal career information sessions and conduct
formal interviews with final-year students for specific vacancies. A separate Law and Accounting
Employment Programme is held early in the year.

The Service provides an online jobs vacancy service which lists employment opportunities for
graduates and for students seeking part-time or contract work related to their course of study. This
can be accessed via Victoria CareerHub: http://careerhub.victoria.ac.nz using your Student Computing
account as your login. Victoria CareerHub is also your one-stop-shop for details on all career events,
i.e., career fairs, employer presentations, workshops and seminars in addition to tips on career
development and job search topics.

There are career workshops for developing interview skills, preparation of CVs, identifying skills and
other career-related matters. The Service’s reference library has detailed information on occupations
and employers, and the computer database provides a useful checklist of career options and training.
A comprehensive careers website also offers valuable advice.

The Service is open all year, including the study break. Prospective postgraduate students are
especially welcome to visit and use the Service. Feel free to come by for a casual visit during our
drip-in times or call ahead to book an appointment.

PhD Handbook 69
16.1.3 Counselling Service
2 Wai-te-ata Road (Kelburn campus)
Hours: 9am to 5pm throughout the year
tel 0-4-463 5310, fax 0-4-463 5028
Counselling Clinics are also held at Pipitea, Te Aro and Karori campuses.
The Counselling Service is a free and confidential professional service for all Victoria students who
would like to discuss personal or academic issues affecting their general sense of wellbeing, their
relationships or their learning. Group programmes are also available.

16.1.4 Childcare
The University Student Crèche is available to students with pre-school children (from birth to five
years). The Crèche’s fully trained and experienced staff provide care and education for children while
parents are studying. This Crèche is on the Kelburn campus, at 67-71 Fairlie Terrace, and is open
from 8am to 5.30pm on weekdays during term and examinations, and possibly to 6.00pm by special
arrangement, The Law Crèche, in the Government Buildings on Lambton Quay, caters for 14 children
up to three-and-a-half years of age, and is open 8.30am to 5.30pm weekdays. Students who wish
to use any of the Crèches should register in person from the first Monday of November at 71 Fairlie
Terrace, or phone the Manager on 0-4-463 5151.

The University Staff Early Childhood Education (ECE) Centres cater for the children of staff and
postgraduate students. Trained and experienced staff provide care and education for children aged
from three months to five years. Staff ECE Centres are Tui House at 4 Clermont Terrace, and Kea
House at 2 Clermont Terrace. Bookings are on a permanent basis, either full-time or five half days.
Bookings can be made by contacting the Manager, tel 0-4-463 5151 or email Childcare@vuw.ac.nz

16.1.5 Disability Support Services


Level 1, Robert Stout Building, Room 103
Telephone for an appointment
tel 0-4-463 6070, fax 0-4-463 5104, email Disability@vuw.ac.nz
Disability Support Services are on campus to assist students who are deaf or have an impairment,
injury, mental health condition or chronic illness that may impact on their study. Students wishing
to discuss their needs should contact a Student Adviser from Disability Support Services as early
as possible. A range of services and support is available, including specialised computer software,
alternative print formatting, places to study and rest, hearing assistance technology, and personal
assistance where appropriate. There are also active student support groups.

16.1.6 Kaiwawao Maori/ Maori Student Services Adviser


Hunter Courtyard, Kirk Building, Level 0, Room 007
tel 0-4- 463 6001 or 027 563 6001
Monday to Friday 8.30am-4.30pm
email kaiwawao-maori@vuw.ac.nz
www.victoria.ac.nz/st_services/kaiwawao/
The Kaiwawao Maori Service’s main objective is to ensure all Maori students receive up-to-date
information and assistance to participate and succeed at Victoria University.

16.1.7 MAI Ki Poneke


MAI (Maori and Indigenous Postgraduate Students) is a national network for Maori, Pasifika and
First Nations’ PhD Candidates, which offers monthly regional meetings, regular workshops and a
mentoring programme.
www.victoria.ac.nz/mai

70 PhD Handbook
16.1.8 Financial Support and Advice
14 Kelburn Parade, Rooms 106 and 107
Hours: 9am to 5pm weekdays (no appointments on Fridays)
tel 0-4-463 6644 or 0-4-463 6658, fax 0-4-463 5252, email Student-hardship@vuw.ac.nz
The Student Finance Advisers help students to manage their personal finances by providing advice
and individual budgets. They administer the Hardship Fund which provides short-term assistance
for those facing financial difficulties, for example, high course costs, research costs not covered by
grants, childcare, transport, accommodation etc. The Advisers have close links with StudyLink and
can assist with problems associated with Student Allowance and Loan applications. They can also
help students complete financial statements for scholarships applications.

16.1.9 Student Health Service


Kelburn: 4 Wai-te-ata Rd, and Te Aro: Ground floor, 139 Vivian St
tel 0-4-463-5308, fax 04-463-5028
Pipitea: Student Services, Level 2, Railway Station, West Wing
tel 0-4-463 7474, fax 04-463-7475
Karori: Level 3, Grey Block, Faculty of Education
tel 0-4-463 9537, fax 0-4-463 9581
email Student-health@vuw.ac.nz
www.victoria.ac.nz/st_services/health/ (for clinic times and fee structure)
The Student Health Service offers low cost confidential quality healthcare. An experienced team of
doctors and nurses provides a wide range of medical care including treatment of acute illness and
injury, management of ongoing health problems, contraception, smears and sexual health checks,
travel and nutrition advice, minor surgery and more. A number of specialist services are also available
including psychiatry, dermatology and physiotherapy. Our Student Health Service will help you enjoy
better health and an improved lifestyle.

For free medical advice, phone 0800-611 116 to speak to a registered nurse. After hours emergency
care is shared with Wellington GPs at the Wellington Accident and Urgent Medical Centre, 17
Adelaide Road, tel 0-4-384 4944 (there will a charge for this service).

16.1.10 Student Learning Support Service


Kelburn: Kirk Building, Level 0 Hunter Courtyard
Hours: 8.30am to 4pm Monday to Friday
Pipitea: Railway Station, West Wing, Level 2
Hours: 8.30am to 3.30pm Tuesdays and Fridays
tel (04)-463 5999, fax (04)-463 5252, email Student-learning@vuw.ac.nz
The Student Learning Support Service (SLSS) runs regular seminars on topics of interest to
postgraduate students, at both Kelburn and Pipitea campuses, in the first weeks of each trimester.
SLSS facilitates a regular postgraduate writing group (beginning with an intensive Saturday
workshop in March), will help postgraduates set up and maintain a peer study/support group in
their school and will organise workshops on request. Experienced learning advisers are also available
for one-to-one consultations on all aspects of postgraduate study, including time management,
developing research questions, oral presentations, and structuring and formatting long documents.
For further information phone 0-4-463 5908.

PostgradLife is a student-centred website which provides links to important information for


postgraduate students: www.victoria.ac.nz/postgradlife

PhD Handbook 71
16.1.11 Victoria International
The Victoria International Services Team is the first port of call for all International PhD students
seeking assistance at the University. The Services Team act as a facilitator to help you find the
assistance you need. They also deal with all insurance and visa-related issues and can help you settle
into your new life in Wellington.

16.1.12 Alumni Association


The University values its links with its former students, many of who have achieved distinction in a
variety of fields in New Zealand and elsewhere. Graduates are encouraged to remain involved in the
life of the University and to exercise their right to representation on the University Council.
Alumni Relations Office
Room 325, Hunter Building
Tel 0-4-4636700; fax 0-4-463 5210: email alumni@vuw.ac.nz; www.victoria.ac.nz/alumni
The Alumni Relations Office provides a means for graduates and others who have had a close
association with the University to remain in touch. It coordinates activities of the Alumni
Association, which has an important role as a forum to discuss matters of relevance to the University
and provide graduate input into University decision-making. Anyone who has studied or worked at
Victoria may join. The Association also organizes informal social activities, and through an affinity
card it raises money to fund postgraduate scholarships.

16.1.13 Court of Convocation


All graduates of Victoria University are eligible to be enrolled as members of the Court of
Convocation, which elects five members of the University Council. Members of Victoria University
College when it was part of the University of New Zealand and persons whose names were enrolled
on the register of the Court of Convocation on 26 August 2002 are also eligible. Enquiries and
applications for enrolment should be addressed to the Secretary, Court of Convocation, Victoria
University of Wellington, PO Box 600, Wellington, New Zealand.

The register of members is in two parts, active and inactive. Those who have voted in one of the
previous two Council elections, or have been enrolled since the penultimate election, or have applied
to the Secretary for transfer to the active roll, are placed on the active roll. Members wishing to
participate in the election of the Court of Convocation representatives on the Council should ensure
their names are on the active roll. New graduates are automatically enrolled on the register.

16.2 Student Union Complex


The University’s ‘Community Centre’, the Student Union Complex provides opportunities for students
to participate in a wide variety of cultural, recreational, social and political activities. Facilities
include those offered by the Student Union Building, the Recreation Centre, the Rutherford House
Gym, the Karori Gym and Tennis Courts, the Kelburn Tennis Pavilion and the Boyd Wilson Field and
clubrooms.

16.2.1 Student Union Building


tel: 0-4-463 6999; fax: 0-4-463 6698; email student-union@vuw.ac.nz

The Union Building houses the Student Union management and the Students’ Association. It is a
focus for many activities and features social and meeting rooms, the Union Cafe, the Mount Street
Bar and Cafe and the Union Hall and Hunter Bar. There is also a National Bank branch and ATM. The
Student Union Building is home to vicbooks, the only campus bookshop in New Zealand owned by its
students, through the VUWSA Trust. Vicbooks is on the 3rd floor of the Student Union Building and

72 PhD Handbook
the ground floor of Rutherford House. Vicbooks offers a student discount on academic textbooks,
general books, magazines and stationery, and has postal and dry cleaning services. The Student Union
also operates Student Notes on the Ground Floor.

16.2.2 Recreation Centre


tel 0-4-463 6614; email rec-cent@vuw.ac.nz; www.victoria.ac.nz/union/reccentre

Recreation offers two main facilities: the recreation centre at the Kelburn Campus, which has
recently been refurbished, and a second fitness studio and aerobics centre at the Pipitea Campus.
The Kelburn and Karori gymnasiums provide opportunities for indoor sports such as basketball,
volleyball, table tennis and ultimate. The Kelburn and Pipitea Fitness Studios offer a full range of
cardio equipment and weights machines. The Group Exercise programme offers fantastic classes in
Yoga, Pilates, Pump, Tae Bo and Step to mention a few. Martial arts, indoor cricket and rock climbing
are a sample of recreational activities which take place at Kelburn. During trimesters 1 and 2 we run
an Activities Programme giving you the opportunity to try everything from bridge swinging, to salsa,
or even cocktail making. If you are into social sport check out our Sports League competition, choose
from indoor soccer, volleyball, basketball and indoor netball.

PhD Handbook 73
References
Academic Grievance Policy

Animal Ethics Policy

Human Ethics Policy

Information Systems Statute

Intellectual Property Policy

Library Statute

Management of External Research Consultancy and Related Contracts Policy

Minimum Resources Agreement

PhD Policy: Approving, Enrolling, Supervising and Examining Candidates

Policy on Recognition of Authorship

Policy on Staff Conduct

Statute for the Degree of Doctor of Philosophy

Statute on Student Conduct

Strategic Plan

University Charter

Withholding Theses Procedure

74 PhD Handbook
Appendix 1: Summary of Tasks and Responsibilities
Task Responsibility

Discussing initial proposal PG Coordinator, possible supervisors

Appropriate ethics committees, through


Ethical approvals
supervisors
Associate Dean on recommendation of
Admission
supervisors and Administrative Supervisor
Associate Dean on recommendation of
Determining conditions of registration
supervisors and Administrative Supervisor
Associate Dean on recommendation of
Confirming registration
supervisors and Administrative Supervisor

Processing administrative requirements


including registration, payment of fees,
extensions, suspensions, record of candidature Faculty Office
in the ResearchMaster information
management system etc

Approving variations to conditions of study


Associate Dean on recommendation of
including suspensions, extensions research
supervisors and Administrative Supervisor
away from the University
Guidance on all matters pertaining to
supervisors the research, content and shape of Supervisors
thesis
Prepared by supervisors and candidate;
Six-monthly progress reports forwarded to Administrative Supervisor and
Faculty Office

Approving the use of school facilities and


Head of School
funding

Faculty or School Research/Postgraduate


Approving research grants (where available)
Committees

Supervisors, Administrative Supervisor, Faculty


Office, Postgraduate Coordinator, Associate
Resolving problems
Dean, Facilitator and Disputes Advisor, Senior
Academic Policy Advisor

PhD Handbook 75
Examination Responsibilities

Task Responsibility

Receipt of completed thesis Faculty Office

Sending thesis to examiners Faculty Office

Associate Dean in consultation with


Making examination arrangements
supervisors and Administrative Supervisor

Approving examination arrangements Research Degrees Committee

Organising and chairing oral examination Associate Dean or nominee


Assessing examiners’ reports and deciding
Research Degrees Committee
examination result
Notifying results Associate Dean through Faculty Office
Checking that corrections to thesis have been
Internal Examiner
made
Notifying PhD Convener of the RDC that revisions
Internal Examiner
or minor amendments have been made

Deposit of thesis in Library Candidate and Faculty Office

76 PhD Handbook
Appendix 2: Summary of Role Responsibilities
Supervisor/s
(see Chapter 7.0 Supervision Protocols)

Administrative Supervisor
In addition to two academic supervisors, each PhD candidate will have an Administrative Supervisor
who will in most cases, be the Head of School (HoS) of registration. The Administrative Supervisor
has responsibility for the School/Faculty paperwork involved in the candidacy. Responsibilities as
follows:

Enrolment/Registration
• Ensures candidates and supervisors fulfil the regulations for the degree

Supervision
• Provides advice to the supervisors and is the first source of advice for candidates beyond the
supervisors

• Assists in resolving any difficulties that may arise between candidates and their supervisor/s

• Informs the Associate Dean immediately in writing, where difficulties which have arisen during
supervision, are hindering the research progress. Information includes outlining how the
candidate and supervisor/s are working towards the resolution of those difficulties

• Ensures that external supervisors, candidates and internal supervisors sign a Memorandum of
Understanding, which outlines the agreed responsibilities including the completion of six-
monthly reports

• Comes to agreement with the candidate and the supervisor/s on additional work required for a
PhD if the candidate is converting from a Master’s degree

• Provides written support for applications for conversion from a PhD to a Master’s degree

• Recommends to the Associate Dean any nominations for external scholars to be part of the
supervisory team (Honorary Research Associates)

• Seeks approval from the Associate Dean for any changes to the supervisory team

• Oversees the completion of the six-monthly report process

• Recommends to the Associate Dean that a candidate’s enrolment be discontinued if no action


is taken by the candidate to rectify problems identified in the six-monthly reports

Examination
• Approaches prospective examiners in consultation with supervisors

• Oversees the minor amendments or revisions, if the internal examiner or the principal examiner
is not available.

Head of School
The role of Head of School (HoS) varies from one school to another. In most cases, the HoS will act as
the Administrative Supervisor. Most administrative responsibilities for PhD students are delegated to
the School Research/Postgraduate Committee (SRC). Responsibilities as follows:

PhD Handbook 77
Enrolment/Registration
• Writes an agreement (Research Memorandum) between the School, candidate and supervisor/s
of the entitlements (facilities, equipment, source materials and funding) that the School will
provide during the candidature and sends to the SRC

• Approves the recommendation from the SRC on the candidates acceptability, signs the
completed application form (along with all the supervisors) and then returns the form, the
initial proposal, the Research Memorandum, and the SRC recommendation to the FO for final
approval by the Associate Dean

• Sends recommendations on full registration to Associate Dean

Supervision
• Ensures only qualified staff members gain approval as thesis supervisors and advises supervisors
of the mandatory professional development programme

• Ensures supervision is included in the school workload formula

• Recommends supervisors to the Associate Dean

• Ensures appropriate supervision arrangements are in place if the primary supervisor is absent
from the University for longer than one month

• Ensures all external supervisors are provided with a copy of the PhD Handbook, are aware of
VUW policies and practices and of training opportunities

• Reviews the six-monthly reports before their submission to the Associate Dean

• Agrees to, and monitors, proposed action to rectify problems specified in the six-monthly
reports, ensuring that the candidate has had the opportunity to respond

• Notifies the Associate Dean if the student fails to take the required action to rectify persistent
problems and informs student of their entitlement to representation

Examination
• Provides CVs for the New Zealand and overseas examiners plus a rationale for why the
three proposed examiners make an appropriate examination panel to the Associate Dean for
endorsement.

Postgraduate Coordinator/Director
The Postgraduate Coordinator (PG Coordinator) in each school is responsible for providing
information and guidance to prospective and enrolled PhD students and supervisors within a subject
area. Responsibilities as follows:

Enrolment/Registration
• Discusses potential research projects with a candidate and makes decisions about their
suitability

• Refers prospective candidates to possible supervisors

• Vets initial research proposals in conjunction with SRC

• Ensures that the candidate has two supervisors

78 PhD Handbook
• Oversees the acceptance of a candidate within a school

• Ensures that the candidate and each supervisor has a PhD Handbook

• Provides candidates with University criteria and School-specific criteria determined by the SRC
for progressing from provisional to full registration

• Oversees the transfer of a candidate from provisional to full registration

Supervision
• Provides advice and support for supervisors

• Responds to student queries and concerns

• Keeps records and monitors six-monthly progress reports (may be delegated from the Head of
School)

• Liaises with Associate Dean over student progress

Administration
• Organises school research seminars

• Manages all administrative procedures with school administration staff

School Research/Postgraduate Committee


The School Research/Postgraduate Committee (SRC) is responsible for the management of PhD
candidature in the school. Responsibilities as follows:

Enrolment/Registration
• Scrutinises the initial research proposal for academic appropriateness, and the Research
Memorandum to ensure appropriate resources are available for the research and then makes
recommendations to the HoS on the acceptability of the candidate

• Approves memorandum of attendance

• Develops School-specific criteria (in addition to Victoria University criteria) as to what


constitutes satisfactory progress for candidates to move from provisional to full registration

• Recommends a move to full registration once the committee has accepted the full research
proposal and the student has met requirements and informs the Associate Dean

Supervision
• Discusses possible conversion from a Master’s degree to a PhD with supervisors – must be
satisfied existing supervisor/s are appropriately qualified/experienced and if necessary approve
additional supervision

Examination
• Notifies the candidate of any required revisions to the thesis (usually delegate this to the
internal examiner and/or the primary supervisor) to ensure that the candidate understands
exactly what is required to meet the examiners’ concerns. Revisions must be completed to the
satisfaction of the SRC or nominee

• Organises the period of continued supervision if the thesis is required to be re-submitted.

PhD Handbook 79
Associate Dean (Students/Research)
In each faculty an Associate Dean, or delegated authority, is responsible for the approval of all
administrative decisions and for all academic matters related to the PhD degree programmes of
candidates within their faculty. Responsibilities as follows:

Enrolment/Registration
• Approves admission of candidates who do not have the appropriate qualifications but who can
demonstrate a level of ability and have relevant experience

• Appoints supervisors on behalf of the Academic Board, following nomination by schools


including the Administrative Supervisor, where the HoS is already the primary supervisor, or is
unable to exercise the required administrative functions

• Approves applications to convert from a Masters to the PhD and vice versa

• Approves provisional enrolment, on recommendation from the SRC and the HoS

• Approves applications for concurrent study while studying for a PhD (must have support from
supervisors and HoS)

• Specifies, at the time of registration, a period during which candidates must be working under
direct supervision

• Receives rationale from supervisors and candidates for any prolonged absence from the
Wellington region

• Grants permission to candidates who wish to pursue a period of research overseas

• Approves backdates of provisional registration (up to two months) for candidates who have
spent productive time in developing their research proposal before registration

• Approves requests for extensions of provisional enrolment

• Terminates provisional registration, where major difficulties are experienced early on in the
project and requests that the candidate consider the possibility of identifying a new research
project

• Approves any additional SRC guidelines on what constitutes satisfactory progress for
candidates to move from provisional to full registration

• Approves applications to move to full registration

• Receives notification from candidates if circumstances which have been taken into account in
setting the period of registration change in any material way

• Approves, on rare occasions, the resumption of registration if it lapses

• Discontinues enrolment of a candidate where no action has been taken by the candidate to
resolve problems outlined in the six-monthly reports

• Grants suspensions or extensions of enrolment beyond 5 years, where good cause is shown, or
extensions beyond seven years (only granted in exceptional circumstances). Sends copies to the
RDC for approval

80 PhD Handbook
Supervision
• Receives and monitors progress on the six-monthly reports

• Advises supervisors and candidates over matters relating to supervision, funding and grievances
which have not been dealt with by the Administrative Supervisor or the HoS

• Approves applications for a change in the supervisory team from the Administrative Supervisor
and informs the RDC of any changes

• Forwards recommendations from the Administrative Supervisor for external scholars to be


appointed as supervisors (Honorary Research Associates), to the Deputy Vice-Chancellor
(Research)

Examination
• Approves requests for early submission

• Receives recommendations from the primary supervisor where it is the supervisor’s opinion that
the thesis is not of a sufficient standard for examination. Supervisor must notify the candidate
who will have the opportunity to make a submission to the Associate Dean

• Decides, after appropriate consultation, that the quality of the thesis to be submitted is such
that no examiner could reasonably be expected to recommend that the candidate be awarded
either a PhD or a Master’s degree. If the Associate Dean so decides, the candidate will be
advised of the reasons for the decision and the changes necessary to make the thesis suitable
for examination. Candidate may appeal that decision to the RDC

• Scrutinises recommendations for potential examiners and forwards them to the RDC for
appointment

• Ensures examiners appointed to examine the thesis are available to do so within the eight
weeks as specified in the PhD Policy

• Acts as a conduit for consultation between examiners and supervisors

• Asks the internal examiner (or a New Zealand based examiner) to coordinate consultation
between examiners, where differing recommendations are made, to see if the differing
recommendations can be resolved

• Reports on the examination of the thesis to the PhD Convener, sends all examiners’ reports and
a recommendation on the outcome

• Receives written confirmation from the internal examiner that minor amendments and
revisions have been satisfactorily completed

• Conveys the decision of the RDC (in writing) on the acceptability of the thesis and sends
copies of the examiners’ reports to the candidate, the primary supervisor, the Administrative
Supervisor and the HoS

Oral Examinations:
• Arranges an oral examination where appropriate (including requests to the PhD Convener for
oral examination approval when required)

• Chairs the oral examination, or appoints an appropriate person as chairperson

• Sends examiners’ reports to the candidate at least five days before the oral examination

PhD Handbook 81
• Reports on the examination as a whole, with a recommendation, to the RDS, after any
telephone conversations with the overseas examiner as appropriate.

• Sends the report of the oral examiner to the candidate, primary supervisor, Administrative
Supervisor and HoS.

Faculty Office (Student and Academic Services Office)


The appropriate Faculty Office is the central processing and service centre for all administrative
details related to the PhD candidature. Responsibilities are:

Enrolment/Registration
• Administers candidates registration, fees, suspensions and extensions

• Receives and holds records of the six monthly reports

• Maintains accurate and up-to-date postgraduate data on candidature in the ResearchMaster


information management system

Submission
• Receives the completed thesis from the candidate

• Provides a Statement of Authorship form and requires the candidate’s signature to confirm
that the work of others has been acknowledged in the thesis and that the thesis has not been
submitted previously for another degree

• Provides two Availability of Thesis forms and requires the candidates signature to consent that
the thesis may be consulted, borrowed, copied or reproduced in accordance with the Library
regulations. This requirement is delayed if the candidate has received the approval of the RDC
to have access to the thesis withheld for a limited period of time

• Receives a statement from the candidate that the thesis does not exceed 100,000 words in
length (inclusive of scholarly apparatus)

• Ensures the candidate receives an Exit Questionnaire to evaluate their supervision upon thesis
submission

Examination
• Sends examiners a copy of the thesis and appropriate information detailing what is required
from them

• Sends official notification of examination results to candidates, on behalf of the Associate


Dean

• Ensures the candidate has deposited two copies of the final copy of the thesis in the library.

PhD Convener
The PhD Convener chairs the Research Degrees Committee (RDC). The PhD Convener approves the
examination arrangements for PhDs in consultation with the relevant Associate Dean, assesses
examiners’ reports and makes a decision concerning the examination result on behalf of the RDC.
Responsibilities as follows:

82 PhD Handbook
Submission
• Grants permission, in exceptional circumstances, for a thesis larger then 100,000 words to be
submitted for examination

Examination
• Receives a report from the Associate Dean of the examination of the thesis, including all the
examiners’ reports and a recommendation on the outcome

• Approves, on behalf of the RDC, the recommendation from the examiners, where they are in
agreement

• Consults with the RDC academic members where examiners’ views of the thesis differ
significantly or are in other ways controversial

• Coordinates a discussion between examiners in order to achieve consensus where there is a


significant disagreement between examiners

• Receives a recommendations from the referee in cases where a referee is consulted when the
examiners can not agree on a joint recommendation

• Receives a copy of the letter from the Administrative Supervisor outlining any minor
amendments that have been made

• Receives a copy of the notification where a thesis needs to be resubmitted outlining what parts
of the thesis require revision and for what reasons

• Receives a copy of the notification that the revisions have been completed

• Informs the Associate Dean that the RDC has reached a decision on the acceptability of the
thesis

Oral Examination
• Approves, on behalf of the RDC, any unusual procedures for the oral examination. Where
necessary, consults with the RDC

• Asks the Associate Dean to arrange an oral examination where requested by the supervisor,
candidate or RDC

• Approves requests for oral examinations via the Associate Dean.

Research Degrees Committee


The Research Degrees Committee of the Academic Board has responsibility for ensuring that the
processes concerning the PhD have an appropriate degree of consistency across the University.
Responsibilities as follows:

Policy
• Reviews policy related to Master’s Degrees by thesis (of 90 points and above), PhDs, any other
doctoral qualifications, including Higher Doctorates, but excluding Honorary degrees

• Considers any changes to doctoral regulations or processes and makes recommendations to the
Academic Board

• Reviews and monitors the allocation of resources to research students, the operation of
supervision procedures and research student completion rates

PhD Handbook 83
Enrolment/Registration
• Approves suspensions/extensions of candidates beyond 5 years of full or part-time study, on
the recommendation of the Associate Dean

• Considers requests for the Withholding of Theses

Supervision
• Receives reports from Faculty Office on issues emerging from Exit Questionnaires so they can
monitor supervision across the University

Examination
• Approves and appoints three PhD examiners in consultation with the Associate Dean

• Considers appeals on the standard of a thesis for submission

• Reviews the reports of the Associate Dean and the examiners and makes a decision on the
outcome of the examination process

• Receives a copy of the written confirmation from the internal examiner to the Associate Dean,
that minor amendments and revisions have been satisfactorily completed

• Appoints a substitute for the internal examiner if they cannot fulfil the role of consulting
senior academics where there are disputes over revision

• Consents in exceptional circumstances, to a change in examiners when a thesis is re-submitted

• Decides, in cases where differences prevent the examiners agreeing on a joint recommendation,
to proceed on a majority report. Alternatively, the RDC may ask for further efforts to
reconcile the examiners or seek a recommendation from a referee to whom the thesis and the
anonymised examiners’ reports is referred

• Recommends award of the degree

Oral Examination
• Receives the oral examination report from the Associate Dean, reconsiders all the reports and
makes a final decision on the acceptability of the thesis on behalf of the Academic Board

• Confirms any recommendation for a second oral after re-examination of a thesis.

Research and Postgraduate Studies Office


The Research and Postgraduate Studies office assists in the formulation of policy, supports research
administration in the University (including scholarships), liaises with schools and faculties and
provides advice and assistance in support of staff and student research. Responsibilities as follows:

• Updates and publishes the PhD Handbook

• Provides information and advice on research policy

• Provides administrative support to the Research Degrees Committee and the University
Research Committee

• Monitors and improves the administration of the PhD process

• Offers professional development programmes for supervisors

84 PhD Handbook
• Offers support regarding problems relating to PhD candidacy if matters cannot satisfactorily be
resolved at the School or Faculty level

• Receives reports from the Faculty Office on issues emerging from Exit Questionnaires to
incorporate into supervisor training

• Provides advice to supervisors about the appropriate form of agreement for supervisors
arranging for the placement of candidates off campus.

Deputy Vice-Chancellor (Research)


The Deputy Vice-Chancellor (Research) is responsible for the strategic direction of research in the
University. Responsibilities as follows:

• Holds responsibility for the development of the University’s research policies

• Appoints the PhD Convener

• Chairs the University Research Committee

• Approves any supervisory contracts with collaborating institutions

• Appoints external supervisors as Honorary Research Associates

• Advises the AVC (Academic) on academic grievances concerning PhD candidacy.

PhD Handbook 85
Appendix 3
Degree of Doctor of Philosophy Statute
Research Policy Group

1. Purpose:
The PhD Statute sets out the regulations governing the admission, enrolment, registration,
supervision, and examination procedures for the PhD degree at Victoria University of Wellington. It
also stipulates the criteria on which the award of the degree will be based. This Statute must be read
in conjunction with the PhD Policy: Approving, Enrolling, Supervising and Examining PhD Candidates.

2. Organisational Scope:
This is a University-wide statute.

3. Definitions:
For purposes of this Statute, unless otherwise stated, the following definitions shall apply:

Administrative Supervisor:
The person in the School with responsibility for administering the candidacy. The Administrative
Supervisor must ensure that the candidate and the supervisors follow the regulations for the
PhD Degree.

Associate Dean:
The person designated by the Dean of the Faculty for the purpose of this Statute.

Full-time PhD Student:


Students are deemed to be full-time when they are able to devote a minimum of 30 hours per
week to the thesis, on average, over the year. This workload excludes statutory holiday periods.

Half-time PhD Student:


Students who cannot work on the thesis for the amount of time specified above are deemed to
be half-time students.

PhD Convener:
Convener of the Research Degrees Committee.

Research Degrees Committee (RDC):


The University body responsible for the oversight of the PhD and Master’s by Thesis.

Supervisor:
A supervisor is a person who is appointed to provide academic and administrative guidance to
the candidate during their enrolment for the degree.

4. Statute Content and Guidelines:


4.1 Admission
(a) A candidate for the Degree of Doctor of Philosophy shall, before enrolment:

(i) have qualified for admission to a Bachelor’s or Master’s degree with First or Second Class
Honours or a Master’s degree at an equivalent standard to First or Second class honours at
a university in New Zealand; or

86 PhD Handbook
(ii) be currently enrolled in a Master’s by thesis; or

(iii) produce evidence to the satisfaction of the Associate Dean of adequate training and ability
to proceed with the proposed course for the degree.

(b) Candidates must not only show themselves to be qualified but must also be accepted by the
Head of School and relevant Associate Dean.

(c) Where a candidate is accepted under clause 4.1 (a) (ii), the candidate will be deemed to have
first enrolled for the Doctor of Philosophy on the date of first enrolment for the Master’s
degree.

4.2 Conditions of Enrolment


(a) Initially, a candidate shall be provisionally registered as a candidate for the Doctor of
Philosophy. Full registration must be confirmed by the Associate Dean on the advice of the
Head of School within 15 months of first enrolment for full-time candidates and 24 months
for half-time candidates, otherwise the candidate’s enrolment will be terminated. Once full
registration has been confirmed, the date of registration shall be deemed to be the date of first
enrolment for the degree.

(b) With full-time enrolment, the minimum period of registration will be 24 months and with half-
time enrolment, the minimum period of registration will be 36 months.

4.3 Re-enrolment, Termination, Suspension and Extension


(a) A candidate pursuing a course of study for the degree shall re-enrol within one month of the
expiry of the period of previous enrolment.

(b) Every year of enrolment in May and November, the supervisors of a candidate shall submit a
report on the progress of the candidate to the Administrative Supervisor and the Student and
Academic Services Office. If progress is reported to be unsatisfactory, the Associate Dean may,
subject to any submission or appeal a candidate may make, terminate the enrolment.

(c) On application from a candidate, the Associate Dean may grant a suspension of enrolment,
measured in monthly increments, for a period of not less than one month, and not more than
twelve months. During a student’s candidature, the total period of suspension shall not usually
exceed twelve months. During suspension of enrolment the candidate will pay no fees and will
have no access to university services, including supervision and the library.

(d) The thesis shall be presented within four years from the date of registration for candidates
who have been enrolled full-time and within six years for candidates who have been enrolled
exclusively half-time. In the case of candidates who have been permitted to change between
full- and half-time, the submission times will be calculated on a pro rata basis. This excludes
any period(s) of suspension.

(e) Extensions to the due date of the thesis may be granted, on application to the Research
Degrees Committee, through the Associate Dean. Extensions shall be granted only in
exceptional circumstances, where good cause is shown, and will not usually exceed twelve
months. All calculations will exclude any periods of suspension.

4.4 Course of Study


(a) The course of study for a PhD consists of a programme of research and the writing of a thesis
carried out under supervision.

PhD Handbook 87
(i) The research will normally be conducted at Victoria University of Wellington, but with
permission of the Associate Dean, part of the research programme may be carried out at
locations outside the University.

(ii) The thesis must be a body of work that demonstrates the candidate’s ability to carry out
independent research, and constitutes a significant and original contribution to knowledge
or understanding. This contribution may include critical, experimental, theoretical
or creative components, but the end result must be a single integrated study.

(iii) The thesis may include the candidate’s previously published work or material based on
previous research, as long as the report constituting the thesis is written under supervision
during the period of registration.

(b) The thesis shall not exceed a total of 100,000 words in length (including scholarly apparatus).
In exceptional circumstances the Research Degrees Committee may grant permission for a
longer thesis to be submitted for examination.

(c) Any application for Withholding of Theses should be made as early as possible in the research
project and well before submission.

4.5 Examination
(a) At any time after the minimum period of enrolment, a candidate may submit their thesis and
apply for examination.

(b) Where any work relevant to the thesis has been published, or accepted for publication at the
time of submission, a statement shall be included showing how the published work relates to
the thesis.

(c) Where any of the published material included in clause 4.5 (b) is co-authored, the candidate
must provide a detailed statement of each author’s contribution to such work, and contact
details of co-authors (see the Recognition of Authorship Policy).

(d) The application for examination shall be accompanied by a statement from the supervisors that
the candidate has pursued the course in accordance with the requirements of this statute.

(e) The format of the thesis is determined by the Library Statute (see Clause 4.12 of the Library
Statute).

(f) The thesis shall be examined by three examiners, appointed by the Research Degrees
Committee (RDC). One of these examiners will normally be from outside New Zealand. The
principal supervisor or co-supervisor must not be an examiner.

(g) The Associate Dean shall, after consultation with the examiners, make a report on the whole
examination to the RDC, who will determine whether the degree be awarded.

(h) Where the decision has been made to award the degree, it will be awarded upon the deposit of
copies of the final thesis in the University Library in accordance with the Library Statute.

(i) The Associate Dean may on the application of the candidate or the supervisors at any time
before the submission of the thesis, or on the recommendation of the examiners after
the submission of the thesis, approve the enrolment of the candidate in a subject for an
appropriate Master’s degree instead of the degree of Doctor of Philosophy, where the statute
for such Master’s degree provides that the degree may be taken by thesis and where the
candidate does not already hold that degree in the same subject in this university.

88 PhD Handbook
(i) Where any thesis has been submitted for the degree of Doctor of Philosophy that thesis
may be accepted in fulfilment of the requirements for the Master’s degree, notwithstanding
any other provision in the Statute for that Master’s degree.

(ii) In any other case, provided that the candidate has been enrolled for the degree of Doctor
of Philosophy for that period, the candidate shall be deemed to have been enrolled
in and to have followed a course of study for that Master’s degree for the appropriate
minimum period.

5. References:
Library Statute

PhD Policy: Approving, Enrolling, Supervising and Examining PhD Candidates

Recognition of Authorship Policy

Withholding of Theses Procedure

6. Appendices:
None

7. Approval Agency:
University Council

8. Approval Dates:
This statute was originally approved on: Pre 1990

This version was approved on: 17 December 2007

This version takes effect from: 17 December 2007

This statute will be reviewed by: 17 December 2010

9. Statute Sponsor:
Deputy Vice-Chancellor (Research)

10. Contact Person:


The following person may be approached on a routine basis in relation to this statute:

Dr. Theresa Sawicka


Research Manager
Extn. 5190

PhD Handbook 89
90 PhD Handbook

You might also like