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Preface Staff Holding Administrative Positions Abbreviations 1.0 Introduction 1.1 1.2 Aims of the PhD Handbook Staff involved in the Management of PhDs 1.2.1 The Supervisors 1.2.2 The Administrative Supervisor 1.2.3 The Head of School 1.2.4 The Postgraduate Coordinator/Director 1.2.5 The School Research/Postgraduate Committee 1.2.6 The Associate Deans 1.2.7 The Faculty Ofﬁce 1.2.8 The PhD Convener 1.2.9 The Research Degrees Committee 1.2.10 The Research and Postgraduate Studies Ofﬁce 1.2.11 The Deputy Vice-Chancellor (Research) 2.0 Background to the PhD 2.1 2.2 3.0 3.1 3.2 3.3 3.4 3.5 3.6 3.7 4.0 4.1 4.2 4.3 4.4 5.0 5.1 5.2 5.3 5.4 5.5 The Place of the PhD Degree in the University Academic Requirements of PhD Study Initial Approach to the School and the University Developing a Proposal Provisional Registration The Research Period Writing-Up and Submission Examination Flowchart Summary Initial Proposal Research involving Conﬁdential or Sensitive Material Research Proposals from Scholarship Holders External Party Involvement in the Support of Research Students The Appointment of Supervisors The Administrative Supervisor Changes to the Supervisory Team Supervisor Training External Supervisors 7 8 9 10 10 10 10 10 11 11 11 12 12 12 12 12 12 13 13 13 15 15 15 15 15 16 16 17 18 18 18 19 19 20 20 20 20 20 21
An Outline of the Process
4 6.1 7.2 Providing Academic Guidance 7.2.4 Milestones 7.20 Concurrent Study 6.10 Period of Overseas Research 6.10 Facilitating Administrative Compliance 7.13.9 Admissions Criteria Conversion of a Master’s Degree to a PhD International Students Applications to Register Approval of Provisional Registration Enrolment and Payment of Fees Annual Re-enrolment Attendance at University and Study at a Distance Employment 22 22 22 22 23 23 23 23 23 24 24 24 26 26 26 27 27 28 28 28 29 29 29 29 29 30 31 31 31 31 31 32 32 32 32 32 33 33 33 34 34 6.8 Supporting the Student 7.1 6.11 Collaborating Institutions 6.0 Supervision Protocols 22.214.171.124 Assisting Examination Arrangements 7.16 Notiﬁcation of Changes to Registration 6.2.19 Extensions and Suspensions of Registration 6.2.2 Presentation of the Proposal 6.7 6.8 6.2 6.3 Approval 6.6 Identifying Problems 7.21 Change of Title 6.18 Registration and Other Work 6.6 6.2.17 Maintenance of Registration 6.12 Move from Provisional to Full Registration 6.9 Encouraging Academic Contacts 7.2 The Role of Supervisors The Responsibilities of Supervisors 7.2.5 6.13 Conﬁrmation of Full Registration 6.7 Six-monthly Progress Reports 7.12 Encouraging Publication 2 PhD Handbook .0 Formal Admission and Registration Requirements 6.14 Date of Registration 6.1 Full Research Proposal 6.22 Conversion of a PhD to a Master’s Degree 7.1 Assessing the Student 126.96.36.199.15 Duration of Registration 188.8.131.52 Providing Feedback 184.108.40.206.3 6.3 Scheduling Meetings 7.
3.3.5 ITS Student Help Desk Service 9.1 Responsibilities of the Head of School 9.2 Range of services 9.9 Publishing 220.127.116.11 Identifying Problems 7.2.4 8.3.7 Giving Notice of Submission 7.3 The University Library .4 8.3 Financial Assistance 9.2 8.1 Evaluation of Research Supervision Human Ethics Committee Human Ethics Approval for Research Animal Ethics Committee Authorship and Acknowledgement Guidelines Appropriate Conduct in Research School Resources to Support PhD Candidates 9.3 18.104.22.168.3 Registration as an ITS Client 9.0 9.2.Te Pataka Korero 9.13 Support for Supervisors 22.214.171.124 Information Technology Resources 9.2.1 126.96.36.199 Statistical Advice 10.5 Specialised Collections 9.3.8 Submitting the Thesis 7.0 Research Advice 10.3 Participating in University Intellectual Life 7.1 Student Learning Support Service 10.4 Inter-Library Loan and Document Delivery 9.5 9.1 Introduction 9.2.2 Actively Pursuing the Research 7.1 Lending Services 9.3.4 Accessing the Network 9.3.5 Facilitating Administrative Compliance 7.3.3 The Responsibilities of Candidates 188.8.131.52 Minimum Resources Agreement 184.108.40.206 Planning the Research 7.6 Other Libraries 10.6 Meeting Ethical Guidelines 7.3.0 8.3 Research Seminars 9.2 Reference and Research Services 9.1 Statistical Packages Research Ethics 34 35 35 35 35 35 35 35 35 36 36 36 37 37 37 37 37 38 39 39 39 39 39 39 39 39 40 40 40 40 40 41 41 41 42 42 43 43 43 43 Research Resources PhD Handbook 3 .7.
2.5 Research Grants 11.4 Pagination 13.4 Externally-funded Scholarships and Grants 11.2.2 Deposit 13.4 Resolving Administrative Difﬁculties 13.8 Computer Use 13.2 Early Submission 44 44 44 44 44 45 45 45 46 46 46 46 47 47 47 47 48 49 49 49 49 50 51 51 51 51 51 52 53 54 54 54 54 54 54 55 55 56 59 59 59 4 PhD Handbook .3.2 Permanent Binding of the Thesis 13.0 Research Funding and Financial Support 11.2 PhD Submission Scholarships 11.2.3 Doctoral Completion Awards 220.127.116.11 Binding 13.7 Length 18.104.22.168 Availability and Withholding of Access to Theses 13.2.7 Tutoring and Demonstrating 12.4.1 University Scholarships 11.2 Guide to the Presentation of Theses 13.2.0 The Thesis 13.0 Resolution of Problems 12.4 Withholding Access to Theses 13.4 Lodging a Formal Grievance 12.6 Photographic and Colour Copy Illustrations 13.0 The PhD Examination 14.2.3 Format 13.4.6 Ofﬁcial Information Act 1982 14.1 Layout 13.11.1 Appointment of Examiners 14.2 Seeking Assistance from the Associate Dean 12.1 Seeking Assistance from the Administrative Supervisor 12.2 General Principles 12.2 Citation style 13.2.1 Introduction 12.3 Copyright and Intellectual Property 13.1 Temporary Binding for Examination 13.5 Paper 22.214.171.124 Loans and Allowances 126.96.36.199 Specimen Layout of Title Page 13.1 Introduction 13.1 Public Availability of Theses 13.3 General Guidelines 188.8.131.52 Seeking Assistance Outside the Faculty 12.
13 Court of Convocation 16.3 Submission 14.6 Arrangement of Oral Examination 14.1 Student Union Building 16.1.7 MAI Ki Poneke 16.3 Counselling Service 16.3 Collegiality 184.108.40.206 Revision and Re-Submission of Thesis for Second Examination 15.14.6 Kaiwawao Maori/ Maori Student Services Adviser 16.3 Formal procedures 220.127.116.11 Disability Support Services 16.1.1 Student Services Group 16.9.2 Student Union Complex 16.1.11 Victoria Interntational 16.2 Revisions 14.0 University Student Services 16.1.2 Values and Ethos 18.104.22.168.1.2 Recreation Centre References Appendix 1: Summary of Tasks and Responsibilities Appendix 2: Summary of Role Responsibilities Appendix 3: Statute for the Degree of Doctor of Philosophy PhD Handbook 59 61 62 63 63 63 64 64 64 65 65 66 66 66 66 67 67 67 68 68 69 69 69 69 70 70 70 70 70 71 71 71 72 72 72 72 72 73 74 75 77 86 5 .1.8 Financial Support and Advice 16.1 Introduction 15.4 The VUW Postgraduate Students’ Association 15.2.10 Student Learning Support Service 16.5 Examination of the Thesis 14.4 Childcare 16.1 Minor Amendments 14.1 Accommodation Service 22.214.171.124 Examination 14.12 Alumni Association 16.7 Conduct of Oral Examination 126.96.36.199 Career Development and Employment 16.5 Rights and Obligations Regarding Conduct 15.1 The Statute on Student Conduct 15.9 Minor Amendments and Revisions 14.3 Disputes about Revision 14.9 Student Health Service 16.2 The Policy on Staff Conduct 188.8.131.52 The University Community 15.8 Report on the Oral Examination 14.
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.pdf 6 PhD Handbook .nz/home/about/policy/research.ac.ac. email email@example.com. Comments and suggestions for improvements are welcome: researchofﬁce@vuw.nz.International Students If you are an international student who is not currently enrolled. it offers practical advice and support. Please contact Victoria International www. and a forum for students to post details about their research online www.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. tel 64 4-463-5350.nz/ international/. Web access to policy information and the guidelines referred to in the PhD Handbook can be viewed at: www. there are things you will need to know before you read the PhD Handbook.ac. As well as linking directly to relevant sites.victoria.ac.nz/home/ about/newspubs/universitypubs/phd_handbook.nz.nz/postgradlife The PhD Handbook was updated by the Research and Postgraduate Studies ofﬁce in 2008.victoria.
pastimes and forms of community service. and that it will be enjoyable. Parts of the Handbook draw attention to the amount of effort and time you will have to commit to completing your PhD. often by examiners from around the world. 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. You will develop and demonstrate skills in research. Many of the rewards of study for the PhD degree are what we might call ‘intrinsic’. The Handbook offers you and your supervisor guidance on many aspects of the process of supervised research. 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. written communication in the language of your discipline. and verbal presentation skills. I would like to welcome you to your PhD studies at this institution. so the award of this degree is a mark of truly global academic distinction. The PhD Handbook is an important dimension of the support we provide for all our students enrolled at doctoral level. rewarding. which is a distinctive feature of study for this degree. as well as spending serious and concentrated time on their studies. In addition to these intrinsic beneﬁts. Neil Quigley Deputy Vice-Chancellor (Research) PhD Handbook 7 . analysis.Preface To the Candidate On behalf of Victoria University of Wellington. The information provided in the Handbook is governed by the PhD Statute and policy of the University. they are a consequence of your commitment to undertake intensive original work in your chosen ﬁeld of study. These are important issues. We know from the research that students are more likely to complete their degree if they develop academic and social connections with their peers. PhD theses are evaluated by international standards. study undertaken for your PhD will provide you with what could be termed ‘extrinsic’ opportunities to improve yourself professionally. intellectually stimulating and ultimately. theorising. 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. These skills provide the basis for further academic work and they are also likely to be invaluable in a wide range of other occupations. organising your work and time.
x5676. x6231.ac. Kristina McGuiness-King. Jon Everest.vuwsa. x5191. x6112 Scholarships Manager. Associate Dean (Students) Managers. Professor Tony Angelo.org. Associate Dean (Graduate Studies and Research) Education. Professor of Research Humanities and Social Sciences. Room 205 Facilitator and Disputes Adviser. then dialling the extension required. Sandra France. Postgraduate Coordinator Commerce and Administration. Alison Munro.crews@vuwsa. Philippa Hay. Professor Sally Davenport. Dr Theresa Sawicka. Ofﬁce of Assistant Vice-Chancellor (Academic). Associate Professor Allison Kirkman. Extension numbers beginning 8xxx may be reached by calling the automated attendant on 0-4-463 5233. x6975 Science. x5619 Research Manager. but users should refer to the website for any updates. x9569 Humanities and Social Sciences. PhD Adviser Science. Robert Stout Building.nz 8 PhD Handbook .lastname@vuw. x5144. Sandra Crews. Professor Laurie Bauer. Convener of the Research Degrees Committee. Professor Luanna Meyer. these details are correct.nz x6984. Deputy Vice-Chancellor (Research). Shona de Sain. x5190 Postgraduate Research Coordinator. x5087 Education. x5980 Other advice and support Senior Academic Policy Adviser. x6217 Commerce and Administration. Ground ﬂoor. Professor George Baird. Jenny Christie. sandra. x7493 Associate Deans and Delegated Authorities Architecture and Design.org. www. Individual staff email addresses follow the form: ﬁrstname. Jenny Calder-Smith.Staff Holding Administrative Positions At the time of publishing.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. Lois Baillie. Johann Barnard. x9598. Faculty Ofﬁces Architecture and Design. Deputy Dean Law. 14 Wai-te-ata Road. x5192 Law. x6324. x8068. Professor Neil Quigley PhD Convener. Student Union Building. Room 207 VUWSA Education Coordinator. x5023.
Supervising and Examining Candidates Research Degrees Committee (a committee of the Academic Board) Student Computing Services School Research/Postgraduate Committee (the committee in each school responsible for advising the HoS on research and postgraduate matters) University Research Committee University Teaching Development Centre Victoria University of Wellington Victoria University of Wellington Students’ Association URC UTDC VUW VUWSA PhD Handbook 9 .Abbreviations AVC (Academic) CRI DVC (Research) HEC HoS PG Coordinator PGSA PhD Convener PhD Statute PhD Policy RDC SCS SRC Assistant Vice-Chancellor (Academic) Crown Research Institute Deputy Vice-Chancellor (Research) Human Ethics Committee Head of School Postgraduate Coordinator Postgraduate Students’ Association Convener of the University’s Research Degrees Committee Statute for the Degree of Doctor of Philosophy PhD Policy: Approving. Enrolling.
The Administrative Supervisor is responsible for the School/Faculty paperwork involved in the candidacy (e.2. The descriptions given here are introductory and more detailed information is provided later in the Handbook and in the appendices. The person who fulﬁls the role of the Administrative Supervisor varies from faculty to faculty. The Administrative Supervisor is normally the ﬁrst source of advice for the supervisors. 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. 1. • The Handbook is published every two years.nz/home/about/policy/research.ac. The most recent versions of these documents may have signiﬁcant differences from the Handbook and should be referred to at www. or both supervisors may ‘co-supervise’ a candidate.aspx 1.0 Introduction 1.g.victoria. for ensuring that six-monthly progress reports are provided).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. 1. inform PhD candidates of the resources and services available at the University to support their research. The appointment of supervisors is outlined in Chapter 5.2. 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. and the role of supervisors is discussed more fully in Chapter 7. Heads of Schools and Associate Deans with guidelines for the academic management of the PhD degree. each PhD candidate will have an Administrative Supervisor who is usually the head of the school of registration. School Postgraduate Coordinators often fulﬁl this role and they also serve as the initial point of contact for potential PhD students. The supervisors may be appointed as ‘primary supervisor’ and ‘secondary supervisor’.1 Aims of the PhD Handbook The aims of this handbook are to: • provide PhD candidates.2 Staff involved in the Management of PhDs Many staff are involved in the management of each PhD candidacy. but the PhD Policy and Statute are updated more frequently.2 The Administrative Supervisor In addition to two academic supervisors. Each candidate works under the guidance of two supervisors. 10 PhD Handbook . PhD supervisors.1. and the ﬁrst source of advice beyond the supervisors for the candidate.
2. providing candidates with university and additional school-speciﬁc criteria for progressing from provisional to full registration. 1. and managing all administrative procedures with school administration staff. The HoS (or school administrator) will be able to direct students to the appropriate PG Coordinators. Speciﬁc responsibilities include: • discussing potential research projects with a candidate and making decisions about their suitability. ensuring that the candidate has two supervisors. Roles include vetting thesis proposals and developing guidelines in addition to the University criteria for the movement from provisional to full registration. this task is delegated to another member of staff. • • • • • • • • • • • • The PG Coordinator may also run research seminars and be a member of the SRC. liaising with the Associate Dean over progress. In some cases.3 The Head of School The Head of School (HoS) role varies from faculty to faculty and from one school to another. referring prospective candidates to possible supervisors. the HoS will normally be the Administrative Supervisor. providing advice and support for supervisors. vetting initial research proposals in conjunction with the School Research Committee (SRC). In each school. overseeing acceptance of a candidate within a school. 1. ensuring that records are kept and six monthly progress reports are monitored. Education and Science.2. responding to student queries and concerns. PhD Handbook 11 . overseeing the transfer of a candidate from provisional to full registration. In the Faculties of Humanities and Social Sciences.5 The School Research/Postgraduate Committee The School Research/Postgraduate Committee (SRC) is responsible for management of PhD candidature in the School.1. Regardless of whether the HoS has this role. ensuring that the candidate has a copy PhD Handbook.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.2. 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. which vets thesis proposals and provides advice on issues of postgraduate student management. Schools appoint Postgraduate Coordinators (PG Coordinators) to manage postgraduate matters. the HoS is assisted by a School Research/Postgraduate Committee.
8 The PhD Convener The Research Degrees Committee (RDC) is convened by the PhD Convener. 1.10 Research and Postgraduate Studies Ofﬁce The Research and Postgraduate Studies ofﬁce assists in the formulation of policy.nz/research-ofﬁce/ 1.2.2. Academic grievances concerning PhD candidacy are dealt with by the Assistant Vice-Chancellor (Academic) who will consult with the DVC (Research).victoria.see page 8 for contact details. liaises with schools and faculties and provides advice and assistance in support of staff and student research.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 appointment of Honorary Research Associates as external supervisors and chairs the University Research Committee.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. 12 PhD Handbook . and should normally be the ﬁrst person to be approached with any matters relating to supervision. 1. grants extensions and suspensions for candidates over ﬁve years and makes a decision concerning the examination result on behalf of the RDC. extensions. sending the thesis to examiners. 1. the Associate Deans have responsibility for approving provisional registrations. funding and grievances which have not been dealt with by the PG Coordinator.ac. The areas of responsibility of the Faculty Ofﬁce include the administration of registration. who is appointed by the Deputy Vice-Chancellor (Research).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 PhD Convener approves the examination arrangements for PhDs in consultation with the relevant Associate Dean. assesses examiners’ reports. The ofﬁce can provide information and advice on university research policy and procedural matters that may arise in the course of a PhD candidature. and ofﬁcial notiﬁcation of results. The RDC approves the examination arrangements for PhDs in consultation with the relevant Associate Dean.2. Further information is available at http:// intranet. receipt of six-monthly progress reports. Administrative Supervisor or the Head of School. suspensions. fees. considers examiners’ reports and makes a decision concerning the examination result. The Faculty Ofﬁce should be able to provide any information required about these administrative processes .2.2. In all faculties. They also have an advisory role.2. They may also be consulted about problems relating to PhD candidacy if matters cannot satisfactorily be resolved at the School or Faculty level. receipt of the thesis. supports research administration in the University (including scholarships).1. 1. conﬁrming registrations and granting extensions and suspensions.11 The Deputy Vice-Chancellor (Research) The Deputy Vice-Chancellor (Research)(DVC (Research) is responsible for the development of the University’s research policies.
Research is fundamental to the University. Heads of Schools hold copies of the Charter and the current Strategic Plan.nz/council/publications.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. It is also expected that candidates will make a contribution to the ongoing intellectual life of the School in which they are registered. The enhancement of research is recognised in the University as a vital element in its national and international responsibilities. willingness to respond effectively to advice and criticism. The PhD candidature involves a commitment from candidate. A copy is held in the main collection of the Library. These requirements are for the protection of both the candidate and the University. While it is possible to succeed in spite of difﬁculties in some of these areas. if the Library has adequate resources to support the research.2. in approved circumstances. 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. willingness to work within the scholarly tradition. 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. the PhD degree is a key part of the University’s research activity and training. including the provision of an environment which fosters postgraduate students and postgraduate training. Stable ﬁnancial and personal circumstances are also important factors in success. to demonstrate proﬁciency in writing English.victoria.ac. thus enhancing the chances of success. Although it may seem obvious.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. Other qualities which have been found to be important to success include the following: self-discipline (particularly in relation to work habits). 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. and if the proposal meets the University’s ethical standards. htm 2. but who are proposing to write their thesis in English. ability to work independently. However. only if the University can meet the candidate’s research needs will the relationship be mutually beneﬁcial. candidates may also be admitted on other criteria at the discretion of the Associate Dean on the recommendation of the School. These documents are available on: www. and are advised to develop strategies to minimise their impact.0 Background to the PhD 2. 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. persistence in the face of setbacks. prospective candidates need to be aware of likely problems. supervisors and the University which extends over some years. it is also necessary for a candidate to be sure that they have the time available to undertake the research. A full description of the University’s mission and values is set out in the University Charter. The University acknowledges a responsibility to ensure that candidates for the PhD degree work in an appropriate intellectual and academic environment. It is particularly important for candidates whose ﬁrst language is not English. ability to evaluate one’s own work. and good writing ability. staff of other institutions. This includes taking an appropriate part in school or faculty PhD Handbook 13 .
to obtain background necessary to aspects of their PhD research. the total period for completion will. email and other forms of informal discussion. be longer. The minimum period of enrolment for half-time candidates is 36 months (PhD Statute 4. Permission is required to enrol in any additional papers (see 6. and exchanging ideas with staff and other students through seminars.20). 14 PhD Handbook . Occasionally a school will ask a candidate to undertake certain papers.activities. or simply to attend certain lectures.2 (b)). Apart from such papers as the School may consider necessary. The minimum period of enrolment is 24 months but in the majority of cases. candidates are discouraged from attempting any other academic study together with a PhD because of the demands of a PhD thesis. of course. At Victoria University of Wellington. For half-time candidates. both formal and informal. it takes at least 36 months to complete a satisfactory research project and write it up. the PhD is assessed entirely on the presented thesis. Candidates can expect that schools will make such opportunities for participation available. The results from such papers do not form part of the ﬁnal assessment of the PhD.
Supervisors will then be nominated and any ethical approvals required will be sought. for example. 3. They are encouraged to try to develop an organised work system. as much detail as possible about the proposed area of research.1. and details of any funding which has been obtained or which is being sought. and whether the School is able to provide adequate supervision and resources.2 Developing a Proposal Once agreement has been reached that the project is likely to prove viable. to maintain close contact with. the candidate will be registered provisionally for a period of 12 months. Such written reports allow a better assessment of progress and can also serve as the basis for the ﬁnal thesis. Victoria University of Wellington (VUW) schools have web pages detailing degrees offered. Provided that satisfactory progress is made and that university requirements are met. and seek advice from. unmotivated and unable to clearly map out the next step. a curriculum vitae. Student Learning Support Services offer seminars to support postgraduate research students (see 16. These give candidates. as well as supervisors.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. 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. At this stage.3.ac. staff and their research areas and contact details. 3. industry sponsorship etc.12 and 6. This may be backdated to include the time spent developing the proposal. registration will be conﬁrmed within 15 months (see 6. six-monthly progress reports are required. particularly showing evidence of prior research experience.victoria. 3. scholarships.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. This will enable the School to make an initial assessment of whether a candidate has a suitable academic background.13). The VUW website www. Prospective candidates should begin by making informal contact with the School concerned.3 Provisional Registration When the proposal is accepted. the opportunity to take stock of progress.nz is an excellent starting point for those interested in gathering information on what the University and each school has to offer. During the period of enrolment. There are likely to be periods of great progress. and that the School is able to provide adequate supervision and resources. See Chapter 8 for information regarding ethical approval. candidates will need to supply: • • • • academic background information. Students doing experimental work are also encouraged to keep log books documenting their work. PhD Handbook 15 .0 An Outline of the Process 3. the prospective candidate will be invited to submit an initial research proposal. but candidates should also prepare themselves for moments when they feel overwhelmed.10).
If the thesis fails to meet the standard required of a PhD thesis.14 of the PhD Policy for the regulations on submission. including word limits. supervisors should review the thesis before application for examination is made. The writing-up process concludes when the candidate decides that the thesis is ready for examination. in which case the candidacy will be terminated. 16 PhD Handbook . soft bound and submitted for examination. This review period should not usually exceed four weeks. the candidate and supervisors should be focusing on writing-up. 3.3. they may recommend to the Associate Dean that the thesis is not acceptable for examination. 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). The examination procedures are fully speciﬁed in Chapter 14. When the candidate indicates the thesis is complete.6 Examination The thesis should then be printed. While further research may be prompted by this process. If the supervisors are of the opinion that the thesis is incomplete. then any necessary corrections will be made. Candidates should consult section 4. If the thesis requires substantial re-writing. a timeframe will be set and the candidate will be given guidance on the required re-writing. Where the Statute has changed. the thesis will be re-submitted and the examination process will begin again. It is possible the thesis may be rejected completely. The agreement of the supervisors does not imply a successful result from the examination process. The procedure following the examination will depend on the result of the examination. Two copies (one hard bound and one electronic) will then be deposited in the Library. the candidate will decide that the research phase has proceeded to the point where writing-up should begin. and the thesis hard bound. although it is usual for supervisors and candidate to reach mutual agreement on this. If the degree is to be awarded. in which case the candidate should continue working on the thesis until it is acceptable. the candidate may be offered a Master’s degree. 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. The agreement of the supervisors is not required. In due course.5 Writing-Up and Submission In due course.
7 Flowchart Summary PhD Handbook School nominates examiners Associate Dean approves examiners PhD Convener confirms examiners Faculty Office monitors examiners’ progress Examiners send reports to Faculty Office Examiners agree? 1. the Faculty Office informs the PhD Convener of completion and arranges graduation . Approval of examiners Candidate gives notice of intention to submit Supervisor suggests examiners and checks with candidate 2. Submission and examination of thesis Candidate submits thesis to Faculty Office Faculty Office sends out thesis to examiners Yes No Associate Dean makes recommendation to PhD Convener No Referee appointed Referee needed? Internal Examiner/Associate Dean seek compromise Internal Examiner signs off changes Candidate makes changes Yes Yes No Changes needed? Associate Dean makes recommendation to PhD Convener PhD Convener confirms award of degree Oral examination takes place if required 17 Candidate deposits thesis in the Library On seeing the library receipt.Process of submission of a PhD thesis at Victoria University of Wellington 3.
Special care should be taken where a project requires access to conﬁdential information from outside the University. The School concerned must be satisﬁed that it is able to provide appropriate supervision and resources for the proposed topic. the initial proposal. Candidates need to discuss the possibility with their supervisors. If a research proposal is likely to result in a request for the withholding of access to the thesis. the applicant.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. the issues should be addressed at the outset of the project. The School Research/ Postgraduate Committee (SRC) will then scrutinise the initial research proposal and Research Memorandum. and the SRC recommendation to the Faculty Ofﬁce for ﬁnal approval by the Associate Dean. If the HoS approves the recommendation from the SRC. This document becomes part of the record of registration (see the PhD Policy section 4. 18 PhD Handbook . all the supervisors and the HoS complete the application form and then return the form. The topic must be suitable to meet the academic requirements of a PhD.nz/research%2Dofﬁce/postgraduate/minimum-resources. the Research Memorandum. The initial research proposal (minimum one page) should detail the project.victoria. See also Chapter 8 of this handbook.1 Initial Proposal The initiative in seeking PhD enrolment usually lies with the candidate. If it is clear that ethical approval is required from the Human or Animal Ethics Committee. It is the HoS’s responsibility to approve the School taking on a PhD candidate. ac. The next step is to discuss the potential project with the Postgraduate Coordinator (PG Coordinator) of the relevant discipline. may very well ﬁnd that their topic is not a good choice. 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.aspx Where students require additional resources for the project.aspx 4. A request to withhold access to a thesis is a formal process and approval is not lightly given. but also the general public.4. this must be negotiated with the Head of School (HoS) when the student ﬁrst enrols and recorded in a Research Memorandum. An Outline of the Application Procedure for PhD Candidates can be found at http://intranet. the candidate should be directed to the University’s ethical guidelines.4.ac.0 Research Proposals 4. the method of study and any ethical considerations.3 (b)). and make a recommendation to the HoS. who will refer them to possible supervisors.nz/research-ofﬁce/forms-and-templates. Candidates should always enter into their topic in a spirit of genuine enquiry. 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. Those who enter into a topic thinking they already know the answers to their central questions or who are emotionally committed to an outcome. If a candidate has not yet received the PhD Handbook the PG Coordinator will provide them with a copy. Further advice can be found in 13. Prospective candidates are advised to think carefully about the kind of research project to which they would like to commit themselves.victoria.
g. government bodies or the private sector.4. This involvement may include cosupervision. Crown Research Institutes).3 Research Proposals from Scholarship Holders Overseas candidates who are scholarship holders must formulate a proposal before enrolment is approved.aspx PhD Handbook 19 .ac. from the day of the candidate’s arrival in New Zealand. The holding of a scholarship is always conditional upon the scholarship recipient gaining enrolment as a PhD student at Victoria University.4 External Party Involvement in the Support of Research Students External parties may include researchers from other universities. The guidelines for managing external party involvement are available at http://intranet. 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. As scholarships may be paid.nz/research-ofﬁce/forms-and-templates.victoria. provision of data. 4. in some instances. 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. research institutions (e.
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.3 Changes to the Supervisory Team If changes are required to the supervisory team. One reason for this could be that they are the primary supervisor.2 The Administrative Supervisor The Administrative Supervisor is generally the Head of School (HoS) in which the student is enrolled. Two supervisors will be responsible for academic guidance and the third will be responsible for administration (Administrative Supervisor).0 Supervisors 5. organised by the Research and Postgraduate Studies ofﬁce. The role and responsibilities of supervisors are discussed in Chapter 7. Staff who are new to the University. responsibility lies with the HoS with which the student is most closely associated. Lecturers or.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. must be notiﬁed to the Research Degrees Committee by the Associate Dean. in individually-argued cases. candidates will be registered with only one school. 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. Readers and Associate Professors. A PhD may be interdisciplinary and in such cases it is desirable for supervisors to be appointed from each discipline. are expected to attend the training session dealing with Victoria University’s statutes and policies. but who are already experienced supervisors. 5. following nomination by schools. The primary supervisor will normally be a full-time teacher at the University in the sense of the Victoria University of Wellington Act 1961. 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. In the case of an inter-disciplinary thesis involving more than one school/programme. 5. it is the Head of School’s responsibility to ensure they attend a professional development programme for supervisors. The changes take effect on the Administrative Supervisor’s receipt of the Associate Dean’s approval. 20 PhD Handbook . However. This includes Professors. the Administrative Supervisor seeks approval from the Associate Dean by providing a rationale for the change and the appointment of new supervisors.5.1 The Appointment of Supervisors Each candidate will be assigned three supervisors. In such cases the responsibility should be delegated to another staff member. people holding appointments such as research fellowships. Supervisors are appointed by the Associate Deans or delegated authorities on behalf of the Academic Board. Senior Lecturers. Changes in supervision. which compromise the ability of the former supervisor to take any role in the assessment of the student. Only those staff who have a doctorate and/or appropriate experience and training can be appointed as primary supervisors. 5. There will be some cases in which it will be inappropriate for the HoS to assume this role.
These can be found on the policy database on the University website. It will also establish the terms and conditions under which it is intended that the project proceed. ac. Guidelines for supervisory arrangements with external parties outside the University can be obtained from the Research Ofﬁce website. 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. It is also important that the Administrative Supervisor ensures that the primary supervisor accepts responsibility for seeing the PhD project to completion. including the completion of six-monthly reports. External supervisors will also be given the contact details of the Postgraduate Coordinator in the candidate’s school and a PhD Handbook. Responsibility lies with the Primary Supervisor to ensure that the candidate and all supervisors are fully aware of the agreed responsibilities. for example a Crown Research Institute. PhD Handbook 21 . If it is proposed that a scholar outside the University be appointed as a supervisor. The Administrative Supervisor should convene a meeting with the supervisors and candidate to discuss and clarify these issues. 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. they will be invited to participate in a professional development programme or receive an information pack. an agreement between Victoria University. the candidate and the external party must be reached before the project commences. including provisions for revisiting the agreed terms which should be monitored in the six-monthly reports.nz/research-ofﬁce/postgraduate/forms-and-templates.aspx#hra The recommendation must be accompanied by a curriculum vitae. Any agreement must also comply with the Intellectual Property Policy and the Management of External Research Consultancy and Related Contracts Policy. the Administrative Supervisor must make an appropriate recommendation. through the Associate Dean.5 External Supervisors Other supervisors may include part-time teachers or other scholars and researchers from within New Zealand or overseas.victoria. If the HRA belongs to an external organisation.5. The agreement will address issues relevant to the relationship including the expectations and obligations of the parties concerned.
This degree need not have been in the subject area of the PhD research. 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.victoria. www.nz. 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. Victoria International staff are able to provide assistance to administrative staff or potential candidates with evaluating qualiﬁcations email firstname.lastname@example.org(a) (iii)). could form the basis of a PhD thesis.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.ac. Entry under this section of the PhD Statute requires candidates to satisfy the Associate Dean. email victoriainternational@victoria. The SRC will also ensure that a second supervisor is available to be appointed. This document will substitute for the initial research proposal in the application for a PhD. Admissions for a PhD can take place at any time of the year.ac.3 International Students International students must be granted admission ad eundem statum before they can apply for a student entry visa.ac. 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. If it is agreed to convert to a PhD. 6. 6. Only when admission ad eundem statum has been granted can an application for registration be prepared and submitted. but will still have to satisfy the requirements for full registration. with modiﬁcations.0 Formal Admission and Registration Requirements 6.6. Prospective candidates should therefore seek this admission at an early stage. the student and the supervisor must discuss the change of status with the School Research/Postgraduate Committee (SRC). 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. tel 0-4-463 5350.1. Applications must be made through Victoria International. 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. tel 0-4-463 5350. who will seek advice from the Head of School. the supervisor should discuss a conversion to a PhD with the student. 22 PhD Handbook . 4. The student and the three supervisors will agree in writing on the additional work required for the new degree. The Associate Dean may also admit other persons who can show evidence of adequate training and ability (see the PhD Statute. Please also refer to page 6 and section 16. who must be satisﬁed that the existing supervisor is appropriately qualiﬁed and experienced to supervise the student at the PhD level. as ﬁnancial and accommodation guarantees must also be given before a visa is issued.nz.nz/international/.1 Admissions Criteria Candidates will normally have a ﬁrst or second class pass in an Honours or Master’s degree. If the application is approved by the Associate Dean. provided candidates can demonstrate adequate competence to undertake the proposed research.
It will then be forwarded to the Associate Dean.6. Students’ Association Fee. 6.7 Annual Re-enrolment Candidates must re-enrol annually within one month of the expiry of the previous period of enrolment.aspx). 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.ac. Where registered students are working away from the University a School memorandum for PhD Study at a Distance is required (go to: http://intranet.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. International students may have to fulﬁl additional requirements. re-enrolment may be carried out on a six-monthly basis. the candidate will be granted provisional registration. Refer also to 6. This excludes statutory holiday periods.5 Approval of Provisional Registration The Associate Dean will consider the application.2. The normal practice is that candidates will reside within reasonable PhD Handbook 23 .4 Applications to Register Applicants for a PhD should obtain an application form from the appropriate Faculty Ofﬁce. Students who cannot work on the thesis for the amount of time speciﬁed above are enrolled as half-time students. 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. The Associate Dean will consult with the Head of School if any difﬁculties arise. After two years.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. 6. The form must be signed by the Head of School and supervisors and returned to the Faculty Ofﬁce.2(b). and access to school-based services and resources.victoria. Enrolment entitles a candidate to: access to supervision. 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. 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. Students are deemed to be full-time when they are able to devote a minimum of 30 hours per week to the thesis. This form should be completed by the candidate once the School is satisﬁed with the viability of the project. and either through choice or because of space limitations in the school. 6.13. Student Services Levy and Student Assistance Scheme and Amenities Levy). 6. they may also study at home. on average. Candidates in other programmes may need to spend a great deal of time in the Library or ﬁeld. 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. Permission will not normally be given for students to work away from the University until full registration has been achieved. over the year.nz/research-ofﬁce/postgraduate/ forms-and-templates. and if approval is given. access to Library and Information Technology Services.
to the Deputy Vice-Chancellor (Research) (DVC Research) for the appointment of this • 24 PhD Handbook . Candidates who are working away from an institution and regular supervision need to be highly motivated and thoroughly prepared. and contributions from the candidate to seminars etc while the candidate is working within the University are expected. 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. Crown Research Institutes.11 Collaborating Institutions In some circumstances. PhD research can be successfully undertaken by candidates working in other institutions. some hospitals. 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. through the Associate Dean. • • • • • 6. regular contact and reporting by the candidate is expected. Scholarship holders should also seek approval from the Scholarships Committee. a required period of writing-up within the University before submission of the thesis. 6.10 Period of Overseas Research Candidates who wish to pursue a period of research overseas must ﬁrst acquire permission from the Associate Dean. Candidates and supervisors will be expected to provide the Associate Deans with a rationale for prolonged absence from the Wellington region. and some industrial organisations have research facilities which complement those of the University. if it is proposed that a scholar outside the University be appointed as a supervisor. fax and/or email) and schedule meetings at regular intervals in Wellington. give an assurance of regular contact (for example by phone. a memorandum for PhD Study at a Distance must be approved by the School Research/ Postgraduate Committee.proximity to the University. the Administrative Supervisor must make an appropriate recommendation. 6. a required period of preparation within the University before the candidate departs for periods of data collection etc. 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.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. 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. This rationale must take account of academic considerations.
• • PhD Handbook 25 .the staff who will provide day-to-day support to the candidate are willing. . they will be invited to participate in a Research and Postgraduate Studies ofﬁce professional development programme or receive an equivalent package. placement of candidates into institutions which are doing commercial work should be covered by a contract in which: . . and approval for candidates to undertake research off campus is more likely to be given when the following criteria are satisﬁed: . The recommendation must be accompanied by a curriculum vitae. • research institutions which wish.the collaborating institution will provide ready access for supervising university staff to the candidate and to the research facilities used by the candidate.the collaborating institution agrees that the candidate will have access to all suitable resources for completion of the higher degree.data collection and examination of base materials can only be carried out off campus. . and undertake.12. . . . • 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. 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.person as an Honorary Research Associate. the candidate and the collaborating institution are recognised and apportioned between them. 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.the intellectual property rights which may belong to the University. .the candidate is encouraged to present seminars both in the collaborating institution and in the University.the collaborating institution is able to provide a stimulating research environment.the candidate’s and the University’s share of income from discoveries is clearly set out.3 (c)). Any contract with the collaborating institution requires the approval of the DVC (Research) or nominee.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. .the rights of the University to examine the work of the candidate are protected.the resources of a collaborating institution or establishment have been inspected and found to be appropriate for the needs of the candidate. able and qualiﬁed to assist the candidate. The appointment will be made for four years. to academic staff and to collaborating staff of the non-university institution. .
1). To progress from provisional to full registration.000 and 10.12 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. the proposal will be between 3. the papers must generally be satisfactorily completed before the registration is conﬁrmed. a statement as to whether ethical approval is required and. supervisors and schools that every effort is made to assist the candidate’s progress during the provisional registration period.000 words. interpret. 6. ability to summarise. a demonstration that the methodology is appropriate. the candidate is required to have the approval of the School Research/Postgraduate Committee. evaluate and critique data. Indicators of satisfactory progress may include: • • • • • • • knowledge of the literature in the ﬁeld of study. if so. 6. any other abilities important in the ﬁeld of study. It is in the best interests of candidates. a literature review.13. This is the appropriate way to show that the candidate has understood and can interpret the literature.13 Conﬁrmation of Full Registration The move from provisional to full registration requires candidates to meet University criteria (see 6. If the School requires the candidate to undertake certain papers as background for the PhD. To achieve full registration the candidate must write a formal research proposal and may also be required to present the proposal orally. School or programme criteria can be obtained from the Postgraduate Coordinator or supervisor. It is equally important that candidates should demonstrate an ability to process with doctoral level work before their full registration is conﬁrmed. PhD students achieve full registration if they demonstrate satisfactory progress of previously established and agreed upon performance standards.1 Full research proposal As a guide. satisfactory completion of any required course work. interpret.13. whether or not that has been • • 26 PhD Handbook . ability to communicate research ﬁndings in formats appropriate to the discipline.6. To the extent appropriate in the discipline the proposal will contain the following elements: • • • an outline of the basic thesis/research question. ability to summarise. Supervisors are required to give serious consideration to these matters. ability to design and interpret research tasks. evaluate and critique that literature. Regulations allow a total of 15 months provisional registration for full-time candidates (and 24 months for half-time candidates). Additional criteria may be required by the School or programme where the candidate is enrolled. appropriate theoretical frameworks. The School Research/Postgraduate Committee may terminate candidature if the student fails to meet the requirements within 15 months of ﬁrst registration.
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 candidate may also be given the opportunity to respond to questions and feedback from the SRC and others in attendance. recommend the candidate transfer to a Master’s degree. require that full registration be delayed by up to six months. If this is part of a school or programme procedure.13. Where the decision is to terminate registration. 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). The SRC will scrutinise the proposal according to the following criteria: • • that the student has sufﬁcient knowledge or understanding of the topic. social or legal impediments to the successful completion and/or publication of the research.obtained from all required institutions.2 Presentation of the proposal Candidates may also be required to present their proposal. that the proposal outlines an appropriate theoretical framework which will lead to an original and defensible theory. 6. including any suggested revisions to the SRC. the SRC should provide clear and constructive guidance to the student and supervisor on the steps that are required to gain full registration. it is recommended that the presentation be announced in VicNews and open to all who may be interested. PhD Handbook 27 . the SRC should meet with the candidate and explain face-to-face why this action was taken. It must be submitted to the School’s Research/Postgraduate Committee (SRC). Where registration is to be delayed. the conceptual framework. • • 6. and the SRC has been delegated the authority to accept the proposal. along with a cover letter indicating where changes were made. If approval has not been obtained the timetable for approval is to be noted. The proposal will establish preliminary goals for the next six months and will contain a tentative timetable for the completion of the thesis.13. the SRC should recommend full registration of the candidate to the Associate Dean. supervisors and the candidate). 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. any problems anticipated in carrying out the research and the intended methodology. or terminate the candidate’s registration. and • a statement that there are no foreseeable cultural. The report may: • • • • recommend approval of the candidate’s transfer to full registration. The SRC will assess the proposal and report to the Associate Dean (with copies to the Head of School.3 Approval The candidate will send a copy of the proposal.
the date of provisional registration will become the date of registration.19 for the implications of extensions and suspensions of registration. If there are major difﬁculties in the early part of the project. the Associate Dean will specify a period during which candidates must be working under direct supervision. 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. If the research proceeds smoothly. 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. on receipt of the recommendation from the SRC.2(b) for fulltime enrolment and 36 months for half-time enrolment.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. Longer periods in external laboratories or on ﬁeldwork may also be approved. Half-time candidates are required to supply details of their other obligations on the enrolment form. This date is shown on the registration form.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. even after completion of the minimum two year period of full-time research. See 6. the candidate must be in direct contact with the supervisors. the date of provisional registration can be backdated to give credit for that time. Throughout the candidature. 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. but individual applications to the Associate Dean by supervisors are required for any extensive “time out” on the project. 6. The Associate Dean will not usually expect to backdate a registration by more than about two months from the time of registration.Full registration is conﬁrmed by the Associate Dean. 28 PhD Handbook . the Associate Dean may terminate the provisional registration and request the candidate to consider the possibility of identifying a new research project. 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. One of the principal reasons for this requirement is that protracted research may be overtaken by other researchers working in the same ﬁeld. although he or she may be away from the University working in libraries and similar institutions. 6. At the time of registration. A candidate’s progress during full registration continues to be monitored by six-monthly progress reports. 6. The thesis is to be presented within four years of registration.15 Duration of Registration The PhD Statute requires a minimum registration period of 24 months under clause 4. If candidates have spent productive time in developing their research proposal. candidates must maintain direct contact with their supervisors and sustain satisfactory progress or the registration will be terminated. During this 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.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.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. and will not usually exceed twelve months” (PhD Statute. This permission is not readily given. 6. An application for an extension or suspension is made in writing to the appropriate Faculty Ofﬁce. but is not entitled to receive supervision or to make use of the University’s facilities. their registration must be maintained. Such applications must have the written support of supervisors and Head of School and set out the reasons why permission is sought. it can be resumed only with the permission of the Associate Dean. During the period of suspension the candidate pays no fees. after consultation with the candidate. for unexpected reasons.20 Concurrent Study If candidates have a genuine reason for undertaking a paper other than any required by the School. Where.3(e)).17 Maintenance of Registration The course of study for a PhD is best undertaken continuously and while candidates are working on PhD projects. All retrospective suspensions are approved by the Convener of the RDC. If the registration lapses. 6. where good cause is shown. Applications for variations in the conditions of registration are made through supervisors. should recommend the change to the Associate Dean for approval. which will forward it to the Associate Dean.18 Registration and Other Work It may be valuable for full-time students to undertake tutoring or other part-time jobs around the University.6. The minimum period for a suspension is one month. 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. Applications must have the support of supervisors and Head of School and should be sent directly to the Faculty Ofﬁce. or vice versa. clause 4. but it is recommended that students do not overload themselves with paid work outside the scholarly work in preparation for the thesis. extensions will be granted “only in exceptional circumstances. The supervisors. Note that this applies also to any change from full-time study. PhD Handbook 29 . they must apply to the Associate Dean for permission before enrolling in it. 6. along with the candidate’s most recent sixmonthly progress report. 6. Periods of suspension are not included in calculations of total registration time.
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.6. Written application for conversion to a Master’s degree must be made to the Associate Dean. 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. The written support of the Administrative Supervisor and supervisors is needed. with modiﬁcations. 30 PhD Handbook . form the basis of a Master’s thesis.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. as is the agreement of the student.
Supervisors should also: • identify with candidates the particular research skills that they will need to acquire to complete the programme of research. the planning of the programme. the undertaking of a literature review. but regular discussions should be held and adequate records of meetings should be kept. The responsibilities of supervisors are outlined below.2 Providing Academic Guidance Supervisors should provide guidance on: • • • • • • the nature of research.0 Supervision Protocols 7.1 The Role of Supervisors Supervisors undertake to guide the candidate through the academic and administrative requirements of the PhD.2. Effective two-way communication is vital.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 amount and frequency of academic contact between supervisors and candidates will vary. Good communication and mutual trust and respect are essential for a productive working relationship with a satisfactory outcome. One meeting per month is considered a minimum. the development and reﬁnement of the proposal. They cannot guarantee the success of the project. ensure the candidate is aware of the academic criteria to be met for award of the degree. ensure that appropriate and timely advice is given on requirements regarding style. depending on the nature of the discipline and the stage of the project.1 Assessing the Student Before provisional registration. 7. Supervisors need to have a sympathetic ear and sufﬁcient time and energy to devote to the task of supervision. but they should have a close interest in the project and a commitment to facilitating its completion. and the need to get approval from the relevant Ethics Committee if the research involves human or animal subjects or tissue. 7. a supervisor should not have too many candidates at one time. It is important to avoid the situation where candidates only see their supervisors when real difﬁculties arise. 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.2. For this reason. the access to resources (technical and ﬁnancial).7. 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. 7. and • • PhD Handbook 31 . which is up to the candidate. presentation and production of theses.
The report will then be ﬁled in the student’s ﬁle held by the relevant Faculty Ofﬁce. feedback should be provided within two weeks in the case of relatively short pieces of work. must be reviewed by the Head of School (HoS) before being submitted to the Associate Dean. 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. The HoS must agree to.2. arrange regular supervisory meetings. The report template is available at https://intranet.5 Providing Feedback Supervisors should provide regular feedback on progress to the student.4 Milestones Supervisors should reach agreement with the candidate on the indicators of progress and the dates for the submission of appropriate written work. the report writing is the responsibility of the supervisors. and monitor.2.• have a sense of the expectations of examiners throughout the research process and use that as a guide in supervising the student’s work. 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. and a maximum of four weeks for substantial thesis drafts. 7. 7. which has been agreed to and signed by the student and supervisors.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. in consultation with the student. in close conjunction with the student. One meeting per month is regarded as the minimum entitlement. The ﬁnal version of the six-monthly report. They should identify the problems and suggest ways of addressing them. As a guide. ensuring that an appropriate timetable is set to allow the degree to be completed within the allotted timeframe.nz/research-ofﬁce/postgraduate/forms-and-templates. interim reports or research results. Supervisors should encourage the candidate to make productive use of the available time. the proposed 32 PhD Handbook . Except in exceptional circumstances.2. 7.aspx While the Faculty Ofﬁce initiates the six-monthly reporting process. 7. A copy must be provided to the student.3 Scheduling Meetings Supervisors should. 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. 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.victoria. 7. Identiﬁed problems and proposed methods of addressing them should be discussed with the student before the report is ﬁnalised. but more frequent meetings will usually be desirable. Supervisors should help the student to plan for the writing up of the thesis and to schedule sufﬁcient time for that purpose.2.2. ac. Where there are major or continuing problems with a student’s performance.6 Identifying Problems Supervisors should ensure that the student is made aware of inadequate progress or of standards of work below that generally expected. Written comments should be made on work submitted by the student.
This includes advising candidates about: • • applicable governmental. institutional or professional guidelines for the conduct of research.2) is informed if any problems develop during the enrolment. applications for suspension or absences overseas. Supervisors and Administrative Supervisors have a joint responsibility to advise the Associate Dean and Faculty Ofﬁce as necessary. the administrative requirements of supervision and advise the candidate as necessary (for example. ensure that the candidate has the opportunity to participate in the life of the School.2. and provide advice. help the candidate make contact with other scholars in related ﬁelds. ensuring. ensuring that candidates are aware of any requirements regarding the retention of data within schools. etc). The HoS must offer the student the opportunity to respond and then will monitor the proposed actions.10 Facilitating Administrative Compliance Supervisors should be knowledgeable about. encourage the candidate to publish. and • • PhD Handbook 33 . ensuring that candidates are aware of intellectual property rights. University-wide monitoring of compliance is the responsibility of the Research Degrees Committee and forms part of their Reports to the Academic Board. to discontinue the student’s enrolment. In the event that the student fails to take the required action so that problems persist. encouragement and support to further the candidate’s career in their chosen ﬁeld. Where necessary.2. Monitoring the completion of six-monthly reports occurs twice yearly and is the responsibility of the Associate Dean.actions. encourage both attendance and presentation at seminars and conferences.8 Supporting the Student Without compromising a student’s privacy.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. 7. 7. 7. that the work submitted by candidates is their own and that the data is valid. changes to full-time status. the HoS must notify the Associate Dean who may then take action. Supervisors should ensure that the Administrative Supervisor (as deﬁned in 5.2. regarding six-monthly progress reports. provide assistance and information where appropriate on scholarships and ﬁnancial support. 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. as far as possible. upon the recommendation of the Administrative Supervisor. and comply with. supervisors should refer a student to student support services (see Chapter 16). 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).
The RDC appoints the PhD examiners.ac. and publications are the currency of success in research. Publication should be seen as part of PhD study rather than a barrier to timely completion of the thesis. In most disciplines publications are increasingly necessary for entry into an academic profession. Students should incorporate plans to write. then this must be discussed early on in the process towards publication. in outlets valued by their discipline. possibly in collaboration with their supervisor(s).11 Assisting Examination Arrangements Supervisors assist the Associate Dean to arrange the examination in accordance with the PhD Policy: Approving. supervisors should ensure that students are informed about: • • the conventions that apply in their discipline. submit and revise publishable manuscripts within the timetable for their PhD studies. including the differences between writing a thesis and preparing a manuscript for publication. Topics include supervisory roles and responsibilities. or in other cases where issues of recognition arise. Where joint authorship is contemplated. When students and supervisors pool their talents to publish research both beneﬁt from increased research productivity. a rationale for the choice of the particular examiners for the thesis and a brief curriculum vitae for the two external examiners.2. Supervisors should be available to discuss feedback from the written and/or oral examinations with their student.13 Support for Supervisors The Research and Postgraduate Studies ofﬁce offers regular seminars/workshops for new and more experienced supervisors. 7. They should be mindful of the fact that emerging researchers are often unaware of most aspects of the publication process. The Associate Dean will scrutinise the recommendations and forward them to the Research Degrees Committee (RDC). In consultation with the Administrative Supervisor.e.12 Encouraging Publication The PhD is a research degree.victoria. Supervisors should forward their recommendations at least one month before the expected submission of the thesis. 34 PhD Handbook . Supervising and Examining Candidates and the guidelines of this handbook. They should endeavour to publish their research. the research process and administrative matters.2. Enrolling. and Victoria University’s Policy on Recognition of Authorship http://policy. All parties should agree in writing about issues concerning intellectual property and authorship.2.• ensuring that safe working practices are developed and maintained and that candidates are aware of the University’s Occupational Health and Safety Policies. 7.nz 7. Supervisors are encouraged to discuss the publication process with students. 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. and should therefore take steps to avoid misunderstandings that may arise as a result of inexperience. supervisors recommend suitable examiners and supply the Associate Dean with relevant documentation i. 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.
7. the Associate Dean (Students/Research) in the Faculty Ofﬁce or VUWSA’s Education Coordinator are available to discuss areas of concern. 7. be committed to the research and avoid activities which will interfere with its satisfactory completion within the time limit. faculty and school statutes and policies and any other written guidelines and regulations for the degree.2 Actively Pursuing the Research Candidates should devote sufﬁcient time to the course of study. 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. If the student is unable to discuss the matter with their supervisor/s. for example.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.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.3. they should contact the Administrative Supervisor or the PG Coordinator.3. adopting at all times safe working practices relevant to the ﬁeld of research. and complying with any institutional occupational health and safety policies. with the guidance of their supervisors. Candidates. Alternatively. university.3. • • 7. as agreed with supervisors. and participating in academic conferences (ﬁnances and resources permitting). interim reports or research results. competence and conﬁdence. 7. The responsibilities of candidates are outlined below. presenting their work and interacting with the staff and other postgraduate students.3.1 Planning the Research Candidates should plan and execute the research project under the guidance of the supervisors.3. must take responsibility for developing their intellectual independence. 7.3. 7. Candidates should reach agreement with supervisors about indicators of progress being made and about submission of appropriate written work. Where appropriate candidates may also be involved in academic activities in their chosen research ﬁeld.3 The Responsibilities of Candidates Completing a doctoral programme requires progressive development of skills. 7. or tissue. and suspension of enrolment). and strive to achieve agreed milestones. within the expected time period. 7.5 Facilitating Administrative Compliance Candidates should become familiar with. They should attend regular meetings.3 Participating in University Intellectual Life Candidates are encouraged to participate in the School community by attending seminars. PhD Handbook 35 . and abide by. attending relevant seminars in other schools or institutions.4 Identifying Problems Candidates should take the initiative in raising with supervisors any problems or difﬁculties with the project or its supervision.
9 Publishing Candidates should accept responsibility for the academic content of the thesis and for publishing any parts of it if appropriate. The questionnaire is then returned to the supervisors.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. production and binding of the thesis that is ﬁnally submitted.3. with a copy to the Administrative Supervisor. 7. style. Issues emerging from the Exit Questionnaires are passed to the Research and Postgraduate Studies ofﬁce to be incorporated into workshops for postgraduate supervisors.8 Submitting the Thesis Candidates are solely responsible for the content.7. presentation. the Associate Dean of the Faculty will also receive a copy of the student’s written comments with all identiﬁcation removed (names. 36 PhD Handbook . 7.3. course codes etc). In order to improve supervisory practices across the University. Once a year. and for promptly making any required amendments after examination. the Research Degrees Committee will also use this information to monitor supervision across the University.
2 (e) (iii)).ac. it must be approved by the University’s Animal Ethics Committee. 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.nz). If either candidate or supervisors are in any doubt as to whether approval is required.1 Human Ethics Committee Where research activity involves human subjects the University has a responsibility to ensure it protects the privacy.0 Research Ethics 8. not prevent. health. it seeks to ensure that all researchers and teachers are aware of the ethical issues involving human subjects. 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.victoria. 8. The purpose of the HEC is to promote. principles and practice. either in research or teaching. It is important that PhD candidates read the HEC Guidelines carefully and ensure that they are familiar with basic ethical issues. dissertation or research paper already presented by the author for another degree or diploma at this or any other university. Responsibility for applying for HEC approval rests with the candidate. Candidates must then discuss the ethical implications of their research with their primary supervisor to determine whether HEC approval is required. as well as to provide a degree of protection for the researcher or teacher.nz 8.ac.3 Animal Ethics Committee If PhD research involves animal subjects. The HEC recognises that individual researchers and teachers. working in and familiar with their own disciplines.ac.8. rights and freedoms. 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.victoria.2 Human Ethics Approval for Research If PhD research involves human subjects or human tissue or otherwise affects people’s privacy.victoria. it is subject to Human Ethics Committee (HEC) Guidelines (see Appendix 1 of the Human Ethics Policy . safety. and • • • PhD Handbook 37 . further advice should be sought from the Head of School (HoS) or the Convener of the HEC. Appendix 1 of the Human Ethics Policy . research and teaching.nz 8. all assistance which candidates have received in their research be clearly acknowledged in the thesis. are generally in the best position to assess their proposed activity. The policy and application forms can be accessed via http://policy. it must not contain work extracted from a thesis. It is important that PhD candidates read the Animal Ethics Policy carefully and ensure that they are familiar with basic ethical issues.nz). but the application must be approved and countersigned by the primary supervisor and the HoS. In so doing. in order to ensure consistency and impartiality in considering the interests of potential subjects.ac. Application forms can be accessed via the Human Ethics Policy: http://policy.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.http://policy. Nevertheless.http://policy. and welfare of such subjects. social and cultural sensitivities.victoria. principles and practice.
plagiarism. 8. misleading ascription of authorship. including claiming results where none have been obtained. the falsiﬁcation of data. 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. intentional infringements of the guidelines issues by the University’s Human Ethics Committee and Animal Ethics Committee. and/or failing to acknowledge work primarily produced by a research student/trainee/associate. All candidates will be asked to sign a statement that the above conditions have been satisﬁed when the thesis is submitted. Misconduct in research is unacceptable to the University. organisation. academically responsible and ethical manner. and that candidates make it clear what. The University has provisions for dealing with cases of research misconduct. This includes published and unpublished work. which is the copying of ideas. wording or anything else from another source without appropriate reference or acknowledgement so that it appears to be one’s own work.5 Appropriate Conduct in Research Candidates are expected to conduct all research in an honest. which is deﬁned as follows in the Statute on Student Conduct: Academic misconduct includes: • • • fabrication of data. including fraudulent changing of records. if any. 38 PhD Handbook . or of other relevant professional practices and codes of ethics. attributing work to others who have not in fact contributed to the research. material on the Internet and the work of other students and staff. including listing as authors without their permission.• it is the primary supervisor’s responsibility to ensure that the thesis as presented is the candidate’s own work. and other academic or research practices which bring or are likely to bring the University into disrepute. assistance they have received from other persons. • • • • Note: Academic misconduct does not include honest errors or honest differences in the interpretation of data or conclusions drawn. cheating or other dishonest practices in relation to assessment.
Research Funding and Financial Support.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. Candidates may visit these locations in person.victoria.nz or call Information Technology Services (ITS) service desk. Internet browsing and printing services are available for a small charge.1 School Resources to Support PhD Candidates 9. ac. electronic facilities and ﬁnancial support.ac.nz ITS have Help Desks located in ﬁve physical locations around the campus: RB205a (Library). Candidates working from home can access the student environment via the myVictoria portal.1. ofﬁce space and furniture.studentvuw.2 Information Technology Resources 9. All PhD candidates are advised of their obligation to observe the Information Systems Statute which can be found at: http://policy.2.vuw. the candidate’s entitlements and document these in the Research Memorandum which becomes part of the record of registration. and WCE (T208). with the supervisors and the candidate. With reference to the Minimum Resources Agreement. photocopying. equipment.ac.1 Introduction PhD candidates should email its-service@vuw. or alternatively the ITS service desk can be contacted over the phone on x5050. This provides access to features such as personal storage and a large number of library databases. It also contains some information about the faculty research grants and the protocol for addressing concerns about resources. See also Chapter 11. 9.1 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.3 Financial Assistance The payment of research expenses varies from school to school. facilities. 9.nz • PhD Handbook 39 . MY223.ac. and funding for the expected duration of the research. Some schools are able to provide some ﬁnancial assistance from school resources and this is a subject for negotiation within the School. OGB132 (Law).nz/research%2Dofﬁce/ postgraduate/minimum-resources. Further information on these services and others is available by consulting: www.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.nz 9. Candidates should expect to spend some of their own money on travel.ac.2. x5050 for help with the services ITS provides. paper supplies. Also. Railway (RW 225). source materials. the HoS will agree.1.1.0 Research Resources 9. 9. Enquiries via email can be sent to: its-service@vuw. items of equipment like calculators. correspondence and so on.victoria.aspx It includes information about orientation.9.
studentvuw. after validation at the Central Issue desk. PhD candidates will receive a student ID card which. This section contains information relevant to all PhD students.ac. the Architecture and Design Library in Vivian Street.nz/ Amphora!~~policy. 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.nz/library/ Students are advised to check this site and the myVictoria portal regularly for updated information about the Library and its services. when connecting from a networked school desktop computer or via the Internet from home (requires a personal ISP) connect via the VUW Portal: www.Te Pataka Korero The University Library comprises the Central Library in the Rankine Brown Building on the Kelburn Campus. the Education Library at the Karori Campus and the Law Library in the Government Buildings. 9.ac.ac.1 Lending Services PhD research often necessitates heavy and specialised use of library services. students should refer to the Library website at www. candidates must choose access via either the staff domain or the student domain. including a complete Staff Directory. For further information on your account username please check your Conﬁrmation of Study form or contact an ITS Help Desk. However. the Lending and Reader Services Group will normally grant temporary borrowing privileges upon receipt of a supporting letter from the proposed primary supervisor.pdf 9. Access to the network via the staff domain requires students to contact their school administrator who will set them up as an ‘interested party’. the Commerce Library at Railway West Wing. A range of printed information leaﬂets about speciﬁc library services and collections is available from service points in all libraries.3 Registration as an ITS Client All candidates will have a computer account on enrolment.3 The University Library .vuw.nz 9. When connecting from an ITS computer log directly into the student domain.2. Access to the network via the student domain requires a student computing account and depends on whether the connection is from an ITS terminal. If borrowing privileges are required prior to enrolment while a thesis proposal is being prepared. For further and more comprehensive information. Clients should always contact the Help Desk in the ﬁrst instance with enquiries.5 ITS Student Help Desk Service Help Desks are available speciﬁc hours that change from trimester to trimester. will give postgraduate library privileges.2.2. with reduced hours on weekends and during term breaks.4 Accessing the Network All postgraduate thesis students have the right to access Victoria’s network via the staff domain. Following enrolment and payment of fees. otherwise their proﬁles will be affected.vuw. a networked school desktop computer or through an external Internet Service Provider (ISP). There is no common data storage between the student domain and the staff domain.3. All PhD candidates are advised to consult the Library Statute at: http://policy. The Website is also a gateway to the online catalogue of Victoria University of Wellington Library.victoria. Books from the 40 PhD Handbook . Note. Authorised students may use all of these libraries following registration.nz~POLICY~000000000021. 9.ac.9.victoria.
nz/library/ 9. offer comprehensive information services. For further information about borrowing books and periodicals.3.nz/library/forms/interloan-request.3 Research Seminars Postgraduate research seminars are offered at the beginning of the ﬁrst trimester. through both printed and electronic resources. Requests must relate to study. The Reference Ofﬁce and Library website can be consulted for the names of liaison librarians.victoria.3. Commerce and Law Libraries. The Interloans team process requests from the Central Library as well as the Architecture and Design. and library hours of opening. The Architecture and Design.main collection are issued for eight weeks. Details of seminars will be given in library notices.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.victoria. 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. teaching and research purposes only.ac. Reference staff are always happy to give advice on suitable information resources as well as provide assistance with search techniques and strategies. In the Central Library student computing facilities are available on Levels 1 and 2.nz/library or by going directly to: www. Subject-speciﬁc seminars and individual consultations are available from the Library throughout the year on request to a liaison librarian or the Reference Ofﬁce. candidates should refer to the Library website: www. 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. All items on issue are subject to recall if required by other borrowers. 9. Requests may be sent electronically from the Library website at www. Candidates wishing to borrow this CD in order to install ‘Endnote’ on their personal computer should consult the Closed Reserve Desk staff. Please note that all current issues of periodicals are reference-only items. Staff will give advice about electronic and print information resources in a range of subject areas. except for three-day-loan books. 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. Law. 9. as well as scholarship guides and other directories related to further study. Architecture and Design library periodicals are not available for loan.victoria.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.2 Reference and Research Services Reference and Liaison Services. request and renewal procedures. Level 2 of the Central Library. on the Library website or through the Postgraduate Students’ Association (PGSA).3. Commerce and Law Libraries have similar facilities for subject-speciﬁc database searching. with some exceptions. Most periodicals in the Central Library are issued for two weeks. Commerce and Law Libraries.ac. PhD Handbook 41 . The Closed Reserve Desk on Level 2 of the Central Library holds copies of the bibliographic management software ‘Endnote’. Reference and Liaison Services have (in both print and electronic format) a range of University Calendars from New Zealand and overseas.ac.
PhD candidates should ﬁrst and foremost rely on the resources of Victoria University of Wellington Library.6 Other Libraries As a general principle. Beaglehole Room.C. and Ofﬁcial Publications Collection. Material from other libraries can normally be accessed through interlibrary loan and document delivery services. The Collection comprises material published by the United Nations and its associated agencies.N. archives and manuscripts and the VUW Authors’ collection. 42 PhD Handbook . Reference and Liaison Services will be happy to give advice and help to facilitate such access. • 9. Level 1. The Beaglehole Room holds collections of rare books. publications issued by other international organisations as well as statistics and yearbooks from New Zealand and many other countries.5 Specialised Collections PhD candidates should be aware of the following collections at the Central Library: • J. If PhD candidates wish to access other libraries directly.3. Level 1. U.3.Further information may be obtained by contacting the Interloans staff or checking the Library website. 9. There is restricted access to some of the material. Reference staff can readily identify holdings of other libraries both in New Zealand and overseas and can advise students about electronic selfaccess to other collections.
Statistics and Computer Science.nz or by phone on (04) 463-6779.1 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. based at the School of Mathematics. 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. a studentcentred website at www. Statistics and Computer Science offers a number of undergraduate and graduate courses in Applied Statistics. 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.ac.nz. 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. Speciﬁc information on the advice obtainable from these two sources follows.10.nz/stat/consulting 10. SLSS also facilitates a regular writing group.ac.mcs.10. Literature Reviews. 10. You should consider whether any of them may meet your needs.vuw. and Thesis Writing. The Ethical Approval Process. and statistical advice may be sought from the School of Mathematics. Statistics and Computer Science. The School of Mathematics.victoria. Details are advertised on: www.nz/postgradlife see: 16. The University Research Committee also funds a consulting statistician.1.vuwvictoria.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. ac. Qualitative and Quantitative Methodologies. PhD Handbook 43 . the Student Learning Support Service offers general advice on research. Guest speakers cover topics such as: Writing a Research Proposal. runs intensive thesis writing workshops and provides one-to-one support throughout students’ candidature.nz/st_services/slss/ in the Postgraduate Students’ Association newsletter and on school notice boards.2. For enquiries please contact a SCS Help Desk or email scs-help@vuw. victoria.2 Statistical Advice Many research projects require statistical analysis of experimental or survey data. go to: www. It is the responsibility of supervisors to ensure that proper statistical advice is sought. Managing Your Studies. in the ﬁrst weeks of each trimester. Further information can be obtained by phoning x5908 or viewing PostgradLife. Some other packages are available within selected specialist school facilities. For further details.ac. ac.
11. government funding through the Tertiary Education Commission [www. the Foundation for Research. they should consult the Scholarships Ofﬁce (email Scholarships-Ofﬁce@vuw. Information and application forms can also be downloaded from the University website: www. It is therefore essential that applications for.nz/scholarships 11. Information and documentation is available at: http://www.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. Candidates must have the endorsement of their supervisor and Head of School to submit.ac.ac.govt.nz]. 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. those of research students. and offers of. Unsuccessful applicants may apply again in the follow round after consultation with the Scholarships Manager. Science and Technology [www.org.0 Research Funding and Financial Support If PhD candidates are contemplating PhD study and would like to apply for a scholarship. funding from outside enterprises are discussed with those responsible for external research income before any agreement is signed.ﬁs. 11.nz] and Education New Zealand [www.the Bright Future scheme. All Victoria PhD Scholarships are tenable for up to three years from ﬁrst enrolment. Some supervisors may also have contacts with businesses or enterprises through which other funding can be arranged. 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.frst. phtml?detail+600532 or from the Scholarships Manager. careful consideration must be given to any conditions attached to. or implications of. This funding includes the growing range of scholarships administered by the New Zealand Vice-Chancellors’ Committee [www. Applications for Victoria University PhD Scholarships must be submitted to the Scholarships Ofﬁce by 15 June or 1 November.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.2 PhD Submission Scholarships These scholarships enable students already enrolled for several years to bring their research to a successful completion. including Commonwealth and Rhodes Scholarships.nzvcc.nz] .nz]. If a grant imposes any obligations or restrictions upon the candidate or the 44 PhD Handbook .11.newzealandeducated. but before agreements are reached with external funders.govt. It is also important to ensure that agreements with funders are formulated in a way that protects their interests. 11.victoria.ac. 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. Funds from these sources are usually of great beneﬁt to research students.tec. the grant in question. PhD Submission Scholarships are tenable for three months only and there is a closing date every two months starting in January each year.1 University Scholarships There are three rounds of PhD scholarships each year. Successful applicants are expected to work full-time on their research during the tenure of the scholarship.nz/BreakOut/vuw/schols. and the University.org.nz).
PhD Handbook 45 .victoria. ac. 11.7 Tutoring and Demonstrating Many PhD students support their studies by tutoring or demonstrating. costs incurred in securing research material and travel for ﬁeld-work and conference attendance. Candidates should consult their Head of School with questions concerning the availability of tutoring or demonstrating positions.govt. 11.nz. parties responsible for external research income will negotiate changes before the offer of a grant is accepted.nz or tel 0-4-463 5793. Tutors and demonstrators are employed by schools to teach undergraduate (usually ﬁrst-year) classes and to do associated marking. www. Candidates may like to seek assistance from the Victoria University of Wellington Students’ Association’s (VUWSA’s) Education Coordinators in this matter. Ministry of Social Development.University.utdc. 11. in VicNews and on the tutor/demonstrator email list: email@example.com/tutors Other courses are also available throughout the year and are advertised on the UTDC website. tel 0800 889 900.5 Research Grants PhD candidates can seek advice and apply for Research Grants either through their faculty or school where available.studylink. it may be worth sacriﬁcing income in order to facilitate the speedy and successful completion of the degree.ac. Tutors may complete a Tutor Training Certiﬁcate of Attendance through the UTDC. Tutor training is offered through the University Teaching Development Centre (UTDC) and some schools also provide discipline-speciﬁc training. Funds typically granted by faculty committees are used to cover identiﬁable expenditure on inter-library loan costs. Funds for scholarships or research expenses must be channelled through the University Scholarship Ofﬁce and not paid directly to the candidate. 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.6 Loans and Allowances Information on allowances and loans can be obtained from StudyLink. as in other cases of paid employment. In this. Candidates who wish to apply for a Research Grant should discuss their application with their supervisors. For further information see the UTDC website: www.
2 General Principles It is essential that steps are taken to resolve any problems immediately. but have been unable to do so. the Postgraduate Students Association (PGSA) and Victoria University of Wellington Students’ Association (VUWSA). It is assumed that the parties have attempted to resolve the difﬁculties themselves. Candidates and supervisors should be able to discuss the issues involved and reach agreement on how any obstacles might be overcome. supervisors and candidates encounter difﬁculties that may prevent fruitful co-operation. with both candidate and supervisor seeking assistance as necessary and appropriate. It is desirable that any problems that may arise are addressed and settled as quickly as possible. 12. Whatever process of conﬂict resolution is adopted. The University will expect all parties to the resolution process to conduct themselves with professionalism. Candidates are also free to seek advice from other scholars. 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. 12.12. however.vuw. Candidates can reasonably expect the University to actively seek prompt resolution of any problems. Both parties are advised that a variety of options are available for the resolution of difﬁculties.5 . 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. preferably within the School. The following section indicates to both supervisors and candidates a general means of resolving difﬁculties arising in the supervisory relationship.3 General Guidelines Candidates and supervisors might ﬁnd the following process helpful in addressing problems.nz Further information can be found in this Handbook in 15. All parties must be sensitive to the needs of any candidate who has sought assistance. In some instances both parties may need to accept that a change of supervisor may resolve the problem and ensure completion of the project. differences of opinion may arise over questions that are related directly to the scope of the topic or to the investigation of it.0 Resolution of Problems 12. In some cases. mindful of maintaining the reputation and standing of the University. the goal is to allow the research to continue and to be completed within the scheduled timeframe. 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.Rights and Obligations Regarding Conduct. candidates and supervisors are urged to refer to these documents at http://policy. 46 PhD Handbook . the other supervisor may be able to provide assistance.1 Introduction In the course of the research process. Where difﬁculties occur between a candidate and one supervisor.ac.
For a list of people who can offer advice and support see page 8. The Administrative Supervisor must be kept informed. seeking clariﬁcation or providing guidance and/or mediation. they have a duty to refer the matter immediately. with respect for all parties. This must be done in writing and should include information on what informal procedures have been followed. to the Associate Dean. as appropriate. or where either the candidate or the supervisor(s) feel it is inappropriate to address their concerns to each other. Candidates may also wish to approach the Student Counselling Service. Alternatively. as necessary.12. following consultation with the candidate and supervisor. The Senior Academic Policy Adviser deals with academic matters covered by the Academic Grievance Policy. outlining how the candidate and supervisor(s) are working towards the resolution of those difﬁculties. in writing. The Associate Dean will liaise with the Manager of the Faculty Ofﬁce. If research progress is being affected by difﬁculties. they may approach the Administrative Supervisor for assistance in resolving their difﬁculties. following consultation with the Administrative Supervisor. Where this fails to resolve the problem. with respect for all parties.3. 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.2 Seeking Assistance from the Associate Dean If the Administrative Supervisors ﬁnd themselves unable to resolve any difﬁculties.3. they are entitled to take the matter either separately or collectively to the Associate Dean. more formal procedures. It is the responsibility of the Associate Dean to attempt prompt resolution of any difﬁculties. or before resorting to. Faculty Ofﬁce. The Associate Dean must be kept informed at all stages and copies of correspondence must be sent to the Manager.4 Lodging a Formal Grievance If.3. Such assistance might take the form of eliciting information. Candidates may also approach the Senior Academic Policy Adviser for advice and assistance or the Facilitator and Disputes Adviser. and if required. If required. Academic grievances concerning PhD candidacy are dealt with by the PhD Handbook 47 . any difﬁculties should be discussed between the candidate and the supervisor(s). 12. formal grievance procedures can be invoked. 12. If either candidate or supervisors feel that resolution is not being achieved to their satisfaction within the School. while the Facilitator and Disputes Adviser deals with problems relating to matters covered by the Policy on Staff Conduct. and the University Facilitator and Disputes Adviser. it is the responsibility of the Administrative Supervisor to inform the Associate Dean immediately in writing. Grievances relating to academic disadvantage are considered under the Academic Grievance Policy. The Education Coordinator is available where candidates may wish to sound out their concerns with someone outside the Faculty.3. the Education Coordinator can deal with both academic and conduct issues. 12.3 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. after trying the above channels. 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. can raise the problem with appropriate people on their behalf. It is the responsibility of the Administrative Supervisor to attempt prompt resolution of the difﬁculties. a candidate is still dissatisﬁed.1 Seeking Assistance from the Administrative Supervisor In the ﬁrst instance.
and then the Pro Vice-Chancellor of the Faculty if necessary. 48 PhD Handbook .4 Resolving Administrative Difﬁculties If the difﬁculties are of an administrative or procedural nature. supervisors and Administrative Supervisors are encouraged to make direct contact with Faculty Ofﬁce Managers. Formal grievances regarding staff misconduct normally are handled by the relevant manager. formal grievances beyond the levels described above should be submitted to the relevant Pro ViceChancellor.ac. they are invited to discuss the matter with the Manager of the Faculty Ofﬁce in the ﬁrst instance.Assistant Vice-Chancellor (Academic) who will consult the Deputy Vice Chancellor (Research). for any reason. Policy/Statute Academic Grievance Policy Nature of Grievance Academic disadvantage regarding PhD candidacy Staff misconduct Submit to AVC (Academic) The relevant Pro ViceChancellor Policy on Staff Conduct 12.victoria. dissatisﬁed with the administrative performance of their Faculty Ofﬁce.nz/). candidates. In each case. If anyone is. 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. The Manager will request appropriate action from Administrative Supervisors and supervisors if necessary.
A length of about 300 words is recommended. the thesis must explain their relationship to one another.2. providing a summary of the methods of investigation and conclusions reached in a form suitable for publication. The only general requirement is that the thesis should be an integrated report. A student may present a thesis in Te Reo Maori as outlined in The Use of Te Reo Maori for Assessment Policy. • • • • • PhD Handbook 49 . candidates should show the contents of all volumes on the contents page of the ﬁrst volume. Abstract: the regulations require that the thesis should include a short abstract. The thesis structure is a matter for discussion between candidates and supervisors. Where the research project consists of a number of cases of more or less separate studies. The precise interpretation of this varies from discipline to discipline. Schools may also specify distinct requirements bearing on style and presentation.3.1 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 53.0 The Thesis 13. List of illustrations. 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. binding. plates etc: all illustrations should be numbered and page references given. and availability of the thesis. 13. Separate contents pages should also be included in subsequent volumes. Prior approval is required and it is important that this is organised as early as possible and before examiners are appointed. but its transformation into the ﬁnal draft for submission usually takes much longer than planned.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. Preface: a preface may not be necessary as the abstract can state the scope of the study. Nearly all candidates ﬁnd that the actual writing of a thesis takes much longer than expected. or in a separate companion volume or box. The following guidelines may assist candidates in preparing their theses for presentation. Table of contents: candidates should list chapters with relevant page numbers. Body of the text: relevant advice is provided in section 13. If the thesis consists of more than one volume. Acknowledgements: candidates are required to acknowledge all assistance that has been received with the research and production of the thesis. Candidates should check details of presentation and production with the primary supervisor before ﬁnal preparation of the thesis.13.1 Introduction This section contains information on the presentation. It may include published material.2. The abstract must not exceed 500 words. The preparation of a ﬁrst draft may be the most difﬁcult part of the work. 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.
Ann Arbor. If in-text references are in the form of footnotes. Day. New York: Modern Language Association of America. References and/or Bibliography: references in the text should be made in the form appropriate to the discipline concerned. especially if the thesis is later reproduced on microﬁche. Robert. Washington: the Association. English in today’s research world: a writing guide. the books listed below may be useful. Houndmills. London: Falmer Press. The Chicago manual of style. 2003. 2nd ed. Chicago: University of Chicago Press. Brause. L. Gibaldi. Phoenix: Oryx Press.) Index: if candidates wish to include an index. Wellington: GP Publications. 4th ed. 1998. Patrick. For speciﬁc examples of how to cite a book (single. Basingston. M L A handbook for writers of research papers. • • 13. 1995. Joseph. Dunleavy. New York: Modern Language Association of America. 2003. 2000.2 Citation style Particular disciplines often have individual citation conventions. M L A style manual and guide to scholarly publishing. theses and dissertations. 1994. 15h ed. if the footnotes become very extensive it is acceptable to list them in a separate section at the end of the thesis. A manual for writers of term papers. University of Michigan Press. and the listing in the References/Bibliography should reﬂect disciplinary norms.• Appendices (if applicable): candidates may wish to include here any material that does not ﬁt conveniently into the body of the text. Gibaldi. please consult the Library Reference and Research staff for advice on its format and for guides on its preparation. Achtert. How to write and publish a scientiﬁc paper. Chicago: University Press. Writing your doctoral dissertation: invisible rules for success. 5th ed. The New Zealand Style Book. 2nd ed. it is preferable. K. Joseph. Consult the Reference and Research staff for further guidance. though not essential.2. (It is often inconvenient to refer to notes and references placed at the end of the chapter or at the end of the thesis. 5th ed. 1998. The supervisors are able to advise on the appropriate forms. John M.) Swales. American Psychological Association. Publication manual of the American Psychological Association. 1996. The MLA style manual. 6th ed. 2000. multiple or corporate authorship) in part or as a whole. or how to cite journal articles. Be sure to conform consistently to the standards considered appropriate for the relevant discipline. New York: Modern Language Association of America. University of Chicago Press. in cases of doubt the full form of any reference should be used rather than abbreviations. However. write and ﬁnish a doctoral thesis or dissertation. Walter S. draft. 2001. 2003. Turabian. 6th ed. Rita S. that these footnotes appear at the bottom of the page to which they refer. (Also titled Style Book: a guide for New Zealand writers and editors. Authoring a PhD: how to plan. 50 PhD Handbook . These works are all available in the Library. New Zealand Government Printing Ofﬁce.
should be included in the main numbering sequence. New Kirk. Leave a margin of at least 4 cm on the left or binding side of the page. • • • 13.2. • 13.2. Image Services may be contacted at: tel 0-4-463 5133. Printing on one side of the paper only is preferred. The Victoria University PhD Statute stipulates that “the thesis shall not exceed a total of 100. The paper used should be of good quality and be in A4 format. email Image-Services@vuw.000 words in length (including scholarly apparatus). Larger material such as charts. or mounted on guard sheets. especially if the thesis is very long.4 Pagination • Pages must be numbered consecutively and page numbers should appear on every page in a consistent position.5 Paper • The physical appearance of the thesis is very important.2. Candidates may also wish to distinguish indented quotations from the main text by using single spacing or a smaller font size. Candidates should contact University Image Services for information on available photographic and digital imaging services and current costs. table of contents etc). including diagrams and charts.2. • • 13. It is essential that all leaves be of the same size so that they may be readily bound together. In exceptional circumstances the • • PhD Handbook 51 . diagrams and maps may be folded to conform to the A4 format. which frequently indicates poor judgement. Avoid. 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.2. maps or charts . room 116. uniform on all pages.ac. abstract.nz.6 Photographic and Colour Copy Illustrations • Photographs should be dry mounted where possible.7 Length • A PhD thesis should be concise: examiners often criticise excessive length.3 Format • • Word-processing and 12-point type font is recommended. but text on both sides is acceptable. Candidates should be guided by their supervisors on an appropriate length for the thesis. Rankine Brown Building.13. especially the footnotes. if possible. 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. Candidates should discuss payment with supervisors. 115 (b) etc). sub-numbering of pages/leaves (e.illustrations. • 13. It is recommended that photographs be mounted on heavier paper than that used for the main text. except the title page which is normally counted but not numbered. 115 (a). On the other three sides of the page the margins should be not less than 1. Interpolated leaves .5 cm as the edges will be trimmed by the binders and there must be no danger of losing part of the text. The Library provides a self-service colour photocopier in the photocopying room on Level 2 of the Central Library. Use single spacing for footnotes but double spacing between individual notes.g.
Information Technology Services staff may also be able to provide advice. keeping the back-up in a different place from the original. but close without saving changes. One at home and one at the University.nz/hr/heath_ safety/health-safety-training. Using the required guidelines from the outset will save a great deal of time and anxiety in the ﬁnal stages of thesis preparation. If a draft printout from another printer is needed. At the time of submission the candidate must certify that the thesis falls within this word limit. Candidates should consult the relevant thesis presentation guides before they begin.ac. Permission should be sought well in advance of submission of the thesis for examination. The following advice should help candidates make the most efﬁcient use of their computers and avoid commonly-made mistakes. A supervisor or school administrator. Different drivers impose different page speciﬁcations. Also OOS Buster courses (I hour) are held regularly during term time. 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. might be prepared to hold a back-up copy. • • • 52 PhD Handbook . The Health and Safety webpage: www. regularly up-dated. • Candidates should be aware of the dangers of developing occupational overuse syndrome (OOS) with prolonged computer use. for instance.html describes how a computer workstation should be set up.8 Computer Use Most PhD theses are produced by candidates using a computer. Candidates should always back up their work.4 (b)).2. and a change in printer-driver can affect the layout signiﬁcantly. students should make a copy and print from that. or use the original. 13. particularly for complex formats like tables.victoria. is necessary insurance.Research Degrees Committee may grant permission for a longer thesis to be submitted for examination” (PhD Statute 4.
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 .13.2.
The author’s last name and initials and the title/short title must be lettered on the spine.victoria.4. • • 54 PhD Handbook .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.3.4).ac. such as musical scores. Lettering on the front cover is recommended but not essential. • • • • 13. who will soft bind theses for examination. Law. A list of local commercial binders. for deposit in the University Library. may be bound or boxed in a fashion appropriate for their preservation. The Reference desk of the Library holds a list of approved binders. A receipt is issued at the time of deposit. and cased in cloth or buckram. advice may be sought from library staff.3.html) require that research results must be disseminated and not kept secret. If in doubt.4 Availability and Withholding of Access to Theses 13.1 Temporary Binding for Examination • Candidates are encouraged to submit the three copies of their thesis for examination in temporary soft binding. 13.1 Public Availability of Theses The University Human Ethics Committee (HEC) Guidelines (see Appendix 1 of the Human Ethics Policy: www. Architecture and Design theses are deposited with the relevant campus library. is available from the Reference desk in the Library. never stapled. to facilitate any revisions or corrections and/or re-submission. • • 13.2 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. The thesis must be fully bound. as this will interfere with the permanent binding.3 Binding 13.4. The binding must ensure that the thesis can later be permanently bound to conform to the Library requirements.nz/home/about_victoria/policy. Authors are responsible for all binding charges. Theses are deposited with Collection Services on Level 1 of the Central Library.4.13. It is an important component of the University tradition that knowledge is openly available for examination and criticism by peers (see also 13. The thesis must be ﬁrmly bound within the temporary cover so that pages cannot become detached. Works which do not fall within the usual A4 format. provided the relevant information (as above) is visible when the item is shelved. The degree will not be awarded until this has been done. Care should be taken to ensure that the temporary binding does not produce a row of holes down the page.
vuw. that likelihood is good reason for non-disclosure. The application must also be supported by the supervisors and Head of School. fall within the provisions of the Copyright Act 1994 and Amendments.3(c) of the Library Statute for a full description of the provisions regarding the Withholding of Access to Theses and see http://policy. PhD Handbook 55 .4.nz It describes ownership and what is required should intellectual property issues arise from research undertaken while a student at the University. or it will not be accepted. or prejudice the maintenance of law and order.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. In certain circumstances.• 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. The third bound copy is retained by the candidate. Second or third copies are usually photocopies. it must be in the public domain. however.ac. or as soon as the need for an embargo becomes apparent. Students should consult the Victoria University Intellectual Property Policy at http://policy.nz/Amphora!~~policy. In general.12. For electronic deposit. In some cases the candidate’s school will also request a copy. The Associate Dean can provide further advice. If application is delayed difﬁculties may arise if the RDC subsequently declines the application after the research has been completed.4.e. or comply with the terms of any agreement. Candidates should consult section 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. Copyright in publications other than the thesis arising from supervised research is likewise owned by the creator(s). The Library must always receive the original or “best” copy (and this includes the ﬁgures.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.pdf for the Withholding of Theses Procedure. the use of any third party content must not be in breach of copyright.nz~POLICY ~000000000034. research students own the intellectual property originally created exclusively by them in the course of their studies.” A description of what constitutes a good reason for withholding information held by the University is dealt with principally in Sections 6. or seriously damage the economy of New Zealand. endanger the safety of any person. graphs. research students will be required to enter into an agreement assigning or apportioning intellectual property to the University. This should be done at the outset of research.ac. ac.victoria. If making information available would be likely to prejudice the security or defence of New Zealand or international relations with New Zealand. 13. i.vuw. and photographs included in the thesis). 13. 7 and 9 of the Act. Availability slips are obtained from the Faculty Ofﬁce at the time of enrolment. A completed availability slip MUST accompany the deposit. • • 13.4.
as a matter of policy. (b) (d) (e) 56 PhD Handbook .3(c) for the withholding of a thesis or research paper from consultation. in the public interest. to make that information available.3(c).12. the withholding of that information is outweighed by other considerations which render it desirable. 13. Conclusive reasons for withholding ofﬁcial information Good reason for withholding ofﬁcial information exists. disclosure may be required if “in the circumstances of the particular case.12. for the purpose of section 5 of this Act. Sections 6 and 9 of the Ofﬁcial Information Act are reproduced here: Section 6. the University will. and deciding how information will be handled in the examining of the thesis or research paper. making requests for research information from outside sources. or (c) To prejudice the maintenance of the law. It is important to note that although the section lists good reasons for withholding information. investigation. Candidates and supervisors should bear these factors in mind in choosing topics for research. seek to withhold information in it under the Ofﬁcial Information Act 1982.4. and detection of offences. rents and other costs.Candidates should give particular attention to Section 9 of the Act. or 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. including the prevention. or 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. iv) the stability. and the right to a fair trial. giving undertakings to the suppliers of information in respect of the maintenance of conﬁdentiality. or To endanger the safety of any person. or ii) any international organisation. Among many possible reasons for withholding information mentioned there is speciﬁc reference to material of a sensitive personal or commercial nature. ii) the regulation of banking or credit. 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. and its inclusion or exclusion from the research document as formally presented for examination. the ground identiﬁed in the written request made by the author under the Library Regulation 4. Where arrangements have been made under the Library Regulation 4. iii) taxation. It will cite as the speciﬁc ground for withholding the document.” 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 1982.6 Ofﬁcial Information Act 1982 For the information of candidates and supervisors. control and adjustment of prices of goods and services.
Other reasons for withholding ofﬁcial information: (1) Where this section applies. or (2) PhD Handbook 57 . Subject to sections 6. including that of deceased natural persons. good reason for withholding ofﬁcial information exists. Section 9. or ii) Would be likely otherwise to damage the public interest. 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. 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. or (c) Avoid prejudice to measures protecting the health or safety of members of the public. unless. in the public interest. to make that information available. and only if. or (b) Protect information where the making available of the information i) Would disclose a trade secret. iv) The conﬁdentiality of advice tendered by Ministers of the Crown and ofﬁcials. where the making available of the information i) Would be likely to prejudice the supply of similar information. and 18 of this Act. v) the borrowing of money by the Government of New Zealand. in the circumstances of the particular case. 10. or (d) Avoid prejudice to the substantial economic interests of New Zealand. or information from the same source. or ii) Would be likely unreasonably to prejudice the commercial position of the person who supplied or who is the subject of the information. and it is in the public interest that such information should continue to be supplied. salaries and other incomes. this section applies.and rates of wages. or (e) Avoid prejudice to measures that prevent or mitigate material loss to members of the public. 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. vi) the entering into of overseas trade agreements. 7. for the purpose of section 5 of this Act. iii) The political neutrality of ofﬁcials. the withholding of the information is necessary to – (a) Protect the privacy of natural persons. the withholding of that information is outweighed by other considerations which render it desirable. if. ii) Collective and individual ministerial responsibility.
ii) The protection of such Ministers. or (k) Prevent the disclosure or use of ofﬁcial information for improper gain or improper advantage. members of organisations. or (i) Enable a Minister of the Crown or any Department or organisation holding the information to carry on. commercial activities. negotiations (including commercial and industrial negotiations). 58 PhD Handbook . or (j) Enable a Minister of the Crown or any Department or organisation holding the information to carry on. without prejudice or disadvantage. or (h) Maintain legal professional privilege. and employees from improper pressure or harassment. ofﬁcers. without prejudice or disadvantage.
0 The PhD Examination 14. The decision to make application for a thesis to be examined is one to be made by the candidate. Candidates can be consulted on potential examiners.14. the Associate Dean will give favourable consideration to a request for early submission. PhD Handbook 59 . Examiners must be in a position to provide a fair and impartial assessment of the thesis. in consultation with the Administrative Supervisor. 14. In cases where the most qualiﬁed examiner has such a relationship with the candidate.2 Early Submission In cases where a candidate makes exceptional progress with their research. Only in exceptional circumstances will the internal examiner be the primary supervisor or cosupervisor. recommend suitable examiners to the Associate Dean. their relationship to one another should be demonstrated. 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. the internal examiner should not normally be a close working colleague.g. Normally at least one examiner will be from another New Zealand University (the external New Zealand examiner). a member of the same teaching/research group. 14. ‘Availability’ means willingness to accept appointment and agreement to examine the thesis and complete a report within eight weeks of receiving the thesis. as long as the report constituting the thesis is written under supervision during the period of registration. The RDC approves the nominations and appoints the examiners. the Research Degrees Committee (RDC) should be consulted.3 Submission A thesis is an integrated report. If it consists of several studies or cases. but may not be told which examiners have been nominated or appointed. 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. If the candidate is a member of Victoria University staff. Availability is normally established through informal contact and the Associate Dean is responsible for ensuring that this is done. and supply the Associate Dean with a brief curriculum vitae or other information which establishes the suitability of the proposed examiners. The Associate Dean will scrutinise the recommendations and forward them to the RDC. At least one examiner is normally a member of the staff of an overseas university or similar institution (the overseas examiner). The third examiner should be a member of the Victoria University staff (the internal examiner). Supervisors.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. professional or contractual relationships with the candidate. Suitable examiners are those who have no signiﬁcant personal. e. The thesis may include the candidate’s previously published work or material based on previous research. Concerns with any aspect of the recommendation of examiners should be addressed to the Associate Dean. 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..
The Associate Dean. in exceptional circumstances. Should the Associate Dean decide that a thesis is not complete the candidate may appeal that decision to the Research Degrees Committee (RDC).pdf). A thesis is not complete unless it constitutes a complete scholarly work inclusive of all scholarly apparatus usual in the discipline. 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. The University expects that normally a candidate would be enrolled for the three months immediately preceding submission. A grace period starts on the last day for which fees are paid and covers the following 28 days. to submit without three months prior enrolment.nz~POLICY~000000000034. borrowed. a statement that the thesis does not exceed 100. 60 PhD Handbook . 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. 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 University has an obligation to examiners to ensure that any thesis sent for examination is complete and suitable for examination.vuw.000 words in length* a research supervision Exit Questionnaire to canvas PhD students for written comments about the supervision of their 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. after appropriate consultation. When the candidate indicates the thesis is complete. 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. it is expected that such decision will be made by agreement between the candidate and the supervisors. Students may appeal to the PhD Convener.ac.nz/ Amphora!~~policy. it should be reviewed by at least the primary supervisor before application is made for examination. • • • On submission of the thesis. If a thesis is submitted in the grace period no extra fees will charged. This review period should not usually exceed four weeks.vuw. 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.However. 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. the candidate retains the right to have the thesis examined. 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. two Availability of Thesis forms providing consent for the thesis to be consulted. Before submission. copied or reproduced in accordance with the Library regulations.ac. including word limits. 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.
* 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.
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-andtemplates.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
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.
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:
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. to the satisfaction of the internal examiner.9. 14. to the satisfaction of the internal examiner. 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. If the internal examiner is not available. for example. that no degree be awarded and the candidate’s registration be terminated. the candidate may be asked to revise aspects of their work and sometimes write new sections. then the primary supervisor will take this role.1) to the thesis recommended by the examiners. or ﬁxing typographical errors. that the degree not be awarded but that the candidate be permitted to re-submit a revised thesis within a speciﬁed period.9. that the candidate be awarded the PhD subject to the completion of any revisions (deﬁned in 14. After consultation with the candidate. In this case the examiners should offer detailed advice to assist the candidate towards a successful re-submission. the person responsible for overseeing the minor amendments or revisions will stipulate in writing the timeframe within which these must be completed. and • 64 PhD Handbook . amendments that are ‘minor’ should be able to be completed within two weeks’ full-time work or equivalent. that the candidate be declined a PhD but offered a Master’s degree. Generally minor amendments are formal only. but ‘minor’ can include slight changes or additions of substance.9. • • • • • 14. that the candidate be awarded the PhD subject to the completion of any minor amendments (deﬁned in 14. 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. such as making small corrections.2 Revisions Where more than minor amendments are required. As a guide.9. to clarify an argument. adding missing citations. If the primary supervisor is not available then the Administrative Supervisor will take this role. 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 candidate be awarded the PhD.1 Minor Amendments It is very common for examiners to ask candidates to make small corrections to the thesis before it is accepted.9 Minor Amendments and Revisions The responsibility for overseeing the minor amendments or revisions is usually taken by the internal examiner.2) to the thesis recommended by the examiners. 14. the changes that the examiners require are such that it is reasonable for the internal examiner alone to assess the revised thesis.
opt to make only minor editorial changes to the thesis and to accept the relevant general Masters qualiﬁcation (MA. Any such change must be notiﬁed to the relevant Faculty Ofﬁce. Where the problems are more fundamental (requiring. It is the duty of the School Research Committee to organize this. Once the thesis has been resubmitted. 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. When the examiners recommend that the thesis be re-submitted after revision. a second oral may be necessary. Re-enrolment is required for re-submission. this option no longer applies. a formal Memorandum of Understanding should be agreed before entering into negotiations with the candidate as to the completion of these revisions. MMus. The internal examiner is responsible for explaining to the candidate. MSc. 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. When the thesis is re-submitted.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. 14. Following such discussions. they may also recommend that a second oral examination is not required.9. Only in exceptional circumstances will the RDC consent to a change of examiners. While candidates have a maximum of six months to make the suggested revisions. who will then appoint an appropriate substitute. it is recommended that the internal examiner discuss the matter with senior researchers in the School or wider university. or a restructuring of the thesis). in writing with a copy to the Convener of the RDC. to ensure that the candidate understands exactly what is required to meet the examiners’ concerns and to oversee the revision process. It is the responsibility of the School Research/Postgraduate Committee (SRC). 14. which will usually delegate this to the internal examiner and/or the primary supervisor. If there is good reason why the internal examiner should not be the person to undertake this task. may. PhD Handbook 65 . the gathering of further data. the examination process begins again. a period of further supervision will be required. Any candidate for whom the result of the ﬁrst round of the examination process is that the thesis may be resubmitted. Any recommendation regarding a second oral examination requires conﬁrmation by the RDC. at their discretion. it is desirable that the work is completed as soon as possible. an explanation should be given to the Research Degrees Committee. which parts of the thesis require revision and for what reasons. and to change the primary supervisor if this is academically advisable.• 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.3 Disputes about Revision If there is substantial disagreement between the two external examiners and/or the internal examiner. The revisions required will be notiﬁed to the candidate in writing. Where re-submission is involved. all copies of the thesis are returned to the candidate who is given the date by which re-submission must be made. MCA. LLM) in place of the doctoral qualiﬁcation. for example. The Masters in such cases will be awarded at the Pass level.
high ethical standards of accuracy.0 The University Community 15. nor members of the academic staff. at the same time they require guidance.3 Collegiality The University recognises that a vital aspect of the learning experience for PhD candidates is an environment of strong and supportive collegiality.2 Values and Ethos The guiding values of the University community are: • • excellence in learning. although the Postgraduate Students’ Association (PGSA) can provide important social and academic contacts. isolation can be a problem. and ultimately will be examined by the academic staff. and a commitment to teaching and research that embraces both theory and practice.15. and the principal rights and obligations of PhD students. Students should be aware that undertaking a PhD has the potential to be a solitary and isolating experience and should work to mitigate this.pdf 15. • • • • • • A full description of the University’s Mission and Values is set out in the University Charter. Like many transitional states. teaching and research.victoria. The sections that follow outline the principal values of the University community. During the time of study. A copy is available in the main collection of the Library. a nurturing environment providing the atmosphere for growth and learning. tolerance. in return. and provide an academically exciting and intellectually stimulating environment. 15. For PhD students in small schools. This document is also available at: www. The University.nz/home/about/newspubs/publications/Charter.1 Introduction While engaged in PhD study. candidates occupy a special albeit transitional. 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. While PhD students are usually treated collegially by academic staff. intellectual openness and questioning of accepted wisdom. place in the University system. endeavours to maintain an environment which will foster and protect PhD students. neither members of the main student body. a commitment to leadership in the community and an awareness of the needs of that community. ac. acknowledgement of the principles of the Treaty of Waitangi and recognition of the special relationship with the tangata whenua. acceptance of obligations as well as rights to enable all in the University community to develop their full potential. co-operation. equity of educational and employment opportunity for those who are socially and economically disadvantaged. The University encourages candidates to get to know each other so that experiences can be shared 66 PhD Handbook . PhD candidates’ status can be rather ambiguous.
The use of email is very helpful for this purpose.nz or www.ac.” If differences or disputes arise between members of the University community. ﬁnancial and social needs of higher degree students.nz/pgsa The PGSA’s ofﬁce is in Room 202. It is expected that students will act with integrity and demonstrate respect for others and their conﬁdences when given.aspx and ﬁll in your details.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. the PGSA is committed to maintaining and improving the conditions under which all postgraduates work at Victoria. which can be a helpful means of ensuring contact with colleagues and avoiding isolation. The preamble to the Statute on Student Conduct states that: “Students are expected to contribute with reason and consideration to the University’s role. Candidates are also encouraged to attend the appropriate faculty and school seminars. seminars.victoria. training workshops and information.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. The PGSA aims to create a vibrant postgraduate community at Victoria and to promote the value and role of postgraduate contributions to the University. They are entitled to work. relevant information for postgraduates and social events.and problems jointly addressed.nz/pgsa/resources/mailing-list.5.nz The Statute on Student Conduct identiﬁes unacceptable behaviour and provides processes by which people can seek to have concerns addressed. The PGSA sends out a monthly e-newsletter The Postgraduate News. represents postgraduate students on a variety of university committees and arranges social activities. co-operatively and in a professional manner.ac.ac. 20 Kelburn Parade. It lobbies on issues. learn.victoria. which can be viewed by searching for ‘Statute on Student Conduct’ at: http://policy. The PGSA is run by the Executive.victoria. The PGSA operates an electronic mailing list for all members which keeps postgraduate students informed about PGSA initiatives. 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. it is expected that they will attempt to resolve any conﬂict themselves. and provides advice and advocacy for individuals and groups of postgraduate students. You can also contact the PGSA on tel 0-4-463 6973 or email pgsa-ea@vuw. To subscribe or unsubscribe to the list go to www. It acts on behalf of postgraduates. The PGSA is always eager for postgraduates to get involved. elected each year and comprised of up to ten voluntary postgraduate students. ac. 15. PhD Handbook 67 . 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. and welcomes enquiries. study and participate in the social aspects of the University’s life in an environment of safety and respect. The PGSA also coordinates the network of postgraduate representatives on university committees and bodies.5 Rights and Obligations Regarding Conduct 15. lobbying to foster the academic. Recognised by the University and Victoria University of Wellington Students’ Association (VUWSA) as the lead representative body of all postgraduate students. 15. All PhD candidates are therefore reminded of their obligation to observe the Statute on Student Conduct.
15. In particular.nz/disputes-advice/ 68 PhD Handbook . “ 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. The Policy on Staff Conduct identiﬁes misconduct as including: discrimination. vuw. misconduct involving a conﬂict of interest.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. and other misconduct. they should in the ﬁrst instance. These deﬁnitions of misconduct are not intended to apply to reasonable comment by staff in the exercise of academic freedom. sexual harassment. all deﬁned in section 4. contact the University Facilitator and Disputes Advisor. They are entitled to work. it is expected that they will attempt to resolve any conﬂict themselves. racial harassment.ac. co-operatively and in a professional manner. misuse of information.ac. It is also University policy that all disciplinary procedures conform to the principles of natural justice. the University has clearly deﬁned procedures under the Policy on Staff Conduct for dealing with sexual harassment.2 of the Statute. If differences or disputes arise between members of the University community. causing racial disharmony. misuse of University computer systems.2 of the Policy. all deﬁned in section 4.victoria. and other misconduct. misuse of information. misconduct in research. misuse of authority. Various procedures have been adopted in the Statute and the Policy to safeguard the rights of the individuals in this respect. If any PhD candidate has been subjected to unwelcome and distressing behaviour and would like guidance as to whether it amounts to sexual harassment.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. 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. 15. sexual harassment. learn.5. Further information is available in the brochure Respect: Sex and Relationships: what’s OKAY and what’s not at http://www. study and participate in the social aspects of the University’s life in an environment of safety and respect.The Statute prohibits the following conduct: discrimination. academic misconduct including plagiarism. causing racial disharmony.5. 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. racial harassment. harassment.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.
Prospective postgraduate students are especially welcome to visit and use the Service.ac. employer presentations. which is funded by the University and by students through a small levy paid upon enrolment. 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. career fairs.nz/st_services/careers/) provides information and guidance to students with career and course-related questions. 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. fax 0-4-463 5252.e.from the general exploration of career ideas and the career implications of postgraduate courses.ac.. 16. i. to details of speciﬁc jobs. 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. workshops and seminars in addition to tips on career development and job search topics. email Accommodation@vuw.victoria. preparation of CVs. Victoria CareerHub is also your one-stop-shop for details on all career events. A Graduate Recruitment Programme runs throughout most of the year. Student Union Building Hours: 9am to 5pm Monday to Friday tel 0-4-463 5896.nz Career Development and Employment (www. The Service has three professionally-trained careers advisers available for informal. email firstname.lastname@example.org/st_services/ accommodation/ or on notice boards in the Accommodation Service.nz The Accommodation Service helps students ﬁnd suitable accommodation in Wellington. They can help with a wide range of queries . The Letting Service can be accessed online at: www. handles applications for Victoria’s Halls of Residence. identifying skills and other career-related matters. and the computer database provides a useful checklist of career options and training. Feel free to come by for a casual visit during our drip-in times or call ahead to book an appointment. conﬁdential discussions. Many of these services are run by the Student Services Group. This can be accessed via Victoria CareerHub: http://careerhub. A comprehensive careers website also offers valuable advice.1 Student Services Group Victoria has an excellent support network for students. PhD Handbook 69 . 16.1. and operates a Letting Service of vacancies in the private market.30am-5 pm tel 0-4-463 5393.ac.ac.victoria.16.1.nz using your Student Computing account as your login.1 Accommodation Service Level 1. except Wednesday 10. A separate Law and Accounting Employment Programme is held early in the year. There are career workshops for developing interview skills. employers and checking draft copies of resumes. The Service is open all year. fax 0-4-463 5252. The Service’s reference library has detailed information on occupations and employers.victoria.0 University Student Services 16.2 Career Development and Employment 14 Kelburn Parade Hours: 9am to 5pm Monday to Friday. including the study break.
their relationships or their learning.1. and personal assistance where appropriate. which offers monthly regional meetings. alternative print formatting.30pm weekdays.7 MAI Ki Poneke MAI (Maori and Indigenous Postgraduate Students) is a national network for Maori. 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.463 6001 or 027 563 6001 Monday to Friday 8. 16. Students wishing to discuss their needs should contact a Student Adviser from Disability Support Services as early as possible.ac.6 Kaiwawao Maori/ Maori Student Services Adviser Hunter Courtyard. Trained and experienced staff provide care and education for children aged from three months to ﬁve years.1. Pasiﬁka and First Nations’ PhD Candidates.16. mental health condition or chronic illness that may impact on their study. either full-time or ﬁve half days.30pm on weekdays during term and examinations. places to study and rest.3 Counselling Service 2 Wai-te-ata Road (Kelburn campus) Hours: 9am to 5pm throughout the year tel 0-4-463 5310.4 Childcare The University Student Crèche is available to students with pre-school children (from birth to ﬁve years). fax 0-4-463 5104. hearing assistance technology. www.nz 16. injury. Kirk Building.1. and is open 8. Room 007 tel 0-4.ac. Bookings are on a permanent basis. Staff ECE Centres are Tui House at 4 Clermont Terrace. Group programmes are also available.victoria.victoria. including specialised computer software.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.nz Disability Support Services are on campus to assist students who are deaf or have an impairment. 16. and is open from 8am to 5.30pm email kaiwawao-maori@vuw. The Law Crèche. A range of services and support is available. tel 0-4-463 5151 or email Childcare@vuw.nz www. in the Government Buildings on Lambton Quay. caters for 14 children up to three-and-a-half years of age. and possibly to 6. and Kea House at 2 Clermont Terrace.1. at 67-71 Fairlie Terrace.ac. The Crèche’s fully trained and experienced staff provide care and education for children while parents are studying. Robert Stout Building. regular workshops and a mentoring programme. There are also active student support groups. Students who wish to use any of the Crèches should register in person from the ﬁrst Monday of November at 71 Fairlie Terrace.ac. This Crèche is on the Kelburn campus. fax 0-4-463 5028 Counselling Clinics are also held at Pipitea.ac. The University Staff Early Childhood Education (ECE) Centres cater for the children of staff and postgraduate students.5 Disability Support Services Level 1.1. email Disability@vuw.nz/mai 70 PhD Handbook . or phone the Manager on 0-4-463 5151. Te Aro and Karori campuses. Room 103 Telephone for an appointment tel 0-4-463 6070. 16.30am to 5.00pm by special arrangement.30am-4. Bookings can be made by contacting the Manager. Level 0.
nz The Student Finance Advisers help students to manage their personal ﬁnances by providing advice and individual budgets. dermatology and physiotherapy. 139 Vivian St tel 0-4-463-5308.ac. They administer the Hardship Fund which provides short-term assistance for those facing ﬁnancial difﬁculties. 16. 16. travel and nutrition advice. at both Kelburn and Pipitea campuses.10 Student Learning Support Service Kelburn: Kirk Building. Railway Station. 17 Adelaide Road.nz/st_services/health/ (for clinic times and fee structure) The Student Health Service offers low cost conﬁdential quality healthcare.victoria.8 Financial Support and Advice 14 Kelburn Parade. fax (04)-463 5252. An experienced team of doctors and nurses provides a wide range of medical care including treatment of acute illness and injury. The Advisers have close links with StudyLink and can assist with problems associated with Student Allowance and Loan applications. Faculty of Education tel 0-4-463 9537. Level 2. phone 0800-611 116 to speak to a registered nurse. in the ﬁrst weeks of each trimester.nz/postgradlife PhD Handbook 71 . including time management. management of ongoing health problems. fax 0-4-463 9581 email Studentemail@example.com. fax 04-463-5028 Pipitea: Student Services. contraception. childcare. Grey Block.1. smears and sexual health checks.9 Student Health Service Kelburn: 4 Wai-te-ata Rd.nz The Student Learning Support Service (SLSS) runs regular seminars on topics of interest to postgraduate students.ac. Our Student Health Service will help you enjoy better health and an improved lifestyle. for example. and structuring and formatting long documents. research costs not covered by grants.30am to 4pm Monday to Friday Pipitea: Railway Station.ac. will help postgraduates set up and maintain a peer study/support group in their school and will organise workshops on request. minor surgery and more.30am to 3. and Te Aro: Ground ﬂoor. Level 2 Hours: 8. A number of specialist services are also available including psychiatry. accommodation etc.ac. fax 04-463-7475 Karori: Level 3. fax 0-4-463 5252.victoria. After hours emergency care is shared with Wellington GPs at the Wellington Accident and Urgent Medical Centre. For free medical advice. oral presentations. Experienced learning advisers are also available for one-to-one consultations on all aspects of postgraduate study. tel 0-4-384 4944 (there will a charge for this service).1.1. developing research questions.ac. high course costs. Level 0 Hunter Courtyard Hours: 8. email Student-learning@vuw. email Student-hardship@vuw. Rooms 106 and 107 Hours: 9am to 5pm weekdays (no appointments on Fridays) tel 0-4-463 6644 or 0-4-463 6658. transport. For further information phone 0-4-463 5908.30pm Tuesdays and Fridays tel (04)-463 5999.nz www. SLSS facilitates a regular postgraduate writing group (beginning with an intensive Saturday workshop in March). West Wing. West Wing tel 0-4-463 7474. They can also help students complete ﬁnancial statements for scholarships applications. PostgradLife is a student-centred website which provides links to important information for postgraduate students: www.
The Student Union Building is home to vicbooks. 16. the Recreation Centre. the only campus bookshop in New Zealand owned by its students. Facilities include those offered by the Student Union Building. the Union Cafe.ac. There is also a National Bank branch and ATM.victoria.nz. The register of members is in two parts. the Karori Gym and Tennis Courts. many of who have achieved distinction in a variety of ﬁelds in New Zealand and elsewhere.13 Court of Convocation All graduates of Victoria University are eligible to be enrolled as members of the Court of Convocation. 16. Vicbooks is on the 3rd ﬂoor of the Student Union Building and 72 PhD Handbook . which has an important role as a forum to discuss matters of relevance to the University and provide graduate input into University decision-making. www.1.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. the Kelburn Tennis Pavilion and the Boyd Wilson Field and clubrooms.12 Alumni Association The University values its links with its former students. Graduates are encouraged to remain involved in the life of the University and to exercise their right to representation on the University Council. Anyone who has studied or worked at Victoria may join.11 Victoria International The Victoria International Services Team is the ﬁrst port of call for all International PhD students seeking assistance at the University.1. which elects ﬁve members of the University Council. Victoria University of Wellington. Hunter Building Tel 0-4-4636700. PO Box 600. fax 0-4-463 5210: email firstname.lastname@example.org. the Rutherford House Gym.ac. or have been enrolled since the penultimate election. It is a focus for many activities and features social and meeting rooms. recreational. Enquiries and applications for enrolment should be addressed to the Secretary. 16. are placed on the active roll. It coordinates activities of the Alumni Association. New Zealand. Those who have voted in one of the previous two Council elections. fax: 0-4-463 6698. The Services Team act as a facilitator to help you ﬁnd the assistance you need. through the VUWSA Trust. 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. 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. They also deal with all insurance and visa-related issues and can help you settle into your new life in Wellington. 16. or have applied to the Secretary for transfer to the active roll. active and inactive.nz The Union Building houses the Student Union management and the Students’ Association. New graduates are automatically enrolled on the register.1 Student Union Building tel: 0-4-463 6999. email email@example.com Student Union Complex The University’s ‘Community Centre’. social and political activities. The Association also organizes informal social activities.1. the Student Union Complex provides opportunities for students to participate in a wide variety of cultural.2.ac. and through an afﬁnity card it raises money to fund postgraduate scholarships. Court of Convocation. Alumni Relations Ofﬁce Room 325. the Mount Street Bar and Cafe and the Union Hall and Hunter Bar. Wellington.
www. The Kelburn and Pipitea Fitness Studios offer a full range of cardio equipment and weights machines. magazines and stationery.2. volleyball. Tae Bo and Step to mention a few. indoor cricket and rock climbing are a sample of recreational activities which take place at Kelburn. volleyball. 16.the ground ﬂoor of Rutherford House.nz/union/reccentre Recreation offers two main facilities: the recreation centre at the Kelburn Campus. The Student Union also operates Student Notes on the Ground Floor. or even cocktail making. Martial arts. Vicbooks offers a student discount on academic textbooks.2 Recreation Centre tel 0-4-463 6614. which has recently been refurbished. During trimesters 1 and 2 we run an Activities Programme giving you the opportunity to try everything from bridge swinging. and a second ﬁtness studio and aerobics centre at the Pipitea Campus. The Group Exercise programme offers fantastic classes in Yoga. to salsa.nz. and has postal and dry cleaning services. If you are into social sport check out our Sports League competition. choose from indoor soccer. PhD Handbook 73 . table tennis and ultimate. The Kelburn and Karori gymnasiums provide opportunities for indoor sports such as basketball. email rec-cent@vuw. basketball and indoor netball. Pump. general books.ac.victoria.ac. Pilates.
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 .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.
Postgraduate Coordinator. possible supervisors Appropriate ethics committees. Associate Dean. Facilitator and Disputes Advisor. through supervisors Associate Dean on recommendation of supervisors and Administrative Supervisor Associate Dean on recommendation of supervisors and Administrative Supervisor Associate Dean on recommendation of supervisors and Administrative Supervisor Faculty Ofﬁce Associate Dean on recommendation of supervisors and Administrative Supervisor Supervisors Prepared by supervisors and candidate. Senior Academic Policy Advisor Resolving problems PhD Handbook 75 . extensions. suspensions. Faculty Ofﬁce. forwarded to Administrative Supervisor and Faculty Ofﬁce Head of School Faculty or School Research/Postgraduate Committees Supervisors. record of candidature in the ResearchMaster information management system etc Approving variations to conditions of study including suspensions. content and shape of thesis Six-monthly progress reports Approving the use of school facilities and funding Approving research grants (where available) Responsibility PG Coordinator. payment of fees. Administrative Supervisor.Appendix 1: Summary of Tasks and Responsibilities Task Discussing initial proposal Ethical approvals Admission Determining conditions of registration Conﬁrming registration Processing administrative requirements including registration. extensions research away from the University Guidance on all matters pertaining to supervisors the research.
Examination Responsibilities Task Receipt of completed thesis Sending thesis to examiners Making examination arrangements Approving examination arrangements Organising and chairing oral examination Assessing examiners’ reports and deciding examination result Notifying results Checking that corrections to thesis have been made Notifying PhD Convener of the RDC that revisions or minor amendments have been made Deposit of thesis in Library Responsibility Faculty Ofﬁce Faculty Ofﬁce Associate Dean in consultation with supervisors and Administrative Supervisor Research Degrees Committee Associate Dean or nominee Research Degrees Committee Associate Dean through Faculty Ofﬁce Internal Examiner Internal Examiner Candidate and Faculty Ofﬁce 76 PhD Handbook .
which outlines the agreed responsibilities including the completion of sixmonthly 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. 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.Appendix 2: Summary of Role Responsibilities Supervisor/s (see Chapter 7. if the internal examiner or the principal examiner is not available. The Administrative Supervisor has responsibility for the School/Faculty paperwork involved in the candidacy. In most cases. the HoS will act as the Administrative Supervisor. where difﬁculties which have arisen during supervision. Information includes outlining how the candidate and supervisor/s are working towards the resolution of those difﬁculties Ensures that external supervisors.0 Supervision Protocols) Administrative Supervisor In addition to two academic supervisors. each PhD candidate will have an Administrative Supervisor who will in most cases. are hindering the research progress. Most administrative responsibilities for PhD students are delegated to the School Research/Postgraduate Committee (SRC). be the Head of School (HoS) of registration. Head of School The role of Head of School (HoS) varies from one school to another. candidates and internal supervisors sign a Memorandum of Understanding. Responsibilities as follows: PhD Handbook 77 .
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 . 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. 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. 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. candidate and supervisor/s of the entitlements (facilities. the Research Memorandum. and monitors.Enrolment/Registration • Writes an agreement (Research Memorandum) between the School. proposed action to rectify problems speciﬁed in the six-monthly reports. the initial proposal. 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. equipment. 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.
Responsibilities as follows: Enrolment/Registration • Scrutinises the initial research proposal for academic appropriateness.• • • 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. • PhD Handbook 79 . 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. 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.
where good cause is shown. or extensions beyond seven years (only granted in exceptional circumstances).Associate Dean (Students/Research) In each faculty an Associate Dean. 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. 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 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. 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. Sends copies to the RDC for approval • • • • • • • • • • • • • • • • 80 PhD Handbook . or delegated authority. 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. on rare occasions. where the HoS is already the primary supervisor.
to see if the differing recommendations can be resolved Reports on the examination of the thesis to the PhD Convener. after appropriate consultation. the primary supervisor.Supervision • • Receives and monitors progress on the six-monthly reports Advises supervisors and candidates over matters relating to supervision. 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. 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. 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). the candidate will be advised of the reasons for the decision and the changes necessary to make the thesis suitable for examination. If the Associate Dean so decides. Supervisor must notify the candidate who will have the opportunity to make a submission to the Associate Dean Decides. 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. or appoints an appropriate person as chairperson Sends examiners’ reports to the candidate at least ﬁve days before the oral examination • • PhD Handbook 81 . 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. where differing recommendations are made. 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.
to the RDS. on behalf of the Associate Dean Ensures the candidate has deposited two copies of the ﬁnal copy of the thesis in the library. primary supervisor. after any telephone conversations with the overseas examiner as appropriate. 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.• Reports on the examination as a whole. 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. 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. fees. • • PhD Convener The PhD Convener chairs the Research Degrees Committee (RDC). with a recommendation. The PhD Convener approves the examination arrangements for PhDs in consultation with the relevant Associate Dean. copied or reproduced in accordance with the Library regulations. Sends the report of the oral examiner to the candidate. assesses examiners’ reports and makes a decision concerning the examination result on behalf of the RDC. borrowed. Responsibilities as follows: 82 PhD Handbook . Responsibilities are: Enrolment/Registration • • • Administers candidates registration.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.
Responsibilities as follows: Policy • Reviews policy related to Master’s Degrees by thesis (of 90 points and above). in exceptional circumstances. for a thesis larger then 100. any other doctoral qualiﬁcations. Where necessary. the operation of supervision procedures and research student completion rates • • PhD Handbook 83 . PhDs. consults with the RDC Asks the Associate Dean to arrange an oral examination where requested by the supervisor. including all the examiners’ reports and a recommendation on the outcome Approves. 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.000 words to be submitted for examination Examination • Receives a report from the Associate Dean of the examination of the thesis.Submission • Grants permission. 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. including Higher Doctorates. • • 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. the recommendation from the examiners. candidate or RDC Approves requests for oral examinations via the Associate Dean. on behalf of the RDC. any unusual procedures for the oral examination.
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
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.
Degree of Doctor of Philosophy Statute Research Policy Group
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.
This is a University-wide statute.
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.
Statute Content and Guidelines:
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
2 Conditions of Enrolment (a) Initially. terminate the enrolment. 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.(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. With full-time enrolment. During suspension of enrolment the candidate will pay no fees and will have no access to university services. including supervision and the library. During a student’s candidature. (b) 4. on application to the Research Degrees Committee. If progress is reported to be unsatisfactory. PhD Handbook 87 .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. and will not usually exceed twelve months. On application from a candidate. and not more than twelve months. where good cause is shown. This excludes any period(s) of suspension. subject to any submission or appeal a candidate may make. a candidate shall be provisionally registered as a candidate for the Doctor of Philosophy. the Associate Dean may. the total period of suspension shall not usually exceed twelve months. Extensions shall be granted only in exceptional circumstances. Every year of enrolment in May and November. 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. through the Associate Dean. the date of registration shall be deemed to be the date of ﬁrst enrolment for the degree. the submission times will be calculated on a pro rata basis. measured in monthly increments. 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. Termination.3 Re-enrolment. (b) Candidates must not only show themselves to be qualiﬁed but must also be accepted by the Head of School and relevant Associate Dean. Once full registration has been conﬁrmed. Where a candidate is accepted under clause 4. 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. All calculations will exclude any periods of suspension. the Associate Dean may grant a suspension of enrolment.1 (a) (ii).and half-time. In the case of candidates who have been permitted to change between full. the minimum period of registration will be 24 months and with halftime enrolment. (b) (c) (d) (e) 4. otherwise the candidate’s enrolment will be terminated. Extensions to the due date of the thesis may be granted. the minimum period of registration will be 36 months. for a period of not less than one month. 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. (c) 4.
experimental. Where the decision has been made to award the degree. theoretical or creative components. Where any work relevant to the thesis has been published. This contribution may include critical. make a report on the whole examination to the RDC.(i) The research will normally be conducted at Victoria University of Wellington. a candidate may submit their thesis and apply for examination. 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. part of the research programme may be carried out at locations outside the University. as long as the report constituting the thesis is written under supervision during the period of registration. In exceptional circumstances the Research Degrees Committee may grant permission for a longer thesis to be submitted for examination. The Associate Dean shall. (ii) The thesis must be a body of work that demonstrates the candidate’s ability to carry out independent research. The Associate Dean may on the application of the candidate or the supervisors at any time before the submission of the thesis. (iii) The thesis may include the candidate’s previously published work or material based on previous research. the candidate must provide a detailed statement of each author’s contribution to such work. or accepted for publication at the time of submission. One of these examiners will normally be from outside New Zealand. but with permission of the Associate Dean. Any application for Withholding of Theses should be made as early as possible in the research project and well before submission. appointed by the Research Degrees Committee (RDC).5 Examination (a) At any time after the minimum period of enrolment. (b) The thesis shall not exceed a total of 100. Where any of the published material included in clause 4. a statement shall be included showing how the published work relates to the thesis. 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. The principal supervisor or co-supervisor must not be an examiner.000 words in length (including scholarly apparatus). and constitutes a signiﬁcant and original contribution to knowledge or understanding. (b) (c) (d) (e) (f) (g) (h) (i) 88 PhD Handbook . The format of the thesis is determined by the Library Statute (see Clause 4. who will determine whether the degree be awarded. 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. but the end result must be a single integrated study. The thesis shall be examined by three examiners.5 (b) is co-authored. and contact details of co-authors (see the Recognition of Authorship Policy). it will be awarded upon the deposit of copies of the ﬁnal thesis in the University Library in accordance with the Library Statute.12 of the Library Statute). after consultation with the examiners. (c) 4.
notwithstanding any other provision in the Statute for that Master’s degree. Enrolling. None Appendices: 7. Contact Person: The following person may be approached on a routine basis in relation to this statute: Dr. Statute Sponsor: Deputy Vice-Chancellor (Research) 10. Approval Agency: University Council 8. 5190 PhD Handbook 89 . Theresa Sawicka Research Manager Extn. 5. Approval Dates: Pre 1990 17 December 2007 17 December 2007 17 December 2010 This statute was originally approved on: This version was approved on: This version takes effect from: This statute will be reviewed by: 9.(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. Supervising and Examining PhD Candidates Recognition of Authorship Policy Withholding of Theses Procedure 6. provided that the candidate has been enrolled for the degree of Doctor of Philosophy for that period. References: Library Statute PhD Policy: Approving. (ii) In any other case. 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.
90 PhD Handbook .
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