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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
19 Extensions and Suspensions of Registration 6.15 Duration of Registration 6.14 Date of Registration 6.9 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 6.13.8 Supporting the Student 220.127.116.11 Maintenance of Registration 6.1 6.12 Move from Provisional to Full Registration 18.104.22.168 Encouraging Publication 2 PhD Handbook .3 Approval 6.2.22 Conversion of a PhD to a Master’s Degree 7.13 Conﬁrmation of Full Registration 6.20 Concurrent Study 6.0 Formal Admission and Registration Requirements 6.3 Scheduling Meetings 7.6 6.2 Providing Academic Guidance 7.3 6.4 6.0 Supervision Protocols 7.1 Full Research Proposal 6.11 Assisting Examination Arrangements 7.21 Change of Title 6.10 Facilitating Administrative Compliance 7.2.1 7.2.11 Collaborating Institutions 6.13.5 Providing Feedback 7.10 Period of Overseas Research 6.7 Six-monthly Progress Reports 7.13.2 Presentation of the Proposal 6.18 Registration and Other Work 22.214.171.124 Notiﬁcation of Changes to Registration 6.4 Milestones 7.2.9 Encouraging Academic Contacts 7.5 6.2 The Role of Supervisors The Responsibilities of Supervisors 7.2.8 6.7 6.6.2 6.6 Identifying Problems 7.2.1 Assessing the Student 7.
2 Range of services 9.3 Registration as an ITS Client 9.0 Research Advice 10.8 Submitting the Thesis 7.1 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 .7.5 Specialised Collections 126.96.36.199 Information Technology Resources 9.Te Pataka Korero 9.2 Actively Pursuing the Research 7.1 Lending Services 9.2.3 8.1.4 188.8.131.52 Student Learning Support Service 10.2 Minimum Resources Agreement 184.108.40.206 Financial Assistance 220.127.116.11 Facilitating Administrative Compliance 7.4 Identifying Problems 7.2.2 Statistical Advice 10.3.1 Responsibilities of the Head of School 9.3.1 Planning the Research 7.6 Other Libraries 10.5 9.3.1 Introduction 9.3 Research Seminars 9.3 Participating in University Intellectual Life 7.6 Meeting Ethical Guidelines 18.104.22.168 Accessing the Network 9.3.2 Reference and Research Services 9.4 8.1 22.214.171.124 9.3 The Responsibilities of Candidates 7.7 Giving Notice of Submission 7.1 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 9.0 8.9 Publishing 7.3.13 Support for Supervisors 126.96.36.199 The University Library .1.2.2 8.1.5 ITS Student Help Desk Service 9.4 Inter-Library Loan and Document Delivery 9.
0 The Thesis 13.6 Ofﬁcial Information Act 1982 14.8 Computer Use 13.3 Format 13.4 Availability and Withholding of Access to Theses 13.2.4 Withholding Access to Theses 13.5 Research Grants 11.1 Layout 188.8.131.52 Guide to the Presentation of Theses 13.2.5 Paper 13.3 Binding 13.7 Tutoring and Demonstrating 184.108.40.206 Specimen Layout of Title Page 13.4 Resolving Administrative Difﬁculties 13.2.2 PhD Submission Scholarships 11.1 Appointment of Examiners 14.3 Copyright and Intellectual Property 13.1 Introduction 12.4.1 Public Availability of Theses 13.2 Deposit 13.2.4 Externally-funded Scholarships and Grants 11.7 Length 13.0 The PhD Examination 14.2 Citation style 220.127.116.11 Seeking Assistance from the Administrative Supervisor 12.4.6 Photographic and Colour Copy Illustrations 13.3 General Guidelines 12.2 Permanent Binding of the Thesis 13.3.6 Loans and Allowances 18.104.22.168 Lodging a Formal Grievance 12.0 Research Funding and Financial Support 11.3.1 Temporary Binding for Examination 13.3 Seeking Assistance Outside the Faculty 12.3 Doctoral Completion Awards 11.2 General Principles 12.1 University Scholarships 11.2.2 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 .3.1 Introduction 13.4 Pagination 13.2.0 Resolution of Problems 22.214.171.124 Seeking Assistance from the Associate Dean 12.
1.3 Submission 14.1 The Statute on Student Conduct 126.96.36.199.1.9 Minor Amendments and Revisions 14.1.1 Accommodation Service 16.2 Student Union Complex 188.8.131.52 Alumni Association 16.0 University Student Services 16.1.13 Court of Convocation 184.108.40.206 Childcare 16.11 Victoria Interntational 16.7 MAI Ki Poneke 16.1 Minor Amendments 14.2.8 Financial Support and Advice 16.5.1 Student Services Group 16.5 Examination of the Thesis 14.4 The VUW Postgraduate Students’ Association 15.2 Values and Ethos 15.5 Disability Support Services 220.127.116.11 Conduct of Oral Examination 14.10 Student Learning Support Service 16.1.2 Revisions 14.9 Student Health Service 16.10 Revision and Re-Submission of Thesis for Second Examination 15.1.2 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 .3 Counselling Service 16.14.2 Career Development and Employment 16.6 Kaiwawao Maori/ Maori Student Services Adviser 16.9.1 Introduction 15.3 Collegiality 15.1 Student Union Building 16.6 Arrangement of Oral Examination 14.8 Report on the Oral Examination 14.0 The University Community 15.3 Formal procedures 16.5 Rights and Obligations Regarding Conduct 15.4 Examination 14.5.3 Disputes about Revision 14.2 The Policy on Staff Conduct 15.1.1.
Comments and suggestions for improvements are welcome: researchofﬁce@vuw.nz/home/about/policy/research.ac.pdf 6 PhD Handbook .nz.International Students If you are an international student who is not currently enrolled.ac.ac.aspx The web version of the Handbook is likely to contain any recent updates or changes and can be downloaded directly at www.nz/home/ about/newspubs/universitypubs/phd_handbook.nz/ international/.ac. Web access to policy information and the guidelines referred to in the PhD Handbook can be viewed at: www. As well as linking directly to relevant sites. tel 64 4-463-5350. email firstname.lastname@example.org. Please contact Victoria International www.nz/postgradlife The PhD Handbook was updated by the Research and Postgraduate Studies ofﬁce in 2008.victoria.victoria. it offers practical advice and support.ac.victoria.nz. 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. and a forum for students to post details about their research online www. there are things you will need to know before you read the PhD Handbook.victoria.
and that it will be enjoyable. 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. and verbal presentation skills. PhD theses are evaluated by international standards. 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. so the award of this degree is a mark of truly global academic distinction. which is a distinctive feature of study for this degree. intellectually stimulating and ultimately. The Handbook offers you and your supervisor guidance on many aspects of the process of supervised research. The PhD Handbook is an important dimension of the support we provide for all our students enrolled at doctoral level. written communication in the language of your discipline. 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. The information provided in the Handbook is governed by the PhD Statute and policy of the University.Preface To the Candidate On behalf of Victoria University of Wellington. Parts of the Handbook draw attention to the amount of effort and time you will have to commit to completing your PhD. In addition to these intrinsic beneﬁts. Neil Quigley Deputy Vice-Chancellor (Research) PhD Handbook 7 . We know from the research that students are more likely to complete their degree if they develop academic and social connections with their peers. often by examiners from around the world. they are a consequence of your commitment to undertake intensive original work in your chosen ﬁeld of study. pastimes and forms of community service. rewarding. as well as spending serious and concentrated time on their studies. organising your work and time. study undertaken for your PhD will provide you with what could be termed ‘extrinsic’ opportunities to improve yourself professionally. I would like to welcome you to your PhD studies at this institution. analysis. These skills provide the basis for further academic work and they are also likely to be invaluable in a wide range of other occupations. Many of the rewards of study for the PhD degree are what we might call ‘intrinsic’. These are important issues.
x6217 Commerce and Administration. then dialling the extension required. Jon Everest. Professor Tony Angelo. Professor Luanna Meyer. Postgraduate Coordinator Commerce and Administration. x5619 Research Manager. Student Union Building. x5192 Law. Sandra Crews. Associate Dean (Students) Managers.nz 8 PhD Handbook . Associate Professor Allison Kirkman. Ground ﬂoor. x9598.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.Staff Holding Administrative Positions At the time of publishing. but users should refer to the website for any updates. Jenny Christie. Professor Neil Quigley PhD Convener. Lois Baillie. x5190 Postgraduate Research Coordinator. x6975 Science. x5087 Education. Room 207 VUWSA Education Coordinator.org. Alison Munro. Deputy Dean Law. these details are correct.nz x6984. Individual staff email addresses follow the form: ﬁrstname. x6324. www. sandra. Ofﬁce of Assistant Vice-Chancellor (Academic). Deputy Vice-Chancellor (Research). x8068. Jenny Calder-Smith. Robert Stout Building. x5676. Faculty Ofﬁces Architecture and Design. x9569 Humanities and Social Sciences. Room 205 Facilitator and Disputes Adviser. Associate Dean (Graduate Studies and Research) Education. PhD Adviser Science.lastname@vuw. Professor George Baird. x5144. Kristina McGuiness-King. x5980 Other advice and support Senior Academic Policy Adviser. Professor Laurie Bauer. Convener of the Research Degrees Committee. Professor of Research Humanities and Social Sciences. Shona de Sain.org.ac. Philippa Hay.crews@vuwsa. Dr Theresa Sawicka. Johann Barnard. Sandra France. x5023.vuwsa. x6112 Scholarships Manager. x7493 Associate Deans and Delegated Authorities Architecture and Design. x5191. Extension numbers beginning 8xxx may be reached by calling the automated attendant on 0-4-463 5233. x6231. 14 Wai-te-ata Road. Professor Sally Davenport.
Enrolling.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. 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 .
each PhD candidate will have an Administrative Supervisor who is usually the head of the school of registration. The appointment of supervisors is outlined in Chapter 5.aspx 1. inform PhD candidates of the resources and services available at the University to support their research.nz/home/about/policy/research. The most recent versions of these documents may have signiﬁcant differences from the Handbook and should be referred to at www. but the PhD Policy and Statute are updated more frequently. The Administrative Supervisor is responsible for the School/Faculty paperwork involved in the candidacy (e. and the ﬁrst source of advice beyond the supervisors for the candidate.g.victoria. 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. The Administrative Supervisor is normally the ﬁrst source of advice for the supervisors. 1. 1. The supervisors may be appointed as ‘primary supervisor’ and ‘secondary supervisor’. for ensuring that six-monthly progress reports are provided). The descriptions given here are introductory and more detailed information is provided later in the Handbook and in the appendices. Each candidate works under the guidance of two supervisors.2 The Administrative Supervisor In addition to two academic supervisors. Heads of Schools and Associate Deans with guidelines for the academic management of the PhD degree.2.1 The Supervisors Supervisors are the staff members appointed by the University to take academic responsibility for guiding a PhD candidate during the period of research and writing up. • The Handbook is published every two years. 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. PhD supervisors.0 Introduction 1.1 Aims of the PhD Handbook The aims of this handbook are to: • provide PhD candidates. The person who fulﬁls the role of the Administrative Supervisor varies from faculty to faculty.2 Staff involved in the Management of PhDs Many staff are involved in the management of each PhD candidacy. or both supervisors may ‘co-supervise’ a candidate. and the role of supervisors is discussed more fully in Chapter 7.ac.2. School Postgraduate Coordinators often fulﬁl this role and they also serve as the initial point of contact for potential PhD students.1. 10 PhD Handbook .
overseeing acceptance of a candidate within a school. Roles include vetting thesis proposals and developing guidelines in addition to the University criteria for the movement from provisional to full registration. The HoS (or school administrator) will be able to direct students to the appropriate PG Coordinators. this task is delegated to another member of staff.2.1. the HoS will normally be the Administrative Supervisor. referring prospective candidates to possible supervisors. the HoS is assisted by a School Research/Postgraduate Committee. liaising with the Associate Dean over progress. ensuring that records are kept and six monthly progress reports are monitored. Regardless of whether the HoS has this role. which vets thesis proposals and provides advice on issues of postgraduate student management. • • • • • • • • • • • • The PG Coordinator may also run research seminars and be a member of the SRC. 1. In each school.5 The School Research/Postgraduate Committee The School Research/Postgraduate Committee (SRC) is responsible for management of PhD candidature in the School.2. and managing all administrative procedures with school administration staff. responding to student queries and concerns. Schools appoint Postgraduate Coordinators (PG Coordinators) to manage postgraduate matters. overseeing the transfer of a candidate from provisional to full registration. ensuring that the candidate has two supervisors. In some cases. Speciﬁc responsibilities include: • discussing potential research projects with a candidate and making decisions about their suitability. 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. ensuring that the candidate has a copy PhD Handbook. PhD Handbook 11 . In the Faculties of Humanities and Social Sciences. providing candidates with university and additional school-speciﬁc criteria for progressing from provisional to full registration. 1.2. vetting initial research proposals in conjunction with the School Research Committee (SRC). providing advice and support for supervisors. Education and Science.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.3 The Head of School The Head of School (HoS) role varies from faculty to faculty and from one school to another.
supports research administration in the University (including scholarships). conﬁrming registrations and granting extensions and suspensions.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. 1. considers examiners’ reports and makes a decision concerning the examination result. the Associate Deans have responsibility for approving provisional registrations. 1. The Faculty Ofﬁce should be able to provide any information required about these administrative processes .2. 1. assesses examiners’ reports.8 The PhD Convener The Research Degrees Committee (RDC) is convened by the PhD Convener.ac.2. 12 PhD Handbook . extensions. Academic grievances concerning PhD candidacy are dealt with by the Assistant Vice-Chancellor (Academic) who will consult with the DVC (Research).2.1. suspensions.2. They also have an advisory role.2.nz/research-ofﬁce/ 1. The Associate Deans (see page 8 for contact details) will normally consult with supervisors and Administrative Supervisors on such matters. grants extensions and suspensions for candidates over ﬁve years and makes a decision concerning the examination result on behalf of the RDC. sending the thesis to examiners.7 The Faculty Ofﬁce The appropriate Faculty Ofﬁce is the central processing and service centre for all administrative details related to the PhD candidature.10 Research and Postgraduate Studies Ofﬁce The Research and Postgraduate Studies ofﬁce assists in the formulation of policy.see page 8 for contact details. liaises with schools and faculties and provides advice and assistance in support of staff and student research. They may also be consulted about problems relating to PhD candidacy if matters cannot satisfactorily be resolved at the School or Faculty level. 1. receipt of six-monthly progress reports.2. and ofﬁcial notiﬁcation of results. funding and grievances which have not been dealt with by the PG Coordinator. fees. receipt of the thesis. The RDC approves the examination arrangements for PhDs in consultation with the relevant Associate Dean.victoria.11 The Deputy Vice-Chancellor (Research) The Deputy Vice-Chancellor (Research)(DVC (Research) is responsible for the development of the University’s research policies. In all faculties. The areas of responsibility of the Faculty Ofﬁce include the administration of registration. the appointment of Honorary Research Associates as external supervisors and chairs the University Research Committee.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. and should normally be the ﬁrst person to be approached with any matters relating to supervision. who is appointed by the Deputy Vice-Chancellor (Research). The ofﬁce can provide information and advice on university research policy and procedural matters that may arise in the course of a PhD candidature. Further information is available at http:// intranet. The PhD Convener approves the examination arrangements for PhDs in consultation with the relevant Associate Dean. Administrative Supervisor or the Head of School.
htm 2.1 The Place of the PhD Degree in the University The PhD is the highest degree awarded by the University for research work carried out under the immediate supervision of its staff or. 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. 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. The enhancement of research is recognised in the University as a vital element in its national and international responsibilities. candidates may also be admitted on other criteria at the discretion of the Associate Dean on the recommendation of the School. prospective candidates need to be aware of likely problems. The University acknowledges a responsibility to ensure that candidates for the PhD degree work in an appropriate intellectual and academic environment. staff of other institutions. It is also expected that candidates will make a contribution to the ongoing intellectual life of the School in which they are registered. Heads of Schools hold copies of the Charter and the current Strategic Plan.victoria. thus enhancing the chances of success. Other qualities which have been found to be important to success include the following: self-discipline (particularly in relation to work habits). supervisors and the University which extends over some years. 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.nz/council/publications. and good writing ability. These are the standards which will be used in the examination of the thesis. Research is fundamental to the University. in approved circumstances. 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.2. ability to work independently. and if the proposal meets the University’s ethical standards. including the provision of an environment which fosters postgraduate students and postgraduate training. These documents are available on: www. Stable ﬁnancial and personal circumstances are also important factors in success. it is also necessary for a candidate to be sure that they have the time available to undertake the research. only if the University can meet the candidate’s research needs will the relationship be mutually beneﬁcial. persistence in the face of setbacks.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. willingness to work within the scholarly tradition. While it is possible to succeed in spite of difﬁculties in some of these areas. and are advised to develop strategies to minimise their impact. It is particularly important for candidates whose ﬁrst language is not English. Although it may seem obvious.ac. ability to evaluate one’s own work. willingness to respond effectively to advice and criticism. but who are proposing to write their thesis in English. if the Library has adequate resources to support the research. The PhD candidature involves a commitment from candidate. to demonstrate proﬁciency in writing English. A full description of the University’s mission and values is set out in the University Charter.0 Background to the PhD 2. However. These requirements are for the protection of both the candidate and the University. A copy is held in the main collection of the Library. This includes taking an appropriate part in school or faculty PhD Handbook 13 .
Apart from such papers as the School may consider necessary. candidates are discouraged from attempting any other academic study together with a PhD because of the demands of a PhD thesis.activities. of course. it takes at least 36 months to complete a satisfactory research project and write it up. the total period for completion will. both formal and informal. For half-time candidates. email and other forms of informal discussion. 14 PhD Handbook . At Victoria University of Wellington. Candidates can expect that schools will make such opportunities for participation available.2 (b)). The results from such papers do not form part of the ﬁnal assessment of the PhD. or simply to attend certain lectures. and exchanging ideas with staff and other students through seminars. Permission is required to enrol in any additional papers (see 6. the PhD is assessed entirely on the presented thesis. to obtain background necessary to aspects of their PhD research. The minimum period of enrolment for half-time candidates is 36 months (PhD Statute 4. be longer.20). The minimum period of enrolment is 24 months but in the majority of cases. Occasionally a school will ask a candidate to undertake certain papers.
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. registration will be conﬁrmed within 15 months (see 6. but candidates should also prepare themselves for moments when they feel overwhelmed. unmotivated and unable to clearly map out the next step.victoria. Student Learning Support Services offer seminars to support postgraduate research students (see 16. the prospective candidate will be invited to submit an initial research proposal. the candidate will be registered provisionally for a period of 12 months. a curriculum vitae. and that the School is able to provide adequate supervision and resources. Victoria University of Wellington (VUW) schools have web pages detailing degrees offered. and whether the School is able to provide adequate supervision and resources.1. During the period of enrolment.12 and 6. PhD Handbook 15 . They are encouraged to try to develop an organised work system.13). as well as supervisors. This will enable the School to make an initial assessment of whether a candidate has a suitable academic background. Such written reports allow a better assessment of progress and can also serve as the basis for the ﬁnal thesis. scholarships. Provided that satisfactory progress is made and that university requirements are met. six-monthly progress reports are required. staff and their research areas and contact details. 3. industry sponsorship etc. 3.3. See Chapter 8 for information regarding ethical approval. and details of any funding which has been obtained or which is being sought. Prospective candidates should begin by making informal contact with the School concerned.10). and seek advice from. There are likely to be periods of great progress. candidates will need to supply: • • • • academic background information. The VUW website www. the opportunity to take stock of progress. particularly showing evidence of prior research experience.ac. Students doing experimental work are also encouraged to keep log books documenting their work. as much detail as possible about the proposed area of research. Supervisors will then be nominated and any ethical approvals required will be sought. This may be backdated to include the time spent developing the proposal. their supervisors. At this stage. for example. to maintain close contact with.3 Provisional Registration When the proposal is accepted. These give candidates.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.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.nz is an excellent starting point for those interested in gathering information on what the University and each school has to offer. 3.0 An Outline of the Process 3.2 Developing a Proposal Once agreement has been reached that the project is likely to prove viable.
Candidates should consult section 4. If the thesis fails to meet the standard required of a PhD thesis. the candidate and supervisors should be focusing on writing-up. 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). although it is usual for supervisors and candidate to reach mutual agreement on this. If the degree is to be awarded. In due course. including word limits. If the thesis requires substantial re-writing. 16 PhD Handbook . The agreement of the supervisors is not required. a timeframe will be set and the candidate will be given guidance on the required re-writing. they may recommend to the Associate Dean that the thesis is not acceptable for examination. and the thesis hard bound.6 Examination The thesis should then be printed.3. 3. The examination procedures are fully speciﬁed in Chapter 14. in which case the candidacy will be terminated. If the supervisors are of the opinion that the thesis is incomplete. the thesis will be re-submitted and the examination process will begin again. the candidate will decide that the research phase has proceeded to the point where writing-up should begin. in which case the candidate should continue working on the thesis until it is acceptable. While further research may be prompted by this process. then any necessary corrections will be made. the candidate may be offered a Master’s degree. soft bound and submitted for examination.14 of the PhD Policy for the regulations on submission. 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 writing-up process concludes when the candidate decides that the thesis is ready for examination.5 Writing-Up and Submission In due course. The procedure following the examination will depend on the result of the examination. The agreement of the supervisors does not imply a successful result from the examination process. When the candidate indicates the thesis is complete. Where the Statute has changed. Two copies (one hard bound and one electronic) will then be deposited in the Library. It is possible the thesis may be rejected completely. This review period should not usually exceed four weeks. supervisors should review the thesis before application for examination is made.
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. 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. 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.
1 Initial Proposal The initiative in seeking PhD enrolment usually lies with the candidate. The initial research proposal (minimum one page) should detail the project. If a candidate has not yet received the PhD Handbook the PG Coordinator will provide them with a copy. the Research Memorandum. If it is clear that ethical approval is required from the Human or Animal Ethics Committee. Those who enter into a topic thinking they already know the answers to their central questions or who are emotionally committed to an outcome. but also the general public. The School concerned must be satisﬁed that it is able to provide appropriate supervision and resources for the proposed topic. the issues should be addressed at the outset of the project.victoria. Candidates need to discuss the possibility with their supervisors. the initial proposal. It is the HoS’s responsibility to approve the School taking on a PhD candidate. The next step is to discuss the potential project with the Postgraduate Coordinator (PG Coordinator) of the relevant discipline. who will refer them to possible supervisors. the method of study and any ethical considerations. This document becomes part of the record of registration (see the PhD Policy section 4.aspx Where students require additional resources for the project.4. If a research proposal is likely to result in a request for the withholding of access to the thesis. ac.aspx 4.4. An Outline of the Application Procedure for PhD Candidates can be found at http://intranet. 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.0 Research Proposals 4. Special care should be taken where a project requires access to conﬁdential information from outside the University.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 applicant. If the HoS approves the recommendation from the SRC. A request to withhold access to a thesis is a formal process and approval is not lightly given.3 (b)). See also Chapter 8 of this handbook. Prospective candidates are advised to think carefully about the kind of research project to which they would like to commit themselves. Further advice can be found in 13. 18 PhD Handbook .victoria. and the SRC recommendation to the Faculty Ofﬁce for ﬁnal approval by the Associate Dean. The topic must be suitable to meet the academic requirements of a PhD. Candidates should always enter into their topic in a spirit of genuine enquiry. this must be negotiated with the Head of School (HoS) when the student ﬁrst enrols and recorded in a Research Memorandum. The School Research/ Postgraduate Committee (SRC) will then scrutinise the initial research proposal and Research Memorandum. and make a recommendation to the HoS. the candidate should be directed to the University’s ethical guidelines. may very well ﬁnd that their topic is not a good choice.nz/research-ofﬁce/forms-and-templates. all the supervisors and the HoS complete the application form and then return the form.nz/research%2Dofﬁce/postgraduate/minimum-resources.ac. The minimum resources available to thesis students in all schools of the University are outlined in the Minimum Resources Agreement negotiated between the PGSA and Victoria University in 2006: see https://intranet.
victoria.ac.aspx PhD Handbook 19 . provision of data. support for research and support for the student. This involvement may include cosupervision. As scholarships may be paid.4 External Party Involvement in the Support of Research Students External parties may include researchers from other universities. Crown Research Institutes).4. 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. research institutions (e. 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. from the day of the candidate’s arrival in New Zealand. 4.g. in some instances. The holding of a scholarship is always conditional upon the scholarship recipient gaining enrolment as a PhD student at Victoria University.nz/research-ofﬁce/forms-and-templates. The guidelines for managing external party involvement are available at http://intranet.3 Research Proposals from Scholarship Holders Overseas candidates who are scholarship holders must formulate a proposal before enrolment is approved. government bodies or the private sector.
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. the supervisor and Head of School need to ensure that alternative supervision arrangements are in place.1 The Appointment of Supervisors Each candidate will be assigned three supervisors. Changes in supervision. 5. it is the Head of School’s responsibility to ensure they attend a professional development programme for supervisors. One reason for this could be that they are the primary supervisor. If the primary supervisor is absent from the University for any period longer than a month. are expected to attend the training session dealing with Victoria University’s statutes and policies. but who are already experienced supervisors. This includes Professors. which compromise the ability of the former supervisor to take any role in the assessment of the student. responsibility lies with the HoS with which the student is most closely associated.3 Changes to the Supervisory Team If changes are required to the supervisory team. Only those staff who have a doctorate and/or appropriate experience and training can be appointed as primary supervisors. in individually-argued cases. In such cases the responsibility should be delegated to another staff member. Lecturers or.5. 20 PhD Handbook . Staff who are new to the University. 5. Senior Lecturers. Readers and Associate Professors. However. 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. organised by the Research and Postgraduate Studies ofﬁce. The primary supervisor will normally be a full-time teacher at the University in the sense of the Victoria University of Wellington Act 1961. people holding appointments such as research fellowships. A PhD may be interdisciplinary and in such cases it is desirable for supervisors to be appointed from each discipline. candidates will be registered with only one school. There will be some cases in which it will be inappropriate for the HoS to assume this role. must be notiﬁed to the Research Degrees Committee by the Associate Dean. The changes take effect on the Administrative Supervisor’s receipt of the Associate Dean’s approval. 5.0 Supervisors 5. The role and responsibilities of supervisors are discussed in Chapter 7. Two supervisors will be responsible for academic guidance and the third will be responsible for administration (Administrative Supervisor). In the case of an inter-disciplinary thesis involving more than one school/programme.2 The Administrative Supervisor The Administrative Supervisor is generally the Head of School (HoS) in which the student is enrolled. 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. the Administrative Supervisor seeks approval from the Associate Dean by providing a rationale for the change and the appointment of new supervisors. Supervisors are appointed by the Associate Deans or delegated authorities on behalf of the Academic Board. following nomination by schools.
they will be invited to participate in a professional development programme or receive an information pack.5. for example a Crown Research Institute. the candidate and the external party must be reached before the project commences. the Administrative Supervisor must make an appropriate recommendation. If it is proposed that a scholar outside the University be appointed as a supervisor. If the HRA belongs to an external organisation.victoria. 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. 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. It will also establish the terms and conditions under which it is intended that the project proceed.aspx#hra The recommendation must be accompanied by a curriculum vitae. PhD Handbook 21 . The Administrative Supervisor should convene a meeting with the supervisors and candidate to discuss and clarify these issues. through the Associate Dean. including provisions for revisiting the agreed terms which should be monitored in the six-monthly reports. ac. These can be found on the policy database on the University website.5 External Supervisors Other supervisors may include part-time teachers or other scholars and researchers from within New Zealand or overseas.nz/research-ofﬁce/postgraduate/forms-and-templates. The agreement will address issues relevant to the relationship including the expectations and obligations of the parties concerned. External supervisors will also be given the contact details of the Postgraduate Coordinator in the candidate’s school and a PhD Handbook. It is also important that the Administrative Supervisor ensures that the primary supervisor accepts responsibility for seeing the PhD project to completion. Responsibility lies with the Primary Supervisor to ensure that the candidate and all supervisors are fully aware of the agreed responsibilities. Any agreement must also comply with the Intellectual Property Policy and the Management of External Research Consultancy and Related Contracts Policy. Guidelines for supervisory arrangements with external parties outside the University can be obtained from the Research Ofﬁce website. an agreement between Victoria University. including the completion of six-monthly reports.
www. Only when admission ad eundem statum has been granted can an application for registration be prepared and submitted. who will seek advice from the Head of School. that they have demonstrated a level of ability and relevant experience equivalent to that necessary to obtain a ﬁrst or second class Honours or Master’s degree. The Associate Dean may also admit other persons who can show evidence of adequate training and ability (see the PhD Statute. Applications must be made through Victoria International. 6. with modiﬁcations. tel 0-4-463 5350. Admissions for a PhD can take place at any time of the year. 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.6. provided candidates can demonstrate adequate competence to undertake the proposed research. as ﬁnancial and accommodation guarantees must also be given before a visa is issued. Prospective candidates should therefore seek this admission at an early stage. but will still have to satisfy the requirements for full registration.nz. 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.nz/international/. Please also refer to page 6 and section 16.nz.1.1(a) (iii)). Victoria International staff are able to provide assistance to administrative staff or potential candidates with evaluating qualiﬁcations email email@example.com International Students International students must be granted admission ad eundem statum before they can apply for a student entry visa. 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. This degree need not have been in the subject area of the PhD research. could form the basis of a PhD thesis. The student and the three supervisors will agree in writing on the additional work required for the new degree. The SRC will also ensure that a second supervisor is available to be appointed.ac. 22 PhD Handbook .11. the student and the supervisor must discuss the change of status with the School Research/Postgraduate Committee (SRC).0 Formal Admission and Registration Requirements 6. tel 0-4-463 5350. 4.ac.victoria. 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. email firstname.lastname@example.org 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. This document will substitute for the initial research proposal in the application for a PhD.ac.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. 6. Entry under this section of the PhD Statute requires candidates to satisfy the Associate Dean. the supervisor should discuss a conversion to a PhD with the student. who must be satisﬁed that the existing supervisor is appropriately qualiﬁed and experienced to supervise the student at the PhD level. If it is agreed to convert to a PhD.
Where registered students are working away from the University a School memorandum for PhD Study at a Distance is required (go to: http://intranet. This excludes statutory holiday periods. Students are deemed to be full-time when they are able to devote a minimum of 30 hours per week to the thesis. re-enrolment may be carried out on a six-monthly basis.4 Applications to Register Applicants for a PhD should obtain an application form from the appropriate Faculty Ofﬁce. Students’ Association Fee.7 Annual Re-enrolment Candidates must re-enrol annually within one month of the expiry of the previous period of enrolment.2(b).nz/research-ofﬁce/postgraduate/ forms-and-templates. Candidates in other programmes may need to spend a great deal of time in the Library or ﬁeld.6.ac. over the year. International students may have to fulﬁl additional requirements.aspx). and if approval is given. they may also study at home. 6. and either through choice or because of space limitations in the school. It will then be forwarded to the Associate Dean. 6. on average. Student Services Levy and Student Assistance Scheme and Amenities Levy). 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. 6.13.6 Enrolment and Payment of Fees Candidates will be advised by the Faculty Ofﬁce in writing to enrol and pay the necessary fees (tuition fees.5 Approval of Provisional Registration The Associate Dean will consider the application. and access to school-based services and resources. The form must be signed by the Head of School and supervisors and returned to the Faculty Ofﬁce. access to Library and Information Technology Services. This form should be completed by the candidate once the School is satisﬁed with the viability of the project. 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. Enrolment entitles a candidate to: access to supervision. Students who cannot work on the thesis for the amount of time speciﬁed above are enrolled as half-time students.victoria. 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. Permission will not normally be given for students to work away from the University until full registration has been achieved. After two years. 6.2. the candidate will be granted provisional registration. Refer also to 6. The normal practice is that candidates will reside within reasonable PhD Handbook 23 . 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.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. The Associate Dean will consult with the Head of School if any difﬁculties arise. 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.
10 Period of Overseas Research Candidates who wish to pursue a period of research overseas must ﬁrst acquire permission from the Associate Dean. 6. if it is proposed that a scholar outside the University be appointed as a supervisor. some hospitals. • • • • • 6. and contributions from the candidate to seminars etc while the candidate is working within the University are expected. regular contact and reporting by the candidate is expected. the Administrative Supervisor must make an appropriate recommendation. Crown Research Institutes. In all such cases. to the Deputy Vice-Chancellor (Research) (DVC Research) for the appointment of this • 24 PhD Handbook . through the Associate Dean. PhD research can be successfully undertaken by candidates working in other institutions. 6. a required period of writing-up within the University before submission of the thesis. a required period of preparation within the University before the candidate departs for periods of data collection etc. 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.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. fax and/or email) and schedule meetings at regular intervals in Wellington. Candidates and supervisors will be expected to provide the Associate Deans with a rationale for prolonged absence from the Wellington region.11 Collaborating Institutions In some circumstances.proximity to the University. Candidates who are working away from an institution and regular supervision need to be highly motivated and thoroughly prepared. 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. 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. and some industrial organisations have research facilities which complement those of the University. 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. 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. This rationale must take account of academic considerations. Scholarship holders should also seek approval from the Scholarships Committee.
. . to academic staff and to collaborating staff of the non-university institution. 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. and undertake.data collection and examination of base materials can only be carried out off campus. 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. the candidate and the collaborating institution are recognised and apportioned between them.person as an Honorary Research Associate. .the rights of the University to examine the work of the candidate are protected. able and qualiﬁed to assist the candidate.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 collaborating institution agrees that the candidate will have access to all suitable resources for completion of the higher degree. they will be invited to participate in a Research and Postgraduate Studies ofﬁce professional development programme or receive an equivalent package.the collaborating institution will provide ready access for supervising university staff to the candidate and to the research facilities used by the candidate.12. The appointment will be made for four years. • • PhD Handbook 25 . . placement of candidates into institutions which are doing commercial work should be covered by a contract in which: . • 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. .the candidate’s and the University’s share of income from discoveries is clearly set out.the intellectual property rights which may belong to the University.the staff who will provide day-to-day support to the candidate are willing. • research institutions which wish.3 (c)). . Any contract with the collaborating institution requires the approval of the DVC (Research) or nominee.the collaborating institution is able to provide a stimulating research environment.the resources of a collaborating institution or establishment have been inspected and found to be appropriate for the needs of the candidate. 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.the candidate is encouraged to present seminars both in the collaborating institution and in the University.
It is in the best interests of candidates. if so. If the School requires the candidate to undertake certain papers as background for the PhD.000 and 10.13 Conﬁrmation of Full Registration The move from provisional to full registration requires candidates to meet University criteria (see 6. Indicators of satisfactory progress may include: • • • • • • • knowledge of the literature in the ﬁeld of study. appropriate theoretical frameworks. ability to design and interpret research tasks. ability to summarise. The School Research/Postgraduate Committee may terminate candidature if the student fails to meet the requirements within 15 months of ﬁrst registration. ability to summarise. This is the appropriate way to show that the candidate has understood and can interpret the literature. To achieve full registration the candidate must write a formal research proposal and may also be required to present the proposal orally. the papers must generally be satisfactorily completed before the registration is conﬁrmed.12 Move from Provisional to Full Registration The conﬁrmation of full registration is a milestone in PhD candidature. supervisors and schools that every effort is made to assist the candidate’s progress during the provisional registration period. To progress from provisional to full registration. a statement as to whether ethical approval is required and. interpret. evaluate and critique data. a literature review. ability to communicate research ﬁndings in formats appropriate to the discipline.6. a demonstration that the methodology is appropriate. School or programme criteria can be obtained from the Postgraduate Coordinator or supervisor. 6. 6. evaluate and critique that literature.13. Additional criteria may be required by the School or programme where the candidate is enrolled. 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. Supervisors are required to give serious consideration to these matters. the candidate is required to have the approval of the School Research/Postgraduate Committee. It is equally important that candidates should demonstrate an ability to process with doctoral level work before their full registration is conﬁrmed. Victoria University expects this to occur between six and 12 months after the initial registration date for full-time candidates. To the extent appropriate in the discipline the proposal will contain the following elements: • • • an outline of the basic thesis/research question.000 words. Regulations allow a total of 15 months provisional registration for full-time candidates (and 24 months for half-time candidates).13. any other abilities important in the ﬁeld of study. interpret. whether or not that has been • • 26 PhD Handbook . satisfactory completion of any required course work. the proposal will be between 3.1).
any problems anticipated in carrying out the research and the intended methodology. recommend the candidate transfer to a Master’s degree. or terminate the candidate’s registration. The SRC will assess the proposal and report to the Associate Dean (with copies to the Head of School. If approval has not been obtained the timetable for approval is to be noted.obtained from all required institutions. the candidate must indicate the reasoning for this. The proposal will establish preliminary goals for the next six months and will contain a tentative timetable for the completion of the thesis. the conceptual framework.2 Presentation of the proposal Candidates may also be required to present their proposal. 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 SRC will scrutinise the proposal according to the following criteria: • • that the student has sufﬁcient knowledge or understanding of the topic. 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. If this is part of a school or programme procedure. that the proposal outlines an appropriate theoretical framework which will lead to an original and defensible theory. 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). the SRC should recommend full registration of the candidate to the Associate Dean. and • a statement that there are no foreseeable cultural. The report may: • • • • recommend approval of the candidate’s transfer to full registration. require that full registration be delayed by up to six months. along with a cover letter indicating where changes were made. If some of the suggested changes were not taken up. The candidate may also be given the opportunity to respond to questions and feedback from the SRC and others in attendance. Where there are no changes to be made. and the SRC has been delegated the authority to accept the proposal.13. including any suggested revisions to the SRC. Where the decision is to terminate registration. social or legal impediments to the successful completion and/or publication of the research. PhD Handbook 27 . 6.13. supervisors and the candidate). • • 6.3 Approval The candidate will send a copy of the proposal. that the proposed research is original or adds value to existing knowledge. Where registration is to be delayed. 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).
Throughout the candidature. 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. During this time. 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.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. the Associate Dean will specify a period during which candidates must be working under direct supervision. 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.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. One of the principal reasons for this requirement is that protracted research may be overtaken by other researchers working in the same ﬁeld. See 6. but individual applications to the Associate Dean by supervisors are required for any extensive “time out” on the project. The thesis is to be presented within four years of registration. A candidate’s progress during full registration continues to be monitored by six-monthly progress reports. At the time of registration. The Associate Dean will not usually expect to backdate a registration by more than about two months from the time of registration. If the research proceeds smoothly. If there are major difﬁculties in the early part of the project.15 Duration of Registration The PhD Statute requires a minimum registration period of 24 months under clause 4. This date is shown on the registration form. the date of provisional registration will become the date of registration. 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. 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. even after completion of the minimum two year period of full-time research.2(b) for fulltime enrolment and 36 months for half-time enrolment. 6.Full registration is conﬁrmed by the Associate Dean. the Associate Dean may terminate the provisional registration and request the candidate to consider the possibility of identifying a new research project. although he or she may be away from the University working in libraries and similar institutions. Half-time candidates are required to supply details of their other obligations on the enrolment form.19 for the implications of extensions and suspensions of registration. 6. If candidates have spent productive time in developing their research proposal. on receipt of the recommendation from the SRC. Longer periods in external laboratories or on ﬁeldwork may also be approved. 28 PhD Handbook . candidates must maintain direct contact with their supervisors and sustain satisfactory progress or the registration will be terminated.
6. An application for an extension or suspension is made in writing to the appropriate Faculty Ofﬁce. Such applications must have the written support of supervisors and Head of School and set out the reasons why permission is sought. Where.18 Registration and Other Work It may be valuable for full-time students to undertake tutoring or other part-time jobs around the University.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. along with the candidate’s most recent sixmonthly progress report. for unexpected reasons.6. If the registration lapses. after consultation with the candidate. During the period of suspension the candidate pays no fees.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. 6. extensions will be granted “only in exceptional circumstances. 6. where good cause is shown. Applications must have the support of supervisors and Head of School and should be sent directly to the Faculty Ofﬁce. Applications for variations in the conditions of registration are made through supervisors. The minimum period for a suspension is one month. 6. and will not usually exceed twelve months” (PhD Statute. The supervisors. 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. clause 4. Note that this applies also to any change from full-time study. 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.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. but it is recommended that students do not overload themselves with paid work outside the scholarly work in preparation for the thesis. but is not entitled to receive supervision or to make use of the University’s facilities.20 Concurrent Study If candidates have a genuine reason for undertaking a paper other than any required by the School. it can be resumed only with the permission of the Associate Dean. should recommend the change to the Associate Dean for approval. which will forward it to the Associate Dean. PhD Handbook 29 . Periods of suspension are not included in calculations of total registration time. their registration must be maintained. All retrospective suspensions are approved by the Convener of the RDC. This permission is not readily given. While the regulations state that the Research Degrees Committee (RDC) through the Associate Dean may grant an extension beyond the due date. they must apply to the Associate Dean for permission before enrolling in it. or vice versa.
30 PhD Handbook .22 Conversion of a PhD to a Master’s Degree It is possible for a thesis being prepared for a PhD to be converted to and submitted for a Master’s degree. This may occur at the end of 12 months of provisional PhD registration if no request for an extension of provisional enrolment is received or there is no endorsement of the candidate’s ability to progress to full registration. as is the agreement of the student.6. The written support of the Administrative Supervisor and supervisors is needed. form the basis of a Master’s thesis. Written application for conversion to a Master’s degree must be made to the Associate Dean. with modiﬁcations. 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.
Supervisors need to have a sympathetic ear and sufﬁcient time and energy to devote to the task of supervision. the undertaking of a literature review. The responsibilities of supervisors are outlined below.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.1 Assessing the Student Before provisional registration. and the need to get approval from the relevant Ethics Committee if the research involves human or animal subjects or tissue. They cannot guarantee the success of the project. 7.2 Providing Academic Guidance Supervisors should provide guidance on: • • • • • • the nature of research. but they should have a close interest in the project and a commitment to facilitating its completion.7.1 The Role of Supervisors Supervisors undertake to guide the candidate through the academic and administrative requirements of the PhD. a supervisor should not have too many candidates at one time. For this reason. presentation and production of theses. and • • PhD Handbook 31 . 7. 7. It is important to avoid the situation where candidates only see their supervisors when real difﬁculties arise. which is up to the candidate. The amount and frequency of academic contact between supervisors and candidates will vary. depending on the nature of the discipline and the stage of the project.0 Supervision Protocols 7. ensure that appropriate and timely advice is given on requirements regarding style. 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. the development and reﬁnement of the proposal. One meeting per month is considered a minimum. the access to resources (technical and ﬁnancial). Effective two-way communication is vital.2. Supervisors should also: • identify with candidates the particular research skills that they will need to acquire to complete the programme of research. but regular discussions should be held and adequate records of meetings should be kept. Good communication and mutual trust and respect are essential for a productive working relationship with a satisfactory outcome. ensure the candidate is aware of the academic criteria to be met for award of the degree.2. the planning of the programme. 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.
Supervisors should help the student to plan for the writing up of the thesis and to schedule sufﬁcient time for that purpose. The HoS must agree to. 7. A copy must be provided to the student. interim reports or research results. Written comments should be made on work submitted by the student. 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. in close conjunction with the student.2.2. which has been agreed to and signed by the student and supervisors.aspx While the Faculty Ofﬁce initiates the six-monthly reporting process. 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. and monitor. One meeting per month is regarded as the minimum entitlement. Where there are major or continuing problems with a student’s performance.2. Except in exceptional circumstances.2. must be reviewed by the Head of School (HoS) before being submitted to the Associate Dean. feedback should be provided within two weeks in the case of relatively short pieces of work.4 Milestones Supervisors should reach agreement with the candidate on the indicators of progress and the dates for the submission of appropriate written work.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. They should identify the problems and suggest ways of addressing them. 7. The ﬁnal version of the six-monthly report. arrange regular supervisory meetings. ensuring that an appropriate timetable is set to allow the degree to be completed within the allotted timeframe. in consultation with the student. 7. ac.5 Providing Feedback Supervisors should provide regular feedback on progress to the student. and a maximum of four weeks for substantial thesis drafts.victoria. 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. but more frequent meetings will usually be desirable.• have a sense of the expectations of examiners throughout the research process and use that as a guide in supervising the student’s work. Identiﬁed problems and proposed methods of addressing them should be discussed with the student before the report is ﬁnalised. 7. Supervisors should encourage the candidate to make productive use of the available time. the proposed 32 PhD Handbook . the report writing is the responsibility of the supervisors. 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.6 Identifying Problems Supervisors should ensure that the student is made aware of inadequate progress or of standards of work below that generally expected.3 Scheduling Meetings Supervisors should. The report template is available at https://intranet. As a guide.nz/research-ofﬁce/postgraduate/forms-and-templates.2. 7. The report will then be ﬁled in the student’s ﬁle held by the relevant Faculty Ofﬁce.
the administrative requirements of supervision and advise the candidate as necessary (for example. Supervisors should ensure that the Administrative Supervisor (as deﬁned in 5. to discontinue the student’s enrolment. encourage both attendance and presentation at seminars and conferences. help the candidate make contact with other scholars in related ﬁelds. This includes advising candidates about: • • applicable governmental. applications for suspension or absences overseas. Monitoring the completion of six-monthly reports occurs twice yearly and is the responsibility of the Associate Dean. University-wide monitoring of compliance is the responsibility of the Research Degrees Committee and forms part of their Reports to the Academic Board.2. 7.2) is informed if any problems develop during the enrolment.2. Supervisors and Administrative Supervisors have a joint responsibility to advise the Associate Dean and Faculty Ofﬁce as necessary. supervisors should refer a student to student support services (see Chapter 16). encouragement and support to further the candidate’s career in their chosen ﬁeld. changes to full-time status. upon the recommendation of the Administrative Supervisor.8 Supporting the Student Without compromising a student’s privacy. Where necessary. etc). 7. 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). and comply with. ensuring that candidates are aware of any requirements regarding the retention of data within schools. ensuring. encourage the candidate to publish. that the work submitted by candidates is their own and that the data is valid. 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. In the event that the student fails to take the required action so that problems persist. provide assistance and information where appropriate on scholarships and ﬁnancial support. and • • PhD Handbook 33 . ensure that the candidate has the opportunity to participate in the life of the School. ensuring that candidates are aware of intellectual property rights. as far as possible. The HoS must offer the student the opportunity to respond and then will monitor the proposed actions.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.10 Facilitating Administrative Compliance Supervisors should be knowledgeable about. institutional or professional guidelines for the conduct of research. the HoS must notify the Associate Dean who may then take action. 7. and provide advice. regarding six-monthly progress reports.actions.2.
7. and publications are the currency of success in research. 7.11 Assisting Examination Arrangements Supervisors assist the Associate Dean to arrange the examination in accordance with the PhD Policy: Approving. In consultation with the Administrative Supervisor. Supervisors should forward their recommendations at least one month before the expected submission of the thesis. They should be mindful of the fact that emerging researchers are often unaware of most aspects of the publication process. They should endeavour to publish their research. Students should incorporate plans to write. All parties should agree in writing about issues concerning intellectual property and authorship.2. the research process and administrative matters. 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. or in other cases where issues of recognition arise. supervisors should ensure that students are informed about: • • the conventions that apply in their discipline.e. supervisors recommend suitable examiners and supply the Associate Dean with relevant documentation i. Supervisors are encouraged to discuss the publication process with students. The RDC appoints the PhD examiners.12 Encouraging Publication The PhD is a research degree. Enrolling. and Victoria University’s Policy on Recognition of Authorship http://policy.nz 7. 34 PhD Handbook . a rationale for the choice of the particular examiners for the thesis and a brief curriculum vitae for the two external examiners. The Associate Dean will scrutinise the recommendations and forward them to the Research Degrees Committee (RDC). in outlets valued by their discipline. and should therefore take steps to avoid misunderstandings that may arise as a result of inexperience. Topics include supervisory roles and responsibilities. In most disciplines publications are increasingly necessary for entry into an academic profession. Where joint authorship is contemplated. possibly in collaboration with their supervisor(s). 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.2. When students and supervisors pool their talents to publish research both beneﬁt from increased research productivity. Supervisors should be available to discuss feedback from the written and/or oral examinations with their student.victoria. Publication should be seen as part of PhD study rather than a barrier to timely completion of the thesis. submit and revise publishable manuscripts within the timetable for their PhD studies. Supervising and Examining Candidates and the guidelines of this handbook.2.13 Support for Supervisors The Research and Postgraduate Studies ofﬁce offers regular seminars/workshops for new and more experienced supervisors.• ensuring that safe working practices are developed and maintained and that candidates are aware of the University’s Occupational Health and Safety Policies.ac. including the differences between writing a thesis and preparing a manuscript for publication. then this must be discussed early on in the process towards publication.
3. faculty and school statutes and policies and any other written guidelines and regulations for the degree. Candidates should reach agreement with supervisors about indicators of progress being made and about submission of appropriate written work. as agreed with supervisors. they should contact the Administrative Supervisor or the PG Coordinator. 7. PhD Handbook 35 . and suspension of enrolment). interim reports or research results. 7. They should attend regular meetings. within the expected time period. 7.3. 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.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.2 Actively Pursuing the Research Candidates should devote sufﬁcient time to the course of study. • • 7.3. Where appropriate candidates may also be involved in academic activities in their chosen research ﬁeld. the Associate Dean (Students/Research) in the Faculty Ofﬁce or VUWSA’s Education Coordinator are available to discuss areas of concern.4 Identifying Problems Candidates should take the initiative in raising with supervisors any problems or difﬁculties with the project or its supervision.5 Facilitating Administrative Compliance Candidates should become familiar with.3. with the guidance of their supervisors. The responsibilities of candidates are outlined below. or tissue. 7. and abide by. attending relevant seminars in other schools or institutions. adopting at all times safe working practices relevant to the ﬁeld of research. university.3 Participating in University Intellectual Life Candidates are encouraged to participate in the School community by attending seminars. for example. Alternatively. If the student is unable to discuss the matter with their supervisor/s.3. 7. presenting their work and interacting with the staff and other postgraduate students.7.6 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. and strive to achieve agreed milestones. be committed to the research and avoid activities which will interfere with its satisfactory completion within the time limit.3 The Responsibilities of Candidates Completing a doctoral programme requires progressive development of skills. Candidates.3. must take responsibility for developing their intellectual independence. 7.3. competence and conﬁdence. and complying with any institutional occupational health and safety policies. and participating in academic conferences (ﬁnances and resources permitting).1 Planning the Research Candidates should plan and execute the research project under the guidance of the supervisors.
the Research Degrees Committee will also use this information to monitor supervision across the University.7. Issues emerging from the Exit Questionnaires are passed to the Research and Postgraduate Studies ofﬁce to be incorporated into workshops for postgraduate supervisors. In order to improve supervisory practices across the University. and for promptly making any required amendments after examination. course codes etc). 36 PhD Handbook . production and binding of the thesis that is ﬁnally submitted. with a copy to the Administrative Supervisor.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. 7.3.8 Submitting the Thesis Candidates are solely responsible for the content. the Associate Dean of the Faculty will also receive a copy of the student’s written comments with all identiﬁcation removed (names. Once a year. The questionnaire is then returned to the supervisors. presentation.9 Publishing Candidates should accept responsibility for the academic content of the thesis and for publishing any parts of it if appropriate.3. style. 7.
victoria.3 Animal Ethics Committee If PhD research involves animal subjects. Application forms can be accessed via the Human Ethics Policy: http://policy. in order to ensure consistency and impartiality in considering the interests of potential subjects.nz 8. The HEC recognises that individual researchers and teachers. and • • • PhD Handbook 37 .ac. and welfare of such subjects. The purpose of the HEC is to promote. Candidates must then discuss the ethical implications of their research with their primary supervisor to determine whether HEC approval is required. 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. certain categories of research (and teaching) activities must be approved in accordance with the Human Ethics Policy and HEC Guidelines (Appendix 1) before being conducted. 8. 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. all assistance which candidates have received in their research be clearly acknowledged in the thesis. as well as to provide a degree of protection for the researcher or teacher. it must not contain work extracted from a thesis.http://policy. it is subject to Human Ethics Committee (HEC) Guidelines (see Appendix 1 of the Human Ethics Policy .victoria. It is important that PhD candidates read the Animal Ethics Policy carefully and ensure that they are familiar with basic ethical issues.http://policy. health. In so doing. either in research or teaching.ac. Nevertheless. principles and practice.0 Research Ethics 8. but the application must be approved and countersigned by the primary supervisor and the HoS. it must be approved by the University’s Animal Ethics Committee.nz). social and cultural sensitivities. rights and freedoms.nz 8. it seeks to ensure that all researchers and teachers are aware of the ethical issues involving human subjects.1 Human Ethics Committee Where research activity involves human subjects the University has a responsibility to ensure it protects the privacy. If either candidate or supervisors are in any doubt as to whether approval is required.8.2 (e) (iii)).victoria.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.nz). research and teaching. principles and practice.victoria. Appendix 1 of the Human Ethics Policy . The policy and application forms can be accessed via http://policy. dissertation or research paper already presented by the author for another degree or diploma at this or any other university.ac. It is important that PhD candidates read the HEC Guidelines carefully and ensure that they are familiar with basic ethical issues.2 Human Ethics Approval for Research If PhD research involves human subjects or human tissue or otherwise affects people’s privacy. safety. not prevent. are generally in the best position to assess their proposed activity.ac. working in and familiar with their own disciplines. Responsibility for applying for HEC approval rests with the candidate. further advice should be sought from the Head of School (HoS) or the Convener of the HEC.
organisation. intentional infringements of the guidelines issues by the University’s Human Ethics Committee and Animal Ethics Committee. academically responsible and ethical manner. 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. which is deﬁned as follows in the Statute on Student Conduct: Academic misconduct includes: • • • fabrication of data. This includes published and unpublished work.• it is the primary supervisor’s responsibility to ensure that the thesis as presented is the candidate’s own work. including fraudulent changing of records. plagiarism. material on the Internet and the work of other students and staff. cheating or other dishonest practices in relation to assessment. • • • • Note: Academic misconduct does not include honest errors or honest differences in the interpretation of data or conclusions drawn. the falsiﬁcation of data. including listing as authors without their permission. assistance they have received from other persons. or of other relevant professional practices and codes of ethics. 8.5 Appropriate Conduct in Research Candidates are expected to conduct all research in an honest. 38 PhD Handbook . and/or failing to acknowledge work primarily produced by a research student/trainee/associate. and that candidates make it clear what. wording or anything else from another source without appropriate reference or acknowledgement so that it appears to be one’s own work. The University has provisions for dealing with cases of research misconduct. attributing work to others who have not in fact contributed to the research. misleading ascription of authorship. which is the copying of ideas. All candidates will be asked to sign a statement that the above conditions have been satisﬁed when the thesis is submitted. and other academic or research practices which bring or are likely to bring the University into disrepute. if any. including claiming results where none have been obtained. Misconduct in research is unacceptable to the University.
9.vuw. Further information on these services and others is available by consulting: www. or alternatively the ITS service desk can be contacted over the phone on x5050. x5050 for help with the services ITS provides.3 Financial Assistance The payment of research expenses varies from school to school. This provides access to features such as personal storage and a large number of library databases.victoria. Candidates should expect to spend some of their own money on travel. the candidate’s entitlements and document these in the Research Memorandum which becomes part of the record of registration.nz/research%2Dofﬁce/ postgraduate/minimum-resources. 9. Railway (RW 225).nz or call Information Technology Services (ITS) service desk. MY223. ofﬁce space and furniture. OGB132 (Law). correspondence and so on. Some schools are able to provide some ﬁnancial assistance from school resources and this is a subject for negotiation within the School. With reference to the Minimum Resources Agreement. the HoS will agree.2 Information Technology Resources 9. source materials.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. with the supervisors and the candidate. facilities. 9. All PhD candidates are advised of their obligation to observe the Information Systems Statute which can be found at: http://policy. and funding for the expected duration of the research. Candidates may visit these locations in person.nz 9.victoria. Research Funding and Financial Support. photocopying. Enquiries via email can be sent to: email@example.com. equipment. Internet browsing and printing services are available for a small charge.nz ITS have Help Desks located in ﬁve physical locations around the campus: RB205a (Library). Also.1 Introduction PhD candidates should email its-service@vuw. and WCE (T208).aspx It includes information about orientation. It also contains some information about the faculty research grants and the protocol for addressing concerns about resources.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. See also Chapter 11.nz • PhD Handbook 39 .2.ac.1 School Resources to Support PhD Candidates 9.0 Research Resources 9.ac. electronic facilities and ﬁnancial support. ac.studentvuw. paper supplies.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.ac. Candidates working from home can access the student environment via the myVictoria portal.9. items of equipment like calculators.1.1.1.ac.
nz~POLICY~000000000021.4 Accessing the Network All postgraduate thesis students have the right to access Victoria’s network via the staff domain.nz 9. will give postgraduate library privileges.nz/library/ Students are advised to check this site and the myVictoria portal regularly for updated information about the Library and its services. All PhD candidates are advised to consult the Library Statute at: http://policy. a networked school desktop computer or through an external Internet Service Provider (ISP). This section contains information relevant to all PhD students. The Website is also a gateway to the online catalogue of Victoria University of Wellington Library. Access to the network via the student domain requires a student computing account and depends on whether the connection is from an ITS terminal. with reduced hours on weekends and during term breaks. A range of printed information leaﬂets about speciﬁc library services and collections is available from service points in all libraries.ac.ac. the Education Library at the Karori Campus and the Law Library in the Government Buildings. students should refer to the Library website at www. If borrowing privileges are required prior to enrolment while a thesis proposal is being prepared. Clients should always contact the Help Desk in the ﬁrst instance with enquiries. when connecting from a networked school desktop computer or via the Internet from home (requires a personal ISP) connect via the VUW Portal: www.ac. However. the Lending and Reader Services Group will normally grant temporary borrowing privileges upon receipt of a supporting letter from the proposed primary supervisor. otherwise their proﬁles will be affected. 9.2. after validation at the Central Issue desk. Books from the 40 PhD Handbook .3 Registration as an ITS Client All candidates will have a computer account on enrolment. Note.1 Lending Services PhD research often necessitates heavy and specialised use of library services. the Architecture and Design Library in Vivian Street.vuw.pdf 9.studentvuw.Te Pataka Korero The University Library comprises the Central Library in the Rankine Brown Building on the Kelburn Campus. Authorised students may use all of these libraries following registration. PhD candidates will receive a student ID card which.ac.5 ITS Student Help Desk Service Help Desks are available speciﬁc hours that change from trimester to trimester.3 The University Library . For further information on your account username please check your Conﬁrmation of Study form or contact an ITS Help Desk. including a complete Staff Directory. There is no common data storage between the student domain and the staff domain. 9.victoria.3. 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. When connecting from an ITS computer log directly into the student domain.victoria. Following enrolment and payment of fees.2.vuw.9. the Commerce Library at Railway West Wing. For further and more comprehensive information.2. Access to the network via the staff domain requires students to contact their school administrator who will set them up as an ‘interested party’. candidates must choose access via either the staff domain or the student domain.nz/ Amphora!~~policy.
candidates should refer to the Library website: www. Requests must relate to study.ac. on the Library website or through the Postgraduate Students’ Association (PGSA). The Reference Ofﬁce and Library website can be consulted for the names of liaison librarians. Requests may be sent electronically from the Library website at www. request and renewal procedures. The Closed Reserve Desk on Level 2 of the Central Library holds copies of the bibliographic management software ‘Endnote’.nz/library/forms/interloan-request. Most periodicals in the Central Library are issued for two weeks. with some exceptions.3. Law.victoria. Reference and Liaison Services have (in both print and electronic format) a range of University Calendars from New Zealand and overseas. 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.ac. Commerce and Law Libraries. 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.3.nz/library or by going directly to: www.nz/library/ 9. 9.2 Reference and Research Services Reference and Liaison Services.victoria. Architecture and Design library periodicals are not available for loan. as well as scholarship guides and other directories related to further study. All items on issue are subject to recall if required by other borrowers.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. Reference staff are always happy to give advice on suitable information resources as well as provide assistance with search techniques and strategies. Commerce and Law Libraries.main collection are issued for eight weeks. Details of seminars will be given in library notices. Commerce and Law Libraries have similar facilities for subject-speciﬁc database searching. The Architecture and Design. teaching and research purposes only. Staff will give advice about electronic and print information resources in a range of subject areas. through both printed and electronic resources. 9.ac.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. The Interloans team process requests from the Central Library as well as the Architecture and Design. and library hours of opening. Subject-speciﬁc seminars and individual consultations are available from the Library throughout the year on request to a liaison librarian or the Reference Ofﬁce. offer comprehensive information services.3.3 Research Seminars Postgraduate research seminars are offered at the beginning of the ﬁrst trimester. Please note that all current issues of periodicals are reference-only items. For further information about borrowing books and periodicals. except for three-day-loan books. In the Central Library student computing facilities are available on Levels 1 and 2. Level 2 of the Central Library. 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. Candidates wishing to borrow this CD in order to install ‘Endnote’ on their personal computer should consult the Closed Reserve Desk staff. PhD Handbook 41 .
Material from other libraries can normally be accessed through interlibrary loan and document delivery services. 42 PhD Handbook .6 Other Libraries As a general principle. There is restricted access to some of the material. archives and manuscripts and the VUW Authors’ collection. PhD candidates should ﬁrst and foremost rely on the resources of Victoria University of Wellington Library.3. and Ofﬁcial Publications Collection. U. The Beaglehole Room holds collections of rare books. 9. Reference and Liaison Services will be happy to give advice and help to facilitate such access. The Collection comprises material published by the United Nations and its associated agencies. 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. Level 1. Level 1. publications issued by other international organisations as well as statistics and yearbooks from New Zealand and many other countries.3.Further information may be obtained by contacting the Interloans staff or checking the Library website. If PhD candidates wish to access other libraries directly.C.5 Specialised Collections PhD candidates should be aware of the following collections at the Central Library: • J. • 9.N. Beaglehole Room.
2.ac. Details are advertised on: www. For further details. You should consider whether any of them may meet your needs. For enquiries please contact a SCS Help Desk or email scs-help@vuw. Speciﬁc information on the advice obtainable from these two sources follows. It is the responsibility of supervisors to ensure that proper statistical advice is sought. ac.mcs. Statistics and Computer Science. Statistics and Computer Science. The School of Mathematics. Statistics and Computer Science offers a number of undergraduate and graduate courses in Applied Statistics. runs intensive thesis writing workshops and provides one-to-one support throughout students’ candidature. Some other packages are available within selected specialist school facilities. go to: www. PhD Handbook 43 . Literature Reviews.nz or by phone on (04) 463-6779.10. based at the School of Mathematics.nz/stat/consulting 10. a studentcentred website at www.vuw.ac.nz.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. Guest speakers cover topics such as: Writing a Research Proposal.nz/postgradlife see: 16. Managing Your Studies. 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.2 Statistical Advice Many research projects require statistical analysis of experimental or survey data.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.nz/st_services/slss/ in the Postgraduate Students’ Association newsletter and on school notice boards. and Thesis Writing. in the ﬁrst weeks of each trimester. Further information can be obtained by phoning x5908 or viewing PostgradLife. You and your supervisor are welcome to discuss statistical aspects of your research with the consultant who can be contacted via email at: firstname.lastname@example.org. 10. 10.10. The Ethical Approval Process. SLSS also facilitates a regular writing group. Qualitative and Quantitative Methodologies. the Student Learning Support Service offers general advice on research.vuwvictoria.0 Research Advice While it is expected that most of the necessary research advice will be provided by supervisors and other members of schools. The University Research Committee also funds a consulting statistician. victoria. and statistical advice may be sought from the School of Mathematics.ac.
11. Unsuccessful applicants may apply again in the follow round after consultation with the Scholarships Manager. PhD Submission Scholarships are tenable for three months only and there is a closing date every two months starting in January each year. If a grant imposes any obligations or restrictions upon the candidate or the 44 PhD Handbook .nzvcc.newzealandeducated.frst.1 University Scholarships There are three rounds of PhD scholarships each year. 11.govt. Successful applicants are expected to work full-time on their research during the tenure of the scholarship. It is therefore essential that applications for.ac.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.nz/scholarships 11. including Commonwealth and Rhodes Scholarships. but before agreements are reached with external funders. All Victoria PhD Scholarships are tenable for up to three years from ﬁrst enrolment. 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. 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. or implications of.nz] and Education New Zealand [www. the Foundation for Research. It is also important to ensure that agreements with funders are formulated in a way that protects their interests.2 PhD Submission Scholarships These scholarships enable students already enrolled for several years to bring their research to a successful completion.nz]. 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. Candidates must have the endorsement of their supervisor and Head of School to submit.the Bright Future scheme.ﬁs.nz].victoria.tec.ac.org. Science and Technology [www.nz). the grant in question. 11. Information and documentation is available at: http://www. Some supervisors may also have contacts with businesses or enterprises through which other funding can be arranged. and the University.nz/BreakOut/vuw/schols.govt. This funding includes the growing range of scholarships administered by the New Zealand Vice-Chancellors’ Committee [www.org.11. and offers of. Information and application forms can also be downloaded from the University website: 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. those of research students. careful consideration must be given to any conditions attached to. they should consult the Scholarships Ofﬁce (email Scholarships-Ofﬁce@vuw. phtml?detail+600532 or from the Scholarships Manager. Applications for Victoria University PhD Scholarships must be submitted to the Scholarships Ofﬁce by 15 June or 1 November.0 Research Funding and Financial Support If PhD candidates are contemplating PhD study and would like to apply for a scholarship. government funding through the Tertiary Education Commission [www. Funds from these sources are usually of great beneﬁt to research students.nz] .ac. funding from outside enterprises are discussed with those responsible for external research income before any agreement is signed.
11. as in other cases of paid employment. Ministry of Social Development. in VicNews and on the tutor/demonstrator email list: tutors@vuw. 11. parties responsible for external research income will negotiate changes before the offer of a grant is accepted. In this. ac. Tutor training is offered through the University Teaching Development Centre (UTDC) and some schools also provide discipline-speciﬁc training.nz or tel 0-4-463 5793.7 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. it may be worth sacriﬁcing income in order to facilitate the speedy and successful completion of the degree.victoria. tel 0800 889 900. Funds for scholarships or research expenses must be channelled through the University Scholarship Ofﬁce and not paid directly to the candidate. For further information see the UTDC website: www.studylink. Candidates who wish to apply for a Research Grant should discuss their application with their supervisors.nz/tutors Other courses are also available throughout the year and are advertised on the UTDC website. www. Tutors may complete a Tutor Training Certiﬁcate of Attendance through the UTDC. Funds typically granted by faculty committees are used to cover identiﬁable expenditure on inter-library loan costs.utdc.6 Loans and Allowances Information on allowances and loans can be obtained from StudyLink.ac. PhD Handbook 45 .nz. 11.govt.5 Research Grants PhD candidates can seek advice and apply for Research Grants either through their faculty or school where available.University. 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. Tutors and demonstrators are employed by schools to teach undergraduate (usually ﬁrst-year) classes and to do associated marking. Candidates should consult their Head of School with questions concerning the availability of tutoring or demonstrating positions. Candidates may like to seek assistance from the Victoria University of Wellington Students’ Association’s (VUWSA’s) Education Coordinators in this matter.
Candidates are also free to seek advice from other scholars. In the event of difﬁculties of a more personal nature that may involve a breach of the Policy on Staff Conduct or the Statute on Student Conduct. Candidates and supervisors should be able to discuss the issues involved and reach agreement on how any obstacles might be overcome. Whatever process of conﬂict resolution is adopted. 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. preferably within the School. the other supervisor may be able to provide assistance. It is assumed that the parties have attempted to resolve the difﬁculties themselves. but have been unable to do so. 12.1 Introduction In the course of the research process. the Postgraduate Students Association (PGSA) and Victoria University of Wellington Students’ Association (VUWSA). candidates and supervisors are urged to refer to these documents at http://policy.nz Further information can be found in this Handbook in 15.ac.0 Resolution of Problems 12. The following section indicates to both supervisors and candidates a general means of resolving difﬁculties arising in the supervisory relationship. differences of opinion may arise over questions that are related directly to the scope of the topic or to the investigation of it.2 General Principles It is essential that steps are taken to resolve any problems immediately. In some instances both parties may need to accept that a change of supervisor may resolve the problem and ensure completion of the project. In some cases. Where difﬁculties occur between a candidate and one supervisor. with both candidate and supervisor seeking assistance as necessary and appropriate.5 . the goal is to allow the research to continue and to be completed within the scheduled timeframe.3 General Guidelines Candidates and supervisors might ﬁnd the following process helpful in addressing problems. 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. All parties must be sensitive to the needs of any candidate who has sought assistance. The University will expect all parties to the resolution process to conduct themselves with professionalism.12. 12.vuw.Rights and Obligations Regarding Conduct. and that the University will give every assistance that might be necessary to ensure productive supervisor-candidate relationships and to facilitate the timely completion of the research project. It is desirable that any problems that may arise are addressed and settled as quickly as possible. 46 PhD Handbook . mindful of maintaining the reputation and standing of the University. however. supervisors and candidates encounter difﬁculties that may prevent fruitful co-operation.
following consultation with the candidate and supervisor. Candidates may also wish to approach the Student Counselling Service. or before resorting to.3. Where this fails to resolve the problem. while the Facilitator and Disputes Adviser deals with problems relating to matters covered by the Policy on Staff Conduct. Faculty Ofﬁce. If research progress is being affected by difﬁculties. as appropriate. the Education Coordinator can deal with both academic and conduct issues. For a list of people who can offer advice and support see page 8. It is the responsibility of the Administrative Supervisor to attempt prompt resolution of the difﬁculties. can raise the problem with appropriate people on their behalf. 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. The Associate Dean will liaise with the Manager of the Faculty Ofﬁce.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. 12. any difﬁculties should be discussed between the candidate and the supervisor(s). Academic grievances concerning PhD candidacy are dealt with by the PhD Handbook 47 . and if required. after trying the above channels.3. It is the responsibility of the Associate Dean to attempt prompt resolution of any difﬁculties. more formal procedures. a candidate is still dissatisﬁed. 12. The Administrative Supervisor must be kept informed. This must be done in writing and should include information on what informal procedures have been followed. Candidates may also approach the Senior Academic Policy Adviser for advice and assistance or the Facilitator and Disputes Adviser. The Associate Dean must be kept informed at all stages and copies of correspondence must be sent to the Manager. as necessary.3. with respect for all parties. it is the responsibility of the Administrative Supervisor to inform the Associate Dean immediately in writing. seeking clariﬁcation or providing guidance and/or mediation.4 Lodging a Formal Grievance If. The Senior Academic Policy Adviser deals with academic matters covered by the Academic Grievance Policy. they are entitled to take the matter either separately or collectively to the Associate Dean. they have a duty to refer the matter immediately. If required. The Education Coordinator is available where candidates may wish to sound out their concerns with someone outside the Faculty.3.12. formal grievance procedures can be invoked. following consultation with the Administrative Supervisor. with respect for all parties. 12. and the University Facilitator and Disputes Adviser. Such assistance might take the form of eliciting information. or where either the candidate or the supervisor(s) feel it is inappropriate to address their concerns to each other. 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. If either candidate or supervisors feel that resolution is not being achieved to their satisfaction within the School. Grievances relating to academic disadvantage are considered under the Academic Grievance Policy. in writing. outlining how the candidate and supervisor(s) are working towards the resolution of those difﬁculties. Alternatively. they may approach the Administrative Supervisor for assistance in resolving their difﬁculties. to the Associate Dean.1 Seeking Assistance from the Administrative Supervisor In the ﬁrst instance.
Assistant Vice-Chancellor (Academic) who will consult the Deputy Vice Chancellor (Research).victoria. and then the Pro Vice-Chancellor of the Faculty if necessary. candidates. supervisors and Administrative Supervisors are encouraged to make direct contact with Faculty Ofﬁce Managers. The Manager will request appropriate action from Administrative Supervisors and supervisors if necessary.ac.nz/). In each case. Formal grievances regarding staff misconduct normally are handled by the relevant manager.4 Resolving Administrative Difﬁculties If the difﬁculties are of an administrative or procedural nature. for any reason. If anyone is. they are invited to discuss the matter with the Manager of the Faculty Ofﬁce in the ﬁrst instance. dissatisﬁed with the administrative performance of their Faculty Ofﬁce. 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. 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. 48 PhD Handbook . formal grievances beyond the levels described above should be submitted to the relevant Pro ViceChancellor.
3. The abstract must not exceed 500 words. Acknowledgements: candidates are required to acknowledge all assistance that has been received with the research and production of the thesis. Where the research project consists of a number of cases of more or less separate studies. Nearly all candidates ﬁnd that the actual writing of a thesis takes much longer than expected.2. • • • • • PhD Handbook 49 . If the thesis consists of more than one volume.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. 13. candidates should show the contents of all volumes on the contents page of the ﬁrst volume. List of illustrations. or in a separate companion volume or box. Preface: a preface may not be necessary as the abstract can state the scope of the study. Body of the text: relevant advice is provided in section 13.2. It may include published material. 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. Table of contents: candidates should list chapters with relevant page numbers. The preparation of a ﬁrst draft may be the most difﬁcult part of the work. the thesis must explain their relationship to one another. The thesis structure is a matter for discussion between candidates and supervisors.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. The only general requirement is that the thesis should be an integrated report. The following guidelines may assist candidates in preparing their theses for presentation.13. The precise interpretation of this varies from discipline to discipline. but its transformation into the ﬁnal draft for submission usually takes much longer than planned. 13.0 The Thesis 13. 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. A student may present a thesis in Te Reo Maori as outlined in The Use of Te Reo Maori for Assessment Policy. providing a summary of the methods of investigation and conclusions reached in a form suitable for publication. Candidates should check details of presentation and production with the primary supervisor before ﬁnal preparation of the thesis. Schools may also specify distinct requirements bearing on style and presentation. 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. plates etc: all illustrations should be numbered and page references given. binding. Abstract: the regulations require that the thesis should include a short abstract. and availability of the thesis. A length of about 300 words is recommended.1 Introduction This section contains information on the presentation.
if the footnotes become very extensive it is acceptable to list them in a separate section at the end of the thesis. Publication manual of the American Psychological Association. 5th ed. 1996. London: Falmer Press. the books listed below may be useful. Chicago: University Press. Joseph. 6th ed. Washington: the Association. 50 PhD Handbook . American Psychological Association. Rita S. 1998. or how to cite journal articles. New York: Modern Language Association of America. The supervisors are able to advise on the appropriate forms.) Index: if candidates wish to include an index. L.• Appendices (if applicable): candidates may wish to include here any material that does not ﬁt conveniently into the body of the text. especially if the thesis is later reproduced on microﬁche.) Swales. multiple or corporate authorship) in part or as a whole. Dunleavy. Achtert. please consult the Library Reference and Research staff for advice on its format and for guides on its preparation. References and/or Bibliography: references in the text should be made in the form appropriate to the discipline concerned. The New Zealand Style Book. write and ﬁnish a doctoral thesis or dissertation. draft. These works are all available in the Library. New Zealand Government Printing Ofﬁce. Writing your doctoral dissertation: invisible rules for success. • • 13. though not essential. University of Chicago Press. Gibaldi. theses and dissertations. University of Michigan Press. Brause. Consult the Reference and Research staff for further guidance. M L A style manual and guide to scholarly publishing. The MLA style manual. Authoring a PhD: how to plan. K. 5th ed. For speciﬁc examples of how to cite a book (single. A manual for writers of term papers. (It is often inconvenient to refer to notes and references placed at the end of the chapter or at the end of the thesis. 4th ed. English in today’s research world: a writing guide. that these footnotes appear at the bottom of the page to which they refer. 2000. Be sure to conform consistently to the standards considered appropriate for the relevant discipline. However. 2000. Day. Houndmills. Wellington: GP Publications. Patrick. Walter S. Turabian. If in-text references are in the form of footnotes. in cases of doubt the full form of any reference should be used rather than abbreviations. and the listing in the References/Bibliography should reﬂect disciplinary norms. 15h ed. Phoenix: Oryx Press. 2003. The Chicago manual of style. 1994. Robert. 2nd ed. Chicago: University of Chicago Press. Ann Arbor. 2001. (Also titled Style Book: a guide for New Zealand writers and editors. 1995.2. Gibaldi. 1998. New York: Modern Language Association of America. John M. New York: Modern Language Association of America. 2nd ed. How to write and publish a scientiﬁc paper. Joseph. it is preferable. 6th ed. 2003.2 Citation style Particular disciplines often have individual citation conventions. Basingston. 2003. M L A handbook for writers of research papers.
maps or charts . especially the footnotes.should be included in the main numbering sequence. Candidates should discuss payment with supervisors. The Victoria University PhD Statute stipulates that “the thesis shall not exceed a total of 100.2. if possible. especially if the thesis is very long. Interpolated leaves . Candidates may also wish to distinguish indented quotations from the main text by using single spacing or a smaller font size. which frequently indicates poor judgement.2. Rankine Brown Building. including diagrams and charts. • 13. It is recommended that photographs be mounted on heavier paper than that used for the main text. uniform on all pages.illustrations. On the other three sides of the page the margins should be not less than 1. • • • 13. Use single spacing for footnotes but double spacing between individual notes. 115 (a). Image Services may be contacted at: tel 0-4-463 5133.5 cm as the edges will be trimmed by the binders and there must be no danger of losing part of the text. Leave a margin of at least 4 cm on the left or binding side of the page. Lines should be double spaced or at least one and a half spaces apart. sub-numbering of pages/leaves (e.nz. diagrams and maps may be folded to conform to the A4 format.5 Paper • The physical appearance of the thesis is very important.2. email Image-Services@vuw. • 13.4 Pagination • Pages must be numbered consecutively and page numbers should appear on every page in a consistent position. New Kirk. In exceptional circumstances the • • PhD Handbook 51 .2. Candidates should contact University Image Services for information on available photographic and digital imaging services and current costs. 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. but text on both sides is acceptable.7 Length • A PhD thesis should be concise: examiners often criticise excessive length. or mounted on guard sheets. Candidates should be guided by their supervisors on an appropriate length for the thesis. provided the text is correctly imposed with uniform and sufﬁcient margins.000 words in length (including scholarly apparatus). Printing on one side of the paper only is preferred. except the title page which is normally counted but not numbered.ac. table of contents etc). abstract.6 Photographic and Colour Copy Illustrations • Photographs should be dry mounted where possible. It is essential that all leaves be of the same size so that they may be readily bound together.13. 115 (b) etc). room 116.2. Avoid. Larger material such as charts.g. The Library provides a self-service colour photocopier in the photocopying room on Level 2 of the Central Library. • • 13. The paper used should be of good quality and be in A4 format.3 Format • • Word-processing and 12-point type font is recommended.
Using the required guidelines from the outset will save a great deal of time and anxiety in the ﬁnal stages of thesis preparation. Candidates should always back up their work. is necessary insurance.ac.html describes how a computer workstation should be set up. might be prepared to hold a back-up copy.Research Degrees Committee may grant permission for a longer thesis to be submitted for examination” (PhD Statute 4. Also OOS Buster courses (I hour) are held regularly during term time. • Candidates should be aware of the dangers of developing occupational overuse syndrome (OOS) with prolonged computer use. The following advice should help candidates make the most efﬁcient use of their computers and avoid commonly-made mistakes. Information Technology Services staff may also be able to provide advice. 13. • • • 52 PhD Handbook . or use the original. particularly for complex formats like tables.4 (b)).8 Computer Use Most PhD theses are produced by candidates using a computer. but close without saving changes. The Health and Safety webpage: www. If a draft printout from another printer is needed.2. and a change in printer-driver can affect the layout signiﬁcantly. keeping the back-up in a different place from the original. A supervisor or school administrator. 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. students should make a copy and print from that. Permission should be sought well in advance of submission of the thesis for examination.nz/hr/heath_ safety/health-safety-training.victoria. regularly up-dated. for instance. Candidates should consult the relevant thesis presentation guides before they begin. Different drivers impose different page speciﬁcations. At the time of submission the candidate must certify that the thesis falls within this word limit. One at home and one at the University.
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 .2.13.
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. may be bound or boxed in a fashion appropriate for their preservation. never stapled.4. The binding must ensure that the thesis can later be permanently bound to conform to the Library requirements. to facilitate any revisions or corrections and/or re-submission.3.victoria. The degree will not be awarded until this has been done. • • 54 PhD Handbook . The Reference desk of the Library holds a list of approved binders.html) require that research results must be disseminated and not kept secret.13. Theses are deposited with Collection Services on Level 1 of the Central Library. provided the relevant information (as above) is visible when the item is shelved. Lettering on the front cover is recommended but not essential. • • 13.4.4. If in doubt. A receipt is issued at the time of deposit. Authors are responsible for all binding charges.nz/home/about_victoria/policy.1 Temporary Binding for Examination • Candidates are encouraged to submit the three copies of their thesis for examination in temporary soft binding. It is an important component of the University tradition that knowledge is openly available for examination and criticism by peers (see also 13. A list of local commercial binders.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. Law.3 Binding 13. for deposit in the University Library. The thesis must be ﬁrmly bound within the temporary cover so that pages cannot become detached. who will soft bind theses for examination. The author’s last name and initials and the title/short title must be lettered on the spine.ac.4). as this will interfere with the permanent binding. and cased in cloth or buckram.1 Public Availability of Theses The University Human Ethics Committee (HEC) Guidelines (see Appendix 1 of the Human Ethics Policy: www. such as musical scores. advice may be sought from library staff. is available from the Reference desk in the Library. • • • • 13. Works which do not fall within the usual A4 format. Care should be taken to ensure that the temporary binding does not produce a row of holes down the page. The thesis must be fully bound. Architecture and Design theses are deposited with the relevant campus library.4 Availability and Withholding of Access to Theses 13.3. 13.
• • 13. and photographs included in the thesis). This should be done at the outset of research. Copyright in publications other than the thesis arising from supervised research is likewise owned by the creator(s).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.• 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. A completed availability slip MUST accompany the deposit. however.e.nz/Amphora!~~policy.4.ac.3(c) of the Library Statute for a full description of the provisions regarding the Withholding of Access to Theses and see http://policy. or prejudice the maintenance of law and order. The Associate Dean can provide further advice. 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. 7 and 9 of the Act. If making information available would be likely to prejudice the security or defence of New Zealand or international relations with New Zealand. or seriously damage the economy of New Zealand. 13. The application must also be supported by the supervisors and Head of School.victoria. For electronic deposit. In certain circumstances.pdf for the Withholding of Theses Procedure.12. the use of any third party content must not be in breach of copyright. The Library must always receive the original or “best” copy (and this includes the ﬁgures.ac. If application is delayed difﬁculties may arise if the RDC subsequently declines the application after the research has been completed. or as soon as the need for an embargo becomes apparent. In some cases the candidate’s school will also request a copy.nz It describes ownership and what is required should intellectual property issues arise from research undertaken while a student at the University. Candidates should consult section 4. In general. Second or third copies are usually photocopies.nz~POLICY ~000000000034. ac.4. The third bound copy is retained by the candidate. graphs. endanger the safety of any person. or it will not be accepted. or comply with the terms of any agreement. PhD Handbook 55 .4. Availability slips are obtained from the Faculty Ofﬁce at the time of enrolment. fall within the provisions of the Copyright Act 1994 and Amendments.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. 13. i.vuw.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. research students will be required to enter into an agreement assigning or apportioning intellectual property to the University. it must be in the public domain. that likelihood is good reason for non-disclosure. Students should consult the Victoria University Intellectual Property Policy at http://policy.vuw.
Conclusive reasons for withholding ofﬁcial information Good reason for withholding ofﬁcial information exists.Candidates should give particular attention to Section 9 of the Act.12. 13. Sections 6 and 9 of the Ofﬁcial Information Act are reproduced here: Section 6. or (c) To prejudice the maintenance of the law. and deciding how information will be handled in the examining of the thesis or research paper. rents and other costs.12. investigation. (b) (d) (e) 56 PhD Handbook . or ii) any international organisation.4. control and adjustment of prices of goods and services.3(c) for the withholding of a thesis or research paper from consultation.3(c). 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. seek to withhold information in it under the Ofﬁcial Information Act 1982. 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. giving undertakings to the suppliers of information in respect of the maintenance of conﬁdentiality. including the prevention. Candidates and supervisors should bear these factors in mind in choosing topics for research. iv) the stability.6 Ofﬁcial Information Act 1982 For the information of candidates and supervisors. as a matter of policy. 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. Among many possible reasons for withholding information mentioned there is speciﬁc reference to material of a sensitive personal or commercial nature.” 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. or To endanger the safety of any person. ii) the regulation of banking or credit. and detection of offences. It is important to note that although the section lists good reasons for withholding information. the withholding of that information is outweighed by other considerations which render it desirable. iii) taxation. in the public interest. to make that information available. for the purpose of section 5 of this Act. It will cite as the speciﬁc ground for withholding the document. Where arrangements have been made under the Library Regulation 4. the ground identiﬁed in the written request made by the author under the Library Regulation 4. disclosure may be required if “in the circumstances of the particular case. and its inclusion or exclusion from the research document as formally presented for examination. and the right to a fair trial. making requests for research information from outside sources. the University will.
good reason for withholding ofﬁcial information exists. ii) Collective and individual ministerial responsibility. or information from the same source. Subject to sections 6. including that of deceased natural persons. Section 9. and it is in the public interest that such information should continue to be supplied. this section applies. or (b) Protect information where the making available of the information i) Would disclose a trade secret. where the making available of the information i) Would be likely to prejudice the supply of similar information.and rates of wages. unless. and only if. or (c) Avoid prejudice to measures protecting the health or safety of members of the public. 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. 10. 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 ii) Would be likely otherwise to damage the public interest. in the circumstances of the particular case. in the public interest. or (g) Maintain the effective conduct of public affairs through i) The free and frank expression of opinions by or between or to Ministers of the Crown or members of an organisation or ofﬁcers and employees of any Department or organisation in the course of their duty. or (e) Avoid prejudice to measures that prevent or mitigate material loss to members of the public. salaries and other incomes. Other reasons for withholding ofﬁcial information: (1) Where this section applies. for the purpose of section 5 of this Act. if. iv) The conﬁdentiality of advice tendered by Ministers of the Crown and ofﬁcials. to make that information available. 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. and 18 of this Act. or ii) Would be likely unreasonably to prejudice the commercial position of the person who supplied or who is the subject of the information. or (2) PhD Handbook 57 . 7. vi) the entering into of overseas trade agreements. or (d) Avoid prejudice to the substantial economic interests of New Zealand. v) the borrowing of money by the Government of New Zealand.
without prejudice or disadvantage. ofﬁcers. commercial activities. 58 PhD Handbook . or (i) Enable a Minister of the Crown or any Department or organisation holding the information to carry on. or (k) Prevent the disclosure or use of ofﬁcial information for improper gain or improper advantage. or (h) Maintain legal professional privilege. without prejudice or disadvantage. and employees from improper pressure or harassment. members of organisations.ii) The protection of such Ministers. or (j) Enable a Minister of the Crown or any Department or organisation holding the information to carry on. negotiations (including commercial and industrial negotiations).
Suitable examiners are those who have no signiﬁcant personal. e. professional or contractual relationships with the candidate. Only in exceptional circumstances will the internal examiner be the primary supervisor or cosupervisor. PhD Handbook 59 . 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 RDC approves the nominations and appoints the examiners. If it consists of several studies or cases. Availability is normally established through informal contact and the Associate Dean is responsible for ensuring that this is done. Supervisors. and supply the Associate Dean with a brief curriculum vitae or other information which establishes the suitability of the proposed examiners. Examiners must be in a position to provide a fair and impartial assessment of the thesis.. 14. The thesis may include the candidate’s previously published work or material based on previous research.g.14. recommend suitable examiners to the Associate Dean. the internal examiner should not normally be a close working colleague. Candidates can be consulted on potential examiners.0 The PhD Examination 14. If the candidate is a member of Victoria University staff. ‘Availability’ means willingness to accept appointment and agreement to examine the thesis and complete a report within eight weeks of receiving the thesis. the Research Degrees Committee (RDC) should be consulted. The decision to make application for a thesis to be examined is one to be made by the candidate. but may not be told which examiners have been nominated or appointed. Concerns with any aspect of the recommendation of examiners should be addressed to the Associate Dean. the Associate Dean will give favourable consideration to a request for early submission. as long as the report constituting the thesis is written under supervision during the period of registration.3 Submission A thesis is an integrated report. 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. At least one examiner is normally a member of the staff of an overseas university or similar institution (the overseas examiner).2 Early Submission In cases where a candidate makes exceptional progress with their research. a member of the same teaching/research group.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. in consultation with the Administrative Supervisor. The Associate Dean will scrutinise the recommendations and forward them to the RDC. their relationship to one another should be demonstrated. 14. The third examiner should be a member of the Victoria University staff (the internal examiner). In cases where the most qualiﬁed examiner has such a relationship with the candidate. 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. Normally at least one examiner will be from another New Zealand University (the external New Zealand examiner).
it should be reviewed by at least the primary supervisor before application is made for examination. in exceptional circumstances. 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. A thesis is not complete unless it constitutes a complete scholarly work inclusive of all scholarly apparatus usual in the discipline.vuw.vuw. 60 PhD Handbook . Students may appeal to the PhD Convener. Should the Associate Dean decide that a thesis is not complete the candidate may appeal that decision to the Research Degrees Committee (RDC). 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. This review period should not usually exceed four weeks. the candidate retains the right to have the thesis examined. copied or reproduced in accordance with the Library regulations. 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.ac. If a thesis is submitted in the grace period no extra fees will charged.ac. A grace period starts on the last day for which fees are paid and covers the following 28 days. Before submission. 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. 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.pdf). a statement that the thesis does not exceed 100. 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 expects that normally a candidate would be enrolled for the three months immediately preceding submission. The University has an obligation to examiners to ensure that any thesis sent for examination is complete and suitable for examination. it is expected that such decision will be made by agreement between the candidate and the supervisors.000 words in length* a research supervision Exit Questionnaire to canvas PhD students for written comments about the supervision of their thesis. The Associate Dean. If the supervisors are of the opinion that the thesis is not complete. 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. 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.nz/ Amphora!~~policy. to submit without three months prior enrolment. the primary supervisor may recommend to the Associate Dean that the thesis not be accepted for examination. including word limits. after appropriate consultation. borrowed. • • • On submission of the thesis.nz~POLICY~000000000034.However. two Availability of Thesis forms providing consent for the thesis to be consulted. When the candidate indicates the thesis is complete.
* 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:
9.• • that the candidate be awarded the PhD. that the candidate be awarded the PhD subject to the completion of any revisions (deﬁned in 14. As a guide. Generally minor amendments are formal only.9. the candidate may be asked to revise aspects of their work and sometimes write new sections. for example. then the primary supervisor will take this role. If the primary supervisor is not available then the Administrative Supervisor will take this role. the person responsible for overseeing the minor amendments or revisions will stipulate in writing the timeframe within which these must be completed. amendments that are ‘minor’ should be able to be completed within two weeks’ full-time work or equivalent.9 Minor Amendments and Revisions The responsibility for overseeing the minor amendments or revisions is usually taken by the internal examiner. or ﬁxing typographical errors. and • 64 PhD Handbook . adding missing citations. to the satisfaction of the internal examiner. such as making small corrections. that the candidate be awarded the PhD subject to the completion of any minor amendments (deﬁned in 14. If the internal examiner is not available. 14. the changes that the examiners require are such that it is reasonable for the internal examiner alone to assess the revised thesis.2 Revisions Where more than minor amendments are required. After consultation with the candidate. In this case the examiners should offer detailed advice to assist the candidate towards a successful re-submission. to clarify an argument. that the degree not be awarded but that the candidate be permitted to re-submit a revised thesis within a speciﬁed period. 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. 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.2) to the thesis recommended by the examiners. 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 no degree be awarded and the candidate’s registration be terminated. • • • • • 14.1) to the thesis recommended by the examiners.9. but ‘minor’ can include slight changes or additions of substance.9. to the satisfaction of the internal examiner. 14. that the candidate be declined a PhD but offered a Master’s degree. 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.1 Minor Amendments It is very common for examiners to ask candidates to make small corrections to the thesis before it is accepted.
the examination process begins again. at their discretion. The internal examiner is responsible for explaining to the candidate. who will then appoint an appropriate substitute. they may also recommend that a second oral examination is not required. It is the responsibility of the School Research/Postgraduate Committee (SRC). 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. Any such change must be notiﬁed to the relevant Faculty Ofﬁce.• the revisions are of a kind and scope that it would be reasonable to expect that they might be completed within six months’ full-time work. The Masters in such cases will be awarded at the Pass level. an explanation should be given to the Research Degrees Committee. When the examiners recommend that the thesis be re-submitted after revision. opt to make only minor editorial changes to the thesis and to accept the relevant general Masters qualiﬁcation (MA. which will usually delegate this to the internal examiner and/or the primary supervisor. a formal Memorandum of Understanding should be agreed before entering into negotiations with the candidate as to the completion of these revisions. While candidates have a maximum of six months to make the suggested revisions. Once the thesis has been resubmitted.9. MMus. If there is good reason why the internal examiner should not be the person to undertake this task.3 Disputes about Revision If there is substantial disagreement between the two external examiners and/or the internal examiner. MCA. for example. all copies of the thesis are returned to the candidate who is given the date by which re-submission must be made. it is recommended that the internal examiner discuss the matter with senior researchers in the School or wider university. MSc. a second oral may be necessary. It is the duty of the School Research Committee to organize this. Following such discussions. 14. Re-enrolment is required for re-submission. to ensure that the candidate understands exactly what is required to meet the examiners’ concerns and to oversee the revision process. a period of further supervision will be required.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. or a restructuring of the thesis). in writing with a copy to the Convener of the RDC. Only in exceptional circumstances will the RDC consent to a change of examiners. Where the problems are more fundamental (requiring. 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. The revisions required will be notiﬁed to the candidate in writing. PhD Handbook 65 . it is desirable that the work is completed as soon as possible. Where re-submission is involved. LLM) in place of the doctoral qualiﬁcation. Any candidate for whom the result of the ﬁrst round of the examination process is that the thesis may be resubmitted. and to change the primary supervisor if this is academically advisable. Any recommendation regarding a second oral examination requires conﬁrmation by the RDC. which parts of the thesis require revision and for what reasons. the gathering of further data. this option no longer applies. may. 14. When the thesis is re-submitted.
although the Postgraduate Students’ Association (PGSA) can provide important social and academic contacts. The University. nor members of the academic staff. and a commitment to teaching and research that embraces both theory and practice.15.3 Collegiality The University recognises that a vital aspect of the learning experience for PhD candidates is an environment of strong and supportive collegiality. candidates occupy a special albeit transitional. and provide an academically exciting and intellectually stimulating environment. ac. teaching and research. isolation can be a problem. at the same time they require guidance. 15.2 Values and Ethos The guiding values of the University community are: • • excellence in learning. a commitment to leadership in the community and an awareness of the needs of that community. A copy is available in the main collection of the Library. co-operation. While PhD students are usually treated collegially by academic staff. During the time of study. • • • • • • A full description of the University’s Mission and Values is set out in the University Charter. equity of educational and employment opportunity for those who are socially and economically disadvantaged. PhD candidates’ status can be rather ambiguous. in return. acknowledgement of the principles of the Treaty of Waitangi and recognition of the special relationship with the tangata whenua. 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.pdf 15. neither members of the main student body. Students should be aware that undertaking a PhD has the potential to be a solitary and isolating experience and should work to mitigate this. This document is also available at: www. a nurturing environment providing the atmosphere for growth and learning. The University encourages candidates to get to know each other so that experiences can be shared 66 PhD Handbook .1 Introduction While engaged in PhD study. intellectual openness and questioning of accepted wisdom. endeavours to maintain an environment which will foster and protect PhD students. For PhD students in small schools.0 The University Community 15. Like many transitional states. tolerance. acceptance of obligations as well as rights to enable all in the University community to develop their full potential. high ethical standards of accuracy. The sections that follow outline the principal values of the University community. place in the University system.nz/home/about/newspubs/publications/Charter. and ultimately will be examined by the academic staff. and the principal rights and obligations of PhD students.victoria.
elected each year and comprised of up to ten voluntary postgraduate students. and welcomes enquiries. You can also contact the PGSA on tel 0-4-463 6973 or email pgsa-ea@vuw. The PGSA operates an electronic mailing list for all members which keeps postgraduate students informed about PGSA initiatives. They are entitled to work. and provides advice and advocacy for individuals and groups of postgraduate students. The PGSA is run by the Executive.victoria. 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.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. study and participate in the social aspects of the University’s life in an environment of safety and respect. It is expected that students will act with integrity and demonstrate respect for others and their conﬁdences when given. The preamble to the Statute on Student Conduct states that: “Students are expected to contribute with reason and consideration to the University’s role. 15. The PGSA also coordinates the network of postgraduate representatives on university committees and bodies. It acts on behalf of postgraduates. All PhD candidates are therefore reminded of their obligation to observe the Statute on Student Conduct.victoria.ac. training workshops and information. Recognised by the University and Victoria University of Wellington Students’ Association (VUWSA) as the lead representative body of all postgraduate students. learn.5. which can be a helpful means of ensuring contact with colleagues and avoiding isolation. lobbying to foster the academic. represents postgraduate students on a variety of university committees and arranges social activities. 15. 20 Kelburn Parade.5 Rights and Obligations Regarding Conduct 15. Candidates are also encouraged to attend the appropriate faculty and school seminars. The use of email is very helpful for this purpose. ac. the PGSA is committed to maintaining and improving the conditions under which all postgraduates work at Victoria.ac.nz/pgsa/resources/mailing-list. it is expected that they will attempt to resolve any conﬂict themselves.ac. co-operatively and in a professional manner. PhD Handbook 67 .nz/pgsa The PGSA’s ofﬁce is in Room 202.4 The VUW Postgraduate Students’ Association The Postgraduate Students’ Association (PGSA) is an independent organisation that represents all postgraduate students and their interests at Victoria. which can be viewed by searching for ‘Statute on Student Conduct’ at: http://policy. To subscribe or unsubscribe to the list go to www. ﬁnancial and social needs of higher degree students.victoria. relevant information for postgraduates and social events. seminars. The PGSA is always eager for postgraduates to get involved. The PGSA aims to create a vibrant postgraduate community at Victoria and to promote the value and role of postgraduate contributions to the University.” If differences or disputes arise between members of the University community.nz The Statute on Student Conduct identiﬁes unacceptable behaviour and provides processes by which people can seek to have concerns addressed. 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. The PGSA sends out a monthly e-newsletter The Postgraduate News. It lobbies on issues.aspx and ﬁll in your details.and problems jointly addressed.nz or www.
nz/disputes-advice/ 68 PhD Handbook . Further information is available in the brochure Respect: Sex and Relationships: what’s OKAY and what’s not at http://www. it is expected that they will attempt to resolve any conﬂict themselves. 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. and other misconduct. misconduct in research. If any PhD candidate has been subjected to unwelcome and distressing behaviour and would like guidance as to whether it amounts to sexual harassment. and other misconduct. co-operatively and in a professional manner. misuse of information. misuse of University computer systems. harassment. misuse of authority. The Policy on Staff Conduct identiﬁes misconduct as including: discrimination.The Statute prohibits the following conduct: discrimination. misuse of information.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. academic misconduct including plagiarism. racial harassment. 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. vuw.ac. 15. study and participate in the social aspects of the University’s life in an environment of safety and respect. racial harassment. they should in the ﬁrst instance. contact the University Facilitator and Disputes Advisor. 15. all deﬁned in section 4.5. causing racial disharmony. Various procedures have been adopted in the Statute and the Policy to safeguard the rights of the individuals in this respect. These deﬁnitions of misconduct are not intended to apply to reasonable comment by staff in the exercise of academic freedom.5. sexual harassment.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.ac. learn.2 of the Policy. They are entitled to work. If differences or disputes arise between members of the University community. It is also University policy that all disciplinary procedures conform to the principles of natural justice. causing racial disharmony.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. all deﬁned in section 4.2 of the Statute. the University has clearly deﬁned procedures under the Policy on Staff Conduct for dealing with sexual harassment. In particular. “ 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.victoria. misconduct involving a conﬂict of interest. sexual harassment.
Student Union Building Hours: 9am to 5pm Monday to Friday tel 0-4-463 5896. A Graduate Recruitment Programme runs throughout most of the year. handles applications for Victoria’s Halls of Residence. and operates a Letting Service of vacancies in the private market. to details of speciﬁc jobs. which is funded by the University and by students through a small levy paid upon enrolment.1 Accommodation Service Level 1. Prospective postgraduate students are especially welcome to visit and use the Service.ac. conﬁdential discussions.1 Student Services Group Victoria has an excellent support network for students. A comprehensive careers website also offers valuable advice.nz The Accommodation Service helps students ﬁnd suitable accommodation in Wellington. email email@example.com. The Letting Service can be accessed online at: www. and the computer database provides a useful checklist of career options and training. workshops and seminars in addition to tips on career development and job search topics. Many of these services are run by the Student Services Group. except Wednesday 10.victoria. preparation of CVs. Feel free to come by for a casual visit during our drip-in times or call ahead to book an appointment. 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. They can help with a wide range of queries . including the study break. The Service is open all year.e. employers and checking draft copies of resumes.ac. PhD Handbook 69 . career fairs. 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. 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. email Accommodation@vuw.ac.30am-5 pm tel 0-4-463 5393.1.from the general exploration of career ideas and the career implications of postgraduate courses.nz/st_services/ accommodation/ or on notice boards in the Accommodation Service..nz Career Development and Employment (www. The Service’s reference library has detailed information on occupations and employers.nz using your Student Computing account as your login.nz/st_services/careers/) provides information and guidance to students with career and course-related questions.2 Career Development and Employment 14 Kelburn Parade Hours: 9am to 5pm Monday to Friday. identifying skills and other career-related matters.victoria. Victoria CareerHub is also your one-stop-shop for details on all career events. fax 0-4-463 5252. fax 0-4-463 5252. i.victoria.ac. 16. A separate Law and Accounting Employment Programme is held early in the year.1.0 University Student Services 16. There are career workshops for developing interview skills. 16. employer presentations.ac. This can be accessed via Victoria CareerHub: http://careerhub. The Service has three professionally-trained careers advisers available for informal.
1. mental health condition or chronic illness that may impact on their study. alternative print formatting. Bookings can be made by contacting the Manager. The Law Crèche.00pm by special arrangement. their relationships or their learning. hearing assistance technology. and possibly to 6. injury. Robert Stout Building. in the Government Buildings on Lambton Quay.nz 16. Staff ECE Centres are Tui House at 4 Clermont Terrace.3 Counselling Service 2 Wai-te-ata Road (Kelburn campus) Hours: 9am to 5pm throughout the year tel 0-4-463 5310.16. Room 103 Telephone for an appointment tel 0-4-463 6070. and personal assistance where appropriate. Bookings are on a permanent basis.30am to 5. and Kea House at 2 Clermont Terrace.victoria. Students who wish to use any of the Crèches should register in person from the ﬁrst Monday of November at 71 Fairlie Terrace.1. Level 0.6 Kaiwawao Maori/ Maori Student Services Adviser Hunter Courtyard. places to study and rest. Trained and experienced staff provide care and education for children aged from three months to ﬁve years.nz/mai 70 PhD Handbook . A range of services and support is available. 16. or phone the Manager on 0-4-463 5151.7 MAI Ki Poneke MAI (Maori and Indigenous Postgraduate Students) is a national network for Maori.1. fax 0-4-463 5028 Counselling Clinics are also held at Pipitea. regular workshops and a mentoring programme.30pm on weekdays during term and examinations. Kirk Building. Te Aro and Karori campuses.ac.ac. The University Staff Early Childhood Education (ECE) Centres cater for the children of staff and postgraduate students. caters for 14 children up to three-and-a-half years of age.ac.nz/st_services/kaiwawao/ The Kaiwawao Maori Service’s main objective is to ensure all Maori students receive up-to-date information and assistance to participate and succeed at Victoria University.nz www. including specialised computer software.1. This Crèche is on the Kelburn campus. 16. which offers monthly regional meetings. Room 007 tel 0-4. email Disability@vuw. www. tel 0-4-463 5151 or email Childcare@vuw.4 Childcare The University Student Crèche is available to students with pre-school children (from birth to ﬁve years). 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. Students wishing to discuss their needs should contact a Student Adviser from Disability Support Services as early as possible. fax 0-4-463 5104.30pm email firstname.lastname@example.org. and is open from 8am to 5. Pasiﬁka and First Nations’ PhD Candidates. There are also active student support groups.463 6001 or 027 563 6001 Monday to Friday 8. and is open 8.30pm weekdays. The Crèche’s fully trained and experienced staff provide care and education for children while parents are studying. 16.ac. at 67-71 Fairlie Terrace.ac. Group programmes are also available.5 Disability Support Services Level 1.victoria. either full-time or ﬁve half days.nz Disability Support Services are on campus to assist students who are deaf or have an impairment.1.
management of ongoing health problems.30am to 4pm Monday to Friday Pipitea: Railway Station. For free medical advice.30am to 3. minor surgery and more. developing research questions.30pm Tuesdays and Fridays tel (04)-463 5999. oral presentations. Level 2 Hours: 8. smears and sexual health checks. childcare.10 Student Learning Support Service Kelburn: Kirk Building. Railway Station.ac. For further information phone 0-4-463 5908. A number of specialist services are also available including psychiatry.ac.nz/postgradlife PhD Handbook 71 .ac.nz The Student Learning Support Service (SLSS) runs regular seminars on topics of interest to postgraduate students. West Wing tel 0-4-463 7474. fax 0-4-463 9581 email Student-health@vuw. Level 0 Hunter Courtyard Hours: 8. contraception.ac.9 Student Health Service Kelburn: 4 Wai-te-ata Rd. After hours emergency care is shared with Wellington GPs at the Wellington Accident and Urgent Medical Centre. email Student-hardship@vuw. fax 04-463-7475 Karori: Level 3. and structuring and formatting long documents.nz www. fax 0-4-463 5252. tel 0-4-384 4944 (there will a charge for this service). 16. phone 0800-611 116 to speak to a registered nurse.nz/st_services/health/ (for clinic times and fee structure) The Student Health Service offers low cost conﬁdential quality healthcare. including time management. and Te Aro: Ground ﬂoor. PostgradLife is a student-centred website which provides links to important information for postgraduate students: www. will help postgraduates set up and maintain a peer study/support group in their school and will organise workshops on request. in the ﬁrst weeks of each trimester. 139 Vivian St tel 0-4-463-5308.16. fax (04)-463 5252. accommodation etc. transport. for example. Experienced learning advisers are also available for one-to-one consultations on all aspects of postgraduate study. dermatology and physiotherapy. Rooms 106 and 107 Hours: 9am to 5pm weekdays (no appointments on Fridays) tel 0-4-463 6644 or 0-4-463 6658. An experienced team of doctors and nurses provides a wide range of medical care including treatment of acute illness and injury. 16. Level 2. They administer the Hardship Fund which provides short-term assistance for those facing ﬁnancial difﬁculties.8 Financial Support and Advice 14 Kelburn Parade.nz The Student Finance Advisers help students to manage their personal ﬁnances by providing advice and individual budgets. email Studentemail@example.com. high course costs.1. fax 04-463-5028 Pipitea: Student Services.1. The Advisers have close links with StudyLink and can assist with problems associated with Student Allowance and Loan applications. They can also help students complete ﬁnancial statements for scholarships applications. Grey Block. SLSS facilitates a regular postgraduate writing group (beginning with an intensive Saturday workshop in March). research costs not covered by grants.victoria. travel and nutrition advice.1. 17 Adelaide Road. Our Student Health Service will help you enjoy better health and an improved lifestyle. at both Kelburn and Pipitea campuses. Faculty of Education tel 0-4-463 9537. West Wing.ac.
ac.nz The Union Building houses the Student Union management and the Students’ Association. 16. many of who have achieved distinction in a variety of ﬁelds in New Zealand and elsewhere. recreational. or have been enrolled since the penultimate election.1.ac. They also deal with all insurance and visa-related issues and can help you settle into your new life in Wellington. Anyone who has studied or worked at Victoria may join. or have applied to the Secretary for transfer to the active roll. Wellington. New Zealand.2 Student Union Complex The University’s ‘Community Centre’. the Recreation Centre. Graduates are encouraged to remain involved in the life of the University and to exercise their right to representation on the University Council.victoria.nz.12 Alumni Association The University values its links with its former students. The register of members is in two parts. The Student Union Building is home to vicbooks. the Mount Street Bar and Cafe and the Union Hall and Hunter Bar. social and political activities. 16. the Kelburn Tennis Pavilion and the Boyd Wilson Field and clubrooms. It coordinates activities of the Alumni Association. 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.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 only campus bookshop in New Zealand owned by its students.11 Victoria International The Victoria International Services Team is the ﬁrst port of call for all International PhD students seeking assistance at the University. 16. email student-union@vuw. There is also a National Bank branch and ATM.ac. the Karori Gym and Tennis Courts. Facilities include those offered by the Student Union Building. and through an afﬁnity card it raises money to fund postgraduate scholarships.1.1. the Rutherford House Gym. Enquiries and applications for enrolment should be addressed to the Secretary. which elects ﬁve members of the University Council. Victoria University of Wellington. It is a focus for many activities and features social and meeting rooms. The Association also organizes informal social activities. The Services Team act as a facilitator to help you ﬁnd the assistance you need. Those who have voted in one of the previous two Council elections. Alumni Relations Ofﬁce Room 325. active and inactive. fax 0-4-463 5210: email alumni@vuw. www. which has an important role as a forum to discuss matters of relevance to the University and provide graduate input into University decision-making. PO Box 600.1 Student Union Building tel: 0-4-463 6999. through the VUWSA Trust. 16. New graduates are automatically enrolled on the register. Hunter Building Tel 0-4-4636700. Court of Convocation. are placed on the active roll. fax: 0-4-463 6698. Vicbooks is on the 3rd ﬂoor of the Student Union Building and 72 PhD Handbook . 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.2. the Union Cafe.13 Court of Convocation All graduates of Victoria University are eligible to be enrolled as members of the Court of Convocation. the Student Union Complex provides opportunities for students to participate in a wide variety of cultural.16.
The Group Exercise programme offers fantastic classes in Yoga. www.nz/union/reccentre Recreation offers two main facilities: the recreation centre at the Kelburn Campus.ac. The Kelburn and Karori gymnasiums provide opportunities for indoor sports such as basketball. magazines and stationery. Pump. which has recently been refurbished. email rec-cent@vuw. If you are into social sport check out our Sports League competition. volleyball.ac.2 Recreation Centre tel 0-4-463 6614. Vicbooks offers a student discount on academic textbooks. table tennis and ultimate. PhD Handbook 73 . The Student Union also operates Student Notes on the Ground Floor. Martial arts. basketball and indoor netball.the ground ﬂoor of Rutherford House. Pilates. volleyball.2. Tae Bo and Step to mention a few.victoria. and a second ﬁtness studio and aerobics centre at the Pipitea Campus.nz. During trimesters 1 and 2 we run an Activities Programme giving you the opportunity to try everything from bridge swinging. general books. The Kelburn and Pipitea Fitness Studios offer a full range of cardio equipment and weights machines. 16. or even cocktail making. and has postal and dry cleaning services. to salsa. indoor cricket and rock climbing are a sample of recreational activities which take place at Kelburn. choose from indoor soccer.
Enrolling. Supervising and Examining Candidates Policy on Recognition of Authorship Policy on Staff Conduct Statute for the Degree of Doctor of Philosophy Statute on Student Conduct Strategic Plan University Charter Withholding Theses Procedure 74 PhD Handbook .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.
extensions research away from the University Guidance on all matters pertaining to supervisors the research. record of candidature in the ResearchMaster information management system etc Approving variations to conditions of study including suspensions. 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. Associate Dean. possible supervisors Appropriate ethics committees. extensions. forwarded to Administrative Supervisor and Faculty Ofﬁce Head of School Faculty or School Research/Postgraduate Committees Supervisors. 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. Senior Academic Policy Advisor Resolving problems PhD Handbook 75 . Facilitator and Disputes Advisor. Postgraduate Coordinator. 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. Faculty Ofﬁce. payment of fees.
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 .
where difﬁculties which have arisen during supervision. candidates and internal supervisors sign a Memorandum of Understanding. Head of School The role of Head of School (HoS) varies from one school to another. Responsibilities as follows: PhD Handbook 77 . The Administrative Supervisor has responsibility for the School/Faculty paperwork involved in the candidacy. the HoS will act as the Administrative Supervisor.0 Supervision Protocols) Administrative Supervisor In addition to two academic supervisors. Information includes outlining how the candidate and supervisor/s are working towards the resolution of those difﬁculties Ensures that external supervisors. each PhD candidate will have an Administrative Supervisor who will in most cases. if the internal examiner or the principal examiner is not available. Most administrative responsibilities for PhD students are delegated to the School Research/Postgraduate Committee (SRC).Appendix 2: Summary of Role Responsibilities Supervisor/s (see Chapter 7. 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. be the Head of School (HoS) of registration. In most cases. are hindering the research progress. 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.
Enrolment/Registration • Writes an agreement (Research Memorandum) between the School. the Research Memorandum. and the SRC recommendation to the FO for ﬁnal approval by the Associate Dean Sends recommendations on full registration to Associate Dean • • Supervision • Ensures only qualiﬁed staff members gain approval as thesis supervisors and advises supervisors of the mandatory professional development programme Ensures supervision is included in the school workload formula Recommends supervisors to the Associate Dean Ensures appropriate supervision arrangements are in place if the primary supervisor is absent from the University for longer than one month Ensures all external supervisors are provided with a copy of the PhD Handbook. 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. equipment. proposed action to rectify problems speciﬁed in the six-monthly reports. signs the completed application form (along with all the supervisors) and then returns the form. the initial proposal. and monitors. 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. 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. 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. candidate and supervisor/s of the entitlements (facilities. 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 .
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. • PhD Handbook 79 . 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. 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.
or delegated authority. at the time of registration. a period during which candidates must be working under direct supervision Receives rationale from supervisors and candidates for any prolonged absence from the Wellington region Grants permission to candidates who wish to pursue a period of research overseas Approves backdates of provisional registration (up to two months) for candidates who have spent productive time in developing their research proposal before registration Approves requests for extensions of provisional enrolment Terminates provisional registration. where major difﬁculties are experienced early on in the project and requests that the candidate consider the possibility of identifying a new research project Approves any additional SRC guidelines on what constitutes satisfactory progress for candidates to move from provisional to full registration Approves applications to move to full registration Receives notiﬁcation from candidates if circumstances which have been taken into account in setting the period of registration change in any material way Approves. on 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. 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. 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. Sends copies to the RDC for approval • • • • • • • • • • • • • • • • 80 PhD Handbook . 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. on rare occasions.Associate Dean (Students/Research) In each faculty an Associate Dean. or extensions beyond seven years (only granted in exceptional circumstances). where good cause is shown. where the HoS is already the primary supervisor.
the Administrative Supervisor and the HoS • • • • • • • • Oral Examinations: • Arranges an oral examination where appropriate (including requests to the PhD Convener for oral examination approval when required) Chairs the oral examination. where differing recommendations are made. the primary supervisor. to see if the differing recommendations can be resolved Reports on the examination of the thesis to the PhD Convener. 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. the candidate will be advised of the reasons for the decision and the changes necessary to make the thesis suitable for examination. 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. 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. 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).Supervision • • Receives and monitors progress on the six-monthly reports Advises supervisors and candidates over matters relating to supervision. or appoints an appropriate person as chairperson Sends examiners’ reports to the candidate at least ﬁve days before the oral examination • • PhD Handbook 81 . after appropriate consultation. to the Deputy Vice-Chancellor (Research) • • Examination • • Approves requests for early submission Receives recommendations from the primary supervisor where it is the supervisor’s opinion that the thesis is not of a sufﬁcient standard for examination. Supervisor must notify the candidate who will have the opportunity to make a submission to the Associate Dean Decides. If the Associate Dean so decides.
• • PhD Convener The PhD Convener chairs the Research Degrees Committee (RDC). fees. with a recommendation. borrowed. 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. Responsibilities as follows: 82 PhD Handbook . Administrative Supervisor and HoS. The PhD Convener approves the examination arrangements for PhDs in consultation with the relevant Associate Dean. on behalf of the Associate Dean Ensures the candidate has deposited two copies of the ﬁnal copy of the thesis in the library. Sends the report of the oral examiner to the candidate. copied or reproduced in accordance with the Library regulations.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. • 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. primary supervisor. Responsibilities are: Enrolment/Registration • • • Administers candidates registration. after any telephone conversations with the overseas examiner as appropriate.• Reports on the examination as a whole. assesses examiners’ reports and makes a decision concerning the examination result on behalf of the RDC. to the RDS.
on behalf of the RDC. any other doctoral qualiﬁcations. PhDs. the recommendation from the examiners. candidate or RDC Approves requests for oral examinations via the Associate Dean. 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. including all the examiners’ reports and a recommendation on the outcome Approves. the operation of supervision procedures and research student completion rates • • PhD Handbook 83 . consults with the RDC Asks the Associate Dean to arrange an oral examination where requested by the supervisor. in exceptional circumstances. Where necessary. 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. Responsibilities as follows: Policy • Reviews policy related to Master’s Degrees by thesis (of 90 points and above).Submission • Grants permission. on behalf of the RDC. including Higher Doctorates. any unusual procedures for the oral examination. for a thesis larger then 100. • • 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.000 words to be submitted for examination Examination • Receives a report from the Associate Dean of the examination of the thesis.
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
the submission times will be calculated on a pro rata basis.and half-time.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. 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. the Associate Dean may. Extensions shall be granted only in exceptional circumstances. the date of registration shall be deemed to be the date of ﬁrst enrolment for the degree. This excludes any period(s) of suspension. (c) 4. All calculations will exclude any periods of suspension.2 Conditions of Enrolment (a) Initially. Termination. On application from a candidate. In the case of candidates who have been permitted to change between full. 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. the minimum period of registration will be 36 months. Every year of enrolment in May and November. on application to the Research Degrees Committee. 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. the total period of suspension shall not usually exceed twelve months. otherwise the candidate’s enrolment will be terminated. (b) 4. the minimum period of registration will be 24 months and with halftime enrolment.3 Re-enrolment. During a student’s candidature. 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. where good cause is shown. subject to any submission or appeal a candidate may make. 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. and will not usually exceed twelve months. During suspension of enrolment the candidate will pay no fees and will have no access to university services. Where a candidate is accepted under clause 4.(ii) be currently enrolled in a Master’s by thesis. through the Associate Dean. for a period of not less than one month. With full-time enrolment. PhD Handbook 87 .1 (a) (ii). the Associate Dean may grant a suspension of enrolment. (b) (c) (d) (e) 4. If progress is reported to be unsatisfactory. a candidate shall be provisionally registered as a candidate for the Doctor of Philosophy. 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. including supervision and the library. (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. Extensions to the due date of the thesis may be granted. measured in monthly increments. and not more than twelve months.
who will determine whether the degree be awarded. The principal supervisor or co-supervisor must not be an examiner. appointed by the Research Degrees Committee (RDC). (c) 4. make a report on the whole examination to the RDC. or accepted for publication at the time of submission. a candidate may submit their thesis and apply for examination. part of the research programme may be carried out at locations outside the University.000 words in length (including scholarly apparatus).5 Examination (a) At any time after the minimum period of enrolment. a statement shall be included showing how the published work relates to the thesis. This contribution may include critical. The Associate Dean may on the application of the candidate or the supervisors at any time before the submission of the thesis. (b) The thesis shall not exceed a total of 100. The Associate Dean shall. The format of the thesis is determined by the Library Statute (see Clause 4. experimental. and contact details of co-authors (see the Recognition of Authorship Policy). 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. but with permission of the Associate Dean.(i) The research will normally be conducted at Victoria University of Wellington. In exceptional circumstances the Research Degrees Committee may grant permission for a longer thesis to be submitted for examination. but the end result must be a single integrated study. (ii) The thesis must be a body of work that demonstrates the candidate’s ability to carry out independent research. (b) (c) (d) (e) (f) (g) (h) (i) 88 PhD Handbook . and constitutes a signiﬁcant and original contribution to knowledge or understanding. approve the enrolment of the candidate in a subject for an appropriate Master’s degree instead of the degree of Doctor of Philosophy. or on the recommendation of the examiners after the submission of the thesis. after consultation with the examiners. the candidate must provide a detailed statement of each author’s contribution to such work. (iii) The thesis may include the candidate’s previously published work or material based on previous research. Where any of the published material included in clause 4. theoretical or creative components. Where any work relevant to the thesis has been published. The thesis shall be examined by three examiners. it will be awarded upon the deposit of copies of the ﬁnal thesis in the University Library in accordance with the Library Statute. Where the decision has been made to award the degree. as long as the report constituting the thesis is written under supervision during the period of registration. 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. Any application for Withholding of Theses should be made as early as possible in the research project and well before submission. One of these examiners will normally be from outside New Zealand.5 (b) is co-authored.12 of the Library Statute).
Theresa Sawicka Research Manager Extn. Contact Person: The following person may be approached on a routine basis in relation to this statute: Dr. notwithstanding any other provision in the Statute for that Master’s degree. None Appendices: 7. 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. Approval Agency: University Council 8. 5. Supervising and Examining PhD Candidates Recognition of Authorship Policy Withholding of Theses Procedure 6. References: Library Statute PhD Policy: Approving. (ii) In any other case. 5190 PhD Handbook 89 .(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. 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. Enrolling. Statute Sponsor: Deputy Vice-Chancellor (Research) 10. provided that the candidate has been enrolled for the degree of Doctor of Philosophy for that period.
90 PhD Handbook .