2008-phd-handbook_v1 | Doctor Of Philosophy | Thesis

Contents
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

Research Proposals

Supervisors

PhD Handbook

1

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 6.10 Facilitating Administrative Compliance 7.12 Move from Provisional to Full Registration 6.4 6.2.22 Conversion of a PhD to a Master’s Degree 7.2 Providing Academic Guidance 7.0 Formal Admission and Registration Requirements 6.13.2.12 Encouraging Publication 2 PhD Handbook .19 Extensions and Suspensions of Registration 6.2.1 Full Research Proposal 6.13 Confirmation of Full Registration 6.2.20 Concurrent Study 6.5 Providing Feedback 7.2.9 Encouraging Academic Contacts 7.8 6.13.8 Supporting the Student 7.7 6.6 6.2.2.5 6.2.2.2 6.16 Notification of Changes to Registration 6.1 7.2 The Role of Supervisors The Responsibilities of Supervisors 7.18 Registration and Other Work 6.7 Six-monthly Progress Reports 7.1 Assessing the Student 7.6.3 6.21 Change of Title 6.2 Presentation of the Proposal 6.1 6.11 Collaborating Institutions 6.15 Duration of Registration 6.3 Scheduling Meetings 7.11 Assisting Examination Arrangements 7.17 Maintenance of Registration 6.2.2.14 Date of Registration 6.13.3 Approval 6.2.0 Supervision Protocols 7.4 Milestones 7.6 Identifying Problems 7.10 Period of Overseas Research 6.

2 Range of services 9.3.2 Reference and Research Services 9.5 Facilitating Administrative Compliance 7.2 Minimum Resources Agreement 9.2.2 8.5 ITS Student Help Desk Service 9.2 Statistical Advice 10.3.1.8 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 .3.7 Giving Notice of Submission 7.1 8.4 8.3.2 Actively Pursuing the Research 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 9.6 Meeting Ethical Guidelines 7.Te Pataka Korero 9.3.2.3.2 Information Technology Resources 9.6 Other Libraries 10.3 Financial Assistance 9.3.1.4 Accessing the Network 9.3 Research Seminars 9.0 8.1 Responsibilities of the Head of School 9.2.13 Support for Supervisors 7.3 The University Library .2.4 8.3.5 9.1.9 Publishing 7.3.2.0 Research Advice 10.3 Registration as an ITS Client 9.3.4 Identifying Problems 7.0 9.3.3.4 Inter-Library Loan and Document Delivery 9.2.3 8.5 Specialised Collections 9.3 The Responsibilities of Candidates 7.7.3.2.1 Lending Services 9.1 Student Learning Support Service 10.3 Participating in University Intellectual Life 7.3.1 Planning the Research 7.1 Introduction 9.3.

3 Copyright and Intellectual Property 13.6 Loans and Allowances 11.3 Format 13.4.3.2.7 Tutoring and Demonstrating 12.4 Resolving Administrative Difficulties 13.2 Seeking Assistance from the Associate Dean 12.1 Layout 13.6 Official Information Act 1982 14.2 Guide to the Presentation of Theses 13.3.9 Specimen Layout of Title Page 13.1 Introduction 13.1 Appointment of Examiners 14.5 Research Grants 11.2 PhD Submission Scholarships 11.4 Withholding Access to Theses 13.0 The Thesis 13.2.4.4.0 The PhD Examination 14.2 Early Submission 44 44 44 44 44 45 45 45 46 46 46 46 47 47 47 47 48 49 49 49 49 50 51 51 51 51 51 52 53 54 54 54 54 54 54 55 55 56 59 59 59 4 PhD Handbook .3.2 General Principles 12.4.3 Seeking Assistance Outside the Faculty 12.2.3.5 Paper 13.2 Permanent Binding of the Thesis 13.1 Introduction 12.1 University Scholarships 11.3.3 General Guidelines 12.2.7 Length 13.8 Computer Use 13.4.2.2 Citation style 13.4 Externally-funded Scholarships and Grants 11.3.2 Deposit 13.1 Public Availability of Theses 13.4 Lodging a Formal Grievance 12.4 Pagination 13.2.2.6 Photographic and Colour Copy Illustrations 13.1 Seeking Assistance from the Administrative Supervisor 12.3 Doctoral Completion Awards 11.4 Availability and Withholding of Access to Theses 13.3 Binding 13.2.11.1 Temporary Binding for Examination 13.0 Resolution of Problems 12.2.0 Research Funding and Financial Support 11.

5 Rights and Obligations Regarding Conduct 15.1.1.5.1 Accommodation Service 16.5.3 Disputes about Revision 14.10 Revision and Re-Submission of Thesis for Second Examination 15.4 Examination 14.1 Introduction 15.6 Arrangement of Oral Examination 14.9.1.4 The VUW Postgraduate Students’ Association 15.2.4 Childcare 16.1.1.2 Values and Ethos 15.5 Disability Support Services 16.1.10 Student Learning Support Service 16.1.3 Submission 14.8 Report on the Oral Examination 14.1 Student Services Group 16.13 Court of Convocation 16.1.1 Minor Amendments 14.2 Career Development and Employment 16.7 MAI Ki Poneke 16.9 Minor Amendments and Revisions 14.11 Victoria Interntational 16.7 Conduct of Oral Examination 14.0 University Student Services 16.6 Kaiwawao Maori/ Maori Student Services Adviser 16.3 Formal procedures 16.1 Student Union Building 16.2 The Policy on Staff Conduct 15.12 Alumni Association 16.5.1 The Statute on Student Conduct 15.9.5 Examination of the Thesis 14.1.1.2 Student Union Complex 16.2 Revisions 14.9 Student Health Service 16.1.1.14.1.2 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 .0 The University Community 15.3 Counselling Service 16.8 Financial Support and Advice 16.3 Collegiality 15.9.2.

and a forum for students to post details about their research online www. 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.nz/home/about/policy/research.nz/ international/.pdf 6 PhD Handbook .ac. As well as linking directly to relevant sites. Comments and suggestions for improvements are welcome: researchoffice@vuw.ac.aspx The web version of the Handbook is likely to contain any recent updates or changes and can be downloaded directly at www.International Students If you are an international student who is not currently enrolled. tel 64 4-463-5350.nz/postgradlife The PhD Handbook was updated by the Research and Postgraduate Studies office in 2008.nz/home/ about/newspubs/universitypubs/phd_handbook.victoria.victoria.ac.victoria. Web access to policy information and the guidelines referred to in the PhD Handbook can be viewed at: www. email victoria-international@vuw. Please contact Victoria International www.victoria.nz. it offers practical advice and support.ac.nz.ac.ac. there are things you will need to know before you read the PhD Handbook.

as well as spending serious and concentrated time on their studies. Neil Quigley Deputy Vice-Chancellor (Research) PhD Handbook 7 . Parts of the Handbook draw attention to the amount of effort and time you will have to commit to completing your PhD. and verbal presentation skills. intellectually stimulating and ultimately. so the award of this degree is a mark of truly global academic distinction. The Handbook offers you and your supervisor guidance on many aspects of the process of supervised research. analysis. often by examiners from around the world. and that it will be enjoyable. which is a distinctive feature of study for this degree.Preface To the Candidate On behalf of Victoria University of Wellington. rewarding. I would like to welcome you to your PhD studies at this institution. Many of the rewards of study for the PhD degree are what we might call ‘intrinsic’. You will develop and demonstrate skills in research. The PhD Handbook is an important dimension of the support we provide for all our students enrolled at doctoral level. pastimes and forms of community service. 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. study undertaken for your PhD will provide you with what could be termed ‘extrinsic’ opportunities to improve yourself professionally. We know from the research that students are more likely to complete their degree if they develop academic and social connections with their peers. In addition to these intrinsic benefits. The information provided in the Handbook is governed by the PhD Statute and policy of the University. 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. they are a consequence of your commitment to undertake intensive original work in your chosen field of study. organising your work and time. 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. These skills provide the basis for further academic work and they are also likely to be invaluable in a wide range of other occupations. written communication in the language of your discipline. PhD theses are evaluated by international standards. These are important issues.

Sandra Crews. x5023. Postgraduate Coordinator Commerce and Administration.org. Faculty Offices Architecture and Design. Individual staff email addresses follow the form: firstname. x5619 Research Manager. x9569 Humanities and Social Sciences. x6112 Scholarships Manager. Professor of Research Humanities and Social Sciences. Deputy Vice-Chancellor (Research). Philippa Hay. Ground floor. Jon Everest. Sandra France. Kristina McGuiness-King. Robert Stout Building. Professor Neil Quigley PhD Convener. x7493 Associate Deans and Delegated Authorities Architecture and Design. x5676. x5191. Professor Laurie Bauer. x6324. Deputy Dean Law. then dialling the extension required. Professor George Baird. x8068.vuwsa. 14 Wai-te-ata Road.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. Jenny Calder-Smith. Convener of the Research Degrees Committee. Jenny Christie. x5192 Law. x5980 Other advice and support Senior Academic Policy Adviser. Office of Assistant Vice-Chancellor (Academic).lastname@vuw.nz 8 PhD Handbook . www.nz x6984. Lois Baillie. x6975 Science. these details are correct. Shona de Sain. Professor Tony Angelo. but users should refer to the website for any updates. PhD Adviser Science. Associate Dean (Graduate Studies and Research) Education. Dr Theresa Sawicka. x5190 Postgraduate Research Coordinator. Room 207 VUWSA Education Coordinator. x5144. Associate Professor Allison Kirkman. x5087 Education. Associate Dean (Students) Managers. x9598.crews@vuwsa. Student Union Building. Professor Luanna Meyer. sandra. Room 205 Facilitator and Disputes Adviser.ac. Johann Barnard.Staff Holding Administrative Positions At the time of publishing. Alison Munro. x6217 Commerce and Administration.org. x6231. Extension numbers beginning 8xxx may be reached by calling the automated attendant on 0-4-463 5233. Professor Sally Davenport.

Enrolling. Supervising and Examining Candidates Research Degrees Committee (a committee of the Academic Board) Student Computing Services School Research/Postgraduate Committee (the committee in each school responsible for advising the HoS on research and postgraduate matters) University Research Committee University Teaching Development Centre Victoria University of Wellington Victoria University of Wellington Students’ Association URC UTDC VUW VUWSA PhD Handbook 9 .Abbreviations AVC (Academic) CRI DVC (Research) HEC HoS PG Coordinator PGSA PhD Convener PhD Statute PhD Policy RDC SCS SRC Assistant Vice-Chancellor (Academic) Crown Research Institute Deputy Vice-Chancellor (Research) Human Ethics Committee Head of School Postgraduate Coordinator Postgraduate Students’ Association Convener of the University’s Research Degrees Committee Statute for the Degree of Doctor of Philosophy PhD Policy: Approving.

1.2. and the role of supervisors is discussed more fully in Chapter 7. 1.2. 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. 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.g. • The Handbook is published every two years. Heads of Schools and Associate Deans with guidelines for the academic management of the PhD degree. each PhD candidate will have an Administrative Supervisor who is usually the head of the school of registration. The descriptions given here are introductory and more detailed information is provided later in the Handbook and in the appendices. In Appendix 1 there is a summary of key tasks and responsibilities and Appendix 2 has a summary of key role responsibilities for quick reference.2 Staff involved in the Management of PhDs Many staff are involved in the management of each PhD candidacy.2 The Administrative Supervisor In addition to two academic supervisors. PhD supervisors.0 Introduction 1. Each candidate works under the guidance of two supervisors.victoria. School Postgraduate Coordinators often fulfil this role and they also serve as the initial point of contact for potential PhD students. or both supervisors may ‘co-supervise’ a candidate.ac. for ensuring that six-monthly progress reports are provided).1 The Supervisors Supervisors are the staff members appointed by the University to take academic responsibility for guiding a PhD candidate during the period of research and writing up. but the PhD Policy and Statute are updated more frequently. The person who fulfils the role of the Administrative Supervisor varies from faculty to faculty.1.1 Aims of the PhD Handbook The aims of this handbook are to: • provide PhD candidates.aspx 1. 10 PhD Handbook . The supervisors may be appointed as ‘primary supervisor’ and ‘secondary supervisor’.nz/home/about/policy/research. The Administrative Supervisor is normally the first source of advice for the supervisors. The most recent versions of these documents may have significant differences from the Handbook and should be referred to at www. The appointment of supervisors is outlined in Chapter 5. inform PhD candidates of the resources and services available at the University to support their research.

The HoS (or school administrator) will be able to direct students to the appropriate PG Coordinators. ensuring that the candidate has a copy PhD Handbook. providing advice and support for supervisors.2. Education and Science. 1. Schools appoint Postgraduate Coordinators (PG Coordinators) to manage postgraduate matters. ensuring that records are kept and six monthly progress reports are monitored. liaising with the Associate Dean over progress. ensuring that the candidate has two supervisors. Specific responsibilities include: • discussing potential research projects with a candidate and making decisions about their suitability.3 The Head of School The Head of School (HoS) role varies from faculty to faculty and from one school to another. In the Faculties of Humanities and Social Sciences. 1. overseeing the transfer of a candidate from provisional to full registration. In some cases.5 The School Research/Postgraduate Committee The School Research/Postgraduate Committee (SRC) is responsible for management of PhD candidature in the School. Roles include vetting thesis proposals and developing guidelines in addition to the University criteria for the movement from provisional to full registration. responding to student queries and concerns.2.4 The Postgraduate Coordinator/Director The Postgraduate Coordinator in each school is responsible for providing information and guidance to prospective and enrolled PhD students and supervisors within a subject area. 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. the HoS is assisted by a School Research/Postgraduate Committee. PhD Handbook 11 . providing candidates with university and additional school-specific criteria for progressing from provisional to full registration. In each school.2. and managing all administrative procedures with school administration staff. overseeing acceptance of a candidate within a school. referring prospective candidates to possible supervisors. Regardless of whether the HoS has this role. this task is delegated to another member of staff. • • • • • • • • • • • • The PG Coordinator may also run research seminars and be a member of the SRC. the HoS will normally be the Administrative Supervisor. vetting initial research proposals in conjunction with the School Research Committee (SRC). which vets thesis proposals and provides advice on issues of postgraduate student management.1.

1.1. suspensions.11 The Deputy Vice-Chancellor (Research) The Deputy Vice-Chancellor (Research)(DVC (Research) is responsible for the development of the University’s research policies. assesses examiners’ reports. who is appointed by the Deputy Vice-Chancellor (Research). The PhD Convener approves the examination arrangements for PhDs in consultation with the relevant Associate Dean. The office can provide information and advice on university research policy and procedural matters that may arise in the course of a PhD candidature. and should normally be the first person to be approached with any matters relating to supervision. the appointment of Honorary Research Associates as external supervisors and chairs the University Research Committee. considers examiners’ reports and makes a decision concerning the examination result. extensions.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. 1.victoria. receipt of six-monthly progress reports. Further information is available at http:// intranet. and official notification of results. The Faculty Office should be able to provide any information required about these administrative processes . They also have an advisory role. In all faculties.nz/research-office/ 1. sending the thesis to examiners.2. supports research administration in the University (including scholarships).ac. Academic grievances concerning PhD candidacy are dealt with by the Assistant Vice-Chancellor (Academic) who will consult with the DVC (Research). The areas of responsibility of the Faculty Office include the administration of registration. grants extensions and suspensions for candidates over five years and makes a decision concerning the examination result on behalf of the RDC. fees. funding and grievances which have not been dealt with by the PG Coordinator.2. Administrative Supervisor or the Head of School. 1.2. They may also be consulted about problems relating to PhD candidacy if matters cannot satisfactorily be resolved at the School or Faculty level. The Associate Deans (see page 8 for contact details) will normally consult with supervisors and Administrative Supervisors on such matters. 12 PhD Handbook .7 The Faculty Office The appropriate Faculty Office is the central processing and service centre for all administrative details related to the PhD candidature. confirming registrations and granting extensions and suspensions. The RDC approves the examination arrangements for PhDs in consultation with the relevant Associate Dean. receipt of the thesis. liaises with schools and faculties and provides advice and assistance in support of staff and student research.9 The Research Degrees Committee The Research Degrees Committee (RDC) of the Academic Board has responsibility for ensuring that the processes concerning the PhD are appropriately consistent across the University.2.8 The PhD Convener The Research Degrees Committee (RDC) is convened by the PhD Convener.see page 8 for contact details.10 Research and Postgraduate Studies Office The Research and Postgraduate Studies office assists in the formulation of policy. the Associate Deans have responsibility for approving provisional registrations.2.2.

It is also expected that candidates will make a contribution to the ongoing intellectual life of the School in which they are registered. and good writing ability. The University has a commitment to build upon an already high national and international reputation in many fields of research through a range of strategies. including the provision of an environment which fosters postgraduate students and postgraduate training. ability to work independently. Although it may seem obvious. This includes taking an appropriate part in school or faculty PhD Handbook 13 . These are the standards which will be used in the examination of the thesis. Other qualities which have been found to be important to success include the following: self-discipline (particularly in relation to work habits).nz/council/publications. 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.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. it is also necessary for a candidate to be sure that they have the time available to undertake the research. However. and are advised to develop strategies to minimise their impact. staff of other institutions. 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. While it is possible to succeed in spite of difficulties in some of these areas. The PhD candidature involves a commitment from candidate. These documents are available on: www. These requirements are for the protection of both the candidate and the University. to demonstrate proficiency in writing English. but who are proposing to write their thesis in English.0 Background to the PhD 2. htm 2. only if the University can meet the candidate’s research needs will the relationship be mutually beneficial. and if the proposal meets the University’s ethical standards. supervisors and the University which extends over some years. The enhancement of research is recognised in the University as a vital element in its national and international responsibilities. willingness to work within the scholarly tradition. candidates may also be admitted on other criteria at the discretion of the Associate Dean on the recommendation of the School. It is particularly important for candidates whose first language is not English. Heads of Schools hold copies of the Charter and the current Strategic Plan. willingness to respond effectively to advice and criticism. Research is fundamental to the University. thus enhancing the chances of success. the PhD degree is a key part of the University’s research activity and training.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. A full description of the University’s mission and values is set out in the University Charter.victoria. Stable financial and personal circumstances are also important factors in success.2. ability to evaluate one’s own work.ac. in approved circumstances. persistence in the face of setbacks. 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. if the Library has adequate resources to support the research. A copy is held in the main collection of the Library. 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.

20). or simply to attend certain lectures.2 (b)). The minimum period of enrolment is 24 months but in the majority of cases. 14 PhD Handbook . For half-time candidates. candidates are discouraged from attempting any other academic study together with a PhD because of the demands of a PhD thesis. Candidates can expect that schools will make such opportunities for participation available. At Victoria University of Wellington. email and other forms of informal discussion. of course. to obtain background necessary to aspects of their PhD research. Permission is required to enrol in any additional papers (see 6. both formal and informal. the total period for completion will. the PhD is assessed entirely on the presented thesis. Occasionally a school will ask a candidate to undertake certain papers. The results from such papers do not form part of the final assessment of the PhD. it takes at least 36 months to complete a satisfactory research project and write it up. Apart from such papers as the School may consider necessary.activities. and exchanging ideas with staff and other students through seminars. be longer. The minimum period of enrolment for half-time candidates is 36 months (PhD Statute 4.

2 Developing a Proposal Once agreement has been reached that the project is likely to prove viable. See Chapter 8 for information regarding ethical approval. Such written reports allow a better assessment of progress and can also serve as the basis for the final thesis.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. 3. 3. Supervisors will then be nominated and any ethical approvals required will be sought.10). six-monthly progress reports are required.3 Provisional Registration When the proposal is accepted.ac. candidates will need to supply: • • • • academic background information. and details of any funding which has been obtained or which is being sought. the opportunity to take stock of progress. At this stage. During the period of enrolment. Students doing experimental work are also encouraged to keep log books documenting their work. to maintain close contact with. their supervisors. and seek advice from.0 An Outline of the Process 3. These give candidates. and that the School is able to provide adequate supervision and resources. Victoria University of Wellington (VUW) schools have web pages detailing degrees offered.12 and 6. Student Learning Support Services offer seminars to support postgraduate research students (see 16. as well as supervisors. and whether the School is able to provide adequate supervision and resources. a curriculum vitae. There are likely to be periods of great progress. registration will be confirmed within 15 months (see 6. PhD Handbook 15 . the candidate will be registered provisionally for a period of 12 months. This may be backdated to include the time spent developing the proposal. Prospective candidates should begin by making informal contact with the School concerned. as much detail as possible about the proposed area of research. 3. They are encouraged to try to develop an organised work system.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.3. particularly showing evidence of prior research experience. staff and their research areas and contact details. This will enable the School to make an initial assessment of whether a candidate has a suitable academic background.victoria. 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.1. but candidates should also prepare themselves for moments when they feel overwhelmed. for example. scholarships. the prospective candidate will be invited to submit an initial research proposal.13). The VUW website www. Provided that satisfactory progress is made and that university requirements are met.nz is an excellent starting point for those interested in gathering information on what the University and each school has to offer. industry sponsorship etc. unmotivated and unable to clearly map out the next step.

including word limits. Candidates should consult section 4. The agreement of the supervisors does not imply a successful result from the examination process. a timeframe will be set and the candidate will be given guidance on the required re-writing. The examination procedures are fully specified in Chapter 14. and the thesis hard bound. It is possible the thesis may be rejected completely.14 of the PhD Policy for the regulations on submission. If the degree is to be awarded. If the thesis fails to meet the standard required of a PhD thesis. soft bound and submitted for examination. In due course. 3. 16 PhD Handbook . The agreement of the supervisors is not required. supervisors should review the thesis before application for examination is made. the candidate and supervisors should be focusing on writing-up. the candidate may be offered a Master’s degree. A thesis should be presented in a form which is suitable for examination in the discipline concerned and it should conform to all other formal requirements of the University for presentation. they may recommend to the Associate Dean that the thesis is not acceptable for examination.3. This review period should not usually exceed four weeks. the candidate will decide that the research phase has proceeded to the point where writing-up should begin. When the candidate indicates the thesis is complete. although it is usual for supervisors and candidate to reach mutual agreement on this. The procedure following the examination will depend on the result of the examination. in which case the candidacy will be terminated. If the supervisors are of the opinion that the thesis is incomplete. Two copies (one hard bound and one electronic) will then be deposited in the Library. Where the Statute has changed. candidates may elect to complete under the regulations that existed at the time of enrolment subject to the conditions outlined in the Personal Courses of Study Statute section 22 (a) to (c). If the thesis requires substantial re-writing. The writing-up process concludes when the candidate decides that the thesis is ready for examination. then any necessary corrections will be made.6 Examination The thesis should then be printed.5 Writing-Up and Submission In due course. in which case the candidate should continue working on the thesis until it is acceptable. the thesis will be re-submitted and the examination process will begin again. While further research may be prompted by this process.

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. the Faculty Office informs the PhD Convener of completion and arranges graduation .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. Approval of examiners Candidate gives notice of intention to submit Supervisor suggests examiners and checks with candidate 2.Process of submission of a PhD thesis at Victoria University of Wellington 3.

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. See also Chapter 8 of this handbook. Special care should be taken where a project requires access to confidential information from outside the University. The topic must be suitable to meet the academic requirements of a PhD.1 Initial Proposal The initiative in seeking PhD enrolment usually lies with the candidate. and the SRC recommendation to the Faculty Office for final approval by the Associate Dean.3 (b)).ac. Candidates need to discuss the possibility with their supervisors. this must be negotiated with the Head of School (HoS) when the student first enrols and recorded in a Research Memorandum. Further advice can be found in 13. ac.victoria. all the supervisors and the HoS complete the application form and then return the form. The initial research proposal (minimum one page) should detail the project. If it is clear that ethical approval is required from the Human or Animal Ethics Committee. Prospective candidates are advised to think carefully about the kind of research project to which they would like to commit themselves. 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. If a candidate has not yet received the PhD Handbook the PG Coordinator will provide them with a copy.4.aspx 4. the initial proposal. The School Research/ Postgraduate Committee (SRC) will then scrutinise the initial research proposal and Research Memorandum. the issues should be addressed at the outset of the project. who will refer them to possible supervisors. the Research Memorandum. may very well find that their topic is not a good choice. the method of study and any ethical considerations. but also the general public.victoria.0 Research Proposals 4.2 Research involving Confidential or Sensitive Material Candidates should be aware that theses are public documents and are subject to scrutiny not only by a community of scholars. It is the HoS’s responsibility to approve the School taking on a PhD candidate. the candidate should be directed to the University’s ethical guidelines. If the HoS approves the recommendation from the SRC. 18 PhD Handbook . the applicant. An Outline of the Application Procedure for PhD Candidates can be found at http://intranet. Those who enter into a topic thinking they already know the answers to their central questions or who are emotionally committed to an outcome. A request to withhold access to a thesis is a formal process and approval is not lightly given.nz/research-office/forms-and-templates. and make a recommendation to the HoS. Candidates should always enter into their topic in a spirit of genuine enquiry. The School concerned must be satisfied that it is able to provide appropriate supervision and resources for the proposed topic.nz/research%2Doffice/postgraduate/minimum-resources.aspx Where students require additional resources for the project. The next step is to discuss the potential project with the Postgraduate Coordinator (PG Coordinator) of the relevant discipline. If a research proposal is likely to result in a request for the withholding of access to the thesis.4. This document becomes part of the record of registration (see the PhD Policy section 4.

4. This involvement may include cosupervision. Crown Research Institutes). research institutions (e.aspx PhD Handbook 19 . The guidelines for managing external party involvement are available at http://intranet. candidates must be able to start work on their projects as soon as they arrive or they may be disadvantaged by the scholarship coming to an end before the project is completed. The 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.nz/research-office/forms-and-templates. in some instances. 4. As scholarships may be paid. government bodies or the private sector. provision of data. The holding of a scholarship is always conditional upon the scholarship recipient gaining enrolment as a PhD student at Victoria University.g. from the day of the candidate’s arrival in New Zealand.ac.4 External Party Involvement in the Support of Research Students External parties may include researchers from other universities.victoria.3 Research Proposals from Scholarship Holders Overseas candidates who are scholarship holders must formulate a proposal before enrolment is approved. support for research and support for the student.

However. Senior Lecturers. candidates will be registered with only one school. which compromise the ability of the former supervisor to take any role in the assessment of the student. are expected to attend the training session dealing with Victoria University’s statutes and policies.2 The Administrative Supervisor The Administrative Supervisor is generally the Head of School (HoS) in which the student is enrolled. One reason for this could be that they are the primary supervisor. A PhD may be interdisciplinary and in such cases it is desirable for supervisors to be appointed from each discipline. This includes Professors. There will be some cases in which it will be inappropriate for the HoS to assume this role. following nomination by schools. The primary supervisor will normally be a full-time teacher at the University in the sense of the Victoria University of Wellington Act 1961.5.0 Supervisors 5. responsibility lies with the HoS with which the student is most closely associated. Two supervisors will be responsible for academic guidance and the third will be responsible for administration (Administrative Supervisor). Staff who are new to the University. In such cases the responsibility should be delegated to another staff member. 5. Only those staff who have a doctorate and/or appropriate experience and training can be appointed as primary supervisors. but who are already experienced supervisors. must be notified to the Research Degrees Committee by the Associate Dean. Supervisors are appointed by the Associate Deans or delegated authorities on behalf of the Academic Board.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. Lecturers or. Readers and Associate Professors. organised by the Research and Postgraduate Studies office. If the primary supervisor is absent from the University for any period longer than a month. 5. the Administrative Supervisor seeks approval from the Associate Dean by providing a rationale for the change and the appointment of new supervisors. the supervisor and Head of School need to ensure that alternative supervision arrangements are in place. in individually-argued cases. 20 PhD Handbook . 5. 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. Changes in supervision. people holding appointments such as research fellowships. The changes take effect on the Administrative Supervisor’s receipt of the Associate Dean’s approval. it is the Head of School’s responsibility to ensure they attend a professional development programme for supervisors.1 The Appointment of Supervisors Each candidate will be assigned three supervisors.3 Changes to the Supervisory Team If changes are required to the supervisory team. In the case of an inter-disciplinary thesis involving more than one school/programme. The role and responsibilities of supervisors are discussed in Chapter 7. 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.

Responsibility lies with the Primary Supervisor to ensure that the candidate and all supervisors are fully aware of the agreed responsibilities.nz/research-office/postgraduate/forms-and-templates. 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. including the completion of six-monthly reports. It is also important that the Administrative Supervisor ensures that the primary supervisor accepts responsibility for seeing the PhD project to completion. the candidate and the external party must be reached before the project commences. 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. 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. External supervisors will also be given the contact details of the Postgraduate Coordinator in the candidate’s school and a PhD Handbook.victoria. including provisions for revisiting the agreed terms which should be monitored in the six-monthly reports. The Administrative Supervisor should convene a meeting with the supervisors and candidate to discuss and clarify these issues.5. for example a Crown Research Institute. the Administrative Supervisor must make an appropriate recommendation. If the HRA belongs to an external organisation. The agreement will address issues relevant to the relationship including the expectations and obligations of the parties concerned. If it is proposed that a scholar outside the University be appointed as a supervisor.aspx#hra The recommendation must be accompanied by a curriculum vitae. an agreement between Victoria University. Guidelines for supervisory arrangements with external parties outside the University can be obtained from the Research Office website. Any agreement must also comply with the Intellectual Property Policy and the Management of External Research Consultancy and Related Contracts Policy. they will be invited to participate in a professional development programme or receive an information pack. through the Associate Dean. PhD Handbook 21 .

as financial and accommodation guarantees must also be given before a visa is issued. 6. Only when admission ad eundem statum has been granted can an application for registration be prepared and submitted. 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. 6.nz. 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.ac.ac.1(a) (iii)). tel 0-4-463 5350. could form the basis of a PhD thesis. www.ac. 4.1 Admissions Criteria Candidates will normally have a first or second class pass in an Honours or Master’s degree. The SRC will also ensure that a second supervisor is available to be appointed. the student and the supervisor must discuss the change of status with the School Research/Postgraduate Committee (SRC). but will still have to satisfy the requirements for full registration.nz. Prospective candidates should therefore seek this admission at an early stage. This degree need not have been in the subject area of the PhD research. provided candidates can demonstrate adequate competence to undertake the proposed research.3 International Students International students must be granted admission ad eundem statum before they can apply for a student entry visa. The student and the three supervisors will agree in writing on the additional work required for the new degree. If the application is approved by the Associate Dean. who must be satisfied that the existing supervisor is appropriately qualified and experienced to supervise the student at the PhD level. with modifications. who will seek advice from the Head of School.victoria. 22 PhD Handbook . Please also refer to page 6 and section 16.1. email victoriainternational@victoria. This document will substitute for the initial research proposal in the application for a PhD.0 Formal Admission and Registration Requirements 6. 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. the supervisor should discuss a conversion to a PhD with the student.nz/international/. tel 0-4-463 5350.2 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. Victoria International staff are able to provide assistance to administrative staff or potential candidates with evaluating qualifications email victoria-international@vuw. Admissions for a PhD can take place at any time of the year.6. Entry under this section of the PhD Statute requires candidates to satisfy the Associate Dean. Applications must be made through Victoria International. 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. If the supervisor believes that the student enrolled in a Master’s degree has demonstrated the aptitude and level of competence required for PhD study and the research. If it is agreed to convert to a PhD.11.

Students are deemed to be full-time when they are able to devote a minimum of 30 hours per week to the thesis. Permission will not normally be given for students to work away from the University until full registration has been achieved. Student Services Levy and Student Assistance Scheme and Amenities Levy). Enrolment entitles a candidate to: access to supervision. This form should be completed by the candidate once the School is satisfied with the viability of the project. and access to school-based services and resources. After two years. 6. 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. 6.2.2(b). access to Library and Information Technology Services. 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. Candidates in other programmes may need to spend a great deal of time in the Library or field. Where registered students are working away from the University a School memorandum for PhD Study at a Distance is required (go to: http://intranet. In the case of conversion from a Master’s to a PhD there is no provisional registration although candidates must still fulfil all requirements as set out in 6. Students who cannot work on the thesis for the amount of time specified above are enrolled as half-time students.4 Applications to Register Applicants for a PhD should obtain an application form from the appropriate Faculty Office. they may also study at home. Students’ Association Fee. It will then be forwarded to the Associate Dean.5 Approval of Provisional Registration The Associate Dean will consider the application. 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. 6. The normal practice is that candidates will reside within reasonable PhD Handbook 23 .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 form must be signed by the Head of School and supervisors and returned to the Faculty Office. Refer also to 6. re-enrolment may be carried out on a six-monthly basis. 6.victoria. In some programmes the nature of the research will require that candidates work in the School and in these cases laboratory and/or study space will be provided in the University. The Associate Dean will consult with the Head of School if any difficulties arise.aspx).ac. and if approval is given. This excludes statutory holiday periods.nz/research-office/postgraduate/ forms-and-templates.13.6. and either through choice or because of space limitations in the school. on average. the candidate will be granted provisional registration.7 Annual Re-enrolment Candidates must re-enrol annually within one month of the expiry of the previous period of enrolment. over the year. International students may have to fulfil additional requirements.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.

10 Period of Overseas Research Candidates who wish to pursue a period of research overseas must first acquire permission from the Associate Dean. and contributions from the candidate to seminars etc while the candidate is working within the University are expected. Scholarship holders should also seek approval from the Scholarships Committee. a required period of writing-up within the University before submission of the thesis. to the Deputy Vice-Chancellor (Research) (DVC Research) for the appointment of this • 24 PhD Handbook .11 Collaborating Institutions In some circumstances. and some industrial organisations have research facilities which complement those of the University. 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. the Administrative Supervisor must make an appropriate recommendation. 6. 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. if it is proposed that a scholar outside the University be appointed as a supervisor. give an assurance of regular contact (for example by phone. In all such cases. through the Associate Dean. This rationale must take account of academic considerations. The following guidelines should be addressed by supervisors and candidates when setting up such projects: • candidates who are working for a major part of their higher degree study in an institution other than the University should be supervised both by a university staff member who is the primary supervisor and a designated member of staff of the collaborating institution.9 Employment Half-time candidates whose normal place of work includes research facilities should not automatically assume that they might use these facilities rather than those at the University. some hospitals. regular contact and reporting by the candidate is expected. PhD research can be successfully undertaken by candidates working in other institutions. Crown Research Institutes. a memorandum for PhD Study at a Distance must be approved by the School Research/ Postgraduate Committee. • • • • • 6. a required period of preparation within the University before the candidate departs for periods of data collection etc. 6.proximity to the University. 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. fax and/or email) and schedule meetings at regular intervals in Wellington. Candidates who are working away from an institution and regular supervision need to be highly motivated and thoroughly prepared. Candidates and supervisors will be expected to provide the Associate Deans with a rationale for prolonged absence from the Wellington region.

• • PhD Handbook 25 .person as an Honorary Research Associate. able and qualified to assist the candidate. . and approval for candidates to undertake research off campus is more likely to be given when the following criteria are satisfied: . The appointment will be made for four years.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 staff who will provide day-to-day support to the candidate are willing. .12.data collection and examination of base materials can only be carried out off campus. . . . . and undertake. the candidate and the collaborating institution are recognised and apportioned between them.the candidate is encouraged to present seminars both in the collaborating institution and in the University.3 (c)). they will be invited to participate in a Research and Postgraduate Studies office professional development programme or receive an equivalent package. . to provide resources and supervision for PhD candidates should be invited to enter into agreements for formal academic collaboration with the University so that collaboration is recognised by the Council and is seen as a long-term commitment which is of benefit to candidates.the collaborating institution agrees that the candidate will have access to all suitable resources for completion of the higher degree.the intellectual property rights which may belong to the University. Any contract with the collaborating institution requires the approval of the DVC (Research) or nominee. • 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. to academic staff and to collaborating staff of the non-university institution.the rights of the University to examine the work of the candidate are protected. • research institutions which wish.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 will provide ready access for supervising university staff to the candidate and to the research facilities used by the candidate.the collaborating institution is able to provide a stimulating research environment. placement of candidates into institutions which are doing commercial work should be covered by a contract in which: . The recommendation must be accompanied by a curriculum vitae.

1 Full research proposal As a guide. This is the appropriate way to show that the candidate has understood and can interpret the literature. 6. Regulations allow a total of 15 months provisional registration for full-time candidates (and 24 months for half-time candidates). evaluate and critique that literature. Victoria University expects this to occur between six and 12 months after the initial registration date for full-time candidates. a literature review. It is in the best interests of candidates.1). If the School requires the candidate to undertake certain papers as background for the PhD.000 words. interpret. ability to summarise. Indicators of satisfactory progress may include: • • • • • • • knowledge of the literature in the field of study. To the extent appropriate in the discipline the proposal will contain the following elements: • • • an outline of the basic thesis/research question. a statement as to whether ethical approval is required and. whether or not that has been • • 26 PhD Handbook . It is equally important that candidates should demonstrate an ability to process with doctoral level work before their full registration is confirmed. appropriate theoretical frameworks. ability to summarise. supervisors and schools that every effort is made to assist the candidate’s progress during the provisional registration period. Additional criteria may be required by the School or programme where the candidate is enrolled. To progress from provisional to full registration. interpret. 6. if so. ability to design and interpret research tasks. PhD students achieve full registration if they demonstrate satisfactory progress of previously established and agreed upon performance standards. the candidate is required to have the approval of the School Research/Postgraduate Committee. any other abilities important in the field of study. Supervisors are required to give serious consideration to these matters. 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.6. a demonstration that the methodology is appropriate. ability to communicate research findings in formats appropriate to the discipline. satisfactory completion of any required course work.12 Move from Provisional to Full Registration The confirmation of full registration is a milestone in PhD candidature.13. The School Research/Postgraduate Committee may terminate candidature if the student fails to meet the requirements within 15 months of first registration. School or programme criteria can be obtained from the Postgraduate Coordinator or supervisor. evaluate and critique data. the proposal will be between 3.13.13 Confirmation of Full Registration The move from provisional to full registration requires candidates to meet University criteria (see 6.000 and 10.

require that full registration be delayed by up to six months. If some of the suggested changes were not taken up. The SRC will assess the proposal and report to the Associate Dean (with copies to the Head of School. and the SRC has been delegated the authority to accept the proposal.2 Presentation of the proposal Candidates may also be required to present their proposal.13. and • a statement that there are no foreseeable cultural.3 Approval The candidate will send a copy of the proposal. social or legal impediments to the successful completion and/or publication of the research. The report may: • • • • recommend approval of the candidate’s transfer to full registration. Where registration is to be delayed. it is recommended that the presentation be announced in VicNews and open to all who may be interested. The SRC will scrutinise the proposal according to the following criteria: • • that the student has sufficient knowledge or understanding of the topic. The proposal will establish preliminary goals for the next six months and will contain a tentative timetable for the completion of the thesis. along with a cover letter indicating where changes were made. any problems anticipated in carrying out the research and the intended methodology. 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). that the proposal outlines an appropriate theoretical framework which will lead to an original and defensible theory. If this is part of a school or programme procedure. recommend the candidate transfer to a Master’s degree. • • 6. the SRC should recommend full registration of the candidate to the Associate Dean. including any suggested revisions to the SRC. Where the decision is to terminate registration. It must be submitted to the School’s Research/Postgraduate Committee (SRC). the SRC should provide clear and constructive guidance to the student and supervisor on the steps that are required to gain full registration. the candidate must indicate the reasoning for this. 6. PhD Handbook 27 . supervisors and the candidate).13. The candidate may also be given the opportunity to respond to questions and feedback from the SRC and others in attendance. the SRC should meet with the candidate and explain face-to-face why this action was taken. 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.obtained from all required institutions. If approval has not been obtained the timetable for approval is to be noted. the conceptual framework. or terminate the candidate’s registration. that the proposed research is original or adds value to existing knowledge. Where there are no changes to be made.

2(b) for fulltime enrolment and 36 months for half-time enrolment.15 Duration of Registration The PhD Statute requires a minimum registration period of 24 months under clause 4. on receipt of the recommendation from the SRC. although he or she may be away from the University working in libraries and similar institutions. 6. Throughout the candidature. If the research proceeds smoothly. The thesis is to be presented within four years of registration. the Associate Dean may terminate the provisional registration and request the candidate to consider the possibility of identifying a new research project. candidates must maintain direct contact with their supervisors and sustain satisfactory progress or the registration will be terminated.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. but individual applications to the Associate Dean by supervisors are required for any extensive “time out” on the project.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. At the time of registration. This date is shown on the registration form. 6. 28 PhD Handbook . 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 candidate must be in direct contact with the supervisors. During this time. 6.Full registration is confirmed by the Associate Dean. the date of provisional registration will become the date of registration. One of the principal reasons for this requirement is that protracted research may be overtaken by other researchers working in the same field. 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. Longer periods in external laboratories or on fieldwork may also be approved. The Associate Dean will not usually expect to backdate a registration by more than about two months from the time of registration. the date of provisional registration can be backdated to give credit for that time. the Associate Dean will specify a period during which candidates must be working under direct supervision. A candidate’s progress during full registration continues to be monitored by six-monthly progress reports.19 for the implications of extensions and suspensions of registration. If candidates have spent productive time in developing their research proposal. Half-time candidates are required to supply details of their other obligations on the enrolment form. even after completion of the minimum two year period of full-time research. If there are major difficulties in the early part of the project. See 6. The University expects that it will take between two and a half and three and a half years of work for a full-time candidate to achieve the necessary standard. The 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.

extensions will be granted “only in exceptional circumstances. This permission is not readily given.20 Concurrent Study If candidates have a genuine reason for undertaking a paper other than any required by the School. 6. Such applications must have the written support of supervisors and Head of School and set out the reasons why permission is sought. An application for an extension or suspension is made in writing to the appropriate Faculty Office. but is not entitled to receive supervision or to make use of the University’s facilities. 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. should recommend the change to the Associate Dean for approval. Where. While the regulations state that the Research Degrees Committee (RDC) through the Associate Dean may grant an extension beyond the due date. 6.6.19 Extensions and Suspensions of Registration The University discourages candidates from spending an undue length of time on thesis work and it is expected that theses will be submitted within four years of registration for full-time candidates or six years for candidates who have been enrolled exclusively half-time.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)). or vice versa. If the registration lapses. PhD Handbook 29 . The minimum period for a suspension is one month. 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. it can be resumed only with the permission of the Associate Dean. During the period of suspension the candidate pays no fees. clause 4. they must apply to the Associate Dean for permission before enrolling in it. along with the candidate’s most recent sixmonthly progress report. Note that this applies also to any change from full-time study. their registration must be maintained. and will not usually exceed twelve months” (PhD Statute. Applications for variations in the conditions of registration are made through supervisors. The supervisors. 6. All retrospective suspensions are approved by the Convener of the RDC. 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.17 Maintenance of Registration The course of study for a PhD is best undertaken continuously and while candidates are working on PhD projects. but it is recommended that students do not overload themselves with paid work outside the scholarly work in preparation for the thesis. Periods of suspension are not included in calculations of total registration time. after consultation with the candidate.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. for unexpected reasons. 6. which will forward it to the Associate Dean.

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. form the basis of a Master’s thesis. This option may also be taken if the supervisors believe a student has not demonstrated the aptitude and level of competence required for PhD study and that the thesis could. with modifications. 30 PhD Handbook . The written support of the Administrative Supervisor and supervisors is needed. as is the agreement of the student. 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.6. Written application for conversion to a Master’s degree must be made to the Associate Dean.

7.2. Supervisors should also: • identify with candidates the particular research skills that they will need to acquire to complete the programme of research.2 Providing Academic Guidance Supervisors should provide guidance on: • • • • • • the nature of research. The amount and frequency of academic contact between supervisors and candidates will vary. Good communication and mutual trust and respect are essential for a productive working relationship with a satisfactory outcome. and • • PhD Handbook 31 . presentation and production of theses.0 Supervision Protocols 7. It is important to avoid the situation where candidates only see their supervisors when real difficulties arise. the supervisors should assess the student’s academic and technical skills and be satisfied before confirmation of registration that appropriate skills do exist or will develop during the time of the enrolment for the degree. and the need to get approval from the relevant Ethics Committee if the research involves human or animal subjects or tissue. a supervisor should not have too many candidates at one time. which is up to the candidate. For this reason.1 Assessing the Student Before provisional registration. One meeting per month is considered a minimum. but they should have a close interest in the project and a commitment to facilitating its completion. 7. ensure that appropriate and timely advice is given on requirements regarding style.1 The Role of Supervisors Supervisors undertake to guide the candidate through the academic and administrative requirements of the PhD.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. Effective two-way communication is vital. 7. the undertaking of a literature review. depending on the nature of the discipline and the stage of the project. They cannot guarantee the success of the project. ensure the candidate is aware of the academic criteria to be met for award of the degree. The responsibilities of supervisors are outlined below. the access to resources (technical and financial). 7. It is the Head of School’s responsibility to make sure that workload is allocated such that supervisors have enough time to carry out the supervisory role. the development and refinement of the proposal. but regular discussions should be held and adequate records of meetings should be kept.2. Supervisors need to have a sympathetic ear and sufficient time and energy to devote to the task of supervision. the planning of the programme.

the report writing is the responsibility of the supervisors.2. arrange regular supervisory meetings. the proposed 32 PhD Handbook . but more frequent meetings will usually be desirable. Written comments should be made on work submitted by the student. A copy must be provided to 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. must be reviewed by the Head of School (HoS) before being submitted to the Associate Dean.nz/research-office/postgraduate/forms-and-templates. 7.2. Except in exceptional circumstances. ac. As a guide. 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. Identified problems and proposed methods of addressing them should be discussed with the student before the report is finalised.6 Identifying Problems Supervisors should ensure that the student is made aware of inadequate progress or of standards of work below that generally expected. in close conjunction with the student.5 Providing Feedback Supervisors should provide regular feedback on progress to the student. feedback should be provided within two weeks in the case of relatively short pieces of work. The report will then be filed in the student’s file held by the relevant Faculty Office. ensuring that an appropriate timetable is set to allow the degree to be completed within the allotted timeframe. 7.2. The HoS must agree to. They should identify the problems and suggest ways of addressing them. One meeting per month is regarded as the minimum entitlement.victoria. 7. 7. in consultation with the student. which has been agreed to and signed by the student and supervisors. and a maximum of four weeks for substantial thesis drafts.4 Milestones Supervisors should reach agreement with the candidate on the indicators of progress and the dates for the submission of appropriate written work. 7.2.3 Scheduling Meetings Supervisors should. and monitor.2. Where there are major or continuing problems with a student’s performance. The final version of the six-monthly report. Supervisors should help the student to plan for the writing up of the thesis and to schedule sufficient time for that purpose.aspx While the Faculty Office initiates the six-monthly reporting process. 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. The report template is available at https://intranet. interim reports or research results. 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.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. Supervisors should encourage the candidate to make productive use of the available time.• have a sense of the expectations of examiners throughout the research process and use that as a guide in supervising the student’s work.

10 Facilitating Administrative Compliance Supervisors should be knowledgeable about. institutional or professional guidelines for the conduct of research. encourage both attendance and presentation at seminars and conferences. ensure that the candidate has the opportunity to participate in the life of the School. and • • PhD Handbook 33 . 7.8 Supporting the Student Without compromising a student’s privacy. supervisors should attempt to keep themselves informed of the range of factors that may have a bearing on the timely and successful completion of the thesis. help the candidate make contact with other scholars in related fields. 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). Supervisors and Administrative Supervisors have a joint responsibility to advise the Associate Dean and Faculty Office as necessary. 7. that the work submitted by candidates is their own and that the data is valid. Monitoring the completion of six-monthly reports occurs twice yearly and is the responsibility of the Associate Dean.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. ensuring that candidates are aware of any requirements regarding the retention of data within schools. ensuring. and comply with. 7. University-wide monitoring of compliance is the responsibility of the Research Degrees Committee and forms part of their Reports to the Academic Board. Where necessary.2. applications for suspension or absences overseas. regarding six-monthly progress reports. upon the recommendation of the Administrative Supervisor. changes to full-time status.2. provide assistance and information where appropriate on scholarships and financial support. In the event that the student fails to take the required action so that problems persist. to discontinue the student’s enrolment. the administrative requirements of supervision and advise the candidate as necessary (for example. This includes advising candidates about: • • applicable governmental. ensuring that candidates are aware of intellectual property rights. The HoS must offer the student the opportunity to respond and then will monitor the proposed actions. the HoS must notify the Associate Dean who may then take action. 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.actions.2. as far as possible.2) is informed if any problems develop during the enrolment. etc). Supervisors should ensure that the Administrative Supervisor (as defined in 5. encourage the candidate to publish. and provide advice.

Supervisors should be available to discuss feedback from the written and/or oral examinations with their student.ac. In consultation with the Administrative Supervisor. Supervisors should forward their recommendations at least one month before the expected submission of the thesis. The Associate Dean will scrutinise the recommendations and forward them to the Research Degrees Committee (RDC). In most disciplines publications are increasingly necessary for entry into an academic profession.11 Assisting Examination Arrangements Supervisors assist the Associate Dean to arrange the examination in accordance with the PhD Policy: Approving. Supervisors are encouraged to discuss the publication process with students. Where joint authorship is contemplated. or in other cases where issues of recognition arise. possibly in collaboration with their supervisor(s). submit and revise publishable manuscripts within the timetable for their PhD studies. Enrolling. and publications are the currency of success in research.e.nz 7. When students and supervisors pool their talents to publish research both benefit from increased research productivity. supervisors recommend suitable examiners and supply the Associate Dean with relevant documentation i. The RDC appoints the PhD examiners. and should therefore take steps to avoid misunderstandings that may arise as a result of inexperience. and Victoria University’s Policy on Recognition of Authorship http://policy. They should be mindful of the fact that emerging researchers are often unaware of most aspects of the publication process.2.2.victoria.12 Encouraging Publication The PhD is a research degree. They should endeavour to publish their research. Publication should be seen as part of PhD study rather than a barrier to timely completion of the thesis. 7.2.13 Support for Supervisors The Research and Postgraduate Studies office offers regular seminars/workshops for new and more experienced supervisors. a rationale for the choice of the particular examiners for the thesis and a brief curriculum vitae for the two external examiners. the research process and administrative matters. All parties should agree in writing about issues concerning intellectual property and authorship. Supervising and Examining Candidates and the guidelines of this handbook. then this must be discussed early on in the process towards publication. supervisors should ensure that students are informed about: • • the conventions that apply in their discipline. 34 PhD Handbook . 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. including the differences between writing a thesis and preparing a manuscript for publication. 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. Topics include supervisory roles and responsibilities. in outlets valued by their discipline. Students should incorporate plans to write.• ensuring that safe working practices are developed and maintained and that candidates are aware of the University’s Occupational Health and Safety Policies. 7.

3. or tissue. 7. attending relevant seminars in other schools or institutions. adopting at all times safe working practices relevant to the field of research.3.1 Planning the Research Candidates should plan and execute the research project under the guidance of the supervisors. and complying with any institutional occupational health and safety policies. be committed to the research and avoid activities which will interfere with its satisfactory completion within the time limit. Candidates should reach agreement with supervisors about indicators of progress being made and about submission of appropriate written work. university. 7.7 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. must take responsibility for developing their intellectual independence. Candidates. they should contact the Administrative Supervisor or the PG Coordinator.5 Facilitating Administrative Compliance Candidates should become familiar with. 7. • • 7. PhD Handbook 35 . within the expected time period. Alternatively. and strive to achieve agreed milestones. faculty and school statutes and policies and any other written guidelines and regulations for the degree. competence and confidence.7. 7.3. Where appropriate candidates may also be involved in academic activities in their chosen research field. for example.2 Actively Pursuing the Research Candidates should devote sufficient time to the course of study. the Associate Dean (Students/Research) in the Faculty Office or VUWSA’s Education Coordinator are available to discuss areas of concern.3.4 Identifying Problems Candidates should take the initiative in raising with supervisors any problems or difficulties with the project or its supervision. interim reports or research results. They should attend regular meetings.3.3. If the student is unable to discuss the matter with their supervisor/s. The responsibilities of candidates are outlined below. and suspension of enrolment).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. with the guidance of their supervisors. presenting their work and interacting with the staff and other postgraduate students.3 The Responsibilities of Candidates Completing a doctoral programme requires progressive development of skills. and abide by. as agreed with supervisors.3. 7. 7. and participating in academic conferences (finances and resources permitting). 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.3 Participating in University Intellectual Life Candidates are encouraged to participate in the School community by attending seminars.

and for promptly making any required amendments after examination.9 Publishing Candidates should accept responsibility for the academic content of the thesis and for publishing any parts of it if appropriate. the Research Degrees Committee will also use this information to monitor supervision across the University. production and binding of the thesis that is finally submitted. 7. presentation.3. 36 PhD Handbook . Issues emerging from the Exit Questionnaires are passed to the Research and Postgraduate Studies office to be incorporated into workshops for postgraduate supervisors.8 Submitting the Thesis Candidates are solely responsible for the content. course codes etc). 7. In order to improve supervisory practices across the University. with a copy to the Administrative Supervisor. the Associate Dean of the Faculty will also receive a copy of the student’s written comments with all identification removed (names. style. The questionnaire is then returned to the supervisors. Once a year.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.

principles and practice.nz).nz 8. research and teaching. Nevertheless.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.victoria.2 (e) (iii)). working in and familiar with their own disciplines.2 Human Ethics Approval for Research If PhD research involves human subjects or human tissue or otherwise affects people’s privacy.victoria. are generally in the best position to assess their proposed activity. Appendix 1 of the Human Ethics Policy . but the application must be approved and countersigned by the primary supervisor and the HoS. The purpose of the HEC is to promote. Application forms can be accessed via the Human Ethics Policy: http://policy. it must be approved by the University’s Animal Ethics Committee.1 Human Ethics Committee Where research activity involves human subjects the University has a responsibility to ensure it protects the privacy. It is important that PhD candidates read the HEC Guidelines carefully and ensure that they are familiar with basic ethical issues. It is important that PhD candidates read the Animal Ethics Policy carefully and ensure that they are familiar with basic ethical issues. it seeks to ensure that all researchers and teachers are aware of the ethical issues involving human subjects. it must not contain work extracted from a thesis. Responsibility for applying for HEC approval rests with the candidate.http://policy.victoria. and welfare of such subjects. 8.ac. health. social and cultural sensitivities. 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.nz). The HEC recognises that individual researchers and teachers. not prevent.ac.ac. Candidates must then discuss the ethical implications of their research with their primary supervisor to determine whether HEC approval is required.victoria. all assistance which candidates have received in their research be clearly acknowledged in the thesis. principles and practice. 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. 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. safety.8. in order to ensure consistency and impartiality in considering the interests of potential subjects.nz 8. The policy and application forms can be accessed via http://policy.0 Research Ethics 8.ac. If either candidate or supervisors are in any doubt as to whether approval is required.http://policy. either in research or teaching. further advice should be sought from the Head of School (HoS) or the Convener of the HEC. dissertation or research paper already presented by the author for another degree or diploma at this or any other university. rights and freedoms. as well as to provide a degree of protection for the researcher or teacher.3 Animal Ethics Committee If PhD research involves animal subjects. and • • • PhD Handbook 37 . it is subject to Human Ethics Committee (HEC) Guidelines (see Appendix 1 of the Human Ethics Policy . In so doing.

including listing as authors without their permission. and other academic or research practices which bring or are likely to bring the University into disrepute. including fraudulent changing of records. wording or anything else from another source without appropriate reference or acknowledgement so that it appears to be one’s own work. 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.• it is the primary supervisor’s responsibility to ensure that the thesis as presented is the candidate’s own work. which is the copying of ideas. organisation. intentional infringements of the guidelines issues by the University’s Human Ethics Committee and Animal Ethics Committee. attributing work to others who have not in fact contributed to the research. including claiming results where none have been obtained. • • • • Note: Academic misconduct does not include honest errors or honest differences in the interpretation of data or conclusions drawn. The University has provisions for dealing with cases of research misconduct. or of other relevant professional practices and codes of ethics. This includes published and unpublished work. the falsification of data. and/or failing to acknowledge work primarily produced by a research student/trainee/associate. and that candidates make it clear what. Misconduct in research is unacceptable to the University. material on the Internet and the work of other students and staff. if any. 38 PhD Handbook . cheating or other dishonest practices in relation to assessment. which is defined as follows in the Statute on Student Conduct: Academic misconduct includes: • • • fabrication of data.5 Appropriate Conduct in Research Candidates are expected to conduct all research in an honest. All candidates will be asked to sign a statement that the above conditions have been satisfied when the thesis is submitted. plagiarism. misleading ascription of authorship. academically responsible and ethical manner. 8. assistance they have received from other persons.

or alternatively the ITS service desk can be contacted over the phone on x5050.2.nz • PhD Handbook 39 . All PhD candidates are advised of their obligation to observe the Information Systems Statute which can be found at: http://policy. Research Funding and Financial Support.ac. Further information on these services and others is available by consulting: www.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. Candidates working from home can access the student environment via the myVictoria portal. items of equipment like calculators. ac. It also contains some information about the faculty research grants and the protocol for addressing concerns about resources.studentvuw. source materials.1 Introduction PhD candidates should email its-service@vuw.1 School Resources to Support PhD Candidates 9.nz or call Information Technology Services (ITS) service desk. facilities. 9.3 Financial Assistance The payment of research expenses varies from school to school. Some schools are able to provide some financial assistance from school resources and this is a subject for negotiation within the School. the candidate’s entitlements and document these in the Research Memorandum which becomes part of the record of registration. 9. Enquiries via email can be sent to: its-service@vuw. Candidates may visit these locations in person.vuw. This provides access to features such as personal storage and a large number of library databases. equipment.victoria.nz ITS have Help Desks located in five physical locations around the campus: RB205a (Library). OGB132 (Law).1. Candidates should expect to spend some of their own money on travel. photocopying. MY223.1. 9. Railway (RW 225). electronic facilities and financial support. and funding for the expected duration of the research.nz 9. the HoS will agree. office space and furniture. Also.0 Research Resources 9.1. With reference to the Minimum Resources Agreement.2. Internet browsing and printing services are available for a small charge.ac. and WCE (T208).2 Information Technology Resources 9.9.2 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. x5050 for help with the services ITS provides.nz/research%2Doffice/ postgraduate/minimum-resources.aspx It includes information about orientation.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.ac. See also Chapter 11.victoria.ac. correspondence and so on. with the supervisors and the candidate. paper supplies.

ac.victoria.victoria.ac.4 Accessing the Network All postgraduate thesis students have the right to access Victoria’s network via the staff domain. the Education Library at the Karori Campus and the Law Library in the Government Buildings. 9. For further information on your account username please check your Confirmation of Study form or contact an ITS Help Desk.pdf 9.vuw.Te Pataka Korero The University Library comprises the Central Library in the Rankine Brown Building on the Kelburn Campus. If borrowing privileges are required prior to enrolment while a thesis proposal is being prepared.9. when connecting from a networked school desktop computer or via the Internet from home (requires a personal ISP) connect via the VUW Portal: www. candidates must choose access via either the staff domain or the student domain.studentvuw.ac.3. otherwise their profiles will be affected.2. For further and more comprehensive information. a networked school desktop computer or through an external Internet Service Provider (ISP).2.ac. will give postgraduate library privileges. the Lending and Reader Services Group will normally grant temporary borrowing privileges upon receipt of a supporting letter from the proposed primary supervisor. Books from the 40 PhD Handbook . Clients should always contact the Help Desk in the first instance with enquiries. 9. Note. with reduced hours on weekends and during term breaks.nz/library/ Students are advised to check this site and the myVictoria portal regularly for updated information about the Library and its services. Authorised students may use all of these libraries following registration. including a complete Staff Directory.3 Registration as an ITS Client All candidates will have a computer account on enrolment. 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. students should refer to the Library website at www.vuw.3 The University Library . Following enrolment and payment of fees. When connecting from an ITS computer log directly into the student domain. PhD candidates will receive a student ID card which. the Architecture and Design Library in Vivian Street.nz~POLICY~000000000021. There is no common data storage between the student domain and the staff domain.2.1 Lending Services PhD research often necessitates heavy and specialised use of library services.nz/ Amphora!~~policy.nz 9. the Commerce Library at Railway West Wing.5 ITS Student Help Desk Service Help Desks are available specific hours that change from trimester to trimester. Access to the network via the staff domain requires students to contact their school administrator who will set them up as an ‘interested party’. The Website is also a gateway to the online catalogue of Victoria University of Wellington Library. after validation at the Central Issue desk. However. A range of printed information leaflets about specific library services and collections is available from service points in all libraries. Access to the network via the student domain requires a student computing account and depends on whether the connection is from an ITS terminal. This section contains information relevant to all PhD students. All PhD candidates are advised to consult the Library Statute at: http://policy.

3 Research Seminars Postgraduate research seminars are offered at the beginning of the first trimester. The Interloans team process requests from the Central Library as well as 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. 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.nz/library or by going directly to: www. Candidates wishing to borrow this CD in order to install ‘Endnote’ on their personal computer should consult the Closed Reserve Desk staff.victoria. 9.3. The Closed Reserve Desk on Level 2 of the Central Library holds copies of the bibliographic management software ‘Endnote’.3. Details of seminars will be given in library notices.ac. The Reference Office and Library website can be consulted for the names of liaison librarians. Reference and Liaison Services have (in both print and electronic format) a range of University Calendars from New Zealand and overseas. as well as scholarship guides and other directories related to further study. request and renewal procedures. 9.nz/library/ 9. For further information about borrowing books and periodicals. 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. with some exceptions.victoria.ac. Architecture and Design library periodicals are not available for loan. except for three-day-loan books. Requests may be sent electronically from the Library website at www. through both printed and electronic resources. Commerce and Law Libraries. 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. candidates should refer to the Library website: www. Level 2 of the Central Library. Subject-specific seminars and individual consultations are available from the Library throughout the year on request to a liaison librarian or the Reference Office.main collection are issued for eight weeks. Commerce and Law Libraries have similar facilities for subject-specific database searching.3.4 Inter-Library Loan and Document Delivery Lending and Reader Services is responsible for requesting material from other libraries and information providers both in New Zealand and overseas. Most periodicals in the Central Library are issued for two weeks.victoria. Requests must relate to study. on the Library website or through the Postgraduate Students’ Association (PGSA). In the Central Library student computing facilities are available on Levels 1 and 2. teaching and research purposes only.ac.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. offer comprehensive information services. Please note that all current issues of periodicals are reference-only items. The Architecture and Design. and library hours of opening. PhD Handbook 41 . Commerce and Law Libraries. Staff will give advice about electronic and print information resources in a range of subject areas.2 Reference and Research Services Reference and Liaison Services. Law. All items on issue are subject to recall if required by other borrowers.nz/library/forms/interloan-request.

Level 1. There is restricted access to some of the material.5 Specialised Collections PhD candidates should be aware of the following collections at the Central Library: • J.3. Beaglehole Room. PhD candidates should first and foremost rely on the resources of Victoria University of Wellington Library. Level 1. 9.Further information may be obtained by contacting the Interloans staff or checking the Library website. If PhD candidates wish to access other libraries directly. 42 PhD Handbook .6 Other Libraries As a general principle.N. Material from other libraries can normally be accessed through interlibrary loan and document delivery services.3. The Collection comprises material published by the United Nations and its associated agencies. and Official Publications Collection. archives and manuscripts and the VUW Authors’ collection. • 9. The Beaglehole Room holds collections of rare books. 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. publications issued by other international organisations as well as statistics and yearbooks from New Zealand and many other countries.C. U. Reference and Liaison Services will be happy to give advice and help to facilitate such access.

Qualitative and Quantitative Methodologies. ac. For further details. Further information can be obtained by phoning x5908 or viewing PostgradLife. Statistics and Computer Science offers a number of undergraduate and graduate courses in Applied Statistics.victoria.10. 10. go to: www.ac.ac.vuwvictoria. Statistics and Computer Science.2 Statistical Advice Many research projects require statistical analysis of experimental or survey data.nz/st_services/slss/ in the Postgraduate Students’ Association newsletter and on school notice boards.1 Student Learning Support Service The Student Learning Support Service (SLSS) organises a series of seminars on issues of relevance to PhD candidates at both Kelburn and Pipitea campuses. in the first weeks of each trimester.nz. the Student Learning Support Service offers general advice on research.10.ac.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.vuw. runs intensive thesis writing workshops and provides one-to-one support throughout students’ candidature. based at the School of Mathematics.nz/stat/consulting 10. Statistics and Computer Science. ac. and Thesis Writing. Details are advertised on: www. Guest speakers cover topics such as: Writing a Research Proposal. For enquiries please contact a SCS Help Desk or email scs-help@vuw. and statistical advice may be sought from the School of Mathematics. SLSS also facilitates a regular writing group. 10. You and your supervisor are welcome to discuss statistical aspects of your research with the consultant who can be contacted via email at: statsconsult@mcs.1. Managing Your Studies. Specific information on the advice obtainable from these two sources follows.nz/postgradlife see: 16. 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. victoria.0 Research Advice While it is expected that most of the necessary research advice will be provided by supervisors and other members of schools. You should consider whether any of them may meet your needs.mcs.nz or by phone on (04) 463-6779. It is the responsibility of supervisors to ensure that proper statistical advice is sought. Literature Reviews. PhD Handbook 43 . a studentcentred website at www.2. The School of Mathematics. Some other packages are available within selected specialist school facilities. The Ethical Approval Process. The University Research Committee also funds a consulting statistician.

nz/scholarships 11. careful consideration must be given to any conditions attached to.org. and the University.the Bright Future scheme. funding from outside enterprises are discussed with those responsible for external research income before any agreement is signed.nz] . It is also important to ensure that agreements with funders are formulated in a way that protects their interests. 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. Some supervisors may also have contacts with businesses or enterprises through which other funding can be arranged. 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.tec. they should consult the Scholarships Office (email Scholarships-Office@vuw. Successful applicants are expected to work full-time on their research during the tenure of the scholarship.nz].nz] and Education New Zealand [www.2 PhD Submission Scholarships These scholarships enable students already enrolled for several years to bring their research to a successful completion. those of research students. It is therefore essential that applications for. 11. 11. Candidates must have the endorsement of their supervisor and Head of School to submit. The intent of these awards is to support PhD candidates in the period immediately following submission of their theses and enable them to prepare their research for eventual publication.frst.0 Research Funding and Financial Support If PhD candidates are contemplating PhD study and would like to apply for a scholarship. Science and Technology [www.nz/BreakOut/vuw/schols. Unsuccessful applicants may apply again in the follow round after consultation with the Scholarships Manager. 11. This funding includes the growing range of scholarships administered by the New Zealand Vice-Chancellors’ Committee [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.govt.ac.victoria.newzealandeducated. government funding through the Tertiary Education Commission [www.nz). Applications for Victoria University PhD Scholarships must be submitted to the Scholarships Office by 15 June or 1 November. but before agreements are reached with external funders. the Foundation for Research.govt.fis.1 University Scholarships There are three rounds of PhD scholarships each year. or implications of. All Victoria PhD Scholarships are tenable for up to three years from first enrolment. Funds from these sources are usually of great benefit to research students. PhD Submission Scholarships are tenable for three months only and there is a closing date every two months starting in January each year.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. Information and documentation is available at: http://www. and offers of.ac.nzvcc. If a grant imposes any obligations or restrictions upon the candidate or the 44 PhD Handbook .11.nz]. phtml?detail+600532 or from the Scholarships Manager.ac. the grant in question. including Commonwealth and Rhodes Scholarships. Information and application forms can also be downloaded from the University website: www.org.

www. 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 may complete a Tutor Training Certificate of Attendance through the UTDC.studylink. In this.nz.govt. 11. 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.nz/tutors Other courses are also available throughout the year and are advertised on the UTDC website. in VicNews and on the tutor/demonstrator email list: tutors@vuw. Candidates who wish to apply for a Research Grant should discuss their application with their supervisors. PhD Handbook 45 . Funds for scholarships or research expenses must be channelled through the University Scholarship Office and not paid directly to the candidate. parties responsible for external research income will negotiate changes before the offer of a grant is accepted.6 Loans and Allowances Information on allowances and loans can be obtained from StudyLink. ac.5 Research Grants PhD candidates can seek advice and apply for Research Grants either through their faculty or school where available.University. Tutor training is offered through the University Teaching Development Centre (UTDC) and some schools also provide discipline-specific training. 11. as in other cases of paid employment. tel 0800 889 900.utdc. 11.ac. Candidates may like to seek assistance from the Victoria University of Wellington Students’ Association’s (VUWSA’s) Education Coordinators in this matter.victoria. For further information see the UTDC website: www. If candidates are offered such work.nz or tel 0-4-463 5793. Funds typically granted by faculty committees are used to cover identifiable expenditure on inter-library loan costs.7 Tutoring and Demonstrating Many PhD students support their studies by tutoring or demonstrating. Candidates should consult their Head of School with questions concerning the availability of tutoring or demonstrating positions. Ministry of Social Development. Tutors and demonstrators are employed by schools to teach undergraduate (usually first-year) classes and to do associated marking.

It is assumed that the parties have attempted to resolve the difficulties themselves. It is desirable that any problems that may arise are addressed and settled as quickly as possible. All parties must be sensitive to the needs of any candidate who has sought assistance. mindful of maintaining the reputation and standing of the University. but have been unable to do so. with both candidate and supervisor seeking assistance as necessary and appropriate. differences of opinion may arise over questions that are related directly to the scope of the topic or to the investigation of it. In some instances both parties may need to accept that a change of supervisor may resolve the problem and ensure completion of the project. Candidates and supervisors should be able to discuss the issues involved and reach agreement on how any obstacles might be overcome.5 .vuw.0 Resolution of Problems 12. however. Where difficulties occur between a candidate and one supervisor. candidates and supervisors are urged to refer to these documents at http://policy. Both parties are advised that a variety of options are available for the resolution of difficulties. Candidates are also free to seek advice from other scholars. 46 PhD Handbook . 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. the goal is to allow the research to continue and to be completed within the scheduled timeframe. Candidates can reasonably expect the University to actively seek prompt resolution of any problems. Whatever process of conflict resolution is adopted. supervisors and candidates encounter difficulties that may prevent fruitful co-operation.nz Further information can be found in this Handbook in 15.3 General Guidelines Candidates and supervisors might find the following process helpful in addressing problems.12.ac. 12. The following section indicates to both supervisors and candidates a general means of resolving difficulties arising in the supervisory relationship.1 Introduction In the course of the research process. 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. the Postgraduate Students Association (PGSA) and Victoria University of Wellington Students’ Association (VUWSA). preferably within the School. In some cases. The University will expect all parties to the resolution process to conduct themselves with professionalism. The University recognises the pressure candidates may be under to complete research and acknowledges that avoidable delays could have significant financial and academic implications for candidates. 12.Rights and Obligations Regarding Conduct.2 General Principles It is essential that steps are taken to resolve any problems immediately. the other supervisor may be able to provide assistance.

seeking clarification or providing guidance and/or mediation. 12. It is the responsibility of the Administrative Supervisor to attempt prompt resolution of the difficulties.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.3. Where this fails to resolve the problem. as appropriate. or before resorting to. The Senior Academic Policy Adviser deals with academic matters covered by the Academic Grievance Policy. 12.1 Seeking Assistance from the Administrative Supervisor In the first instance. can raise the problem with appropriate people on their behalf. Alternatively. This must be done in writing and should include information on what informal procedures have been followed. any difficulties should be discussed between the candidate and the supervisor(s).3. Candidates may also wish to approach the Student Counselling Service. after trying the above channels. they may approach the Administrative Supervisor for assistance in resolving their difficulties. in writing. as necessary. a candidate is still dissatisfied.3. or where either the candidate or the supervisor(s) feel it is inappropriate to address their concerns to each other. Faculty Office. to the Associate Dean. and the University Facilitator and Disputes Adviser. The Associate Dean will liaise with the Manager of the Faculty Office. 12. the Education Coordinator can deal with both academic and conduct issues. following consultation with the candidate and supervisor. If required. 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. they have a duty to refer the matter immediately. with respect for all parties. Candidates may also approach the Senior Academic Policy Adviser for advice and assistance or the Facilitator and Disputes Adviser. Grievances relating to academic disadvantage are considered under the Academic Grievance Policy. they are entitled to take the matter either separately or collectively to the Associate Dean. it is the responsibility of the Administrative Supervisor to inform the Associate Dean immediately in writing. Academic grievances concerning PhD candidacy are dealt with by the PhD Handbook 47 . If either candidate or supervisors feel that resolution is not being achieved to their satisfaction within the School. The Education Coordinator is available where candidates may wish to sound out their concerns with someone outside the Faculty. more formal procedures. For a list of people who can offer advice and support see page 8. If research progress is being affected by difficulties. outlining how the candidate and supervisor(s) are working towards the resolution of those difficulties. 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. with respect for all parties. and if required. It is the responsibility of the Associate Dean to attempt prompt resolution of any difficulties. formal grievance procedures can be invoked.3. The Administrative Supervisor must be kept informed. Such assistance might take the form of eliciting information. The Associate Dean must be kept informed at all stages and copies of correspondence must be sent to the Manager.4 Lodging a Formal Grievance If. while the Facilitator and Disputes Adviser deals with problems relating to matters covered by the Policy on Staff Conduct.12. following consultation with the Administrative Supervisor.

In each case.nz/). 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. dissatisfied with the administrative performance of their Faculty Office. for any reason. supervisors and Administrative Supervisors are encouraged to make direct contact with Faculty Office Managers. If anyone is. they are invited to discuss the matter with the Manager of the Faculty Office in the first instance.Assistant Vice-Chancellor (Academic) who will consult the Deputy Vice Chancellor (Research). The Manager will request appropriate action from Administrative Supervisors and supervisors if necessary. 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.4 Resolving Administrative Difficulties If the difficulties are of an administrative or procedural nature. and then the Pro Vice-Chancellor of the Faculty if necessary. Formal grievances regarding staff misconduct normally are handled by the relevant manager. 48 PhD Handbook . candidates.ac. formal grievances beyond the levels described above should be submitted to the relevant Pro ViceChancellor.victoria.

The thesis structure is a matter for discussion between candidates and supervisors. 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. Schools may also specify distinct requirements bearing on style and presentation. Nearly all candidates find that the actual writing of a thesis takes much longer than expected. Abstract: the regulations require that the thesis should include a short abstract. The precise interpretation of this varies from discipline to discipline. 13. plates etc: all illustrations should be numbered and page references given.0 The Thesis 13. List of illustrations. 13. Acknowledgements: candidates are required to acknowledge all assistance that has been received with the research and production of the thesis. Table of contents: candidates should list chapters with relevant page numbers. • • • • • PhD Handbook 49 . Where the research project consists of a number of cases of more or less separate studies. The following guidelines may assist candidates in preparing their theses for presentation. and availability of the thesis. Separate contents pages should also be included in subsequent volumes.2. providing a summary of the methods of investigation and conclusions reached in a form suitable for publication. If the thesis consists of more than one volume.1 Introduction This section contains information on the presentation. A length of about 300 words is recommended.2. A student may present a thesis in Te Reo Maori as outlined in The Use of Te Reo Maori for Assessment Policy. 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. the thesis must explain their relationship to one another.3. Body of the text: relevant advice is provided in section 13.1 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. Candidates should check details of presentation and production with the primary supervisor before final preparation of the thesis. binding. but its transformation into the final draft for submission usually takes much longer than planned.13. candidates should show the contents of all volumes on the contents page of the first volume. It may include published material. Prior approval is required and it is important that this is organised as early as possible and before examiners are appointed. or in a separate companion volume or box. The only general requirement is that the thesis should be an integrated report. The abstract must not exceed 500 words. The preparation of a first draft may be the most difficult part of the work. Preface: a preface may not be necessary as the abstract can state the scope of the study.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.

The MLA style manual. Writing your doctoral dissertation: invisible rules for success. please consult the Library Reference and Research staff for advice on its format and for guides on its preparation. Be sure to conform consistently to the standards considered appropriate for the relevant discipline. 5th ed. 1994. 2000. Wellington: GP Publications. 5th ed. in cases of doubt the full form of any reference should be used rather than abbreviations. M L A handbook for writers of research papers. For specific examples of how to cite a book (single.) Swales. References and/or Bibliography: references in the text should be made in the form appropriate to the discipline concerned. If in-text references are in the form of footnotes. 2003. Joseph. 1998. multiple or corporate authorship) in part or as a whole. New Zealand Government Printing Office. Rita S. New York: Modern Language Association of America. Gibaldi. (It is often inconvenient to refer to notes and references placed at the end of the chapter or at the end of the thesis. Achtert. Ann Arbor. (Also titled Style Book: a guide for New Zealand writers and editors.2 Citation style Particular disciplines often have individual citation conventions. Washington: the Association. theses and dissertations. English in today’s research world: a writing guide. Gibaldi.2. Phoenix: Oryx Press. 2003. if the footnotes become very extensive it is acceptable to list them in a separate section at the end of the thesis. A manual for writers of term papers. Houndmills. Basingston. Patrick. 2000. and the listing in the References/Bibliography should reflect disciplinary norms. Joseph. Robert. draft. The supervisors are able to advise on the appropriate forms. 1995. write and finish a doctoral thesis or dissertation. These works are all available in the Library. 2nd ed. that these footnotes appear at the bottom of the page to which they refer. 1996. 2001. New York: Modern Language Association of America. Day. 6th ed. 50 PhD Handbook . John M.• Appendices (if applicable): candidates may wish to include here any material that does not fit conveniently into the body of the text. 1998. Consult the Reference and Research staff for further guidance. the books listed below may be useful. The New Zealand Style Book. London: Falmer Press.) Index: if candidates wish to include an index. K. M L A style manual and guide to scholarly publishing. especially if the thesis is later reproduced on microfiche. Authoring a PhD: how to plan. How to write and publish a scientific paper. However. 15h ed. Brause. New York: Modern Language Association of America. American Psychological Association. Chicago: University of Chicago Press. 4th ed. Turabian. Chicago: University Press. University of Chicago Press. Publication manual of the American Psychological Association. The Chicago manual of style. or how to cite journal articles. Dunleavy. 2nd ed. • • 13. L. Walter S. 6th ed. University of Michigan Press. though not essential. it is preferable. 2003.

Candidates should contact University Image Services for information on available photographic and digital imaging services and current costs.2. 115 (b) etc).4 Pagination • Pages must be numbered consecutively and page numbers should appear on every page in a consistent position. which frequently indicates poor judgement. table of contents etc).2. 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. • 13. • 13.6 Photographic and Colour Copy Illustrations • Photographs should be dry mounted where possible. It is recommended that photographs be mounted on heavier paper than that used for the main text. if possible.7 Length • A PhD thesis should be concise: examiners often criticise excessive length. maps or charts . In exceptional circumstances the • • PhD Handbook 51 . room 116.5 cm as the edges will be trimmed by the binders and there must be no danger of losing part of the text. Use single spacing for footnotes but double spacing between individual notes. New Kirk. but text on both sides is acceptable.nz. Candidates should discuss payment with supervisors. The Library provides a self-service colour photocopier in the photocopying room on Level 2 of the Central Library. diagrams and maps may be folded to conform to the A4 format.5 Paper • The physical appearance of the thesis is very important. or mounted on guard sheets.ac.should be included in the main numbering sequence. email Image-Services@vuw.3 Format • • Word-processing and 12-point type font is recommended. Image Services may be contacted at: tel 0-4-463 5133. Leave a margin of at least 4 cm on the left or binding side of the page. Candidates should be guided by their supervisors on an appropriate length for the thesis.illustrations. The paper used should be of good quality and be in A4 format. provided the text is correctly imposed with uniform and sufficient margins.g. The Victoria University PhD Statute stipulates that “the thesis shall not exceed a total of 100. 115 (a).2. especially the footnotes. Larger material such as charts.000 words in length (including scholarly apparatus). abstract. It is essential that all leaves be of the same size so that they may be readily bound together.13. sub-numbering of pages/leaves (e. Candidates may also wish to distinguish indented quotations from the main text by using single spacing or a smaller font size. including diagrams and charts. On the other three sides of the page the margins should be not less than 1. uniform on all pages.2. • • • 13.2. Printing on one side of the paper only is preferred. Interpolated leaves . except the title page which is normally counted but not numbered. Lines should be double spaced or at least one and a half spaces apart. • • 13. Rankine Brown Building. especially if the thesis is very long. Avoid.

One at home and one at the University. is necessary insurance. keeping the back-up in a different place from the original.8 Computer Use Most PhD theses are produced by candidates using a computer. Also OOS Buster courses (I hour) are held regularly during term time.nz/hr/heath_ safety/health-safety-training. or use the original. but close without saving changes. At the time of submission the candidate must certify that the thesis falls within this word limit. Candidates should always back up their work. 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. Permission should be sought well in advance of submission of the thesis for examination. for instance. students should make a copy and print from that.2. Different drivers impose different page specifications. A supervisor or school administrator.victoria.Research Degrees Committee may grant permission for a longer thesis to be submitted for examination” (PhD Statute 4. particularly for complex formats like tables. 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. If a draft printout from another printer is needed. Using the required guidelines from the outset will save a great deal of time and anxiety in the final stages of thesis preparation. 13.4 (b)). Candidates should consult the relevant thesis presentation guides before they begin. might be prepared to hold a back-up copy.html describes how a computer workstation should be set up. and a change in printer-driver can affect the layout significantly. The Health and Safety webpage: www. regularly up-dated. • • • 52 PhD Handbook .ac. • Candidates should be aware of the dangers of developing occupational overuse syndrome (OOS) with prolonged computer use.

13.9 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.

The author’s last name and initials and the title/short title must be lettered on the spine.4).4. A list of local commercial binders. for deposit in the University Library. • • 54 PhD Handbook .1 Temporary Binding for Examination • Candidates are encouraged to submit the three copies of their thesis for examination in temporary soft binding.3. advice may be sought from library staff.ac. Authors are responsible for all binding charges.4 Availability and Withholding of Access to Theses 13. may be bound or boxed in a fashion appropriate for their preservation. • • 13. Law. who will soft bind theses for examination. is available from the Reference desk in the Library. Works which do not fall within the usual A4 format. If in doubt.victoria. such as musical scores.4. 13. Care should be taken to ensure that the temporary binding does not produce a row of holes down the page. provided the relevant information (as above) is visible when the item is shelved. The Reference desk of the Library holds a list of approved binders.3 Binding 13. Lettering on the front cover is recommended but not essential.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.4. The thesis must be firmly bound within the temporary cover so that pages cannot become detached. and cased in cloth or buckram. as this will interfere with the permanent binding. The degree will not be awarded until this has been done.nz/home/about_victoria/policy. to facilitate any revisions or corrections and/or re-submission. It is an important component of the University tradition that knowledge is openly available for examination and criticism by peers (see also 13. • • • • 13. Architecture and Design theses are deposited with the relevant campus library.html) require that research results must be disseminated and not kept secret. The binding must ensure that the thesis can later be permanently bound to conform to the Library requirements.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. The thesis must be fully bound.1 Public Availability of Theses The University Human Ethics Committee (HEC) Guidelines (see Appendix 1 of the Human Ethics Policy: www. Theses are deposited with Collection Services on Level 1 of the Central Library. never stapled.13. A receipt is issued at the time of deposit.3.

If making information available would be likely to prejudice the security or defence of New Zealand or international relations with New Zealand.3(c) of the Library Statute for a full description of the provisions regarding the Withholding of Access to Theses and see http://policy. If application is delayed difficulties may arise if the RDC subsequently declines the application after the research has been completed. and photographs included in the thesis).4. the use of any third party content must not be in breach of copyright.4.e.ac.” A description of what constitutes a good reason for withholding information held by the University is dealt with principally in Sections 6. • • 13. or as soon as the need for an embargo becomes apparent. 13. The third bound copy is retained by the candidate.12.nz~POLICY ~000000000034. Availability slips are obtained from the Faculty Office at the time of enrolment. In certain circumstances.4. The Library must always receive the original or “best” copy (and this includes the figures. or it will not be accepted.ac. Candidates should consult section 4. or comply with the terms of any agreement. For electronic deposit.vuw. In general. 13. A completed availability slip MUST accompany the deposit. or prejudice the maintenance of law and order. that likelihood is good reason for non-disclosure. endanger the safety of any person.nz/Amphora!~~policy. ac. graphs. i. Copyright in publications other than the thesis arising from supervised research is likewise owned by the creator(s). PhD Handbook 55 . however.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. Second or third copies are usually photocopies.nz It describes ownership and what is required should intellectual property issues arise from research undertaken while a student at the University. fall within the provisions of the Copyright Act 1994 and Amendments.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.vuw.• 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. 7 and 9 of the Act. This should be done at the outset of research. research students own the intellectual property originally created exclusively by them in the course of their studies. it must be in the public domain. research students will be required to enter into an agreement assigning or apportioning intellectual property to the University. In some cases the candidate’s school will also request a copy. or seriously damage the economy of New Zealand.pdf for the Withholding of Theses Procedure.victoria. The application must also be supported by the supervisors and Head of School.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. Students should consult the Victoria University Intellectual Property Policy at http://policy. The Associate Dean can provide further advice.

control and adjustment of prices of goods and services. ii) the regulation of banking or credit.Candidates should give particular attention to Section 9 of the Act.” 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. Sections 6 and 9 of the Official Information Act are reproduced here: Section 6. 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. and the right to a fair trial.6 Official Information Act 1982 For the information of candidates and supervisors. the withholding of that information is outweighed by other considerations which render it desirable. and detection of offences. Candidates and supervisors should bear these factors in mind in choosing topics for research. investigation. for the purpose of section 5 of this Act.3(c).4. Among many possible reasons for withholding information mentioned there is specific reference to material of a sensitive personal or commercial nature. or To endanger the safety of any person. the ground identified in the written request made by the author under the Library Regulation 4. (b) (d) (e) 56 PhD Handbook . Where arrangements have been made under the Library Regulation 4. It is important to note that although the section lists good reasons for withholding information. Conclusive reasons for withholding official information Good reason for withholding official information exists. including the prevention. or ii) any international organisation. iv) the stability. 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. iii) taxation. giving undertakings to the suppliers of information in respect of the maintenance of confidentiality.12. disclosure may be required if “in the circumstances of the particular case.3(c) for the withholding of a thesis or research paper from consultation. and deciding how information will be handled in the examining of the thesis or research paper. and its inclusion or exclusion from the research document as formally presented for examination. seek to withhold information in it under the Official Information Act 1982. or (c) To prejudice the maintenance of the law. as a matter of policy. rents and other costs. in the public interest. to make that information available. It will cite as the specific ground for withholding the document.12. making requests for research information from outside sources. the University will. 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. 13.

including that of deceased natural persons. or ii) Would be likely unreasonably to prejudice the commercial position of the person who supplied or who is the subject of the information. and 18 of this Act. or (e) Avoid prejudice to measures that prevent or mitigate material loss to members of the public. if. or ii) Would be likely otherwise to damage the public interest. and it is in the public interest that such information should continue to be supplied. 10. or (2) PhD Handbook 57 . the withholding of that information is outweighed by other considerations which render it desirable. 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 (f) Maintain the constitutional conventions for the time being which protect: i) The confidentiality of communications by or with the Sovereign or her representative.and rates of wages. v) the borrowing of money by the Government of New Zealand. unless. vi) the entering into of overseas trade agreements. the withholding of the information is necessary to – (a) Protect the privacy of natural persons. 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. to make that information available. or (b) Protect information where the making available of the information i) Would disclose a trade secret. or (d) Avoid prejudice to the substantial economic interests of New Zealand. Subject to sections 6. Other reasons for withholding official information: (1) Where this section applies. ii) Collective and individual ministerial responsibility. where the making available of the information i) Would be likely to prejudice the supply of similar information. salaries and other incomes. this section applies. or (c) Avoid prejudice to measures protecting the health or safety of members of the public. in the circumstances of the particular case. iv) The confidentiality of advice tendered by Ministers of the Crown and officials. for the purpose of section 5 of this Act. and only if. iii) The political neutrality of officials. Section 9. good reason for withholding official information exists. 7. or information from the same source. in the public interest.

members of organisations. commercial activities. and employees from improper pressure or harassment. 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. without prejudice or disadvantage. officers. or (h) Maintain legal professional privilege.ii) The protection of such Ministers. negotiations (including commercial and industrial negotiations). without prejudice or disadvantage. or (j) Enable a Minister of the Crown or any Department or organisation holding the information to carry on.

e. ‘Availability’ means willingness to accept appointment and agreement to examine the thesis and complete a report within eight weeks of receiving the thesis. Normally at least one examiner will be from another New Zealand University (the external New Zealand examiner). recommend suitable examiners to the Associate Dean..2 Early Submission In cases where a candidate makes exceptional progress with their research. Supervisors.g. In cases where the most qualified examiner has such a relationship with the candidate. but may not be told which examiners have been nominated or appointed. their relationship to one another should be demonstrated. The RDC approves the nominations and appoints the examiners. the Research Degrees Committee (RDC) should be consulted. 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 Associate Dean will scrutinise the recommendations and forward them to the RDC. the Associate Dean will give favourable consideration to a request for early submission. professional or contractual relationships with the candidate. The third examiner should be a member of the Victoria University staff (the internal examiner). At least one examiner is normally a member of the staff of an overseas university or similar institution (the overseas examiner).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. a member of the same teaching/research group. Availability is normally established through informal contact and the Associate Dean is responsible for ensuring that this is done. and supply the Associate Dean with a brief curriculum vitae or other information which establishes the suitability of the proposed examiners. The 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.14. PhD Handbook 59 . Concerns with any aspect of the recommendation of examiners should be addressed to the Associate Dean. as long as the report constituting the thesis is written under supervision during the period of registration.0 The PhD Examination 14. If it consists of several studies or cases. the internal examiner should not normally be a close working colleague. Suitable examiners are those who have no significant personal. in consultation with the Administrative Supervisor. 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. Candidates can be consulted on potential examiners.3 Submission A thesis is an integrated report. The decision to make application for a thesis to be examined is one to be made by the candidate. 14. Examiners must be in a position to provide a fair and impartial assessment of the thesis. If the candidate is a member of Victoria University staff. Only in exceptional circumstances will the internal examiner be the primary supervisor or cosupervisor. 14. The thesis may include the candidate’s previously published work or material based on previous research.

borrowed. 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. The University has an obligation to examiners to ensure that any thesis sent for examination is complete and suitable for examination. 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.vuw.ac.vuw. A grace period starts on the last day for which fees are paid and covers the following 28 days. it should be reviewed by at least the primary supervisor before application is made for examination. When the candidate indicates the thesis is complete. Students may appeal to the PhD Convener. the candidate retains the right to have the thesis examined. 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.nz/ Amphora!~~policy. a statement that the thesis does not exceed 100.However. 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. Should the Associate Dean decide that a thesis is not complete the candidate may appeal that decision to the Research Degrees Committee (RDC).nz~POLICY~000000000034. If the supervisors are of the opinion that the thesis is not complete. • • • On submission of the thesis. The Associate Dean. to submit without three months prior enrolment. two Availability of Thesis forms providing consent for the thesis to be consulted. This review period should not usually exceed four weeks. If a thesis is submitted in the grace period no extra fees will charged. in exceptional circumstances. A thesis is not complete unless it constitutes a complete scholarly work inclusive of all scholarly apparatus usual in the discipline. The University expects that normally a candidate would be enrolled for the three months immediately preceding submission. 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 primary supervisor may recommend to the Associate Dean that the thesis not be accepted for examination. 60 PhD Handbook .ac. copied or reproduced in accordance with the Library regulations. 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. it is expected that such decision will be made by agreement between the candidate and the supervisors.pdf). 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. including word limits. after appropriate consultation.000 words in length* a research supervision Exit Questionnaire to canvas PhD students for written comments about the supervision of their thesis. Before submission. 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.

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

14.4 Examination
The examination comprises an expert review of the thesis by three examiners and may include an oral examination. In some faculties the requirement for an oral examination is waived unless specifically requested by an examiner, a supervisor, the candidate or the Research Degrees Committee (RDC). Candidates can normally expect the examination process to take approximately 4 months (including 8 weeks for the examiners to complete their reports). In exceptional circumstances the process may take several months longer. The RDC is responsible for reviewing all reports and deciding the outcome of the examination process.

14.5 Examination of the Thesis
Each examiner is supplied by the Faculty Office, on behalf of the Associate Dean, with a copy of the thesis, the relevant statute and policy and information detailing what is required from them. The information is specified in https://intranet.victoria.ac.nz/research-office/postgraduate/forms-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

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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.

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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:

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9. 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. the candidate may be asked to revise aspects of their work and sometimes write new sections.9.9 Minor Amendments and Revisions The responsibility for overseeing the minor amendments or revisions is usually taken by the internal examiner. the changes that the examiners require are such that it is reasonable for the internal examiner alone to assess the revised thesis. In this case the examiners should offer detailed advice to assist the candidate towards a successful re-submission. such as making small corrections.9.2) to the thesis recommended by the examiners. • • • • • 14. and • 64 PhD Handbook . or fixing typographical errors. After consultation with the candidate.• • that the candidate be awarded the PhD. 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. to clarify an argument. for example. that the candidate be awarded the PhD subject to the completion of any revisions (defined in 14. 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. adding missing citations. amendments that are ‘minor’ should be able to be completed within two weeks’ full-time work or equivalent. that the candidate be declined a PhD but offered a Master’s degree. If the primary supervisor is not available then the Administrative Supervisor will take this role. As a guide. then the primary supervisor will take this role. that the candidate be awarded the PhD subject to the completion of any minor amendments (defined in 14. but ‘minor’ can include slight changes or additions of substance. that the degree not be awarded but that the candidate be permitted to re-submit a revised thesis within a specified period. the person responsible for overseeing the minor amendments or revisions will stipulate in writing the timeframe within which these must be completed. 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. to the satisfaction of the internal examiner. to the satisfaction of the internal examiner.9. 14. Generally minor amendments are formal only. 14. that no degree be awarded and the candidate’s registration be terminated.2 Revisions Where more than minor amendments are required.1 Minor Amendments It is very common for examiners to ask candidates to make small corrections to the thesis before it is accepted.1) to the thesis recommended by the examiners. If the internal examiner is not available.

LLM) in place of the doctoral qualification. If there is good reason why the internal examiner should not be the person to undertake this task. The internal examiner is responsible for explaining to the candidate. 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.3 Disputes about Revision If there is substantial disagreement between the two external examiners and/or the internal examiner. While candidates have a maximum of six months to make the suggested revisions. a second oral may be necessary. all copies of the thesis are returned to the candidate who is given the date by which re-submission must be made. Any such change must be notified to the relevant Faculty Office. opt to make only minor editorial changes to the thesis and to accept the relevant general Masters qualification (MA. MCA. The Masters in such cases will be awarded at the Pass level. they may also recommend that a second oral examination is not required. or a restructuring of the thesis). Any candidate for whom the result of the first round of the examination process is that the thesis may be resubmitted. the examination process begins again.9. It is the responsibility of the School Research/Postgraduate Committee (SRC). it is desirable that the work is completed as soon as possible. The revisions required will be notified to the candidate in writing. to ensure that the candidate understands exactly what is required to meet the examiners’ concerns and to oversee the revision process.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. Following such discussions. which will usually delegate this to the internal examiner and/or the primary supervisor. who will then appoint an appropriate substitute. Where the problems are more fundamental (requiring. this option no longer applies. and to change the primary supervisor if this is academically advisable. in writing with a copy to the Convener of the RDC. the gathering of further data. at their discretion. It is the duty of the School Research Committee to organize this. When the examiners recommend that the thesis be re-submitted after revision. When the thesis is re-submitted. may. PhD Handbook 65 . which parts of the thesis require revision and for what reasons. Any recommendation regarding a second oral examination requires confirmation by the RDC. Where re-submission is involved. a period of further supervision will be required. MSc. it is recommended that the internal examiner discuss the matter with senior researchers in the School or wider university. a formal Memorandum of Understanding should be agreed before entering into negotiations with the candidate as to the completion of these revisions. 14. for example.• 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. 14. Once the thesis has been resubmitted. an explanation should be given to the Research Degrees Committee. Re-enrolment is required for re-submission. Only in exceptional circumstances will the RDC consent to a change of examiners. MMus. 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.

isolation can be a problem. The University. although the Postgraduate Students’ Association (PGSA) can provide important social and academic contacts. equity of educational and employment opportunity for those who are socially and economically disadvantaged. acceptance of obligations as well as rights to enable all in the University community to develop their full potential. and ultimately will be examined by the academic staff. tolerance. candidates occupy a special albeit transitional. The sections that follow outline the principal values of the University community. 15. place in the University system.pdf 15. intellectual openness and questioning of accepted wisdom.1 Introduction While engaged in PhD study. co-operation. neither members of the main student body. a commitment to leadership in the community and an awareness of the needs of that community. and the principal rights and obligations of PhD students.15. A copy is available in the main collection of the Library. The University encourages candidates to get to know each other so that experiences can be shared 66 PhD Handbook . at the same time they require guidance. While PhD students are usually treated collegially by academic staff.nz/home/about/newspubs/publications/Charter. a nurturing environment providing the atmosphere for growth and learning. and provide an academically exciting and intellectually stimulating environment. ac.victoria. nor members of the academic staff. high ethical standards of accuracy.2 Values and Ethos The guiding values of the University community are: • • excellence in learning. For PhD students in small schools.0 The University Community 15. endeavours to maintain an environment which will foster and protect PhD students. During the time of study. • • • • • • A full description of the University’s Mission and Values is set out in the University Charter. in return.3 Collegiality The University recognises that a vital aspect of the learning experience for PhD candidates is an environment of strong and supportive collegiality. Like many transitional states. PhD candidates’ status can be rather ambiguous. 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. Students should be aware that undertaking a PhD has the potential to be a solitary and isolating experience and should work to mitigate this. teaching and research. and a commitment to teaching and research that embraces both theory and practice. This document is also available at: www. acknowledgement of the principles of the Treaty of Waitangi and recognition of the special relationship with the tangata whenua.

nz/pgsa/resources/mailing-list. relevant information for postgraduates and social events. Recognised by the University and Victoria University of Wellington Students’ Association (VUWSA) as the lead representative body of all postgraduate students. it is expected that they will attempt to resolve any conflict themselves. which can be viewed by searching for ‘Statute on Student Conduct’ at: http://policy. The PGSA aims to create a vibrant postgraduate community at Victoria and to promote the value and role of postgraduate contributions to the University. and provides advice and advocacy for individuals and groups of postgraduate students. The use of email is very helpful for this purpose.nz The Statute on Student Conduct identifies unacceptable behaviour and provides processes by which people can seek to have concerns addressed. The PGSA sends out a monthly e-newsletter The Postgraduate News.5 Rights and Obligations Regarding Conduct 15.nz or www. They are entitled to work. elected each year and comprised of up to ten voluntary postgraduate students.victoria. training workshops and information.ac. PhD Handbook 67 . The PGSA also organises the University’s annual teaching awards (the Victorias) and offers a small postgraduate computing space in the Trinity Newman Postgraduate Centre. The PGSA also coordinates the network of postgraduate representatives on university committees and bodies.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. You can also contact the PGSA on tel 0-4-463 6973 or email pgsa-ea@vuw.victoria.nz/pgsa The PGSA’s office is in Room 202. the PGSA is committed to maintaining and improving the conditions under which all postgraduates work at Victoria. 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. seminars. To subscribe or unsubscribe to the list go to www. learn.” If differences or disputes arise between members of the University community. ac. 20 Kelburn Parade. The preamble to the Statute on Student Conduct states that: “Students are expected to contribute with reason and consideration to the University’s role. co-operatively and in a professional manner.5. financial and social needs of higher degree students.ac.victoria. It lobbies on issues. lobbying to foster the academic. study and participate in the social aspects of the University’s life in an environment of safety and respect.4 The VUW Postgraduate Students’ Association The Postgraduate Students’ Association (PGSA) is an independent organisation that represents all postgraduate students and their interests at Victoria. The PGSA is run by the Executive. which can be a helpful means of ensuring contact with colleagues and avoiding isolation. 15. Candidates are also encouraged to attend the appropriate faculty and school seminars. represents postgraduate students on a variety of university committees and arranges social activities. and welcomes enquiries.ac. The PGSA operates an electronic mailing list for all members which keeps postgraduate students informed about PGSA initiatives. The PGSA is always eager for postgraduates to get involved. 15.aspx and fill in your details. It acts on behalf of postgraduates. All PhD candidates are therefore reminded of their obligation to observe the Statute on Student Conduct.and problems jointly addressed. It is expected that students will act with integrity and demonstrate respect for others and their confidences when given.

victoria.5. vuw.ac.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. Further information is available in the brochure Respect: Sex and Relationships: what’s OKAY and what’s not at http://www.The Statute prohibits the following conduct: discrimination. In particular. study and participate in the social aspects of the University’s life in an environment of safety and respect. They are entitled to work. harassment. racial harassment. learn. 15.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. 15. misuse of University computer systems. and other misconduct. sexual harassment. misuse of authority. 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. racial harassment. it is expected that they will attempt to resolve any conflict themselves. These definitions of misconduct are not intended to apply to reasonable comment by staff in the exercise of academic freedom. “ 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. all defined in section 4. they should in the first instance. 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.5. sexual harassment. the University has clearly defined procedures under the Policy on Staff Conduct for dealing with sexual harassment. causing racial disharmony. misconduct in research. all defined in section 4. misuse of information. co-operatively and in a professional manner. misconduct involving a conflict of interest. and other misconduct. If differences or disputes arise between members of the University community.2 of the Policy. 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. academic misconduct including plagiarism. It is also University policy that all disciplinary procedures conform to the principles of natural justice.nz/disputes-advice/ 68 PhD Handbook .ac. Various procedures have been adopted in the Statute and the Policy to safeguard the rights of the individuals in this respect. The Policy on Staff Conduct identifies misconduct as including: discrimination. If any PhD candidate has been subjected to unwelcome and distressing behaviour and would like guidance as to whether it amounts to sexual harassment. misuse of information. contact the University Facilitator and Disputes Advisor.2 of the Statute.

i. and the computer database provides a useful checklist of career options and training. to details of specific jobs. The Service is open all year.1.ac. The Letting Service can be accessed online at: www. confidential discussions.16. There are career workshops for developing interview skills. Prospective postgraduate students are especially welcome to visit and use the Service.1 Student Services Group Victoria has an excellent support network for students.1 Accommodation Service Level 1. identifying skills and other career-related matters.30am-5 pm tel 0-4-463 5393.nz The Accommodation Service helps students find suitable accommodation in Wellington.nz/st_services/ accommodation/ or on notice boards in the Accommodation Service. email careers-service@vuw. Victoria CareerHub is also your one-stop-shop for details on all career events.nz/st_services/careers/) provides information and guidance to students with career and course-related questions.victoria. 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. 16. Feel free to come by for a casual visit during our drip-in times or call ahead to book an appointment. A separate Law and Accounting Employment Programme is held early in the year. fax 0-4-463 5252.. employers and checking draft copies of resumes.1. and operates a Letting Service of vacancies in the private market. PhD Handbook 69 . including the study break. 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.ac.ac.nz using your Student Computing account as your login. which is funded by the University and by students through a small levy paid upon enrolment. Student Union Building Hours: 9am to 5pm Monday to Friday tel 0-4-463 5896.2 Career Development and Employment 14 Kelburn Parade Hours: 9am to 5pm Monday to Friday. employer presentations. The Service’s reference library has detailed information on occupations and employers. The Service has three professionally-trained careers advisers available for informal.0 University Student Services 16. This can be accessed via Victoria CareerHub: http://careerhub. A comprehensive careers website also offers valuable advice. preparation of CVs. 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. handles applications for Victoria’s Halls of Residence.from the general exploration of career ideas and the career implications of postgraduate courses.nz Career Development and Employment (www. email Accommodation@vuw. A Graduate Recruitment Programme runs throughout most of the year.e.ac. Many of these services are run by the Student Services Group. workshops and seminars in addition to tips on career development and job search topics. fax 0-4-463 5252.victoria.victoria. except Wednesday 10. career fairs.ac. 16. They can help with a wide range of queries .

A range of services and support is available. Room 103 Telephone for an appointment tel 0-4-463 6070.victoria.ac. fax 0-4-463 5104. Pasifika and First Nations’ PhD Candidates. either full-time or five half days. and is open from 8am to 5.00pm by special arrangement.3 Counselling Service 2 Wai-te-ata Road (Kelburn campus) Hours: 9am to 5pm throughout the year tel 0-4-463 5310. Bookings can be made by contacting the Manager. Te Aro and Karori campuses. Trained and experienced staff provide care and education for children aged from three months to five years. The University Staff Early Childhood Education (ECE) Centres cater for the children of staff and postgraduate students. The Law Crèche. Staff ECE Centres are Tui House at 4 Clermont Terrace.1. Room 007 tel 0-4. 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.30pm weekdays.1. including specialised computer software. fax 0-4-463 5028 Counselling Clinics are also held at Pipitea. mental health condition or chronic illness that may impact on their study. their relationships or their learning.1. and possibly to 6.1.30pm on weekdays during term and examinations. www.463 6001 or 027 563 6001 Monday to Friday 8.5 Disability Support Services Level 1.16.30am to 5. places to study and rest. Robert Stout Building. Level 0.nz 16.7 MAI Ki Poneke MAI (Maori and Indigenous Postgraduate Students) is a national network for Maori.ac. regular workshops and a mentoring programme. caters for 14 children up to three-and-a-half years of age. Students wishing to discuss their needs should contact a Student Adviser from Disability Support Services as early as possible. 16. and is open 8. The Crèche’s fully trained and experienced staff provide care and education for children while parents are studying.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. Kirk Building. There are also active student support groups.nz/mai 70 PhD Handbook .nz www. 16. Group programmes are also available.ac.ac.30pm email kaiwawao-maori@vuw. This Crèche is on the Kelburn campus.1.ac. and Kea House at 2 Clermont Terrace. Students who wish to use any of the Crèches should register in person from the first Monday of November at 71 Fairlie Terrace. email Disability@vuw. in the Government Buildings on Lambton Quay. injury. Bookings are on a permanent basis.nz Disability Support Services are on campus to assist students who are deaf or have an impairment.30am-4. tel 0-4-463 5151 or email Childcare@vuw.victoria. 16. and personal assistance where appropriate. hearing assistance technology.4 Childcare The University Student Crèche is available to students with pre-school children (from birth to five years).6 Kaiwawao Maori/ Maori Student Services Adviser Hunter Courtyard. at 67-71 Fairlie Terrace. or phone the Manager on 0-4-463 5151. which offers monthly regional meetings. alternative print formatting.

fax 0-4-463 5252. fax 04-463-7475 Karori: Level 3.nz/st_services/health/ (for clinic times and fee structure) The Student Health Service offers low cost confidential quality healthcare. in the first weeks of each trimester. A number of specialist services are also available including psychiatry. They administer the Hardship Fund which provides short-term assistance for those facing financial difficulties. transport. West Wing tel 0-4-463 7474. childcare.nz/postgradlife PhD Handbook 71 . high course costs. Our Student Health Service will help you enjoy better health and an improved lifestyle. at both Kelburn and Pipitea campuses.9 Student Health Service Kelburn: 4 Wai-te-ata Rd. phone 0800-611 116 to speak to a registered nurse. fax (04)-463 5252. They can also help students complete financial statements for scholarships applications.ac. Railway Station. travel and nutrition advice.30am to 4pm Monday to Friday Pipitea: Railway Station. email Student-hardship@vuw. and Te Aro: Ground floor. Level 0 Hunter Courtyard Hours: 8. An experienced team of doctors and nurses provides a wide range of medical care including treatment of acute illness and injury. including time management. email Student-learning@vuw. smears and sexual health checks.ac.1.ac.1.8 Financial Support and Advice 14 Kelburn Parade. Rooms 106 and 107 Hours: 9am to 5pm weekdays (no appointments on Fridays) tel 0-4-463 6644 or 0-4-463 6658.ac. For further information phone 0-4-463 5908. fax 04-463-5028 Pipitea: Student Services. accommodation etc. Faculty of Education tel 0-4-463 9537. 139 Vivian St tel 0-4-463-5308. oral presentations. management of ongoing health problems. Level 2. research costs not covered by grants. tel 0-4-384 4944 (there will a charge for this service). Experienced learning advisers are also available for one-to-one consultations on all aspects of postgraduate study. Level 2 Hours: 8.1. SLSS facilitates a regular postgraduate writing group (beginning with an intensive Saturday workshop in March). West Wing.16. For free medical advice. Grey Block. dermatology and physiotherapy. and structuring and formatting long documents. will help postgraduates set up and maintain a peer study/support group in their school and will organise workshops on request.victoria.victoria.ac. 16. fax 0-4-463 9581 email Student-health@vuw.30pm Tuesdays and Fridays tel (04)-463 5999.nz www. minor surgery and more. for example. 16. contraception. 17 Adelaide Road. PostgradLife is a student-centred website which provides links to important information for postgraduate students: www. developing research questions. The Advisers have close links with StudyLink and can assist with problems associated with Student Allowance and Loan applications.30am to 3.nz The Student Learning Support Service (SLSS) runs regular seminars on topics of interest to postgraduate students.nz The Student Finance Advisers help students to manage their personal finances by providing advice and individual budgets.10 Student Learning Support Service Kelburn: Kirk Building. After hours emergency care is shared with Wellington GPs at the Wellington Accident and Urgent Medical Centre.

the Karori Gym and Tennis Courts. are placed on the active roll. There is also a National Bank branch and ATM.1.victoria. or have been enrolled since the penultimate election. fax 0-4-463 5210: email alumni@vuw. fax: 0-4-463 6698. 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.1.nz/alumni The Alumni Relations Office provides a means for graduates and others who have had a close association with the University to remain in touch. and through an affinity card it raises money to fund postgraduate scholarships. through the VUWSA Trust. the Union Cafe. The Services Team act as a facilitator to help you find the assistance you need. 16. the only campus bookshop in New Zealand owned by its students. New Zealand. Wellington.16. 16. which has an important role as a forum to discuss matters of relevance to the University and provide graduate input into University decision-making. or have applied to the Secretary for transfer to the active roll. Anyone who has studied or worked at Victoria may join. Those who have voted in one of the previous two Council elections. It is a focus for many activities and features social and meeting rooms. Vicbooks is on the 3rd floor of the Student Union Building and 72 PhD Handbook . Enquiries and applications for enrolment should be addressed to the Secretary.12 Alumni Association The University values its links with its former students. 16. the Kelburn Tennis Pavilion and the Boyd Wilson Field and clubrooms. The register of members is in two parts.ac. the Student Union Complex provides opportunities for students to participate in a wide variety of cultural. Court of Convocation. Graduates are encouraged to remain involved in the life of the University and to exercise their right to representation on the University Council. PO Box 600. The Student Union Building is home to vicbooks. email student-union@vuw. active and inactive.nz. the Rutherford House Gym. Hunter Building Tel 0-4-4636700. recreational.2 Student Union Complex The University’s ‘Community Centre’. Facilities include those offered by the Student Union Building. social and political activities.nz The Union Building houses the Student Union management and the Students’ Association.11 Victoria International The Victoria International Services Team is the first port of call for all International PhD students seeking assistance at the University. It coordinates activities of the Alumni Association. They also deal with all insurance and visa-related issues and can help you settle into your new life in Wellington. the Recreation Centre. which elects five members of the University Council. The Association also organizes informal social activities.1.1 Student Union Building tel: 0-4-463 6999. www. New graduates are automatically enrolled on the register. Victoria University of Wellington.13 Court of Convocation All graduates of Victoria University are eligible to be enrolled as members of the Court of Convocation. the Mount Street Bar and Cafe and the Union Hall and Hunter Bar.ac. Alumni Relations Office Room 325. many of who have achieved distinction in a variety of fields in New Zealand and elsewhere.ac. 16.2. 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.

www. to salsa. indoor cricket and rock climbing are a sample of recreational activities which take place at Kelburn. basketball and indoor netball. volleyball. PhD Handbook 73 . choose from indoor soccer. The Group Exercise programme offers fantastic classes in Yoga.the ground floor of Rutherford House. During trimesters 1 and 2 we run an Activities Programme giving you the opportunity to try everything from bridge swinging. The Kelburn and Karori gymnasiums provide opportunities for indoor sports such as basketball. Vicbooks offers a student discount on academic textbooks. If you are into social sport check out our Sports League competition. and a second fitness studio and aerobics centre at the Pipitea Campus. or even cocktail making. Tae Bo and Step to mention a few. Pump.nz/union/reccentre Recreation offers two main facilities: the recreation centre at the Kelburn Campus. and has postal and dry cleaning services. table tennis and ultimate.2 Recreation Centre tel 0-4-463 6614. Martial arts. The Student Union also operates Student Notes on the Ground Floor.ac. Pilates.nz. general books. email rec-cent@vuw.victoria. which has recently been refurbished. magazines and stationery.2.ac. 16. volleyball. The Kelburn and Pipitea Fitness Studios offer a full range of cardio equipment and weights machines.

Enrolling.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. 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 .

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. 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. payment of fees. Administrative Supervisor. Faculty Office. possible supervisors Appropriate ethics committees. extensions research away from the University Guidance on all matters pertaining to supervisors the research. forwarded to Administrative Supervisor and Faculty Office Head of School Faculty or School Research/Postgraduate Committees Supervisors. suspensions. Postgraduate Coordinator.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 . extensions. Associate Dean. Facilitator and Disputes Advisor. record of candidature in the ResearchMaster information management system etc Approving variations to conditions of study including suspensions.

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 .

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. the HoS will act as the Administrative Supervisor.Appendix 2: Summary of Role Responsibilities Supervisor/s (see Chapter 7. are hindering the research progress. each PhD candidate will have an Administrative Supervisor who will in most cases. Most administrative responsibilities for PhD students are delegated to the School Research/Postgraduate Committee (SRC).0 Supervision Protocols) Administrative Supervisor In addition to two academic supervisors. which outlines the agreed responsibilities including the completion of sixmonthly reports Comes to agreement with the candidate and the supervisor/s on additional work required for a PhD if the candidate is converting from a Master’s degree Provides written support for applications for conversion from a PhD to a Master’s degree Recommends to the Associate Dean any nominations for external scholars to be part of the supervisory team (Honorary Research Associates) Seeks approval from the Associate Dean for any changes to the supervisory team Oversees the completion of the six-monthly report process Recommends to the Associate Dean that a candidate’s enrolment be discontinued if no action is taken by the candidate to rectify problems identified in the six-monthly reports • • • • • • • • • Examination • • Approaches prospective examiners in consultation with supervisors Oversees the minor amendments or revisions. Responsibilities as follows: PhD Handbook 77 . candidates and internal supervisors sign a Memorandum of Understanding. where difficulties which have arisen during supervision. if the internal examiner or the principal examiner is not available. Head of School The role of Head of School (HoS) varies from one school to another. Information includes outlining how the candidate and supervisor/s are working towards the resolution of those difficulties Ensures that external supervisors. In most cases. be the Head of School (HoS) of registration. The Administrative Supervisor has responsibility for the School/Faculty paperwork involved in the candidacy.

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.Enrolment/Registration • Writes an agreement (Research Memorandum) between the School. 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. the initial proposal. 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. 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. signs the completed application form (along with all the supervisors) and then returns the form. and monitors. equipment. ensuring that the candidate has had the opportunity to respond Notifies the Associate Dean if the student fails to take the required action to rectify persistent problems and informs student of their entitlement to representation • • • • • • • Examination • Provides CVs for the New Zealand and overseas examiners plus a rationale for why the three proposed examiners make an appropriate examination panel to the Associate Dean for endorsement. the Research Memorandum. 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 . proposed action to rectify problems specified in the six-monthly reports.

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.• • • Oversees the acceptance of a candidate within a school Ensures that the candidate and each supervisor has a PhD Handbook Provides candidates with University criteria and School-specific criteria determined by the SRC for progressing from provisional to full registration Oversees the transfer of a candidate from provisional to full registration • Supervision • • • Provides advice and support for supervisors Responds to student queries and concerns Keeps records and monitors six-monthly progress reports (may be delegated from the Head of School) Liaises with Associate Dean over student progress • Administration • • Organises school research seminars Manages all administrative procedures with school administration staff School Research/Postgraduate Committee The School Research/Postgraduate Committee (SRC) is responsible for the management of PhD candidature in the school. Responsibilities as follows: Enrolment/Registration • Scrutinises the initial research proposal for academic appropriateness. and the Research Memorandum to ensure appropriate resources are available for the research and then makes recommendations to the HoS on the acceptability of the candidate Approves memorandum of attendance Develops School-specific criteria (in addition to Victoria University criteria) as to what constitutes satisfactory progress for candidates to move from provisional to full registration Recommends a move to full registration once the committee has accepted the full research proposal and the student has met requirements and informs the Associate Dean • • • Supervision • Discusses possible conversion from a Master’s degree to a PhD with supervisors – must be satisfied existing supervisor/s are appropriately qualified/experienced and if necessary approve additional supervision Examination • Notifies the candidate of any required revisions to the thesis (usually delegate this to the internal examiner and/or the primary supervisor) to ensure that the candidate understands exactly what is required to meet the examiners’ concerns. • PhD Handbook 79 .

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. 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. or delegated authority. the resumption of registration if it lapses Discontinues enrolment of a candidate where no action has been taken by the candidate to resolve problems outlined in the six-monthly reports Grants suspensions or extensions of enrolment beyond 5 years. where good cause is shown. where the HoS is already the primary supervisor. 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. Sends copies to the RDC for approval • • • • • • • • • • • • • • • • 80 PhD Handbook . 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. at the time of registration. 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. following nomination by schools including the Administrative Supervisor.Associate Dean (Students/Research) In each faculty an Associate Dean. 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. or extensions beyond seven years (only granted in exceptional circumstances). on rare occasions.

Supervision • • Receives and monitors progress on the six-monthly reports Advises supervisors and candidates over matters relating to supervision. funding and grievances which have not been dealt with by the Administrative Supervisor or the HoS Approves applications for a change in the supervisory team from the Administrative Supervisor and informs the RDC of any changes Forwards recommendations from the Administrative Supervisor for external scholars to be appointed as supervisors (Honorary Research Associates). If the Associate Dean so decides. the Administrative Supervisor and the HoS • • • • • • • • Oral Examinations: • Arranges an oral examination where appropriate (including requests to the PhD Convener for oral examination approval when required) Chairs the oral examination. or appoints an appropriate person as chairperson Sends examiners’ reports to the candidate at least five days before the oral examination • • PhD Handbook 81 . the primary supervisor. where differing recommendations are made. after appropriate consultation. the candidate will be advised of the reasons for the decision and the changes necessary to make the thesis suitable for examination. Candidate may appeal that decision to the RDC Scrutinises recommendations for potential examiners and forwards them to the RDC for appointment Ensures examiners appointed to examine the thesis are available to do so within the eight weeks as specified in the PhD Policy Acts as a conduit for consultation between examiners and supervisors Asks the internal examiner (or a New Zealand based examiner) to coordinate consultation between examiners. 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. Supervisor must notify the candidate who will have the opportunity to make a submission to the Associate Dean Decides. 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. to see if the differing recommendations can be resolved Reports on the examination of the thesis to the PhD Convener. 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.

fees. 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 . Sends the report of the oral examiner to the candidate.000 words in length (inclusive of scholarly apparatus) Ensures the candidate receives an Exit Questionnaire to evaluate their supervision upon thesis submission • • • Examination • Sends examiners a copy of the thesis and appropriate information detailing what is required from them Sends official notification of examination results to candidates. on behalf of the Associate Dean Ensures the candidate has deposited two copies of the final copy of the thesis in the library. to the RDS. primary supervisor. copied or reproduced in accordance with the Library regulations. assesses examiners’ reports and makes a decision concerning the examination result on behalf of the RDC. • 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. Administrative Supervisor and HoS. suspensions and extensions Receives and holds records of the six monthly reports Maintains accurate and up-to-date postgraduate data on candidature in the ResearchMaster information management system Submission • • Receives the completed thesis from the candidate Provides a Statement of Authorship form and requires the candidate’s signature to confirm that the work of others has been acknowledged in the thesis and that the thesis has not been submitted previously for another degree Provides two Availability of Thesis forms and requires the candidates signature to consent that the thesis may be consulted. borrowed. • • PhD Convener The PhD Convener chairs the Research Degrees Committee (RDC).• Reports on the examination as a whole. after any telephone conversations with the overseas examiner as appropriate. The PhD Convener approves the examination arrangements for PhDs in consultation with the relevant Associate Dean. with a recommendation. Responsibilities are: Enrolment/Registration • • • Administers candidates registration.

for a thesis larger then 100. consults with the RDC Asks the Associate Dean to arrange an oral examination where requested by the supervisor. including all the examiners’ reports and a recommendation on the outcome Approves. on behalf of the RDC. PhDs. 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. Responsibilities as follows: Policy • Reviews policy related to Master’s Degrees by thesis (of 90 points and above). 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.Submission • Grants permission. candidate or RDC Approves requests for oral examinations via the Associate Dean. any other doctoral qualifications. • • 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. Where necessary. on behalf of the RDC.000 words to be submitted for examination Examination • Receives a report from the Associate Dean of the examination of the thesis. any unusual procedures for the oral examination. the recommendation from the examiners. including Higher Doctorates. the operation of supervision procedures and research student completion rates • • PhD Handbook 83 . in exceptional circumstances.

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

• •

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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.

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Appendix 3
Degree of Doctor of Philosophy Statute Research Policy Group

1.

Purpose:

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

2.

Organisational Scope:

This is a University-wide statute.

3.

Definitions:

For purposes of this Statute, unless otherwise stated, the following definitions shall apply: Administrative Supervisor: The person in the School with responsibility for administering the candidacy. The Administrative Supervisor must ensure that the candidate and the supervisors follow the regulations for the PhD Degree. Associate Dean: The person designated by the Dean of the Faculty for the purpose of this Statute. Full-time PhD Student: Students are deemed to be full-time when they are able to devote a minimum of 30 hours per week to the thesis, on average, over the year. This workload excludes statutory holiday periods. Half-time PhD Student: Students who cannot work on the thesis for the amount of time specified above are deemed to be half-time students. PhD Convener: Convener of the Research Degrees Committee. Research Degrees Committee (RDC): The University body responsible for the oversight of the PhD and Master’s by Thesis. Supervisor: A supervisor is a person who is appointed to provide academic and administrative guidance to the candidate during their enrolment for the degree.

4.
(a)

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

4.1 Admission

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PhD Handbook

through the Associate Dean. including supervision and the library. 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. a candidate shall be provisionally registered as a candidate for the Doctor of Philosophy.(ii) be currently enrolled in a Master’s by thesis. During suspension of enrolment the candidate will pay no fees and will have no access to university services. the minimum period of registration will be 36 months. where good cause is shown. 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. for a period of not less than one month. Suspension and Extension (a) A candidate pursuing a course of study for the degree shall re-enrol within one month of the expiry of the period of previous enrolment. Termination. the minimum period of registration will be 24 months and with halftime enrolment. the total period of suspension shall not usually exceed twelve months. otherwise the candidate’s enrolment will be terminated. subject to any submission or appeal a candidate may make. All calculations will exclude any periods of suspension. Where a candidate is accepted under clause 4. on application to the Research Degrees Committee. With full-time enrolment. terminate the enrolment. the date of registration shall be deemed to be the date of first enrolment for the degree. Extensions shall be granted only in exceptional circumstances. (b) (c) (d) (e) 4. 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 grant a suspension of enrolment. Every year of enrolment in May and November. PhD Handbook 87 . (c) 4. On application from a candidate. During a student’s candidature. This excludes any period(s) of suspension. the Associate Dean may.2 Conditions of Enrolment (a) Initially. and will not usually exceed twelve months. 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.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. Extensions to the due date of the thesis may be granted. (b) Candidates must not only show themselves to be qualified but must also be accepted by the Head of School and relevant Associate Dean. measured in monthly increments.3 Re-enrolment. If progress is reported to be unsatisfactory. In the case of candidates who have been permitted to change between full.1 (a) (ii). (b) 4. the supervisors of a candidate shall submit a report on the progress of the candidate to the Administrative Supervisor and the Student and Academic Services Office. the submission times will be calculated on a pro rata basis. and not more than twelve months. Once full registration has been confirmed.

a statement shall be included showing how the published work relates to the thesis. In exceptional circumstances the Research Degrees Committee may grant permission for a longer thesis to be submitted for examination. This contribution may include critical. The format of the thesis is determined by the Library Statute (see Clause 4. Where any of the published material included in clause 4.5 Examination (a) At any time after the minimum period of enrolment. theoretical or creative components. or accepted for publication at the time of submission.000 words in length (including scholarly apparatus). as long as the report constituting the thesis is written under supervision during the period of registration. but with permission of the Associate Dean. Any application for Withholding of Theses should be made as early as possible in the research project and well before submission. Where the decision has been made to award the degree. (b) The thesis shall not exceed a total of 100. The principal supervisor or co-supervisor must not be an examiner. a candidate may submit their thesis and apply for examination.(i) The research will normally be conducted at Victoria University of Wellington. (iii) The thesis may include the candidate’s previously published work or material based on previous research. One of these examiners will normally be from outside New Zealand. (ii) The thesis must be a body of work that demonstrates the candidate’s ability to carry out independent research. make a report on the whole examination to the RDC. 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. but the end result must be a single integrated study. it will be awarded upon the deposit of copies of the final thesis in the University Library in accordance with the Library Statute. who will determine whether the degree be awarded. The thesis shall be examined by three examiners.5 (b) is co-authored. (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. 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. (c) 4. after consultation with the examiners. experimental. The Associate Dean may on the application of the candidate or the supervisors at any time before the submission of the thesis. part of the research programme may be carried out at locations outside the University. and contact details of co-authors (see the Recognition of Authorship Policy). or on the recommendation of the examiners after the submission of the thesis. The Associate Dean shall. the candidate must provide a detailed statement of each author’s contribution to such work. appointed by the Research Degrees Committee (RDC).12 of the Library Statute). Where any work relevant to the thesis has been published.

Approval Agency: University Council 8. Approval Dates: Pre 1990 17 December 2007 17 December 2007 17 December 2010 This statute was originally approved on: This version was approved on: This version takes effect from: This statute will be reviewed by: 9.(i) Where any thesis has been submitted for the degree of Doctor of Philosophy that thesis may be accepted in fulfilment of the requirements for the Master’s degree. provided that the candidate has been enrolled for the degree of Doctor of Philosophy for that period. 5190 PhD Handbook 89 . Statute Sponsor: Deputy Vice-Chancellor (Research) 10. None Appendices: 7. notwithstanding any other provision in the Statute for that Master’s degree. References: Library Statute PhD Policy: Approving. (ii) In any other case. Contact Person: The following person may be approached on a routine basis in relation to this statute: Dr. Enrolling. Supervising and Examining PhD Candidates Recognition of Authorship Policy Withholding of Theses Procedure 6. 5. 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. Theresa Sawicka Research Manager Extn.

90 PhD Handbook .

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