This action might not be possible to undo. Are you sure you want to continue?
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
5 Providing Feedback 18.104.22.168 Encouraging Publication 2 PhD Handbook .16 Notiﬁcation of Changes to Registration 22.214.171.124 Milestones 7.5 6.2.1 Full Research Proposal 6.9 Encouraging Academic Contacts 7.2 The Role of Supervisors The Responsibilities of Supervisors 7.1 7.13.15 Duration of Registration 6.9 Admissions Criteria Conversion of a Master’s Degree to a PhD International Students Applications to Register Approval of Provisional Registration Enrolment and Payment of Fees Annual Re-enrolment Attendance at University and Study at a Distance Employment 22 22 22 22 23 23 23 23 23 24 24 24 26 26 26 27 27 28 28 28 29 29 29 29 29 30 31 31 31 31 31 32 32 32 32 32 33 33 33 34 34 6.3 Approval 6.0 Supervision Protocols 7.19 Extensions and Suspensions of Registration 6.18 Registration and Other Work 6.20 Concurrent Study 6.13.1 Assessing the Student 7.2.2 Providing Academic Guidance 7.3 Scheduling Meetings 7.8 Supporting the Student 7.2.1 6.13.6 6.2.7 6.11 Assisting Examination Arrangements 7.13 Conﬁrmation of Full Registration 6.14 Date of Registration 6.2 6.4 6.2.10 Period of Overseas Research 6.2.0 Formal Admission and Registration Requirements 6.3 6.2.7 Six-monthly Progress Reports 7.6 Identifying Problems 7.2.12 Move from Provisional to Full Registration 6.8 6.11 Collaborating Institutions 6.22 Conversion of a PhD to a Master’s Degree 7.2 Presentation of the Proposal 6.2.17 Maintenance of Registration 6.21 Change of Title 6.10 Facilitating Administrative Compliance 7.
2.4 Inter-Library Loan and Document Delivery 9.2 8.8 Submitting the Thesis 7.3.3 The Responsibilities of Candidates 7.1.1 Introduction 9.6 Other Libraries 10.1 8.3 8.2 Reference and Research Services 9.2 Minimum Resources Agreement 9.2.1 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 .4 Identifying Problems 7.1 Lending Services 9.Te Pataka Korero 9.7 Giving Notice of Submission 7.1 Student Learning Support Service 10.4 8.6 Meeting Ethical Guidelines 7.3 Participating in University Intellectual Life 7.3 The University Library .3.2 Information Technology Resources 126.96.36.199 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 188.8.131.52.13 Support for Supervisors 7.4 8.5 Specialised Collections 9.3 Financial Assistance 9.3.3 Registration as an ITS Client 9.5 Facilitating Administrative Compliance 7.5 184.108.40.206.3 Research Seminars 9.3.2 Actively Pursuing the Research 7.3.0 8.2.0 Research Advice 10.3.2 Range of services 9.1 Responsibilities of the Head of School 9.5 ITS Student Help Desk Service 9.9 Publishing 220.127.116.11 Statistical Advice 10.3.1 Planning the Research 18.104.22.168 Accessing the Network 9.7.0 9.3.1.
22.214.171.124 Specimen Layout of Title Page 13.3.0 The PhD Examination 14.2 General Principles 12.1 Appointment of Examiners 126.96.36.199 Introduction 188.8.131.52 Permanent Binding of the Thesis 13.1 Introduction 13.4 Externally-funded Scholarships and Grants 11.8 Computer Use 13.6 Photographic and Colour Copy Illustrations 13.4.1 Layout 13.7 Length 13.3 Doctoral Completion Awards 11.11.2 PhD Submission Scholarships 11.3 Seeking Assistance Outside the Faculty 12.3 Binding 13.3.1 Public Availability of Theses 13.2.1 University Scholarships 11.4 Withholding Access to Theses 13.4.1 Temporary Binding for Examination 13.5 Paper 13.3 General Guidelines 12.2.4 Resolving Administrative Difﬁculties 13.7 Tutoring and Demonstrating 184.108.40.206 Loans and Allowances 11.2.0 Resolution of Problems 220.127.116.11 Ofﬁcial Information Act 1982 14.4.4 Availability and Withholding of Access to Theses 13.2 Seeking Assistance from the Associate Dean 12.2 Deposit 13.3.1 Seeking Assistance from the Administrative Supervisor 12.0 The Thesis 13.3 Format 13.2 Guide to the Presentation of Theses 13.4 Lodging a Formal Grievance 12.4 Pagination 13.2 Early Submission 44 44 44 44 44 45 45 45 46 46 46 46 47 47 47 47 48 49 49 49 49 50 51 51 51 51 51 52 53 54 54 54 54 54 54 55 55 56 59 59 59 4 PhD Handbook .0 Research Funding and Financial Support 11.2 Citation style 13.3 Copyright and Intellectual Property 13.5 Research Grants 11.
2 Recreation Centre References Appendix 1: Summary of Tasks and Responsibilities Appendix 2: Summary of Role Responsibilities Appendix 3: Statute for the Degree of Doctor of Philosophy PhD Handbook 59 61 62 63 63 63 64 64 64 65 65 66 66 66 66 67 67 67 68 68 69 69 69 69 70 70 70 70 70 71 71 71 72 72 72 72 72 73 74 75 77 86 5 .3 Collegiality 15.5 Rights and Obligations Regarding Conduct 15.1 The Statute on Student Conduct 15.1.9 Student Health Service 16.7 MAI Ki Poneke 16.2 Values and Ethos 15.4 Childcare 16.4 The VUW Postgraduate Students’ Association 15.1 Introduction 15.9 Minor Amendments and Revisions 14.0 The University Community 15.14.3 Formal procedures 16.6 Arrangement of Oral Examination 14.9.0 University Student Services 18.104.22.168.4 Examination 14.12 Alumni Association 16.8 Financial Support and Advice 22.214.171.124 Submission 14.1 Student Services Group 16.8 Report on the Oral Examination 14.5 Disability Support Services 16.2 Career Development and Employment 16.1 Student Union Building 16.1.3 Disputes about Revision 14.10 Revision and Re-Submission of Thesis for Second Examination 15.1.1 Minor Amendments 14.5 Examination of the Thesis 14.11 Victoria Interntational 126.96.36.199 Revisions 188.8.131.52 Accommodation Service 16.6 Kaiwawao Maori/ Maori Student Services Adviser 16.10 Student Learning Support Service 16.1.2 Student Union Complex 16.13 Court of Convocation 184.108.40.206.220.127.116.11 The Policy on Staff Conduct 15.3 Counselling Service 16.5.7 Conduct of Oral Examination 14.
nz/home/ about/newspubs/universitypubs/phd_handbook. 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.ac. it offers practical advice and support.nz/postgradlife The PhD Handbook was updated by the Research and Postgraduate Studies ofﬁce in 2008. tel 64 4-463-5350. and a forum for students to post details about their research online www.ac.victoria. As well as linking directly to relevant sites.nz.pdf 6 PhD Handbook .International Students If you are an international student who is not currently enrolled. email firstname.lastname@example.org. there are things you will need to know before you read the PhD Handbook.ac.ac.victoria. Comments and suggestions for improvements are welcome: researchofﬁce@vuw.aspx The web version of the Handbook is likely to contain any recent updates or changes and can be downloaded directly at www.ac.nz/home/about/policy/research. Web access to policy information and the guidelines referred to in the PhD Handbook can be viewed at: www.nz/ international/.nz. Please contact Victoria International www.ac.
Many of the rewards of study for the PhD degree are what we might call ‘intrinsic’. You will develop and demonstrate skills in research. We know from the research that students are more likely to complete their degree if they develop academic and social connections with their peers. so the award of this degree is a mark of truly global academic distinction. analysis. 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. The information provided in the Handbook is governed by the PhD Statute and policy of the University. I would like to welcome you to your PhD studies at this institution. study undertaken for your PhD will provide you with what could be termed ‘extrinsic’ opportunities to improve yourself professionally. they are a consequence of your commitment to undertake intensive original work in your chosen ﬁeld of study. Parts of the Handbook draw attention to the amount of effort and time you will have to commit to completing your PhD. These are important issues. theorising. The PhD Handbook is an important dimension of the support we provide for all our students enrolled at doctoral level. PhD theses are evaluated by international standards.Preface To the Candidate On behalf of Victoria University of Wellington. I hope that the information presented in this handbook will help to ensure that your experience as a PhD student at Victoria is a well-rounded one. written communication in the language of your discipline. and that it will be enjoyable. rewarding. In addition to these intrinsic beneﬁts. as well as spending serious and concentrated time on their studies. 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. pastimes and forms of community service. intellectually stimulating and ultimately. and verbal presentation skills. Neil Quigley Deputy Vice-Chancellor (Research) PhD Handbook 7 . often by examiners from around the world. which is a distinctive feature of study for this degree. organising your work and time. The Handbook offers you and your supervisor guidance on many aspects of the process of supervised research. These skills provide the basis for further academic work and they are also likely to be invaluable in a wide range of other occupations.
x6217 Commerce and Administration. Convener of the Research Degrees Committee.org. Deputy Vice-Chancellor (Research). x6112 Scholarships Manager. Jenny Calder-Smith. x6231. Kristina McGuiness-King. Associate Dean (Graduate Studies and Research) Education. Student Union Building. x5191. 14 Wai-te-ata Road. Jon Everest.vuwsa. Jenny Christie. x5087 Education. x5190 Postgraduate Research Coordinator. x5144. Philippa Hay. Individual staff email addresses follow the form: ﬁrstname. Sandra Crews. Sandra France. Professor of Research Humanities and Social Sciences.org. x8068. www. Ground ﬂoor. these details are correct.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. but users should refer to the website for any updates.Staff Holding Administrative Positions At the time of publishing. Professor Laurie Bauer. Johann Barnard. Professor George Baird. x9569 Humanities and Social Sciences.nz x6984. Ofﬁce of Assistant Vice-Chancellor (Academic). Deputy Dean Law. x5192 Law. sandra. Associate Dean (Students) Managers. Professor Luanna Meyer. x5023. Robert Stout Building. Associate Professor Allison Kirkman. Dr Theresa Sawicka. x7493 Associate Deans and Delegated Authorities Architecture and Design.crews@vuwsa. x5980 Other advice and support Senior Academic Policy Adviser. Room 207 VUWSA Education Coordinator. Lois Baillie. then dialling the extension required. Postgraduate Coordinator Commerce and Administration. Professor Tony Angelo.ac. Extension numbers beginning 8xxx may be reached by calling the automated attendant on 0-4-463 5233. Alison Munro. Room 205 Facilitator and Disputes Adviser. x6324.lastname@vuw. PhD Adviser Science. x6975 Science. x5619 Research Manager. x9598. Professor Neil Quigley PhD Convener. x5676. Shona de Sain. Faculty Ofﬁces Architecture and Design.nz 8 PhD Handbook . Professor Sally Davenport.
Enrolling.Abbreviations AVC (Academic) CRI DVC (Research) HEC HoS PG Coordinator PGSA PhD Convener PhD Statute PhD Policy RDC SCS SRC Assistant Vice-Chancellor (Academic) Crown Research Institute Deputy Vice-Chancellor (Research) Human Ethics Committee Head of School Postgraduate Coordinator Postgraduate Students’ Association Convener of the University’s Research Degrees Committee Statute for the Degree of Doctor of Philosophy PhD Policy: Approving. Supervising and Examining Candidates Research Degrees Committee (a committee of the Academic Board) Student Computing Services School Research/Postgraduate Committee (the committee in each school responsible for advising the HoS on research and postgraduate matters) University Research Committee University Teaching Development Centre Victoria University of Wellington Victoria University of Wellington Students’ Association URC UTDC VUW VUWSA PhD Handbook 9 .
The supervisors may be appointed as ‘primary supervisor’ and ‘secondary supervisor’.2. each PhD candidate will have an Administrative Supervisor who is usually the head of the school of registration. 1.2 Staff involved in the Management of PhDs Many staff are involved in the management of each PhD candidacy.nz/home/about/policy/research. and the role of supervisors is discussed more fully in Chapter 7. inform PhD candidates of the resources and services available at the University to support their research. Each candidate works under the guidance of two supervisors. The Administrative Supervisor is responsible for the School/Faculty paperwork involved in the candidacy (e.2 The Administrative Supervisor In addition to two academic supervisors. PhD supervisors. or both supervisors may ‘co-supervise’ a candidate.1. Heads of Schools and Associate Deans with guidelines for the academic management of the PhD degree.1 Aims of the PhD Handbook The aims of this handbook are to: • provide PhD candidates. The most recent versions of these documents may have signiﬁcant differences from the Handbook and should be referred to at www.0 Introduction 1. In Appendix 1 there is a summary of key tasks and responsibilities and Appendix 2 has a summary of key role responsibilities for quick reference. The descriptions given here are introductory and more detailed information is provided later in the Handbook and in the appendices. The administrative responsibilities for PhD students are routinely delegated by the Head of School to the School Research/Postgraduate Committee or to another member of staff. 1.aspx 1. and the ﬁrst source of advice beyond the supervisors for the candidate. but the PhD Policy and Statute are updated more frequently.g. • The Handbook is published every two years. The appointment of supervisors is outlined in Chapter 5. 10 PhD Handbook .2. School Postgraduate Coordinators often fulﬁl this role and they also serve as the initial point of contact for potential PhD students. The person who fulﬁls the role of the Administrative Supervisor varies from faculty to faculty.ac. The Administrative Supervisor is normally the ﬁrst source of advice for the supervisors.victoria. for ensuring that six-monthly progress reports are provided).1 The Supervisors Supervisors are the staff members appointed by the University to take academic responsibility for guiding a PhD candidate during the period of research and writing up.
providing advice and support for supervisors. they will have responsibility for making recommendations on supervisors to the Associate Dean and for approving the arrangements for access to school facilities for PhD candidates. which vets thesis proposals and provides advice on issues of postgraduate student management. overseeing acceptance of a candidate within a school. overseeing the transfer of a candidate from provisional to full registration. 1. and managing all administrative procedures with school administration staff. this task is delegated to another member of staff. Roles include vetting thesis proposals and developing guidelines in addition to the University criteria for the movement from provisional to full registration. ensuring that the candidate has two supervisors. Regardless of whether the HoS has this role.2. The HoS (or school administrator) will be able to direct students to the appropriate PG Coordinators. Speciﬁc responsibilities include: • discussing potential research projects with a candidate and making decisions about their suitability. vetting initial research proposals in conjunction with the School Research Committee (SRC). providing candidates with university and additional school-speciﬁc criteria for progressing from provisional to full registration. ensuring that records are kept and six monthly progress reports are monitored.5 The School Research/Postgraduate Committee The School Research/Postgraduate Committee (SRC) is responsible for management of PhD candidature in the School. the HoS is assisted by a School Research/Postgraduate Committee. In each school.2. PhD Handbook 11 . Education and Science. In the Faculties of Humanities and Social Sciences.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. referring prospective candidates to possible supervisors. 1. ensuring that the candidate has a copy PhD Handbook. In some cases. liaising with the Associate Dean over progress. Schools appoint Postgraduate Coordinators (PG Coordinators) to manage postgraduate matters. • • • • • • • • • • • • The PG Coordinator may also run research seminars and be a member of the SRC. the HoS will normally be the Administrative Supervisor. responding to student queries and concerns.3 The Head of School The Head of School (HoS) role varies from faculty to faculty and from one school to another.1.
nz/research-ofﬁce/ 1. funding and grievances which have not been dealt with by the PG Coordinator. the appointment of Honorary Research Associates as external supervisors and chairs the University Research Committee. 1. and ofﬁcial notiﬁcation of results. In all faculties.11 The Deputy Vice-Chancellor (Research) The Deputy Vice-Chancellor (Research)(DVC (Research) is responsible for the development of the University’s research policies. Administrative Supervisor or the Head of School.2. They also have an advisory role. The Faculty Ofﬁce should be able to provide any information required about these administrative processes .2. receipt of the thesis.victoria. grants extensions and suspensions for candidates over ﬁve years and makes a decision concerning the examination result on behalf of the RDC. suspensions. 1. fees. supports research administration in the University (including scholarships).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. who is appointed by the Deputy Vice-Chancellor (Research).7 The Faculty Ofﬁce The appropriate Faculty Ofﬁce is the central processing and service centre for all administrative details related to the PhD candidature. 1. and should normally be the ﬁrst person to be approached with any matters relating to supervision. assesses examiners’ reports.8 The PhD Convener The Research Degrees Committee (RDC) is convened by the PhD Convener. receipt of six-monthly progress reports. The PhD Convener approves the examination arrangements for PhDs in consultation with the relevant Associate Dean.2. The ofﬁce can provide information and advice on university research policy and procedural matters that may arise in the course of a PhD candidature. Academic grievances concerning PhD candidacy are dealt with by the Assistant Vice-Chancellor (Academic) who will consult with the DVC (Research).ac.10 Research and Postgraduate Studies Ofﬁce The Research and Postgraduate Studies ofﬁce assists in the formulation of policy. conﬁrming registrations and granting extensions and suspensions. 12 PhD Handbook . the Associate Deans have responsibility for approving provisional registrations. liaises with schools and faculties and provides advice and assistance in support of staff and student research. The RDC approves the examination arrangements for PhDs in consultation with the relevant Associate Dean.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. The areas of responsibility of the Faculty Ofﬁce include the administration of registration.2.see page 8 for contact details.2. The Associate Deans (see page 8 for contact details) will normally consult with supervisors and Administrative Supervisors on such matters. Further information is available at http:// intranet. considers examiners’ reports and makes a decision concerning the examination result. sending the thesis to examiners.2. extensions.1. They may also be consulted about problems relating to PhD candidacy if matters cannot satisfactorily be resolved at the School or Faculty level.
It is particularly important for candidates whose ﬁrst language is not English. These are the standards which will be used in the examination of the thesis.victoria. but who are proposing to write their thesis in English. The University acknowledges a responsibility to ensure that candidates for the PhD degree work in an appropriate intellectual and academic environment. However. candidates may also be admitted on other criteria at the discretion of the Associate Dean on the recommendation of the School. including the provision of an environment which fosters postgraduate students and postgraduate training. in approved circumstances. A copy is held in the main collection of the Library. willingness to work within the scholarly tradition. staff of other institutions. Stable ﬁnancial and personal circumstances are also important factors in success. These requirements are for the protection of both the candidate and the University. htm 2. These documents are available on: www. thus enhancing the chances of success. This includes taking an appropriate part in school or faculty PhD Handbook 13 .2. Although it may seem obvious. A full description of the University’s mission and values is set out in the University Charter. the PhD degree is a key part of the University’s research activity and training.ac. The enhancement of research is recognised in the University as a vital element in its national and international responsibilities. willingness to respond effectively to advice and criticism. and are advised to develop strategies to minimise their impact. only if the University can meet the candidate’s research needs will the relationship be mutually beneﬁcial. ability to evaluate one’s own work. 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.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. persistence in the face of setbacks. Other qualities which have been found to be important to success include the following: self-discipline (particularly in relation to work habits).0 Background to the PhD 2. 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. to demonstrate proﬁciency in writing English. It is also expected that candidates will make a contribution to the ongoing intellectual life of the School in which they are registered. and if the proposal meets the University’s ethical standards. 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. if the Library has adequate resources to support the research.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. Research is fundamental to the University. The PhD candidature involves a commitment from candidate. and good writing ability. Heads of Schools hold copies of the Charter and the current Strategic Plan. prospective candidates need to be aware of likely problems.nz/council/publications. it is also necessary for a candidate to be sure that they have the time available to undertake the research. supervisors and the University which extends over some years. While it is possible to succeed in spite of difﬁculties in some of these areas. 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. ability to work independently.
email and other forms of informal discussion. The minimum period of enrolment is 24 months but in the majority of cases. The minimum period of enrolment for half-time candidates is 36 months (PhD Statute 4.20). of course. to obtain background necessary to aspects of their PhD research. the total period for completion will. Permission is required to enrol in any additional papers (see 6. it takes at least 36 months to complete a satisfactory research project and write it up. and exchanging ideas with staff and other students through seminars. For half-time candidates. 14 PhD Handbook .activities. or simply to attend certain lectures. Apart from such papers as the School may consider necessary. The results from such papers do not form part of the ﬁnal assessment of the PhD. both formal and informal. candidates are discouraged from attempting any other academic study together with a PhD because of the demands of a PhD thesis. be longer. the PhD is assessed entirely on the presented thesis.2 (b)). Occasionally a school will ask a candidate to undertake certain papers. Candidates can expect that schools will make such opportunities for participation available. At Victoria University of Wellington.
unmotivated and unable to clearly map out the next step. Student Learning Support Services offer seminars to support postgraduate research students (see 16. Victoria University of Wellington (VUW) schools have web pages detailing degrees offered. and whether the School is able to provide adequate supervision and resources.0 An Outline of the Process 3. the candidate will be registered provisionally for a period of 12 months. This may be backdated to include the time spent developing the proposal. staff and their research areas and contact details. to maintain close contact with. registration will be conﬁrmed within 15 months (see 6. candidates will need to supply: • • • • academic background information. industry sponsorship etc.13). 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.victoria. Students doing experimental work are also encouraged to keep log books documenting their work. the opportunity to take stock of progress. The VUW website www. six-monthly progress reports are required.3. particularly showing evidence of prior research experience. Such written reports allow a better assessment of progress and can also serve as the basis for the ﬁnal thesis. and details of any funding which has been obtained or which is being sought. 3. for example.12 and 6. as much detail as possible about the proposed area of research.1. and that the School is able to provide adequate supervision and resources. Prospective candidates should begin by making informal contact with the School concerned. They are encouraged to try to develop an organised work system. and seek advice from. At this stage. 3. These give candidates. their supervisors. Provided that satisfactory progress is made and that university requirements are met. scholarships. the prospective candidate will be invited to submit an initial research proposal. This will enable the School to make an initial assessment of whether a candidate has a suitable academic background. There are likely to be periods of great progress. a curriculum vitae.10). PhD Handbook 15 .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.nz is an excellent starting point for those interested in gathering information on what the University and each school has to offer. Supervisors will then be nominated and any ethical approvals required will be sought. 3.2 Developing a Proposal Once agreement has been reached that the project is likely to prove viable.ac.3 Provisional Registration When the proposal is accepted. as well as supervisors.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. See Chapter 8 for information regarding ethical approval. During the period of enrolment. but candidates should also prepare themselves for moments when they feel overwhelmed.
If the thesis requires substantial re-writing. In due course. The writing-up process concludes when the candidate decides that the thesis is ready for examination. soft bound and submitted for examination. If the degree is to be awarded. The procedure following the examination will depend on the result of the examination. If the supervisors are of the opinion that the thesis is incomplete. 3. It is possible the thesis may be rejected completely. a timeframe will be set and the candidate will be given guidance on the required re-writing. the thesis will be re-submitted and the examination process will begin again. Where the Statute has changed. then any necessary corrections will be made. 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). in which case the candidate should continue working on the thesis until it is acceptable. they may recommend to the Associate Dean that the thesis is not acceptable for examination. Candidates should consult section 4. If the thesis fails to meet the standard required of a PhD thesis. the candidate and supervisors should be focusing on writing-up. This review period should not usually exceed four weeks. and the thesis hard bound. supervisors should review the thesis before application for examination is made. A thesis should be presented in a form which is suitable for examination in the discipline concerned and it should conform to all other formal requirements of the University for presentation. including word limits. the candidate will decide that the research phase has proceeded to the point where writing-up should begin. the candidate may be offered a Master’s degree. When the candidate indicates the thesis is complete. The agreement of the supervisors does not imply a successful result from the examination process. The agreement of the supervisors is not required.3.6 Examination The thesis should then be printed. although it is usual for supervisors and candidate to reach mutual agreement on this. 16 PhD Handbook . Two copies (one hard bound and one electronic) will then be deposited in the Library. in which case the candidacy will be terminated. While further research may be prompted by this process.5 Writing-Up and Submission In due course.14 of the PhD Policy for the regulations on submission. The examination procedures are fully speciﬁed in Chapter 14.
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. 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.
4. Candidates need to discuss the possibility with their supervisors. The next step is to discuss the potential project with the Postgraduate Coordinator (PG Coordinator) of the relevant discipline.aspx 4.1 Initial Proposal The initiative in seeking PhD enrolment usually lies with the candidate. The School Research/ Postgraduate Committee (SRC) will then scrutinise the initial research proposal and Research Memorandum. but also the general public.nz/research-ofﬁce/forms-and-templates. The minimum resources available to thesis students in all schools of the University are outlined in the Minimum Resources Agreement negotiated between the PGSA and Victoria University in 2006: see https://intranet. Those who enter into a topic thinking they already know the answers to their central questions or who are emotionally committed to an outcome. the Research Memorandum. all the supervisors and the HoS complete the application form and then return the form. This document becomes part of the record of registration (see the PhD Policy section 4.ac. An Outline of the Application Procedure for PhD Candidates can be found at http://intranet.victoria. A request to withhold access to a thesis is a formal process and approval is not lightly given.nz/research%2Dofﬁce/postgraduate/minimum-resources. 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. It is the HoS’s responsibility to approve the School taking on a PhD candidate. and the SRC recommendation to the Faculty Ofﬁce for ﬁnal approval by the Associate Dean. may very well ﬁnd that their topic is not a good choice. the candidate should be directed to the University’s ethical guidelines.2 Research involving Conﬁdential or Sensitive Material Candidates should be aware that theses are public documents and are subject to scrutiny not only by a community of scholars. The initial research proposal (minimum one page) should detail the project.3 (b)). If it is clear that ethical approval is required from the Human or Animal Ethics Committee. the applicant. and make a recommendation to the HoS. this must be negotiated with the Head of School (HoS) when the student ﬁrst enrols and recorded in a Research Memorandum. 18 PhD Handbook . the initial proposal. See also Chapter 8 of this handbook.victoria.aspx Where students require additional resources for the project. who will refer them to possible supervisors.4. ac. the method of study and any ethical considerations.0 Research Proposals 4. Special care should be taken where a project requires access to conﬁdential information from outside the University. Further advice can be found in 13. If a research proposal is likely to result in a request for the withholding of access to the thesis. the issues should be addressed at the outset of the project. The School concerned must be satisﬁed that it is able to provide appropriate supervision and resources for the proposed topic. Candidates should always enter into their topic in a spirit of genuine enquiry. If a candidate has not yet received the PhD Handbook the PG Coordinator will provide them with a copy. If the HoS approves the recommendation from the SRC. Prospective candidates are advised to think carefully about the kind of research project to which they would like to commit themselves. The topic must be suitable to meet the academic requirements of a PhD.
victoria. government bodies or the private sector.ac.nz/research-ofﬁce/forms-and-templates. in some instances.4 External Party Involvement in the Support of Research Students External parties may include researchers from other universities.4. 4. The guidelines for managing external party involvement are available at http://intranet. support for research and support for the student.3 Research Proposals from Scholarship Holders Overseas candidates who are scholarship holders must formulate a proposal before enrolment is approved. As scholarships may be paid. provision of data. This involvement may include cosupervision.aspx PhD Handbook 19 . from the day of the candidate’s arrival in New Zealand. The holding of a scholarship is always conditional upon the scholarship recipient gaining enrolment as a PhD student at Victoria University.g. 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. Crown Research Institutes). candidates must be able to start work on their projects as soon as they arrive or they may be disadvantaged by the scholarship coming to an end before the project is completed. research institutions (e.
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. following nomination by schools.1 The Appointment of Supervisors Each candidate will be assigned three supervisors.0 Supervisors 5. it is the Head of School’s responsibility to ensure they attend a professional development programme for supervisors. but who are already experienced supervisors.5. One reason for this could be that they are the primary supervisor. candidates will be registered with only one school. This includes Professors. If the primary supervisor is absent from the University for any period longer than a month. However. 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. In the case of an inter-disciplinary thesis involving more than one school/programme. A PhD may be interdisciplinary and in such cases it is desirable for supervisors to be appointed from each discipline. responsibility lies with the HoS with which the student is most closely associated. 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. 5. must be notiﬁed to the Research Degrees Committee by the Associate Dean. the supervisor and Head of School need to ensure that alternative supervision arrangements are in place. in individually-argued cases. 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. Supervisors are appointed by the Associate Deans or delegated authorities on behalf of the Academic Board. Lecturers or. organised by the Research and Postgraduate Studies ofﬁce. In such cases the responsibility should be delegated to another staff member. The role and responsibilities of supervisors are discussed in Chapter 7.4 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. Senior Lecturers. The changes take effect on the Administrative Supervisor’s receipt of the Associate Dean’s approval.3 Changes to the Supervisory Team If changes are required to the supervisory team. the Administrative Supervisor seeks approval from the Associate Dean by providing a rationale for the change and the appointment of new supervisors. There will be some cases in which it will be inappropriate for the HoS to assume this role. Changes in supervision. which compromise the ability of the former supervisor to take any role in the assessment of the student. Only those staff who have a doctorate and/or appropriate experience and training can be appointed as primary supervisors. 20 PhD Handbook . 5. Two supervisors will be responsible for academic guidance and the third will be responsible for administration (Administrative Supervisor). Readers and Associate Professors. people holding appointments such as research fellowships. Staff who are new to the University.
5 External Supervisors Other supervisors may include part-time teachers or other scholars and researchers from within New Zealand or overseas. If the HRA belongs to an external organisation. Any agreement must also comply with the Intellectual Property Policy and the Management of External Research Consultancy and Related Contracts Policy. Responsibility lies with the Primary Supervisor to ensure that the candidate and all supervisors are fully aware of the agreed responsibilities. The agreement will address issues relevant to the relationship including the expectations and obligations of the parties concerned.victoria. ac. PhD Handbook 21 .aspx#hra The recommendation must be accompanied by a curriculum vitae. 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 is also important that the Administrative Supervisor ensures that the primary supervisor accepts responsibility for seeing the PhD project to completion. It will also establish the terms and conditions under which it is intended that the project proceed. the Administrative Supervisor must make an appropriate recommendation. the candidate and the external party must be reached before the project commences. for example a Crown Research Institute. These can be found on the policy database on the University website. If the external supervisor has not already acted as a primary supervisor or co-supervisor of at least one doctoral candidate or of three Masters’ candidates. through the Associate Dean. including the completion of six-monthly reports.5. The Administrative Supervisor should convene a meeting with the supervisors and candidate to discuss and clarify these issues. Guidelines for supervisory arrangements with external parties outside the University can be obtained from the Research Ofﬁce website. they will be invited to participate in a professional development programme or receive an information pack. External supervisors will also be given the contact details of the Postgraduate Coordinator in the candidate’s school and a PhD Handbook. including provisions for revisiting the agreed terms which should be monitored in the six-monthly reports. an agreement between Victoria University.nz/research-ofﬁce/postgraduate/forms-and-templates. If it is proposed that a scholar outside the University be appointed as a supervisor.
the supervisor should discuss a conversion to a PhD with the student. Please also refer to page 6 and section 16. 6.1 Admissions Criteria Candidates will normally have a ﬁrst or second class pass in an Honours or Master’s degree.3 International Students International students must be granted admission ad eundem statum before they can apply for a student entry visa. Only when admission ad eundem statum has been granted can an application for registration be prepared and submitted. could form the basis of a PhD thesis. with modiﬁcations. who must be satisﬁed that the existing supervisor is appropriately qualiﬁed and experienced to supervise the student at the PhD level.victoria. This document will substitute for the initial research proposal in the application for a PhD. The student and the three supervisors will agree in writing on the additional work required for the new degree.nz/international/. 22 PhD Handbook . 4. The Associate Dean may also admit other persons who can show evidence of adequate training and ability (see the PhD Statute. who will seek advice from the Head of School. This degree need not have been in the subject area of the PhD research. If it is agreed to convert to a PhD. www.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.nz. email victoriainternational@victoria. tel 0-4-463 5350. tel 0-4-463 5350.0 Formal Admission and Registration Requirements 6. as ﬁnancial and accommodation guarantees must also be given before a visa is issued. Victoria International staff are able to provide assistance to administrative staff or potential candidates with evaluating qualiﬁcations email victoria-international@vuw. 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.6.ac.1(a) (iii)). They should provide as much evidence as possible to permit the relevant school/ Faculty Ofﬁce to evaluate their qualiﬁcations relative to the standard of a local Honours or Master’s degree. 6.nz. Prospective candidates should therefore seek this admission at an early stage. provided candidates can demonstrate adequate competence to undertake the proposed research. The SRC will also ensure that a second supervisor is available to be appointed.ac.1. 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.ac. Applications must be made through Victoria International.11. Admissions for a PhD can take place at any time of the year. but will still have to satisfy the requirements for full registration. If the application is approved by the Associate Dean. 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. Entry under this section of the PhD Statute requires candidates to satisfy the Associate Dean. the student and the supervisor must discuss the change of status with the School Research/Postgraduate Committee (SRC). Candidates whose academic qualiﬁcations were gained outside New Zealand (including university staff) should apply through the appropriate Faculty Ofﬁce for admission with graduate status (ad eundem statum) with the right to apply for registration for a PhD.
6. 6.4 Applications to Register Applicants for a PhD should obtain an application form from the appropriate Faculty Ofﬁce. It will then be forwarded to the Associate Dean. The Associate Dean will consult with the Head of School if any difﬁculties arise. and if approval is given. 6. and access to school-based services and resources. over the year. the candidate will be granted provisional registration. The form must be signed by the Head of School and supervisors and returned to the Faculty Ofﬁce. 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. 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.2(b). Where registered students are working away from the University a School memorandum for PhD Study at a Distance is required (go to: http://intranet. re-enrolment may be carried out on a six-monthly basis. Enrolment entitles a candidate to: access to supervision. Students’ Association Fee.victoria.ac.13.aspx). on average. they may also study at home.6. Candidates in other programmes may need to spend a great deal of time in the Library or ﬁeld.5 Approval of Provisional Registration The Associate Dean will consider the application.2. 6. The normal practice is that candidates will reside within reasonable PhD Handbook 23 . After two years. This excludes statutory holiday periods. Permission will not normally be given for students to work away from the University until full registration has been achieved.7 Annual Re-enrolment Candidates must re-enrol annually within one month of the expiry of the previous period of enrolment. access to Library and Information Technology Services. Students are deemed to be full-time when they are able to devote a minimum of 30 hours per week to the thesis. Students who cannot work on the thesis for the amount of time speciﬁed above are enrolled as half-time students. This form should be completed by the candidate once the School is satisﬁed with the viability of the project. and either through choice or because of space limitations in the school. 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. 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. International students may have to fulﬁl additional requirements. Student Services Levy and Student Assistance Scheme and Amenities Levy).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.nz/research-ofﬁce/postgraduate/ forms-and-templates. Refer also to 6. 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.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.
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. a required period of preparation within the University before the candidate departs for periods of data collection etc. Candidates who are working away from an institution and regular supervision need to be highly motivated and thoroughly prepared. 6. Candidates and supervisors will be expected to provide the Associate Deans with a rationale for prolonged absence from the Wellington region. Crown Research Institutes. the Administrative Supervisor must make an appropriate recommendation. This rationale must take account of academic considerations. a required period of writing-up within the University before submission of the thesis. In all such cases. 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. Scholarship holders should also seek approval from the Scholarships Committee. Time spent in carrying out a candidate’s normal employment duties will not usually be regarded as part of the period of registration unless that employment is very highly specialised and relates directly and in detail to the thesis project. through the Associate Dean. if it is proposed that a scholar outside the University be appointed as a supervisor.11 Collaborating Institutions In some circumstances. a memorandum for PhD Study at a Distance must be approved by the School Research/ Postgraduate Committee.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. PhD research can be successfully undertaken by candidates working in other institutions. fax and/or email) and schedule meetings at regular intervals in Wellington.10 Period of Overseas Research Candidates who wish to pursue a period of research overseas must ﬁrst acquire permission from the Associate Dean. 6. some hospitals. • • • • • 6. regular contact and reporting by the candidate is expected. and contributions from the candidate to seminars etc while the candidate is working within the University are expected.proximity to the University. to the Deputy Vice-Chancellor (Research) (DVC Research) for the appointment of this • 24 PhD Handbook . give an assurance of regular contact (for example by phone. 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. and some industrial organisations have research facilities which complement those of the University.
. . . The recommendation must be accompanied by a curriculum vitae.data collection and examination of base materials can only be carried out off campus.the rights of the University to examine the work of the candidate are protected. .the collaborating institution will provide ready access for supervising university staff to the candidate and to the research facilities used by the candidate. to provide resources and supervision for PhD candidates should be invited to enter into agreements for formal academic collaboration with the University so that collaboration is recognised by the Council and is seen as a long-term commitment which is of beneﬁt to candidates. to academic staff and to collaborating staff of the non-university institution. . and undertake. .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. . and approval for candidates to undertake research off campus is more likely to be given when the following criteria are satisﬁed: . • 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 staff who will provide day-to-day support to the candidate are willing.3 (c)).the intellectual property rights which may belong to the University.12. • • PhD Handbook 25 . 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. able and qualiﬁed to assist the candidate.the collaborating institution agrees that the candidate will have access to all suitable resources for completion of the higher degree. . placement of candidates into institutions which are doing commercial work should be covered by a contract in which: . • research institutions which wish.person as an Honorary Research Associate.the collaborating institution is able to provide a stimulating research environment.the candidate’s and the University’s share of income from discoveries is clearly set out.the resources of a collaborating institution or establishment have been inspected and found to be appropriate for the needs of the candidate. 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. Any contract with the collaborating institution requires the approval of the DVC (Research) or nominee. The appointment will be made for four years. they will be invited to participate in a Research and Postgraduate Studies ofﬁce professional development programme or receive an equivalent package.
To achieve full registration the candidate must write a formal research proposal and may also be required to present the proposal orally. interpret. ability to summarise. ability to summarise. Additional criteria may be required by the School or programme where the candidate is enrolled. It is in the best interests of candidates. the candidate is required to have the approval of the School Research/Postgraduate Committee. interpret. ability to communicate research ﬁndings in formats appropriate to the discipline. if so. evaluate and critique that literature. PhD students achieve full registration if they demonstrate satisfactory progress of previously established and agreed upon performance standards. appropriate theoretical frameworks. the papers must generally be satisfactorily completed before the registration is conﬁrmed. whether or not that has been • • 26 PhD Handbook . ability to design and interpret research tasks. 6.000 and 10.1 Full research proposal As a guide. This is the appropriate way to show that the candidate has understood and can interpret the literature. If the School requires the candidate to undertake certain papers as background for the PhD. Victoria University expects this to occur between six and 12 months after the initial registration date for full-time candidates. supervisors and schools that every effort is made to assist the candidate’s progress during the provisional registration period.6.13. School or programme criteria can be obtained from the Postgraduate Coordinator or supervisor. the proposal will be between 3. Supervisors are required to give serious consideration to these matters. evaluate and critique data. It is equally important that candidates should demonstrate an ability to process with doctoral level work before their full registration is conﬁrmed. a statement as to whether ethical approval is required and. To the extent appropriate in the discipline the proposal will contain the following elements: • • • an outline of the basic thesis/research question. any other abilities important in the ﬁeld of study. The School Research/Postgraduate Committee may terminate candidature if the student fails to meet the requirements within 15 months of ﬁrst registration. Regulations allow a total of 15 months provisional registration for full-time candidates (and 24 months for half-time candidates). a demonstration that the methodology is appropriate. 6.13 Conﬁrmation of Full Registration The move from provisional to full registration requires candidates to meet University criteria (see 6. a literature review.000 words.1).12 Move from Provisional to Full Registration The conﬁrmation of full registration is a milestone in PhD candidature. satisfactory completion of any required course work. To progress from provisional to full registration. Indicators of satisfactory progress may include: • • • • • • • knowledge of the literature in the ﬁeld of study.13.
If approval has not been obtained the timetable for approval is to be noted. that the proposed research is original or adds value to existing knowledge. social or legal impediments to the successful completion and/or publication of the research. If some of the suggested changes were not taken up. the SRC should meet with the candidate and explain face-to-face why this action was taken. require that full registration be delayed by up to six months. any problems anticipated in carrying out the research and the intended methodology. it is recommended that the presentation be announced in VicNews and open to all who may be interested. If this is part of a school or programme procedure. 6. and the SRC has been delegated the authority to accept the proposal. recommend the candidate transfer to a Master’s degree. The SRC will scrutinise the proposal according to the following criteria: • • that the student has sufﬁcient knowledge or understanding of the topic.2 Presentation of the proposal Candidates may also be required to present their proposal. the candidate must indicate the reasoning for this. and that the research can be placed into the existing body of knowledge (for this purpose a summary of the recent research literature relevant to the topic must be included). the SRC should provide clear and constructive guidance to the student and supervisor on the steps that are required to gain full registration. The proposal will establish preliminary goals for the next six months and will contain a tentative timetable for the completion of the thesis.obtained from all required institutions. The SRC will assess the proposal and report to the Associate Dean (with copies to the Head of School. the SRC should recommend full registration of the candidate to the Associate Dean. along with a cover letter indicating where changes were made. including any suggested revisions to the SRC.13.13. Where registration is to be delayed. Where there are no changes to be made. The report may: • • • • recommend approval of the candidate’s transfer to full registration. that the proposal outlines an appropriate theoretical framework which will lead to an original and defensible theory. PhD Handbook 27 . the conceptual framework. and • a statement that there are no foreseeable cultural. or terminate the candidate’s registration. • • 6. It must be submitted to the School’s Research/Postgraduate Committee (SRC). The candidate may also be given the opportunity to respond to questions and feedback from the SRC and others in attendance.3 Approval The candidate will send a copy of the proposal. Schools/programmes are free to determine the format of the presentation and it is recommended that it include the following elements: the candidate’s summary of the material in the proposal highlighting key issues. Where the decision is to terminate registration. supervisors and the candidate).
The thesis is to be presented within four years of registration. 28 PhD Handbook . the date of provisional registration can be backdated to give credit for that time. At the time of registration.Full registration is conﬁrmed by the Associate Dean. the Associate Dean will specify a period during which candidates must be working under direct supervision.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.2(b) for fulltime enrolment and 36 months for half-time enrolment. Throughout the candidature. Longer periods in external laboratories or on ﬁeldwork may also be approved. but individual applications to the Associate Dean by supervisors are required for any extensive “time out” on the project. 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. on receipt of the recommendation from the SRC. This date is shown on the registration form. If the research proceeds smoothly. 6. If there are major difﬁculties in the early part of the project. The Associate Dean will not usually expect to backdate a registration by more than about two months from the time of registration. the Associate Dean may terminate the provisional registration and request the candidate to consider the possibility of identifying a new research project.15 Duration of Registration The PhD Statute requires a minimum registration period of 24 months under clause 4. the date of provisional registration will become the date of registration. 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 candidate must be in direct contact with the supervisors. 6. One of the principal reasons for this requirement is that protracted research may be overtaken by other researchers working in the same ﬁeld. candidates must maintain direct contact with their supervisors and sustain satisfactory progress or the registration will be terminated. A candidate’s progress during full registration continues to be monitored by six-monthly progress reports. 6. See 6. 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. even after completion of the minimum two year period of full-time research. 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. Half-time candidates are required to supply details of their other obligations on the enrolment form. If candidates have spent productive time in developing their research proposal.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. During this time. although he or she may be away from the University working in libraries and similar institutions.19 for the implications of extensions and suspensions of registration.
along with the candidate’s most recent sixmonthly progress report. An application for an extension or suspension is made in writing to the appropriate Faculty Ofﬁce. for unexpected reasons. While the regulations state that the Research Degrees Committee (RDC) through the Associate Dean may grant an extension beyond the due date. extensions will be granted “only in exceptional circumstances. but it is recommended that students do not overload themselves with paid work outside the scholarly work in preparation for the thesis. PhD Handbook 29 . Such applications must have the written support of supervisors and Head of School and set out the reasons why permission is sought. which will forward it to the Associate Dean. or vice versa.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. Applications must have the support of supervisors and Head of School and should be sent directly to the Faculty Ofﬁce. The supervisors. If the registration lapses.17 Maintenance of Registration The course of study for a PhD is best undertaken continuously and while candidates are working on PhD projects. 6. it appears that the candidate’s work on the thesis will be completely interrupted for a period application should be made to the Associate Dean for suspension of registration for that period. Applications for variations in the conditions of registration are made through supervisors. During the period of suspension the candidate pays no fees.18 Registration and Other Work It may be valuable for full-time students to undertake tutoring or other part-time jobs around the University.6. it can be resumed only with the permission of the Associate Dean. The minimum period for a suspension is one month. should recommend the change to the Associate Dean for approval. where good cause is shown. 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. and will not usually exceed twelve months” (PhD Statute. Where.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. after consultation with the candidate. Periods of suspension are not included in calculations of total registration time. they must apply to the Associate Dean for permission before enrolling in it. their registration must be maintained. All retrospective suspensions are approved by the Convener of the RDC.3(e)).20 Concurrent Study If candidates have a genuine reason for undertaking a paper other than any required by the School. 6. This permission is not readily given. 6. but is not entitled to receive supervision or to make use of the University’s facilities. 6. Note that this applies also to any change from full-time study. clause 4.
The written support of the Administrative Supervisor and supervisors is needed.22 Conversion of a PhD to a Master’s Degree It is possible for a thesis being prepared for a PhD to be converted to and submitted for a Master’s degree. This may occur at the end of 12 months of provisional PhD registration if no request for an extension of provisional enrolment is received or there is no endorsement of the candidate’s ability to progress to full registration. This option may also be taken if the supervisors believe a student has not demonstrated the aptitude and level of competence required for PhD study and that the thesis could. 30 PhD Handbook . Written application for conversion to a Master’s degree must be made to the Associate Dean. as is the agreement of the student.6. form the basis of a Master’s thesis. with modiﬁcations.
7. which is up to the candidate.2. One meeting per month is considered a minimum.1 Assessing the Student Before provisional registration. the planning of the programme. the development and reﬁnement of the proposal. Good communication and mutual trust and respect are essential for a productive working relationship with a satisfactory outcome.1 The Role of Supervisors Supervisors undertake to guide the candidate through the academic and administrative requirements of the PhD. Effective two-way communication is vital. Supervisors need to have a sympathetic ear and sufﬁcient time and energy to devote to the task of supervision. and • • PhD Handbook 31 .0 Supervision Protocols 7. ensure that appropriate and timely advice is given on requirements regarding style. 7. The amount and frequency of academic contact between supervisors and candidates will vary. 7.2 Providing Academic Guidance Supervisors should provide guidance on: • • • • • • the nature of research. a supervisor should not have too many candidates at one time. 7. For this reason. 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 undertaking of a literature review.2. The responsibilities of supervisors are outlined below. depending on the nature of the discipline and the stage of the project. but regular discussions should be held and adequate records of meetings should be kept. It is important to avoid the situation where candidates only see their supervisors when real difﬁculties arise. ensure the candidate is aware of the academic criteria to be met for award of the degree. but they should have a close interest in the project and a commitment to facilitating its completion. presentation and production of theses. Supervisors should also: • identify with candidates the particular research skills that they will need to acquire to complete the programme of research. They cannot guarantee the success of the project. 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. the access to resources (technical and ﬁnancial). and the need to get approval from the relevant Ethics Committee if the research involves human or animal subjects or tissue.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.
victoria.3 Scheduling Meetings Supervisors should.4 Milestones Supervisors should reach agreement with the candidate on the indicators of progress and the dates for the submission of appropriate written work.2.aspx While the Faculty Ofﬁce initiates the six-monthly reporting process. 7. but more frequent meetings will usually be desirable. One meeting per month is regarded as the minimum entitlement. in close conjunction with the student. and a maximum of four weeks for substantial thesis drafts. which has been agreed to and signed by the student and supervisors.• have a sense of the expectations of examiners throughout the research process and use that as a guide in supervising the student’s work. 7.5 Providing Feedback Supervisors should provide regular feedback on progress to the student. The report template is available at https://intranet. Except in exceptional circumstances. The ﬁnal version of the six-monthly report. 7. 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. must be reviewed by the Head of School (HoS) before being submitted to the Associate Dean. 7. and monitor. 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. As a guide.nz/research-ofﬁce/postgraduate/forms-and-templates. A copy must be provided to the student. The report will then be ﬁled in the student’s ﬁle held by the relevant Faculty Ofﬁce.2. feedback should be provided within two weeks in the case of relatively short pieces of work.2. Supervisors should help the student to plan for the writing up of the thesis and to schedule sufﬁcient time for that purpose. They should identify the problems and suggest ways of addressing them.7 Six-monthly Progress Reports Six-monthly reports are required as part of the postgraduate supervision process in May and November in each year of enrolment. the 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. Identiﬁed problems and proposed methods of addressing them should be discussed with the student before the report is ﬁnalised. ensuring that an appropriate timetable is set to allow the degree to be completed within the allotted timeframe. Where there are major or continuing problems with a student’s performance. the proposed 32 PhD Handbook . the report writing is the responsibility of the supervisors. interim reports or research results.2. Supervisors should encourage the candidate to make productive use of the available time.6 Identifying Problems Supervisors should ensure that the student is made aware of inadequate progress or of standards of work below that generally expected. The HoS must agree to. ac. arrange regular supervisory meetings. 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. in consultation with the student. 7. Written comments should be made on work submitted by the student.2.
In the event that the student fails to take the required action so that problems persist. and • • PhD Handbook 33 . the administrative requirements of supervision and advise the candidate as necessary (for example. 7. The HoS will also inform the student of their entitlement to representation via Victoria University of Wellington’s Students’ Association (VUWSA) and the Postgraduate Students’ Association (PGSA).actions. ensuring that candidates are aware of any requirements regarding the retention of data within schools. Where necessary. 7. and comply with. and provide advice. institutional or professional guidelines for the conduct of research. Monitoring the completion of six-monthly reports occurs twice yearly and is the responsibility of the Associate Dean. encouragement and support to further the candidate’s career in their chosen ﬁeld.2. provide assistance and information where appropriate on scholarships and ﬁnancial support.2) is informed if any problems develop during the enrolment. This includes advising candidates about: • • applicable governmental.10 Facilitating Administrative Compliance Supervisors should be knowledgeable about. upon the recommendation of the Administrative Supervisor.2.9 Encouraging Academic Contacts Supervisors should encourage the candidate at the appropriate stages in their course of study: • • • • • • • to extend their contacts within the School and elsewhere. the HoS must notify the Associate Dean who may then take action.8 Supporting the Student Without compromising a student’s privacy. etc). to discontinue the student’s enrolment. 7. ensuring. The HoS must offer the student the opportunity to respond and then will monitor the proposed actions. Supervisors should ensure that the Administrative Supervisor (as deﬁned in 5. regarding six-monthly progress reports. that the work submitted by candidates is their own and that the data is valid. University-wide monitoring of compliance is the responsibility of the Research Degrees Committee and forms part of their Reports to the Academic Board. applications for suspension or absences overseas. supervisors should refer a student to student support services (see Chapter 16). ensuring that candidates are aware of intellectual property rights. Supervisors and Administrative Supervisors have a joint responsibility to advise the Associate Dean and Faculty Ofﬁce as necessary. changes to full-time status. encourage the candidate to publish.2. as far as possible. ensure that the candidate has the opportunity to participate in the life of the School. encourage both attendance and presentation at seminars and conferences. 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.
12 Encouraging Publication The PhD is a research degree. Supervisors are encouraged to discuss the publication process with students.nz 7. supervisors should ensure that students are informed about: • • the conventions that apply in their discipline. or in other cases where issues of recognition arise. Supervisors should forward their recommendations at least one month before the expected submission of the thesis.ac. the research process and administrative matters. When students and supervisors pool their talents to publish research both beneﬁt from increased research productivity. In consultation with the Administrative Supervisor. a rationale for the choice of the particular examiners for the thesis and a brief curriculum vitae for the two external examiners. In most disciplines publications are increasingly necessary for entry into an academic profession. They should be mindful of the fact that emerging researchers are often unaware of most aspects of the publication process.2.e. Supervising and Examining Candidates and the guidelines of this handbook.13 Support for Supervisors The Research and Postgraduate Studies ofﬁce offers regular seminars/workshops for new and more experienced supervisors.2. 7.• ensuring that safe working practices are developed and maintained and that candidates are aware of the University’s Occupational Health and Safety Policies. supervisors recommend suitable examiners and supply the Associate Dean with relevant documentation i.2. possibly in collaboration with their supervisor(s). Enrolling. including the differences between writing a thesis and preparing a manuscript for publication. All parties should agree in writing about issues concerning intellectual property and authorship. then this must be discussed early on in the process towards publication. 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. They should endeavour to publish their research. in outlets valued by their discipline. 7. The Associate Dean will scrutinise the recommendations and forward them to the Research Degrees Committee (RDC). 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. Where joint authorship is contemplated. Supervisors should be available to discuss feedback from the written and/or oral examinations with their student. The RDC appoints the PhD examiners. Publication should be seen as part of PhD study rather than a barrier to timely completion of the thesis. 34 PhD Handbook .11 Assisting Examination Arrangements Supervisors assist the Associate Dean to arrange the examination in accordance with the PhD Policy: Approving. and publications are the currency of success in research. and Victoria University’s Policy on Recognition of Authorship http://policy.victoria. Topics include supervisory roles and responsibilities. submit and revise publishable manuscripts within the timetable for their PhD studies. Students should incorporate plans to write. and should therefore take steps to avoid misunderstandings that may arise as a result of inexperience.
7. 7. adopting at all times safe working practices relevant to the ﬁeld of research.4 Identifying Problems Candidates should take the initiative in raising with supervisors any problems or difﬁculties with the project or its supervision.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.3. PhD Handbook 35 . This includes: • becoming familiar with the administrative requirements of the Faculty Ofﬁce (such as applying for the approval needed to spend time away from the University as part of the enrolment.7 Giving Notice of Submission Candidates should give three months’ notice to the primary supervisor of the expected submission date of the thesis in order to allow early selection of examiners. 7. Alternatively.3. attending relevant seminars in other schools or institutions. and participating in academic conferences (ﬁnances and resources permitting). within the expected time period.3. presenting their work and interacting with the staff and other postgraduate students. Where appropriate candidates may also be involved in academic activities in their chosen research ﬁeld.2 Actively Pursuing the Research Candidates should devote sufﬁcient time to the course of study. for example. If the student is unable to discuss the matter with their supervisor/s. They should attend regular meetings. they should contact the Administrative Supervisor or the PG Coordinator.3 Participating in University Intellectual Life Candidates are encouraged to participate in the School community by attending seminars. 7. or tissue. with the guidance of their supervisors. Candidates. the Associate Dean (Students/Research) in the Faculty Ofﬁce or VUWSA’s Education Coordinator are available to discuss areas of concern. competence and conﬁdence. and complying with any institutional occupational health and safety policies. university. and abide by.3. be committed to the research and avoid activities which will interfere with its satisfactory completion within the time limit. The responsibilities of candidates are outlined below.1 Planning the Research Candidates should plan and execute the research project under the guidance of the supervisors.3 The Responsibilities of Candidates Completing a doctoral programme requires progressive development of skills.3.5 Facilitating Administrative Compliance Candidates should become familiar with. 7. and strive to achieve agreed milestones. must take responsibility for developing their intellectual independence. Candidates should reach agreement with supervisors about indicators of progress being made and about submission of appropriate written work. interim reports or research results. as agreed with supervisors.3. and suspension of enrolment).3. 7. 7. • • 7. faculty and school statutes and policies and any other written guidelines and regulations for the degree.
presentation. style. 7. and for promptly making any required amendments after examination.7. 7.3. The questionnaire is then returned to the supervisors.3. with a copy to the Administrative Supervisor.9 Publishing Candidates should accept responsibility for the academic content of the thesis and for publishing any parts of it if appropriate. In order to improve supervisory practices across the University. Issues emerging from the Exit Questionnaires are passed to the Research and Postgraduate Studies ofﬁce to be incorporated into workshops for postgraduate supervisors.8 Submitting the Thesis Candidates are solely responsible for the content. the Research Degrees Committee will also use this information to monitor supervision across the University. Once a year. 36 PhD Handbook .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. course codes etc). production and binding of the thesis that is ﬁnally submitted. the Associate Dean of the Faculty will also receive a copy of the student’s written comments with all identiﬁcation removed (names.
victoria. it seeks to ensure that all researchers and teachers are aware of the ethical issues involving human subjects.2 (e) (iii)).2 Human Ethics Approval for Research If PhD research involves human subjects or human tissue or otherwise affects people’s privacy.victoria. health. dissertation or research paper already presented by the author for another degree or diploma at this or any other university. further advice should be sought from the Head of School (HoS) or the Convener of the HEC.http://policy. social and cultural sensitivities.3 Animal Ethics Committee If PhD research involves animal subjects.ac.nz 8.nz 8. Appendix 1 of the Human Ethics Policy .victoria.victoria. 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. rights and freedoms. and welfare of such subjects.8. principles and practice. research and teaching. 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.ac. Candidates must then discuss the ethical implications of their research with their primary supervisor to determine whether HEC approval is required. In so doing. all assistance which candidates have received in their research be clearly acknowledged in the thesis.nz).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. 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 HEC recognises that individual researchers and teachers. If either candidate or supervisors are in any doubt as to whether approval is required.http://policy. working in and familiar with their own disciplines. but the application must be approved and countersigned by the primary supervisor and the HoS.ac.0 Research Ethics 8. either in research or teaching.ac. principles and practice. are generally in the best position to assess their proposed activity. safety. it must be approved by the University’s Animal Ethics Committee. in order to ensure consistency and impartiality in considering the interests of potential subjects. The purpose of the HEC is to promote. It is important that PhD candidates read the Animal Ethics Policy carefully and ensure that they are familiar with basic ethical issues. Nevertheless. It is important that PhD candidates read the HEC Guidelines carefully and ensure that they are familiar with basic ethical issues. Responsibility for applying for HEC approval rests with the candidate.1 Human Ethics Committee Where research activity involves human subjects the University has a responsibility to ensure it protects the privacy. as well as to provide a degree of protection for the researcher or teacher.nz). it is subject to Human Ethics Committee (HEC) Guidelines (see Appendix 1 of the Human Ethics Policy . The policy and application forms can be accessed via http://policy. and • • • PhD Handbook 37 . not prevent. 8. it must not contain work extracted from a thesis. Application forms can be accessed via the Human Ethics Policy: http://policy.
All candidates will be asked to sign a statement that the above conditions have been satisﬁed when the thesis is submitted. and/or failing to acknowledge work primarily produced by a research student/trainee/associate. the falsiﬁcation of data. • • • • Note: Academic misconduct does not include honest errors or honest differences in the interpretation of data or conclusions drawn. 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. 8. plagiarism. Misconduct in research is unacceptable to the University. and other academic or research practices which bring or are likely to bring the University into disrepute.5 Appropriate Conduct in Research Candidates are expected to conduct all research in an honest. including listing as authors without their permission. The University has provisions for dealing with cases of research misconduct. This includes published and unpublished work. material on the Internet and the work of other students and staff. including claiming results where none have been obtained. or of other relevant professional practices and codes of ethics. including fraudulent changing of records.• it is the primary supervisor’s responsibility to ensure that the thesis as presented is the candidate’s own work. which is deﬁned as follows in the Statute on Student Conduct: Academic misconduct includes: • • • fabrication of data. if any. misleading ascription of authorship. which is the copying of ideas. assistance they have received from other persons. cheating or other dishonest practices in relation to assessment. academically responsible and ethical manner. organisation. 38 PhD Handbook . wording or anything else from another source without appropriate reference or acknowledgement so that it appears to be one’s own work. and that candidates make it clear what. 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.
nz/research%2Dofﬁce/ postgraduate/minimum-resources.2 Minimum Resources Agreement Minimum Resources Agreement (MRA) outlines the minimum resources for thesis students in all schools of the University and is available at https://intranet.2 Information Technology Resources 9. Some schools are able to provide some ﬁnancial assistance from school resources and this is a subject for negotiation within the School.ac. Also.studentvuw.nz ITS have Help Desks located in ﬁve physical locations around the campus: RB205a (Library).1. 9. x5050 for help with the services ITS provides.1 School Resources to Support PhD Candidates 9. All PhD candidates are advised of their obligation to observe the Information Systems Statute which can be found at: http://policy.nz 9.2 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.1 Introduction PhD candidates should email its-service@vuw. Research Funding and Financial Support. Candidates should expect to spend some of their own money on travel.0 Research Resources 9. ofﬁce space and furniture. equipment.vuw. Candidates working from home can access the student environment via the myVictoria portal. Internet browsing and printing services are available for a small charge.victoria.9. photocopying. 9.3 Financial Assistance The payment of research expenses varies from school to school. MY223. paper supplies. Railway (RW 225). or alternatively the ITS service desk can be contacted over the phone on x5050.ac. and WCE (T208).2. the HoS will agree. with the supervisors and the candidate. This provides access to features such as personal storage and a large number of library databases.ac. 9.ac. the candidate’s entitlements and document these in the Research Memorandum which becomes part of the record of registration. See also Chapter 11.2. Candidates may visit these locations in person. correspondence and so on. items of equipment like calculators. It also contains some information about the faculty research grants and the protocol for addressing concerns about resources.nz • PhD Handbook 39 . source materials. Further information on these services and others is available by consulting: www.1. OGB132 (Law).1. electronic facilities and ﬁnancial support.aspx It includes information about orientation. Enquiries via email can be sent to: its-service@vuw. With reference to the Minimum Resources Agreement. facilities. and funding for the expected duration of the research.victoria.nz or call Information Technology Services (ITS) service desk.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.
PhD candidates will receive a student ID card which. Access to the network via the staff domain requires students to contact their school administrator who will set them up as an ‘interested party’.2. 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. otherwise their proﬁles will be affected.nz/ Amphora!~~policy.3 Registration as an ITS Client All candidates will have a computer account on enrolment.3 The University Library . students should refer to the Library website at www.4 Accessing the Network All postgraduate thesis students have the right to access Victoria’s network via the staff domain. candidates must choose access via either the staff domain or the student domain. All PhD candidates are advised to consult the Library Statute at: http://policy. When connecting from an ITS computer log directly into the student domain. after validation at the Central Issue desk.nz/library/ Students are advised to check this site and the myVictoria portal regularly for updated information about the Library and its services. Note. 9. This section contains information relevant to all PhD students. the Commerce Library at Railway West Wing. the Education Library at the Karori Campus and the Law Library in the Government Buildings.2.5 ITS Student Help Desk Service Help Desks are available speciﬁc hours that change from trimester to trimester. Clients should always contact the Help Desk in the ﬁrst instance with enquiries. Authorised students may use all of these libraries following registration. including a complete Staff Directory. There is no common data storage between the student domain and the staff domain. Books from the 40 PhD Handbook .nz~POLICY~000000000021. when connecting from a networked school desktop computer or via the Internet from home (requires a personal ISP) connect via the VUW Portal: www. the Architecture and Design Library in Vivian Street.pdf 9.vuw.1 Lending Services PhD research often necessitates heavy and specialised use of library services. For further information on your account username please check your Conﬁrmation of Study form or contact an ITS Help Desk. Following enrolment and payment of fees. For further and more comprehensive information.ac. Access to the network via the student domain requires a student computing account and depends on whether the connection is from an ITS terminal.vuw.victoria.nz 9. A range of printed information leaﬂets about speciﬁc library services and collections is available from service points in all libraries. a networked school desktop computer or through an external Internet Service Provider (ISP). will give postgraduate library privileges. with reduced hours on weekends and during term breaks. The Website is also a gateway to the online catalogue of Victoria University of Wellington Library.ac.3.studentvuw. If borrowing privileges are required prior to enrolment while a thesis proposal is being prepared.ac.Te Pataka Korero The University Library comprises the Central Library in the Rankine Brown Building on the Kelburn Campus.2.victoria.ac. 9.9. the Lending and Reader Services Group will normally grant temporary borrowing privileges upon receipt of a supporting letter from the proposed primary supervisor. However.
victoria.main collection are issued for eight weeks. Candidates wishing to borrow this CD in order to install ‘Endnote’ on their personal computer should consult the Closed Reserve Desk staff.3.victoria. Commerce and Law Libraries.victoria. Reference staff are always happy to give advice on suitable information resources as well as provide assistance with search techniques and strategies.ac. The Architecture and Design. Details of seminars will be given in library notices. The Reference Ofﬁce and Library website can be consulted for the names of liaison librarians. Most periodicals in the Central Library are issued for two weeks. 9.nz/library/forms/interloan-request. candidates should refer to the Library website: www. as well as scholarship guides and other directories related to further study.3.nz/library/ 9.3 Research Seminars Postgraduate research seminars are offered at the beginning of the ﬁrst trimester. Please note that all current issues of periodicals are reference-only items. In the Central Library student computing facilities are available on Levels 1 and 2.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.ac. For further information about borrowing books and periodicals. Reference and Liaison Services have (in both print and electronic format) a range of University Calendars from New Zealand and overseas. through both printed and electronic resources. Commerce and Law Libraries. Subject-speciﬁc seminars and individual consultations are available from the Library throughout the year on request to a liaison librarian or the Reference Ofﬁce. All items on issue are subject to recall if required by other borrowers. Requests may be sent electronically from the Library website at www. PhD Handbook 41 .nz/library or by going directly to: www. 9. request and renewal procedures. Commerce and Law Libraries have similar facilities for subject-speciﬁc database searching. The range of databases to which the Library provides access is very comprehensive and a continuously updated list will be found on the Library website. offer comprehensive information services.2 Reference and Research Services Reference and Liaison Services. The Closed Reserve Desk on Level 2 of the Central Library holds copies of the bibliographic management software ‘Endnote’. The Interloans team process requests from the Central Library as well as the Architecture and Design. Staff will give advice about electronic and print information resources in a range of subject areas.ac. Architecture and Design library periodicals are not available for loan. Law. and library hours of opening. with some exceptions. Requests must relate to study. 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. on the Library website or through the Postgraduate Students’ Association (PGSA).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. Level 2 of the Central Library. except for three-day-loan books.3. If candidates experience technical problems in accessing the University and Library websites or networked information resources they should discuss this with staff at the Student Computing Helpdesk. teaching and research purposes only.
If PhD candidates wish to access other libraries directly. PhD candidates should ﬁrst and foremost rely on the resources of Victoria University of Wellington Library. Level 1. Level 1. Reference and Liaison Services will be happy to give advice and help to facilitate such access. and Ofﬁcial Publications Collection. 42 PhD Handbook . 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.N.5 Specialised Collections PhD candidates should be aware of the following collections at the Central Library: • J. 9.3. Beaglehole Room. The Collection comprises material published by the United Nations and its associated agencies.C.6 Other Libraries As a general principle. Material from other libraries can normally be accessed through interlibrary loan and document delivery services. The Beaglehole Room holds collections of rare books. There is restricted access to some of the material.3. archives and manuscripts and the VUW Authors’ collection.Further information may be obtained by contacting the Interloans staff or checking the Library website. • 9. U. publications issued by other international organisations as well as statistics and yearbooks from New Zealand and many other countries.
2.1 Statistical Packages Statistical packages such as SPSS (Statistical Product and Service Solutions) are available on all the SCS computers across the campus-wide network. ac.nz/st_services/slss/ in the Postgraduate Students’ Association newsletter and on school notice boards. 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. SLSS also facilitates a regular writing group. Guest speakers cover topics such as: Writing a Research Proposal. PhD Handbook 43 .vuw. The University Research Committee also funds a consulting statistician.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. runs intensive thesis writing workshops and provides one-to-one support throughout students’ candidature. 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. Statistics and Computer Science. Further information can be obtained by phoning x5908 or viewing PostgradLife.nz.vuwvictoria. For enquiries please contact a SCS Help Desk or email email@example.com or by phone on (04) 463-6779. Managing Your Studies.nz/stat/consulting 10. and statistical advice may be sought from the School of Mathematics. go to: www. 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. Statistics and Computer Science. based at the School of Mathematics.victoria. in the ﬁrst weeks of each trimester. Details are advertised on: www. the Student Learning Support Service offers general advice on research. It is the responsibility of supervisors to ensure that proper statistical advice is sought.10. Qualitative and Quantitative Methodologies.ac. Statistics and Computer Science offers a number of undergraduate and graduate courses in Applied Statistics.nz/postgradlife see: 16.1. For further details.10.mcs. The School of Mathematics. You should consider whether any of them may meet your needs. a studentcentred website at www. Literature Reviews. 10.ac. Speciﬁc information on the advice obtainable from these two sources follows. Some other packages are available within selected specialist school facilities.ac. The Ethical Approval Process.2 Statistical Advice Many research projects require statistical analysis of experimental or survey data. 10. and Thesis Writing. ac.
Applications for Vice Chancellor’s Strategic Research Scholarships must be submitted by 15 May – topics for these scholarships are advertised in February of the year of application.ﬁs. funding from outside enterprises are discussed with those responsible for external research income before any agreement is signed. 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.nzvcc. Some supervisors may also have contacts with businesses or enterprises through which other funding can be arranged.nz]. Successful applicants are expected to work full-time on their research during the tenure of the scholarship. Unsuccessful applicants may apply again in the follow round after consultation with the Scholarships Manager.ac. 11.ac. those of research students. It is therefore essential that applications for.nz]. Applications for Victoria University PhD Scholarships must be submitted to the Scholarships Ofﬁce by 15 June or 1 November.0 Research Funding and Financial Support If PhD candidates are contemplating PhD study and would like to apply for a scholarship. and the University.victoria.govt.nz/BreakOut/vuw/schols. the grant in question. phtml?detail+600532 or from the Scholarships Manager. the Foundation for Research. If a grant imposes any obligations or restrictions upon the candidate or the 44 PhD Handbook .nz] and Education New Zealand [www. government funding through the Tertiary Education Commission [www.nz/scholarships 11. or implications of.nz] . All Victoria PhD Scholarships are tenable for up to three years from ﬁrst enrolment. Information and application forms can also be downloaded from the University website: www. 11.2 PhD Submission Scholarships These scholarships enable students already enrolled for several years to bring their research to a successful completion. It is also important to ensure that agreements with funders are formulated in a way that protects their interests.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. but before agreements are reached with external funders. This funding includes the growing range of scholarships administered by the New Zealand Vice-Chancellors’ Committee [www.3 Doctoral Completion Awards Victoria Doctoral Completion Awards come into effect on 1 January 2008 and are available to doctoral candidates who submit their thesis for examination within 42 months from the date of ﬁrst registration.nz).ac.org.newzealandeducated.org. and offers of. including Commonwealth and Rhodes Scholarships.11.frst. Science and Technology [www.the Bright Future scheme. careful consideration must be given to any conditions attached to. PhD Submission Scholarships are tenable for three months only and there is a closing date every two months starting in January each year. Information and documentation is available at: http://www.govt. Candidates must have the endorsement of their supervisor and Head of School to submit. 11. they should consult the Scholarships Ofﬁce (email Scholarships-Ofﬁce@vuw.1 University Scholarships There are three rounds of PhD scholarships each year.tec. 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. Funds from these sources are usually of great beneﬁt to research students.
In this. Candidates should consult their Head of School with questions concerning the availability of tutoring or demonstrating positions.7 Tutoring and Demonstrating Many PhD students support their studies by tutoring or demonstrating.ac.6 Loans and Allowances Information on allowances and loans can be obtained from StudyLink. For further information see the UTDC website: www. 11. as in other cases of paid employment. Candidates may like to seek assistance from the Victoria University of Wellington Students’ Association’s (VUWSA’s) Education Coordinators in this matter.nz or tel 0-4-463 5793.nz/tutors Other courses are also available throughout the year and are advertised on the UTDC website. Tutors and demonstrators are employed by schools to teach undergraduate (usually ﬁrst-year) classes and to do associated marking.University. 11. parties responsible for external research income will negotiate changes before the offer of a grant is accepted. www.nz. Funds for scholarships or research expenses must be channelled through the University Scholarship Ofﬁce and not paid directly to the candidate. it may be worth sacriﬁcing income in order to facilitate the speedy and successful completion of the degree. Ministry of Social Development.utdc. Tutors may complete a Tutor Training Certiﬁcate of Attendance through the UTDC. tel 0800 889 900. ac.studylink. in VicNews and on the tutor/demonstrator email list: firstname.lastname@example.org Research Grants PhD candidates can seek advice and apply for Research Grants either through their faculty or school where available. If candidates are offered such work. costs incurred in securing research material and travel for ﬁeld-work and conference attendance.govt. 11. Candidates who wish to apply for a Research Grant should discuss their application with their supervisors. PhD Handbook 45 . Funds typically granted by faculty committees are used to cover identiﬁable expenditure on inter-library loan costs. Tutor training is offered through the University Teaching Development Centre (UTDC) and some schools also provide discipline-speciﬁc training. 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.
candidates and supervisors are urged to refer to these documents at http://policy. differences of opinion may arise over questions that are related directly to the scope of the topic or to the investigation of it. Candidates are also free to seek advice from other scholars. the other supervisor may be able to provide assistance.3 General Guidelines Candidates and supervisors might ﬁnd the following process helpful in addressing problems. The University recognises the pressure candidates may be under to complete research and acknowledges that avoidable delays could have signiﬁcant ﬁnancial and academic implications for candidates.0 Resolution of Problems 12.12. however. supervisors and candidates encounter difﬁculties that may prevent fruitful co-operation.2 General Principles It is essential that steps are taken to resolve any problems immediately.nz Further information can be found in this Handbook in 15. Both parties are advised that a variety of options are available for the resolution of difﬁculties.vuw. Candidates can reasonably expect the University to actively seek prompt resolution of any problems. The University will expect all parties to the resolution process to conduct themselves with professionalism. preferably within the School. 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. but have been unable to do so. with both candidate and supervisor seeking assistance as necessary and appropriate.Rights and Obligations Regarding Conduct. 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.ac. 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. 12.1 Introduction In the course of the research process. All parties must be sensitive to the needs of any candidate who has sought assistance. 46 PhD Handbook . the Postgraduate Students Association (PGSA) and Victoria University of Wellington Students’ Association (VUWSA). The following section indicates to both supervisors and candidates a general means of resolving difﬁculties arising in the supervisory relationship. It is desirable that any problems that may arise are addressed and settled as quickly as possible. It is assumed that the parties have attempted to resolve the difﬁculties themselves. Whatever process of conﬂict resolution is adopted. In some cases. Where difﬁculties occur between a candidate and one supervisor. the goal is to allow the research to continue and to be completed within the scheduled timeframe. 12. mindful of maintaining the reputation and standing of the University.5 .
Candidates may also approach the Senior Academic Policy Adviser for advice and assistance or the Facilitator and Disputes Adviser. Faculty Ofﬁce. they are entitled to take the matter either separately or collectively to the Associate Dean. in writing. or where either the candidate or the supervisor(s) feel it is inappropriate to address their concerns to each other. formal grievance procedures can be invoked. Alternatively.1 Seeking Assistance from the Administrative Supervisor In the ﬁrst instance. more formal procedures. The Associate Dean will liaise with the Manager of the Faculty Ofﬁce. they may approach the Administrative Supervisor for assistance in resolving their difﬁculties. 12. For a list of people who can offer advice and support see page 8. as necessary. It is the responsibility of the Administrative Supervisor to attempt prompt resolution of the difﬁculties. following consultation with the candidate and supervisor. This must be done in writing and should include information on what informal procedures have been followed. to the Associate Dean.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. they have a duty to refer the matter immediately. it is the responsibility of the Administrative Supervisor to inform the Associate Dean immediately in writing.3.12. The Senior Academic Policy Adviser deals with academic matters covered by the Academic Grievance Policy.2 Seeking Assistance from the Associate Dean If the Administrative Supervisors ﬁnd themselves unable to resolve any difﬁculties. following consultation with the Administrative Supervisor. 12. after trying the above channels.3. and if required. while the Facilitator and Disputes Adviser deals with problems relating to matters covered by the Policy on Staff Conduct. 12. and the University Facilitator and Disputes Adviser. can raise the problem with appropriate people on their behalf.3. It is the responsibility of the Associate Dean to attempt prompt resolution of any difﬁculties. Such assistance might take the form of eliciting information.4 Lodging a Formal Grievance If. 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. The Administrative Supervisor must be kept informed. as appropriate. If either candidate or supervisors feel that resolution is not being achieved to their satisfaction within the School. with respect for all parties. outlining how the candidate and supervisor(s) are working towards the resolution of those difﬁculties. The Associate Dean must be kept informed at all stages and copies of correspondence must be sent to the Manager. Candidates may also wish to approach the Student Counselling Service. The Education Coordinator is available where candidates may wish to sound out their concerns with someone outside the Faculty. the Education Coordinator can deal with both academic and conduct issues. If research progress is being affected by difﬁculties. 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. a candidate is still dissatisﬁed. If required. Grievances relating to academic disadvantage are considered under the Academic Grievance Policy. Academic grievances concerning PhD candidacy are dealt with by the PhD Handbook 47 . or before resorting to. seeking clariﬁcation or providing guidance and/or mediation. with respect for all parties. any difﬁculties should be discussed between the candidate and the supervisor(s). Where this fails to resolve the problem.
In each case.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. Formal grievances regarding staff misconduct normally are handled by the relevant manager.ac. If anyone is. Grievances relating to staff misconduct are considered under the Policy on Staff Conduct (both documents can be viewed by searching for the relevant title on: http://policy. dissatisﬁed with the administrative performance of their Faculty Ofﬁce. 48 PhD Handbook .victoria. 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. formal grievances beyond the levels described above should be submitted to the relevant Pro ViceChancellor. supervisors and Administrative Supervisors are encouraged to make direct contact with Faculty Ofﬁce Managers. candidates. and then the Pro Vice-Chancellor of the Faculty if necessary.nz/). they are invited to discuss the matter with the Manager of the Faculty Ofﬁce in the ﬁrst instance. for any reason.4 Resolving Administrative Difﬁculties If the difﬁculties are of an administrative or procedural nature.
Acknowledgements: candidates are required to acknowledge all assistance that has been received with the research and production of the thesis. It may include published material. 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. List of illustrations. 13.2.1 Layout It is recommended that the contents of the thesis be presented in the following order: • • Title page: a specimen page is provided on page 53. The abstract must not exceed 500 words. The thesis structure is a matter for discussion between candidates and supervisors. The precise interpretation of this varies from discipline to discipline. the thesis must explain their relationship to one another. Preface: a preface may not be necessary as the abstract can state the scope of the study. A length of about 300 words is recommended. Prior approval is required and it is important that this is organised as early as possible and before examiners are appointed.3. 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. binding. If the thesis consists of more than one volume. but its transformation into the ﬁnal draft for submission usually takes much longer than planned.0 The Thesis 13. 13. • • • • • PhD Handbook 49 . providing a summary of the methods of investigation and conclusions reached in a form suitable for publication. Candidates should check details of presentation and production with the primary supervisor before ﬁnal preparation of the thesis. The following guidelines may assist candidates in preparing their theses for presentation. Where the research project consists of a number of cases of more or less separate studies.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. Abstract: the regulations require that the thesis should include a short abstract. Separate contents pages should also be included in subsequent volumes.2. Body of the text: relevant advice is provided in section 13. A student may present a thesis in Te Reo Maori as outlined in The Use of Te Reo Maori for Assessment Policy. or in a separate companion volume or box. plates etc: all illustrations should be numbered and page references given. and availability of the thesis.13. The preparation of a ﬁrst draft may be the most difﬁcult part of the work. Schools may also specify distinct requirements bearing on style and presentation.1 Introduction This section contains information on the presentation. Table of contents: candidates should list chapters with relevant page numbers. Nearly all candidates ﬁnd that the actual writing of a thesis takes much longer than expected. candidates should show the contents of all volumes on the contents page of the ﬁrst volume. The only general requirement is that the thesis should be an integrated report.
Consult the Reference and Research staff for further guidance. A manual for writers of term papers. write and ﬁnish a doctoral thesis or dissertation. 15h ed. L. Wellington: GP Publications. Publication manual of the American Psychological Association. New York: Modern Language Association of America. The Chicago manual of style. Robert. (It is often inconvenient to refer to notes and references placed at the end of the chapter or at the end of the thesis. How to write and publish a scientiﬁc paper. 2003. Gibaldi. especially if the thesis is later reproduced on microﬁche. 2003. Phoenix: Oryx Press. Joseph. K. Houndmills. 2nd ed. (Also titled Style Book: a guide for New Zealand writers and editors. and the listing in the References/Bibliography should reﬂect disciplinary norms. the books listed below may be useful. 1994. The New Zealand Style Book. Basingston. 2001. in cases of doubt the full form of any reference should be used rather than abbreviations. 1998. Joseph. For speciﬁc examples of how to cite a book (single. or how to cite journal articles. if the footnotes become very extensive it is acceptable to list them in a separate section at the end of the thesis. Patrick. American Psychological Association. The MLA style manual.) Index: if candidates wish to include an index. New Zealand Government Printing Ofﬁce. 2nd ed.2 Citation style Particular disciplines often have individual citation conventions. Walter S. Dunleavy. London: Falmer Press. New York: Modern Language Association of America. M L A handbook for writers of research papers. it is preferable. 4th ed. 1996. Be sure to conform consistently to the standards considered appropriate for the relevant discipline. Rita S. Chicago: University of Chicago Press. 6th ed. Washington: the Association. These works are all available in the Library. M L A style manual and guide to scholarly publishing. 1995. Day. • • 13. 2000. English in today’s research world: a writing guide. 2003. Gibaldi. 5th ed. that these footnotes appear at the bottom of the page to which they refer. theses and dissertations. However. draft. 2000. University of Michigan Press. University of Chicago Press. please consult the Library Reference and Research staff for advice on its format and for guides on its preparation. Turabian. though not essential.2. References and/or Bibliography: references in the text should be made in the form appropriate to the discipline concerned. The supervisors are able to advise on the appropriate forms. Chicago: University Press.) Swales. multiple or corporate authorship) in part or as a whole.• Appendices (if applicable): candidates may wish to include here any material that does not ﬁt conveniently into the body of the text. Brause. 6th ed. Authoring a PhD: how to plan. John M. 1998. 5th ed. If in-text references are in the form of footnotes. Achtert. Ann Arbor. Writing your doctoral dissertation: invisible rules for success. 50 PhD Handbook . New York: Modern Language Association of America.
It is essential that all leaves be of the same size so that they may be readily bound together. Printing on one side of the paper only is preferred. Leave a margin of at least 4 cm on the left or binding side of the page. • • • 13. On the other three sides of the page the margins should be not less than 1. Avoid. except the title page which is normally counted but not numbered.7 Length • A PhD thesis should be concise: examiners often criticise excessive length.should be included in the main numbering sequence. • 13. 115 (b) etc).2. Image Services may be contacted at: tel 0-4-463 5133.5 Paper • The physical appearance of the thesis is very important.g.6 Photographic and Colour Copy Illustrations • Photographs should be dry mounted where possible.4 Pagination • Pages must be numbered consecutively and page numbers should appear on every page in a consistent position. sub-numbering of pages/leaves (e.ac. The Victoria University PhD Statute stipulates that “the thesis shall not exceed a total of 100. Larger material such as charts.2. email Image-Services@vuw.3 Format • • Word-processing and 12-point type font is recommended.13. if possible. Candidates may also wish to distinguish indented quotations from the main text by using single spacing or a smaller font size. Candidates should discuss payment with supervisors.2. especially if the thesis is very long. especially the footnotes. The Library provides a self-service colour photocopier in the photocopying room on Level 2 of the Central Library. The main body of the text should be numbered in Arabic numerals but it is acceptable to assign Roman numerals in lower-case to preliminary pages (title page. abstract. • 13. Lines should be double spaced or at least one and a half spaces apart. room 116. Interpolated leaves . Candidates should be guided by their supervisors on an appropriate length for the thesis. Use single spacing for footnotes but double spacing between individual notes.2. In exceptional circumstances the • • PhD Handbook 51 . Rankine Brown Building. uniform on all pages. 115 (a).illustrations. maps or charts . which frequently indicates poor judgement. table of contents etc). • • 13. or mounted on guard sheets. including diagrams and charts. New Kirk. The paper used should be of good quality and be in A4 format.5 cm as the edges will be trimmed by the binders and there must be no danger of losing part of the text.nz.2. provided the text is correctly imposed with uniform and sufﬁcient margins. Candidates should contact University Image Services for information on available photographic and digital imaging services and current costs.000 words in length (including scholarly apparatus). It is recommended that photographs be mounted on heavier paper than that used for the main text. but text on both sides is acceptable. diagrams and maps may be folded to conform to the A4 format.
• • • 52 PhD Handbook . is necessary insurance. If a draft printout from another printer is needed. 13. 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. and a change in printer-driver can affect the layout signiﬁcantly. The Health and Safety webpage: www.nz/hr/heath_ safety/health-safety-training. • Candidates should be aware of the dangers of developing occupational overuse syndrome (OOS) with prolonged computer use. might be prepared to hold a back-up copy. Also OOS Buster courses (I hour) are held regularly during term time.html describes how a computer workstation should be set up. One at home and one at the University. Different drivers impose different page speciﬁcations. At the time of submission the candidate must certify that the thesis falls within this word limit.ac. keeping the back-up in a different place from the original. students should make a copy and print from that. Permission should be sought well in advance of submission of the thesis for examination. regularly up-dated. Candidates should always back up their work.Research Degrees Committee may grant permission for a longer thesis to be submitted for examination” (PhD Statute 4.8 Computer Use Most PhD theses are produced by candidates using a computer. A supervisor or school administrator.victoria. The following advice should help candidates make the most efﬁcient use of their computers and avoid commonly-made mistakes. or use the original. but close without saving changes. Candidates should consult the relevant thesis presentation guides before they begin. particularly for complex formats like tables. Using the required guidelines from the outset will save a great deal of time and anxiety in the ﬁnal stages of thesis preparation.2. for instance. Information Technology Services staff may also be able to provide advice.4 (b)).
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.
is available from the Reference desk in the Library.victoria. Works which do not fall within the usual A4 format. provided the relevant information (as above) is visible when the item is shelved.html) require that research results must be disseminated and not kept secret.3. advice may be sought from library staff.13. • • 13.ac.1 Public Availability of Theses The University Human Ethics Committee (HEC) Guidelines (see Appendix 1 of the Human Ethics Policy: www.3 Binding 13.4). The thesis must be ﬁrmly bound within the temporary cover so that pages cannot become detached. 13. may be bound or boxed in a fashion appropriate for their preservation. The degree will not be awarded until this has been done. Law. The author’s last name and initials and the title/short title must be lettered on the spine. Architecture and Design theses are deposited with the relevant campus library. Lettering on the front cover is recommended but not essential.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. • • • • 13. A receipt is issued at the time of deposit. never stapled. who will soft bind theses for examination. Authors are responsible for all binding charges. such as musical scores.4. as this will interfere with the permanent binding.3. A list of local commercial binders. It is an important component of the University tradition that knowledge is openly available for examination and criticism by peers (see also 13. and cased in cloth or buckram.4. The Reference desk of the Library holds a list of approved binders. The binding must ensure that the thesis can later be permanently bound to conform to the Library requirements. Care should be taken to ensure that the temporary binding does not produce a row of holes down the page.1 Temporary Binding for Examination • Candidates are encouraged to submit the three copies of their thesis for examination in temporary soft binding. • • 54 PhD Handbook .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. to facilitate any revisions or corrections and/or re-submission. for deposit in the University Library. If in doubt.4 Availability and Withholding of Access to Theses 13. The thesis must be fully bound. Theses are deposited with Collection Services on Level 1 of the Central Library.nz/home/about_victoria/policy.
• • 13. or it will not be accepted.e.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. PhD Handbook 55 . ac. i. If making information available would be likely to prejudice the security or defence of New Zealand or international relations with New Zealand. In some cases the candidate’s school will also request a copy. or as soon as the need for an embargo becomes apparent. the use of any third party content must not be in breach of copyright.pdf for the Withholding of Theses Procedure. it must be in the public domain. fall within the provisions of the Copyright Act 1994 and Amendments. 13. The Library must always receive the original or “best” copy (and this includes the ﬁgures.” A description of what constitutes a good reason for withholding information held by the University is dealt with principally in Sections 6. that likelihood is good reason for non-disclosure. endanger the safety of any person.4. Students should consult the Victoria University Intellectual Property Policy at http://policy. research students own the intellectual property originally created exclusively by them in the course of their studies. however. For electronic deposit.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.nz~POLICY ~000000000034. In general. In certain circumstances.ac. research students will be required to enter into an agreement assigning or apportioning intellectual property to the University.nz It describes ownership and what is required should intellectual property issues arise from research undertaken while a student at the University. Candidates should consult section 4. or comply with the terms of any agreement. graphs. 13.4. or prejudice the maintenance of law and order. A completed availability slip MUST accompany the deposit.nz/Amphora!~~policy. or seriously damage the economy of New Zealand. The third bound copy is retained by the candidate. and photographs included in the thesis).• 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.ac. 7 and 9 of the Act.12.3(c) of the Library Statute for a full description of the provisions regarding the Withholding of Access to Theses and see http://policy. Second or third copies are usually photocopies.victoria.vuw. The Associate Dean can provide further advice.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.4. Copyright in publications other than the thesis arising from supervised research is likewise owned by the creator(s). If application is delayed difﬁculties may arise if the RDC subsequently declines the application after the research has been completed.vuw. Availability slips are obtained from the Faculty Ofﬁce at the time of enrolment. The application must also be supported by the supervisors and Head of School. This should be done at the outset of research.
to make that information available.12. and its inclusion or exclusion from the research document as formally presented for examination. or (c) To prejudice the maintenance of the law. Where arrangements have been made under the Library Regulation 4. It will cite as the speciﬁc ground for withholding the document.6 Ofﬁcial Information Act 1982 For the information of candidates and supervisors. rents and other costs. for the purpose of section 5 of this Act. and deciding how information will be handled in the examining of the thesis or research paper. 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. investigation.” 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. It is important to note that although the section lists good reasons for withholding information. disclosure may be required if “in the circumstances of the particular case.Candidates should give particular attention to Section 9 of the Act. or To prejudice the entrusting of information to the Government of New Zealand on a basis of conﬁdence by: i) the government of any other country or any agency of such a government. 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. seek to withhold information in it under the Ofﬁcial Information Act 1982. the withholding of that information is outweighed by other considerations which render it desirable. Candidates and supervisors should bear these factors in mind in choosing topics for research. control and adjustment of prices of goods and services. ii) the regulation of banking or credit. or To endanger the safety of any person. and detection of offences. and the right to a fair trial. including the prevention. the University will. Sections 6 and 9 of the Ofﬁcial Information Act are reproduced here: Section 6. making requests for research information from outside sources.3(c). as a matter of policy.3(c) for the withholding of a thesis or research paper from consultation. iv) the stability. (b) (d) (e) 56 PhD Handbook . iii) taxation. 13.12. in the public interest. Among many possible reasons for withholding information mentioned there is speciﬁc reference to material of a sensitive personal or commercial nature. or ii) any international organisation.4. Conclusive reasons for withholding ofﬁcial information Good reason for withholding ofﬁcial information exists. the ground identiﬁed in the written request made by the author under the Library Regulation 4. giving undertakings to the suppliers of information in respect of the maintenance of conﬁdentiality.
ii) Collective and individual ministerial responsibility. salaries and other incomes. to make that information available. 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. or (b) Protect information where the making available of the information i) Would disclose a trade secret. 7. and 18 of this Act. where the making available of the information i) Would be likely to prejudice the supply of similar information. this section applies. Section 9. Other reasons for withholding ofﬁcial information: (1) Where this section applies. for the purpose of section 5 of this Act. and only if. 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 (d) Avoid prejudice to the substantial economic interests of New Zealand. or ii) Would be likely unreasonably to prejudice the commercial position of the person who supplied or who is the subject of the information. in the public interest. good reason for withholding ofﬁcial information exists. Subject to sections 6.and rates of wages. vi) the entering into of overseas trade agreements. or (e) Avoid prejudice to measures that prevent or mitigate material loss to members of the public. or (c) Avoid prejudice to measures protecting the health or safety of members of the public. in the circumstances of the particular case. 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. v) the borrowing of money by the Government of New Zealand. or information from the same source. 10. or ii) Would be likely otherwise to damage the public interest. or (2) PhD Handbook 57 . iv) The conﬁdentiality of advice tendered by Ministers of the Crown and ofﬁcials. if. iii) The political neutrality of ofﬁcials. and it is in the public interest that such information should continue to be supplied. including that of deceased natural persons. unless.
without prejudice or disadvantage. and employees from improper pressure or harassment. commercial activities. negotiations (including commercial and industrial negotiations). members of organisations. without prejudice or disadvantage. or (j) Enable a Minister of the Crown or any Department or organisation holding the information to carry on. ofﬁcers. or (k) Prevent the disclosure or use of ofﬁcial information for improper gain or improper advantage. or (h) Maintain legal professional privilege. 58 PhD Handbook .ii) The protection of such Ministers. or (i) Enable a Minister of the Crown or any Department or organisation holding the information to carry on.
3 Submission A thesis is an integrated report. Suitable examiners are those who have no signiﬁcant personal. PhD Handbook 59 . If it consists of several studies or cases. If the candidate is a member of Victoria University staff. e. in consultation with the Administrative Supervisor. and supply the Associate Dean with a brief curriculum vitae or other information which establishes the suitability of the proposed examiners. or where a candidate who has transferred from a Master’s degree is able to complete their thesis in less than the predetermined period of registration. The 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. Only in exceptional circumstances will the internal examiner be the primary supervisor or cosupervisor. their relationship to one another should be demonstrated.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. the Associate Dean will give favourable consideration to a request for early submission. recommend suitable examiners to the Associate Dean. The decision to make application for a thesis to be examined is one to be made by the candidate. the Research Degrees Committee (RDC) should be consulted. In cases where the most qualiﬁed examiner has such a relationship with the candidate. ‘Availability’ means willingness to accept appointment and agreement to examine the thesis and complete a report within eight weeks of receiving the thesis. a member of the same teaching/research group. Examiners must be in a position to provide a fair and impartial assessment of the thesis. Candidates can be consulted on potential examiners. Supervisors. the internal examiner should not normally be a close working colleague. 14. The Associate Dean will scrutinise the recommendations and forward them to the RDC. Concerns with any aspect of the recommendation of examiners should be addressed to the Associate Dean. professional or contractual relationships with the candidate..2 Early Submission In cases where a candidate makes exceptional progress with their research. Availability is normally established through informal contact and the Associate Dean is responsible for ensuring that this is done. The RDC approves the nominations and appoints the examiners. as long as the report constituting the thesis is written under supervision during the period of registration. Normally at least one examiner will be from another New Zealand University (the external New Zealand examiner).14. The thesis may include the candidate’s previously published work or material based on previous research. The intention behind this is to establish a common standard between New Zealand and overseas scholarship and to preserve the international standing of the Victoria PhD degree. At least one examiner is normally a member of the staff of an overseas university or similar institution (the overseas examiner). The third examiner should be a member of the Victoria University staff (the internal examiner).g. but may not be told which examiners have been nominated or appointed.0 The PhD Examination 14. 14.
borrowed. A thesis is not complete unless it constitutes a complete scholarly work inclusive of all scholarly apparatus usual in the discipline. The University has an obligation to examiners to ensure that any thesis sent for examination is complete and suitable for examination.nz/ Amphora!~~policy. Such a recommendation shall be accompanied by reasons and notiﬁed to the candidate who shall have the opportunity to make submissions to the Associate Dean. Before submission. Students may appeal to the PhD Convener. it should be reviewed by at least the primary supervisor before application is made for examination. the primary supervisor may recommend to the Associate Dean that the thesis not be accepted for examination. When the candidate indicates the thesis is complete.vuw.However. 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. The University expects that normally a candidate would be enrolled for the three months immediately preceding submission. If a thesis is submitted in the grace period no extra fees will charged. copied or reproduced in accordance with the Library regulations. may decide that the thesis is not complete if the quality of the thesis submitted is such that no examiner could reasonably be expected to recommend that the candidate be awarded either a PhD or a Master’s degree. a statement that the thesis does not exceed 100. The Associate Dean.ac. 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. to submit without three months prior enrolment. 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. the candidate retains the right to have the thesis examined. in exceptional circumstances.nz~POLICY~000000000034. • • • On submission of the thesis.vuw. This review period should not usually exceed four weeks. 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. two Availability of Thesis forms providing consent for the thesis to be consulted. 60 PhD Handbook . If the supervisors are of the opinion that the thesis is not complete. it is expected that such decision will be made by agreement between the candidate and the supervisors.pdf).000 words in length* a research supervision Exit Questionnaire to canvas PhD students for written comments about the supervision of their thesis. Should the Associate Dean decide that a thesis is not complete the candidate may appeal that decision to the Research Degrees Committee (RDC). the Faculty Ofﬁce will provide the following documents to the candidate: • a Statement of Authorship form to conﬁrm that the work of others has been acknowledged in the thesis and that the thesis has not been submitted previously for another degree.ac. 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. A grace period starts on the last day for which fees are paid and covers the following 28 days. after appropriate consultation.
* Note: The 100,000 words must include everything necessary to mark the thesis, and therefore includes scholarly apparatus such as bibliographies, foot and/or end-notes and essential appendices. Where the candidate wishes to provide extensive additional material it is suggested that this material should be attached in electronic format.
The examination comprises an expert review of the thesis by three examiners and may include an oral examination. In some faculties the requirement for an oral examination is waived unless speciﬁcally requested by an examiner, a supervisor, the candidate or the Research Degrees Committee (RDC). Candidates can normally expect the examination process to take approximately 4 months (including 8 weeks for the examiners to complete their reports). In exceptional circumstances the process may take several months longer. The RDC is responsible for reviewing all reports and deciding the outcome of the examination process.
14.5 Examination of the Thesis
Each examiner is supplied by the Faculty Ofﬁce, on behalf of the Associate Dean, with a copy of the thesis, the relevant statute and policy and information detailing what is required from them. The information is speciﬁed in https://intranet.victoria.ac.nz/research-ofﬁce/postgraduate/forms-andtemplates.aspx All examiners write an independent report on the thesis and make a recommendation on the result. Consultation between examiners before independent reports have been submitted to the Associate Dean is prohibited, as is any communication with either the candidate or the supervisors. After reports have been submitted however, in those cases where examiners make differing recommendations on the outcome of the examination, consultation is permitted. The recommendations of the examiners on the basis of their reading of the thesis should be one of the following: • • that the thesis meets the requirements of the PhD; that the thesis will meet the requirements of the PhD on completion of any minor amendments (deﬁned in 14.9.1) to the thesis recommended by the examiners, to the satisfaction of the internal examiner;. that the thesis will meet the requirements of the PhD on completion of any revisions (deﬁned in 14.9.2) to the thesis recommended by the examiners, to the satisfaction of the internal examiner; that the thesis does not meet the requirements of the PhD, but that the candidate be permitted to resubmit a revised thesis within a speciﬁed period. In this case the examiners should offer detailed advice to assist the candidate towards a successful re-submission; that the candidate be declined a PhD but offered a Master’s degree, subject to any minor amendments that may be required; that no degree be awarded and the candidate’s registration be terminated.
In the case that examiners make differing recommendations on the outcome of the examination, the Associate Dean may ask the internal examiner (or a New Zealand-based examiner) to co-ordinate consultation between examiners to see if the differing recommendations can be resolved. Where the examiners agree on a joint report on the outcome of the examination, this report will be submitted
to the Associate Dean by the co-ordinating examiner. The PhD Convener and the Research Degrees Committee (RDC) is responsible for reviewing the reports of the Associate Dean and the examiners and making a decision on the outcome of the examination process. The Associate Dean sends a report of the examination of the thesis to the PhD Convener, including all the examiners’ reports and a recommendation on the outcome. On receipt of the report from the Associate Dean where the examiners are in agreement, the PhD Convener, on behalf of the RDC, will usually accept their recommendation. Where the examiners’ views of the thesis differ signiﬁcantly or are in other ways controversial, the PhD Convener will consult with the academic members of the RDC, who may require an oral examination. In cases where there is signiﬁcant disagreement between examiners, it may be appropriate to initiate a discussion between the examiners with the objective of achieving consensus. The discussion will be coordinated by the PhD Convener or their nominee. In cases where differences prevent the examiners agreeing on a joint recommendation, the RDC may elect to proceed on a majority report. Alternatively, the RDC may ask for further efforts to reconcile the examiners or seek a recommendation from a referee to whom the thesis and the anonymised examiners’ reports shall be referred. The referee will advise the RDC of their recommendation. Once approved by the RDC, the PhD Convener will inform the Associate Dean, who will convey the decision on the acceptability of the thesis in writing, and send copies of the examiners’ reports to the candidate, the primary supervisor, the Administrative Supervisor and the Head of School. If the supervisor, the candidate or the RDC requests an oral examination, the PhD Convener will ask the Associate Dean to arrange one. The candidate should receive the examiners’ reports at least ﬁve days before an oral examination. On receipt of the report on the oral examination from the Associate Dean, the RDC will reconsider all the reports and make a ﬁnal decision on the acceptability of the thesis on behalf of the Academic Board.
14.6 Arrangement of Oral Examination
The purpose of the oral examination is to defend the thesis and determine the result. Additional purposes may include: checking the understanding of particular aspects; allowing the candidate to demonstrate the extent of work involved; clarifying the scope and detail of the revisions required, particularly where there are conﬂicting statements from examiners. In some faculties and schools an oral examination is always held as part of the PhD examination process and this is determined by faculty policy as approved by Faculty Boards. After consulting one another, a supervisor or the candidate may also request an oral examination within 10 days of receiving copies of the examiners’ reports. A request for an oral examination must be justiﬁed in terms of the statement of the purposes of the oral examination. Where an oral examination is required the following takes place. The oral examination is organised by the Associate Dean who will also chair it or appoint an appropriate person as chairperson. The examination will usually be conducted by the New Zealand examiner and the internal examiner, and questions provided by the overseas examiner will be presented by the internal examiner. The primary supervisor will normally be in attendance, but not as part of the examining panel, and other supervisors may also attend.
Circumstances will occasionally make it necessary to depart from the normal examination procedure. The Convener of the Research Degrees Committee (RDC) should be consulted in all such circumstances; the RDC must approve any unusual procedure. If problems are foreseen they should be discussed with the Convener as early as possible. A common problem with arranging the oral examination occurs when both external examiners are overseas, or when the candidate has already taken up an overseas position. In such cases an examination by telephone or video conference may be approved. However, there should always be one examiner present with the candidate. If it is impractical for the candidate to meet with any of the examiners, some responsible person, for example an academic from another university, must be present with the candidate and must supply a written statement that the examination was conducted properly.
14.7 Conduct of Oral Examination
The length and format of the oral examination depends on the discipline being examined and the issues arising from the thesis. A two-hour examination would be fairly typical. Every effort will be made to involve all examiners in the oral examination, using technology where appropriate, particularly for overseas examiners. In cases where the overseas examiner is not present, questions from the overseas examiner will be presented at the oral examination. However, it is the examiners present who must decide whether the candidate’s responses are adequate, and whether the Faculty objectives of the oral examination have been met. If an oral is required as part of the examination process, then the examination process is not complete until the oral has taken place. Reports received before the oral are provisional. The ﬁnal report after the oral determines whether or not the candidate will be granted a PhD. Where a thesis is clearly acceptable, the oral examination may become a reasonably informal discussion of ways in which the research might be developed or how the thesis could be prepared for publication. In other circumstances the examiners may need to clarify issues arising from the thesis or to evaluate the candidate’s understanding of the subject. Section 4.1(b) of The use of Te Reo Maori for Assessment Policy states that “Students may use Te Reo Maori in assessed oral presentations only with the prior agreement of the examiner.” If a student wishes to use Te Reo Maori in an oral examination, this should be cleared with the School before the appointment of examiners has taken place, so that consideration can be given to appointing examiners who can understand Te Reo Maori sufﬁciently well to undertake this task.
14.8 Report on the Oral Examination
All examiners present at the oral examination must reach agreement and sign a report on the oral examination. There is no objection to the examiners telling a candidate unofﬁcially what their recommendation is likely to be at the conclusion of the oral examination. The Associate Dean must then make a report on the examination as a whole to the Research Degrees Committee (RDC). Where the overseas examiner’s report recommends an outcome which is acceptable to the examiners present at the oral examination, a simple statement may be produced immediately. In other cases, telephone conversations or correspondence with the overseas examiner may be needed before reporting. It is the responsibility of the Associate Dean to coordinate any such negotiations, and to report the results to the RDC. Following the completion of the oral examination, the examiners’ agreed recommendation to the RDC must take one of the following forms:
2 Revisions Where more than minor amendments are required. that no degree be awarded and the candidate’s registration be terminated. In this case the examiners should offer detailed advice to assist the candidate towards a successful re-submission. the person responsible for overseeing the minor amendments or revisions will stipulate in writing the timeframe within which these must be completed. If the primary supervisor is not available then the Administrative Supervisor will take this role. 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. the changes that the examiners require are such that it is reasonable for the internal examiner alone to assess the revised thesis. such as making small corrections. the candidate may be asked to revise aspects of their work and sometimes write new sections. and • 64 PhD Handbook . 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.9. amendments that are ‘minor’ should be able to be completed within two weeks’ full-time work or equivalent. to clarify an argument. that the candidate be awarded the PhD subject to the completion of any revisions (deﬁned in 14. then the primary supervisor will take this role. adding missing citations. that the candidate be awarded the PhD subject to the completion of any minor amendments (deﬁned in 14. After consultation with the candidate. for example. As a guide. 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.1 Minor Amendments It is very common for examiners to ask candidates to make small corrections to the thesis before it is accepted. to the satisfaction of the internal examiner.9 Minor Amendments and Revisions The responsibility for overseeing the minor amendments or revisions is usually taken by the internal examiner.9. that the candidate be declined a PhD but offered a Master’s degree. but ‘minor’ can include slight changes or additions of substance.• • that the candidate be awarded the PhD. 14.1) to the thesis recommended by the examiners. If the internal examiner is not available. to the satisfaction of the internal examiner. • • • • • 14.9. or ﬁxing typographical errors. that the degree not be awarded but that the candidate be permitted to re-submit a revised thesis within a speciﬁed period. 14.9. 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.2) to the thesis recommended by the examiners. Generally minor amendments are formal only.
Only in exceptional circumstances will the RDC consent to a change of examiners. which parts of the thesis require revision and for what reasons. MCA. Where re-submission is involved.9. a period of further supervision will be required. PhD Handbook 65 . Following such discussions. While candidates have a maximum of six months to make the suggested revisions. When the thesis is re-submitted. The revisions required will be notiﬁed to the candidate in writing. in writing with a copy to the Convener of the RDC. which will usually delegate this to the internal examiner and/or the primary supervisor. Where the problems are more fundamental (requiring. Re-enrolment is required for re-submission. may. the gathering of further data. 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. who will then appoint an appropriate substitute. Any candidate for whom the result of the ﬁrst round of the examination process is that the thesis may be resubmitted. If there is good reason why the internal examiner should not be the person to undertake this task. and to change the primary supervisor if this is academically advisable.• the revisions are of a kind and scope that it would be reasonable to expect that they might be completed within six months’ full-time work. The Masters in such cases will be awarded at the Pass level. Any recommendation regarding a second oral examination requires conﬁrmation by the RDC. the examination process begins again. It is the duty of the School Research Committee to organize this. It is the responsibility of the School Research/Postgraduate Committee (SRC). opt to make only minor editorial changes to the thesis and to accept the relevant general Masters qualiﬁcation (MA. LLM) in place of the doctoral qualiﬁcation. MSc. MMus. 14. it is desirable that the work is completed as soon as possible. at their discretion. they may also recommend that a second oral examination is not required. The internal examiner is responsible for explaining to the candidate.3 Disputes about Revision If there is substantial disagreement between the two external examiners and/or the internal examiner.10 Revision and Re-Submission of Thesis for Second Examination Where the examiners have recommended re-submission and the Research Degrees Committee (RDC) conﬁrms that result. 14. Any such change must be notiﬁed to the relevant Faculty Ofﬁce. this option no longer applies. a second oral may be necessary. 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. to ensure that the candidate understands exactly what is required to meet the examiners’ concerns and to oversee the revision process. When the examiners recommend that the thesis be re-submitted after revision. an explanation should be given to the Research Degrees Committee. all copies of the thesis are returned to the candidate who is given the date by which re-submission must be made. or a restructuring of the thesis). Once the thesis has been resubmitted. for example. a formal Memorandum of Understanding should be agreed before entering into negotiations with the candidate as to the completion of these revisions. it is recommended that the internal examiner discuss the matter with senior researchers in the School or wider university.
high ethical standards of accuracy. ac. a commitment to leadership in the community and an awareness of the needs of that community. During the time of study. candidates occupy a special albeit transitional. Students should be aware that undertaking a PhD has the potential to be a solitary and isolating experience and should work to mitigate this. isolation can be a problem.0 The University Community 15. at the same time they require guidance. although the Postgraduate Students’ Association (PGSA) can provide important social and academic contacts.3 Collegiality The University recognises that a vital aspect of the learning experience for PhD candidates is an environment of strong and supportive collegiality. and a commitment to teaching and research that embraces both theory and practice. neither members of the main student body. teaching and research. co-operation. tolerance.pdf 15. and the principal rights and obligations of PhD students. equity of educational and employment opportunity for those who are socially and economically disadvantaged.nz/home/about/newspubs/publications/Charter. in return. This document is also available at: www. For PhD students in small schools. acknowledgement of the principles of the Treaty of Waitangi and recognition of the special relationship with the tangata whenua. The University.2 Values and Ethos The guiding values of the University community are: • • excellence in learning.15. acceptance of obligations as well as rights to enable all in the University community to develop their full potential. endeavours to maintain an environment which will foster and protect PhD students. The University encourages candidates to get to know each other so that experiences can be shared 66 PhD Handbook . 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. 15. intellectual openness and questioning of accepted wisdom. • • • • • • A full description of the University’s Mission and Values is set out in the University Charter. Like many transitional states. a nurturing environment providing the atmosphere for growth and learning.1 Introduction While engaged in PhD study. PhD candidates’ status can be rather ambiguous.victoria. A copy is available in the main collection of the Library. While PhD students are usually treated collegially by academic staff. nor members of the academic staff. and ultimately will be examined by the academic staff. and provide an academically exciting and intellectually stimulating environment. place in the University system. The sections that follow outline the principal values of the University community.
15.nz or www.victoria.nz The Statute on Student Conduct identiﬁes unacceptable behaviour and provides processes by which people can seek to have concerns addressed. the PGSA is committed to maintaining and improving the conditions under which all postgraduates work at Victoria. It lobbies on issues. relevant information for postgraduates and social events. lobbying to foster the academic. it is expected that they will attempt to resolve any conﬂict themselves. The PGSA operates an electronic mailing list for all members which keeps postgraduate students informed about PGSA initiatives. The PGSA also coordinates the network of postgraduate representatives on university committees and bodies. You can also contact the PGSA on tel 0-4-463 6973 or email pgsa-ea@vuw. Candidates are also encouraged to attend the appropriate faculty and school seminars. training workshops and information. Recognised by the University and Victoria University of Wellington Students’ Association (VUWSA) as the lead representative body of all postgraduate students. They are entitled to work. seminars. which can be viewed by searching for ‘Statute on Student Conduct’ at: http://policy. It acts on behalf of postgraduates. study and participate in the social aspects of the University’s life in an environment of safety and respect.victoria. The PGSA is always eager for postgraduates to get involved. The PGSA aims to create a vibrant postgraduate community at Victoria and to promote the value and role of postgraduate contributions to the University.ac. The PGSA is run by the Executive. ac.5. PhD Handbook 67 . co-operatively and in a professional manner.1 The Statute on Student Conduct The supporting values and ethos of the University can only be sustained in an environment of safety and respect for all members of the University community. The use of email is very helpful for this purpose. The PGSA sends out a monthly e-newsletter The Postgraduate News.ac. 20 Kelburn Parade. 15. learn. and welcomes enquiries.nz/pgsa The PGSA’s ofﬁce is in Room 202. ﬁnancial and social needs of higher degree students.ac.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. and provides advice and advocacy for individuals and groups of postgraduate students. To subscribe or unsubscribe to the list go to www. All PhD candidates are therefore reminded of their obligation to observe the Statute on Student Conduct. represents postgraduate students on a variety of university committees and arranges social activities.” If differences or disputes arise between members of the University community.aspx and ﬁll in your details.victoria. The PGSA also organises the University’s annual teaching awards (the Victorias) and offers a small postgraduate computing space in the Trinity Newman Postgraduate Centre. The preamble to the Statute on Student Conduct states that: “Students are expected to contribute with reason and consideration to the University’s role.and problems jointly addressed. elected each year and comprised of up to ten voluntary postgraduate students.5 Rights and Obligations Regarding Conduct 15.nz/pgsa/resources/mailing-list. It is expected that students will act with integrity and demonstrate respect for others and their conﬁdences when given. 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. which can be a helpful means of ensuring contact with colleagues and avoiding isolation.
The Statute prohibits the following conduct: discrimination. “ 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. These deﬁnitions of misconduct are not intended to apply to reasonable comment by staff in the exercise of academic freedom. 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. co-operatively and in a professional manner.2 of the Policy.nz/disputes-advice/ 68 PhD Handbook . the University has clearly deﬁned procedures under the Policy on Staff Conduct for dealing with sexual harassment. causing racial disharmony. sexual harassment. learn. It is also University policy that all disciplinary procedures conform to the principles of natural justice. harassment. study and participate in the social aspects of the University’s life in an environment of safety and respect.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.ac. misuse of information.5. They are entitled to work. and other misconduct. 15.2 of the Statute. causing racial disharmony.victoria. In particular. contact the University Facilitator and Disputes Advisor.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. If differences or disputes arise between members of the University community.5. vuw. all deﬁned in section 4. 15. misuse of authority. academic misconduct including plagiarism.ac. The Policy on Staff Conduct identiﬁes misconduct as including: discrimination. misconduct in research. If any PhD candidate has been subjected to unwelcome and distressing behaviour and would like guidance as to whether it amounts to sexual harassment. and other misconduct. sexual harassment. misconduct involving a conﬂict of interest. Further information is available in the brochure Respect: Sex and Relationships: what’s OKAY and what’s not at http://www. racial harassment. misuse of information. Various procedures have been adopted in the Statute and the Policy to safeguard the rights of the individuals in this respect.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. 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. misuse of University computer systems. racial harassment. all deﬁned in section 4. it is expected that they will attempt to resolve any conﬂict themselves.
A Graduate Recruitment Programme runs throughout most of the year.1. There are career workshops for developing interview skills. The Service’s reference library has detailed information on occupations and employers. Many of these services are run by the Student Services Group.victoria.ac. i.ac. A separate Law and Accounting Employment Programme is held early in the year. and the computer database provides a useful checklist of career options and training. 16. preparation of CVs. The Service has three professionally-trained careers advisers available for informal. Victoria CareerHub is also your one-stop-shop for details on all career events. workshops and seminars in addition to tips on career development and job search topics. 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. except Wednesday 10.0 University Student Services 16. The Service is open all year. handles applications for Victoria’s Halls of Residence. conﬁdential discussions..30am-5 pm tel 0-4-463 5393. The Letting Service can be accessed online at: www.nz/st_services/ accommodation/ or on notice boards in the Accommodation Service. employer presentations. email Accommodation@vuw. 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.e. A comprehensive careers website also offers valuable advice. This can be accessed via Victoria CareerHub: http://careerhub. career fairs. They can help with a wide range of queries . 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. which is funded by the University and by students through a small levy paid upon enrolment.16. to details of speciﬁc jobs. email careers-service@vuw. identifying skills and other career-related matters.1 Accommodation Service Level 1. fax 0-4-463 5252.victoria.nz using your Student Computing account as your login. Student Union Building Hours: 9am to 5pm Monday to Friday tel 0-4-463 5896.ac. and operates a Letting Service of vacancies in the private market. 16. fax 0-4-463 5252.ac. employers and checking draft copies of resumes.nz The Accommodation Service helps students ﬁnd suitable accommodation in Wellington.from the general exploration of career ideas and the career implications of postgraduate courses.victoria. including the study break.1 Student Services Group Victoria has an excellent support network for students.ac. Prospective postgraduate students are especially welcome to visit and use the Service.nz Career Development and Employment (www. Feel free to come by for a casual visit during our drip-in times or call ahead to book an appointment. PhD Handbook 69 .2 Career Development and Employment 14 Kelburn Parade Hours: 9am to 5pm Monday to Friday.nz/st_services/careers/) provides information and guidance to students with career and course-related questions.1.
in the Government Buildings on Lambton Quay. Kirk Building. their relationships or their learning. 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. and is open from 8am to 5.ac. This Crèche is on the Kelburn campus. at 67-71 Fairlie Terrace. There are also active student support groups. Bookings can be made by contacting the Manager. Room 007 tel 0-4. The University Staff Early Childhood Education (ECE) Centres cater for the children of staff and postgraduate students. The Law Crèche.30pm email kaiwawao-maori@vuw. The Crèche’s fully trained and experienced staff provide care and education for children while parents are studying.nz 16. regular workshops and a mentoring programme.1.victoria. which offers monthly regional meetings.ac.1. 16. or phone the Manager on 0-4-463 5151.30pm weekdays. including specialised computer software.3 Counselling Service 2 Wai-te-ata Road (Kelburn campus) Hours: 9am to 5pm throughout the year tel 0-4-463 5310.7 MAI Ki Poneke MAI (Maori and Indigenous Postgraduate Students) is a national network for Maori.nz/mai 70 PhD Handbook .victoria.30am-4.5 Disability Support Services Level 1.6 Kaiwawao Maori/ Maori Student Services Adviser Hunter Courtyard.30am to 5. Students who wish to use any of the Crèches should register in person from the ﬁrst Monday of November at 71 Fairlie Terrace. Bookings are on a permanent basis.463 6001 or 027 563 6001 Monday to Friday 8. and is open 8. 16. tel 0-4-463 5151 or email Childcare@vuw.nz www. injury. Group programmes are also available. Staff ECE Centres are Tui House at 4 Clermont Terrace. 16.ac. hearing assistance technology.16.nz Disability Support Services are on campus to assist students who are deaf or have an impairment. Te Aro and Karori campuses. Robert Stout Building. email Disability@vuw. Level 0.1. A range of services and support is available.1. mental health condition or chronic illness that may impact on their study. Students wishing to discuss their needs should contact a Student Adviser from Disability Support Services as early as possible.ac. alternative print formatting. Pasiﬁka and First Nations’ PhD Candidates.ac.1. either full-time or ﬁve half days.4 Childcare The University Student Crèche is available to students with pre-school children (from birth to ﬁve years). caters for 14 children up to three-and-a-half years of age. and possibly to 6. and personal assistance where appropriate.30pm on weekdays during term and examinations.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. fax 0-4-463 5104. www. Room 103 Telephone for an appointment tel 0-4-463 6070.00pm by special arrangement. places to study and rest. Trained and experienced staff provide care and education for children aged from three months to ﬁve years. and Kea House at 2 Clermont Terrace. fax 0-4-463 5028 Counselling Clinics are also held at Pipitea.
Railway Station. PostgradLife is a student-centred website which provides links to important information for postgraduate students: www. Our Student Health Service will help you enjoy better health and an improved lifestyle. A number of specialist services are also available including psychiatry.nz www. fax (04)-463 5252. 139 Vivian St tel 0-4-463-5308. accommodation etc. and structuring and formatting long documents. developing research questions. and Te Aro: Ground ﬂoor. West Wing.nz/st_services/health/ (for clinic times and fee structure) The Student Health Service offers low cost conﬁdential quality healthcare.1. at both Kelburn and Pipitea campuses. contraception. fax 04-463-5028 Pipitea: Student Services. They can also help students complete ﬁnancial statements for scholarships applications. fax 0-4-463 9581 email Studentemail@example.com Tuesdays and Fridays tel (04)-463 5999. fax 04-463-7475 Karori: Level 3. Rooms 106 and 107 Hours: 9am to 5pm weekdays (no appointments on Fridays) tel 0-4-463 6644 or 0-4-463 6658.nz The Student Learning Support Service (SLSS) runs regular seminars on topics of interest to postgraduate students. smears and sexual health checks. minor surgery and more. high course costs. fax 0-4-463 5252. An experienced team of doctors and nurses provides a wide range of medical care including treatment of acute illness and injury. SLSS facilitates a regular postgraduate writing group (beginning with an intensive Saturday workshop in March). transport. will help postgraduates set up and maintain a peer study/support group in their school and will organise workshops on request.1.nz/postgradlife PhD Handbook 71 . 16.8 Financial Support and Advice 14 Kelburn Parade. including time management.ac. Faculty of Education tel 0-4-463 9537.9 Student Health Service Kelburn: 4 Wai-te-ata Rd. in the ﬁrst weeks of each trimester. email Student-learning@vuw. for example. tel 0-4-384 4944 (there will a charge for this service).ac. oral presentations.1.ac. Grey Block. research costs not covered by grants.30am to 4pm Monday to Friday Pipitea: Railway Station.10 Student Learning Support Service Kelburn: Kirk Building. management of ongoing health problems. The Advisers have close links with StudyLink and can assist with problems associated with Student Allowance and Loan applications. childcare. Level 2 Hours: 8. Experienced learning advisers are also available for one-to-one consultations on all aspects of postgraduate study. For free medical advice. travel and nutrition advice. 17 Adelaide Road.victoria.ac. For further information phone 0-4-463 5908. dermatology and physiotherapy. Level 0 Hunter Courtyard Hours: 8.16. email Studentfirstname.lastname@example.org to 3.ac. phone 0800-611 116 to speak to a registered nurse. Level 2. After hours emergency care is shared with Wellington GPs at the Wellington Accident and Urgent Medical Centre. West Wing tel 0-4-463 7474. 16. They administer the Hardship Fund which provides short-term assistance for those facing ﬁnancial difﬁculties.nz The Student Finance Advisers help students to manage their personal ﬁnances by providing advice and individual budgets.
and through an afﬁnity card it raises money to fund postgraduate scholarships. the Mount Street Bar and Cafe and the Union Hall and Hunter Bar. Alumni Relations Ofﬁce Room 325. The Student Union Building is home to vicbooks. 16. or have been enrolled since the penultimate election. The Services Team act as a facilitator to help you ﬁnd the assistance you need.13 Court of Convocation All graduates of Victoria University are eligible to be enrolled as members of the Court of Convocation. Facilities include those offered by the Student Union Building. PO Box 600. There is also a National Bank branch and ATM. the Student Union Complex provides opportunities for students to participate in a wide variety of cultural.2 Student Union Complex The University’s ‘Community Centre’.ac. the Union Cafe. the Recreation Centre.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. 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. active and inactive. Court of Convocation. Enquiries and applications for enrolment should be addressed to the Secretary. fax: 0-4-463 6698. through the VUWSA Trust. Graduates are encouraged to remain involved in the life of the University and to exercise their right to representation on the University Council. The Association also organizes informal social activities.1 Student Union Building tel: 0-4-463 6999. social and political activities.nz The Union Building houses the Student Union management and the Students’ Association.1. the Karori Gym and Tennis Courts. email student-union@vuw. Vicbooks is on the 3rd ﬂoor of the Student Union Building and 72 PhD Handbook .1.16. New Zealand. Anyone who has studied or worked at Victoria may join. www. which elects ﬁve members of the University Council. the Kelburn Tennis Pavilion and the Boyd Wilson Field and clubrooms. New graduates are automatically enrolled on the register.victoria. Hunter Building Tel 0-4-4636700.12 Alumni Association The University values its links with its former students.nz. many of who have achieved distinction in a variety of ﬁelds in New Zealand and elsewhere. Wellington.2. 16.11 Victoria International The Victoria International Services Team is the ﬁrst port of call for all International PhD students seeking assistance at the University. Victoria University of Wellington. or have applied to the Secretary for transfer to the active roll. fax 0-4-463 5210: email alumni@vuw. the only campus bookshop in New Zealand owned by its students. 16. The register of members is in two parts.ac.ac. They also deal with all insurance and visa-related issues and can help you settle into your new life in Wellington. It is a focus for many activities and features social and meeting rooms.1. recreational. 16. It coordinates activities of the Alumni Association. are placed on the active roll. the Rutherford House Gym. which has an important role as a forum to discuss matters of relevance to the University and provide graduate input into University decision-making. Those who have voted in one of the previous two Council elections. 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.
which has recently been refurbished. If you are into social sport check out our Sports League competition. or even cocktail making.ac.victoria. basketball and indoor netball. and a second ﬁtness studio and aerobics centre at the Pipitea Campus.nz. volleyball. general books. indoor cricket and rock climbing are a sample of recreational activities which take place at Kelburn.the ground ﬂoor of Rutherford House. table tennis and ultimate. The Kelburn and Karori gymnasiums provide opportunities for indoor sports such as basketball. PhD Handbook 73 . Martial arts. to salsa.2 Recreation Centre tel 0-4-463 6614.nz/union/reccentre Recreation offers two main facilities: the recreation centre at the Kelburn Campus. Vicbooks offers a student discount on academic textbooks.2. During trimesters 1 and 2 we run an Activities Programme giving you the opportunity to try everything from bridge swinging. 16. email rec-cent@vuw. and has postal and dry cleaning services. Pilates. magazines and stationery. The Kelburn and Pipitea Fitness Studios offer a full range of cardio equipment and weights machines. The Student Union also operates Student Notes on the Ground Floor. The Group Exercise programme offers fantastic classes in Yoga.ac. Pump. Tae Bo and Step to mention a few. volleyball. choose from indoor soccer. www.
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 . 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.
possible supervisors Appropriate ethics committees.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. Postgraduate Coordinator. Associate Dean. forwarded to Administrative Supervisor and Faculty Ofﬁce Head of School Faculty or School Research/Postgraduate Committees Supervisors. Facilitator and Disputes Advisor. record of candidature in the ResearchMaster information management system etc Approving variations to conditions of study including suspensions. Administrative Supervisor. extensions. payment of fees. extensions research away from the University Guidance on all matters pertaining to supervisors the research. 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. suspensions. Senior Academic Policy Advisor Resolving problems PhD Handbook 75 . 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. Faculty Ofﬁce.
Examination Responsibilities Task Receipt of completed thesis Sending thesis to examiners Making examination arrangements Approving examination arrangements Organising and chairing oral examination Assessing examiners’ reports and deciding examination result Notifying results Checking that corrections to thesis have been made Notifying PhD Convener of the RDC that revisions or minor amendments have been made Deposit of thesis in Library Responsibility Faculty Ofﬁce Faculty Ofﬁce Associate Dean in consultation with supervisors and Administrative Supervisor Research Degrees Committee Associate Dean or nominee Research Degrees Committee Associate Dean through Faculty Ofﬁce Internal Examiner Internal Examiner Candidate and Faculty Ofﬁce 76 PhD Handbook .
where difﬁculties which have arisen during supervision. Head of School The role of Head of School (HoS) varies from one school to another. the HoS will act as the Administrative Supervisor. Responsibilities as follows: PhD Handbook 77 .Appendix 2: Summary of Role Responsibilities Supervisor/s (see Chapter 7. Most administrative responsibilities for PhD students are delegated to the School Research/Postgraduate Committee (SRC). In most cases. each PhD candidate will have an Administrative Supervisor who will in most cases. The Administrative Supervisor has responsibility for the School/Faculty paperwork involved in the candidacy. 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. are hindering the research progress.0 Supervision Protocols) Administrative Supervisor In addition to two academic supervisors. Responsibilities as follows: Enrolment/Registration • Ensures candidates and supervisors fulﬁl the regulations for the degree Supervision • Provides advice to the supervisors and is the ﬁrst source of advice for candidates beyond the supervisors Assists in resolving any difﬁculties that may arise between candidates and their supervisor/s Informs the Associate Dean immediately in writing. be the Head of School (HoS) of registration. candidates and internal supervisors sign a Memorandum of Understanding. Information includes outlining how the candidate and supervisor/s are working towards the resolution of those difﬁculties Ensures that external supervisors. if the internal examiner or the principal examiner is not available.
the initial proposal. 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. 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. Responsibilities as follows: Enrolment/Registration • Discusses potential research projects with a candidate and makes decisions about their suitability Refers prospective candidates to possible supervisors Vets initial research proposals in conjunction with SRC Ensures that the candidate has two supervisors • • • 78 PhD Handbook . and monitors. signs the completed application form (along with all the supervisors) and then returns the form. 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. Postgraduate Coordinator/Director The Postgraduate Coordinator (PG Coordinator) in each school is responsible for providing information and guidance to prospective and enrolled PhD students and supervisors within a subject area. candidate and supervisor/s of the entitlements (facilities. equipment. 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. proposed action to rectify problems speciﬁed in the six-monthly reports.
Responsibilities as follows: Enrolment/Registration • Scrutinises the initial research proposal for academic appropriateness. Revisions must be completed to the satisfaction of the SRC or nominee Organises the period of continued supervision if the thesis is required to be re-submitted. and the Research Memorandum to ensure appropriate resources are available for the research and then makes recommendations to the HoS on the acceptability of the candidate Approves memorandum of attendance Develops School-speciﬁc criteria (in addition to Victoria University criteria) as to what constitutes satisfactory progress for candidates to move from provisional to full registration Recommends a move to full registration once the committee has accepted the full research proposal and the student has met requirements and informs the Associate Dean • • • Supervision • Discusses possible conversion from a Master’s degree to a PhD with supervisors – must be satisﬁed existing supervisor/s are appropriately qualiﬁed/experienced and if necessary approve additional supervision Examination • Notiﬁes the candidate of any required revisions to the thesis (usually delegate this to the internal examiner and/or the primary supervisor) to ensure that the candidate understands exactly what is required to meet the examiners’ concerns. • PhD Handbook 79 .• • • 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.
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. Sends copies to the RDC for approval • • • • • • • • • • • • • • • • 80 PhD Handbook . following nomination by schools including the Administrative Supervisor. 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. 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. 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. 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. or extensions beyond seven years (only granted in exceptional circumstances). or delegated authority. on recommendation from the SRC and the HoS Approves applications for concurrent study while studying for a PhD (must have support from supervisors and HoS) Speciﬁes. at the time of registration. on rare occasions. 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.Associate Dean (Students/Research) In each faculty an Associate Dean. where the HoS is already the primary supervisor. where good cause is shown.
sends all examiners’ reports and a recommendation on the outcome Receives written conﬁrmation from the internal examiner that minor amendments and revisions have been satisfactorily completed Conveys the decision of the RDC (in writing) on the acceptability of the thesis and sends copies of the examiners’ reports to the candidate. Candidate may appeal that decision to the RDC Scrutinises recommendations for potential examiners and forwards them to the RDC for appointment Ensures examiners appointed to examine the thesis are available to do so within the eight weeks as speciﬁed in the PhD Policy Acts as a conduit for consultation between examiners and supervisors Asks the internal examiner (or a New Zealand based examiner) to coordinate consultation between examiners. funding and grievances which have not been dealt with by the Administrative Supervisor or the HoS Approves applications for a change in the supervisory team from the Administrative Supervisor and informs the RDC of any changes Forwards recommendations from the Administrative Supervisor for external scholars to be appointed as supervisors (Honorary Research Associates). after appropriate consultation. where differing recommendations are made. to see if the differing recommendations can be resolved Reports on the examination of the thesis to the PhD Convener. 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 . Supervisor must notify the candidate who will have the opportunity to make a submission to the Associate Dean Decides. the candidate will be advised of the reasons for the decision and the changes necessary to make the thesis suitable for examination. If the Associate Dean so decides.Supervision • • Receives and monitors progress on the six-monthly reports Advises supervisors and candidates over matters relating to supervision. 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. the primary supervisor. 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.
Responsibilities are: Enrolment/Registration • • • Administers candidates registration. • • PhD Convener The PhD Convener chairs the Research Degrees Committee (RDC). assesses examiners’ reports and makes a decision concerning the examination result on behalf of the RDC. Administrative Supervisor and HoS.000 words in length (inclusive of scholarly apparatus) Ensures the candidate receives an Exit Questionnaire to evaluate their supervision upon thesis submission • • • Examination • Sends examiners a copy of the thesis and appropriate information detailing what is required from them Sends ofﬁcial notiﬁcation of examination results to candidates. • Faculty Ofﬁce (Student and Academic Services Ofﬁce) The appropriate Faculty Ofﬁce is the central processing and service centre for all administrative details related to the PhD candidature. primary supervisor. The PhD Convener approves the examination arrangements for PhDs in consultation with the relevant Associate Dean. copied or reproduced in accordance with the Library regulations. borrowed. 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. Sends the report of the oral examiner to the candidate. This requirement is delayed if the candidate has received the approval of the RDC to have access to the thesis withheld for a limited period of time Receives a statement from the candidate that the thesis does not exceed 100.• Reports on the examination as a whole. on behalf of the Associate Dean Ensures the candidate has deposited two copies of the ﬁnal copy of the thesis in the library. with a recommendation. to the RDS. after any telephone conversations with the overseas examiner as appropriate. fees. Responsibilities as follows: 82 PhD Handbook .
the operation of supervision procedures and research student completion rates • • PhD Handbook 83 . 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. any other doctoral qualiﬁcations. candidate or RDC Approves requests for oral examinations via the Associate Dean. • • Research Degrees Committee The Research Degrees Committee of the Academic Board has responsibility for ensuring that the processes concerning the PhD have an appropriate degree of consistency across the University. any unusual procedures for the oral examination. 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. PhDs. for a thesis larger then 100.Submission • Grants permission.000 words to be submitted for examination Examination • Receives a report from the Associate Dean of the examination of the thesis. 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. the recommendation from the examiners. Responsibilities as follows: Policy • Reviews policy related to Master’s Degrees by thesis (of 90 points and above). on behalf of the RDC. Where necessary. in exceptional circumstances. including Higher Doctorates. on behalf of the RDC.
Enrolment/Registration • Approves suspensions/extensions of candidates beyond 5 years of full or part-time study, on the recommendation of the Associate Dean Considers requests for the Withholding of Theses
Supervision • Receives reports from Faculty Ofﬁce on issues emerging from Exit Questionnaires so they can monitor supervision across the University
Examination • • • Approves and appoints three PhD examiners in consultation with the Associate Dean Considers appeals on the standard of a thesis for submission Reviews the reports of the Associate Dean and the examiners and makes a decision on the outcome of the examination process Receives a copy of the written conﬁrmation from the internal examiner to the Associate Dean, that minor amendments and revisions have been satisfactorily completed Appoints a substitute for the internal examiner if they cannot fulﬁl the role of consulting senior academics where there are disputes over revision Consents in exceptional circumstances, to a change in examiners when a thesis is re-submitted Decides, in cases where differences prevent the examiners agreeing on a joint recommendation, to proceed on a majority report. Alternatively, the RDC may ask for further efforts to reconcile the examiners or seek a recommendation from a referee to whom the thesis and the anonymised examiners’ reports is referred Recommends award of the degree
Oral Examination • Receives the oral examination report from the Associate Dean, reconsiders all the reports and makes a ﬁnal decision on the acceptability of the thesis on behalf of the Academic Board Conﬁrms any recommendation for a second oral after re-examination of a thesis.
Research and Postgraduate Studies Ofﬁce
The Research and Postgraduate Studies ofﬁce assists in the formulation of policy, supports research administration in the University (including scholarships), liaises with schools and faculties and provides advice and assistance in support of staff and student research. Responsibilities as follows: • • • Updates and publishes the PhD Handbook Provides information and advice on research policy Provides administrative support to the Research Degrees Committee and the University Research Committee Monitors and improves the administration of the PhD process Offers professional development programmes for supervisors
Offers support regarding problems relating to PhD candidacy if matters cannot satisfactorily be resolved at the School or Faculty level Receives reports from the Faculty Ofﬁce on issues emerging from Exit Questionnaires to incorporate into supervisor training Provides advice to supervisors about the appropriate form of agreement for supervisors arranging for the placement of candidates off campus.
Deputy Vice-Chancellor (Research)
The Deputy Vice-Chancellor (Research) is responsible for the strategic direction of research in the University. Responsibilities as follows: • • • • • • Holds responsibility for the development of the University’s research policies Appoints the PhD Convener Chairs the University Research Committee Approves any supervisory contracts with collaborating institutions Appoints external supervisors as Honorary Research Associates Advises the AVC (Academic) on academic grievances concerning PhD candidacy.
Degree of Doctor of Philosophy Statute Research Policy Group
The PhD Statute sets out the regulations governing the admission, enrolment, registration, supervision, and examination procedures for the PhD degree at Victoria University of Wellington. It also stipulates the criteria on which the award of the degree will be based. This Statute must be read in conjunction with the PhD Policy: Approving, Enrolling, Supervising and Examining PhD Candidates.
This is a University-wide statute.
For purposes of this Statute, unless otherwise stated, the following deﬁnitions shall apply: Administrative Supervisor: The person in the School with responsibility for administering the candidacy. The Administrative Supervisor must ensure that the candidate and the supervisors follow the regulations for the PhD Degree. Associate Dean: The person designated by the Dean of the Faculty for the purpose of this Statute. Full-time PhD Student: Students are deemed to be full-time when they are able to devote a minimum of 30 hours per week to the thesis, on average, over the year. This workload excludes statutory holiday periods. Half-time PhD Student: Students who cannot work on the thesis for the amount of time speciﬁed above are deemed to be half-time students. PhD Convener: Convener of the Research Degrees Committee. Research Degrees Committee (RDC): The University body responsible for the oversight of the PhD and Master’s by Thesis. Supervisor: A supervisor is a person who is appointed to provide academic and administrative guidance to the candidate during their enrolment for the degree.
Statute Content and Guidelines:
A candidate for the Degree of Doctor of Philosophy shall, before enrolment: (i) have qualiﬁed for admission to a Bachelor’s or Master’s degree with First or Second Class Honours or a Master’s degree at an equivalent standard to First or Second class honours at a university in New Zealand; or
the minimum period of registration will be 36 months.(ii) be currently enrolled in a Master’s by thesis. or (iii) produce evidence to the satisfaction of the Associate Dean of adequate training and ability to proceed with the proposed course for the degree. Every year of enrolment in May and November. and will not usually exceed twelve months. the date of registration shall be deemed to be the date of ﬁrst enrolment for the degree. (b) 4. This excludes any period(s) of suspension. where good cause is shown. including supervision and the library. 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. (b) Candidates must not only show themselves to be qualiﬁed but must also be accepted by the Head of School and relevant Associate Dean. 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. PhD Handbook 87 . During suspension of enrolment the candidate will pay no fees and will have no access to university services.1 (a) (ii). On application from a candidate. 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. Where a candidate is accepted under clause 4. terminate the enrolment. the submission times will be calculated on a pro rata basis. If progress is reported to be unsatisfactory. subject to any submission or appeal a candidate may make. 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. All calculations will exclude any periods of suspension. (b) (c) (d) (e) 4. (c) 4. for a period of not less than one month. a candidate shall be provisionally registered as a candidate for the Doctor of Philosophy. the total period of suspension shall not usually exceed twelve months. measured in monthly increments. the Associate Dean may grant a suspension of enrolment. the Associate Dean may. Extensions to the due date of the thesis may be granted. the minimum period of registration will be 24 months and with halftime enrolment. Termination.2 Conditions of Enrolment (a) Initially. Extensions shall be granted only in exceptional circumstances. Once full registration has been conﬁrmed. In the case of candidates who have been permitted to change between full. and not more than twelve months. During a student’s candidature.and half-time. With full-time enrolment. on application to the Research Degrees Committee.3 Re-enrolment. through the Associate Dean. otherwise the candidate’s enrolment will be terminated.4 Course of Study (a) The course of study for a PhD consists of a programme of research and the writing of a thesis carried out under supervision. the 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 candidate must provide a detailed statement of each author’s contribution to such work. Where any of the published material included in clause 4. or on the recommendation of the examiners after the submission of the thesis. (c) 4. Where any work relevant to the thesis has been published. One of these examiners will normally be from outside New Zealand. appointed by the Research Degrees Committee (RDC). The Associate Dean may on the application of the candidate or the supervisors at any time before the submission of the thesis. it will be awarded upon the deposit of copies of the ﬁnal thesis in the University Library in accordance with the Library Statute. make a report on the whole examination to the RDC. The Associate Dean shall.5 Examination (a) At any time after the minimum period of enrolment. This contribution may include critical. as long as the report constituting the thesis is written under supervision during the period of registration. (b) (c) (d) (e) (f) (g) (h) (i) 88 PhD Handbook . The thesis shall be examined by three examiners.12 of the Library Statute). part of the research programme may be carried out at locations outside the University. Any application for Withholding of Theses should be made as early as possible in the research project and well before submission. 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. (iii) The thesis may include the candidate’s previously published work or material based on previous research. who will determine whether the degree be awarded.5 (b) is co-authored. but the end result must be a single integrated study. a statement shall be included showing how the published work relates to the thesis. Where the decision has been made to award the degree. The format of the thesis is determined by the Library Statute (see Clause 4. theoretical or creative components. 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. In exceptional circumstances the Research Degrees Committee may grant permission for a longer thesis to be submitted for examination. (ii) The thesis must be a body of work that demonstrates the candidate’s ability to carry out independent research. (b) The thesis shall not exceed a total of 100.000 words in length (including scholarly apparatus). experimental. or accepted for publication at the time of submission. approve the enrolment of the candidate in a subject for an appropriate Master’s degree instead of the degree of Doctor of Philosophy. a candidate may submit their thesis and apply for examination.(i) The research will normally be conducted at Victoria University of Wellington. after consultation with the examiners. but with permission of the Associate Dean. and contact details of co-authors (see the Recognition of Authorship Policy). and constitutes a signiﬁcant and original contribution to knowledge or understanding. The principal supervisor or co-supervisor must not be an examiner.
References: Library Statute PhD Policy: Approving.(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. (ii) In any other case. 5190 PhD Handbook 89 . 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. None Appendices: 7. Supervising and Examining PhD Candidates Recognition of Authorship Policy Withholding of Theses Procedure 6. notwithstanding any other provision in the Statute for that Master’s degree. Approval Agency: University Council 8. Theresa Sawicka Research Manager Extn. provided that the candidate has been enrolled for the degree of Doctor of Philosophy for that period. Statute Sponsor: Deputy Vice-Chancellor (Research) 10. 5. Contact Person: The following person may be approached on a routine basis in relation to this statute: Dr. 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. Enrolling.
90 PhD Handbook .