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Preface Staff Holding Administrative Positions Abbreviations 1.0 Introduction 1.1 1.2 Aims of the PhD Handbook Staff involved in the Management of PhDs 1.2.1 The Supervisors 1.2.2 The Administrative Supervisor 1.2.3 The Head of School 1.2.4 The Postgraduate Coordinator/Director 1.2.5 The School Research/Postgraduate Committee 1.2.6 The Associate Deans 1.2.7 The Faculty Ofﬁce 1.2.8 The PhD Convener 1.2.9 The Research Degrees Committee 1.2.10 The Research and Postgraduate Studies Ofﬁce 1.2.11 The Deputy Vice-Chancellor (Research) 2.0 Background to the PhD 2.1 2.2 3.0 3.1 3.2 3.3 3.4 3.5 3.6 3.7 4.0 4.1 4.2 4.3 4.4 5.0 5.1 5.2 5.3 5.4 5.5 The Place of the PhD Degree in the University Academic Requirements of PhD Study Initial Approach to the School and the University Developing a Proposal Provisional Registration The Research Period Writing-Up and Submission Examination Flowchart Summary Initial Proposal Research involving Conﬁdential or Sensitive Material Research Proposals from Scholarship Holders External Party Involvement in the Support of Research Students The Appointment of Supervisors The Administrative Supervisor Changes to the Supervisory Team Supervisor Training External Supervisors 7 8 9 10 10 10 10 10 11 11 11 12 12 12 12 12 12 13 13 13 15 15 15 15 15 16 16 17 18 18 18 19 19 20 20 20 20 20 21
An Outline of the Process
13.0 Formal Admission and Registration Requirements 6.1 Assessing the Student 7.3 6.8 6.14 Date of Registration 126.96.36.199 Supporting the Student 7.18 Registration and Other Work 6.1 Full Research Proposal 6.2 Providing Academic Guidance 7.9 Admissions Criteria Conversion of a Master’s Degree to a PhD International Students Applications to Register Approval of Provisional Registration Enrolment and Payment of Fees Annual Re-enrolment Attendance at University and Study at a Distance Employment 22 22 22 22 23 23 23 23 23 24 24 24 26 26 26 27 27 28 28 28 29 29 29 29 29 30 31 31 31 31 31 32 32 32 32 32 33 33 33 34 34 6.10 Facilitating Administrative Compliance 7.9 Encouraging Academic Contacts 7.20 Concurrent Study 6.2 6.3 Scheduling Meetings 7.6 6.2.2 The Role of Supervisors The Responsibilities of Supervisors 7.16 Notiﬁcation of Changes to Registration 6.2.13 Conﬁrmation of Full Registration 6.2.12 Move from Provisional to Full Registration 6.4 6.21 Change of Title 6.17 Maintenance of Registration 6.22 Conversion of a PhD to a Master’s Degree 7.10 Period of Overseas Research 6.2.6 Identifying Problems 7.2.5 6.2.12 Encouraging Publication 2 PhD Handbook .2.2.3 Approval 6.1 6.1 7.0 Supervision Protocols 7.7 6.7 Six-monthly Progress Reports 7.2.15 Duration of Registration 6.2 Presentation of the Proposal 6.19 Extensions and Suspensions of Registration 6.13.5 Providing Feedback 188.8.131.52 Assisting Examination Arrangements 7.2.4 Milestones 7.11 Collaborating Institutions 6.
184.108.40.206 Lending Services 9.2.1 8.3.3 The Responsibilities of Candidates 7.Te Pataka Korero 9.1 Planning the Research 220.127.116.11.4 Inter-Library Loan and Document Delivery 9.2 Actively Pursuing the Research 18.104.22.168 Identifying Problems 7.3 The University Library .3 Research Seminars 22.214.171.124 Accessing the Network 9.4 8.1 Introduction 9.3.6 Other Libraries 10.2 Range of services 9.3 Participating in University Intellectual Life 7.1 Evaluation of Research Supervision Human Ethics Committee Human Ethics Approval for Research Animal Ethics Committee Authorship and Acknowledgement Guidelines Appropriate Conduct in Research School Resources to Support PhD Candidates 9.9 Publishing 7.3.3 Registration as an ITS Client 126.96.36.199 Specialised Collections 9.0 Research Advice 10.3 8.8 Submitting the Thesis 7.1.1 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 .6 Meeting Ethical Guidelines 7.3.0 8.2 Statistical Advice 10.4 8.5 9.1 Student Learning Support Service 10.3.2.5 Facilitating Administrative Compliance 188.8.131.52.2 Information Technology Resources 184.108.40.206 ITS Student Help Desk Service 9.2 Minimum Resources Agreement 9.0 9.1 Responsibilities of the Head of School 9.2.2 8.3 Financial Assistance 9.7 Giving Notice of Submission 7.2 Reference and Research Services 9.13 Support for Supervisors 7.
220.127.116.11 Paper 13.1 Temporary Binding for Examination 13.3 Seeking Assistance Outside the Faculty 12.2 Citation style 18.104.22.168 Computer Use 13.2 General Principles 12.2.2 PhD Submission Scholarships 11.4.9 Specimen Layout of Title Page 22.214.171.124 Photographic and Colour Copy Illustrations 13.2 Seeking Assistance from the Associate Dean 12.4 Availability and Withholding of Access to Theses 13.0 Resolution of Problems 12.2.1 Seeking Assistance from the Administrative Supervisor 126.96.36.199 Research Funding and Financial Support 11.3 Binding 13.1 Layout 13.4 Withholding Access to Theses 13.3 Doctoral Completion Awards 11.3 Copyright and Intellectual Property 13.2.7 Length 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 .2.1 Introduction 13.4.2 Guide to the Presentation of Theses 13.2 Deposit 13.3 Format 13.1 Public Availability of Theses 188.8.131.52 Pagination 13.4.1 Appointment of Examiners 14.5 Research Grants 11.6 Ofﬁcial Information Act 1982 14.4 Externally-funded Scholarships and Grants 11.3.0 The PhD Examination 14.11.1 Introduction 12.0 The Thesis 13.1 University Scholarships 11.7 Tutoring and Demonstrating 12.4 Resolving Administrative Difﬁculties 13.6 Loans and Allowances 11.3 General Guidelines 12.2.4 Lodging a Formal Grievance 12.2 Permanent Binding of the Thesis 13.
3 Counselling Service 16.5.9 Student Health Service 16.11 Victoria Interntational 16.12 Alumni Association 16.7 MAI Ki Poneke 16.1.2 Revisions 14.0 The University Community 184.108.40.206 Student Services Group 16.1.3 Collegiality 15.1.7 Conduct of Oral Examination 14.9 Minor Amendments and Revisions 220.127.116.11.1.3 Formal procedures 16.4 Childcare 16.2 Student Union Complex 16.1 The Statute on Student Conduct 15.3 Submission 18.104.22.168 Student Union Building 16.8 Financial Support and Advice 16.10 Student Learning Support Service 16.14.10 Revision and Re-Submission of Thesis for Second Examination 15.5 Rights and Obligations Regarding Conduct 15.5 Examination of the Thesis 14.2 Values and Ethos 15.5 Disability Support Services 16.2 Career Development and Employment 16.1.8 Report on the Oral Examination 22.214.171.124 Arrangement of Oral Examination 14.1 Minor Amendments 14.1.2 Recreation Centre References Appendix 1: Summary of Tasks and Responsibilities Appendix 2: Summary of Role Responsibilities Appendix 3: Statute for the Degree of Doctor of Philosophy PhD Handbook 59 61 62 63 63 63 64 64 64 65 65 66 66 66 66 67 67 67 68 68 69 69 69 69 70 70 70 70 70 71 71 71 72 72 72 72 72 73 74 75 77 86 5 .3 Disputes about Revision 14.4 Examination 14.0 University Student Services 16.4 The VUW Postgraduate Students’ Association 15.2 The Policy on Staff Conduct 15.1 Introduction 15.6 Kaiwawao Maori/ Maori Student Services Adviser 16.9.1 Accommodation Service 126.96.36.199 Court of Convocation 16.5.1.
nz.victoria. 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.International Students If you are an international student who is not currently enrolled. there are things you will need to know before you read the PhD Handbook. Please contact Victoria International www.pdf 6 PhD Handbook .nz.ac. and a forum for students to post details about their research online www.ac.ac.nz/home/ about/newspubs/universitypubs/phd_handbook.victoria.ac.nz/ international/.ac. Web access to policy information and the guidelines referred to in the PhD Handbook can be viewed at: www.victoria.aspx The web version of the Handbook is likely to contain any recent updates or changes and can be downloaded directly at www. Comments and suggestions for improvements are welcome: researchofﬁce@vuw. As well as linking directly to relevant sites. it offers practical advice and support. email email@example.com/postgradlife The PhD Handbook was updated by the Research and Postgraduate Studies ofﬁce in 2008.victoria.nz/home/about/policy/research. tel 64 4-463-5350.
Neil Quigley Deputy Vice-Chancellor (Research) PhD Handbook 7 . PhD theses are evaluated by international standards. analysis. study undertaken for your PhD will provide you with what could be termed ‘extrinsic’ opportunities to improve yourself professionally. and verbal presentation skills. These are important issues. You will develop and demonstrate skills in research. Many of the rewards of study for the PhD degree are what we might call ‘intrinsic’. These skills provide the basis for further academic work and they are also likely to be invaluable in a wide range of other occupations. The information provided in the Handbook is governed by the PhD Statute and policy of the University. and that it will be enjoyable. We know from the research that students are more likely to complete their degree if they develop academic and social connections with their peers.Preface To the Candidate On behalf of Victoria University of Wellington. intellectually stimulating and ultimately. written communication in the language of your discipline. 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. they are a consequence of your commitment to undertake intensive original work in your chosen ﬁeld of study. so the award of this degree is a mark of truly global academic distinction. theorising. which is a distinctive feature of study for this degree. often by examiners from around the world. The PhD Handbook is an important dimension of the support we provide for all our students enrolled at doctoral level. In addition to these intrinsic beneﬁts. 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. 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. I would like to welcome you to your PhD studies at this institution. The Handbook offers you and your supervisor guidance on many aspects of the process of supervised research. as well as spending serious and concentrated time on their studies. rewarding. pastimes and forms of community service. Parts of the Handbook draw attention to the amount of effort and time you will have to commit to completing your PhD. organising your work and time.
x9569 Humanities and Social Sciences. Professor Laurie Bauer. Professor Tony Angelo. Room 205 Facilitator and Disputes Adviser. x5144. Lois Baillie. Professor George Baird.Staff Holding Administrative Positions At the time of publishing. Student Union Building. x5191. Philippa Hay. Jenny Calder-Smith. Sandra Crews. Kristina McGuiness-King. Professor Luanna Meyer. Extension numbers beginning 8xxx may be reached by calling the automated attendant on 0-4-463 5233. x7493 Associate Deans and Delegated Authorities Architecture and Design. x5676. x8068.nz x6984. Johann Barnard. Alison Munro.ac. Faculty Ofﬁces Architecture and Design. x5023. 14 Wai-te-ata Road. Shona de Sain. Convener of the Research Degrees Committee. Jenny Christie. x6324. x5190 Postgraduate Research Coordinator. Robert Stout Building. Postgraduate Coordinator Commerce and Administration. x5619 Research Manager. Professor of Research Humanities and Social Sciences. Individual staff email addresses follow the form: ﬁrstname. Professor Sally Davenport. x6231. www. x6217 Commerce and Administration. Deputy Dean Law. Ground ﬂoor.crews@vuwsa. Sandra France. these details are correct. then dialling the extension required.org. x9598. Associate Dean (Students) Managers. x5192 Law. x6975 Science. but users should refer to the website for any updates. x5087 Education. Professor Neil Quigley PhD Convener. Deputy Vice-Chancellor (Research). Associate Dean (Graduate Studies and Research) Education. Dr Theresa Sawicka. PhD Adviser Science. Associate Professor Allison Kirkman. Ofﬁce of Assistant Vice-Chancellor (Academic). sandra. Jon Everest.lastname@vuw. Room 207 VUWSA Education Coordinator. x6112 Scholarships Manager.org.vuwsa. x5980 Other advice and support Senior Academic Policy Adviser.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.nz 8 PhD Handbook .
Supervising and Examining Candidates Research Degrees Committee (a committee of the Academic Board) Student Computing Services School Research/Postgraduate Committee (the committee in each school responsible for advising the HoS on research and postgraduate matters) University Research Committee University Teaching Development Centre Victoria University of Wellington Victoria University of Wellington Students’ Association URC UTDC VUW VUWSA PhD Handbook 9 .Abbreviations AVC (Academic) CRI DVC (Research) HEC HoS PG Coordinator PGSA PhD Convener PhD Statute PhD Policy RDC SCS SRC Assistant Vice-Chancellor (Academic) Crown Research Institute Deputy Vice-Chancellor (Research) Human Ethics Committee Head of School Postgraduate Coordinator Postgraduate Students’ Association Convener of the University’s Research Degrees Committee Statute for the Degree of Doctor of Philosophy PhD Policy: Approving. Enrolling.
The appointment of supervisors is outlined in Chapter 5.2. The descriptions given here are introductory and more detailed information is provided later in the Handbook and in the appendices. or both supervisors may ‘co-supervise’ a candidate. for ensuring that six-monthly progress reports are provided). The most recent versions of these documents may have signiﬁcant differences from the Handbook and should be referred to at www. and the ﬁrst source of advice beyond the supervisors for the candidate.2 Staff involved in the Management of PhDs Many staff are involved in the management of each PhD candidacy. The person who fulﬁls the role of the Administrative Supervisor varies from faculty to faculty. 1.victoria. inform PhD candidates of the resources and services available at the University to support their research. 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 Handbook is published every two years.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.2 The Administrative Supervisor In addition to two academic supervisors. The Administrative Supervisor is normally the ﬁrst source of advice for the supervisors. 1.ac. and the role of supervisors is discussed more fully in Chapter 7. but the PhD Policy and Statute are updated more frequently.0 Introduction 1.nz/home/about/policy/research. 10 PhD Handbook .1 Aims of the PhD Handbook The aims of this handbook are to: • provide PhD candidates. The Administrative Supervisor is responsible for the School/Faculty paperwork involved in the candidacy (e.2.g. The supervisors may be appointed as ‘primary supervisor’ and ‘secondary supervisor’. each PhD candidate will have an Administrative Supervisor who is usually the head of the school of registration. PhD supervisors. Heads of Schools and Associate Deans with guidelines for the academic management of the PhD degree. Each candidate works under the guidance of two supervisors.1. School Postgraduate Coordinators often fulﬁl this role and they also serve as the initial point of contact for potential PhD students.aspx 1. 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.
the HoS will normally be the Administrative Supervisor. Schools appoint Postgraduate Coordinators (PG Coordinators) to manage postgraduate matters. PhD Handbook 11 .4 The Postgraduate Coordinator/Director The Postgraduate Coordinator in each school is responsible for providing information and guidance to prospective and enrolled PhD students and supervisors within a subject area.2. overseeing acceptance of a candidate within a school. Education and Science. 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. Regardless of whether the HoS has this role. this task is delegated to another member of staff.5 The School Research/Postgraduate Committee The School Research/Postgraduate Committee (SRC) is responsible for management of PhD candidature in the School. providing candidates with university and additional school-speciﬁc criteria for progressing from provisional to full registration. ensuring that the candidate has two supervisors. referring prospective candidates to possible supervisors. the HoS is assisted by a School Research/Postgraduate Committee. ensuring that records are kept and six monthly progress reports are monitored. responding to student queries and concerns. overseeing the transfer of a candidate from provisional to full registration.2. ensuring that the candidate has a copy PhD Handbook. 1.3 The Head of School The Head of School (HoS) role varies from faculty to faculty and from one school to another. Roles include vetting thesis proposals and developing guidelines in addition to the University criteria for the movement from provisional to full registration. providing advice and support for supervisors.1. 1. The HoS (or school administrator) will be able to direct students to the appropriate PG Coordinators. In some cases.2. which vets thesis proposals and provides advice on issues of postgraduate student management. Speciﬁc responsibilities include: • discussing potential research projects with a candidate and making decisions about their suitability. • • • • • • • • • • • • The PG Coordinator may also run research seminars and be a member of the SRC. In each school. In the Faculties of Humanities and Social Sciences. vetting initial research proposals in conjunction with the School Research Committee (SRC). liaising with the Associate Dean over progress. and managing all administrative procedures with school administration staff.
The Faculty Ofﬁce should be able to provide any information required about these administrative processes .1. 1.10 Research and Postgraduate Studies Ofﬁce The Research and Postgraduate Studies ofﬁce assists in the formulation of policy. In all faculties. receipt of the thesis. The Associate Deans (see page 8 for contact details) will normally consult with supervisors and Administrative Supervisors on such matters.see page 8 for contact details. liaises with schools and faculties and provides advice and assistance in support of staff and student research. fees. 12 PhD Handbook . Administrative Supervisor or the Head of School. and should normally be the ﬁrst person to be approached with any matters relating to supervision. the Associate Deans have responsibility for approving provisional registrations. funding and grievances which have not been dealt with by the PG Coordinator. They also have an advisory role.2. grants extensions and suspensions for candidates over ﬁve years and makes a decision concerning the examination result on behalf of the RDC.2. assesses examiners’ reports.8 The PhD Convener The Research Degrees Committee (RDC) is convened by the PhD Convener.victoria.nz/research-ofﬁce/ 1. conﬁrming registrations and granting extensions and suspensions.11 The Deputy Vice-Chancellor (Research) The Deputy Vice-Chancellor (Research)(DVC (Research) is responsible for the development of the University’s research policies. receipt of six-monthly progress reports. the appointment of Honorary Research Associates as external supervisors and chairs the University Research Committee. supports research administration in the University (including scholarships).2. The PhD Convener approves the examination arrangements for PhDs in consultation with the relevant Associate Dean.2. The RDC approves the examination arrangements for PhDs in consultation with the relevant Associate Dean. 1. and ofﬁcial notiﬁcation of results.ac. Further information is available at http:// intranet. who is appointed by the Deputy Vice-Chancellor (Research).9 The Research Degrees Committee The Research Degrees Committee (RDC) of the Academic Board has responsibility for ensuring that the processes concerning the PhD are appropriately consistent across the University. 1. They may also be consulted about problems relating to PhD candidacy if matters cannot satisfactorily be resolved at the School or Faculty level. sending the thesis to examiners. The areas of responsibility of the Faculty Ofﬁce include the administration of registration.6 The Associate Deans In each faculty an Associate Dean or delegated authority is responsible for the approval of all administrative decisions and for all academic matters related to the PhD degree programmes of candidates within their faculty. The ofﬁce can provide information and advice on university research policy and procedural matters that may arise in the course of a PhD candidature.2. Academic grievances concerning PhD candidacy are dealt with by the Assistant Vice-Chancellor (Academic) who will consult with the DVC (Research). considers examiners’ reports and makes a decision concerning the examination result. extensions.7 The Faculty Ofﬁce The appropriate Faculty Ofﬁce is the central processing and service centre for all administrative details related to the PhD candidature.2. 1. suspensions.
and good writing ability. but who are proposing to write their thesis in English. only if the University can meet the candidate’s research needs will the relationship be mutually beneﬁcial. These documents are available on: www. staff of other institutions. A copy is held in the main collection of the Library.victoria. in approved circumstances. However. candidates may also be admitted on other criteria at the discretion of the Associate Dean on the recommendation of the School. It is particularly important for candidates whose ﬁrst language is not English. prospective candidates need to be aware of likely problems. ability to evaluate one’s own work. A full description of the University’s mission and values is set out in the University Charter. While it is possible to succeed in spite of difﬁculties in some of these areas. willingness to work within the scholarly tradition.0 Background to the PhD 2. 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. including the provision of an environment which fosters postgraduate students and postgraduate training. The PhD candidature involves a commitment from candidate. 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.ac. Although it may seem obvious.2 Academic Requirements of PhD Study Candidates for the PhD are normally expected to have obtained a ﬁrst or second class pass in an Honours degree or a Master’s degree. and are advised to develop strategies to minimise their impact. Research is fundamental to the University.nz/council/publications. supervisors and the University which extends over some years. Heads of Schools hold copies of the Charter and the current Strategic Plan. ability to work independently. thus enhancing the chances of success. persistence in the face of setbacks. Stable ﬁnancial and personal circumstances are also important factors in success. willingness to respond effectively to advice and criticism. if the Library has adequate resources to support the research. It is also expected that candidates will make a contribution to the ongoing intellectual life of the School in which they are registered. These requirements are for the protection of both the candidate and the University. This includes taking an appropriate part in school or faculty PhD Handbook 13 . to demonstrate proﬁciency in writing English. These are the standards which will be used in the examination of the thesis. The enhancement of research is recognised in the University as a vital element in its national and international responsibilities.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.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. The University acknowledges a responsibility to ensure that candidates for the PhD degree work in an appropriate intellectual and academic environment. and if the proposal meets the University’s ethical standards. it is also necessary for a candidate to be sure that they have the time available to undertake the research. 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. htm 2. the PhD degree is a key part of the University’s research activity and training. Other qualities which have been found to be important to success include the following: self-discipline (particularly in relation to work habits).
Permission is required to enrol in any additional papers (see 6. to obtain background necessary to aspects of their PhD research. The results from such papers do not form part of the ﬁnal assessment of the PhD. The minimum period of enrolment for half-time candidates is 36 months (PhD Statute 4. Occasionally a school will ask a candidate to undertake certain papers. it takes at least 36 months to complete a satisfactory research project and write it up. 14 PhD Handbook . At Victoria University of Wellington. both formal and informal. the total period for completion will. For half-time candidates. of course. Candidates can expect that schools will make such opportunities for participation available. and exchanging ideas with staff and other students through seminars. candidates are discouraged from attempting any other academic study together with a PhD because of the demands of a PhD thesis.activities.2 (b)). email and other forms of informal discussion. The minimum period of enrolment is 24 months but in the majority of cases.20). be longer. or simply to attend certain lectures. Apart from such papers as the School may consider necessary. the PhD is assessed entirely on the presented thesis.
as well as supervisors.3 Provisional Registration When the proposal is accepted.victoria.3. a curriculum vitae. 3. The VUW website www. scholarships. and whether the School is able to provide adequate supervision and resources.10). the opportunity to take stock of progress. industry sponsorship etc.ac. Such written reports allow a better assessment of progress and can also serve as the basis for the ﬁnal thesis. the prospective candidate will be invited to submit an initial research proposal. These give candidates. to maintain close contact with. They are encouraged to try to develop an organised work system. the candidate will be registered provisionally for a period of 12 months. as much detail as possible about the proposed area of research. staff and their research areas and contact details. 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. PhD Handbook 15 . During the period of enrolment. for example.2 Developing a Proposal Once agreement has been reached that the project is likely to prove viable. but candidates should also prepare themselves for moments when they feel overwhelmed. See Chapter 8 for information regarding ethical approval.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. six-monthly progress reports are required. particularly showing evidence of prior research experience. candidates will need to supply: • • • • academic background information. This will enable the School to make an initial assessment of whether a candidate has a suitable academic background.13).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. registration will be conﬁrmed within 15 months (see 6. Victoria University of Wellington (VUW) schools have web pages detailing degrees offered. 3. and that the School is able to provide adequate supervision and resources. and seek advice from. There are likely to be periods of great progress. Student Learning Support Services offer seminars to support postgraduate research students (see 16.0 An Outline of the Process 3. unmotivated and unable to clearly map out the next step.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. and details of any funding which has been obtained or which is being sought. Provided that satisfactory progress is made and that university requirements are met. Prospective candidates should begin by making informal contact with the School concerned.12 and 6.1. Students doing experimental work are also encouraged to keep log books documenting their work. their supervisors. This may be backdated to include the time spent developing the proposal. At this stage.
then any necessary corrections will be made. supervisors should review the thesis before application for examination is made. When the candidate indicates the thesis is complete. It is possible the thesis may be rejected completely. they may recommend to the Associate Dean that the thesis is not acceptable for examination. The writing-up process concludes when the candidate decides that the thesis is ready for examination. If the degree is to be awarded. The procedure following the examination will depend on the result of the examination. the candidate will decide that the research phase has proceeded to the point where writing-up should begin.5 Writing-Up and Submission In due course. the candidate and supervisors should be focusing on writing-up. including word limits. Where the Statute has changed. 16 PhD Handbook . soft bound and submitted for examination.6 Examination The thesis should then be printed. The agreement of the supervisors does not imply a successful result from the examination process. in which case the candidacy will be terminated. the thesis will be re-submitted and the examination process will begin again. If the thesis fails to meet the standard required of a PhD thesis. Candidates should consult section 4. If the thesis requires substantial re-writing. a timeframe will be set and the candidate will be given guidance on the required re-writing. This review period should not usually exceed four weeks. 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. Two copies (one hard bound and one electronic) will then be deposited in the Library. the candidate may be offered a Master’s degree. The agreement of the supervisors is not required.3. While further research may be prompted by this process. candidates may elect to complete under the regulations that existed at the time of enrolment subject to the conditions outlined in the Personal Courses of Study Statute section 22 (a) to (c). 3. If the supervisors are of the opinion that the thesis is incomplete.14 of the PhD Policy for the regulations on submission. although it is usual for supervisors and candidate to reach mutual agreement on this. and the thesis hard bound. In due course. in which case the candidate should continue working on the thesis until it is acceptable. The examination procedures are fully speciﬁed in Chapter 14.
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. Approval of examiners Candidate gives notice of intention to submit Supervisor suggests examiners and checks with candidate 2.7 Flowchart Summary PhD Handbook School nominates examiners Associate Dean approves examiners PhD Convener confirms examiners Faculty Office monitors examiners’ progress Examiners send reports to Faculty Office Examiners agree? 1. the Faculty Office informs the PhD Convener of completion and arranges graduation .Process of submission of a PhD thesis at Victoria University of Wellington 3.
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. Candidates need to discuss the possibility with their supervisors.3 (b)).0 Research Proposals 4. the issues should be addressed at the outset of the project. the candidate should be directed to the University’s ethical guidelines.ac.4.nz/research%2Dofﬁce/postgraduate/minimum-resources. this must be negotiated with the Head of School (HoS) when the student ﬁrst enrols and recorded in a Research Memorandum. If the HoS approves the recommendation from the SRC. If a candidate has not yet received the PhD Handbook the PG Coordinator will provide them with a copy. the Research Memorandum. The topic must be suitable to meet the academic requirements of a PhD. The School must also ensure that the candidate will be offered supervision during periods when supervisors are on research and study leave or in the event that a supervisor may take up employment elsewhere. The initial research proposal (minimum one page) should detail the project.aspx Where students require additional resources for the project. Further advice can be found in 13. the applicant. The School Research/ Postgraduate Committee (SRC) will then scrutinise the initial research proposal and Research Memorandum.nz/research-ofﬁce/forms-and-templates. If a research proposal is likely to result in a request for the withholding of access to the thesis. Candidates should always enter into their topic in a spirit of genuine enquiry. ac. and the SRC recommendation to the Faculty Ofﬁce for ﬁnal approval by the Associate Dean.1 Initial Proposal The initiative in seeking PhD enrolment usually lies with the candidate. may very well ﬁnd that their topic is not a good choice. It is the HoS’s responsibility to approve the School taking on a PhD candidate. and make a recommendation to the HoS. Special care should be taken where a project requires access to conﬁdential information from outside the University. who will refer them to possible supervisors. An Outline of the Application Procedure for PhD Candidates can be found at http://intranet. See also Chapter 8 of this handbook. all the supervisors and the HoS complete the application form and then return the form.victoria. This document becomes part of the record of registration (see the PhD Policy section 4.4.aspx 4. If it is clear that ethical approval is required from the Human or Animal Ethics Committee.victoria. the initial proposal. The next step is to discuss the potential project with the Postgraduate Coordinator (PG Coordinator) of the relevant discipline. Those who enter into a topic thinking they already know the answers to their central questions or who are emotionally committed to an outcome. 18 PhD Handbook . A request to withhold access to a thesis is a formal process and approval is not lightly given. Prospective candidates are advised to think carefully about the kind of research project to which they would like to commit themselves. but also the general public. 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. The School concerned must be satisﬁed that it is able to provide appropriate supervision and resources for the proposed topic. the method of study and any ethical considerations.
government bodies or the private sector. from the day of the candidate’s arrival in New Zealand. The guidelines for managing external party involvement are available at http://intranet. This involvement may include cosupervision. support for research and support for the student.4 External Party Involvement in the Support of Research Students External parties may include researchers from other universities. in some instances. candidates must be able to start work on their projects as soon as they arrive or they may be disadvantaged by the scholarship coming to an end before the project is completed. research institutions (e.ac. provision of data.aspx PhD Handbook 19 .victoria. Crown Research Institutes). The PhD Policy requires that the particular conditions governing sponsorship and supervisory arrangements between all parties are speciﬁed clearly in a written agreement at the outset of a candidature in order to reduce the risk of any future misunderstandings. The holding of a scholarship is always conditional upon the scholarship recipient gaining enrolment as a PhD student at Victoria University.4.g. As scholarships may be paid. 4.3 Research Proposals from Scholarship Holders Overseas candidates who are scholarship holders must formulate a proposal before enrolment is approved.nz/research-ofﬁce/forms-and-templates.
20 PhD Handbook . Supervisors are appointed by the Associate Deans or delegated authorities on behalf of the Academic Board. 5. A PhD may be interdisciplinary and in such cases it is desirable for supervisors to be appointed from each discipline. In such cases the responsibility should be delegated to another staff member. However. Changes in supervision. but who are already experienced supervisors. responsibility lies with the HoS with which the student is most closely associated. organised by the Research and Postgraduate Studies ofﬁce. Staff who are new to the University. are expected to attend the training session dealing with Victoria University’s statutes and policies. The role and responsibilities of supervisors are discussed in Chapter 7. must be notiﬁed to the Research Degrees Committee by the Associate Dean. it is the Head of School’s responsibility to ensure they attend a professional development programme for supervisors. The primary supervisor will normally be a full-time teacher at the University in the sense of the Victoria University of Wellington Act 1961. 5.5. The changes take effect on the Administrative Supervisor’s receipt of the Associate Dean’s approval. Only those staff who have a doctorate and/or appropriate experience and training can be appointed as primary supervisors. which compromise the ability of the former supervisor to take any role in the assessment of the student. in individually-argued cases.0 Supervisors 5. Two supervisors will be responsible for academic guidance and the third will be responsible for administration (Administrative Supervisor).1 The Appointment of Supervisors Each candidate will be assigned three supervisors. the supervisor and Head of School need to ensure that alternative supervision arrangements are in place. There will be some cases in which it will be inappropriate for the HoS to assume this role. following nomination by schools.2 The Administrative Supervisor The Administrative Supervisor is generally the Head of School (HoS) in which the student is enrolled. people holding appointments such as research fellowships. Senior Lecturers. Readers and Associate Professors. One academic supervisor may be appointed as the primary supervisor (the other becomes the secondary supervisor) or both academic supervisors may ‘co-supervise’ a candidate. In the case of an inter-disciplinary thesis involving more than one school/programme.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. If the primary supervisor is absent from the University for any period longer than a month.3 Changes to the Supervisory Team If changes are required to the supervisory team. This includes Professors. One reason for this could be that they are the primary supervisor. Lecturers or. 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. candidates will be registered with only one school. the Administrative Supervisor seeks approval from the Associate Dean by providing a rationale for the change and the appointment of new supervisors. 5.
for example a Crown Research Institute.nz/research-ofﬁce/postgraduate/forms-and-templates. ac. including the completion of six-monthly reports. Responsibility lies with the Primary Supervisor to ensure that the candidate and all supervisors are fully aware of the agreed responsibilities. Guidelines for supervisory arrangements with external parties outside the University can be obtained from the Research Ofﬁce website. These can be found on the policy database on the University website. It will also establish the terms and conditions under which it is intended that the project proceed. 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. the candidate and the external party must be reached before the project commences. If the HRA belongs to an external organisation. 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. an agreement between Victoria University.victoria. The Administrative Supervisor should convene a meeting with the supervisors and candidate to discuss and clarify these issues. It is also important that the Administrative Supervisor ensures that the primary supervisor accepts responsibility for seeing the PhD project to completion. The agreement will address issues relevant to the relationship including the expectations and obligations of the parties concerned. through the Associate Dean. If it is proposed that a scholar outside the University be appointed as a supervisor. PhD Handbook 21 . to the Deputy Vice-Chancellor (Research) or their delegated authority for the appointment of this person as an Honorary Research Associate (HRA) see: https://intranet. they will be invited to participate in a professional development programme or receive an information pack.5. Any agreement must also comply with the Intellectual Property Policy and the Management of External Research Consultancy and Related Contracts Policy. the Administrative Supervisor must make an appropriate recommendation.aspx#hra The recommendation must be accompanied by a curriculum vitae.5 External Supervisors Other supervisors may include part-time teachers or other scholars and researchers from within New Zealand or overseas.
1(a) (iii)). 6. the supervisor should discuss a conversion to a PhD with the student.nz/international/. the student and the supervisor must discuss the change of status with the School Research/Postgraduate Committee (SRC). If it is agreed to convert to a PhD.victoria. This degree need not have been in the subject area of the PhD research. 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. The SRC will also ensure that a second supervisor is available to be appointed.nz. provided candidates can demonstrate adequate competence to undertake the proposed research. 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. Please also refer to page 6 and section 16. who will seek advice from the Head of School.0 Formal Admission and Registration Requirements 6. who must be satisﬁed that the existing supervisor is appropriately qualiﬁed and experienced to supervise the student at the PhD level.6. www. Admissions for a PhD can take place at any time of the year. This document will substitute for the initial research proposal in the application for a PhD.ac. Applications must be made through Victoria International.3 International Students International students must be granted admission ad eundem statum before they can apply for a student entry visa. but will still have to satisfy the requirements for full registration. 4. email victoriainternational@victoria. 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. If the application is approved by the Associate Dean. The Associate Dean may also admit other persons who can show evidence of adequate training and ability (see the PhD Statute. Entry under this section of the PhD Statute requires candidates to satisfy the Associate Dean. tel 0-4-463 5350. 6. The student and the three supervisors will agree in writing on the additional work required for the new degree.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. 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.1 Admissions Criteria Candidates will normally have a ﬁrst or second class pass in an Honours or Master’s degree.11. Victoria International staff are able to provide assistance to administrative staff or potential candidates with evaluating qualiﬁcations email victoria-international@vuw. Only when admission ad eundem statum has been granted can an application for registration be prepared and submitted.ac. tel 0-4-463 5350. 22 PhD Handbook . Prospective candidates should therefore seek this admission at an early stage.1.nz. 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.ac. with modiﬁcations. as ﬁnancial and accommodation guarantees must also be given before a visa is issued. could form the basis of a PhD thesis.
The Associate Dean will consult with the Head of School if any difﬁculties arise. and access to school-based services and resources. the candidate will be granted provisional registration. It will then be forwarded to the Associate Dean. Students are deemed to be full-time when they are able to devote a minimum of 30 hours per week to the thesis.6.aspx).nz/research-ofﬁce/postgraduate/ forms-and-templates.2(b). re-enrolment may be carried out on a six-monthly basis. 6. Permission will not normally be given for students to work away from the University until full registration has been achieved. International students may have to fulﬁl additional requirements.13. Students’ Association Fee. The form must be signed by the Head of School and supervisors and returned to the Faculty Ofﬁce. access to Library and Information Technology Services. 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. Where registered students are working away from the University a School memorandum for PhD Study at a Distance is required (go to: http://intranet. Enrolment entitles a candidate to: access to supervision. and either through choice or because of space limitations in the school. and if approval is given. 6. After two years. 6.6 Enrolment and Payment of Fees Candidates will be advised by the Faculty Ofﬁce in writing to enrol and pay the necessary fees (tuition fees. 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. The normal practice is that candidates will reside within reasonable PhD Handbook 23 . In some programmes the nature of the research will require that candidates work in the School and in these cases laboratory and/or study space will be provided in the University. 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. they may also study at home.7 Annual Re-enrolment Candidates must re-enrol annually within one month of the expiry of the previous period of enrolment.ac.5 Approval of Provisional Registration The Associate Dean will consider the application.4 Applications to Register Applicants for a PhD should obtain an application form from the appropriate Faculty Ofﬁce.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. over the year. This excludes statutory holiday periods. Student Services Levy and Student Assistance Scheme and Amenities Levy).victoria. 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. 6. Refer also to 6. on average. 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. Candidates in other programmes may need to spend a great deal of time in the Library or ﬁeld.
Candidates and supervisors will be expected to provide the Associate Deans with a rationale for prolonged absence from the Wellington region. a required period of preparation within the University before the candidate departs for periods of data collection etc. a required period of writing-up within the University before submission of the thesis. 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. fax and/or email) and schedule meetings at regular intervals in Wellington. PhD research can be successfully undertaken by candidates working in other institutions. 6. 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. Time spent in carrying out a candidate’s normal employment duties will not usually be regarded as part of the period of registration unless that employment is very highly specialised and relates directly and in detail to the thesis project. 6. 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. and some industrial organisations have research facilities which complement those of the University. and contributions from the candidate to seminars etc while the candidate is working within the University are expected. Scholarship holders should also seek approval from the Scholarships Committee. the Administrative Supervisor must make an appropriate recommendation. Candidates who are working away from an institution and regular supervision need to be highly motivated and thoroughly prepared. Crown Research Institutes. This rationale must take account of academic considerations. regular contact and reporting by the candidate is expected. • • • • • 6.11 Collaborating Institutions In some circumstances.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. to the Deputy Vice-Chancellor (Research) (DVC Research) for the appointment of this • 24 PhD Handbook . In all such cases. some hospitals. give an assurance of regular contact (for example by phone. if it is proposed that a scholar outside the University be appointed as a supervisor. a memorandum for PhD Study at a Distance must be approved by the School Research/ Postgraduate Committee.proximity to the University.10 Period of Overseas Research Candidates who wish to pursue a period of research overseas must ﬁrst acquire permission from the Associate Dean. through the Associate Dean.
the candidate and the collaborating institution are recognised and apportioned between them.person as an Honorary Research Associate. they will be invited to participate in a Research and Postgraduate Studies ofﬁce professional development programme or receive an equivalent package. The appointment will be made for four years.12. The recommendation must be accompanied by a curriculum vitae. . • • PhD Handbook 25 . . able and qualiﬁed to assist the candidate.the collaborating institution will provide ready access for supervising university staff to the candidate and to the research facilities used by the candidate.the staff who will provide day-to-day support to the candidate are willing.3 (c)). • research institutions which wish.the collaborating institution agrees that the candidate will have access to all suitable resources for completion of the higher degree. Any contract with the collaborating institution requires the approval of the DVC (Research) or nominee. . • supervisors arranging for placement of a candidate off campus must refer the case to the Research and Postgraduate Studies ofﬁce for advice about the appropriate form of agreement. and undertake.the rights of the University to examine the work of the candidate are protected. .the candidate is encouraged to present seminars both in the collaborating institution and in the University. If the external supervisor has not already acted as a primary supervisor or co-supervisor of at least one doctoral candidate or of three Masters’ candidates. .the resources of a collaborating institution or establishment have been inspected and found to be appropriate for the needs of the candidate. to academic staff and to collaborating staff of the non-university institution. to provide resources and supervision for PhD candidates should be invited to enter into agreements for formal academic collaboration with the University so that collaboration is recognised by the Council and is seen as a long-term commitment which is of beneﬁt to candidates.the intellectual property rights which may belong to the University.the collaborating institution is able to provide a stimulating research environment. . .any agreement to withhold publication for purposes such as taking out patents must be approved by the Research Degrees Committee (see Library Statute section 4.the candidate’s and the University’s share of income from discoveries is clearly set out. placement of candidates into institutions which are doing commercial work should be covered by a contract in which: .data collection and examination of base materials can only be carried out off campus. . . and approval for candidates to undertake research off campus is more likely to be given when the following criteria are satisﬁed: .
To progress from provisional to full registration.1). whether or not that has been • • 26 PhD Handbook . PhD students achieve full registration if they demonstrate satisfactory progress of previously established and agreed upon performance standards. Additional criteria may be required by the School or programme where the candidate is enrolled.000 words. Victoria University expects this to occur between six and 12 months after the initial registration date for full-time candidates. ability to summarise.13. 6. evaluate and critique data.000 and 10. It is in the best interests of candidates. If the School requires the candidate to undertake certain papers as background for the PhD. satisfactory completion of any required course work. a statement as to whether ethical approval is required and. This is the appropriate way to show that the candidate has understood and can interpret the literature. the candidate is required to have the approval of the School Research/Postgraduate Committee. Supervisors are required to give serious consideration to these matters. appropriate theoretical frameworks. ability to summarise. It is equally important that candidates should demonstrate an ability to process with doctoral level work before their full registration is conﬁrmed. a literature review. To achieve full registration the candidate must write a formal research proposal and may also be required to present the proposal orally. School or programme criteria can be obtained from the Postgraduate Coordinator or supervisor. Regulations allow a total of 15 months provisional registration for full-time candidates (and 24 months for half-time candidates).13 Conﬁrmation of Full Registration The move from provisional to full registration requires candidates to meet University criteria (see 6.13. the papers must generally be satisfactorily completed before the registration is conﬁrmed. The School Research/Postgraduate Committee may terminate candidature if the student fails to meet the requirements within 15 months of ﬁrst registration.6. To the extent appropriate in the discipline the proposal will contain the following elements: • • • an outline of the basic thesis/research question. Indicators of satisfactory progress may include: • • • • • • • knowledge of the literature in the ﬁeld of study. evaluate and critique that literature. supervisors and schools that every effort is made to assist the candidate’s progress during the provisional registration period. interpret. ability to communicate research ﬁndings in formats appropriate to the discipline. ability to design and interpret research tasks. 6. a demonstration that the methodology is appropriate.12 Move from Provisional to Full Registration The conﬁrmation of full registration is a milestone in PhD candidature. the proposal will be between 3. if so. interpret.1 Full research proposal As a guide. any other abilities important in the ﬁeld of study.
it is recommended that the presentation be announced in VicNews and open to all who may be interested. The SRC will scrutinise the proposal according to the following criteria: • • that the student has sufﬁcient knowledge or understanding of the topic.13.13. that the proposal outlines an appropriate theoretical framework which will lead to an original and defensible theory. Where there are no changes to be made. and • a statement that there are no foreseeable cultural. 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. If this is part of a school or programme procedure. The SRC will assess the proposal and report to the Associate Dean (with copies to the Head of School. If some of the suggested changes were not taken up. and the SRC has been delegated the authority to accept the proposal. 6. recommend the candidate transfer to a Master’s degree. require that full registration be delayed by up to six months. the SRC should meet with the candidate and explain face-to-face why this action was taken. the SRC should recommend full registration of the candidate to the Associate Dean. the SRC should provide clear and constructive guidance to the student and supervisor on the steps that are required to gain full registration. Where the decision is to terminate registration. The report may: • • • • recommend approval of the candidate’s transfer to full registration. • • 6. The proposal will establish preliminary goals for the next six months and will contain a tentative timetable for the completion of the thesis. or terminate the candidate’s registration.2 Presentation of the proposal Candidates may also be required to present their proposal. that the proposed research is original or adds value to existing knowledge. Where registration is to be delayed. If approval has not been obtained the timetable for approval is to be noted. along with a cover letter indicating where changes were made. any problems anticipated in carrying out the research and the intended methodology. the candidate must indicate the reasoning for this. 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. 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).3 Approval The candidate will send a copy of the proposal. social or legal impediments to the successful completion and/or publication of the research. supervisors and the candidate). PhD Handbook 27 . including any suggested revisions to the SRC.obtained from all required institutions. the conceptual framework.
Full registration is conﬁrmed by the Associate Dean.2(b) for fulltime enrolment and 36 months for half-time enrolment. The Associate Dean will not usually expect to backdate a registration by more than about two months from the time of registration. One of the principal reasons for this requirement is that protracted research may be overtaken by other researchers working in the same ﬁeld. Throughout the candidature. Half-time candidates are required to supply details of their other obligations on the enrolment form. The Associate Dean must be satisﬁed that such candidates can reasonably be expected to complete a thesis within six years from the date of registration and will not normally accept candidates who are unable to devote regularly at least something close to half normal working hours to the PhD project. even after completion of the minimum two year period of full-time research. During this time. 6. the date of provisional registration will become the date of registration. but individual applications to the Associate Dean by supervisors are required for any extensive “time out” on the project. the candidate must be in direct contact with the supervisors. although he or she may be away from the University working in libraries and similar institutions.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. If candidates have spent productive time in developing their research proposal. the Associate Dean may terminate the provisional registration and request the candidate to consider the possibility of identifying a new research project. 6. A candidate’s progress during full registration continues to be monitored by six-monthly progress reports. The thesis is to be presented within four years of registration. the Associate Dean will specify a period during which candidates must be working under direct supervision. Longer periods in external laboratories or on ﬁeldwork may also be approved. candidates must maintain direct contact with their supervisors and sustain satisfactory progress or the registration will be terminated. 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. 6. If the research proceeds smoothly. This date is shown on the registration form. 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.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.19 for the implications of extensions and suspensions of registration. on receipt of the recommendation from the SRC. 28 PhD Handbook . At the time of registration.15 Duration of Registration The PhD Statute requires a minimum registration period of 24 months under clause 4. the date of provisional registration can be backdated to give credit for that time. If there are major difﬁculties in the early part of the project. See 6. 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.
it can be resumed only with the permission of the Associate Dean.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. 6. they must apply to the Associate Dean for permission before enrolling in it.18 Registration and Other Work It may be valuable for full-time students to undertake tutoring or other part-time jobs around the University. extensions will be granted “only in exceptional circumstances. along with the candidate’s most recent sixmonthly progress report. Note that this applies also to any change from full-time study. All retrospective suspensions are approved by the Convener of the RDC.17 Maintenance of Registration The course of study for a PhD is best undertaken continuously and while candidates are working on PhD projects. The minimum period for a suspension is one month.20 Concurrent Study If candidates have a genuine reason for undertaking a paper other than any required by the School. where good cause is shown. This permission is not readily given. Such applications must have the written support of supervisors and Head of School and set out the reasons why permission is sought. for unexpected reasons. and will not usually exceed twelve months” (PhD Statute. their registration must be maintained. after consultation with the candidate. Periods of suspension are not included in calculations of total registration time. but it is recommended that students do not overload themselves with paid work outside the scholarly work in preparation for the thesis. clause 4. 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. 6.19 Extensions and Suspensions of Registration The University discourages candidates from spending an undue length of time on thesis work and it is expected that theses will be submitted within four years of registration for full-time candidates or six years for candidates who have been enrolled exclusively half-time. but is not entitled to receive supervision or to make use of the University’s facilities. An application for an extension or suspension is made in writing to the appropriate Faculty Ofﬁce. The supervisors. or vice versa. While the regulations state that the Research Degrees Committee (RDC) through the Associate Dean may grant an extension beyond the due date. Applications must have the support of supervisors and Head of School and should be sent directly to the Faculty Ofﬁce. PhD Handbook 29 . 6. should recommend the change to the Associate Dean for approval. Applications for variations in the conditions of registration are made through supervisors.3(e)). Where. During the period of suspension the candidate pays no fees. If the registration lapses. which will forward it to the Associate Dean. 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.6. 6.
30 PhD Handbook . 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. form the basis of a Master’s thesis. Written application for conversion to a Master’s degree must be made to the Associate Dean. This option may also be taken if the supervisors believe a student has not demonstrated the aptitude and level of competence required for PhD study and that the thesis could. with modiﬁcations. as is the agreement of the student.6.22 Conversion of a PhD to a Master’s Degree It is possible for a thesis being prepared for a PhD to be converted to and submitted for a Master’s degree. The written support of the Administrative Supervisor and supervisors is needed.
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. 7. They cannot guarantee the success of the project.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. Supervisors should also: • identify with candidates the particular research skills that they will need to acquire to complete the programme of research. and • • PhD Handbook 31 .1 Assessing the Student Before provisional registration. the supervisors should assess the student’s academic and technical skills and be satisﬁed before conﬁrmation of registration that appropriate skills do exist or will develop during the time of the enrolment for the degree. Supervisors need to have a sympathetic ear and sufﬁcient time and energy to devote to the task of supervision. and the need to get approval from the relevant Ethics Committee if the research involves human or animal subjects or tissue.2 Providing Academic Guidance Supervisors should provide guidance on: • • • • • • the nature of research. depending on the nature of the discipline and the stage of the project. For this reason.2. One meeting per month is considered a minimum. the access to resources (technical and ﬁnancial). presentation and production of theses. the undertaking of a literature review. a supervisor should not have too many candidates at one time. It is the Head of School’s responsibility to make sure that workload is allocated such that supervisors have enough time to carry out the supervisory role.7.2. It is important to avoid the situation where candidates only see their supervisors when real difﬁculties arise. but they should have a close interest in the project and a commitment to facilitating its completion. the development and reﬁnement of the proposal. 7. but regular discussions should be held and adequate records of meetings should be kept. The responsibilities of supervisors are outlined below. which is up to the candidate. Effective two-way communication is vital.0 Supervision Protocols 7. ensure the candidate is aware of the academic criteria to be met for award of the degree. 7. the planning of the programme. The amount and frequency of academic contact between supervisors and candidates will vary. ensure that appropriate and timely advice is given on requirements regarding style.
2. 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. Supervisors should encourage the candidate to make productive use of the available time. arrange regular supervisory meetings. and monitor.5 Providing Feedback Supervisors should provide regular feedback on progress to the student.2. must be reviewed by the Head of School (HoS) before being submitted to the Associate Dean. feedback should be provided within two weeks in the case of relatively short pieces of work. which has been agreed to and signed by the student and supervisors. They should identify the problems and suggest ways of addressing them. The report template is available at https://intranet.2. the six-monthly report should specify what action needs to be taken to rectify the problems and stipulate a time period within which such action is to be taken. in close conjunction with the student.victoria. A copy must be provided to the student. 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. the proposed 32 PhD Handbook .4 Milestones Supervisors should reach agreement with the candidate on the indicators of progress and the dates for the submission of appropriate written work. As a guide. Where there are major or continuing problems with a student’s performance. The ﬁnal version of the six-monthly report.aspx While the Faculty Ofﬁce initiates the six-monthly reporting process. The report will then be ﬁled in the student’s ﬁle held by the relevant Faculty Ofﬁce. 7. The HoS must agree to.3 Scheduling Meetings Supervisors should. Identiﬁed problems and proposed methods of addressing them should be discussed with the student before the report is ﬁnalised. 7.2. the report writing is the responsibility of the supervisors. ac. Except in exceptional circumstances. One meeting per month is regarded as the minimum entitlement. Supervisors should help the student to plan for the writing up of the thesis and to schedule sufﬁcient time for that purpose. in consultation with the student.2.6 Identifying Problems Supervisors should ensure that the student is made aware of inadequate progress or of standards of work below that generally expected. 7. ensuring that an appropriate timetable is set to allow the degree to be completed within the allotted timeframe.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. 7. but more frequent meetings will usually be desirable. 7. and a maximum of four weeks for substantial thesis drafts. 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.nz/research-ofﬁce/postgraduate/forms-and-templates. interim reports or research results. Written comments should be made on work submitted by the student.• have a sense of the expectations of examiners throughout the research process and use that as a guide in supervising the student’s work.
This includes advising candidates about: • • applicable governmental. Supervisors should ensure that the Administrative Supervisor (as deﬁned in 5. regarding six-monthly progress reports. supervisors should refer a student to student support services (see Chapter 16). institutional or professional guidelines for the conduct of research. and • • PhD Handbook 33 .2. that the work submitted by candidates is their own and that the data is valid.2) is informed if any problems develop during the enrolment. encouragement and support to further the candidate’s career in their chosen ﬁeld. upon the recommendation of the Administrative Supervisor. encourage both attendance and presentation at seminars and conferences. ensuring that candidates are aware of any requirements regarding the retention of data within schools. 7. the administrative requirements of supervision and advise the candidate as necessary (for example. Supervisors and Administrative Supervisors have a joint responsibility to advise the Associate Dean and Faculty Ofﬁce as necessary. 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). provide assistance and information where appropriate on scholarships and ﬁnancial support. 7. as far as possible. supervisors should attempt to keep themselves informed of the range of factors that may have a bearing on the timely and successful completion of the thesis. In the event that the student fails to take the required action so that problems persist.8 Supporting the Student Without compromising a student’s privacy. Where necessary. and comply with.2. ensure that the candidate has the opportunity to participate in the life of the School. University-wide monitoring of compliance is the responsibility of the Research Degrees Committee and forms part of their Reports to the Academic Board. ensuring. and provide advice. help the candidate make contact with other scholars in related ﬁelds. changes to full-time status.2. applications for suspension or absences overseas.9 Encouraging Academic Contacts Supervisors should encourage the candidate at the appropriate stages in their course of study: • • • • • • • to extend their contacts within the School and elsewhere. ensuring that candidates are aware of intellectual property rights. etc).actions. the HoS must notify the Associate Dean who may then take action. to discontinue the student’s enrolment. The HoS must offer the student the opportunity to respond and then will monitor the proposed actions. 7. Monitoring the completion of six-monthly reports occurs twice yearly and is the responsibility of the Associate Dean.10 Facilitating Administrative Compliance Supervisors should be knowledgeable about. encourage the candidate to publish.
Supervising and Examining Candidates and the guidelines of this handbook. All parties should agree in writing about issues concerning intellectual property and authorship. 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.e. Supervisors should forward their recommendations at least one month before the expected submission of the thesis.2. or in other cases where issues of recognition arise. In most disciplines publications are increasingly necessary for entry into an academic profession. in outlets valued by their discipline. Supervisors should be available to discuss feedback from the written and/or oral examinations with their student.• ensuring that safe working practices are developed and maintained and that candidates are aware of the University’s Occupational Health and Safety Policies. and Victoria University’s Policy on Recognition of Authorship http://policy. Publication should be seen as part of PhD study rather than a barrier to timely completion of the thesis.11 Assisting Examination Arrangements Supervisors assist the Associate Dean to arrange the examination in accordance with the PhD Policy: Approving. supervisors recommend suitable examiners and supply the Associate Dean with relevant documentation i. 7. The Associate Dean will scrutinise the recommendations and forward them to the Research Degrees Committee (RDC). and publications are the currency of success in research.ac. In consultation with the Administrative Supervisor. When students and supervisors pool their talents to publish research both beneﬁt from increased research productivity.2.12 Encouraging Publication The PhD is a research degree. then this must be discussed early on in the process towards publication. Enrolling. The RDC appoints the PhD examiners.nz 7. possibly in collaboration with their supervisor(s). submit and revise publishable manuscripts within the timetable for their PhD studies. They should be mindful of the fact that emerging researchers are often unaware of most aspects of the publication process. a rationale for the choice of the particular examiners for the thesis and a brief curriculum vitae for the two external examiners. They should endeavour to publish their research.2. Where joint authorship is contemplated. 34 PhD Handbook . and should therefore take steps to avoid misunderstandings that may arise as a result of inexperience. including the differences between writing a thesis and preparing a manuscript for publication. supervisors should ensure that students are informed about: • • the conventions that apply in their discipline. It is also the responsibility of the supervisor to discuss with students the possible exploitation of any invention or other intellectual property arising from their research. 7. the research process and administrative matters.victoria. Topics include supervisory roles and responsibilities. Students should incorporate plans to write.13 Support for Supervisors The Research and Postgraduate Studies ofﬁce offers regular seminars/workshops for new and more experienced supervisors. Supervisors are encouraged to discuss the publication process with students.
3. adopting at all times safe working practices relevant to the ﬁeld of research. and abide by. If the student is unable to discuss the matter with their supervisor/s. 7. 7. The responsibilities of candidates are outlined below. competence and conﬁdence. for example. 7.3 Participating in University Intellectual Life Candidates are encouraged to participate in the School community by attending seminars. within the expected time period. the Associate Dean (Students/Research) in the Faculty Ofﬁce or VUWSA’s Education Coordinator are available to discuss areas of concern.3. presenting their work and interacting with the staff and other postgraduate students. must take responsibility for developing their intellectual independence. they should contact the Administrative Supervisor or the PG Coordinator. university.4 Identifying Problems Candidates should take the initiative in raising with supervisors any problems or difﬁculties with the project or its supervision. 7.3. attending relevant seminars in other schools or institutions. • • 7. and suspension of enrolment).1 Planning the Research Candidates should plan and execute the research project under the guidance of the supervisors.3.6 Meeting Ethical Guidelines Candidates should become familiar with all relevant ethical guidelines for the conduct of research and ensure that the necessary approvals are obtained for research involving animal or human subjects. Where appropriate candidates may also be involved in academic activities in their chosen research ﬁeld. 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. 7.3.7 Giving Notice of Submission Candidates should give three months’ notice to the primary supervisor of the expected submission date of the thesis in order to allow early selection of examiners. and complying with any institutional occupational health and safety policies. PhD Handbook 35 . 7. Alternatively. interim reports or research results. faculty and school statutes and policies and any other written guidelines and regulations for the degree. Candidates. They should attend regular meetings.3 The Responsibilities of Candidates Completing a doctoral programme requires progressive development of skills.5 Facilitating Administrative Compliance Candidates should become familiar with. or tissue. and strive to achieve agreed milestones. be committed to the research and avoid activities which will interfere with its satisfactory completion within the time limit. with the guidance of their supervisors.2 Actively Pursuing the Research Candidates should devote sufﬁcient time to the course of study. Candidates should reach agreement with supervisors about indicators of progress being made and about submission of appropriate written work. and participating in academic conferences (ﬁnances and resources permitting).7.3. as agreed with supervisors.3.
course codes etc). 7. 36 PhD Handbook . style.3. the Research Degrees Committee will also use this information to monitor supervision across the University.8 Submitting the Thesis Candidates are solely responsible for the content. production and binding of the thesis that is ﬁnally submitted. Once a year.4 Evaluative Feedback on Research Supervision PhD students are encouraged to provide feedback about the quality of supervision by completing an Exit Questionnaire which is held by the Faculty Ofﬁce until the thesis has been marked.9 Publishing Candidates should accept responsibility for the academic content of the thesis and for publishing any parts of it if appropriate.3. with a copy to the Administrative Supervisor. The questionnaire is then returned to the supervisors. presentation. 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.7. the Associate Dean of the Faculty will also receive a copy of the student’s written comments with all identiﬁcation removed (names. and for promptly making any required amendments after examination. 7.
It is important that PhD candidates read the HEC Guidelines carefully and ensure that they are familiar with basic ethical issues.victoria. The purpose of the HEC is to promote. Nevertheless. Candidates must then discuss the ethical implications of their research with their primary supervisor to determine whether HEC approval is required. 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. and • • • PhD Handbook 37 . principles and practice.ac. not prevent. rights and freedoms. Responsibility for applying for HEC approval rests with the candidate.http://policy. The HEC recognises that individual researchers and teachers.victoria.http://policy. If either candidate or supervisors are in any doubt as to whether approval is required.2 (e) (iii)). it must not contain work extracted from a thesis. Application forms can be accessed via the Human Ethics Policy: http://policy. it must be approved by the University’s Animal Ethics Committee. and welfare of such subjects.nz). it is subject to Human Ethics Committee (HEC) Guidelines (see Appendix 1 of the Human Ethics Policy .nz 8.3 Animal Ethics Committee If PhD research involves animal subjects. safety. social and cultural sensitivities.ac.victoria. 8. it seeks to ensure that all researchers and teachers are aware of the ethical issues involving human subjects.nz). further advice should be sought from the Head of School (HoS) or the Convener of the HEC. It is important that PhD candidates read the Animal Ethics Policy carefully and ensure that they are familiar with basic ethical issues.2 Human Ethics Approval for Research If PhD research involves human subjects or human tissue or otherwise affects people’s privacy.ac. all assistance which candidates have received in their research be clearly acknowledged in the thesis. working in and familiar with their own disciplines. in order to ensure consistency and impartiality in considering the interests of potential subjects.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. The policy and application forms can be accessed via http://policy. principles and practice. dissertation or research paper already presented by the author for another degree or diploma at this or any other university. but the application must be approved and countersigned by the primary supervisor and the HoS. 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. In so doing. are generally in the best position to assess their proposed activity. health.8. 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. research and teaching.nz 8. as well as to provide a degree of protection for the researcher or teacher.0 Research Ethics 8. either in research or teaching.ac.1 Human Ethics Committee Where research activity involves human subjects the University has a responsibility to ensure it protects the privacy.victoria. Appendix 1 of the Human Ethics Policy .
• it is the primary supervisor’s responsibility to ensure that the thesis as presented is the candidate’s own work. assistance they have received from other persons. attributing work to others who have not in fact contributed to the research. The University has provisions for dealing with cases of research misconduct. including fraudulent changing of records. if any. 8. plagiarism. intentional infringements of the guidelines issues by the University’s Human Ethics Committee and Animal Ethics Committee. including listing as authors without their permission. organisation. which is deﬁned as follows in the Statute on Student Conduct: Academic misconduct includes: • • • fabrication of data.5 Appropriate Conduct in Research Candidates are expected to conduct all research in an honest. the falsiﬁcation of data. All candidates will be asked to sign a statement that the above conditions have been satisﬁed when the thesis is submitted. academically responsible and ethical manner. wording or anything else from another source without appropriate reference or acknowledgement so that it appears to be one’s own work. This will ensure that external examiners are in no doubt as to the fact that the work they are assessing is that of the candidate. and/or failing to acknowledge work primarily produced by a research student/trainee/associate. cheating or other dishonest practices in relation to assessment. 38 PhD Handbook . • • • • Note: Academic misconduct does not include honest errors or honest differences in the interpretation of data or conclusions drawn. misleading ascription of authorship. including claiming results where none have been obtained. material on the Internet and the work of other students and staff. This includes published and unpublished work. and other academic or research practices which bring or are likely to bring the University into disrepute. which is the copying of ideas. Misconduct in research is unacceptable to the University. and that candidates make it clear what. or of other relevant professional practices and codes of ethics.
ofﬁce space and furniture.1. paper supplies. electronic facilities and ﬁnancial support.2.studentvuw.victoria. Candidates may visit these locations in person. source materials. 9.nz • PhD Handbook 39 .victoria. MY223.nz ITS have Help Desks located in ﬁve physical locations around the campus: RB205a (Library).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.aspx It includes information about orientation. and funding for the expected duration of the research. Further information on these services and others is available by consulting: www. x5050 for help with the services ITS provides. It also contains some information about the faculty research grants and the protocol for addressing concerns about resources. or alternatively the ITS service desk can be contacted over the phone on x5050.9.0 Research Resources 9.3 Financial Assistance The payment of research expenses varies from school to school. All PhD candidates are advised of their obligation to observe the Information Systems Statute which can be found at: http://policy. This provides access to features such as personal storage and a large number of library databases.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.1.nz/research%2Dofﬁce/ postgraduate/minimum-resources.1 Introduction PhD candidates should email its-service@vuw. items of equipment like calculators. ac. With reference to the Minimum Resources Agreement.ac. Candidates should expect to spend some of their own money on travel. Research Funding and Financial Support. with the supervisors and the candidate. equipment. Some schools are able to provide some ﬁnancial assistance from school resources and this is a subject for negotiation within the School. 9. the candidate’s entitlements and document these in the Research Memorandum which becomes part of the record of registration.2 Information Technology Resources 9.ac.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. Candidates working from home can access the student environment via the myVictoria portal.2. Also.nz or call Information Technology Services (ITS) service desk. See also Chapter 11. and WCE (T208). Enquiries via email can be sent to: firstname.lastname@example.org School Resources to Support PhD Candidates 9. correspondence and so on. Internet browsing and printing services are available for a small charge. the HoS will agree. facilities.ac.vuw. OGB132 (Law).nz 9.1. photocopying. Railway (RW 225). 9.
a networked school desktop computer or through an external Internet Service Provider (ISP).ac. otherwise their proﬁles will be affected.nz/library/ Students are advised to check this site and the myVictoria portal regularly for updated information about the Library and its services.vuw.victoria. including a complete Staff Directory. Authorised students may use all of these libraries following registration. For further and more comprehensive information. after validation at the Central Issue desk.ac. students should refer to the Library website at www. All PhD candidates are advised to consult the Library Statute at: http://policy.victoria.3 Registration as an ITS Client All candidates will have a computer account on enrolment.Te Pataka Korero The University Library comprises the Central Library in the Rankine Brown Building on the Kelburn Campus.2. the Lending and Reader Services Group will normally grant temporary borrowing privileges upon receipt of a supporting letter from the proposed primary supervisor.nz~POLICY~000000000021.9.ac. when connecting from a networked school desktop computer or via the Internet from home (requires a personal ISP) connect via the VUW Portal: www. If borrowing privileges are required prior to enrolment while a thesis proposal is being prepared.1 Lending Services PhD research often necessitates heavy and specialised use of library services.5 ITS Student Help Desk Service Help Desks are available speciﬁc hours that change from trimester to trimester.pdf 9.3.3 The University Library . However.vuw. PhD candidates will receive a student ID card which.nz 9. Note. 9. 9. with reduced hours on weekends and during term breaks. Clients should always contact the Help Desk in the ﬁrst instance with enquiries. Access to the network via the student domain requires a student computing account and depends on whether the connection is from an ITS terminal. When connecting from an ITS computer log directly into the student domain. the Architecture and Design Library in Vivian Street.ac.nz/ Amphora!~~policy.4 Accessing the Network All postgraduate thesis students have the right to access Victoria’s network via the staff domain. A range of printed information leaﬂets about speciﬁc library services and collections is available from service points in all libraries. For further information on your account username please check your Conﬁrmation of Study form or contact an ITS Help Desk. candidates must choose access via either the staff domain or the student domain. will give postgraduate library privileges. Following enrolment and payment of fees.2. There is no common data storage between the student domain and the staff domain. This section contains information relevant to all PhD students. Books from the 40 PhD Handbook . 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. The Website is also a gateway to the online catalogue of Victoria University of Wellington Library.2. the Education Library at the Karori Campus and the Law Library in the Government Buildings. Access to the network via the staff domain requires students to contact their school administrator who will set them up as an ‘interested party’. the Commerce Library at Railway West Wing.studentvuw.
The Interloans team process requests from the Central Library as well as the Architecture and Design.victoria. 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. Commerce and Law Libraries have similar facilities for subject-speciﬁc database searching.3. Reference and Liaison Services have (in both print and electronic format) a range of University Calendars from New Zealand and overseas. teaching and research purposes only. candidates should refer to the Library website: www.aspx Printed request forms may also be collected from the Reference desk and the Reserves desk in the Central Library or from the Architecture and Design. Commerce and Law Libraries.nz/library/forms/interloan-request. The Closed Reserve Desk on Level 2 of the Central Library holds copies of the bibliographic management software ‘Endnote’. Requests may be sent electronically from the Library website at www. Candidates wishing to borrow this CD in order to install ‘Endnote’ on their personal computer should consult the Closed Reserve Desk staff. 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. The Architecture and Design. The Reference Ofﬁce and Library website can be consulted for the names of liaison librarians. Please note that all current issues of periodicals are reference-only items. All items on issue are subject to recall if required by other borrowers.ac. 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. and library hours of opening. as well as scholarship guides and other directories related to further study.3. Commerce and Law Libraries.victoria. through both printed and electronic resources. PhD Handbook 41 .victoria. Most periodicals in the Central Library are issued for two weeks. on the Library website or through the Postgraduate Students’ Association (PGSA). offer comprehensive information services. For further information about borrowing books and periodicals. In the Central Library student computing facilities are available on Levels 1 and 2. Law. Level 2 of the Central Library. Subject-speciﬁc seminars and individual consultations are available from the Library throughout the year on request to a liaison librarian or the Reference Ofﬁce. 9. Requests must relate to study. Details of seminars will be given in library notices.main collection are issued for eight weeks.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. request and renewal procedures. Architecture and Design library periodicals are not available for loan.3 Research Seminars Postgraduate research seminars are offered at the beginning of the ﬁrst trimester. Staff will give advice about electronic and print information resources in a range of subject areas. Reference staff are always happy to give advice on suitable information resources as well as provide assistance with search techniques and strategies.nz/library/ 9.2 Reference and Research Services Reference and Liaison Services. except for three-day-loan books.ac.3.ac. 9.nz/library or by going directly to: www. with some exceptions.
The Beaglehole Room holds collections of rare books.5 Specialised Collections PhD candidates should be aware of the following collections at the Central Library: • J. Level 1.Further information may be obtained by contacting the Interloans staff or checking the Library website. 42 PhD Handbook . and Ofﬁcial Publications Collection.N. publications issued by other international organisations as well as statistics and yearbooks from New Zealand and many other countries. If PhD candidates wish to access other libraries directly. • 9. 9. U. archives and manuscripts and the VUW Authors’ collection. There is restricted access to some of the material. Reference staff can readily identify holdings of other libraries both in New Zealand and overseas and can advise students about electronic selfaccess to other collections. Level 1. PhD candidates should ﬁrst and foremost rely on the resources of Victoria University of Wellington Library. The Collection comprises material published by the United Nations and its associated agencies. Reference and Liaison Services will be happy to give advice and help to facilitate such access. Beaglehole Room.3.6 Other Libraries As a general principle. Material from other libraries can normally be accessed through interlibrary loan and document delivery services.3.C.
Details are advertised on: www. For further details.victoria.1 Statistical Packages Statistical packages such as SPSS (Statistical Product and Service Solutions) are available on all the SCS computers across the campus-wide network.vuw. go to: www.10.2 Statistical Advice Many research projects require statistical analysis of experimental or survey data. Statistics and Computer Science.0 Research Advice While it is expected that most of the necessary research advice will be provided by supervisors and other members of schools. The School of Mathematics. You should consider whether any of them may meet your needs. in the ﬁrst weeks of each trimester.vuwvictoria. ac.ac. Further information can be obtained by phoning x5908 or viewing PostgradLife. and Thesis Writing. 10. PhD Handbook 43 .nz/postgradlife see: 16. SLSS also facilitates a regular writing group.mcs. Guest speakers cover topics such as: Writing a Research Proposal. Some other packages are available within selected specialist school facilities. victoria. ac. Managing Your Studies.2.ac. Qualitative and Quantitative Methodologies. It is the responsibility of supervisors to ensure that proper statistical advice is sought. based at the School of Mathematics. The University Research Committee also funds a consulting statistician. 10. Speciﬁc information on the advice obtainable from these two sources follows.1. PhD candidates are strongly advised to discuss this with their supervisor at an early stage of planning their research – it may be impossible to extract useful information if your survey or experiment is not well designed. the Student Learning Support Service offers general advice on research. Literature Reviews. a studentcentred website at www. Statistics and Computer Science. runs intensive thesis writing workshops and provides one-to-one support throughout students’ candidature.nz/st_services/slss/ in the Postgraduate Students’ Association newsletter and on school notice boards.10. You and your supervisor are welcome to discuss statistical aspects of your research with the consultant who can be contacted via email at: email@example.com/stat/consulting 10. For enquiries please contact a SCS Help Desk or email scs-help@vuw. and statistical advice may be sought from the School of Mathematics.nz or by phone on (04) 463-6779. Statistics and Computer Science offers a number of undergraduate and graduate courses in Applied Statistics. The Ethical Approval Process.ac.nz.1 Student Learning Support Service The Student Learning Support Service (SLSS) organises a series of seminars on issues of relevance to PhD candidates at both Kelburn and Pipitea campuses.
Successful applicants are expected to work full-time on their research during the tenure of the scholarship. Some supervisors may also have contacts with businesses or enterprises through which other funding can be arranged. It is also important to ensure that agreements with funders are formulated in a way that protects their interests. but before agreements are reached with external funders.nz].org. 11.2 PhD Submission Scholarships These scholarships enable students already enrolled for several years to bring their research to a successful completion.ac. including Commonwealth and Rhodes Scholarships.govt. 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.ﬁs.ac. All Victoria PhD Scholarships are tenable for up to three years from ﬁrst enrolment.11. PhD Submission Scholarships are tenable for three months only and there is a closing date every two months starting in January each year.nz/scholarships 11. they should consult the Scholarships Ofﬁce (email Scholarships-Ofﬁce@vuw. 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.nz] . Applications for Victoria University PhD Scholarships must be submitted to the Scholarships Ofﬁce by 15 June or 1 November. Funds from these sources are usually of great beneﬁt to research students.the Bright Future scheme. 11. phtml?detail+600532 or from the Scholarships Manager.govt.nzvcc. Candidates must have the endorsement of their supervisor and Head of School to submit. government funding through the Tertiary Education Commission [www.org. Science and Technology [www. the Foundation for Research. the grant in question. and the University.newzealandeducated.nz] and Education New Zealand [www.tec. Information and application forms can also be downloaded from the University website: www. 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. This funding includes the growing range of scholarships administered by the New Zealand Vice-Chancellors’ Committee [www. Unsuccessful applicants may apply again in the follow round after consultation with the Scholarships Manager.nz]. It is therefore essential that applications for.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). those of research students.0 Research Funding and Financial Support If PhD candidates are contemplating PhD study and would like to apply for a scholarship.1 University Scholarships There are three rounds of PhD scholarships each year. 11. Information and documentation is available at: http://www. If a grant imposes any obligations or restrictions upon the candidate or the 44 PhD Handbook . or implications of.ac.nz/BreakOut/vuw/schols. careful consideration must be given to any conditions attached to.victoria.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. funding from outside enterprises are discussed with those responsible for external research income before any agreement is signed. and offers of.frst.
Candidates should consult their Head of School with questions concerning the availability of tutoring or demonstrating positions. Ministry of Social Development. Candidates may like to seek assistance from the Victoria University of Wellington Students’ Association’s (VUWSA’s) Education Coordinators in this matter. 11. Tutors may complete a Tutor Training Certiﬁcate of Attendance through the UTDC. Funds typically granted by faculty committees are used to cover identiﬁable expenditure on inter-library loan costs. costs incurred in securing research material and travel for ﬁeld-work and conference attendance.nz.victoria. For further information see the UTDC website: www. Funds for scholarships or research expenses must be channelled through the University Scholarship Ofﬁce and not paid directly to the candidate. PhD Handbook 45 .nz or tel 0-4-463 5793. Candidates who wish to apply for a Research Grant should discuss their application with their supervisors. In this. in VicNews and on the tutor/demonstrator email list: tutors@vuw. Tutors and demonstrators are employed by schools to teach undergraduate (usually ﬁrst-year) classes and to do associated marking.7 Tutoring and Demonstrating Many PhD students support their studies by tutoring or demonstrating.utdc.ac. If candidates are offered such work. it may be worth sacriﬁcing income in order to facilitate the speedy and successful completion of the degree.University.govt.6 Loans and Allowances Information on allowances and loans can be obtained from StudyLink. tel 0800 889 900. ac.5 Research Grants PhD candidates can seek advice and apply for Research Grants either through their faculty or school where available. 11. parties responsible for external research income will negotiate changes before the offer of a grant is accepted. as in other cases of paid employment. 11. www.studylink. 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. Tutor training is offered through the University Teaching Development Centre (UTDC) and some schools also provide discipline-speciﬁc training.nz/tutors Other courses are also available throughout the year and are advertised on the UTDC website.
5 . 12.ac. The following section indicates to both supervisors and candidates a general means of resolving difﬁculties arising in the supervisory relationship.3 General Guidelines Candidates and supervisors might ﬁnd the following process helpful in addressing problems. Where difﬁculties occur between a candidate and one supervisor. All parties must be sensitive to the needs of any candidate who has sought assistance. 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. the other supervisor may be able to provide assistance. but have been unable to do so.12. Candidates and supervisors should be able to discuss the issues involved and reach agreement on how any obstacles might be overcome. the goal is to allow the research to continue and to be completed within the scheduled timeframe. supervisors and candidates encounter difﬁculties that may prevent fruitful co-operation.0 Resolution of Problems 12. Candidates can reasonably expect the University to actively seek prompt resolution of any problems. candidates and supervisors are urged to refer to these documents at http://policy.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. 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. with both candidate and supervisor seeking assistance as necessary and appropriate. 12. 46 PhD Handbook . differences of opinion may arise over questions that are related directly to the scope of the topic or to the investigation of it. the Postgraduate Students Association (PGSA) and Victoria University of Wellington Students’ Association (VUWSA). The University will expect all parties to the resolution process to conduct themselves with professionalism. Whatever process of conﬂict resolution is adopted.2 General Principles It is essential that steps are taken to resolve any problems immediately. In some cases. Candidates are also free to seek advice from other scholars. It is assumed that the parties have attempted to resolve the difﬁculties themselves. mindful of maintaining the reputation and standing of the University.nz Further information can be found in this Handbook in 15. It is desirable that any problems that may arise are addressed and settled as quickly as possible.vuw. 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. however. Both parties are advised that a variety of options are available for the resolution of difﬁculties. preferably within the School.1 Introduction In the course of the research process.
For a list of people who can offer advice and support see page 8. Candidates may also wish to approach the Student Counselling Service. 12. they have a duty to refer the matter immediately. or where either the candidate or the supervisor(s) feel it is inappropriate to address their concerns to each other.3. more formal procedures. 12. the Education Coordinator can deal with both academic and conduct issues. 12. Such assistance might take the form of eliciting information. it is the responsibility of the Administrative Supervisor to inform the Associate Dean immediately in writing. a candidate is still dissatisﬁed. Academic grievances concerning PhD candidacy are dealt with by the PhD Handbook 47 .2 Seeking Assistance from the Associate Dean If the Administrative Supervisors ﬁnd themselves unable to resolve any difﬁculties. any difﬁculties should be discussed between the candidate and the supervisor(s). It is the responsibility of the Associate Dean to attempt prompt resolution of any difﬁculties.3. after trying the above channels. and if required. seeking clariﬁcation or providing guidance and/or mediation. 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.3. The Associate Dean will liaise with the Manager of the Faculty Ofﬁce. Faculty Ofﬁce. If required. to the Associate Dean. The Administrative Supervisor must be kept informed.4 Lodging a Formal Grievance If. while the Facilitator and Disputes Adviser deals with problems relating to matters covered by the Policy on Staff Conduct. If research progress is being affected by difﬁculties. This must be done in writing and should include information on what informal procedures have been followed. The Associate Dean must be kept informed at all stages and copies of correspondence must be sent to the Manager. Where this fails to resolve the problem. Candidates may also approach the Senior Academic Policy Adviser for advice and assistance or the Facilitator and Disputes Adviser. 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. or before resorting to. outlining how the candidate and supervisor(s) are working towards the resolution of those difﬁculties. formal grievance procedures can be invoked. as necessary. with respect for all parties. following consultation with the candidate and supervisor. The Education Coordinator is available where candidates may wish to sound out their concerns with someone outside the Faculty.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. in writing. If either candidate or supervisors feel that resolution is not being achieved to their satisfaction within the School. with respect for all parties. It is the responsibility of the Administrative Supervisor to attempt prompt resolution of the difﬁculties. Alternatively. Grievances relating to academic disadvantage are considered under the Academic Grievance Policy. as appropriate. and the University Facilitator and Disputes Adviser. can raise the problem with appropriate people on their behalf.1 Seeking Assistance from the Administrative Supervisor In the ﬁrst instance. The Senior Academic Policy Adviser deals with academic matters covered by the Academic Grievance Policy. they may approach the Administrative Supervisor for assistance in resolving their difﬁculties. they are entitled to take the matter either separately or collectively to the Associate Dean.3.12. following consultation with the Administrative Supervisor.
48 PhD Handbook . for any reason. and then the Pro Vice-Chancellor of the Faculty if necessary.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. candidates. 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.nz/). formal grievances beyond the levels described above should be submitted to the relevant Pro ViceChancellor. In each case.ac. 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. Formal grievances regarding staff misconduct normally are handled by the relevant manager. If anyone is.4 Resolving Administrative Difﬁculties If the difﬁculties are of an administrative or procedural nature. dissatisﬁed with the administrative performance of their Faculty Ofﬁce. they are invited to discuss the matter with the Manager of the Faculty Ofﬁce in the ﬁrst instance.victoria. supervisors and Administrative Supervisors are encouraged to make direct contact with Faculty Ofﬁce Managers.
A length of about 300 words is recommended.0 The Thesis 13. • • • • • PhD Handbook 49 . but its transformation into the ﬁnal draft for submission usually takes much longer than planned. or in a separate companion volume or box. If the thesis consists of more than one volume. 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. Separate contents pages should also be included in subsequent volumes. The thesis structure is a matter for discussion between candidates and supervisors. but it must be a report on the work which has been carried out during a supervised course of research while the candidate was registered for the PhD degree.1 Introduction This section contains information on the presentation. The preparation of a ﬁrst draft may be the most difﬁcult part of the work.3. The abstract must not exceed 500 words. candidates should show the contents of all volumes on the contents page of the ﬁrst volume. It may include published material. The only general requirement is that the thesis should be an integrated report. The following guidelines may assist candidates in preparing their theses for presentation. Nearly all candidates ﬁnd that the actual writing of a thesis takes much longer than expected. providing a summary of the methods of investigation and conclusions reached in a form suitable for publication.13. 13. plates etc: all illustrations should be numbered and page references given.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.2. Prior approval is required and it is important that this is organised as early as possible and before examiners are appointed. and availability of the thesis. Acknowledgements: candidates are required to acknowledge all assistance that has been received with the research and production of the thesis. Preface: a preface may not be necessary as the abstract can state the scope of the study.2. Where the research project consists of a number of cases of more or less separate studies. Abstract: the regulations require that the thesis should include a short abstract. Candidates should check details of presentation and production with the primary supervisor before ﬁnal preparation of the thesis. 13.1 Layout It is recommended that the contents of the thesis be presented in the following order: • • Title page: a specimen page is provided on page 53. Body of the text: relevant advice is provided in section 13. Table of contents: candidates should list chapters with relevant page numbers. List of illustrations. the thesis must explain their relationship to one another. binding. A student may present a thesis in Te Reo Maori as outlined in The Use of Te Reo Maori for Assessment Policy. The precise interpretation of this varies from discipline to discipline. Schools may also specify distinct requirements bearing on style and presentation.
New Zealand Government Printing Ofﬁce. 5th ed. The New Zealand Style Book. 50 PhD Handbook . Rita S. the books listed below may be useful. 1996. Walter S. draft. Authoring a PhD: how to plan. Achtert. 4th ed. 6th ed. M L A handbook for writers of research papers.2 Citation style Particular disciplines often have individual citation conventions. The supervisors are able to advise on the appropriate forms. Gibaldi. Patrick. London: Falmer Press.) Swales. L. (It is often inconvenient to refer to notes and references placed at the end of the chapter or at the end of the thesis. University of Chicago Press. or how to cite journal articles.• Appendices (if applicable): candidates may wish to include here any material that does not ﬁt conveniently into the body of the text. theses and dissertations. (Also titled Style Book: a guide for New Zealand writers and editors. English in today’s research world: a writing guide. 1995. 2nd ed. though not essential. New York: Modern Language Association of America. If in-text references are in the form of footnotes. Day. Joseph. 1998. 2nd ed. in cases of doubt the full form of any reference should be used rather than abbreviations. Turabian. Gibaldi. that these footnotes appear at the bottom of the page to which they refer. References and/or Bibliography: references in the text should be made in the form appropriate to the discipline concerned. Joseph. American Psychological Association. The MLA style manual. For speciﬁc examples of how to cite a book (single. The Chicago manual of style. M L A style manual and guide to scholarly publishing. Ann Arbor. John M. it is preferable. Phoenix: Oryx Press. especially if the thesis is later reproduced on microﬁche. These works are all available in the Library. 1994. Houndmills. please consult the Library Reference and Research staff for advice on its format and for guides on its preparation. 2003. Chicago: University of Chicago Press. Wellington: GP Publications. if the footnotes become very extensive it is acceptable to list them in a separate section at the end of the thesis. 15h ed. A manual for writers of term papers. 1998. 2000.) Index: if candidates wish to include an index. and the listing in the References/Bibliography should reﬂect disciplinary norms. Be sure to conform consistently to the standards considered appropriate for the relevant discipline. University of Michigan Press. Publication manual of the American Psychological Association. 2001. Writing your doctoral dissertation: invisible rules for success. Dunleavy. K. New York: Modern Language Association of America. 2003. • • 13. Consult the Reference and Research staff for further guidance. Chicago: University Press. Washington: the Association.2. However. 6th ed. Robert. Basingston. 5th ed. Brause. 2003. New York: Modern Language Association of America. multiple or corporate authorship) in part or as a whole. How to write and publish a scientiﬁc paper. write and ﬁnish a doctoral thesis or dissertation. 2000.
115 (b) etc). The paper used should be of good quality and be in A4 format. On the other three sides of the page the margins should be not less than 1.000 words in length (including scholarly apparatus). Candidates should be guided by their supervisors on an appropriate length for the thesis.7 Length • A PhD thesis should be concise: examiners often criticise excessive length. abstract.5 cm as the edges will be trimmed by the binders and there must be no danger of losing part of the text. • 13.2. Candidates may also wish to distinguish indented quotations from the main text by using single spacing or a smaller font size. The Library provides a self-service colour photocopier in the photocopying room on Level 2 of the Central Library. which frequently indicates poor judgement. • • • 13. except the title page which is normally counted but not numbered.nz.4 Pagination • Pages must be numbered consecutively and page numbers should appear on every page in a consistent position.6 Photographic and Colour Copy Illustrations • Photographs should be dry mounted where possible. including diagrams and charts. Candidates should discuss payment with supervisors. Use single spacing for footnotes but double spacing between individual notes. especially the footnotes. New Kirk. Avoid. diagrams and maps may be folded to conform to the A4 format. 115 (a). provided the text is correctly imposed with uniform and sufﬁcient margins. Leave a margin of at least 4 cm on the left or binding side of the page. room 116. Rankine Brown Building. maps or charts .should be included in the main numbering sequence. table of contents etc).3 Format • • Word-processing and 12-point type font is recommended. especially if the thesis is very long.illustrations. but text on both sides is acceptable. Printing on one side of the paper only is preferred. Larger material such as charts.ac.13. The Victoria University PhD Statute stipulates that “the thesis shall not exceed a total of 100. It is essential that all leaves be of the same size so that they may be readily bound together. uniform on all pages.2.g. sub-numbering of pages/leaves (e. or mounted on guard sheets.5 Paper • The physical appearance of the thesis is very important. Interpolated leaves . Image Services may be contacted at: tel 0-4-463 5133.2.2. email Image-Services@vuw. It is recommended that photographs be mounted on heavier paper than that used for the main text. 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.2. • • 13. if possible. In exceptional circumstances the • • PhD Handbook 51 . Candidates should contact University Image Services for information on available photographic and digital imaging services and current costs. • 13. Lines should be double spaced or at least one and a half spaces apart.
Research Degrees Committee may grant permission for a longer thesis to be submitted for examination” (PhD Statute 4. but close without saving changes. is necessary insurance. A supervisor or school administrator. Permission should be sought well in advance of submission of the thesis for examination. Also OOS Buster courses (I hour) are held regularly during term time.ac. students should make a copy and print from that. Different drivers impose different page speciﬁcations. If a draft printout from another printer is needed. and a change in printer-driver can affect the layout signiﬁcantly.4 (b)). • Candidates should be aware of the dangers of developing occupational overuse syndrome (OOS) with prolonged computer use. Candidates should always back up their work. regularly up-dated. Candidates should consult the relevant thesis presentation guides before they begin. keeping the back-up in a different place from the original.nz/hr/heath_ safety/health-safety-training. The Health and Safety webpage: www. The following advice should help candidates make the most efﬁcient use of their computers and avoid commonly-made mistakes. At the time of submission the candidate must certify that the thesis falls within this word limit. 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.8 Computer Use Most PhD theses are produced by candidates using a computer. or use the original.victoria. • • • 52 PhD Handbook . One at home and one at the University. for instance. Using the required guidelines from the outset will save a great deal of time and anxiety in the ﬁnal stages of thesis preparation. particularly for complex formats like tables. Information Technology Services staff may also be able to provide advice. might be prepared to hold a back-up copy.2.html describes how a computer workstation should be set up.
2.13.9 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 .
never stapled.4 Availability and Withholding of Access to Theses 13. Theses are deposited with Collection Services on Level 1 of the Central Library.4).4. advice may be sought from library staff. • • 13.4.3. A receipt is issued at the time of deposit. is available from the Reference desk in the Library. The thesis must be fully bound. • • 54 PhD Handbook . It is an important component of the University tradition that knowledge is openly available for examination and criticism by peers (see also 13. The degree will not be awarded until this has been done. 13.1 Public Availability of Theses The University Human Ethics Committee (HEC) Guidelines (see Appendix 1 of the Human Ethics Policy: www. as this will interfere with the permanent binding. If in doubt. provided the relevant information (as above) is visible when the item is shelved. Law. The author’s last name and initials and the title/short title must be lettered on the spine.3 Binding 13. for deposit in the University Library. Care should be taken to ensure that the temporary binding does not produce a row of holes down the page. may be bound or boxed in a fashion appropriate for their preservation. The Reference desk of the Library holds a list of approved binders. The thesis must be ﬁrmly bound within the temporary cover so that pages cannot become detached. who will soft bind theses for examination. Authors are responsible for all binding charges.3.1 Temporary Binding for Examination • Candidates are encouraged to submit the three copies of their thesis for examination in temporary soft binding.2 Deposit • Completed PhD theses are deposited in the University Library on the understanding that completed work becomes an important part of the Library resources and may be consulted by other researchers. The binding must ensure that the thesis can later be permanently bound to conform to the Library requirements. Architecture and Design theses are deposited with the relevant campus library. • • • • 13. A list of local commercial binders. Works which do not fall within the usual A4 format. Lettering on the front cover is recommended but not essential.html) require that research results must be disseminated and not kept secret.victoria.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.nz/home/about_victoria/policy.ac.13. to facilitate any revisions or corrections and/or re-submission. and cased in cloth or buckram.4. such as musical scores.
and photographs included in the thesis). If making information available would be likely to prejudice the security or defence of New Zealand or international relations with New Zealand. research students own the intellectual property originally created exclusively by them in the course of their studies.3(c) of the Library Statute for a full description of the provisions regarding the Withholding of Access to Theses and see http://policy.nz/Amphora!~~policy.4. The third bound copy is retained by the candidate.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.vuw. If application is delayed difﬁculties may arise if the RDC subsequently declines the application after the research has been completed.4. 7 and 9 of the Act.3 Copyright and Intellectual Property The author retains the copyright to the thesis after deposit in the Library and redress for plagiarism can be sought under the laws protecting copyright. Copyright in publications other than the thesis arising from supervised research is likewise owned by the creator(s). In general. research students will be required to enter into an agreement assigning or apportioning intellectual property to the University. 13. The application must also be supported by the supervisors and Head of School.4 Withholding Access to Theses Where there are good reasons why a thesis should not be publicly available candidates must apply in writing to the Research Degrees Committee (RDC) for approval to withhold access for a given period. endanger the safety of any person.nz~POLICY ~000000000034. Candidates should consult section 4.pdf for the Withholding of Theses Procedure. The Library must always receive the original or “best” copy (and this includes the ﬁgures. A completed availability slip MUST accompany the deposit. Students should consult the Victoria University Intellectual Property Policy at http://policy. or comply with the terms of any agreement.12. or prejudice the maintenance of law and order. This should be done at the outset of research. however. or as soon as the need for an embargo becomes apparent. or seriously damage the economy of New Zealand. • • 13. i. or it will not be accepted. ac. PhD Handbook 55 .nz It describes ownership and what is required should intellectual property issues arise from research undertaken while a student at the University. Availability slips are obtained from the Faculty Ofﬁce at the time of enrolment. graphs.4.” A description of what constitutes a good reason for withholding information held by the University is dealt with principally in Sections 6. In certain circumstances. In some cases the candidate’s school will also request a copy. For electronic deposit.ac. 13. it must be in the public domain. Second or third copies are usually photocopies. the use of any third party content must not be in breach of copyright.vuw.ac. that likelihood is good reason for non-disclosure.victoria.e.• The Faculty Ofﬁce is responsible for ensuring that the candidate deposits one hard-bound and one electronic copy of the thesis in the Library immediately upon receipt of advice from the Convener of the Research Degrees Committee that the degree is to be awarded. The Associate Dean can provide further advice. fall within the provisions of the Copyright Act 1994 and Amendments.
rents and other costs. the withholding of that information is outweighed by other considerations which render it desirable. for the purpose of section 5 of this Act. as a matter of policy.3(c). or To endanger the safety of any person. the ground identiﬁed in the written request made by the author under the Library Regulation 4. 13. Where arrangements have been made under the Library Regulation 4. and detection of offences. It will cite as the speciﬁc ground for withholding the document. to make that information available. and the right to a fair trial.6 Ofﬁcial Information Act 1982 For the information of candidates and supervisors. investigation. 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.3(c) for the withholding of a thesis or research paper from consultation. disclosure may be required if “in the circumstances of the particular case. iv) the stability. Conclusive reasons for withholding ofﬁcial information Good reason for withholding ofﬁcial information exists. 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. or (c) To prejudice the maintenance of the law. iii) taxation. or To prejudice the entrusting of information to the Government of New Zealand on a basis of conﬁdence by: i) the government of any other country or any agency of such a government. and its inclusion or exclusion from the research document as formally presented for examination. making requests for research information from outside sources. including the prevention. Candidates and supervisors should bear these factors in mind in choosing topics for research. and deciding how information will be handled in the examining of the thesis or research paper.4. the University will. in the public interest.Candidates should give particular attention to Section 9 of the Act.12. seek to withhold information in it under the Ofﬁcial Information Act 1982. It is important to note that although the section lists good reasons for withholding information. Sections 6 and 9 of the Ofﬁcial Information Act are reproduced here: Section 6. (b) (d) (e) 56 PhD Handbook . giving undertakings to the suppliers of information in respect of the maintenance of conﬁdentiality.” It is for this reason that the University can give no guarantee that information held by it will not have to be made available under the Ofﬁcial Information Act 1982. or To 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.12. control and adjustment of prices of goods and services. ii) the regulation of banking or credit.
unless. or ii) Would be likely otherwise to damage the public interest. iv) The conﬁdentiality of advice tendered by Ministers of the Crown and ofﬁcials. iii) The political neutrality of ofﬁcials. v) the borrowing of money by the Government of New Zealand. or (b) Protect information where the making available of the information i) Would disclose a trade secret. 10. or (f) Maintain the constitutional conventions for the time being which protect: i) The conﬁdentiality of communications by or with the Sovereign or her representative. 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 information from the same source. Section 9. in the public interest. salaries and other incomes. this section applies.and rates of wages. or (c) Avoid prejudice to measures protecting the health or safety of members of the public. and it is in the public interest that such information should continue to be supplied. where the making available of the information i) Would be likely to prejudice the supply of similar information. including that of deceased natural persons. to make that information available. for the purpose of section 5 of this Act. or (d) Avoid prejudice to the substantial economic interests of New Zealand. or (e) Avoid prejudice to measures that prevent or mitigate material loss to members of the public. Other reasons for withholding ofﬁcial information: (1) Where this section applies. ii) Collective and individual ministerial responsibility. or (g) Maintain the effective conduct of public affairs through i) The free and frank expression of opinions by or between or to Ministers of the Crown or members of an organisation or ofﬁcers and employees of any Department or organisation in the course of their duty. vi) the entering into of overseas trade agreements. if. 7. the withholding of that information is outweighed by other considerations which render it desirable. in the circumstances of the particular case. and only if. and 18 of this Act. good reason for withholding ofﬁcial information exists. or ii) Would be likely unreasonably to prejudice the commercial position of the person who supplied or who is the subject of the information. or (2) PhD Handbook 57 . Subject to sections 6.
without prejudice or disadvantage. 58 PhD Handbook . or (k) Prevent the disclosure or use of ofﬁcial information for improper gain or improper advantage. ofﬁcers. commercial activities. without prejudice or disadvantage. or (j) Enable a Minister of the Crown or any Department or organisation holding the information to carry on. or (i) Enable a Minister of the Crown or any Department or organisation holding the information to carry on. or (h) Maintain legal professional privilege.ii) The protection of such Ministers. and employees from improper pressure or harassment. members of organisations. negotiations (including commercial and industrial negotiations).
The third examiner should be a member of the Victoria University staff (the internal examiner).0 The PhD Examination 14.1 Appointment of Examiners The PhD thesis is examined by three examiners who are people with standing in the ﬁeld of the thesis being examined and who normally have experience of PhD supervision and examination. Suitable examiners are those who have no signiﬁcant personal. If the candidate is a member of Victoria University staff. 14. the internal examiner should not normally be a close working colleague. 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. PhD Handbook 59 . e.g. the Research Degrees Committee (RDC) should be consulted. as long as the report constituting the thesis is written under supervision during the period of registration. ‘Availability’ means willingness to accept appointment and agreement to examine the thesis and complete a report within eight weeks of receiving the thesis. 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. Only in exceptional circumstances will the internal examiner be the primary supervisor or cosupervisor. The decision to make application for a thesis to be examined is one to be made by the candidate.14. in consultation with the Administrative Supervisor. Examiners must be in a position to provide a fair and impartial assessment of the thesis. the Associate Dean will give favourable consideration to a request for early submission. The thesis may include the candidate’s previously published work or material based on previous research. a member of the same teaching/research group. and supply the Associate Dean with a brief curriculum vitae or other information which establishes the suitability of the proposed examiners.. At least one examiner is normally a member of the staff of an overseas university or similar institution (the overseas examiner). In cases where the most qualiﬁed examiner has such a relationship with the candidate. The Associate Dean will scrutinise the recommendations and forward them to the RDC. Normally at least one examiner will be from another New Zealand University (the external New Zealand examiner). Availability is normally established through informal contact and the Associate Dean is responsible for ensuring that this is done. Concerns with any aspect of the recommendation of examiners should be addressed to the Associate Dean.3 Submission A thesis is an integrated report. Supervisors. Candidates can be consulted on potential examiners. The RDC approves the nominations and appoints the examiners. If it consists of several studies or cases. their relationship to one another should be demonstrated. 14.2 Early Submission In cases where a candidate makes exceptional progress with their research. or where a candidate who has transferred from a Master’s degree is able to complete their thesis in less than the predetermined period of registration. professional or contractual relationships with the candidate. but may not be told which examiners have been nominated or appointed. recommend suitable examiners to the Associate Dean.
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. in exceptional circumstances. 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.vuw.nz~POLICY~000000000034.000 words in length* a research supervision Exit Questionnaire to canvas PhD students for written comments about the supervision of their thesis. it is expected that such decision will be made by agreement between the candidate and the supervisors.nz/ Amphora!~~policy. When the candidate indicates the thesis is complete. The University expects that normally a candidate would be enrolled for the three months immediately preceding submission.vuw.However. a statement that the thesis does not exceed 100.pdf). The Associate Dean. including word limits. 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. Students may appeal to the PhD Convener. Should the Associate Dean decide that a thesis is not complete the candidate may appeal that decision to the Research Degrees Committee (RDC). to submit without three months prior enrolment. The University has an obligation to examiners to ensure that any thesis sent for examination is complete and suitable for examination.ac. A grace period starts on the last day for which fees are paid and covers the following 28 days. 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. two Availability of Thesis forms providing consent for the thesis to be consulted. 60 PhD Handbook . borrowed. This requirement is delayed if the candidate has received the approval of the RDC to have access to the thesis withheld for a limited given period of time (see Withholding of Theses Procedure http://policy. If the supervisors are of the opinion that the thesis is not complete. the candidate retains the right to have the thesis examined. Before submission. after appropriate consultation. 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. If a thesis is submitted in the grace period no extra fees will charged. • • • On submission of the thesis. the primary supervisor may recommend to the Associate Dean that the thesis not be accepted for examination. 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. copied or reproduced in accordance with the Library regulations.ac. This review period should not usually exceed four weeks. 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. it should be reviewed by at least the primary supervisor before application is made for examination. A thesis is not complete unless it constitutes a complete scholarly work inclusive of all scholarly apparatus usual in the discipline.
* 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:
for example. 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. that no degree be awarded and the candidate’s registration be terminated.9 Minor Amendments and Revisions The responsibility for overseeing the minor amendments or revisions is usually taken by the internal examiner.1) to the thesis recommended by the examiners.2 Revisions Where more than minor amendments are required. If the primary supervisor is not available then the Administrative Supervisor will take this role. such as making small corrections.• • that the candidate be awarded the PhD. then the primary supervisor will take this role. that the candidate be awarded the PhD subject to the completion of any revisions (deﬁned in 14. 14. 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. Where examiners require ‘revision’ it is expected that: • the thesis is generally of the required standard and the changes required are such that it does not need to be re-examined as a whole. the candidate may be asked to revise aspects of their work and sometimes write new sections. that the candidate be declined a PhD but offered a Master’s degree. to the satisfaction of the internal examiner. amendments that are ‘minor’ should be able to be completed within two weeks’ full-time work or equivalent.9. After consultation with the candidate. the changes that the examiners require are such that it is reasonable for the internal examiner alone to assess the revised thesis.2) to the thesis recommended by the examiners.9. the person responsible for overseeing the minor amendments or revisions will stipulate in writing the timeframe within which these must be completed. As a guide.9. If the internal examiner is not available.9. In this case the examiners should offer detailed advice to assist the candidate towards a successful re-submission. to clarify an argument. that the candidate be awarded the PhD subject to the completion of any minor amendments (deﬁned in 14. Generally minor amendments are formal only. 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. 14.1 Minor Amendments It is very common for examiners to ask candidates to make small corrections to the thesis before it is accepted. that the degree not be awarded but that the candidate be permitted to re-submit a revised thesis within a speciﬁed period. adding missing citations. to the satisfaction of the internal examiner. but ‘minor’ can include slight changes or additions of substance. • • • • • 14. or ﬁxing typographical errors. and • 64 PhD Handbook .
It is the duty of the School Research Committee to organize this. The internal examiner is responsible for explaining to the candidate. Any recommendation regarding a second oral examination requires conﬁrmation by the RDC. PhD Handbook 65 . 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. Following such discussions. in writing with a copy to the Convener of the RDC. 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. MMus.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. Re-enrolment is required for re-submission. the gathering of further data. 14. all copies of the thesis are returned to the candidate who is given the date by which re-submission must be made. Where the problems are more fundamental (requiring. Once the thesis has been resubmitted. an explanation should be given to the Research Degrees Committee. may. Any such change must be notiﬁed to the relevant Faculty Ofﬁce. When the thesis is re-submitted. at their discretion. or a restructuring of the thesis). Any candidate for whom the result of the ﬁrst round of the examination process is that the thesis may be resubmitted. who will then appoint an appropriate substitute. LLM) in place of the doctoral qualiﬁcation. it is desirable that the work is completed as soon as possible. a second oral may be necessary. which will usually delegate this to the internal examiner and/or the primary supervisor. Where re-submission is involved. 14. a formal Memorandum of Understanding should be agreed before entering into negotiations with the candidate as to the completion of these revisions. MSc. and to change the primary supervisor if this is academically advisable. for example. MCA. this option no longer applies. Only in exceptional circumstances will the RDC consent to a change of examiners. a period of further supervision will be required. to ensure that the candidate understands exactly what is required to meet the examiners’ concerns and to oversee the revision process.3 Disputes about Revision If there is substantial disagreement between the two external examiners and/or the internal examiner. The revisions required will be notiﬁed to the candidate in writing. it is recommended that the internal examiner discuss the matter with senior researchers in the School or wider university. When the examiners recommend that the thesis be re-submitted after revision. which parts of the thesis require revision and for what reasons. the examination process begins again.• 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. If there is good reason why the internal examiner should not be the person to undertake this task. The Masters in such cases will be awarded at the Pass level. 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. While candidates have a maximum of six months to make the suggested revisions. they may also recommend that a second oral examination is not required.9.
15. While PhD students are usually treated collegially by academic staff. Like many transitional states. ac. PhD candidates’ status can be rather ambiguous. The University encourages candidates to get to know each other so that experiences can be shared 66 PhD Handbook .1 Introduction While engaged in PhD study. although the Postgraduate Students’ Association (PGSA) can provide important social and academic contacts. intellectual openness and questioning of accepted wisdom. neither members of the main student body.nz/home/about/newspubs/publications/Charter. nor members of the academic staff. isolation can be a problem. This document is also available at: www.3 Collegiality The University recognises that a vital aspect of the learning experience for PhD candidates is an environment of strong and supportive collegiality. For PhD students in small schools. equity of educational and employment opportunity for those who are socially and economically disadvantaged. 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. high ethical standards of accuracy. place in the University system. co-operation. teaching and research. The University. tolerance. • • • • • • A full description of the University’s Mission and Values is set out in the University Charter. The sections that follow outline the principal values of the University community.0 The University Community 15. and ultimately will be examined by the academic staff. and the principal rights and obligations of PhD students.2 Values and Ethos The guiding values of the University community are: • • excellence in learning. A copy is available in the main collection of the Library. in return. During the time of study. Students should be aware that undertaking a PhD has the potential to be a solitary and isolating experience and should work to mitigate this. endeavours to maintain an environment which will foster and protect PhD students. acknowledgement of the principles of the Treaty of Waitangi and recognition of the special relationship with the tangata whenua. candidates occupy a special albeit transitional. a nurturing environment providing the atmosphere for growth and learning.victoria.pdf 15. acceptance of obligations as well as rights to enable all in the University community to develop their full potential. and a commitment to teaching and research that embraces both theory and practice. a commitment to leadership in the community and an awareness of the needs of that community. and provide an academically exciting and intellectually stimulating environment. at the same time they require guidance. 15.
5 Rights and Obligations Regarding Conduct 15. It lobbies on issues. To subscribe or unsubscribe to the list go to www.victoria. the PGSA is committed to maintaining and improving the conditions under which all postgraduates work at Victoria.victoria. The use of email is very helpful for this purpose. The PGSA sends out a monthly e-newsletter The Postgraduate News.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. It is expected that students will act with integrity and demonstrate respect for others and their conﬁdences when given. and welcomes enquiries. lobbying to foster the academic.nz The Statute on Student Conduct identiﬁes unacceptable behaviour and provides processes by which people can seek to have concerns addressed.nz/pgsa The PGSA’s ofﬁce is in Room 202. seminars. represents postgraduate students on a variety of university committees and arranges social activities.and problems jointly addressed. it is expected that they will attempt to resolve any conﬂict themselves. 15. All PhD candidates are therefore reminded of their obligation to observe the Statute on Student Conduct.nz or www. 15. study and participate in the social aspects of the University’s life in an environment of safety and respect. It acts on behalf of postgraduates. ﬁnancial and social needs of higher degree students. The PGSA also coordinates the network of postgraduate representatives on university committees and bodies. The preamble to the Statute on Student Conduct states that: “Students are expected to contribute with reason and consideration to the University’s role. The PGSA aims to create a vibrant postgraduate community at Victoria and to promote the value and role of postgraduate contributions to the University. relevant information for postgraduates and social events.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. Candidates are also encouraged to attend the appropriate faculty and school seminars. 20 Kelburn Parade. You can also contact the PGSA on tel 0-4-463 6973 or email pgsa-ea@vuw. They are entitled to work. Recognised by the University and Victoria University of Wellington Students’ Association (VUWSA) as the lead representative body of all postgraduate students.ac. 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. training workshops and information. co-operatively and in a professional manner. learn.ac. The PGSA is always eager for postgraduates to get involved. which can be a helpful means of ensuring contact with colleagues and avoiding isolation. The PGSA operates an electronic mailing list for all members which keeps postgraduate students informed about PGSA initiatives.5. The PGSA is run by the Executive.aspx and ﬁll in your details.victoria.ac. 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. elected each year and comprised of up to ten voluntary postgraduate students. which can be viewed by searching for ‘Statute on Student Conduct’ at: http://policy. and provides advice and advocacy for individuals and groups of postgraduate students.” If differences or disputes arise between members of the University community. ac. PhD Handbook 67 .nz/pgsa/resources/mailing-list.
These deﬁnitions of misconduct are not intended to apply to reasonable comment by staff in the exercise of academic freedom. learn.The Statute prohibits the following conduct: discrimination. sexual harassment.2 of the Statute.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.nz/disputes-advice/ 68 PhD Handbook . racial harassment. misuse of information. Further information is available in the brochure Respect: Sex and Relationships: what’s OKAY and what’s not at http://www.5. The Policy on Staff Conduct identiﬁes misconduct as including: discrimination. they should in the ﬁrst instance. misuse of University computer systems. the University has clearly deﬁned procedures under the Policy on Staff Conduct for dealing with sexual harassment. all deﬁned in section 4. causing racial disharmony.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. causing racial disharmony. “ 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.2 of the Policy. harassment. academic misconduct including plagiarism. co-operatively and in a professional manner. In particular. misconduct in research. It is also University policy that all disciplinary procedures conform to the principles of natural justice. If any PhD candidate has been subjected to unwelcome and distressing behaviour and would like guidance as to whether it amounts to sexual harassment. sexual harassment. misuse of information. all deﬁned in section 4. study and participate in the social aspects of the University’s life in an environment of safety and respect. misconduct involving a conﬂict of interest.nz/ The preamble to the Policy on Staff Conduct states: “Members of the University community are expected to contribute with reason and consideration to the University’s role.victoria. 15. They are entitled to work.5. contact the University Facilitator and Disputes Advisor.ac. and other misconduct. vuw. racial harassment.ac. Various procedures have been adopted in the Statute and the Policy to safeguard the rights of the individuals in this respect. it is expected that they will attempt to resolve any conﬂict themselves. If differences or disputes arise between members of the University community. and other misconduct. misuse of authority. 15. 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. guiding values and standing and to regulate their own conduct so as not to impede or prejudice the work of other members of the community.
They can help with a wide range of queries . A comprehensive careers website also offers valuable advice. handles applications for Victoria’s Halls of Residence.nz/st_services/ accommodation/ or on notice boards in the Accommodation Service.. Student Union Building Hours: 9am to 5pm Monday to Friday tel 0-4-463 5896.from the general exploration of career ideas and the career implications of postgraduate courses. to details of speciﬁc jobs. except Wednesday 10.1 Student Services Group Victoria has an excellent support network for students.nz Career Development and Employment (www.ac. A separate Law and Accounting Employment Programme is held early in the year. The Service’s reference library has detailed information on occupations and employers. 16. Prospective postgraduate students are especially welcome to visit and use the Service. workshops and seminars in addition to tips on career development and job search topics.ac. Victoria CareerHub is also your one-stop-shop for details on all career events. fax 0-4-463 5252. Many of these services are run by the Student Services Group.1. Feel free to come by for a casual visit during our drip-in times or call ahead to book an appointment.2 Career Development and Employment 14 Kelburn Parade Hours: 9am to 5pm Monday to Friday. email Accommodation@vuw. A Graduate Recruitment Programme runs throughout most of the year. preparation of CVs. This can be accessed via Victoria CareerHub: http://careerhub. conﬁdential discussions.victoria.ac. career fairs. which is funded by the University and by students through a small levy paid upon enrolment. 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.1. The Service has three professionally-trained careers advisers available for informal. PhD Handbook 69 . email firstname.lastname@example.org The Accommodation Service helps students ﬁnd suitable accommodation in Wellington. The Letting Service can be accessed online at: www. employers and checking draft copies of resumes. and the computer database provides a useful checklist of career options and training.ac.nz using your Student Computing account as your login. and operates a Letting Service of vacancies in the private market. including the study break. identifying skills and other career-related matters.30am-5 pm tel 0-4-463 5393. The Service is open all year.1 Accommodation Service Level 1. i.ac.victoria. 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.e. employer presentations. 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. fax 0-4-463 5252.0 University Student Services 16.nz/st_services/careers/) provides information and guidance to students with career and course-related questions. There are career workshops for developing interview skills. 16.16.victoria.
There are also active student support groups. Students wishing to discuss their needs should contact a Student Adviser from Disability Support Services as early as possible. at 67-71 Fairlie Terrace.30pm on weekdays during term and examinations.30am-4.1. Bookings are on a permanent basis. fax 0-4-463 5028 Counselling Clinics are also held at Pipitea. and possibly to 6. tel 0-4-463 5151 or email Childcare@vuw.1. which offers monthly regional meetings. their relationships or their learning.ac.ac.1.nz 16.ac. hearing assistance technology. regular workshops and a mentoring programme.victoria. or phone the Manager on 0-4-463 5151.30am to 5.7 MAI Ki Poneke MAI (Maori and Indigenous Postgraduate Students) is a national network for Maori. email Disability@vuw. Students who wish to use any of the Crèches should register in person from the ﬁrst Monday of November at 71 Fairlie Terrace.4 Childcare The University Student Crèche is available to students with pre-school children (from birth to ﬁve years). Group programmes are also available. alternative print formatting.nz Disability Support Services are on campus to assist students who are deaf or have an impairment. 16. Robert Stout Building. Pasiﬁka and First Nations’ PhD Candidates.16. Room 007 tel 0-4. in the Government Buildings on Lambton Quay. and personal assistance where appropriate.5 Disability Support Services Level 1. The Law Crèche.00pm by special arrangement. places to study and rest. 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. A range of services and support is available. injury. including specialised computer software. Trained and experienced staff provide care and education for children aged from three months to ﬁve years.victoria. Kirk Building.30pm weekdays. either full-time or ﬁve half days.30pm email kaiwawao-maori@vuw. and Kea House at 2 Clermont Terrace. and is open from 8am to 5. This Crèche is on the Kelburn campus.ac. www. Te Aro and Karori campuses.463 6001 or 027 563 6001 Monday to Friday 8. 16. The University Staff Early Childhood Education (ECE) Centres cater for the children of staff and postgraduate students.1.nz www.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. Level 0. and is open 8. caters for 14 children up to three-and-a-half years of age. 16.6 Kaiwawao Maori/ Maori Student Services Adviser Hunter Courtyard. mental health condition or chronic illness that may impact on their study. The Crèche’s fully trained and experienced staff provide care and education for children while parents are studying.nz/mai 70 PhD Handbook .ac.3 Counselling Service 2 Wai-te-ata Road (Kelburn campus) Hours: 9am to 5pm throughout the year tel 0-4-463 5310. Bookings can be made by contacting the Manager. Room 103 Telephone for an appointment tel 0-4-463 6070. Staff ECE Centres are Tui House at 4 Clermont Terrace. fax 0-4-463 5104.1.
developing research questions. 16. oral presentations. dermatology and physiotherapy.nz/st_services/health/ (for clinic times and fee structure) The Student Health Service offers low cost conﬁdential quality healthcare.16. tel 0-4-384 4944 (there will a charge for this service). fax 04-463-5028 Pipitea: Student Services. email Student-learning@vuw. Experienced learning advisers are also available for one-to-one consultations on all aspects of postgraduate study. For free medical advice. fax (04)-463 5252.1. in the ﬁrst weeks of each trimester. email Student-hardship@vuw. Level 2. research costs not covered by grants. management of ongoing health problems. accommodation etc. minor surgery and more.victoria. 16. Grey Block. fax 0-4-463 5252. fax 04-463-7475 Karori: Level 3. smears and sexual health checks.30pm Tuesdays and Fridays tel (04)-463 5999.9 Student Health Service Kelburn: 4 Wai-te-ata Rd.ac. and Te Aro: Ground ﬂoor.nz The Student Learning Support Service (SLSS) runs regular seminars on topics of interest to postgraduate students. 17 Adelaide Road. phone 0800-611 116 to speak to a registered nurse. transport. For further information phone 0-4-463 5908. After hours emergency care is shared with Wellington GPs at the Wellington Accident and Urgent Medical Centre. West Wing tel 0-4-463 7474. An experienced team of doctors and nurses provides a wide range of medical care including treatment of acute illness and injury. A number of specialist services are also available including psychiatry. for example. They can also help students complete ﬁnancial statements for scholarships applications.ac. high course costs. fax 0-4-463 9581 email Student-health@vuw. travel and nutrition advice. Railway Station.30am to 4pm Monday to Friday Pipitea: Railway Station.victoria.1. including time management.nz www. West Wing. Rooms 106 and 107 Hours: 9am to 5pm weekdays (no appointments on Fridays) tel 0-4-463 6644 or 0-4-463 6658. SLSS facilitates a regular postgraduate writing group (beginning with an intensive Saturday workshop in March). Level 2 Hours: 8. 139 Vivian St tel 0-4-463-5308.ac.30am to 3. Level 0 Hunter Courtyard Hours: 8. at both Kelburn and Pipitea campuses. They administer the Hardship Fund which provides short-term assistance for those facing ﬁnancial difﬁculties. childcare. will help postgraduates set up and maintain a peer study/support group in their school and will organise workshops on request.10 Student Learning Support Service Kelburn: Kirk Building. PostgradLife is a student-centred website which provides links to important information for postgraduate students: www.ac. contraception. The Advisers have close links with StudyLink and can assist with problems associated with Student Allowance and Loan applications.1.8 Financial Support and Advice 14 Kelburn Parade.ac.nz The Student Finance Advisers help students to manage their personal ﬁnances by providing advice and individual budgets. and structuring and formatting long documents. Faculty of Education tel 0-4-463 9537.nz/postgradlife PhD Handbook 71 . Our Student Health Service will help you enjoy better health and an improved lifestyle.
It is a focus for many activities and features social and meeting rooms.1 Student Union Building tel: 0-4-463 6999. New Zealand. It coordinates activities of the Alumni Association. Graduates are encouraged to remain involved in the life of the University and to exercise their right to representation on the University Council. the Student Union Complex provides opportunities for students to participate in a wide variety of cultural. 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. New graduates are automatically enrolled on the register. and through an afﬁnity card it raises money to fund postgraduate scholarships. active and inactive. Enquiries and applications for enrolment should be addressed to the Secretary. fax 0-4-463 5210: email alumni@vuw. the Recreation Centre. Anyone who has studied or worked at Victoria may join. are placed on the active roll.2. www.victoria. social and political activities. many of who have achieved distinction in a variety of ﬁelds in New Zealand and elsewhere. or have applied to the Secretary for transfer to the active roll. Court of Convocation. 16.1.ac. 16. email student-union@vuw. There is also a National Bank branch and ATM. the Union Cafe.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.13 Court of Convocation All graduates of Victoria University are eligible to be enrolled as members of the Court of Convocation.16. the Rutherford House Gym. 16. Facilities include those offered by the Student Union Building. the only campus bookshop in New Zealand owned by its students. Wellington. 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. The Services Team act as a facilitator to help you ﬁnd the assistance you need.nz The Union Building houses the Student Union management and the Students’ Association.2 Student Union Complex The University’s ‘Community Centre’. which elects ﬁve members of the University Council.1.12 Alumni Association The University values its links with its former students. Alumni Relations Ofﬁce Room 325. Vicbooks is on the 3rd ﬂoor of the Student Union Building and 72 PhD Handbook . or have been enrolled since the penultimate election. fax: 0-4-463 6698. which has an important role as a forum to discuss matters of relevance to the University and provide graduate input into University decision-making. the Mount Street Bar and Cafe and the Union Hall and Hunter Bar. recreational.1. The register of members is in two parts. The Association also organizes informal social activities.nz. the Kelburn Tennis Pavilion and the Boyd Wilson Field and clubrooms. Hunter Building Tel 0-4-4636700. 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.ac. through the VUWSA Trust. They also deal with all insurance and visa-related issues and can help you settle into your new life in Wellington. Victoria University of Wellington. PO Box 600.ac. the Karori Gym and Tennis Courts. The Student Union Building is home to vicbooks.
Martial arts. Tae Bo and Step to mention a few. to salsa.2 Recreation Centre tel 0-4-463 6614. 16.the ground ﬂoor of Rutherford House. Pump. general books.nz. volleyball. basketball and indoor netball.nz/union/reccentre Recreation offers two main facilities: the recreation centre at the Kelburn Campus. or even cocktail making. The Kelburn and Pipitea Fitness Studios offer a full range of cardio equipment and weights machines. and a second ﬁtness studio and aerobics centre at the Pipitea Campus. The Student Union also operates Student Notes on the Ground Floor. Vicbooks offers a student discount on academic textbooks.2.victoria. volleyball. The Kelburn and Karori gymnasiums provide opportunities for indoor sports such as basketball. which has recently been refurbished. PhD Handbook 73 .ac. and has postal and dry cleaning services. magazines and stationery. The Group Exercise programme offers fantastic classes in Yoga. email email@example.com. choose from indoor soccer. www. indoor cricket and rock climbing are a sample of recreational activities which take place at Kelburn. table tennis and ultimate. If you are into social sport check out our Sports League competition. Pilates. During trimesters 1 and 2 we run an Activities Programme giving you the opportunity to try everything from bridge swinging.
Enrolling.References Academic Grievance Policy Animal Ethics Policy Human Ethics Policy Information Systems Statute Intellectual Property Policy Library Statute Management of External Research Consultancy and Related Contracts Policy Minimum Resources Agreement PhD Policy: Approving. Supervising and Examining Candidates Policy on Recognition of Authorship Policy on Staff Conduct Statute for the Degree of Doctor of Philosophy Statute on Student Conduct Strategic Plan University Charter Withholding Theses Procedure 74 PhD Handbook .
Facilitator and Disputes Advisor. forwarded to Administrative Supervisor and Faculty Ofﬁce Head of School Faculty or School Research/Postgraduate Committees Supervisors. possible supervisors Appropriate ethics committees. suspensions. payment of fees. Associate Dean. record of candidature in the ResearchMaster information management system etc Approving variations to conditions of study including suspensions. extensions. 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. Senior Academic Policy Advisor Resolving problems PhD Handbook 75 . Postgraduate Coordinator. Administrative Supervisor.Appendix 1: Summary of Tasks and Responsibilities Task Discussing initial proposal Ethical approvals Admission Determining conditions of registration Conﬁrming registration Processing administrative requirements including registration. Faculty Ofﬁce. 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. extensions research away from the University Guidance on all matters pertaining to supervisors the research.
Examination Responsibilities Task Receipt of completed thesis Sending thesis to examiners Making examination arrangements Approving examination arrangements Organising and chairing oral examination Assessing examiners’ reports and deciding examination result Notifying results Checking that corrections to thesis have been made Notifying PhD Convener of the RDC that revisions or minor amendments have been made Deposit of thesis in Library Responsibility Faculty Ofﬁce Faculty Ofﬁce Associate Dean in consultation with supervisors and Administrative Supervisor Research Degrees Committee Associate Dean or nominee Research Degrees Committee Associate Dean through Faculty Ofﬁce Internal Examiner Internal Examiner Candidate and Faculty Ofﬁce 76 PhD Handbook .
Responsibilities as follows: Enrolment/Registration • Ensures candidates and supervisors fulﬁl the regulations for the degree Supervision • Provides advice to the supervisors and is the ﬁrst source of advice for candidates beyond the supervisors Assists in resolving any difﬁculties that may arise between candidates and their supervisor/s Informs the Associate Dean immediately in writing. where difﬁculties which have arisen during supervision. Information includes outlining how the candidate and supervisor/s are working towards the resolution of those difﬁculties Ensures that external supervisors. Responsibilities as follows: PhD Handbook 77 . Most administrative responsibilities for PhD students are delegated to the School Research/Postgraduate Committee (SRC). candidates and internal supervisors sign a Memorandum of Understanding. be the Head of School (HoS) of registration.0 Supervision Protocols) Administrative Supervisor In addition to two academic supervisors.Appendix 2: Summary of Role Responsibilities Supervisor/s (see Chapter 7. if the internal examiner or the principal examiner is not available. are hindering the research progress. In most cases. the HoS will act as the Administrative Supervisor. Head of School The role of Head of School (HoS) varies from one school to another. 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.
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. proposed action to rectify problems speciﬁed in the six-monthly reports. 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. 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 . signs the completed application form (along with all the supervisors) and then returns the form. candidate and supervisor/s of the entitlements (facilities. the initial proposal. 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. 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.Enrolment/Registration • Writes an agreement (Research Memorandum) between the School. 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. and monitors. equipment. the Research Memorandum.
• • • Oversees the acceptance of a candidate within a school Ensures that the candidate and each supervisor has a PhD Handbook Provides candidates with University criteria and School-speciﬁc criteria determined by the SRC for progressing from provisional to full registration Oversees the transfer of a candidate from provisional to full registration • Supervision • • • Provides advice and support for supervisors Responds to student queries and concerns Keeps records and monitors six-monthly progress reports (may be delegated from the Head of School) Liaises with Associate Dean over student progress • Administration • • Organises school research seminars Manages all administrative procedures with school administration staff School Research/Postgraduate Committee The School Research/Postgraduate Committee (SRC) is responsible for the management of PhD candidature in the school. Revisions must be completed to the satisfaction of the SRC or nominee Organises the period of continued supervision if the thesis is required to be re-submitted. • PhD Handbook 79 . Responsibilities as follows: Enrolment/Registration • Scrutinises the initial research proposal for academic appropriateness. and the Research Memorandum to ensure appropriate resources are available for the research and then makes recommendations to the HoS on the acceptability of the candidate Approves memorandum of attendance Develops School-speciﬁc criteria (in addition to Victoria University criteria) as to what constitutes satisfactory progress for candidates to move from provisional to full registration Recommends a move to full registration once the committee has accepted the full research proposal and the student has met requirements and informs the Associate Dean • • • Supervision • Discusses possible conversion from a Master’s degree to a PhD with supervisors – must be satisﬁed existing supervisor/s are appropriately qualiﬁed/experienced and if necessary approve additional supervision Examination • Notiﬁes the candidate of any required revisions to the thesis (usually delegate this to the internal examiner and/or the primary supervisor) to ensure that the candidate understands exactly what is required to meet the examiners’ concerns.
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 delegated authority. where the HoS is already the primary supervisor. Sends copies to the RDC for approval • • • • • • • • • • • • • • • • 80 PhD Handbook . following nomination by schools including the Administrative Supervisor. 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. 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. or extensions beyond seven years (only granted in exceptional circumstances). 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. 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. where major difﬁculties are experienced early on in the project and requests that the candidate consider the possibility of identifying a new research project Approves any additional SRC guidelines on what constitutes satisfactory progress for candidates to move from provisional to full registration Approves applications to move to full registration Receives notiﬁcation from candidates if circumstances which have been taken into account in setting the period of registration change in any material way Approves. on rare occasions. 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. where good cause is shown. at the time of registration.
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. 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.Supervision • • Receives and monitors progress on the six-monthly reports Advises supervisors and candidates over matters relating to supervision. where differing recommendations are made. the primary supervisor. Supervisor must notify the candidate who will have the opportunity to make a submission to the Associate Dean Decides. to see if the differing recommendations can be resolved Reports on the examination of the thesis to the PhD Convener. 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). 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. or appoints an appropriate person as chairperson Sends examiners’ reports to the candidate at least ﬁve days before the oral examination • • PhD Handbook 81 . 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. after appropriate consultation. If the Associate Dean so decides. sends all examiners’ reports and a recommendation on the outcome Receives written conﬁrmation from the internal examiner that minor amendments and revisions have been satisfactorily completed Conveys the decision of the RDC (in writing) on the acceptability of the thesis and sends copies of the examiners’ reports to the candidate. the candidate will be advised of the reasons for the decision and the changes necessary to make the thesis suitable for examination.
• 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. on behalf of the Associate Dean Ensures the candidate has deposited two copies of the ﬁnal copy of the thesis in the library. Sends the report of the oral examiner to the candidate.000 words in length (inclusive of scholarly apparatus) Ensures the candidate receives an Exit Questionnaire to evaluate their supervision upon thesis submission • • • Examination • Sends examiners a copy of the thesis and appropriate information detailing what is required from them Sends ofﬁcial notiﬁcation of examination results to candidates. Responsibilities are: Enrolment/Registration • • • Administers candidates registration. 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. to the RDS. borrowed. Administrative Supervisor and HoS. 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. assesses examiners’ reports and makes a decision concerning the examination result on behalf of the RDC. • • PhD Convener The PhD Convener chairs the Research Degrees Committee (RDC). with a recommendation. Responsibilities as follows: 82 PhD Handbook . after any telephone conversations with the overseas examiner as appropriate. fees.• Reports on the examination as a whole. copied or reproduced in accordance with the Library regulations.
including all the examiners’ reports and a recommendation on the outcome Approves. • • Research Degrees Committee The Research Degrees Committee of the Academic Board has responsibility for ensuring that the processes concerning the PhD have an appropriate degree of consistency across the University. the recommendation from the examiners. but excluding Honorary degrees Considers any changes to doctoral regulations or processes and makes recommendations to the Academic Board Reviews and monitors the allocation of resources to research students. the operation of supervision procedures and research student completion rates • • PhD Handbook 83 . in exceptional circumstances. any other doctoral qualiﬁcations. Where necessary. where they are in agreement Consults with the RDC academic members where examiners’ views of the thesis differ signiﬁcantly or are in other ways controversial Coordinates a discussion between examiners in order to achieve consensus where there is a signiﬁcant disagreement between examiners Receives a recommendations from the referee in cases where a referee is consulted when the examiners can not agree on a joint recommendation Receives a copy of the letter from the Administrative Supervisor outlining any minor amendments that have been made Receives a copy of the notiﬁcation where a thesis needs to be resubmitted outlining what parts of the thesis require revision and for what reasons Receives a copy of the notiﬁcation that the revisions have been completed Informs the Associate Dean that the RDC has reached a decision on the acceptability of the thesis • • • • • • • • Oral Examination • Approves. including Higher Doctorates. any unusual procedures for the oral examination. consults with the RDC Asks the Associate Dean to arrange an oral examination where requested by the supervisor. Responsibilities as follows: Policy • Reviews policy related to Master’s Degrees by thesis (of 90 points and above).000 words to be submitted for examination Examination • Receives a report from the Associate Dean of the examination of the thesis. candidate or RDC Approves requests for oral examinations via the Associate Dean.Submission • Grants permission. on behalf of the RDC. on behalf of the RDC. PhDs. for a thesis larger then 100.
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
3 Re-enrolment. through the Associate Dean. Every year of enrolment in May and November.and half-time. the Associate Dean may. During a student’s candidature. otherwise the candidate’s enrolment will be terminated. 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. (b) Candidates must not only show themselves to be qualiﬁed but must also be accepted by the Head of School and relevant Associate Dean. and not more than twelve months. 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. the minimum period of registration will be 36 months. subject to any submission or appeal a candidate may make. terminate the enrolment. (b) 4. a candidate shall be provisionally registered as a candidate for the Doctor of Philosophy. On application from a candidate. the Associate Dean may grant a suspension of enrolment. In the case of candidates who have been permitted to change between full. Termination. PhD Handbook 87 . (b) (c) (d) (e) 4.4 Course of Study (a) The course of study for a PhD consists of a programme of research and the writing of a thesis carried out under supervision. 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. 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. If progress is reported to be unsatisfactory. the date of registration shall be deemed to be the date of ﬁrst enrolment for the degree. on application to the Research Degrees Committee. During suspension of enrolment the candidate will pay no fees and will have no access to university services. This excludes any period(s) of suspension. where good cause is shown.(ii) be currently enrolled in a Master’s by thesis. (c) 4. Extensions shall be granted only in exceptional circumstances.1 (a) (ii). All calculations will exclude any periods of suspension. the total period of suspension shall not usually exceed twelve months. Once full registration has been conﬁrmed. Where a candidate is accepted under clause 4. 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.2 Conditions of Enrolment (a) Initially. With full-time enrolment. and will not usually exceed twelve months. the minimum period of registration will be 24 months and with halftime enrolment. Extensions to the due date of the thesis may be granted. the submission times will be calculated on a pro rata basis. for a period of not less than one month. including supervision and the library. measured in monthly increments. 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.
approve the enrolment of the candidate in a subject for an appropriate Master’s degree instead of the degree of Doctor of Philosophy. but with permission of the Associate Dean. or on the recommendation of the examiners after the submission of the thesis.5 (b) is co-authored.(i) The research will normally be conducted at Victoria University of Wellington. the candidate must provide a detailed statement of each author’s contribution to such work. and constitutes a signiﬁcant and original contribution to knowledge or understanding. The format of the thesis is determined by the Library Statute (see Clause 4. a statement shall be included showing how the published work relates to the thesis. The principal supervisor or co-supervisor must not be an examiner. (ii) The thesis must be a body of work that demonstrates the candidate’s ability to carry out independent research. as long as the report constituting the thesis is written under supervision during the period of registration. and contact details of co-authors (see the Recognition of Authorship Policy). make a report on the whole examination to the RDC.5 Examination (a) At any time after the minimum period of enrolment. experimental. Any application for Withholding of Theses should be made as early as possible in the research project and well before submission. (c) 4. after consultation with the examiners. (b) (c) (d) (e) (f) (g) (h) (i) 88 PhD Handbook .000 words in length (including scholarly apparatus). (b) The thesis shall not exceed a total of 100. 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. or accepted for publication at the time of submission.12 of the Library Statute). but the end result must be a single integrated study. Where any of the published material included in clause 4. One of these examiners will normally be from outside New Zealand. The Associate Dean shall. Where any work relevant to the thesis has been published. This contribution may include critical. 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. it will be awarded upon the deposit of copies of the ﬁnal thesis in the University Library in accordance with the Library Statute. theoretical or creative components. who will determine whether the degree be awarded. appointed by the Research Degrees Committee (RDC). a candidate may submit their thesis and apply for examination. part of the research programme may be carried out at locations outside the University. (iii) The thesis may include the candidate’s previously published work or material based on previous research. The thesis shall be examined by three examiners. The Associate Dean may on the application of the candidate or the supervisors at any time before the submission of the thesis. In exceptional circumstances the Research Degrees Committee may grant permission for a longer thesis to be submitted for examination. Where the decision has been made to award the degree.
Theresa Sawicka Research Manager Extn. Contact Person: The following person may be approached on a routine basis in relation to this statute: Dr. (ii) In any other case. Supervising and Examining PhD Candidates Recognition of Authorship Policy Withholding of Theses Procedure 6. Approval Agency: University Council 8.(i) Where any thesis has been submitted for the degree of Doctor of Philosophy that thesis may be accepted in fulﬁlment of the requirements for the Master’s degree. notwithstanding any other provision in the Statute for that Master’s degree. Enrolling. 5190 PhD Handbook 89 . References: Library Statute PhD Policy: Approving. 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. provided that the candidate has been enrolled for the degree of Doctor of Philosophy for that period. the candidate shall be deemed to have been enrolled in and to have followed a course of study for that Master’s degree for the appropriate minimum period. Statute Sponsor: Deputy Vice-Chancellor (Research) 10. None Appendices: 7. 5.
90 PhD Handbook .