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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
7 6.2.16 Notiﬁcation of Changes to Registration 6.4 Milestones 7.7 Six-monthly Progress Reports 7.2.5 6.1 7.21 Change of Title 6.8 6.2.1 Full Research Proposal 6.13.0 Formal Admission and Registration Requirements 22.214.171.124 Encouraging Academic Contacts 7.10 Period of Overseas Research 6.3 Approval 6.2 Providing Academic Guidance 7.2.15 Duration of Registration 6.14 Date of Registration 6.22 Conversion of a PhD to a Master’s Degree 7.1 Assessing the Student 7.2.11 Collaborating Institutions 6.8 Supporting the Student 7.3 Scheduling Meetings 7.6.6 6.13 Conﬁrmation of Full Registration 6.12 Encouraging Publication 2 PhD Handbook .20 Concurrent Study 126.96.36.199 6.9 Admissions Criteria Conversion of a Master’s Degree to a PhD International Students Applications to Register Approval of Provisional Registration Enrolment and Payment of Fees Annual Re-enrolment Attendance at University and Study at a Distance Employment 22 22 22 22 23 23 23 23 23 24 24 24 26 26 26 27 27 28 28 28 29 29 29 29 29 30 31 31 31 31 31 32 32 32 32 32 33 33 33 34 34 6.17 Maintenance of Registration 6.18 Registration and Other Work 6.13.2 6.12 Move from Provisional to Full Registration 6.4 6.2 Presentation of the Proposal 6.5 Providing Feedback 7.10 Facilitating Administrative Compliance 7.2.1 6.6 Identifying Problems 7.19 Extensions and Suspensions of Registration 6.2.2 The Role of Supervisors The Responsibilities of Supervisors 7.0 Supervision Protocols 188.8.131.52 Assisting Examination Arrangements 7.
2 Information Technology Resources 9.5 ITS Student Help Desk Service 9.3 The University Library .2.2.7 Giving Notice of Submission 184.108.40.206.1.2 Actively Pursuing the Research 7.Te Pataka Korero 9.2 Statistical Advice 10.1.0 9.9 Publishing 7.4 8.5 Facilitating Administrative Compliance 7.4 Inter-Library Loan and Document Delivery 9.6 Meeting Ethical Guidelines 220.127.116.11.2.3.3 Financial Assistance 9.1.1 Lending Services 9.3 Registration as an ITS Client 9.3 Research Seminars 9.2 8.3 The Responsibilities of Candidates 7.3.1 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 9.5 Specialised Collections 9.5 9.4 Accessing the Network 9.2 Reference and Research Services 9.3.6 Other Libraries 10.2.3 8.1 Planning the Research 7.2 Range of services 9.3.1 Student Learning Support Service 10.2 Minimum Resources Agreement 18.104.22.168 Introduction 9.3.4 8.1 8.0 8.4 Identifying Problems 7.3 Participating in University Intellectual Life 7.1 Statistical Packages Research Ethics 34 35 35 35 35 35 35 35 35 36 36 36 37 37 37 37 37 38 39 39 39 39 39 39 39 39 40 40 40 40 40 41 41 41 42 42 43 43 43 43 Research Resources PhD Handbook 3 .0 Research Advice 10.3.2.13 Support for Supervisors 22.214.171.124 Responsibilities of the Head of School 9.8 Submitting the Thesis 7.3.3.
2 Citation style 13.2 Deposit 13.2 PhD Submission Scholarships 11.4 Pagination 13.7 Tutoring and Demonstrating 12.3 General Guidelines 12.2.3 Binding 13.1 Appointment of Examiners 14.1 Introduction 126.96.36.199 Research Funding and Financial Support 11.1 Public Availability of Theses 13.2.3 Copyright and Intellectual Property 13.1 University Scholarships 11.3.4 Resolving Administrative Difﬁculties 13.2.1 Temporary Binding for Examination 13.2 General Principles 12.6 Ofﬁcial Information Act 1982 14.1 Introduction 13.4.3 Format 13.5 Paper 13.4 Externally-funded Scholarships and Grants 11.0 The Thesis 13.4.6 Loans and Allowances 11.2.9 Specimen Layout of Title Page 13.1 Seeking Assistance from the Administrative Supervisor 12.2 Guide to the Presentation of Theses 13.2 Permanent Binding of the Thesis 13.3.3 Doctoral Completion Awards 11.4.7 Length 188.8.131.52 Computer Use 13.4 Availability and Withholding of Access to Theses 13.3.0 The PhD Examination 184.108.40.206 Resolution of Problems 12.4.2 Seeking Assistance from the Associate Dean 12.2 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 .4 Lodging a Formal Grievance 12.2.3 Seeking Assistance Outside the Faculty 220.127.116.11 Withholding Access to Theses 13.3.5 Research Grants 11.1 Layout 13.6 Photographic and Colour Copy Illustrations 13.
2 Values and Ethos 15.7 MAI Ki Poneke 16.10 Student Learning Support Service 16.1 The Statute on Student Conduct 15.2 The Policy on Staff Conduct 15.1.8 Financial Support and Advice 16.1.1 Student Union Building 18.104.22.168.1.5.3 Formal procedures 16.10 Revision and Re-Submission of Thesis for Second Examination 15.5 Rights and Obligations Regarding Conduct 15.11 Victoria Interntational 16.9 Student Health Service 16.3 Collegiality 22.214.171.124.126.96.36.199 Minor Amendments 14.5 Disability Support Services 16.4 The VUW Postgraduate Students’ Association 15.0 The University Community 15.1 Accommodation Service 188.8.131.52 Career Development and Employment 16.6 Kaiwawao Maori/ Maori Student Services Adviser 16.8 Report on the Oral Examination 14.1 Introduction 15.9.5 Examination of the Thesis 14.2 Student Union Complex 16.7 Conduct of Oral Examination 14.4 Examination 14.6 Arrangement of Oral Examination 14.2 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 .5.12 Alumni Association 16.1 Student Services Group 16.4 Childcare 16.1.0 University Student Services 16.1.3 Submission 14.13 Court of Convocation 16.9 Minor Amendments and Revisions 14.2 Revisions 14.3 Disputes about Revision 14.1.3 Counselling Service 16.1.1.
aspx The web version of the Handbook is likely to contain any recent updates or changes and can be downloaded directly at www.pdf 6 PhD Handbook .ac. Web access to policy information and the guidelines referred to in the PhD Handbook can be viewed at: www.ac.International Students If you are an international student who is not currently enrolled.nz. Please contact Victoria International www. email victoria-international@vuw. As well as linking directly to relevant sites.nz/ international/.ac.nz/home/ about/newspubs/universitypubs/phd_handbook. Postgraduate Student Website PostgradLife is a student-centred website that aims to provide students with ‘everything they need to know’ about postgraduate study at Victoria.nz/postgradlife The PhD Handbook was updated by the Research and Postgraduate Studies ofﬁce in 2008. tel 64 4-463-5350.victoria.victoria.ac.nz.ac. it offers practical advice and support.victoria.ac.victoria. and a forum for students to post details about their research online www.nz/home/about/policy/research. there are things you will need to know before you read the PhD Handbook. Comments and suggestions for improvements are welcome: researchofﬁce@vuw.
pastimes and forms of community service. theorising. The Handbook offers you and your supervisor guidance on many aspects of the process of supervised research. intellectually stimulating and ultimately. Parts of the Handbook draw attention to the amount of effort and time you will have to commit to completing your PhD. 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. We know from the research that students are more likely to complete their degree if they develop academic and social connections with their peers. organising your work and time. as well as spending serious and concentrated time on their studies. The information provided in the Handbook is governed by the PhD Statute and policy of the University.Preface To the Candidate On behalf of Victoria University of Wellington. In addition to these intrinsic beneﬁts. Many of the rewards of study for the PhD degree are what we might call ‘intrinsic’. I would like to welcome you to your PhD studies at this institution. Neil Quigley Deputy Vice-Chancellor (Research) PhD Handbook 7 . study undertaken for your PhD will provide you with what could be termed ‘extrinsic’ opportunities to improve yourself professionally. These are important issues. The PhD Handbook is an important dimension of the support we provide for all our students enrolled at doctoral level. so the award of this degree is a mark of truly global academic distinction. analysis. often by examiners from around the world. they are a consequence of your commitment to undertake intensive original work in your chosen ﬁeld of study. These skills provide the basis for further academic work and they are also likely to be invaluable in a wide range of other occupations. rewarding. written communication in the language of your discipline. and verbal presentation skills. and that it will be enjoyable. which is a distinctive feature of study for this degree. You will develop and demonstrate skills in research. PhD theses are evaluated by international standards. 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. 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.
lastname@vuw. x5023. Johann Barnard. Professor Tony Angelo.org.Staff Holding Administrative Positions At the time of publishing. Professor Laurie Bauer. x9598. Postgraduate Coordinator Commerce and Administration. x5619 Research Manager. Extension numbers beginning 8xxx may be reached by calling the automated attendant on 0-4-463 5233. Associate Dean (Students) Managers.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. Convener of the Research Degrees Committee. Robert Stout Building. Dr Theresa Sawicka. x8068. x7493 Associate Deans and Delegated Authorities Architecture and Design. www. Ofﬁce of Assistant Vice-Chancellor (Academic).vuwsa. Room 205 Facilitator and Disputes Adviser. Sandra France. then dialling the extension required. Jon Everest. x5676. Professor Sally Davenport. Associate Dean (Graduate Studies and Research) Education.org. Room 207 VUWSA Education Coordinator. Professor Luanna Meyer. x6112 Scholarships Manager. Alison Munro. 14 Wai-te-ata Road. Professor George Baird. Individual staff email addresses follow the form: ﬁrstname. Ground ﬂoor. Kristina McGuiness-King. Professor of Research Humanities and Social Sciences. x5980 Other advice and support Senior Academic Policy Adviser. x6975 Science. x5087 Education. PhD Adviser Science. x5190 Postgraduate Research Coordinator. Faculty Ofﬁces Architecture and Design. x9569 Humanities and Social Sciences. Jenny Christie. x5191.ac. Sandra Crews. Deputy Vice-Chancellor (Research). x6217 Commerce and Administration. x6231.nz x6984. Lois Baillie. but users should refer to the website for any updates. these details are correct. Jenny Calder-Smith. Professor Neil Quigley PhD Convener. Associate Professor Allison Kirkman. Philippa Hay.crews@vuwsa. sandra. x6324. Student Union Building. Deputy Dean Law. Shona de Sain. x5192 Law.nz 8 PhD Handbook . x5144.
Abbreviations AVC (Academic) CRI DVC (Research) HEC HoS PG Coordinator PGSA PhD Convener PhD Statute PhD Policy RDC SCS SRC Assistant Vice-Chancellor (Academic) Crown Research Institute Deputy Vice-Chancellor (Research) Human Ethics Committee Head of School Postgraduate Coordinator Postgraduate Students’ Association Convener of the University’s Research Degrees Committee Statute for the Degree of Doctor of Philosophy PhD Policy: Approving. Supervising and Examining Candidates Research Degrees Committee (a committee of the Academic Board) Student Computing Services School Research/Postgraduate Committee (the committee in each school responsible for advising the HoS on research and postgraduate matters) University Research Committee University Teaching Development Centre Victoria University of Wellington Victoria University of Wellington Students’ Association URC UTDC VUW VUWSA PhD Handbook 9 . Enrolling.
and the ﬁrst source of advice beyond the supervisors for the candidate.nz/home/about/policy/research. The person who fulﬁls the role of the Administrative Supervisor varies from faculty to faculty. School Postgraduate Coordinators often fulﬁl this role and they also serve as the initial point of contact for potential PhD students. Each candidate works under the guidance of two supervisors. and the role of supervisors is discussed more fully in Chapter 7.g. but the PhD Policy and Statute are updated more frequently. or both supervisors may ‘co-supervise’ a candidate.1 Aims of the PhD Handbook The aims of this handbook are to: • provide PhD candidates. 1.victoria.2 Staff involved in the Management of PhDs Many staff are involved in the management of each PhD candidacy.1 The Supervisors Supervisors are the staff members appointed by the University to take academic responsibility for guiding a PhD candidate during the period of research and writing up. The 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. 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. PhD supervisors. 1.2. for ensuring that six-monthly progress reports are provided).0 Introduction 1.1. 10 PhD Handbook .ac. The appointment of supervisors is outlined in Chapter 5. The most recent versions of these documents may have signiﬁcant differences from the Handbook and should be referred to at www. The supervisors may be appointed as ‘primary supervisor’ and ‘secondary supervisor’. • The Handbook is published every two years. inform PhD candidates of the resources and services available at the University to support their research. The Administrative Supervisor is responsible for the School/Faculty paperwork involved in the candidacy (e. each PhD candidate will have an Administrative Supervisor who is usually the head of the school of registration. Heads of Schools and Associate Deans with guidelines for the academic management of the PhD degree.2 The Administrative Supervisor In addition to two academic supervisors. The descriptions given here are introductory and more detailed information is provided later in the Handbook and in the appendices.aspx 1. The Administrative Supervisor is normally the ﬁrst source of advice for the supervisors.2.
3 The Head of School The Head of School (HoS) role varies from faculty to faculty and from one school to another. this task is delegated to another member of staff. Schools appoint Postgraduate Coordinators (PG Coordinators) to manage postgraduate matters. 1. the HoS will normally be the Administrative Supervisor. providing advice and support for supervisors. which vets thesis proposals and provides advice on issues of postgraduate student management.1.4 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. responding to student queries and concerns. In some cases. 1. Speciﬁc responsibilities include: • discussing potential research projects with a candidate and making decisions about their suitability. The HoS (or school administrator) will be able to direct students to the appropriate PG Coordinators. ensuring that the candidate has a copy PhD Handbook. • • • • • • • • • • • • The PG Coordinator may also run research seminars and be a member of the SRC.2.2. Education and Science.5 The School Research/Postgraduate Committee The School Research/Postgraduate Committee (SRC) is responsible for management of PhD candidature in the School. Regardless of whether the HoS has this role. In each school. overseeing the transfer of a candidate from provisional to full registration. the HoS is assisted by a School Research/Postgraduate Committee. overseeing acceptance of a candidate within a school. Roles include vetting thesis proposals and developing guidelines in addition to the University criteria for the movement from provisional to full registration.2. vetting initial research proposals in conjunction with the School Research Committee (SRC). ensuring that records are kept and six monthly progress reports are monitored. and managing all administrative procedures with school administration staff. liaising with the Associate Dean over progress. 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. referring prospective candidates to possible supervisors. PhD Handbook 11 . In the Faculties of Humanities and Social Sciences. ensuring that the candidate has two supervisors. providing candidates with university and additional school-speciﬁc criteria for progressing from provisional to full registration.
who is appointed by the Deputy Vice-Chancellor (Research).1.8 The PhD Convener The Research Degrees Committee (RDC) is convened by the PhD Convener. 1. The Faculty Ofﬁce should be able to provide any information required about these administrative processes . The PhD Convener approves the examination arrangements for PhDs in consultation with the relevant Associate Dean.ac. 12 PhD Handbook . The RDC approves the examination arrangements for PhDs in consultation with the relevant Associate Dean. extensions.2. and should normally be the ﬁrst person to be approached with any matters relating to supervision. fees. They also have an advisory role. and ofﬁcial notiﬁcation of results. assesses examiners’ reports.2. In all faculties. 1.9 The Research Degrees Committee The Research Degrees Committee (RDC) of the Academic Board has responsibility for ensuring that the processes concerning the PhD are appropriately consistent across the University.2. the appointment of Honorary Research Associates as external supervisors and chairs the University Research Committee. liaises with schools and faculties and provides advice and assistance in support of staff and student research.7 The Faculty Ofﬁce The appropriate Faculty Ofﬁce is the central processing and service centre for all administrative details related to the PhD candidature. The areas of responsibility of the Faculty Ofﬁce include the administration of registration. the Associate Deans have responsibility for approving provisional registrations.2.nz/research-ofﬁce/ 1. receipt of six-monthly progress reports. conﬁrming registrations and granting extensions and suspensions. The ofﬁce can provide information and advice on university research policy and procedural matters that may arise in the course of a PhD candidature. receipt of the thesis. 1.victoria.2. considers examiners’ reports and makes a decision concerning the examination result. Further information is available at http:// intranet. funding and grievances which have not been dealt with by the PG Coordinator. 1.6 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. sending the thesis to examiners. grants extensions and suspensions for candidates over ﬁve years and makes a decision concerning the examination result on behalf of the RDC. The Associate Deans (see page 8 for contact details) will normally consult with supervisors and Administrative Supervisors on such matters. Administrative Supervisor or the Head of School.2. suspensions. They may also be consulted about problems relating to PhD candidacy if matters cannot satisfactorily be resolved at the School or Faculty level. Academic grievances concerning PhD candidacy are dealt with by the Assistant Vice-Chancellor (Academic) who will consult with the DVC (Research).10 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).see page 8 for contact details.11 The Deputy Vice-Chancellor (Research) The Deputy Vice-Chancellor (Research)(DVC (Research) is responsible for the development of the University’s research policies.
However. It is particularly important for candidates whose ﬁrst language is not English. ability to work independently. and good writing ability. if the Library has adequate resources to support the research. htm 2. willingness to work within the scholarly tradition. These documents are available on: www. to demonstrate proﬁciency in writing English. Heads of Schools hold copies of the Charter and the current Strategic Plan. supervisors and the University which extends over some years. Stable ﬁnancial and personal circumstances are also important factors in success.victoria. Although it may seem obvious. persistence in the face of setbacks.0 Background to the PhD 2. and are advised to develop strategies to minimise their impact. but who are proposing to write their thesis in English. The PhD candidature involves a commitment from candidate. candidates may also be admitted on other criteria at the discretion of the Associate Dean on the recommendation of the School. Other qualities which have been found to be important to success include the following: self-discipline (particularly in relation to work habits). This includes taking an appropriate part in school or faculty PhD Handbook 13 . and if the proposal meets the University’s ethical standards. the PhD degree is a key part of the University’s research activity and training. willingness to respond effectively to advice and criticism. These are the standards which will be used in the examination of the thesis. including the provision of an environment which fosters postgraduate students and postgraduate training. 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. ability to evaluate one’s own work. 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. It is also expected that candidates will make a contribution to the ongoing intellectual life of the School in which they are registered. staff of other institutions.ac. While it is possible to succeed in spite of difﬁculties in some of these areas. only if the University can meet the candidate’s research needs will the relationship be mutually beneﬁcial. 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. A copy is held in the main collection of the Library. it is also necessary for a candidate to be sure that they have the time available to undertake the research.nz/council/publications. Experience shows that candidates are unlikely to succeed unless they have a strong interest in a substantial research project and a commitment to complete the project.2 Academic Requirements of PhD Study Candidates for the PhD are normally expected to have obtained a ﬁrst or second class pass in an Honours degree or a Master’s degree. thus enhancing the chances of success. in approved circumstances. The enhancement of research is recognised in the University as a vital element in its national and international responsibilities. Research is fundamental to the University. These requirements are for the protection of both the candidate and the University. The University acknowledges a responsibility to ensure that candidates for the PhD degree work in an appropriate intellectual and academic environment. prospective candidates need to be aware of likely problems.2. A full description of the University’s mission and values is set out in the University Charter.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.
both formal and informal. The minimum period of enrolment is 24 months but in the majority of cases. be longer. 14 PhD Handbook . The minimum period of enrolment for half-time candidates is 36 months (PhD Statute 4. candidates are discouraged from attempting any other academic study together with a PhD because of the demands of a PhD thesis.2 (b)). email and other forms of informal discussion. Occasionally a school will ask a candidate to undertake certain papers. the total period for completion will. or simply to attend certain lectures. to obtain background necessary to aspects of their PhD research.20). of course. Permission is required to enrol in any additional papers (see 6. and exchanging ideas with staff and other students through seminars. it takes at least 36 months to complete a satisfactory research project and write it up. The results from such papers do not form part of the ﬁnal assessment of the PhD. Apart from such papers as the School may consider necessary. At Victoria University of Wellington. the PhD is assessed entirely on the presented thesis. For half-time candidates. Candidates can expect that schools will make such opportunities for participation available.activities.
scholarships. candidates will need to supply: • • • • academic background information. 3.1 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.victoria. as well as supervisors. 3. This will enable the School to make an initial assessment of whether a candidate has a suitable academic background.0 An Outline of the Process 3. the prospective candidate will be invited to submit an initial research proposal. a curriculum vitae. and details of any funding which has been obtained or which is being sought. and that the School is able to provide adequate supervision and resources. Supervisors will then be nominated and any ethical approvals required will be sought. their supervisors. Such written reports allow a better assessment of progress and can also serve as the basis for the ﬁnal thesis. This may be backdated to include the time spent developing the proposal. There are likely to be periods of great progress. the candidate will be registered provisionally for a period of 12 months. Prospective candidates should begin by making informal contact with the School concerned. registration will be conﬁrmed within 15 months (see 6. to maintain close contact with. for example. They are encouraged to try to develop an organised work system.12 and 6. industry sponsorship etc. At this stage. Student Learning Support Services offer seminars to support postgraduate research students (see 16. 3. Students doing experimental work are also encouraged to keep log books documenting their work.13). and seek advice from. and whether the School is able to provide adequate supervision and resources. See Chapter 8 for information regarding ethical approval. PhD Handbook 15 .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. as much detail as possible about the proposed area of research.nz is an excellent starting point for those interested in gathering information on what the University and each school has to offer. Victoria University of Wellington (VUW) schools have web pages detailing degrees offered. These give candidates.ac. particularly showing evidence of prior research experience. six-monthly progress reports are required. unmotivated and unable to clearly map out the next step.3.3 Provisional Registration When the proposal is accepted. staff and their research areas and contact details. the opportunity to take stock of progress. 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.2 Developing a Proposal Once agreement has been reached that the project is likely to prove viable.10). but candidates should also prepare themselves for moments when they feel overwhelmed. During the period of enrolment. Provided that satisfactory progress is made and that university requirements are met. The VUW website www.1.
they may recommend to the Associate Dean that the thesis is not acceptable for examination. 3. then any necessary corrections will be made.5 Writing-Up and Submission In due course. The agreement of the supervisors is not required. a timeframe will be set and the candidate will be given guidance on the required re-writing. although it is usual for supervisors and candidate to reach mutual agreement on this. in which case the candidate should continue working on the thesis until it is acceptable. If the supervisors are of the opinion that the thesis is incomplete. While further research may be prompted by this process. Candidates should consult section 4. If the thesis requires substantial re-writing. The agreement of the supervisors does not imply a successful result from the examination process. The procedure following the examination will depend on the result of the examination. the candidate may be offered a Master’s degree. Two copies (one hard bound and one electronic) will then be deposited in the Library. In due course. 16 PhD Handbook . When the candidate indicates the thesis is complete. soft bound and submitted for examination. The examination procedures are fully speciﬁed in Chapter 14. 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). supervisors should review the thesis before application for examination is made.3. If the thesis fails to meet the standard required of a PhD thesis. If the degree is to be awarded. in which case the candidacy will be terminated. 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. Where the Statute has changed. the candidate will decide that the research phase has proceeded to the point where writing-up should begin. and the thesis hard bound. the candidate and supervisors should be focusing on writing-up.6 Examination The thesis should then be printed. This review period should not usually exceed four weeks. It is possible the thesis may be rejected completely.14 of the PhD Policy for the regulations on submission. including word limits. the thesis will be re-submitted and the examination process will begin again. The writing-up process concludes when the candidate decides that the thesis is ready for examination.
Approval of examiners Candidate gives notice of intention to submit Supervisor suggests examiners and checks with candidate 2. Submission and examination of thesis Candidate submits thesis to Faculty Office Faculty Office sends out thesis to examiners Yes No Associate Dean makes recommendation to PhD Convener No Referee appointed Referee needed? Internal Examiner/Associate Dean seek compromise Internal Examiner signs off changes Candidate makes changes Yes Yes No Changes needed? Associate Dean makes recommendation to PhD Convener PhD Convener confirms award of degree Oral examination takes place if required 17 Candidate deposits thesis in the Library On seeing the library receipt.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.Process of submission of a PhD thesis at Victoria University of Wellington 3. the Faculty Office informs the PhD Convener of completion and arranges graduation .
victoria. the method of study and any ethical considerations.4. and make a recommendation to the HoS.nz/research-ofﬁce/forms-and-templates. If a candidate has not yet received the PhD Handbook the PG Coordinator will provide them with a copy. If a research proposal is likely to result in a request for the withholding of access to the thesis. If the HoS approves the recommendation from the SRC. who will refer them to possible supervisors. 18 PhD Handbook . the issues should be addressed at the outset of the project.aspx 4.3 (b)). Candidates should always enter into their topic in a spirit of genuine enquiry. A request to withhold access to a thesis is a formal process and approval is not lightly given.4. the candidate should be directed to the University’s ethical guidelines. the applicant. It is the HoS’s responsibility to approve the School taking on a PhD candidate. The next step is to discuss the potential project with the Postgraduate Coordinator (PG Coordinator) of the relevant discipline. may very well ﬁnd that their topic is not a good choice.nz/research%2Dofﬁce/postgraduate/minimum-resources. This document becomes part of the record of registration (see the PhD Policy section 4. See also Chapter 8 of this handbook. Special care should be taken where a project requires access to conﬁdential information from outside the University. The School Research/ Postgraduate Committee (SRC) will then scrutinise the initial research proposal and Research Memorandum. all the supervisors and the HoS complete the application form and then return the form.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.0 Research Proposals 4. The School must also ensure that the candidate will be offered supervision during periods when supervisors are on research and study leave or in the event that a supervisor may take up employment elsewhere.aspx Where students require additional resources for the project. An Outline of the Application Procedure for PhD Candidates can be found at http://intranet. Those who enter into a topic thinking they already know the answers to their central questions or who are emotionally committed to an outcome.victoria.ac. the initial proposal. and the SRC recommendation to the Faculty Ofﬁce for ﬁnal approval by the Associate Dean. Candidates need to discuss the possibility with their supervisors. the Research Memorandum. 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. Prospective candidates are advised to think carefully about the kind of research project to which they would like to commit themselves. The School concerned must be satisﬁed that it is able to provide appropriate supervision and resources for the proposed topic. The initial research proposal (minimum one page) should detail the project. this must be negotiated with the Head of School (HoS) when the student ﬁrst enrols and recorded in a Research Memorandum. The topic must be suitable to meet the academic requirements of a PhD. ac.1 Initial Proposal The initiative in seeking PhD enrolment usually lies with the candidate. Further advice can be found in 13. If it is clear that ethical approval is required from the Human or Animal Ethics Committee.
research institutions (e. Crown Research Institutes).3 Research Proposals from Scholarship Holders Overseas candidates who are scholarship holders must formulate a proposal before enrolment is approved.ac.g. in some instances.nz/research-ofﬁce/forms-and-templates. This involvement may include cosupervision.aspx PhD Handbook 19 .4. support for research and support for the student. provision of data. The holding of a scholarship is always conditional upon the scholarship recipient gaining enrolment as a PhD student at Victoria University.4 External Party Involvement in the Support of Research Students External parties may include researchers from other universities. government bodies or the private sector. 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.victoria. The guidelines for managing external party involvement are available at http://intranet. 4. from the day of the candidate’s arrival in New Zealand. As scholarships may be paid. 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.
2 The Administrative Supervisor The Administrative Supervisor is generally the Head of School (HoS) in which the student is enrolled. candidates will be registered with only one school. A PhD may be interdisciplinary and in such cases it is desirable for supervisors to be appointed from each discipline. must be notiﬁed to the Research Degrees Committee by the Associate Dean. Only those staff who have a doctorate and/or appropriate experience and training can be appointed as primary supervisors. However. Staff who are new to the University. Supervisors are appointed by the Associate Deans or delegated authorities on behalf of the Academic Board. If the primary supervisor is absent from the University for any period longer than a month. In such cases the responsibility should be delegated to another staff member. Changes in supervision. in individually-argued cases.3 Changes to the Supervisory Team If changes are required to the supervisory team. In the case of an inter-disciplinary thesis involving more than one school/programme.5. One academic supervisor may be appointed as the primary supervisor (the other becomes the secondary supervisor) or both academic supervisors may ‘co-supervise’ a candidate. it is the Head of School’s responsibility to ensure they attend a professional development programme for supervisors.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. This includes Professors. The primary supervisor will normally be a full-time teacher at the University in the sense of the Victoria University of Wellington Act 1961. organised by the Research and Postgraduate Studies ofﬁce.1 The Appointment of Supervisors Each candidate will be assigned three supervisors. the Administrative Supervisor seeks approval from the Associate Dean by providing a rationale for the change and the appointment of new supervisors. Senior Lecturers. 5. which compromise the ability of the former supervisor to take any role in the assessment of the student. 20 PhD Handbook . but who are already experienced supervisors. responsibility lies with the HoS with which the student is most closely associated. There will be some cases in which it will be inappropriate for the HoS to assume this role. are expected to attend the training session dealing with Victoria University’s statutes and policies. Readers and Associate Professors. people holding appointments such as research fellowships.0 Supervisors 5. 5. It is advisable that staff who have not previously supervised any candidate should act as secondary supervisor to a primary supervisor in order to gain experience. The changes take effect on the Administrative Supervisor’s receipt of the Associate Dean’s approval. Lecturers or. following nomination by schools. 5. the supervisor and Head of School need to ensure that alternative supervision arrangements are in place. The role and responsibilities of supervisors are discussed in Chapter 7. One reason for this could be that they are the primary supervisor. Two supervisors will be responsible for academic guidance and the third will be responsible for administration (Administrative Supervisor).
through the Associate Dean. the candidate and the external party must be reached before the project commences. It is also important that the Administrative Supervisor ensures that the primary supervisor accepts responsibility for seeing the PhD project to completion. If it is proposed that a scholar outside the University be appointed as a supervisor.aspx#hra The recommendation must be accompanied by a curriculum vitae. including the completion of six-monthly reports. External supervisors will also be given the contact details of the Postgraduate Coordinator in the candidate’s school and a PhD Handbook. PhD Handbook 21 . Any agreement must also comply with the Intellectual Property Policy and the Management of External Research Consultancy and Related Contracts Policy.5 External Supervisors Other supervisors may include part-time teachers or other scholars and researchers from within New Zealand or overseas. If the external supervisor has not already acted as a primary supervisor or co-supervisor of at least one doctoral candidate or of three Masters’ candidates. an agreement between Victoria University. The agreement will address issues relevant to the relationship including the expectations and obligations of the parties concerned. 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. The Administrative Supervisor should convene a meeting with the supervisors and candidate to discuss and clarify these issues. the Administrative Supervisor must make an appropriate recommendation. It will also establish the terms and conditions under which it is intended that the project proceed.5. they will be invited to participate in a professional development programme or receive an information pack. Responsibility lies with the Primary Supervisor to ensure that the candidate and all supervisors are fully aware of the agreed responsibilities.victoria. ac. including provisions for revisiting the agreed terms which should be monitored in the six-monthly reports. If the HRA belongs to an external organisation. for example a Crown Research Institute.nz/research-ofﬁce/postgraduate/forms-and-templates. to the Deputy Vice-Chancellor (Research) or their delegated authority for the appointment of this person as an Honorary Research Associate (HRA) see: https://intranet.
as ﬁnancial and accommodation guarantees must also be given before a visa is issued.ac.1 Admissions Criteria Candidates will normally have a ﬁrst or second class pass in an Honours or Master’s 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. 6. The Associate Dean may also admit other persons who can show evidence of adequate training and ability (see the PhD Statute. This document will substitute for the initial research proposal in the application for a PhD. who will seek advice from the Head of School. Prospective candidates should therefore seek this admission at an early stage. but will still have to satisfy the requirements for full registration. email victoriainternational@victoria. the student and the supervisor must discuss the change of status with the School Research/Postgraduate Committee (SRC).nz. The SRC will also ensure that a second supervisor is available to be appointed. tel 0-4-463 5350. provided candidates can demonstrate adequate competence to undertake the proposed research. Entry under this section of the PhD Statute requires candidates to satisfy the Associate Dean. 6. 22 PhD Handbook . Victoria International staff are able to provide assistance to administrative staff or potential candidates with evaluating qualiﬁcations email email@example.com. Please also refer to page 6 and section 16. 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. Admissions for a PhD can take place at any time of the year. could form the basis of a PhD thesis.0 Formal Admission and Registration Requirements 6. The student and the three supervisors will agree in writing on the additional work required for the new degree.nz/international/. 4. If it is agreed to convert to a PhD.1. 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.1(a) (iii)).victoria.ac.ac.11. tel 0-4-463 5350.6. This degree need not have been in the subject area of the PhD research. that they have demonstrated a level of ability and relevant experience equivalent to that necessary to obtain a ﬁrst or second class Honours or Master’s degree. www. 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. 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 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. with modiﬁcations. who must be satisﬁed that the existing supervisor is appropriately qualiﬁed and experienced to supervise the student at the PhD level. If the application is approved by the Associate Dean. Only when admission ad eundem statum has been granted can an application for registration be prepared and submitted. the supervisor should discuss a conversion to a PhD with the student.
6. Any half-time student has to agree with the School on their period of attendance during each year and their minimum period of enrolment shall be determined by the Associate Dean in accordance with the PhD Statute 4. Where registered students are working away from the University a School memorandum for PhD Study at a Distance is required (go to: http://intranet. The form must be signed by the Head of School and supervisors and returned to the Faculty Ofﬁce. Student Services Levy and Student Assistance Scheme and Amenities Levy).2(b).8 Attendance at University and Study at a Distance The candidate is expected to maintain close contact with the School in which they are registered.6 Enrolment and Payment of Fees Candidates will be advised by the Faculty Ofﬁce in writing to enrol and pay the necessary fees (tuition fees.7 Annual Re-enrolment Candidates must re-enrol annually within one month of the expiry of the previous period of enrolment. 6. 6. Students’ Association Fee.2. and access to school-based services and resources. The normal practice is that candidates will reside within reasonable PhD Handbook 23 . and if approval is given. Students who cannot work on the thesis for the amount of time speciﬁed above are enrolled as half-time students.13. on average. Enrolment entitles a candidate to: access to supervision.victoria. 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. This excludes statutory holiday periods. 6.nz/research-ofﬁce/postgraduate/ forms-and-templates. over the year. 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. Candidates in other programmes may need to spend a great deal of time in the Library or ﬁeld. International students may have to fulﬁl additional requirements.6.ac. Students are deemed to be full-time when they are able to devote a minimum of 30 hours per week to the thesis. After two years.5 Approval of Provisional Registration The Associate Dean will consider the application. It will then be forwarded to the Associate Dean.aspx). access to Library and Information Technology Services. they may also study at home. This form should be completed by the candidate once the School is satisﬁed with the viability of the project. re-enrolment may be carried out on a six-monthly basis. In some programmes the nature of the research will require that candidates work in the School and in these cases laboratory and/or study space will be provided in the University. The Associate Dean will consult with the Head of School if any difﬁculties arise. Refer also to 6.4 Applications to Register Applicants for a PhD should obtain an application form from the appropriate Faculty Ofﬁce. and either through choice or because of space limitations in the school. Permission will not normally be given for students to work away from the University until full registration has been achieved. the candidate will be granted provisional registration. 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.
a required period of preparation within the University before the candidate departs for periods of data collection etc. 6. PhD research can be successfully undertaken by candidates working in other institutions. give an assurance of regular contact (for example by phone.proximity to the University. through the Associate Dean. to the Deputy Vice-Chancellor (Research) (DVC Research) for the appointment of this • 24 PhD Handbook . Scholarship holders should also seek approval from the Scholarships Committee. if it is proposed that a scholar outside the University be appointed as a supervisor. some hospitals. 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. Candidates who are working away from an institution and regular supervision need to be highly motivated and thoroughly prepared. In all such cases.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. This rationale must take account of academic considerations. fax and/or email) and schedule meetings at regular intervals in Wellington.11 Collaborating Institutions In some circumstances. Crown Research Institutes. 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. a memorandum for PhD Study at a Distance must be approved by the School Research/ Postgraduate Committee. a required period of writing-up within the University before submission of the thesis. 6. Candidates and supervisors will be expected to provide the Associate Deans with a rationale for prolonged absence from the Wellington region. speciﬁc approval must be obtained from the Associate Dean and will be granted only if it is clear that the arrangement is in the interests of the research project and will not unnecessarily impede the candidate’s appropriate involvement in general school activities. the Administrative Supervisor must make an appropriate recommendation. regular contact and reporting by the candidate is expected.10 Period of Overseas Research Candidates who wish to pursue a period of research overseas must ﬁrst acquire permission from the Associate Dean.
to provide resources and supervision for PhD candidates should be invited to enter into agreements for formal academic collaboration with the University so that collaboration is recognised by the Council and is seen as a long-term commitment which is of beneﬁt to candidates. and approval for candidates to undertake research off campus is more likely to be given when the following criteria are satisﬁed: .the collaborating institution agrees that the candidate will have access to all suitable resources for completion of the higher degree. placement of candidates into institutions which are doing commercial work should be covered by a contract in which: .3 (c)).the staff who will provide day-to-day support to the candidate are willing. The recommendation must be accompanied by a curriculum vitae. . .the intellectual property rights which may belong to the University.the rights of the University to examine the work of the candidate are protected. If the external supervisor has not already acted as a primary supervisor or co-supervisor of at least one doctoral candidate or of three Masters’ candidates.the candidate’s and the University’s share of income from discoveries is clearly set out. .the candidate is encouraged to present seminars both in the collaborating institution and in the University. the candidate and the collaborating institution are recognised and apportioned between them. Any contract with the collaborating institution requires the approval of the DVC (Research) or nominee. .12. • • PhD Handbook 25 . • 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. .any agreement to withhold publication for purposes such as taking out patents must be approved by the Research Degrees Committee (see Library Statute section 4.the collaborating institution will provide ready access for supervising university staff to the candidate and to the research facilities used by the candidate. to academic staff and to collaborating staff of the non-university institution. and undertake. able and qualiﬁed to assist the candidate. . . .person as an Honorary Research Associate.data collection and examination of base materials can only be carried out off campus. they will be invited to participate in a Research and Postgraduate Studies ofﬁce professional development programme or receive an equivalent package. • research institutions which wish. .the resources of a collaborating institution or establishment have been inspected and found to be appropriate for the needs of the candidate.the collaborating institution is able to provide a stimulating research environment. The appointment will be made for four years.
the papers must generally be satisfactorily completed before the registration is conﬁrmed. PhD students achieve full registration if they demonstrate satisfactory progress of previously established and agreed upon performance standards. if so. If the School requires the candidate to undertake certain papers as background for the PhD. satisfactory completion of any required course work. To achieve full registration the candidate must write a formal research proposal and may also be required to present the proposal orally. Additional criteria may be required by the School or programme where the candidate is enrolled. interpret.13. a statement as to whether ethical approval is required and. any other abilities important in the ﬁeld of study. ability to summarise. a literature review. It is equally important that candidates should demonstrate an ability to process with doctoral level work before their full registration is conﬁrmed.000 words. ability to design and interpret research tasks. The School Research/Postgraduate Committee may terminate candidature if the student fails to meet the requirements within 15 months of ﬁrst registration. whether or not that has been • • 26 PhD Handbook . appropriate theoretical frameworks. interpret. Supervisors are required to give serious consideration to these matters. 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 and schools that every effort is made to assist the candidate’s progress during the provisional registration period.000 and 10. ability to communicate research ﬁndings in formats appropriate to the discipline. Indicators of satisfactory progress may include: • • • • • • • knowledge of the literature in the ﬁeld of study. It is in the best interests of candidates.12 Move from Provisional to Full Registration The conﬁrmation of full registration is a milestone in PhD candidature. evaluate and critique that literature. evaluate and critique data. 6. Regulations allow a total of 15 months provisional registration for full-time candidates (and 24 months for half-time candidates). To progress from provisional to full registration. Victoria University expects this to occur between six and 12 months after the initial registration date for full-time candidates. ability to summarise.6. a demonstration that the methodology is appropriate.1).1 Full research proposal As a guide.13. 6.13 Conﬁrmation of Full Registration The move from provisional to full registration requires candidates to meet University criteria (see 6. the proposal will be between 3. To the extent appropriate in the discipline the proposal will contain the following elements: • • • an outline of the basic thesis/research question. School or programme criteria can be obtained from the Postgraduate Coordinator or supervisor.
The proposal will establish preliminary goals for the next six months and will contain a tentative timetable for the completion of the thesis. PhD Handbook 27 . and • a statement that there are no foreseeable cultural. The candidate may also be given the opportunity to respond to questions and feedback from the SRC and others in attendance. the SRC should provide clear and constructive guidance to the student and supervisor on the steps that are required to gain full registration. along with a cover letter indicating where changes were made. If approval has not been obtained the timetable for approval is to be noted. 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. If some of the suggested changes were not taken up. The SRC will scrutinise the proposal according to the following criteria: • • that the student has sufﬁcient knowledge or understanding of the topic. the candidate must indicate the reasoning for this. or terminate the candidate’s registration. The SRC will assess the proposal and report to the Associate Dean (with copies to the Head of School. supervisors and the candidate). If this is part of a school or programme procedure. the SRC should meet with the candidate and explain face-to-face why this action was taken. Where the decision is to terminate registration. the conceptual framework. any problems anticipated in carrying out the research and the intended methodology. including any suggested revisions to the SRC. the SRC should recommend full registration of the candidate to the Associate Dean. it is recommended that the presentation be announced in VicNews and open to all who may be interested. 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). recommend the candidate transfer to a Master’s degree. require that full registration be delayed by up to six months. It must be submitted to the School’s Research/Postgraduate Committee (SRC).2 Presentation of the proposal Candidates may also be required to present their proposal.obtained from all required institutions. Where there are no changes to be made. social or legal impediments to the successful completion and/or publication of the research.3 Approval The candidate will send a copy of the proposal. • • 6. Where registration is to be delayed. 6. and the SRC has been delegated the authority to accept the proposal.13.13. The report may: • • • • recommend approval of the candidate’s transfer to full registration. that the proposal outlines an appropriate theoretical framework which will lead to an original and defensible theory. that the proposed research is original or adds value to existing knowledge.
although he or she may be away from the University working in libraries and similar institutions. The Associate Dean will not usually expect to backdate a registration by more than about two months from the time of registration. 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. A candidate’s progress during full registration continues to be monitored by six-monthly progress reports. the date of provisional registration will become the date of registration. If candidates have spent productive time in developing their research proposal. If there are major difﬁculties in the early part of the project. This date is shown on the registration form.2(b) for fulltime enrolment and 36 months for half-time enrolment. The University expects that it will take between two and a half and three and a half years of work for a full-time candidate to achieve the necessary standard. the date of provisional registration can be backdated to give credit for that time. 6. 6. During this time. Throughout the candidature. Longer periods in external laboratories or on ﬁeldwork may also be approved. If the research proceeds smoothly. the Associate Dean may terminate the provisional registration and request the candidate to consider the possibility of identifying a new research project. At the time of registration. the Associate Dean will specify a period during which candidates must be working under direct supervision. Half-time candidates are required to supply details of their other obligations on the enrolment form. The thesis is to be presented within four years of registration.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. 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. candidates must maintain direct contact with their supervisors and sustain satisfactory progress or the registration will be terminated.15 Duration of Registration The PhD Statute requires a minimum registration period of 24 months under clause 4.19 for the implications of extensions and suspensions of registration. the candidate must be in direct contact with the supervisors. on receipt of the recommendation from the SRC. even after completion of the minimum two year period of full-time 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. 28 PhD Handbook . but individual applications to the Associate Dean by supervisors are required for any extensive “time out” on the project. 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. See 6. 6.Full registration is conﬁrmed by the Associate Dean. One of the principal reasons for this requirement is that protracted research may be overtaken by other researchers working in the same ﬁeld.
but it is recommended that students do not overload themselves with paid work outside the scholarly work in preparation for the thesis. for unexpected reasons.20 Concurrent Study If candidates have a genuine reason for undertaking a paper other than any required by the School. An application for an extension or suspension is made in writing to the appropriate Faculty Ofﬁce. along with the candidate’s most recent sixmonthly progress report. This permission is not readily given. 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.17 Maintenance of Registration The course of study for a PhD is best undertaken continuously and while candidates are working on PhD projects. but is not entitled to receive supervision or to make use of the University’s facilities. The minimum period for a suspension is one month. and will not usually exceed twelve months” (PhD Statute. where good cause is shown. 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. Where. 6. should recommend the change to the Associate Dean for approval. it can be resumed only with the permission of the Associate Dean. The supervisors. Periods of suspension are not included in calculations of total registration time. their registration must be maintained.6. Such applications must have the written support of supervisors and Head of School and set out the reasons why permission is sought.19 Extensions and Suspensions of Registration The University discourages candidates from spending an undue length of time on thesis work and it is expected that theses will be submitted within four years of registration for full-time candidates or six years for candidates who have been enrolled exclusively half-time.18 Registration and Other Work It may be valuable for full-time students to undertake tutoring or other part-time jobs around the University. 6. 6. extensions will be granted “only in exceptional circumstances. If the registration lapses. Note that this applies also to any change from full-time study. clause 4. PhD Handbook 29 . they must apply to the Associate Dean for permission before enrolling in it. During the period of suspension the candidate pays no fees. Applications for variations in the conditions of registration are made through supervisors. or vice versa.21 Change of Title Any change to the provisional title of the thesis should be reported when registration is conﬁrmed or at any later stage of the thesis prior to its submission. While the regulations state that the Research Degrees Committee (RDC) through the Associate Dean may grant an extension beyond the due date. 6. which will forward it to the Associate Dean. after consultation with the candidate. All retrospective suspensions are approved by the Convener of the RDC.3(e)). Applications must have the support of supervisors and Head of School and should be sent directly to the Faculty Ofﬁce.
as is the agreement of the student. form the basis of a Master’s thesis.22 Conversion of a PhD to a Master’s Degree It is possible for a thesis being prepared for a PhD to be converted to and submitted for a Master’s degree. The written support of the Administrative Supervisor and supervisors is needed. 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. Written application for conversion to a Master’s degree must be made to the Associate Dean.6. This option may also be taken if the supervisors believe a student has not demonstrated the aptitude and level of competence required for PhD study and that the thesis could. 30 PhD Handbook . with modiﬁcations.
1 The Role of Supervisors Supervisors undertake to guide the candidate through the academic and administrative requirements of the PhD. Effective two-way communication is vital. presentation and production of theses. and the need to get approval from the relevant Ethics Committee if the research involves human or animal subjects or tissue. ensure that appropriate and timely advice is given on requirements regarding style. the planning of the programme.0 Supervision Protocols 7. but regular discussions should be held and adequate records of meetings should be kept.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. One meeting per month is considered a minimum. They cannot guarantee the success of the project.2. Supervisors should also: • identify with candidates the particular research skills that they will need to acquire to complete the programme of research. 7.2. the development and reﬁnement of the proposal. 7. It is important to avoid the situation where candidates only see their supervisors when real difﬁculties arise.2 Providing Academic Guidance Supervisors should provide guidance on: • • • • • • the nature of research. Supervisors need to have a sympathetic ear and sufﬁcient time and energy to devote to the task of supervision. which is up to the candidate. the access to resources (technical and ﬁnancial). The responsibilities of supervisors are outlined below. For this reason. but they should have a close interest in the project and a commitment to facilitating its completion. The amount and frequency of academic contact between supervisors and candidates will vary.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. Good communication and mutual trust and respect are essential for a productive working relationship with a satisfactory outcome. depending on the nature of the discipline and the stage of the project. the undertaking of a literature review. 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. and • • PhD Handbook 31 . ensure the candidate is aware of the academic criteria to be met for award of the degree.7. a supervisor should not have too many candidates at one time. 7.
the proposed 32 PhD Handbook . 7. 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. interim reports or research results.2.• have a sense of the expectations of examiners throughout the research process and use that as a guide in supervising the student’s work.aspx While the Faculty Ofﬁce initiates the six-monthly reporting process.victoria. ensuring that an appropriate timetable is set to allow the degree to be completed within the allotted timeframe. Where there are major or continuing problems with a student’s performance. One meeting per month is regarded as the minimum entitlement. 7. The HoS must agree to. The ﬁnal version of the six-monthly report. the report writing is the responsibility of the supervisors. A copy must be provided to the student.nz/research-ofﬁce/postgraduate/forms-and-templates. 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. in close conjunction with the student. Identiﬁed problems and proposed methods of addressing them should be discussed with the student before the report is ﬁnalised. 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.6 Identifying Problems Supervisors should ensure that the student is made aware of inadequate progress or of standards of work below that generally expected. but more frequent meetings will usually be desirable.4 Milestones Supervisors should reach agreement with the candidate on the indicators of progress and the dates for the submission of appropriate written work. arrange regular supervisory meetings. ac. Except in exceptional circumstances. They should identify the problems and suggest ways of addressing them. which has been agreed to and signed by the student and supervisors.5 Providing Feedback Supervisors should provide regular feedback on progress to the student. must be reviewed by the Head of School (HoS) before being submitted to the Associate Dean. and monitor. Written comments should be made on work submitted by the student.2. As a guide. 7.7 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.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. 7. and a maximum of four weeks for substantial thesis drafts. feedback should be provided within two weeks in the case of relatively short pieces of work. Supervisors should encourage the candidate to make productive use of the available time.3 Scheduling Meetings Supervisors should. The report will then be ﬁled in the student’s ﬁle held by the relevant Faculty Ofﬁce. 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. 7.
ensuring. institutional or professional guidelines for the conduct of research.2. as far as possible.10 Facilitating Administrative Compliance Supervisors should be knowledgeable about. regarding six-monthly progress reports.actions. ensure that the candidate has the opportunity to participate in the life of the School. supervisors should refer a student to student support services (see Chapter 16). The HoS must offer the student the opportunity to respond and then will monitor the proposed actions. 7. 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. Where necessary. University-wide monitoring of compliance is the responsibility of the Research Degrees Committee and forms part of their Reports to the Academic Board. ensuring that candidates are aware of any requirements regarding the retention of data within schools. provide assistance and information where appropriate on scholarships and ﬁnancial support. encourage the candidate to publish. In the event that the student fails to take the required action so that problems persist.2. the HoS must notify the Associate Dean who may then take action.8 Supporting the Student Without compromising a student’s privacy. encourage both attendance and presentation at seminars and conferences.2) is informed if any problems develop during the enrolment. encouragement and support to further the candidate’s career in their chosen ﬁeld. etc). and comply with. 7.9 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. and • • PhD Handbook 33 . ensuring that candidates are aware of intellectual property rights. changes to full-time status. to discontinue the student’s enrolment. Monitoring the completion of six-monthly reports occurs twice yearly and is the responsibility of the Associate Dean. and provide advice. 7. that the work submitted by candidates is their own and that the data is valid. the administrative requirements of supervision and advise the candidate as necessary (for example.2. upon the recommendation of the Administrative Supervisor. applications for suspension or absences overseas. Supervisors should ensure that the Administrative Supervisor (as deﬁned in 5. help the candidate make contact with other scholars in related ﬁelds. The HoS will also inform the student of their entitlement to representation via Victoria University of Wellington’s Students’ Association (VUWSA) and the Postgraduate Students’ Association (PGSA). This includes advising candidates about: • • applicable governmental. Supervisors and Administrative Supervisors have a joint responsibility to advise the Associate Dean and Faculty Ofﬁce as necessary.
In consultation with the Administrative Supervisor. Supervisors should forward their recommendations at least one month before the expected submission of the thesis.2. the research process and administrative matters. 7. Where joint authorship is contemplated. Students should incorporate plans to write.nz 7. Supervisors are encouraged to discuss the publication process with students. 34 PhD Handbook . a rationale for the choice of the particular examiners for the thesis and a brief curriculum vitae for the two external examiners.2.13 Support for Supervisors The Research and Postgraduate Studies ofﬁce offers regular seminars/workshops for new and more experienced supervisors. All parties should agree in writing about issues concerning intellectual property and authorship. When students and supervisors pool their talents to publish research both beneﬁt from increased research productivity.victoria. and Victoria University’s Policy on Recognition of Authorship http://policy. Topics include supervisory roles and responsibilities. supervisors should ensure that students are informed about: • • the conventions that apply in their discipline. possibly in collaboration with their supervisor(s). Publication should be seen as part of PhD study rather than a barrier to timely completion of the thesis.ac. 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.e. Supervising and Examining Candidates and the guidelines of this handbook. Enrolling.12 Encouraging Publication The PhD is a research degree. The RDC appoints the PhD examiners. They should endeavour to publish their research. The Associate Dean will scrutinise the recommendations and forward them to the Research Degrees Committee (RDC). then this must be discussed early on in the process towards publication. They should be mindful of the fact that emerging researchers are often unaware of most aspects of the publication process. and should therefore take steps to avoid misunderstandings that may arise as a result of inexperience. or in other cases where issues of recognition arise. including the differences between writing a thesis and preparing a manuscript for publication. supervisors recommend suitable examiners and supply the Associate Dean with relevant documentation i. In most disciplines publications are increasingly necessary for entry into an academic profession. submit and revise publishable manuscripts within the timetable for their PhD studies. and publications are the currency of success in research.11 Assisting Examination Arrangements Supervisors assist the Associate Dean to arrange the examination in accordance with the PhD Policy: Approving.• ensuring that safe working practices are developed and maintained and that candidates are aware of the University’s Occupational Health and Safety Policies. Supervisors should be available to discuss feedback from the written and/or oral examinations with their student. 7. in outlets valued by their discipline.2. 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.
7. or tissue.3. 7. and suspension of enrolment).3. and complying with any institutional occupational health and safety policies.5 Facilitating Administrative Compliance Candidates should become familiar with.3.3 The Responsibilities of Candidates Completing a doctoral programme requires progressive development of skills. attending relevant seminars in other schools or institutions. must take responsibility for developing their intellectual independence.3. Candidates. 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). within the expected time period.7.1 Planning the Research Candidates should plan and execute the research project under the guidance of the supervisors. they should contact the Administrative Supervisor or the PG Coordinator. competence and conﬁdence.3. They should attend regular meetings. PhD Handbook 35 . interim reports or research results. the Associate Dean (Students/Research) in the Faculty Ofﬁce or VUWSA’s Education Coordinator are available to discuss areas of concern. • • 7. 7.2 Actively Pursuing the Research Candidates should devote sufﬁcient time to the course of study. and strive to achieve agreed milestones. with the guidance of their supervisors. adopting at all times safe working practices relevant to the ﬁeld of research. presenting their work and interacting with the staff and other postgraduate students. 7. This includes: • becoming familiar with the administrative requirements of the Faculty Ofﬁce (such as applying for the approval needed to spend time away from the University as part of the enrolment.3 Participating in University Intellectual Life Candidates are encouraged to participate in the School community by attending seminars.3. If the student is unable to discuss the matter with their supervisor/s.4 Identifying Problems Candidates should take the initiative in raising with supervisors any problems or difﬁculties with the project or its supervision.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. Where appropriate candidates may also be involved in academic activities in their chosen research ﬁeld. 7.3. The responsibilities of candidates are outlined below. university. be committed to the research and avoid activities which will interfere with its satisfactory completion within the time limit. 7. Alternatively. as agreed with supervisors.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. faculty and school statutes and policies and any other written guidelines and regulations for the degree. for example. and abide by.
36 PhD Handbook . production and binding of the thesis that is ﬁnally submitted. 7. style. 184.108.40.206 Publishing Candidates should accept responsibility for the academic content of the thesis and for publishing any parts of it if appropriate.8 Submitting the Thesis Candidates are solely responsible for the content. The questionnaire is then returned to the supervisors. with a copy to the Administrative Supervisor. Issues emerging from the Exit Questionnaires are passed to the Research and Postgraduate Studies ofﬁce to be incorporated into workshops for postgraduate supervisors. presentation. 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.7.4 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. In order to improve supervisory practices across the University. Once a year. course codes etc). the Research Degrees Committee will also use this information to monitor supervision across the University.
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. Application forms can be accessed via the Human Ethics Policy: http://policy. If either candidate or supervisors are in any doubt as to whether approval is required.http://policy. either in research or teaching.2 (e) (iii)). principles and practice. It is important that PhD candidates read the HEC Guidelines carefully and ensure that they are familiar with basic ethical issues. The HEC recognises that individual researchers and teachers. health.nz 8. social and cultural sensitivities. all assistance which candidates have received in their research be clearly acknowledged in the thesis.victoria. it must be approved by the University’s Animal Ethics Committee. and • • • PhD Handbook 37 . It is important that PhD candidates read the Animal Ethics Policy carefully and ensure that they are familiar with basic ethical issues. principles and practice.0 Research Ethics 8. safety. working in and familiar with their own disciplines. but the application must be approved and countersigned by the primary supervisor and the HoS. In so doing.nz). any material quoted from another author’s work (published or unpublished) must be clearly referenced and acknowledged in the main text of the thesis (attention is drawn to the statement on plagiarism in the Statute on Student Conduct (section 4.nz 8.nz).ac. Responsibility for applying for HEC approval rests with the candidate. The policy and application forms can be accessed via http://policy.ac.http://policy. as well as to provide a degree of protection for the researcher or teacher. Nevertheless. are generally in the best position to assess their proposed activity. dissertation or research paper already presented by the author for another degree or diploma at this or any other university. certain categories of research (and teaching) activities must be approved in accordance with the Human Ethics Policy and HEC Guidelines (Appendix 1) before being conducted. The role of the University Human Ethics Committee (HEC) is to review and approve the adequacy of protection for human subjects in research projects (see HEC Guidelines. and welfare of such subjects.ac. Candidates must then discuss the ethical implications of their research with their primary supervisor to determine whether HEC approval is required. 8.victoria.victoria.ac. rights and freedoms.3 Animal Ethics Committee If PhD research involves animal subjects. it seeks to ensure that all researchers and teachers are aware of the ethical issues involving human subjects. research and teaching.victoria. it is subject to Human Ethics Committee (HEC) Guidelines (see Appendix 1 of the Human Ethics Policy . The purpose of the HEC is to promote.2 Human Ethics Approval for Research If PhD research involves human subjects or human tissue or otherwise affects people’s privacy. not prevent. it must not contain work extracted from a thesis. further advice should be sought from the Head of School (HoS) or the Convener of the HEC. in order to ensure consistency and impartiality in considering the interests of potential subjects. Appendix 1 of the Human Ethics Policy .8.1 Human Ethics Committee Where research activity involves human subjects the University has a responsibility to ensure it protects the privacy.
the falsiﬁcation of data. This includes published and unpublished work. All candidates will be asked to sign a statement that the above conditions have been satisﬁed when the thesis is submitted. organisation. and/or failing to acknowledge work primarily produced by a research student/trainee/associate. cheating or other dishonest practices in relation to assessment. assistance they have received from other persons. • • • • Note: Academic misconduct does not include honest errors or honest differences in the interpretation of data or conclusions drawn. and that candidates make it clear what. 8. which is deﬁned as follows in the Statute on Student Conduct: Academic misconduct includes: • • • fabrication of data. intentional infringements of the guidelines issues by the University’s Human Ethics Committee and Animal Ethics Committee.5 Appropriate Conduct in Research Candidates are expected to conduct all research in an honest. plagiarism. 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. including listing as authors without their permission.• it is the primary supervisor’s responsibility to ensure that the thesis as presented is the candidate’s own work. misleading ascription of authorship. material on the Internet and the work of other students and staff. including fraudulent changing of records. or of other relevant professional practices and codes of ethics. including claiming results where none have been obtained. and other academic or research practices which bring or are likely to bring the University into disrepute. The University has provisions for dealing with cases of research misconduct. if any. attributing work to others who have not in fact contributed to the research. Misconduct in research is unacceptable to the University. academically responsible and ethical manner. 38 PhD Handbook . which is the copying of ideas. wording or anything else from another source without appropriate reference or acknowledgement so that it appears to be one’s own work.
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.nz • PhD Handbook 39 . Candidates may visit these locations in person.3 Financial Assistance The payment of research expenses varies from school to school.victoria.2.1. items of equipment like calculators. Railway (RW 225).1.2 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.1 Introduction PhD candidates should email firstname.lastname@example.org/research%2Dofﬁce/ postgraduate/minimum-resources. photocopying. OGB132 (Law).1 School Resources to Support PhD Candidates 9. Research Funding and Financial Support. paper supplies. the HoS will agree.nz 9. Candidates should expect to spend some of their own money on travel. 9. equipment.ac. All PhD candidates are advised of their obligation to observe the Information Systems Statute which can be found at: http://policy. x5050 for help with the services ITS provides.vuw.2. Also. See also Chapter 11.nz ITS have Help Desks located in ﬁve physical locations around the campus: RB205a (Library). Candidates working from home can access the student environment via the myVictoria portal. or alternatively the ITS service desk can be contacted over the phone on x5050. Some schools are able to provide some ﬁnancial assistance from school resources and this is a subject for negotiation within the School.aspx It includes information about orientation.1. ofﬁce space and furniture. With reference to the Minimum Resources Agreement. 9. Further information on these services and others is available by consulting: www. the candidate’s entitlements and document these in the Research Memorandum which becomes part of the record of registration. with the supervisors and the candidate. MY223. source materials. and WCE (T208).9. electronic facilities and ﬁnancial support.nz or call Information Technology Services (ITS) service desk. It also contains some information about the faculty research grants and the protocol for addressing concerns about resources. ac.ac.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. Internet browsing and printing services are available for a small charge.ac. 9.victoria. This provides access to features such as personal storage and a large number of library databases. facilities. Enquiries via email can be sent to: its-service@vuw. correspondence and so on.ac.0 Research Resources 9. and funding for the expected duration of the research.2 Information Technology Resources 9.
Note. Books from the 40 PhD Handbook . after validation at the Central Issue desk. However.2.Te Pataka Korero The University Library comprises the Central Library in the Rankine Brown Building on the Kelburn Campus. 9. 9.studentvuw. If borrowing privileges are required prior to enrolment while a thesis proposal is being prepared. There is no common data storage between the student domain and the staff domain. For further and more comprehensive information. This section contains information relevant to all PhD students. 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. 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.ac. with reduced hours on weekends and during term breaks.ac. the Lending and Reader Services Group will normally grant temporary borrowing privileges upon receipt of a supporting letter from the proposed primary supervisor.pdf 9.victoria.5 ITS Student Help Desk Service Help Desks are available speciﬁc hours that change from trimester to trimester. PhD candidates will receive a student ID card which.3 Registration as an ITS Client All candidates will have a computer account on enrolment. will give postgraduate library privileges. When connecting from an ITS computer log directly into the student domain.ac. including a complete Staff Directory. Authorised students may use all of these libraries following registration. Following enrolment and payment of fees. the Commerce Library at Railway West Wing. All PhD candidates are advised to consult the Library Statute at: http://policy.1 Lending Services PhD research often necessitates heavy and specialised use of library services. the Education Library at the Karori Campus and the Law Library in the Government Buildings. 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. Access to the network via the staff domain requires students to contact their school administrator who will set them up as an ‘interested party’.2. The Website is also a gateway to the online catalogue of Victoria University of Wellington Library. when connecting from a networked school desktop computer or via the Internet from home (requires a personal ISP) connect via the VUW Portal: www. students should refer to the Library website at www.vuw.nz 9. otherwise their proﬁles will be affected. a networked school desktop computer or through an external Internet Service Provider (ISP).ac.nz/ Amphora!~~policy.nz~POLICY~000000000021. A range of printed information leaﬂets about speciﬁc library services and collections is available from service points in all libraries. the Architecture and Design Library in Vivian Street.3 The University Library .nz/library/ Students are advised to check this site and the myVictoria portal regularly for updated information about the Library and its services.3.vuw.4 Accessing the Network All postgraduate thesis students have the right to access Victoria’s network via the staff domain.victoria.2.9.
Level 2 of the Central Library. Requests must relate to study. Commerce and Law Libraries have similar facilities for subject-speciﬁc database searching. request and renewal procedures. 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. 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. 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. Staff will give advice about electronic and print information resources in a range of subject areas. Subject-speciﬁc seminars and individual consultations are available from the Library throughout the year on request to a liaison librarian or the Reference Ofﬁce. 9.2 Reference and Research Services Reference and Liaison Services.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.nz/library/forms/interloan-request.ac. with some exceptions.3 Research Seminars Postgraduate research seminars are offered at the beginning of the ﬁrst trimester. Most periodicals in the Central Library are issued for two weeks.ac. on the Library website or through the Postgraduate Students’ Association (PGSA). Candidates wishing to borrow this CD in order to install ‘Endnote’ on their personal computer should consult the Closed Reserve Desk staff.3.main collection are issued for eight weeks. offer comprehensive information services. Commerce and Law Libraries. The Architecture and Design.ac. as well as scholarship guides and other directories related to further study. Reference and Liaison Services have (in both print and electronic format) a range of University Calendars from New Zealand and overseas. Architecture and Design library periodicals are not available for loan. except for three-day-loan books. Details of seminars will be given in library notices.nz/library or by going directly to: www. teaching and research purposes only. The Closed Reserve Desk on Level 2 of the Central Library holds copies of the bibliographic management software ‘Endnote’.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. candidates should refer to the Library website: www. Reference staff are always happy to give advice on suitable information resources as well as provide assistance with search techniques and strategies.3. Law.nz/library/ 9. through both printed and electronic resources. 9. Please note that all current issues of periodicals are reference-only items.3. The Interloans team process requests from the Central Library as well as the Architecture and Design. PhD Handbook 41 .victoria.victoria. and library hours of opening. All items on issue are subject to recall if required by other borrowers. For further information about borrowing books and periodicals. The Reference Ofﬁce and Library website can be consulted for the names of liaison librarians.victoria. Commerce and Law Libraries. Requests may be sent electronically from the Library website at www. In the Central Library student computing facilities are available on Levels 1 and 2.
Level 1.Further information may be obtained by contacting the Interloans staff or checking the Library website. Reference and Liaison Services will be happy to give advice and help to facilitate such access.3. U. 42 PhD Handbook . • 9.5 Specialised Collections PhD candidates should be aware of the following collections at the Central Library: • J.3. and Ofﬁcial Publications Collection.C.N. The Collection comprises material published by the United Nations and its associated agencies. Beaglehole Room. Material from other libraries can normally be accessed through interlibrary loan and document delivery services. 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. If PhD candidates wish to access other libraries directly. The Beaglehole Room holds collections of rare books. There is restricted access to some of the material. 9.6 Other Libraries As a general principle. publications issued by other international organisations as well as statistics and yearbooks from New Zealand and many other countries. archives and manuscripts and the VUW Authors’ collection. PhD candidates should ﬁrst and foremost rely on the resources of Victoria University of Wellington Library. Level 1.
2 Statistical Advice Many research projects require statistical analysis of experimental or survey data. For further details.nz/st_services/slss/ in the Postgraduate Students’ Association newsletter and on school notice boards. Literature Reviews.2.1 Student Learning Support Service The Student Learning Support Service (SLSS) organises a series of seminars on issues of relevance to PhD candidates at both Kelburn and Pipitea campuses. in the ﬁrst weeks of each trimester.nz/postgradlife see: 16.nz or by phone on (04) 463-6779. It is the responsibility of supervisors to ensure that proper statistical advice is sought. For enquiries please contact a SCS Help Desk or email scs-help@vuw. Speciﬁc information on the advice obtainable from these two sources follows.1 Statistical Packages Statistical packages such as SPSS (Statistical Product and Service Solutions) are available on all the SCS computers across the campus-wide network.ac.0 Research Advice While it is expected that most of the necessary research advice will be provided by supervisors and other members of schools. 10. ac. Managing Your Studies. The University Research Committee also funds a consulting statistician. go to: www. Qualitative and Quantitative Methodologies.vuw. Details are advertised on: www. Statistics and Computer Science. runs intensive thesis writing workshops and provides one-to-one support throughout students’ candidature. Further information can be obtained by phoning x5908 or viewing PostgradLife. Statistics and Computer Science. Guest speakers cover topics such as: Writing a Research Proposal.mcs. Statistics and Computer Science offers a number of undergraduate and graduate courses in Applied Statistics. SLSS also facilitates a regular writing group. Some other packages are available within selected specialist school facilities. and statistical advice may be sought from the School of Mathematics. a studentcentred website at www. victoria. 10. You should consider whether any of them may meet your needs. PhD Handbook 43 .ac. and Thesis Writing. the Student Learning Support Service offers general advice on research.victoria.vuwvictoria. 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 10.1.nz. The Ethical Approval Process.10. 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.10. ac. based at the School of Mathematics.ac. The School of Mathematics.
This funding includes the growing range of scholarships administered by the New Zealand Vice-Chancellors’ Committee [www. the grant in question.nzvcc. those of research students. Science and Technology [www. Candidates must have the endorsement of their supervisor and Head of School to submit.nz/scholarships 11. funding from outside enterprises are discussed with those responsible for external research income before any agreement is signed.ac.0 Research Funding and Financial Support If PhD candidates are contemplating PhD study and would like to apply for a scholarship. they should consult the Scholarships Ofﬁce (email Scholarships-Ofﬁce@vuw.govt.tec.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. Information and application forms can also be downloaded from the University website: www. including Commonwealth and Rhodes Scholarships. government funding through the Tertiary Education Commission [www. phtml?detail+600532 or from the Scholarships Manager. Unsuccessful applicants may apply again in the follow round after consultation with the Scholarships Manager.nz] and Education New Zealand [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. Information and documentation is available at: http://www. and the University. 11. It is also important to ensure that agreements with funders are formulated in a way that protects their interests. Applications for Victoria University PhD Scholarships must be submitted to the Scholarships Ofﬁce by 15 June or 1 November. 11.11.the Bright Future scheme.ac.nz].nz/BreakOut/vuw/schols. or implications of. careful consideration must be given to any conditions attached to.newzealandeducated. All Victoria PhD Scholarships are tenable for up to three years from ﬁrst enrolment.ac. Applications for Vice Chancellor’s Strategic Research Scholarships must be submitted by 15 May – topics for these scholarships are advertised in February of the year of application.nz]. 11.ﬁs. Successful applicants are expected to work full-time on their research during the tenure of the scholarship. It is therefore essential that applications for.2 PhD Submission Scholarships These scholarships enable students already enrolled for several years to bring their research to a successful completion.nz] .govt.org.org. PhD Submission Scholarships are tenable for three months only and there is a closing date every two months starting in January each year. but before agreements are reached with external funders.1 University Scholarships There are three rounds of PhD scholarships each year. and offers of. Funds from these sources are usually of great beneﬁt to research students. 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.victoria.frst.nz). If a grant imposes any obligations or restrictions upon the candidate or the 44 PhD Handbook .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. the Foundation for Research. Some supervisors may also have contacts with businesses or enterprises through which other funding can be arranged.
utdc. ac. as in other cases of paid employment. In this. If candidates are offered such work. 11.University. 11. 11. in VicNews and on the tutor/demonstrator email list: firstname.lastname@example.org Tutoring and Demonstrating Many PhD students support their studies by tutoring or demonstrating. costs incurred in securing research material and travel for ﬁeld-work and conference attendance.ac.5 Research Grants PhD candidates can seek advice and apply for Research Grants either through their faculty or school where available. parties responsible for external research income will negotiate changes before the offer of a grant is accepted.6 Loans and Allowances Information on allowances and loans can be obtained from StudyLink. www. they should be aware of the need to strike a balance between the demands placed on their time by the associated duties and their own study. Candidates may like to seek assistance from the Victoria University of Wellington Students’ Association’s (VUWSA’s) Education Coordinators in this matter. Funds for scholarships or research expenses must be channelled through the University Scholarship Ofﬁce and not paid directly to the candidate. tel 0800 889 900.studylink. Candidates who wish to apply for a Research Grant should discuss their application with their supervisors. Funds typically granted by faculty committees are used to cover identiﬁable expenditure on inter-library loan costs.nz or tel 0-4-463 5793. Candidates should consult their Head of School with questions concerning the availability of tutoring or demonstrating positions. Tutors may complete a Tutor Training Certiﬁcate of Attendance through the UTDC.nz. Tutors and demonstrators are employed by schools to teach undergraduate (usually ﬁrst-year) classes and to do associated marking. 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. For further information see the UTDC website: www. Ministry of Social Development. PhD Handbook 45 .victoria. it may be worth sacriﬁcing income in order to facilitate the speedy and successful completion of the degree.govt.
0 Resolution of Problems 12.vuw. Candidates and supervisors should be able to discuss the issues involved and reach agreement on how any obstacles might be overcome.nz Further information can be found in this Handbook in 15. the Postgraduate Students Association (PGSA) and Victoria University of Wellington Students’ Association (VUWSA). with both candidate and supervisor seeking assistance as necessary and appropriate. the other supervisor may be able to provide assistance. mindful of maintaining the reputation and standing of the University. It is desirable that any problems that may arise are addressed and settled as quickly as possible. preferably within the School. supervisors and candidates encounter difﬁculties that may prevent fruitful co-operation.3 General Guidelines Candidates and supervisors might ﬁnd the following process helpful in addressing problems. however. Both parties are advised that a variety of options are available for the resolution of difﬁculties. Whatever process of conﬂict resolution is adopted. The following section indicates to both supervisors and candidates a general means of resolving difﬁculties arising in the supervisory relationship.5 . candidates and supervisors are urged to refer to these documents at http://policy. In some instances both parties may need to accept that a change of supervisor may resolve the problem and ensure completion of the project. Candidates can reasonably expect the University to actively seek prompt resolution of any problems. 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.2 General Principles It is essential that steps are taken to resolve any problems immediately. but have been unable to do so. 12. differences of opinion may arise over questions that are related directly to the scope of the topic or to the investigation of it.Rights and Obligations Regarding Conduct. 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. In some cases.12. 12. The University will expect all parties to the resolution process to conduct themselves with professionalism. 46 PhD Handbook .ac. 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. Where difﬁculties occur between a candidate and one supervisor.1 Introduction In the course of the research process. Candidates are also free to seek advice from other scholars. All parties must be sensitive to the needs of any candidate who has sought assistance. the goal is to allow the research to continue and to be completed within the scheduled timeframe. It is assumed that the parties have attempted to resolve the difﬁculties themselves.
Candidates may also wish to approach the Student Counselling Service. with respect for all parties.3. more formal procedures.3. Grievances relating to academic disadvantage are considered under the Academic Grievance Policy. It is the responsibility of the Associate Dean to attempt prompt resolution of any difﬁculties. they have a duty to refer the matter immediately. it is the responsibility of the Administrative Supervisor to inform the Associate Dean immediately in writing. For a list of people who can offer advice and support see page 8. This must be done in writing and should include information on what informal procedures have been followed. 12. It is the responsibility of the Administrative Supervisor to attempt prompt resolution of the difﬁculties. as appropriate.3 Seeking Assistance outside the Faculty Victoria University of Wellington Students’ Association’s (VUWSA) Education Coordinator is available to offer advice and support to candidates experiencing difﬁculties. 12. The Associate Dean must be kept informed at all stages and copies of correspondence must be sent to the Manager. or before resorting to.3. Such assistance might take the form of eliciting information. The Associate Dean will liaise with the Manager of the Faculty Ofﬁce. 12. The Education Coordinator is available where candidates may wish to sound out their concerns with someone outside the Faculty. they are entitled to take the matter either separately or collectively to the Associate Dean. 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. formal grievance procedures can be invoked.1 Seeking Assistance from the Administrative Supervisor In the ﬁrst instance. Academic grievances concerning PhD candidacy are dealt with by the PhD Handbook 47 .4 Lodging a Formal Grievance If.2 Seeking Assistance from the Associate Dean If the Administrative Supervisors ﬁnd themselves unable to resolve any difﬁculties. and if required. If either candidate or supervisors feel that resolution is not being achieved to their satisfaction within the School. as necessary. Alternatively. to the Associate Dean. If research progress is being affected by difﬁculties.12. while the Facilitator and Disputes Adviser deals with problems relating to matters covered by the Policy on Staff Conduct. following consultation with the candidate and supervisor. with respect for all parties. 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. The Senior Academic Policy Adviser deals with academic matters covered by the Academic Grievance Policy. and the University Facilitator and Disputes Adviser. If required. Where this fails to resolve the problem. or where either the candidate or the supervisor(s) feel it is inappropriate to address their concerns to each other. a candidate is still dissatisﬁed. The Administrative Supervisor must be kept informed. they may approach the Administrative Supervisor for assistance in resolving their difﬁculties. seeking clariﬁcation or providing guidance and/or mediation. can raise the problem with appropriate people on their behalf. following consultation with the Administrative Supervisor. outlining how the candidate and supervisor(s) are working towards the resolution of those difﬁculties. Faculty Ofﬁce. any difﬁculties should be discussed between the candidate and the supervisor(s).3. Candidates may also approach the Senior Academic Policy Adviser for advice and assistance or the Facilitator and Disputes Adviser. in writing. after trying the above channels. the Education Coordinator can deal with both academic and conduct issues.
Policy/Statute Academic Grievance Policy Nature of Grievance Academic disadvantage regarding PhD candidacy Staff misconduct Submit to AVC (Academic) The relevant Pro ViceChancellor Policy on Staff Conduct 12. Formal grievances regarding staff misconduct normally are handled by the relevant manager.ac.Assistant Vice-Chancellor (Academic) who will consult the Deputy Vice Chancellor (Research). supervisors and Administrative Supervisors are encouraged to make direct contact with Faculty Ofﬁce Managers. 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. and then the Pro Vice-Chancellor of the Faculty if necessary. for any reason. The Manager will request appropriate action from Administrative Supervisors and supervisors if necessary. 48 PhD Handbook . In each case.4 Resolving Administrative Difﬁculties If the difﬁculties are of an administrative or procedural nature. candidates. formal grievances beyond the levels described above should be submitted to the relevant Pro ViceChancellor. If anyone is. 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.nz/).
A student may present a thesis in Te Reo Maori as outlined in The Use of Te Reo Maori for Assessment Policy.0 The Thesis 13. or in a separate companion volume or box. Body of the text: relevant advice is provided in section 13. Acknowledgements: candidates are required to acknowledge all assistance that has been received with the research and production of the thesis.2. The thesis structure is a matter for discussion between candidates and supervisors. Preface: a preface may not be necessary as the abstract can state the scope of the study.13. The following guidelines may assist candidates in preparing their theses for presentation. The preparation of a ﬁrst draft may be the most difﬁcult part of the work. Candidates should check details of presentation and production with the primary supervisor before ﬁnal preparation of the thesis. 13. Abstract: the regulations require that the thesis should include a short abstract. Table of contents: candidates should list chapters with relevant page numbers. 13. providing a summary of the methods of investigation and conclusions reached in a form suitable for publication. If the thesis consists of more than one volume. • • • • • PhD Handbook 49 .2. Separate contents pages should also be included in subsequent volumes. The precise interpretation of this varies from discipline to discipline. but its transformation into the ﬁnal draft for submission usually takes much longer than planned. 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. plates etc: all illustrations should be numbered and page references given. List of illustrations. It may include published material. the thesis must explain their relationship to one another. 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. Schools may also specify distinct requirements bearing on style and presentation. The abstract must not exceed 500 words. A length of about 300 words is recommended. If the thesis contains a large quantity of folded material it may be advisable to place it in a special folder or pocket at the end of the volume. The only general requirement is that the thesis should be an integrated report. Nearly all candidates ﬁnd that the actual writing of a thesis takes much longer than expected.1 Introduction This section contains information on the presentation.3. Where the research project consists of a number of cases of more or less separate studies.1 Layout It is recommended that the contents of the thesis be presented in the following order: • • Title page: a specimen page is provided on page 53. candidates should show the contents of all volumes on the contents page of the ﬁrst volume. binding.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.
Walter S. However. Joseph. 2003. Chicago: University Press. Writing your doctoral dissertation: invisible rules for success. These works are all available in the Library. 1995. write and ﬁnish a doctoral thesis or dissertation. Washington: the Association. the books listed below may be useful. especially if the thesis is later reproduced on microﬁche. 5th ed. Consult the Reference and Research staff for further guidance. For speciﬁc examples of how to cite a book (single. K. References and/or Bibliography: references in the text should be made in the form appropriate to the discipline concerned. Phoenix: Oryx Press. The Chicago manual of style. 15h ed. New Zealand Government Printing Ofﬁce. Robert. M L A handbook for writers of research papers. Gibaldi. • • 13. 6th ed. University of Michigan Press.• Appendices (if applicable): candidates may wish to include here any material that does not ﬁt conveniently into the body of the text. 5th ed. Houndmills. The supervisors are able to advise on the appropriate forms.) Swales. John M. Dunleavy. Chicago: University of Chicago Press. 2003. if the footnotes become very extensive it is acceptable to list them in a separate section at the end of the thesis. in cases of doubt the full form of any reference should be used rather than abbreviations. The New Zealand Style Book. If in-text references are in the form of footnotes. 2003. 6th ed. 1994. 1996. Joseph. New York: Modern Language Association of America. Day. and the listing in the References/Bibliography should reﬂect disciplinary norms. draft. Achtert. New York: Modern Language Association of America. 2000. 2000. L. The MLA style manual.) Index: if candidates wish to include an index. University of Chicago Press. M L A style manual and guide to scholarly publishing. Gibaldi. Basingston. (Also titled Style Book: a guide for New Zealand writers and editors. 1998. (It is often inconvenient to refer to notes and references placed at the end of the chapter or at the end of the thesis. though not essential. 50 PhD Handbook . Publication manual of the American Psychological Association. Authoring a PhD: how to plan.2. please consult the Library Reference and Research staff for advice on its format and for guides on its preparation. English in today’s research world: a writing guide. multiple or corporate authorship) in part or as a whole. or how to cite journal articles. it is preferable.2 Citation style Particular disciplines often have individual citation conventions. 1998. How to write and publish a scientiﬁc paper. theses and dissertations. 2nd ed. 2nd ed. Rita S. 4th ed. Wellington: GP Publications. Be sure to conform consistently to the standards considered appropriate for the relevant discipline. American Psychological Association. New York: Modern Language Association of America. Patrick. 2001. A manual for writers of term papers. Brause. Ann Arbor. London: Falmer Press. that these footnotes appear at the bottom of the page to which they refer. Turabian.
115 (b) etc). abstract. • 13. The Victoria University PhD Statute stipulates that “the thesis shall not exceed a total of 100. Larger material such as charts.5 Paper • The physical appearance of the thesis is very important. including diagrams and charts. or mounted on guard sheets. The paper used should be of good quality and be in A4 format. • • 13.6 Photographic and Colour Copy Illustrations • Photographs should be dry mounted where possible.2. except the title page which is normally counted but not numbered.2. The Library provides a self-service colour photocopier in the photocopying room on Level 2 of the Central Library. Use single spacing for footnotes but double spacing between individual notes. Candidates should discuss payment with supervisors. Interpolated leaves . Printing on one side of the paper only is preferred.2. Candidates should contact University Image Services for information on available photographic and digital imaging services and current costs. maps or charts . Lines should be double spaced or at least one and a half spaces apart. 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. table of contents etc).g. Candidates should be guided by their supervisors on an appropriate length for the thesis. Image Services may be contacted at: tel 0-4-463 5133.illustrations. email Image-Services@vuw. if possible. but text on both sides is acceptable. It is essential that all leaves be of the same size so that they may be readily bound together.ac. Leave a margin of at least 4 cm on the left or binding side of the page.7 Length • A PhD thesis should be concise: examiners often criticise excessive length.2.13. which frequently indicates poor judgement. • 13.5 cm as the edges will be trimmed by the binders and there must be no danger of losing part of the text.should be included in the main numbering sequence.2. provided the text is correctly imposed with uniform and sufﬁcient margins.000 words in length (including scholarly apparatus). On the other three sides of the page the margins should be not less than 1. • • • 13.nz. It is recommended that photographs be mounted on heavier paper than that used for the main text. New Kirk. 115 (a). especially the footnotes. especially if the thesis is very long.4 Pagination • Pages must be numbered consecutively and page numbers should appear on every page in a consistent position. In exceptional circumstances the • • PhD Handbook 51 . Rankine Brown Building. room 116. uniform on all pages. diagrams and maps may be folded to conform to the A4 format. Candidates may also wish to distinguish indented quotations from the main text by using single spacing or a smaller font size. Avoid. sub-numbering of pages/leaves (e.3 Format • • Word-processing and 12-point type font is recommended.
ac. If a draft printout from another printer is needed. 13. particularly for complex formats like tables.victoria.Research Degrees Committee may grant permission for a longer thesis to be submitted for examination” (PhD Statute 4. Candidates should always back up their work. for instance. The following advice should help candidates make the most efﬁcient use of their computers and avoid commonly-made mistakes. or use the original. keeping the back-up in a different place from the original. regularly up-dated. Candidates should consult the relevant thesis presentation guides before they begin.html describes how a computer workstation should be set up.8 Computer Use Most PhD theses are produced by candidates using a computer. Information Technology Services staff may also be able to provide advice.nz/hr/heath_ safety/health-safety-training. Using the required guidelines from the outset will save a great deal of time and anxiety in the ﬁnal stages of thesis preparation. At the time of submission the candidate must certify that the thesis falls within this word limit. • Candidates should be aware of the dangers of developing occupational overuse syndrome (OOS) with prolonged computer use. Also OOS Buster courses (I hour) are held regularly during term time. A supervisor or school administrator. Candidates should make sure that the printer-driver for the printer that will be used for the ﬁnal printout is chosen during any formatting exercise. One at home and one at the University. but close without saving changes.2. might be prepared to hold a back-up copy. Different drivers impose different page speciﬁcations.4 (b)). Permission should be sought well in advance of submission of the thesis for examination. • • • 52 PhD Handbook . and a change in printer-driver can affect the layout signiﬁcantly. students should make a copy and print from that. The Health and Safety webpage: www. is necessary insurance.
2.9 Specimen Layout of Title Page THE FULL TITLE OF THE THESIS By Candidate’s Full Name A thesis submitted to the Victoria University of Wellington in fulﬁlment of the requirements for the degree of Doctor of Philosophy in History Victoria University of Wellington 2008 PhD Handbook 53 .13.
4.html) require that research results must be disseminated and not kept secret. The degree will not be awarded until this has been done. • • 13. • • 54 PhD Handbook .4. provided the relevant information (as above) is visible when the item is shelved. advice may be sought from library staff. Architecture and Design theses are deposited with the relevant campus library. for deposit in the University Library.4. The binding must ensure that the thesis can later be permanently bound to conform to the Library requirements.victoria.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. A receipt is issued at the time of deposit. to facilitate any revisions or corrections and/or re-submission.1 Public Availability of Theses The University Human Ethics Committee (HEC) Guidelines (see Appendix 1 of the Human Ethics Policy: www. • • • • 13. If in doubt. Theses are deposited with Collection Services on Level 1 of the Central Library.nz/home/about_victoria/policy. The thesis must be ﬁrmly bound within the temporary cover so that pages cannot become detached. The author’s last name and initials and the title/short title must be lettered on the spine. It is an important component of the University tradition that knowledge is openly available for examination and criticism by peers (see also 13.13. is available from the Reference desk in the Library. may be bound or boxed in a fashion appropriate for their preservation. never stapled. The Reference desk of the Library holds a list of approved binders.3.ac. The thesis must be fully bound.2 Permanent Binding of the Thesis • The candidate is solely responsible for having the thesis bound after the examination to the satisfaction of the University Librarian.3. 13. as this will interfere with the permanent binding. Works which do not fall within the usual A4 format. A list of local commercial binders.3 Binding 13. Care should be taken to ensure that the temporary binding does not produce a row of holes down the page. who will soft bind theses for examination.4 Availability and Withholding of Access to Theses 13. and cased in cloth or buckram. Authors are responsible for all binding charges. Lettering on the front cover is recommended but not essential. such as musical scores. Law.1 Temporary Binding for Examination • Candidates are encouraged to submit the three copies of their thesis for examination in temporary soft binding.4).
nz/Amphora!~~policy.4. The third bound copy is retained by the candidate.4. Candidates should consult section 4.ac. A completed availability slip MUST accompany the deposit.nz~POLICY ~000000000034. graphs.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.e. In certain circumstances. Availability slips are obtained from the Faculty Ofﬁce at the time of enrolment. 13. or prejudice the maintenance of law and order. In general. and photographs included in the thesis). i. or as soon as the need for an embargo becomes apparent.vuw.nz It describes ownership and what is required should intellectual property issues arise from research undertaken while a student at the University. The Associate Dean can provide further advice. Students should consult the Victoria University Intellectual Property Policy at http://policy. The application must also be supported by the supervisors and Head of School.” A description of what constitutes a good reason for withholding information held by the University is dealt with principally in Sections 6. or seriously damage the economy of New Zealand. If making information available would be likely to prejudice the security or defence of New Zealand or international relations with New Zealand. endanger the safety of any person. 13.3(c) of the Library Statute for a full description of the provisions regarding the Withholding of Access to Theses and see http://policy. The Library must always receive the original or “best” copy (and this includes the ﬁgures.pdf for the Withholding of Theses Procedure. Copyright in publications other than the thesis arising from supervised research is likewise owned by the creator(s).vuw.3 Copyright and Intellectual Property The author retains the copyright to the thesis after deposit in the Library and redress for plagiarism can be sought under the laws protecting copyright.victoria.12. 7 and 9 of the Act. that likelihood is good reason for non-disclosure.ac. research students will be required to enter into an agreement assigning or apportioning intellectual property to the University.• 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. If application is delayed difﬁculties may arise if the RDC subsequently declines the application after the research has been completed. Second or third copies are usually photocopies. • • 13. ac. or comply with the terms of any agreement. In some cases the candidate’s school will also request a copy. however.5 The Implications of Withholding Access All information held by the University is subject to the Ofﬁcial Information Act 1982 which operates on “the principle that the information shall be available unless there is good reason for withholding it. This should be done at the outset of research. or it will not be accepted.4. it must be in the public domain. the use of any third party content must not be in breach of copyright. fall within the provisions of the Copyright Act 1994 and Amendments. For electronic deposit. PhD Handbook 55 . research students own the intellectual property originally created exclusively by them in the course of their studies.
It will cite as the speciﬁc ground for withholding the document. rents and other costs.3(c). Sections 6 and 9 of the Ofﬁcial Information Act are reproduced here: Section 6. iv) the stability. disclosure may be required if “in the circumstances of the particular case.12. Candidates and supervisors should bear these factors in mind in choosing topics for research.3(c) for the withholding of a thesis or research paper from consultation.12. seek to withhold information in it under the Ofﬁcial Information Act 1982. or ii) any international organisation. Conclusive reasons for withholding ofﬁcial information Good reason for withholding ofﬁcial information exists. or To endanger the safety of any person. 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. or (c) To prejudice the maintenance of the law. making requests for research information from outside sources. iii) taxation. Where arrangements have been made under the Library Regulation 4. and its inclusion or exclusion from the research document as formally presented for examination. to make that information available. including the prevention. giving undertakings to the suppliers of information in respect of the maintenance of conﬁdentiality. for the purpose of section 5 of this Act. the University will. (b) (d) (e) 56 PhD Handbook . 13.4. investigation. and the right to a fair trial. the ground identiﬁed in the written request made by the author under the Library Regulation 4.Candidates should give particular attention to Section 9 of the Act.” It is for this reason that the University can give no guarantee that information held by it will not have to be made available under the Ofﬁcial Information Act 1982. 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. the withholding of that information is outweighed by other considerations which render it desirable. It is important to note that although the section lists good reasons for withholding information. in the public interest. ii) the regulation of banking or credit. and detection of offences. if the making available of that information would be likely: (a) To prejudice the security or defence of New Zealand or the international relations of the Government of New Zealand. and deciding how information will be handled in the examining of the thesis or research paper. as a matter of policy.6 Ofﬁcial Information Act 1982 For the information of candidates and supervisors. control and adjustment of prices of goods and services. Among many possible reasons for withholding information mentioned there is speciﬁc reference to material of a sensitive personal or commercial nature.
and it is in the public interest that such information should continue to be supplied. or ii) Would be likely unreasonably to prejudice the commercial position of the person who supplied or who is the subject of the information. Section 9. 7. or (b) Protect information where the making available of the information i) Would disclose a trade secret. in the public interest. or (c) Avoid prejudice to measures protecting the health or safety of members of the public. to make that information available. 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. 10. the withholding of the information is necessary to – (a) Protect the privacy of natural persons. ii) Collective and individual ministerial responsibility. including that of deceased natural persons. unless. Other reasons for withholding ofﬁcial information: (1) Where this section applies. good reason for withholding ofﬁcial information exists. where the making available of the information i) Would be likely to prejudice the supply of similar information. the withholding of that information is outweighed by other considerations which render it desirable. Subject to sections 6. in the circumstances of the particular case. or ii) Would be likely otherwise to damage the public interest. salaries and other incomes. or (d) Avoid prejudice to the substantial economic interests of New Zealand. vi) the entering into of overseas trade agreements. or information from the same source. and only if. this section applies. if. iv) The conﬁdentiality of advice tendered by Ministers of the Crown and ofﬁcials. iii) The political neutrality of ofﬁcials. 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 (2) PhD Handbook 57 . or (g) Maintain the effective conduct of public affairs through i) The free and frank expression of opinions by or between or to Ministers of the Crown or members of an organisation or ofﬁcers and employees of any Department or organisation in the course of their duty. or (e) Avoid prejudice to measures that prevent or mitigate material loss to members of the public. v) the borrowing of money by the Government of New Zealand.and rates of wages. for the purpose of section 5 of this Act. and 18 of this Act.
ofﬁcers. members of organisations. 58 PhD Handbook . and employees from improper pressure or harassment. or (h) Maintain legal professional privilege. or (j) Enable a Minister of the Crown or any Department or organisation holding the information to carry on. or (k) Prevent the disclosure or use of ofﬁcial information for improper gain or improper advantage. without prejudice or disadvantage. negotiations (including commercial and industrial negotiations). or (i) Enable a Minister of the Crown or any Department or organisation holding the information to carry on. commercial activities. without prejudice or disadvantage.ii) The protection of such Ministers.
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. At least one examiner is normally a member of the staff of an overseas university or similar institution (the overseas examiner). recommend suitable examiners to the Associate Dean. ‘Availability’ means willingness to accept appointment and agreement to examine the thesis and complete a report within eight weeks of receiving the thesis. If the candidate is a member of Victoria University staff. the Associate Dean will give favourable consideration to a request for early submission. 14.2 Early Submission In cases where a candidate makes exceptional progress with their research. Examiners must be in a position to provide a fair and impartial assessment of the thesis. 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.14. Candidates can be consulted on potential examiners. professional or contractual relationships with the candidate. Availability is normally established through informal contact and the Associate Dean is responsible for ensuring that this is done. Supervisors.0 The PhD Examination 14. but may not be told which examiners have been nominated or appointed. as long as the report constituting the thesis is written under supervision during the period of registration. 14. The RDC approves the nominations and appoints the examiners. their relationship to one another should be demonstrated. Concerns with any aspect of the recommendation of examiners should be addressed to the Associate Dean. The decision to make application for a thesis to be examined is one to be made by the candidate. or where a candidate who has transferred from a Master’s degree is able to complete their thesis in less than the predetermined period of registration. and supply the Associate Dean with a brief curriculum vitae or other information which establishes the suitability of the proposed examiners.3 Submission A thesis is an integrated report.g. Suitable examiners are those who have no signiﬁcant personal.. Normally at least one examiner will be from another New Zealand University (the external New Zealand examiner). in consultation with the Administrative Supervisor. The third examiner should be a member of the Victoria University staff (the internal examiner). PhD Handbook 59 . e. a member of the same teaching/research group. If it consists of several studies or cases. The thesis may include the candidate’s previously published work or material based on previous research. The Associate Dean will scrutinise the recommendations and forward them to the RDC. Only in exceptional circumstances will the internal examiner be the primary supervisor or cosupervisor. In cases where the most qualiﬁed examiner has such a relationship with the candidate. the internal examiner should not normally be a close working colleague. the Research Degrees Committee (RDC) should be consulted. 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.
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.ac.nz~POLICY~000000000034. after appropriate consultation. Should the Associate Dean decide that a thesis is not complete the candidate may appeal that decision to the Research Degrees Committee (RDC). 60 PhD Handbook .pdf). the candidate shall submit three copies of the thesis to the Faculty Ofﬁce and signed copies of the above statements (completion of the Exit Questionnaire is recommended but not compulsory) and apply for examination. The University expects that normally a candidate would be enrolled for the three months immediately preceding submission.vuw. If the Associate Dean so decides the candidate shall be advised of the reasons for the decision and the changes necessary to make the thesis suitable for examination. to submit without three months prior enrolment. Students may appeal to the PhD Convener.vuw.nz/ Amphora!~~policy. 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. in exceptional circumstances. 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. The University has an obligation to examiners to ensure that any thesis sent for examination is complete and suitable for examination. including word limits. a statement that the thesis does not exceed 100. it should be reviewed by at least the primary supervisor before application is made for examination.However.000 words in length* a research supervision Exit Questionnaire to canvas PhD students for written comments about the supervision of their thesis. The Associate Dean. This review period should not usually exceed four weeks. copied or reproduced in accordance with the Library regulations. If a thesis is submitted in the grace period no extra fees will charged. 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. the primary supervisor may recommend to the Associate Dean that the thesis not be accepted for examination. it is expected that such decision will be made by agreement between the candidate and the supervisors. • • • On submission of the thesis. If the supervisors are of the opinion that the thesis is not complete. 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. 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. borrowed. When the candidate indicates the thesis is complete. A grace period starts on the last day for which fees are paid and covers the following 28 days. Before submission.ac. two Availability of Thesis forms providing consent for the thesis to be consulted. the candidate retains the right to have the thesis examined. 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:
1) to the thesis recommended by the examiners. the changes that the examiners require are such that it is reasonable for the internal examiner alone to assess the revised thesis. that although the thesis is acceptable (or acceptable with minor amendment/revision) the degree not be awarded but that the candidate be permitted to re-present himself/herself for oral or written examination within a speciﬁed period of time. that the degree not be awarded but that the candidate be permitted to re-submit a revised thesis within a speciﬁed period. As a guide. that the candidate be awarded the PhD subject to the completion of any minor amendments (deﬁned in 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 candidate be declined a PhD but offered a Master’s degree. the person responsible for overseeing the minor amendments or revisions will stipulate in writing the timeframe within which these must be completed. If the primary supervisor is not available then the Administrative Supervisor will take this role.9.9.2 Revisions Where more than minor amendments are required. for example. amendments that are ‘minor’ should be able to be completed within two weeks’ full-time work or equivalent. to clarify an argument. 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. In this case the examiners should offer detailed advice to assist the candidate towards a successful re-submission. • • • • • 14.9.9. 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.2) to the thesis recommended by the examiners. to the satisfaction of the internal examiner.• • that the candidate be awarded the PhD. such as making small corrections. adding missing citations. 14. and • 64 PhD Handbook .9 Minor Amendments and Revisions The responsibility for overseeing the minor amendments or revisions is usually taken by the internal examiner. If the internal examiner is not available. 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. After consultation with the candidate. or ﬁxing typographical errors. that no degree be awarded and the candidate’s registration be terminated. that the candidate be awarded the PhD subject to the completion of any revisions (deﬁned in 14. to the satisfaction of the internal examiner. 14. then the primary supervisor will take this role. the candidate may be asked to revise aspects of their work and sometimes write new sections. Generally minor amendments are formal only. but ‘minor’ can include slight changes or additions of substance.
• 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. When the examiners recommend that the thesis be re-submitted after revision. Once the thesis has been resubmitted. If there is good reason why the internal examiner should not be the person to undertake this task. MSc. Any recommendation regarding a second oral examination requires conﬁrmation by the RDC. for example. MCA. PhD Handbook 65 . at their discretion. the examination process begins again. 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. to ensure that the candidate understands exactly what is required to meet the examiners’ concerns and to oversee the revision process. a formal Memorandum of Understanding should be agreed before entering into negotiations with the candidate as to the completion of these revisions. The Masters in such cases will be awarded at the Pass level. The internal examiner is responsible for explaining to the candidate. or a restructuring of the thesis). which parts of the thesis require revision and for what reasons.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. they may also recommend that a second oral examination is not required. a period of further supervision will be required. Any such change must be notiﬁed to the relevant Faculty Ofﬁce. 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. 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. Where re-submission is involved. all copies of the thesis are returned to the candidate who is given the date by which re-submission must be made. 14. MMus. 14. LLM) in place of the doctoral qualiﬁcation. which will usually delegate this to the internal examiner and/or the primary supervisor. Any candidate for whom the result of the ﬁrst round of the examination process is that the thesis may be resubmitted. It is the duty of the School Research Committee to organize this. When the thesis is re-submitted. this option no longer applies. and to change the primary supervisor if this is academically advisable.9. Re-enrolment is required for re-submission. Only in exceptional circumstances will the RDC consent to a change of examiners. Following such discussions. who will then appoint an appropriate substitute. a second oral may be necessary. Where the problems are more fundamental (requiring. an explanation should be given to the Research Degrees Committee. While candidates have a maximum of six months to make the suggested revisions. The revisions required will be notiﬁed to the candidate in writing. it is desirable that the work is completed as soon as possible. it is recommended that the internal examiner discuss the matter with senior researchers in the School or wider university. in writing with a copy to the Convener of the RDC. the gathering of further data. may.3 Disputes about Revision If there is substantial disagreement between the two external examiners and/or the internal examiner.
A copy is available in the main collection of the Library. intellectual openness and questioning of accepted wisdom. endeavours to maintain an environment which will foster and protect PhD students.3 Collegiality The University recognises that a vital aspect of the learning experience for PhD candidates is an environment of strong and supportive collegiality. equity of educational and employment opportunity for those who are socially and economically disadvantaged. acceptance of obligations as well as rights to enable all in the University community to develop their full potential. and the principal rights and obligations of PhD students. PhD candidates’ status can be rather ambiguous. ac. although the Postgraduate Students’ Association (PGSA) can provide important social and academic contacts. teaching and research. high ethical standards of accuracy. neither members of the main student body. co-operation. candidates occupy a special albeit transitional. in return. 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. a commitment to leadership in the community and an awareness of the needs of that community.0 The University Community 15. place in the University system.victoria. While PhD students are usually treated collegially by academic staff. • • • • • • A full description of the University’s Mission and Values is set out in the University Charter. isolation can be a problem. Like many transitional states. The sections that follow outline the principal values of the University community. 15. The University. a nurturing environment providing the atmosphere for growth and learning. at the same time they require guidance. nor members of the academic staff. and ultimately will be examined by the academic staff. This document is also available at: www. acknowledgement of the principles of the Treaty of Waitangi and recognition of the special relationship with the tangata whenua.1 Introduction While engaged in PhD study. tolerance. Students should be aware that undertaking a PhD has the potential to be a solitary and isolating experience and should work to mitigate this.nz/home/about/newspubs/publications/Charter. and provide an academically exciting and intellectually stimulating environment.2 Values and Ethos The guiding values of the University community are: • • excellence in learning.15. and a commitment to teaching and research that embraces both theory and practice. For PhD students in small schools. During the time of study.pdf 15. The University encourages candidates to get to know each other so that experiences can be shared 66 PhD Handbook .
All PhD candidates are therefore reminded of their obligation to observe the Statute on Student Conduct. seminars. guiding values and standing and to regulate their own conduct so as not to impede or prejudice the work of other members of the community. It lobbies on issues.victoria. The PGSA operates an electronic mailing list for all members which keeps postgraduate students informed about PGSA initiatives. The preamble to the Statute on Student Conduct states that: “Students are expected to contribute with reason and consideration to the University’s role. which can be viewed by searching for ‘Statute on Student Conduct’ at: http://policy. The PGSA also coordinates the network of postgraduate representatives on university committees and bodies. training workshops and information. The PGSA also organises the University’s annual teaching awards (the Victorias) and offers a small postgraduate computing space in the Trinity Newman Postgraduate Centre.1 The Statute on Student Conduct The supporting values and ethos of the University can only be sustained in an environment of safety and respect for all members of the University community.4 The VUW Postgraduate Students’ Association The Postgraduate Students’ Association (PGSA) is an independent organisation that represents all postgraduate students and their interests at Victoria. the PGSA is committed to maintaining and improving the conditions under which all postgraduates work at Victoria. The PGSA sends out a monthly e-newsletter The Postgraduate News.ac.5 Rights and Obligations Regarding Conduct 15. 15. To subscribe or unsubscribe to the list go to www. and provides advice and advocacy for individuals and groups of postgraduate students. Candidates are also encouraged to attend the appropriate faculty and school seminars. The PGSA is always eager for postgraduates to get involved.ac. You can also contact the PGSA on tel 0-4-463 6973 or email email@example.com or www. ac.nz The Statute on Student Conduct identiﬁes unacceptable behaviour and provides processes by which people can seek to have concerns addressed. It acts on behalf of postgraduates. relevant information for postgraduates and social events.victoria. lobbying to foster the academic. which can be a helpful means of ensuring contact with colleagues and avoiding isolation. ﬁnancial and social needs of higher degree students. They are entitled to work. co-operatively and in a professional manner. The PGSA is run by the Executive.and problems jointly addressed. The use of email is very helpful for this purpose.nz/pgsa The PGSA’s ofﬁce is in Room 202.nz/pgsa/resources/mailing-list. 15. Recognised by the University and Victoria University of Wellington Students’ Association (VUWSA) as the lead representative body of all postgraduate students. 20 Kelburn Parade. and welcomes enquiries. study and participate in the social aspects of the University’s life in an environment of safety and respect.” If differences or disputes arise between members of the University community. represents postgraduate students on a variety of university committees and arranges social activities. It is expected that students will act with integrity and demonstrate respect for others and their conﬁdences when given.victoria. The PGSA aims to create a vibrant postgraduate community at Victoria and to promote the value and role of postgraduate contributions to the University. PhD Handbook 67 . elected each year and comprised of up to ten voluntary postgraduate students.5.ac. learn.aspx and ﬁll in your details. it is expected that they will attempt to resolve any conﬂict themselves.
ac.ac. misuse of information. misconduct in research. These deﬁnitions of misconduct are not intended to apply to reasonable comment by staff in the exercise of academic freedom.nz/disputes-advice/ 68 PhD Handbook .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.2 of the Policy. learn.The Statute prohibits the following conduct: discrimination. racial harassment. It is also University policy that all disciplinary procedures conform to the principles of natural justice. The Policy on Staff Conduct identiﬁes misconduct as including: discrimination. study and participate in the social aspects of the University’s life in an environment of safety and respect. and other misconduct. the University has clearly deﬁned procedures under the Policy on Staff Conduct for dealing with sexual harassment. all deﬁned in section 4. misuse of authority.victoria.5. it is expected that they will attempt to resolve any conﬂict themselves. vuw. all deﬁned in section 4. 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. causing racial disharmony. harassment.nz/ The preamble to the Policy on Staff Conduct states: “Members of the University community are expected to contribute with reason and consideration to the University’s role. They are entitled to work.5. co-operatively and in a professional manner. Various procedures have been adopted in the Statute and the Policy to safeguard the rights of the individuals in this respect. 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. causing racial disharmony. misuse of University computer systems. sexual harassment. they should in the ﬁrst instance. If differences or disputes arise between members of the University community. academic misconduct including plagiarism. “ 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. misuse of information. In particular. If any PhD candidate has been subjected to unwelcome and distressing behaviour and would like guidance as to whether it amounts to sexual harassment. 15. contact the University Facilitator and Disputes Advisor. Further information is available in the brochure Respect: Sex and Relationships: what’s OKAY and what’s not at http://www. sexual harassment. misconduct involving a conﬂict of interest. 15.2 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.2 of the Statute. and other misconduct. racial harassment.
PhD Handbook 69 . The Letting Service can be accessed online at: www.victoria. email firstname.lastname@example.org Career Development and Employment 14 Kelburn Parade Hours: 9am to 5pm Monday to Friday.ac.. workshops and seminars in addition to tips on career development and job search topics. email Accommodation@vuw. The Service provides an online jobs vacancy service which lists employment opportunities for graduates and for students seeking part-time or contract work related to their course of study. Student Union Building Hours: 9am to 5pm Monday to Friday tel 0-4-463 5896. The Service is open all year. fax 0-4-463 5252. and operates a Letting Service of vacancies in the private market.from the general exploration of career ideas and the career implications of postgraduate courses. identifying skills and other career-related matters.nz The Accommodation Service helps students ﬁnd suitable accommodation in Wellington. Victoria CareerHub is also your one-stop-shop for details on all career events. The Service has three professionally-trained careers advisers available for informal. Feel free to come by for a casual visit during our drip-in times or call ahead to book an appointment.1 Accommodation Service Level 1.ac. The Service’s reference library has detailed information on occupations and employers. Prospective postgraduate students are especially welcome to visit and use the Service. fax 0-4-463 5252. Staff are happy to advise students on any matters related to tenancy and ﬂatting and have a wide range of information available from Tenancy Services. handles applications for Victoria’s Halls of Residence.nz/st_services/ accommodation/ or on notice boards in the Accommodation Service.ac. A comprehensive careers website also offers valuable advice. There are career workshops for developing interview skills.e.ac. 16.1 Student Services Group Victoria has an excellent support network for students. This can be accessed via Victoria CareerHub: http://careerhub.victoria.nz using your Student Computing account as your login. which is funded by the University and by students through a small levy paid upon enrolment. employer presentations. career fairs. and the computer database provides a useful checklist of career options and training. conﬁdential discussions.1. 16. A separate Law and Accounting Employment Programme is held early in the year.victoria. in which a number of employers come to Victoria to offer informal career information sessions and conduct formal interviews with ﬁnal-year students for speciﬁc vacancies.0 University Student Services 16. preparation of CVs.nz Career Development and Employment (www. Many of these services are run by the Student Services Group. A Graduate Recruitment Programme runs throughout most of the year. including the study break.16.30am-5 pm tel 0-4-463 5393. to details of speciﬁc jobs. i.ac. except Wednesday 10. employers and checking draft copies of resumes.1. They can help with a wide range of queries .nz/st_services/careers/) provides information and guidance to students with career and course-related questions.
Bookings are on a permanent basis.1. Students wishing to discuss their needs should contact a Student Adviser from Disability Support Services as early as possible. hearing assistance technology.ac.16. The University Staff Early Childhood Education (ECE) Centres cater for the children of staff and postgraduate students. their relationships or their learning. A range of services and support is available. 16. caters for 14 children up to three-and-a-half years of age. There are also active student support groups.victoria.00pm by special arrangement. places to study and rest.30am-4. This Crèche is on the Kelburn campus. fax 0-4-463 5104.30pm email email@example.com on weekdays during term and examinations. Te Aro and Karori campuses.nz/mai 70 PhD Handbook . Kirk Building. alternative print formatting. tel 0-4-463 5151 or email Childcare@vuw. 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. either full-time or ﬁve half days.463 6001 or 027 563 6001 Monday to Friday 8.30pm weekdays.1.7 MAI Ki Poneke MAI (Maori and Indigenous Postgraduate Students) is a national network for Maori. Robert Stout Building. and possibly to 6.1. www. The Law Crèche.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. Students who wish to use any of the Crèches should register in person from the ﬁrst Monday of November at 71 Fairlie Terrace. Bookings can be made by contacting the Manager.ac.5 Disability Support Services Level 1.1. and personal assistance where appropriate.ac. or phone the Manager on 0-4-463 5151. mental health condition or chronic illness that may impact on their study.6 Kaiwawao Maori/ Maori Student Services Adviser Hunter Courtyard.nz 16. including specialised computer software. Room 007 tel 0-4. Staff ECE Centres are Tui House at 4 Clermont Terrace. 16. email Disability@vuw. Level 0. and Kea House at 2 Clermont Terrace. Pasiﬁka and First Nations’ PhD Candidates.30am to 5. The Crèche’s fully trained and experienced staff provide care and education for children while parents are studying. Room 103 Telephone for an appointment tel 0-4-463 6070.1. and is open from 8am to 5.ac. regular workshops and a mentoring programme.4 Childcare The University Student Crèche is available to students with pre-school children (from birth to ﬁve years). in the Government Buildings on Lambton Quay.3 Counselling Service 2 Wai-te-ata Road (Kelburn campus) Hours: 9am to 5pm throughout the year tel 0-4-463 5310. and is open 8.ac. fax 0-4-463 5028 Counselling Clinics are also held at Pipitea. injury. which offers monthly regional meetings. at 67-71 Fairlie Terrace.nz Disability Support Services are on campus to assist students who are deaf or have an impairment.victoria. 16. Trained and experienced staff provide care and education for children aged from three months to ﬁve years. Group programmes are also available.nz www.
oral presentations. West Wing. and Te Aro: Ground ﬂoor. 16. email Studentfirstname.lastname@example.org The Student Learning Support Service (SLSS) runs regular seminars on topics of interest to postgraduate students.victoria. An experienced team of doctors and nurses provides a wide range of medical care including treatment of acute illness and injury. developing research questions. Faculty of Education tel 0-4-463 9537.30am to 4pm Monday to Friday Pipitea: Railway Station. A number of specialist services are also available including psychiatry. travel and nutrition advice. dermatology and physiotherapy. childcare. will help postgraduates set up and maintain a peer study/support group in their school and will organise workshops on request.8 Financial Support and Advice 14 Kelburn Parade. transport. management of ongoing health problems.ac. Our Student Health Service will help you enjoy better health and an improved lifestyle.ac. contraception.1. fax 04-463-5028 Pipitea: Student Services.16. West Wing tel 0-4-463 7474.ac.nz/st_services/health/ (for clinic times and fee structure) The Student Health Service offers low cost conﬁdential quality healthcare. They administer the Hardship Fund which provides short-term assistance for those facing ﬁnancial difﬁculties. Rooms 106 and 107 Hours: 9am to 5pm weekdays (no appointments on Fridays) tel 0-4-463 6644 or 0-4-463 6658.1.30pm Tuesdays and Fridays tel (04)-463 5999. in the ﬁrst weeks of each trimester. tel 0-4-384 4944 (there will a charge for this service).nz The Student Finance Advisers help students to manage their personal ﬁnances by providing advice and individual budgets.ac. They can also help students complete ﬁnancial statements for scholarships applications.nz www. fax (04)-463 5252. For further information phone 0-4-463 5908. For free medical advice. smears and sexual health checks. at both Kelburn and Pipitea campuses. Level 2 Hours: 8.9 Student Health Service Kelburn: 4 Wai-te-ata Rd. Level 0 Hunter Courtyard Hours: 8. 16.30am to 3. fax 0-4-463 5252.victoria. 139 Vivian St tel 0-4-463-5308. accommodation etc. and structuring and formatting long documents. minor surgery and more. for example.1. PostgradLife is a student-centred website which provides links to important information for postgraduate students: www.ac. phone 0800-611 116 to speak to a registered nurse. SLSS facilitates a regular postgraduate writing group (beginning with an intensive Saturday workshop in March). email Student-hardship@vuw. including time management. fax 04-463-7475 Karori: Level 3. Grey Block. 17 Adelaide Road.nz/postgradlife PhD Handbook 71 . After hours emergency care is shared with Wellington GPs at the Wellington Accident and Urgent Medical Centre. fax 0-4-463 9581 email Student-health@vuw. high course costs. Experienced learning advisers are also available for one-to-one consultations on all aspects of postgraduate study. Level 2. Railway Station.10 Student Learning Support Service Kelburn: Kirk Building. research costs not covered by grants. The Advisers have close links with StudyLink and can assist with problems associated with Student Allowance and Loan applications.
Graduates are encouraged to remain involved in the life of the University and to exercise their right to representation on the University Council. Court of Convocation. recreational. PO Box 600. Hunter Building Tel 0-4-4636700. or have been enrolled since the penultimate election.16. The register of members is in two parts. Vicbooks is on the 3rd ﬂoor of the Student Union Building and 72 PhD Handbook . It coordinates activities of the Alumni Association. New graduates are automatically enrolled on the register. the Mount Street Bar and Cafe and the Union Hall and Hunter Bar. through the VUWSA Trust. 16.ac. 16.13 Court of Convocation All graduates of Victoria University are eligible to be enrolled as members of the Court of Convocation.1 Student Union Building tel: 0-4-463 6999. and through an afﬁnity card it raises money to fund postgraduate scholarships.2. which has an important role as a forum to discuss matters of relevance to the University and provide graduate input into University decision-making. fax: 0-4-463 6698.1. Those who have voted in one of the previous two Council elections. The Services Team act as a facilitator to help you ﬁnd the assistance you need.1. 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 Rutherford House Gym.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. Alumni Relations Ofﬁce Room 325.nz The Union Building houses the Student Union management and the Students’ Association. Members of Victoria University College when it was part of the University of New Zealand and persons whose names were enrolled on the register of the Court of Convocation on 26 August 2002 are also eligible.1. 16. New Zealand. the Student Union Complex provides opportunities for students to participate in a wide variety of cultural. active and inactive. the Kelburn Tennis Pavilion and the Boyd Wilson Field and clubrooms.victoria. Facilities include those offered by the Student Union Building. the Recreation Centre. Wellington.nz.ac.ac.12 Alumni Association The University values its links with its former students. many of who have achieved distinction in a variety of ﬁelds in New Zealand and elsewhere. 16. Anyone who has studied or worked at Victoria may join. social and political activities.11 Victoria International The Victoria International Services Team is the ﬁrst port of call for all International PhD students seeking assistance at the University. or have applied to the Secretary for transfer to the active roll. It is a focus for many activities and features social and meeting rooms. There is also a National Bank branch and ATM. the Union Cafe. They also deal with all insurance and visa-related issues and can help you settle into your new life in Wellington. the Karori Gym and Tennis Courts. email student-union@vuw. www. are placed on the active roll. The Association also organizes informal social activities. Victoria University of Wellington. which elects ﬁve members of the University Council. The Student Union Building is home to vicbooks. fax 0-4-463 5210: email alumni@vuw. the only campus bookshop in New Zealand owned by its students.2 Student Union Complex The University’s ‘Community Centre’. Enquiries and applications for enrolment should be addressed to the Secretary.
table tennis and ultimate. The Kelburn and Karori gymnasiums provide opportunities for indoor sports such as basketball.nz/union/reccentre Recreation offers two main facilities: the recreation centre at the Kelburn Campus. email rec-cent@vuw. The Kelburn and Pipitea Fitness Studios offer a full range of cardio equipment and weights machines. PhD Handbook 73 . and has postal and dry cleaning services.nz. and a second ﬁtness studio and aerobics centre at the Pipitea Campus. general books. volleyball. choose from indoor soccer. The Group Exercise programme offers fantastic classes in Yoga.the ground ﬂoor of Rutherford House. to salsa. Vicbooks offers a student discount on academic textbooks. indoor cricket and rock climbing are a sample of recreational activities which take place at Kelburn. 16.victoria. www. magazines and stationery.2 Recreation Centre tel 0-4-463 6614. Tae Bo and Step to mention a few. basketball and indoor netball. volleyball. Pilates. which has recently been refurbished. Martial arts.2. If you are into social sport check out our Sports League competition.ac. The Student Union also operates Student Notes on the Ground Floor. During trimesters 1 and 2 we run an Activities Programme giving you the opportunity to try everything from bridge swinging. or even cocktail making.ac. Pump.
References Academic Grievance Policy Animal Ethics Policy Human Ethics Policy Information Systems Statute Intellectual Property Policy Library Statute Management of External Research Consultancy and Related Contracts Policy Minimum Resources Agreement PhD Policy: Approving. Enrolling. 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 .
Associate Dean. possible supervisors Appropriate ethics committees. record of candidature in the ResearchMaster information management system etc Approving variations to conditions of study including suspensions.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. forwarded to Administrative Supervisor and Faculty Ofﬁce Head of School Faculty or School Research/Postgraduate Committees Supervisors. 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. 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 . Facilitator and Disputes Advisor. Postgraduate Coordinator. Administrative Supervisor. Faculty Ofﬁce. extensions research away from the University Guidance on all matters pertaining to supervisors the research. extensions. suspensions. payment of fees.
Examination Responsibilities Task Receipt of completed thesis Sending thesis to examiners Making examination arrangements Approving examination arrangements Organising and chairing oral examination Assessing examiners’ reports and deciding examination result Notifying results Checking that corrections to thesis have been made Notifying PhD Convener of the RDC that revisions or minor amendments have been made Deposit of thesis in Library Responsibility Faculty Ofﬁce Faculty Ofﬁce Associate Dean in consultation with supervisors and Administrative Supervisor Research Degrees Committee Associate Dean or nominee Research Degrees Committee Associate Dean through Faculty Ofﬁce Internal Examiner Internal Examiner Candidate and Faculty Ofﬁce 76 PhD Handbook .
In most cases. be the Head of School (HoS) of registration. Information includes outlining how the candidate and supervisor/s are working towards the resolution of those difﬁculties Ensures that external supervisors. Responsibilities as follows: Enrolment/Registration • Ensures candidates and supervisors fulﬁl the regulations for the degree Supervision • Provides advice to the supervisors and is the ﬁrst source of advice for candidates beyond the supervisors Assists in resolving any difﬁculties that may arise between candidates and their supervisor/s Informs the Associate Dean immediately in writing. 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. Responsibilities as follows: PhD Handbook 77 . Most administrative responsibilities for PhD students are delegated to the School Research/Postgraduate Committee (SRC).Appendix 2: Summary of Role Responsibilities Supervisor/s (see Chapter 7. each PhD candidate will have an Administrative Supervisor who will in most cases. are hindering the research progress. the HoS will act as the Administrative Supervisor. Head of School The role of Head of School (HoS) varies from one school to another.0 Supervision Protocols) Administrative Supervisor In addition to two academic supervisors. candidates and internal supervisors sign a Memorandum of Understanding. where difﬁculties which have arisen during supervision. if the internal examiner or the principal examiner is not available.
are aware of VUW policies and practices and of training opportunities Reviews the six-monthly reports before their submission to the Associate Dean Agrees to. signs the completed application form (along with all the supervisors) and then returns the form. 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 . candidate and supervisor/s of the entitlements (facilities. ensuring that the candidate has had the opportunity to respond Notiﬁes the Associate Dean if the student fails to take the required action to rectify persistent problems and informs student of their entitlement to representation • • • • • • • Examination • Provides CVs for the New Zealand and overseas examiners plus a rationale for why the three proposed examiners make an appropriate examination panel to the Associate Dean for endorsement. the initial proposal. and monitors.Enrolment/Registration • Writes an agreement (Research Memorandum) between the School. the Research Memorandum. source materials and funding) that the School will provide during the candidature and sends to the SRC Approves the recommendation from the SRC on the candidates acceptability. 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. 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. equipment. proposed action to rectify problems speciﬁed in the six-monthly reports.
• • • 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. 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. Responsibilities as follows: Enrolment/Registration • Scrutinises the initial research proposal for academic appropriateness. Revisions must be completed to the satisfaction of the SRC or nominee Organises the period of continued supervision if the thesis is required to be re-submitted. • PhD Handbook 79 .
Associate Dean (Students/Research) In each faculty an Associate Dean. on recommendation from the SRC and the HoS Approves applications for concurrent study while studying for a PhD (must have support from supervisors and HoS) Speciﬁes. or delegated authority. on rare occasions. 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. 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. 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. the resumption of registration if it lapses Discontinues enrolment of a candidate where no action has been taken by the candidate to resolve problems outlined in the six-monthly reports Grants suspensions or extensions of enrolment beyond 5 years. Sends copies to the RDC for approval • • • • • • • • • • • • • • • • 80 PhD Handbook . where the HoS is already the primary supervisor. at the time of registration. 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. 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. following nomination by schools including the Administrative Supervisor.
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. where differing recommendations are made. funding and grievances which have not been dealt with by the Administrative Supervisor or the HoS Approves applications for a change in the supervisory team from the Administrative Supervisor and informs the RDC of any changes Forwards recommendations from the Administrative Supervisor for external scholars to be appointed as supervisors (Honorary Research Associates). after appropriate consultation. that the quality of the thesis to be submitted is such that no examiner could reasonably be expected to recommend that the candidate be awarded either a PhD or a Master’s degree. the 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. Supervisor must notify the candidate who will have the opportunity to make a submission to the Associate Dean Decides. to the Deputy Vice-Chancellor (Research) • • Examination • • Approves requests for early submission Receives recommendations from the primary supervisor where it is the supervisor’s opinion that the thesis is not of a sufﬁcient standard for examination. If the Associate Dean so decides. the primary supervisor. 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.Supervision • • Receives and monitors progress on the six-monthly reports Advises supervisors and candidates over matters relating to supervision. or appoints an appropriate person as chairperson Sends examiners’ reports to the candidate at least ﬁve days before the oral examination • • PhD Handbook 81 . the candidate will be advised of the reasons for the decision and the changes necessary to make the thesis suitable for examination. to see if the differing recommendations can be resolved Reports on the examination of the thesis to the PhD Convener.
after any telephone conversations with the overseas examiner as appropriate. fees. with a recommendation. primary supervisor. Responsibilities are: Enrolment/Registration • • • Administers candidates registration. 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. to the RDS. Sends the report of the oral examiner to the candidate.• Reports on the examination as a whole.000 words in length (inclusive of scholarly apparatus) Ensures the candidate receives an Exit Questionnaire to evaluate their supervision upon thesis submission • • • Examination • Sends examiners a copy of the thesis and appropriate information detailing what is required from them Sends ofﬁcial notiﬁcation of examination results to candidates. • Faculty Ofﬁce (Student and Academic Services Ofﬁce) The appropriate Faculty Ofﬁce is the central processing and service centre for all administrative details related to the PhD candidature. • • PhD Convener The PhD Convener chairs the Research Degrees Committee (RDC). 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. Administrative Supervisor and HoS. Responsibilities as follows: 82 PhD Handbook . copied or reproduced in accordance with the Library regulations. borrowed. assesses examiners’ reports and makes a decision concerning the examination result on behalf of the RDC. 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.
consults with the RDC Asks the Associate Dean to arrange an oral examination where requested by the supervisor. Where necessary. candidate or RDC Approves requests for oral examinations via the Associate Dean. on behalf of the RDC. in exceptional circumstances.000 words to be submitted for examination Examination • Receives a report from the Associate Dean of the examination of the thesis. any other doctoral qualiﬁcations. any unusual procedures for the oral examination. 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. but excluding Honorary degrees Considers any changes to doctoral regulations or processes and makes recommendations to the Academic Board Reviews and monitors the allocation of resources to research students. PhDs. • • 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.Submission • Grants permission. the operation of supervision procedures and research student completion rates • • PhD Handbook 83 . the recommendation from the examiners. for a thesis larger then 100. on behalf of the RDC. Responsibilities as follows: Policy • Reviews policy related to Master’s Degrees by thesis (of 90 points and above). including Higher Doctorates. including all the examiners’ reports and a recommendation on the outcome Approves.
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
During a student’s candidature. otherwise the candidate’s enrolment will be terminated. 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 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. measured in monthly increments. (b) (c) (d) (e) 4. 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. On application from a candidate. and will not usually exceed twelve months. including supervision and the library. (b) 4. If progress is reported to be unsatisfactory. (c) 4. subject to any submission or appeal a candidate may make. terminate the enrolment. Extensions shall be granted only in exceptional circumstances.1 (a) (ii). through the Associate Dean. Full registration must be conﬁrmed by the Associate Dean on the advice of the Head of School within 15 months of ﬁrst enrolment for full-time candidates and 24 months for half-time candidates. a candidate shall be provisionally registered as a candidate for the Doctor of Philosophy. Termination. where good cause is shown. the Associate Dean may grant a suspension of enrolment. the submission times will be calculated on a pro rata basis. the minimum period of registration will be 36 months. This excludes any period(s) of suspension. the Associate Dean may. In the case of candidates who have been permitted to change between full.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. (b) Candidates must not only show themselves to be qualiﬁed but must also be accepted by the Head of School and relevant Associate Dean.(ii) be currently enrolled in a Master’s by thesis. Once full registration has been conﬁrmed. 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. PhD Handbook 87 . the date of registration shall be deemed to be the date of ﬁrst enrolment for the degree. the total period of suspension shall not usually exceed twelve months. on application to the Research Degrees Committee. Suspension and Extension (a) A candidate pursuing a course of study for the degree shall re-enrol within one month of the expiry of the period of previous enrolment. Where a candidate is accepted under clause 4. All calculations will exclude any periods of suspension. and not more than twelve months.2 Conditions of Enrolment (a) Initially. 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.and half-time. Every year of enrolment in May and November. With full-time enrolment.3 Re-enrolment. During suspension of enrolment the candidate will pay no fees and will have no access to university services. for a period of not less than one month.
but with permission of the Associate Dean. a candidate may submit their thesis and apply for examination.5 (b) is co-authored. the candidate must provide a detailed statement of each author’s contribution to such work. or accepted for publication at the time of submission. after consultation with the examiners. part of the research programme may be carried out at locations outside the University. or on the recommendation of the examiners after the submission of the thesis. (b) The thesis shall not exceed a total of 100.5 Examination (a) At any time after the minimum period of enrolment. a statement shall be included showing how the published work relates to the thesis. (c) 4. (b) (c) (d) (e) (f) (g) (h) (i) 88 PhD Handbook . 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. This contribution may include critical. and constitutes a signiﬁcant and original contribution to knowledge or understanding. experimental. One of these examiners will normally be from outside New Zealand. The Associate Dean shall. Where the decision has been made to award the degree. The thesis shall be examined by three examiners. The format of the thesis is determined by the Library Statute (see Clause 4.000 words in length (including scholarly apparatus). Any application for Withholding of Theses should be made as early as possible in the research project and well before submission. but the end result must be a single integrated study. make a report on the whole examination to the RDC. and contact details of co-authors (see the Recognition of Authorship Policy). The principal supervisor or co-supervisor must not be an examiner. appointed by the Research Degrees Committee (RDC). (iii) The thesis may include the candidate’s previously published work or material based on previous research. theoretical or creative components. (ii) The thesis must be a body of work that demonstrates the candidate’s ability to carry out independent research. The Associate Dean may on the application of the candidate or the supervisors at any time before the submission of the thesis.(i) The research will normally be conducted at Victoria University of Wellington. 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. who will determine whether the degree be awarded. In exceptional circumstances the Research Degrees Committee may grant permission for a longer thesis to be submitted for examination. approve the enrolment of the candidate in a subject for an appropriate Master’s degree instead of the degree of Doctor of Philosophy. Where any of the published material included in clause 4. as long as the report constituting the thesis is written under supervision during the period of registration.12 of the Library Statute). it will be awarded upon the deposit of copies of the ﬁnal thesis in the University Library in accordance with the Library Statute. Where any work relevant to the thesis has been published.
Contact Person: The following person may be approached on a routine basis in relation to this statute: Dr. provided that the candidate has been enrolled for the degree of Doctor of Philosophy for that period. 5. Approval Dates: Pre 1990 17 December 2007 17 December 2007 17 December 2010 This statute was originally approved on: This version was approved on: This version takes effect from: This statute will be reviewed by: 9. notwithstanding any other provision in the Statute for that Master’s degree. None Appendices: 7. (ii) In any other case. Supervising and Examining PhD Candidates Recognition of Authorship Policy Withholding of Theses Procedure 6. Theresa Sawicka Research Manager Extn.(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. Approval Agency: University Council 8. 5190 PhD Handbook 89 . References: Library Statute PhD Policy: Approving. 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. Enrolling.
90 PhD Handbook .