THE UNIVERSITY OF OTAGO HANDBOOK FOR PhD STUDY

Transcription

1 THE UNIVERSITY OF OTAGO HANDBOOK FOR PhD STUDY Revised December 2014 While all reasonable efforts have been made to ensure that the information contained in this Handbook is correct at the time of going to press, matters covered by this publication are subject to change. The University reserves the right to introduce such changes as it may judge to be necessary or desirable. These changes, as reflected in the appropriate policies and procedures, will supersede the relevant information in this Handbook. December 2014 Page 1

2 Contents SECTION A: OVERVIEW... 6 A1: The Nature of the Degree... 6 A2: Key Contacts... 7 Doctoral and Scholarships Office... 7 International Office... 7 Enquiries from prospective international students should be addressed to:... 7 Dean, Graduate Research School... 7 SECTION B: THE PhD... 8 B1: Entry Requirements... 8 B2: Initial Approaches... 9 B3: Admission to the PhD Degree Direct Admission Upgrade from Master s to PhD Approval Enrolment Initial Status of PhD Candidates Off-campus Study Full-time and Part-time Study B4: Course Duration B5: Roles and Responsibilities University Policy General Some Definitions and Key Terms Responsibilities of the Head of Department Responsibilities of the Supervisor Checklist for Supervisors Responsibilities of the Candidate Performance Review Archiving of Records B6: Perspectives on Quality Supervision B7: Perspectives on Quality Candidates B8: The First Year In the Early Stages From Provisional to Confirmed Candidacy Writing the Thesis Ongoing Professional Development B9: Ethical and Regulatory Consents Research Involving Human Participants Which Ethics Committee do I need to submit an application to? Research Involving Animals Importation or Development of New Organisms B10: Intellectual Property B11: Reporting Progress Introduction Principles and Purposes Timing of Progress Reports December 2014 Page 2

3 The Reporting Process B12: Changes to Admission Details or Circumstances Changes to PhD Details Overseas Study Request for PhD Deferral or Permanent Withdrawal B13: Mid-candidature B14: Format of the Thesis Language Format of the Thesis Citing of References Plagiarism Inclusion of Publications in Theses Proof-reading of Thesis Guidelines B15: Thesis Submission Dates and Pro-rata Fees The Rules B16: The Examination Process Outline of the Examination Process Introduction Advice of Intention to Submit Nomination of Examiners and Convener of Examiners Submission of the Thesis Report by the Supervisors Written Reports from Examiners Oral Examination Result Communication of the Result to the Candidate After the Result is Received Contact with Examiners Timing of Amendments and Revisions Leave to Appeal B17: Frequently Asked Questions (FAQs) about the PhD Thesis Examination Process B18: Final Submission and Access to the Thesis Embargo of Thesis B19: Graduation SECTION C: RESOURCES AND SUPPORT C1: Sources of Funding Sources of Funding and Scholarship Support University of Otago Postgraduate Scholarships University Guidelines for the Acceptance of External Research Grants Travel to Conferences University Research Funding Postgraduate Publishing Bursaries C2: Resources for Graduate Research Candidates C4: Policy Statements C5: Relevant Committees Board of Graduate Studies Graduate Research Committee Graduate Research Student Liaison Committee December 2014 Page 3

4 SECTION D: OTHER SERVICES AND CONTACTS Accommodation Career Development Centre Chaplaincy Team Childcare Critic Disability Information and Support Information Technology Services (ITS) International Office Justices of the Peace (JPs) Libraries Māori Centre Te Huka Mātauraka Otago University Students Association Pacific Islands Centre Personal Performance and Development Coaching Proctor s Office/Campus Watch/Campus Cop Recreation Revenue Management Office Student Emergency Fund Student Health Services Student Learning Centre University Information Centre University Mediator University of Otago Language Centre University Union University Volunteer Centre December 2014 Page 4

5 THE PURPOSE OF THE HANDBOOK AND ITS ORGANISATION The aim of this Handbook is to provide information and guidance on all matters relating to the PhD, describing processes and regulations, identifying responsibilities and rights, and providing pointers towards good practice. It is expected that the Handbook will be consulted by students and staff alike and it is hoped that it will serve as a stimulus for orientation and induction, as well as a reference source. The Handbook will not reproduce all of the many policy documents relating to the PhD. Instead, it will draw on those documents to provide a readable summary of those policies and a description of the practices which they govern. In many places, that description is accompanied by an explanatory commentary outlining the purpose of specific procedures. The Handbook is divided into four parts: Section A provides a general overview of the degree, its nature and the administrative processes which support it. Section B deals with the many activities involved in the pursuit of the PhD itself. This section has been organised as far as possible to follow the "chronology" of a PhD from the moment when first contact is made with the University right through to graduation. Section C concerns important practical issues ranging from the payment of fees, to sources of financial and other support and the mechanisms by which the University ensures that the PhD experience is of good quality. Section D provides information about other services which may be of use to PhD candidates. You will note that some of the information presented in certain sections of the Handbook also appears in other sections. This duplication is intentional so that the reader may view in one place all of the relevant information related to a particular topic. At Otago, it is customary to refer to enrolled PhD students as "candidates". For purposes of this Handbook, however, "student" is used interchangeably with "candidate". It is expected that the Handbook will often be read in conjunction with other handbooks, brochures and guides, produced by individual Departments, Schools and Divisions. In any cases where there are apparent discrepancies between the information contained in any of those documents and this Handbook, the reader should assume that this Handbook is correct. If in doubt, contact the Dean, Graduate Research School for advice and clarification. The regulations for the PhD degree are available at: December 2014 Page 5

6 SECTION A: OVERVIEW A1: The Nature of the Degree The degree of Doctor of Philosophy at the University of Otago involves supervised research over a period of approximately three years, leading to the generation of a thesis. There is no course work, although candidates may be required to take certain papers in order to gain specific knowledge or expertise to complete their research satisfactorily. Candidates are not permitted to take additional courses without the approval of the Graduate Research Committee. Also, candidates may not enrol simultaneously in two degrees without the prior approval of the Committee. The minimum period of study is 2.5 years of full-time study (2.5 EFTS) and the maximum period is 4 years of full-time study (4 EFTS). Extension of study beyond this period (equivalent to 4 EFTS) is only permitted with the approval of the Senate. The University expects that a PhD will take three years of full-time study to complete. The course may not exceed 8 calendar years from the date of first admission. The thesis is examined by one overseas examiner, one New Zealand examiner from outside the University of Otago, and one internal examiner. For candidates enrolling before 2014, an oral examination could be held as part of the examination process, while for those who enrolled in 2014 on, an oral examination will normally be part of the examination process. A successful PhD thesis will demonstrate the candidate's ability to conduct original research and to present the findings of that research to a professional standard. The thesis should give evidence that the candidate has made a significant contribution to knowledge in the particular field. On the award of the degree, the graduate should be a person capable of conceiving, designing and carrying out high-quality research in the area of their expertise without supervision. Examiners of PhD theses are asked specifically to respond to the following questions: Does the thesis comprise a coherent investigation of the chosen topic? Does the thesis deal with a topic of sufficient range and complexity to meet the requirements of the degree? Does the thesis make an original contribution to knowledge in its field and contain material suitable for publication in an appropriate academic journal? Does the thesis meet internationally recognised standards for the conduct and presentation of research in its field? Does the thesis demonstrate both a thorough knowledge of the literature relevant to its subject and general field and the candidate's ability to exercise critical and analytical judgement of that literature? Does the thesis display a mastery of appropriate methodology and/or theoretical material? As the highest degree awarded by the University of Otago for research supervised by members of the academic staff, the PhD requires a high degree of scholarly acumen, independence and perseverance. December 2014 Page 6

7 A2: Key Contacts Doctoral and Scholarships Office Admission and administrative enquiries about the PhD should be directed to the Doctoral and Scholarships Office which is located in the Clocktower Building on the Dunedin campus. Any changes to admission details (see Section B13) during the course of PhD studies should be advised to the Doctoral and Scholarships Office. The Doctoral and Scholarships Office may be contacted by telephoning the Doctoral Administrators on either: Tel: , Tel: or Tel: Fax: phd@otago.ac.nz International Office Enquiries from prospective international students should be addressed to: International Enquiries Co-ordinator International Office, Clocktower Building University of Otago P O Box 56 Dunedin 9054 New Zealand Tel: Fax: international.admissions@otago.ac.nz Dean, Graduate Research School The Dean, Graduate Research School reports to the Deputy Vice-Chancellor (Research & Enterprise). The Dean is a member of the Graduate Research Committee, acting as Convener when the Deputy Vice-Chancellor (Research & Enterprise) is unavailable. The Dean s prime functions are to provide: leadership in the area of research-only higher degree education in the University advice on policy initiatives related to graduate research appropriate support for graduate research candidates and their supervisors The Dean is available for private consultation by candidates or staff on matters related to postgraduate research study. To make an appointment with the Dean please contact their Executive Assistant at: Tel: gradresearch@otago.ac.nz PhD Website: December 2014 Page 7

8 SECTION B: THE PhD B1: Entry Requirements A person wishing to be admitted as a candidate for the PhD is expected to have a Bachelor's degree with first or upper second class honours or equivalent (including a research component) or a Master's degree (including an appropriate research component) and the overall grade point average for doctoral study is normally expected to be B+ or better. Possession of a Master's degree or other postgraduate qualification (such as a professional diploma) which does not have a substantial research component will not automatically be regarded as a qualification for entry to the PhD programme. In special circumstances, a candidate who does not have these formal qualifications but can demonstrate appropriate equivalent research experience will also be considered for admission. The University also has a joint MBChB/PhD programme whereby a Medical student who has completed a year of study for the degree of Bachelor of Medical Science (with Honours) but has not been awarded that degree, may be accepted as a PhD candidate. This programme of study must be approved by both the Board of the Faculty of Medicine and the Graduate Research Committee. Acceptance as a candidate also depends on the University's ability to offer expert supervision and provide the necessary resources to support the intended research project. December 2014 Page 8

9 B2: Initial Approaches A person interested in undertaking a PhD should supply the following information to the Department that they propose to study in: Certified copy of full academic record Curriculum Vitae Proposed area of research (with as much detail as possible so that the relevant academic department can assess whether expert supervision and practical support is available) Past dissertation or thesis and any relevant research publications Details of any funding support which has been obtained or is being sought. A departmental nominee usually the Postgraduate Coordinator will respond to the prospective candidate, supplying details of the research interests and expertise of departmental staff and providing other information about research in the department, as appropriate. Ideally, this initial response should also give a first indication to the prospective student of his or her suitability for PhD study and of the department's ability to offer supervision and support in the proposed area of research. The Postgraduate Coordinator should also be able to suggest alternatives (e.g. that another type of degree might be more appropriate, or that another topic might be more viable) where the initial enquiry raises immediate difficulties. Preliminary discussions will normally be informal, involving prospective supervisors as well as the Postgraduate Coordinator. It is important from the outset that all parties are honest and explicit about the various requirements associated with the PhD. If the candidate is not in Dunedin a web conference is strongly recommended in order to be assured of communication skills and likely fit with the department. In particular, the parties to initial discussions should be prepared to address the following issues: Concerning the student Is the student qualified? Note: students with qualifications from overseas institutions may need to have these assessed by an independent evaluation service and, like graduates of other New Zealand universities, will need to be admitted to the University ad eundem statum ie their qualifications are considered to be equivalent to the New Zealand entrance requirement. Has the candidate demonstated sufficient capability for research? (Prospective supervisors are strongly encouraged to read past theses or research reports and gain academic references for the candidate) Does the student appear well motivated? Would the candidate be better advised to undertake a Master's degree rather than embark directly on a PhD? Are the candidate s English language capabilities acceptable? (Students whose qualifications are gained outside New Zealand and whose first language is not English or Māori must provide evidence of competence and understanding of written and spoken English. This evidence must be in the form of certified results in the Test of English as a Foreign Language (TOEFL) or the International English Language Test System (IELTS) or an equivalent test or qualification recognised by the Senate. Minimum entry requirements apply please contact the International Office for further details). December 2014 Page 9

10 Concerning supervision and support Can the student's proposed area of research interest be matched with expertise within the department? Would it be advisable for the student to have a supervisor and/or adviser from another department? Are the supervisors properly qualified? Does the workload of the supervisors permit regular meetings and prompt attention to the work of the student? What is the past record of the supervisors with regard to PhD students? Do the supervisors have any forseeable commitments (such as Research and Study Leave) that will impact on supervision? What facilities and other resources would be needed to meet the practical requirements of the proposed project? How will these be accessed or obtained? Concerning the project Is the project one that is likely to yield a good thesis? Is the project of a scope which will allow it to be successfully completed in three years? Will the project require fieldwork? If so, what are the likely demands of that fieldwork on the student? Will the project require approval from an ethics committee? At this stage, it is essential that questions can be asked in an open, direct way by all concerned and that no false expectations are generated. If all parties agree that the basic requirements for admission can be met, an application should be prepared. December 2014 Page 10

11 B3: Admission to the PhD Degree In order to engage in study towards a PhD, it is necessary both to be admitted to the programme and enrolled as a student of the University. Admission occurs once, at the beginning of a candidature. It involves an academic decision about the prospective student s eligibility for PhD study. Enrolment follows admission and is a University requirement which occurs each year (or part year) until the thesis is submitted for examination. A student may be admitted as a candidate for a PhD by one of two means: direct admission, or upgrading from a Master's degree. Direct Admission This is the normal category of admission to PhD study. Applicants should apply for direct admission if their thesis topic, preliminary outline (approximately 500 words) and supervisory arrangements have been finalised. In order to be considered for direct admission into the PhD programme, applicants should apply online via the PhD qualification page ( Click on the Apply Now button and this will take you through to the evision application. Required documents will need to be uploaded in PDF format as part of this process. You need to provide: Certified copies of all tertiary-level academic transcripts and grading schemes Curriculum Vitae (CV) Preliminary research outline Depending on your circumstances, you may also need or wish to provide: A part-time statement indicating that you have sufficient time and intellectual and social support to complete your PhD in a timely manner An off-campus statement if your research will involve substanital periods of time off-campus Doctoral Scholarship application if you are applying for a scholarship. Upgrade from Master s to PhD In certain exceptional circumstances, students enrolled in a University of Otago research master s degree may be permitted to upgrade their studies to a PhD degree. An upgrade may only occur if it is fully supported in writing by the student s supervisor and approved by the Head of the Department, the Pro-Vice-Chancellor and the Graduate Research Committee. In order to be considered for an upgrade, applicants should apply online via the PhD qualification page ( click on the Apply Now button and this will take you through to the evision application. Objective evidence of the candidate s ability to satisfactorily complete a PhD degree will be required from the primary supervisor who must submit an upgrade support form ( ). The most robust evidence is the publication of a paper in a journal, however, a presentation at a conference or an address at a departmental seminar can also be used in the upgrade application. Where a presentation or seminar December 2014 Page 11

12 is used, an independent assessment of the quality of the work should be included in the application. In other words, for a transfer to occur, while the opinion of a supervisor is highly valued, there does need to be additional support. In assessing an application for an upgrade, the Graduate Research Committee will consider whether the applicant has: chosen an appropriate PhD research topic of sufficient scope gained satisfactory knowledge of the background literature and is able to relate the project to existing scholarship and research in the field started to work at a PhD level, especially in terms of theoretical insights and conceptual frameworks the ability to exercise independent critical powers the ability to make a significant contribution to subject knowledge in the research field adequate training in research techniques and methodology planned a suitable research programme likely to achieve a PhD conclusion Master's upgrades will not normally be considered until at least 8 months of Master's thesis work has been completed. When a candidate upgrades from a Master s degree to a PhD, it is expected that the work already completed on the Master s will contribute towards that PhD. Upgrading student s receiving a University of Otago Master s Scholarship (or equivalent named scholarship) will have their scholarship upgraded automatically to a doctoral-level scholarship; other students may apply for a doctoral-level scholarship at the point of upgrade. In either case, completed Master s thesis work will be factored into the tenure of any doctoral scholarship offer, with the tenure not exceeding three (fulltime equivalent) years from the start of the thesis Master s. For example, a student who has completed twelve months of Master s thesis study will receive a maximum of 24 months of doctoral scholarship funding from the point of upgrade. Following an upgrade, if a candidate submits their thesis prior to 2.5 equivalent full-time years of combined Master s and PhD enrolment, the supervisor(s) and the Head of Department need to argue a case for early submission to the Graduate Research Committee. Approval In addition to the specific requirements for entrance into the PhD programme, the normal entrance requirements of the University as stated in the University Calendar apply. All applications for admission must be signed by the applicant and endorsed by the relevant Head(s) of Department, Dean and/or Pro-Vice-Chancellor. Applications are then considered by the Graduate Research Committee, which meets once a month. Once approval for admission has been granted, the candidate s enrolment as a student of the University will be processed. The official PhD start date is normally the 1 st of a month after the application is approved by the Graduate Research Committee unless a later date is requested. Enrolment Enrolment involves: - Completion of online course enrolment via evision - Payment of Tuition Fees December 2014 Page 12

13 A candidate is required to be enrolled continuously for the entire period of the candidacy, up to the submission of the thesis, unless approval has been given for temporary withdrawal (known as a deferral). Initial Status of PhD Candidates Once admitted as a candidate for a PhD, students are granted provisional status. This means that they must demonstrate during the first six months to one year of their candidature that they have made sufficient progress to have their admission confirmed. Note, that many departments do not confirm candidates earlier than one year; so failure to be confirmed at six months should not be seen as a sign of poor progress. Confirmation, which is granted on the basis of satisfactory progress reports, must not be considered as automatic. The University retains the right to terminate candidature where sufficient progress has not been achieved. Off-campus Study The Regulations for the degree state that normally at least six months of study and research shall be carried out at the University. If a candidate cannot meet this requirement, special permission should be sought at the time of admission. There is provision for this in the application process. For any candidate who will be based primarily outside any of the University s various campuses, there should be an explanation of the reasons why the candidate needs to work off-campus. The supporting statement must also include: The name of any other institution in which the candidate will be based for substantial periods of time The intended periods of residency at the University The arrangements which will be made to ensure adequate supervision at a distance during periods of non-residency at the University In certain circumstances candidates may be permitted to travel overseas for reasons relating to their research. A form is available on the PhD website for requesting permission to study overseas for longer than two months (study of less than two months does not require permission). All candidates other than New Zealand Citizens should be aware that there are time limits on total overseas study, beyond which international study fees may be charged. For international candidates and those who are New Zealand Permanent Residents, up to one year (equivalent fulltime study) can be approved for overseas study provided the study is research related i.e., involves field or laboratory work that could not be done in New Zealand. Note, candidates may not return to their home country to write-up without incurring international fees. For further detail see section B13. Full-time and Part-time Study A candidate may apply to enrol as a full-time (1 EFTS) or part-time (0.5 EFTS) candidate, but may, with approval, change that status at the start of first semester or second semester in a calendar year. The University will not normally enrol candidates part-time unless it is satisfied that: (a) the candidate has access to substantial blocks of time to devote to the PhD; and (b) access to sufficient social and intellectual support, so as to make the completion of the PhD likely within a reasonable time-frame. The University expects that full-time candidates will devote the majority of their working time to their studies. December 2014 Page 13

14 B4: Course Duration The research that a candidate wishes to undertake should be of a kind which a diligent and competent student might reasonably be expected to complete within 3 years of full-time study. The minimum period that a candidate is required to be enrolled is equivalent to 2.5 EFTS consumption (i.e. 2.5 years of full-time study or 5 years of part-time study). The maximum period is equivalent to 4 EFTS consumption (ie 4 years of full-time study or 8 years of part-time study or equivalent combination). The study may not exceed 8 calendar years from the date of first admission. A candidate is expected to be enrolled continuously for the entire period of the candidacy, up to the submission of the thesis. Candidates may apply, however, for permission to withdraw temporarily (i.e., defer) from study (see Section B13). December 2014 Page 14

15 B5: Roles and Responsibilities University Policy Every candidate must have a primary supervisor. However, the University believes that no PhD candidate should depend entirely on the advice and guidance of one supervisor only. Such a situation could place the student at some risk especially if the staff member concerned is absent for a period on leave or leaves the employment of the University. It is therefore a requirement that the primary supervisor be supported in at least one of the following ways: the appointment of one or more co-supervisors the constitution of an advisory panel (also called a departmental advisory committee, DAC) to review progress regularly and play a part in the identification and resolution of any disputes which may arise between the student and the supervisor(s). Some departments also operate a postgraduate committee within a department or school, charged with the responsibility of providing academic and practical support to PhD candidates. General Good supervisory relationships are key to a successful PhD programme. Gaining a PhD is not just about the award of the degree, it is also about the way in which the PhD is achieved. Having a good relationship with your supervisor is central to having a good PhD experience. The ideal supervisory relationship should be an open, honest and professional interaction between student and supervisors, based on mutual respect, trust and good-will. There is no single prescription for an ideal supervisory arrangement. It should, however, be viewed as an evolving partnership, in which an initial student/teacher relationship develops towards increasing equality as the project reaches its culmination in the production of the thesis. Good supervision relies on open communication between the supervisors and the candidate. At the outset of the project, it is important that all parties are clear about their expectations of each other. These expectations will be discussed as part of the Student-Supervisor Agreement ( which should occur early on in candidature and a copy of the agreement must be submitted with the first progress report. It should be accepted by all concerned that the early phases of work may lead to problems which will need to be worked through in a constructive manner if the project is to flourish. Although academic matters will be of primary concern, students and supervisors should be prepared to talk candidly about other issues affecting the candidate s ability to make progress with the PhD. Supervisors and candidates are alerted to the conflict of interest provisions in the Ethical Behaviour Policy ( which state that any family or personal relationship between a supervisor and a student must be declared to the department as a conflict of interest or a potential conflict of interest. Arrangements to manage or remove the conflict of interest will then be put in place by the department. The conflict of interest provisions also state that the University strongly discourages, and staff should avoid entering into, an December 2014 Page 15

16 intimate personal relationship with a student at the university, particularly a student for whom they have responsibility. Failure by a staff member to disclose a conflict of interest may be considered a disciplinary matter by the University. From time to time, close relationships between students and staff do arise. Where this occurs, procedures are set out in the conflict of interest provisions for managing the relationship and it is the responsibility of staff to adhere to them. While these provisions apply specifically to staff, candidates are alerted to them because they may suffer disadvantage and distress from any conflict of interest which is not managed in accordance with the policy. The responsibilities of supervisors and candidates are detailed separately below. These will be discussed as part of the Student-Supervisor Agreement, which includes consideration of: frequency of meetings progress reports to be provided by the student the nature, promptness and limits of feedback on written work involvement in presenting seminars on the research while in progress financial support, if any, to be available to the student once the tenure of any scholarship has ended target dates for various stages of the research principles for establishing authorship of any resulting publications A template for this compulsory Agreement is available at under the heading PhD Supervision. Some Definitions and Key Terms Primary Supervisor The primary supervisor is there to provide academic advice and practical support. He or she is the main point of contact for the student and the administration. The primary supervisor will take responsibility for meeting all the responsibilities listed below and will convene meetings that are joint with cosupervisors and advisers. The primary supervisor should also ensure that the Head of Department is informed where disagreements between supervisors and/or advisers may be compromising the progress of the project. Note: Even in cases where two departments are involved, one should take the primary role. EFTS and other details should be arranged by the Heads of Department with the involvement of the Pro- Vice-Chancellor(s). The supervision split can also be different from the resourcing split. Co-supervisor A co-supervisor provides academic advice and practical support, as well as taking part in review meetings and providing input for reports and recommendations. The role of co-supervisors will vary from project to project. The precise responsibilities of co-supervisors should be determined in each case in consultation with the candidate and the primary supervisor. These should be formalised in the Student-Supervisor Agreement. Adviser An adviser is not a supervisor as such. He or she is someone who may provide specialist help, either regularly or irregularly. Typical of the advice offered by advisers are the following: professional expertise; linguistic information; statistical support; and laboratory techniques. Advisers should be named only where they are providing substantial support. December 2014 Page 16

17 Departmental Advisory Committee (DAC) Some departments have a policy of appointing a small committee to oversee the candidate's research project. This committee may or may not include the supervisors. The main purpose of such a committee is to provide additional support for the candidate and supervisor(s), and to assist with any problems that may arise during candidature. Importantly, members of the DAC cannot be internal examiners nor can they convene the examination. Responsibilities of the Head of Department The Head of Department has the following responsibilities concerning the PhD programme: to maintain an environment within the Department which is conducive to a research culture to check that the candidate's previous level of academic attainment and experience are appropriate for admission to the programme to guarantee that adequate funding and technical assistance are available to support the project to ensure that the supervisory arrangements are satisfactory to both student and supervisor(s) to check that the research interests and expertise of the supervisor(s) are suited to the candidate's needs and to the demands of the project to support the primary supervisor by arranging co-supervision and/or an advisory committee to identify cases where it is desirable to change the supervisory arrangements for academic or personal reasons to administer the reporting process and make recommendations as necessary to determine that supervisors are not over-committed, and to check this annually to deal with complaints and problems promptly Responsibilities of the Supervisor The supervisor of a PhD candidate is required to provide academic guidance and practical support from the inception of the project to the submission of the thesis. The supervision of PhD candidates is a specialised and demanding activity. In order to undertake PhD supervision, the staff member should have at least an equivalent qualification. Where this is not the case, the staff member will need to demonstrate to the Graduate Research Committee that they have recent research experience and a publication record of a suitable standard. New staff members may take on the role of primary supervisor, providing a colleague who has supervised a PhD to completion at Otago takes on 33% of the supervision load. It is expected that the more experienced colleague will provide mentoring support for the new supervisor. New supervisors are strongly encouraged to attend training sessions for supervision organised by the Higher Education Development Centre and/or the Graduate Research School. All supervisors are encouraged to participate in occasional seminars dealing with PhD matters organised by HEDC and/or the Graduate Research School. All supervisors are bound by the University's Ethical Behaviour policy and the Research Code of Conduct, as well as by the specific obligations listed below. Collegiality The supervisor should: assist in integrating the candidate into the academic and social life of the department provide a collaborative research environment and encourage open communication December 2014 Page 17

18 ensure that meetings with co-supervisors and/or departmental advisory committees operate in a constructive manner be sensitive to cultural, political or gender issues relating to the research topic or the candidate Academic advice The supervisor should: hold regular formal supervision meetings preferably weekly or fortnightly, but at least once a month in normal circumstances at which the candidate is guaranteed uninterrupted individual attention be available, within reason, at other times to provide assistance when particular difficulties arise encourage the candidate to adopt an independent approach to learning ensure that the candidate is involved in setting the timetable for the research and reviewing progress of the research and its timetable provide full, prompt, honest and informative feedback to the candidate on work in progress remain conversant with the issues and the literature relating to the candidate's research provide reliable and well-informed guidance in all matters of sound research practice accept that, in some aspects of the topic at least, the candidate's level of knowledge might eventually exceed that of the supervisor Practical support The supervisor should: ensure that the candidate is properly forewarned if the supervisor is to be absent from the University for more than a brief period (for the purposes of academic leave, for example) arrange, through the Head of Department, for adequate alternative supervision during any period of absence, either by assigning another staff member to take over supervision or by setting up other means of communication (by or Skype, for example) be prepared to give advice on sources of financial support, such as Scholarships and Postgraduate Publishing Bursaries, or direct the candidate to those who can provide such advice Professional support The supervisor should: discuss careeer pathways and suggest appropriate professional development opportunities encourage the candidate to become an active member of the professional community, both nationally and internationally ensure that the candidate contributes to research seminars within the department encourage the candidate to attend relevant conferences within New Zealand and overseas and offer guidance in the preparation of conference presentations identify work by the candidate suitable for publication in refereed journals or other academic publications and assist in the preparation of articles for submission make clear from the outset how issues relating to joint publication of work arising from the candidate's thesis are to be handled advise the candidate about good strategies for balancing competing professional obligations not expect the candidate to work in the capacity of 'technician' or 'secretary' to the supervisor Staff may not supervise candidates with whom they have a close family or personal relationship. If a close emotional or other relationship develops, the Head of Department must be informed so that appropriate alternative arrangements can be made to ensure that the professional nature of the supervision continues. December 2014 Page 18

19 In general terms, it is essential that candidates and supervisors meet frequently, that each understands how the other views the progress of the research, and that there is a mutually co-operative personal and academic partnership based on honesty and trust. Checklist for Supervisors This checklist has been developed for supervisors to remind all concerned about important admission, ongoing and submission requirements: Recruiting Checklist (date: / / 20 ) 1. The candidate s academic ability has been checked (e.g., we recommend that supervisors read the candidate s dissertation/thesis and/or papers as appropriate) 2. The candidate has written a research proposal that demonstrates some knowledge of the topic area and an ability to critically engage with the literature 3. Academic references have been obtained for the candidate (two are recommended for international students and the referees should comment on the ability of the candidate to conduct research as well as the quality of any publications, the role of the candidate in the publications and their standing in class this information is helpful for the Scholarship Selection Committee) 4. There has been an interview with the candidate either face to face or online (e.g., by skype) 5. There has been a discussion about scholarship funding and the process for applying. This should also include a frank discussion emphasising that if the candidate is not successful in gaining a scholarship, their future chances of securing such funding after they arrive are unlikely even if they make very good progress and achieve journal publications. Note that for scholarship applications the information used by the Scholarships Seleciton Committee includes: i. The most recent academic qualification and GPA. International conversions of grades to GPA: relevant papers and credit weightings. The range of grades given at the institution, and an explanation of their distribution, such as how many students get an A, whether an A is given for 71% or 91% mark, and comment on when an A+ is possible. ii. If applicant has other qualifications, university courses or two degrees, an explanation of these, their relevancy to the proposed doctoral programme and scholarship application. iii. Rank in class. iv. Rank in supervisor s/examiner s experience. v. Rank of institution. vi. Publications explanation of discipline norms and expectations, and for each publication: author order explanation, impact factor of journal, rank of journal within discipline. vii. Thesis: quality, size, depth compared with University of Otago thesis, type of research, grade of research. If no grade, what grade would it get if marked at University of Otago? viii. Two academic referees are recommended for international applicants. The referees should comment on the ability of the candidate to conduct research. December 2014 Page 19

20 Induction Checklist (date: / / 20 ) 1. The candidate is aware of the PhD Handbook on the PhD website ( 2. The PhD regulations have been discussed with the candidate 3. A Student-Supervisor Agreement has been completed ( 4. A file has been created for the candidate (for filing of relevant documentation related to the candidate s thesis and to the supervisor-candidate relationship) 5. The candidate has attended/is booked to attend a PhD orientation workshop (these are held regularly by the Graduate Research School) and is aware of other learning and pastoral support at the University (e.g., Student Learning Centre, ITS, Library, International Office etc.) 6. The candidate has been welcomed into the department (e.g., by a morning tea to meet other postgraduates) or a welcome has been arranged. 7. The candidate has been inducted into the department (e.g., knows what resources are available to them, how to use photocopier, protocols over tea room etc.) 8. The candidate knows their Subject Librarian (see In-candidature Checklist (review as necessary) 1. The University s expectations regarding the responsibilities of supervisors and candidates have been met. These include Regular meetings (at least monthly, preferably weekly or fortnightly) Provision of timely and constructive feedback 2. The professional development needs of the candidate in terms of academic skills for their doctoral study and possible future career pathways have been discussed. 3. The candidate knows how to include publications in a thesis (see 4. Ongoing funding for doctoral study has been discussed and the candidate knows that scholarships do not get extended except in catastrophic circumstances (and some departments offer departmental awards for the last 3-6 months) 5. Relevant documentation on the candidate has been filed 6. The supervisor maintains a supervision diary (containing, for example, notes concerning the formulation of the topic, the progress of drafts, the nature of the response to them, and guidance of the project) December 2014 Page 20

21 Two Months Prior to Submission Checklist (date: / / 20 ) 1. The candidate has been consulted over possible examiners. Note they cannot know who has been selected, but they can have some input into possible options. 2. Three examiners (internal, NZ external and overseas external) and a Convener of Examiners have been approached to determine their availability. Note that there should be no conflict of interest (e.g. no role AT ALL in supervision, advice or publishing with the candidate, no relationship etc.), all examiners should have a PhD, and at least two should be experienced (having examined more than three doctoral theses). Exceptions can be made for the latter two criterion (qualifications and experience), providing a satisfactory case is made. 3. The candidate is aware of the guidelines regarding editing and proofing of their thesis (see 4. The candidate is aware of the format and number of copies (4 soft-bound) of their thesis to be submitted for examination, as well as the Thesis declaration form for soft-bound copies (available at: Submission Checklist (date: / / 20 ) 1. The examiners have been nominated on the appropriate form (available from ). 2. A date for an oral examination (if applicable) has been tentatively set by the Convenor. Note that setting a date at the time of submission can help expedite the examination process. 3. The supervisor(s) and candidate have discussed the thesis and agree that it is ready for submission. Note that the candidate can submit against the wishes of their supervisor, though this is usually unwise! 4. A PhD Publishing Award Bursary application has been completed (if applicable). See guidelines and application form at: Responsibilities of the Candidate PhD candidates have a number of responsibilities. Candidates should accept that the degree requires them to work towards intellectual independence within a supportive supervisory environment. As the University s most senior students, candidates must demonstrate a high level of commitment and personal initiative. They should expect to take the lead in most matters pertaining to the project, adhering to the principle that theirs is the main responsibility for the conduct and progress of the research. Candidates should also ensure that they have acquainted themselves with the regulations and procedures governing the PhD programme, to which end they are strongly encouraged to attend the orientation sessions run by the University (e.g., the Graduate Research School runs the Insider s Guide to Doctoral Domination series and the workshop Embarking on your Doctoral Journey and the Student Learning Centre runs a Research Journey day-long course). Candidates must be prepared to "drive" the project and to raise matters of concern promptly, without waiting for others to do so for them. December 2014 Page 21

22 The specific responsibilities of PhD candidates are as follows: to commit adequate time and effort to the project to display initiative in identifying and resolving problems relating to the research to manage their work efficiently so as not to place unreasonable demands on supervisors to be well organised and capable of setting and meeting deadlines for various phases of the research to acquire any new skills required as part of the project to maintain frequent and regular contact with the supervisors to seek and accept in good faith advice from supervisors and advisory panels to fulfil tasks required by the supervisors as part of the project to produce self-review documents as part of the reporting process to meet the normal scholarly and professional standards required by their discipline to start writing their thesis as early as is practicable to ensure that all written work is of a high standard of expression and organisation to present seminars where appropriate and participate in the academic, professional and social life of the department to seek professional development opportunities to attend and present papers at conferences and publish sections of the work where appropriate under the guidance of their supervisors It is essential that candidates accept that, just as it is a requirement of supervisors to provide advice and criticism, it is necessary for them to listen when such advice and criticism are offered. Ideally, this should take the form of a constructive dialogue, but there will, inevitably, be times when this is the source of some tension. In cases where such dialogue is proving difficult or impossible, this must be addressed as soon as possible. Performance Review As part of the progress report, an honest assessment of how the Head of Department, supervisor and candidate are fulfilling their roles and meeting their responsibilities is expected. All parties should be prepared to discuss performance matters at the progress report meeting (see Section B11). Concerns relating to performance can be raised at any time by Heads of Department, supervisors or candidates (see also Section C3). Archiving of Records Departments and Divisions should consult the Corporate Records Services websites General Disposal Authority (GDA) guidelines and the Records Destruction Guidelines in conjunction with Corporate Records Services staff for instructions as to how long the students records should be kept and when they should be disposed. The Graduate Research School archives their hard copy student files at the end of each year in which the student graduates. These are kept by Corporate Records for a minimum period of seven years. December 2014 Page 22