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: [email protected] 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: [email protected] 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: [email protected] 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

23 B6: Perspectives on Quality Supervision The following perspectives on quality supervision and problems encountered in supervision were identified by a group of 40 Otago postgraduate students. The research weas funded by the Committee for the Advancement of Learning and Teaching (CALT) and conducted by Dr Anna Janssen who completed her PhD in The 10 Most Important Qualities of the Ideal Graduate Research Supervisor 1. Support Supportiveness is the quality that PhD students value most highly in supervisors. This involves supervisors being encouraging, mentoring, and aware that students lives extend beyond the PhD. Supportive supervisors make an effort to understand how the student prefers to work. In addition, such supervisors attend to the student as a whole person, rather than purely as a research student. 2. Availability Students value availability in their supervisors. This involves supervisors meeting with students regularly, setting aside adequate time for students, and being contactable through several media (e.g., , phone) particularly if they are not physically present. 3. Interest and Enthusiasm Students portrayed the ideal supervisor as someone who is interested and enthusiastic about the student s work. This is achieved by supervisors who are positive, empowering, motivational, and committed. Such supervisors are often in the vicinity of their students and are likely to show an interest in the student s progress. 4. Knowledge and Expertise in the Field Surrounding the PhD Ideal supervisors are those who have expertise in the field surrounding the student s research. Students value highly a supervisor who can use their knowledge of the area to understand and demonstrate how the student s research topic fits within the wider field. Students do not necessarily expect the supervisor to have expertise in the precise topic of their research, however. Having a supervisor with expertise in the methodologies required in their research is particularly important. 5. Interest in the Student s Career Ideal supervisors are likely to show an interest in the student s career. They help to provide support for the establishment of the student s career in several ways. These include having good contacts and introducing students to their network of colleagues, looking out for and informing students of conferences and seminars relevant to their research and career, and encouraging and facilitating the publication of the student s research. 6. Good Communication Ideal supervisors have good communication skills. In particular: good listening skills; the tendency to maintain an open dialogue about the project, its progress and problems; the ability to communicate in an open, honest, and fair manner about issues that arise as they arise; and making expectations clear with regard to matters such as the process of completing a PhD or Master s December 2014 Page 23

24 thesis, budget considerations, and the role each party must play in performing the project research. 7. Constructive Feedback Students see an ideal supervisor as one who provides feedback and criticism of their work that is constructive and prompt. In addition students value consistency in the feedback given. Some valued consistency across time. This is often a sign that the supervisor and student share the same focus regarding the project. In addition, where more than one supervisor is responsible for providing feedback, consistency between supervisors is important. 8. Provides Direction and Structure The ideal supervisor is perceived to be one who provides an appropriate amount of direction and structure to the student s research project. She or he is prepared to create deadlines, challenge, and push the student a little when required. Such a supervisor is informative and helpful when it comes to areas of uncertainty. Further, the ideal supervisor helps to encourage good work habits in the student, thereby helping the student to help her or himself achieve the desired outcomes from their research. 9. Approachability and Rapport The ideal supervisor is approachable and works to establish a good rapport with their students. 10. Experience and Interest in Supervision Part of being experienced and interested in supervision, a key quality of an ideal supervisor, is having a complete understanding of the requirements and process of completing a thesis. In addition, students value supervisors who consider the needs of particular subgroups of the student population (e.g., international students, those with children, those with disabilities, and those with cultural differences). It is important that supervisors recognise the individual supervisory needs of each student. These vary between students and between different stages of their studies. The 10 Most Substantial Problems Faced by Students in Graduate Research Supervision 1. The Supervisor is Too Busy to be Effective in their Role The most common supervisor-related problem that PhD students face is having a supervisor whose extensive commitments make them too difficult to get hold of. This comes as a result of supervisors having too many other students and commitments. The consequences arising from this are numerous. Students see this as the main barrier to receiving optimal supervision. It is also a likely cause of many of the additional problems students emphasise (see below). 2. Poor Feedback Feedback which conflicts with previous feedback given, too little feedback, delayed and infrequent feedback, illegible feedback, and too much negative feedback relative to encouraging and positive comments are all problematic issues for students. 3. The Supervisor Lacks Commitment and Interest A supervisor who lacks commitment to, or interest in, research poses problems for graduate research students. Such supervisors fail to show an interest by their lack of presence and their lack of enquiry into the progress of the work. They tend to make little or no effort to encourage or December 2014 Page 24

25 motivate the student, fail to give guidance and direction on issues and questions raised, and don t cooperate well with the student or help the student to develop skills to help her or himself. 4. Tensions or Conflicting Perspectives from within the Supervisory Panel Having to manage the relationship between co-supervisors who do not get along with each other is a substantial problem for students. Similarly, students find it problematic when they receive conflicting advice and opinions from each supervisor. 5. Poor Communication and Disagreements About the Project Problems arise for students when they feel unclear or in disagreement with their supervisors about what the aims of the project are or how to best use and interpret their findings. A failure to discuss the direction and progress of the research poses problems for the student and their research. 6. Conflicting or Unrealistic Expectations of Each Other Students face problems where there is poor communication with their supervisors about what each person expects of the other. Consequences include misunderstandings between parties, wasting time, and one or more parties getting frustrated. Another serious consequence is the student possibly being faced with a project that is too large to be completed in reasonable timeframe. 7. Selfishness and Disrespectfulness Some supervisors display selfishness and a lack of respect for their students. Students find it difficult to work with supervisors who only look at their own gains from the student s research, push the research down paths that interest them but not necessarily the student, treat the student as their property, and expect students to do work that extends beyond the realms of their PhD or Master s research. Students also find it concerning when they are not treated as colleagues, despite being at the final stages of their studies. Students struggle when their supervisors fail to recognise and respect that they have lives that extend beyond their thesis work. 8. The Supervisor is not Up-to-Date with the Field The problem of a supervisor who is not up to date with the field means supervisors are unable to help problem-solve and advise. This is particularly problematic for students who also lack access to those who do maintain a current knowledge of the literature. In some areas, being out-of-date with the field means supervisors are ignorant of the optimal techniques and theories that exist. This has implications for the quality of research that can be performed. 9. The Supervisor Lacks Experience in Research and / or Supervision A lack of experience in research or supervision results in problems for students. Students commented that an inexperienced supervisor is unclear about the amount and quality of research that is sufficient for a PhD or Master s. Such supervisors are more likely to allow the student to do far too much research or to submit the thesis despite it failing to meet the required standards. In addition, a supervisor who lacks research experience is likely to allow the conduct of research that is badly-planned. 10. Personality Clashes Students find clashes of personality with their supervisors to be problematic for all concerned. The majority of students saw a personality clash as the reason most likely to drive them to abandon their studies or to change supervisors. December 2014 Page 25

26 B7: Perspectives on Quality Candidates The following perspectives present a summary of the results from a survey of supervisors conducted in 2008 at the University of Otago. Supervisors of PhD and thesis Masters candidates were asked to list the most important qualities of the ideal graduate research candidate and the most substantial shortcomings that affect satisfactory progress. The research was conducted by Julie Dlaskova and Romain Mirosa of the University s Quality Advancement Unit, with the assistance of Dr Tamar Murachver of the Department of Psychology. The 10 Most Important Qualities of the Ideal Graduate Research Candidate 1. Intelligence Intelligence (including academic ability, intellect, brightness and common sense) was the most common quality associated with the ideal graduate research candidate. They need to be bright with a good dose of common sense for work in a research laboratory. The best students are those who are bright enough and motivated enough to work independently and submit high quality prose. 2. Independence / Confidence The ability to work and think independently is one of the basic prerequisites for studying a research degree. Qualities associated with independence were confidence, initiative and the ability to take responsibility. They should be able to work with minimal supervision, but that does not mean that the supervisor is not available for discussions on the research being undertaken. Independence of thought is a key attribute that has to develop as the PhD progresses The student should ideally be able to work independently and develop their own questions and pursue their own lines of thought. 3. Commitment Almost half of the supervisors mentioned commitment (to gain knowledge, to complete work or to do well) as the key to successful research degree completion. Other expressions illustrating commitment were perseverance, persistence, determination, dedication, tenacity, resilience and endurance. The most important qualities a PhD candidate will need are perseverance and commitment, probably more so than raw intelligence. All of the qualities are important for the student to get the most out of their research degree; but if they have a high level of commitment (I REALLY want to do this, and well) then the rest will usually follow. 4. Literacy / numeracy Literacy, mostly described as good writing and language skills as well as the ability to express and organise ideas, is highly valued by most supervisors. Some supervisors also require their students to have essential statistical and mathematical skills. I think that writing ability is very important - it wastes a lot of my time (and the student s) if we have to spend a lot of effort and time on correcting drafts. Literacy is on the list simply because time pressures don t allow a student the luxury of a lack of writing skill to start with, however writing can be taught. December 2014 Page 26

27 5. Time management / organisational skills The ideal research degree student is organised, can plan their work, meets deadlines, pays attention to detail and meets regularly with supervisors. Overall they have good study and work habits. A good student is one who works hard, plans their programme of work (with advice) and has the imagination to see the beauty and fascination of a research topic and then to write clearly and precisely about what he or she has discovered. 6. Curiosity / ability to learn A valued quality in research degree students is intellectual curiosity and the willingness and ability to learn new things. This curiosity includes having an inquiring and open mind, as well as flexibility and adaptability. A good graduate student is not necessarily the one with the top grades but the one who is willing to ask questions, to challenge what they are told but is also [able] to take advice. The best students will also have real intrinsic curiosity about the world and about their project. The ideal thesis student for me is someone who brings a strong sense of intellectual curiosity to their project and who is willing and able to translate that curiosity into a dedicated course of study. 7. Enthusiasm and passion A successful student is enthusiastic, passionate and has a deep interest in the subject or research. For me, the desire to do research and a passion for the field of inquiry are key, but they are not the only things needed. Although academic background is essential it is not sufficient in the absence of dedication and enthusiasm and communication skill. In my opinion the most important properties are a commitment to work hard, and when problems are encountered to be able to look at them from many angles and find logical solutions. Generally these traits will only come with a strong passion for the work they are doing. 8. Ability to think The ability to think refers to the capacity to develop necessary research skills including the ability to analyze, synthesize, conceptualise, develop an argument and think critically. Ideal students can think broadly ( get the big picture ), laterally and logically. An ideal student is marked by an ability to think, ask questions, and look for the answers in research, and be prepared to write and argue about them (in writing and with supervisors). The student should be able to think both at the metalevel and at the object level, in other words both about the general coarse-grained aspects of relevance and broad patterns, and at the finegrained level of intricate details. 9. Hard working/ diligence Studying a research degree requires diligence and hard work. Strong work ethics, discipline, focus, efficiency and professionalism are all necessary for successful study and research. PG study is hard work and dedication. Having a life while studying is also important. The best students have a balance to their lives where they work hard but enjoy their time at university too. Hard working and paying attention to supervisors advice are highly required. December 2014 Page 27

28 10. Motivation Good research students have strong reasons for pursuing a PhD or Master s degree; they are ambitious and highly motivated to learn new things and get a graduate degree. I think one reason why so many students take too long to complete is because they are not pursuing a PhD for the right reason (or for any reason at all) Self-motivation is the essential ingredient that will help make even the more challenged students successful. Although high-intelligence (good exam marks) are required prior to commencing graduate research I would rate motivation as the most important factor. A candidate for a PhD must WANT to do it, and be a self-starter. The 10 Most Substantial Shortcomings Affecting Satisfactory Progress 1. Lack of commitment and focus Lack of commitment or over commitment (with outside interests or employment) are considered the most serious shortcomings in students study progress. Staying focused on the goal, staying directed, dedicated and determined are fundamental prerequisites to successful research degree completion according to more than half of the supervisors surveyed. It is very frustrating to have an able student who is overcommitted or poorly organised. 2. Doesn t take advice / communicate with a supervisor Supervisors appreciate the importance of communication with their students and seek to provide them with valuable feedback and advice. Not following their advice, not accepting constructive criticism and avoiding feedback are characteristics supervisors believe impede the students quality of work and overall study progress. I have had students confuse constructive criticism with positive comments. It is hard to hear negative things about your work, but the best students take these on board and try to improve. Poor interaction with others including with their supervisor. This could be on either side, of course, but students who become hermits and refuse to interact or discuss their work are at a major disadvantage. 3. Poor writing and language skills / inadequate numeracy skills Poor writing and language skills are often problematic, especially at the later stages of the research process. Almost half of the supervisors highlighted the importance of competent writing skills for successful research degree completion. I think anyone can be a good thesis student if they really want to and if they are prepared to commit the time to acquiring the necessary prerequisite skills including the ability to write. lack of ability to write well in English is a big problem for social science research. 4. Lack of independence Students are required to take ownership of their projects, be proactive and work independently. Failure to do so is perceived as a substantial shortcoming to successful degree completion. This lack of independence goes hand in hand with characteristics such as lack of confidence and initiative, reliance on others, fear of failure or defensiveness. The most difficult students to work with for me are those who shy away from complex questions, who are unable to develop their own projects and expect to be spoon-fed by their supervisors in all aspects of the process (topic formation, literature review, argument, structure, etc.), and who do not meet deadlines and are generally unreliable and disengaged. December 2014 Page 28

29 5. Poor time management and organisational skills An important part of pursuing a PhD or Master s degree is the ability to plan and prioritise work, meet deadlines and deliver work on time. Other valued organisational skills include paying attention to detail, setting clear goals and good record keeping habits. A lack of these skills is perceived of as a significant shortcoming to effective research degree study. Time management skills and enthusiasm are the attributes that really separate the excellent thesis students from the rest. Limited time management skills will halt the most intelligent person. 6. Laziness and procrastination Avoidance, procrastination, laziness, bare-minimum approach, lack of self-discipline, inability to work consistently, expecting results without great effort, poor work ethic, and not progressing steadily are all characteristics identified by supervisors as common impediments to degree completion. Steady and dedicated work habits are very important to successful research degree study. It is difficult to deal with a student who says they will do the work but ends up socialising instead. Students don t understand that they must drive their project forward. Research is tough and the student has to work hard to make progress. People who can t work with those around them or who struggle to communicate find it hard. 7. Lack of or wrong motivation The message from supervisors was clear: pursuing a research degree without the right motivation can negatively affect the students desire and drive to complete the work. If what the student wants to achieve by enrolling for postgrad study is not clear it can be hard to motivate the student to complete in a timely fashion. Often students who are in school for reasons other than a strong commitment to academic life (e.g. parents told them to come; only want a qualification/job but not to do the required work; haven t got anything better to do, so decide to go to grad school ; etc) are the ones who falter. Students with a clear goal (e.g. to get a PhD and become an academic, for example) and reason (e.g. because they truly love XX) seem to do better because they are self-motivated. 8. Lack of intelligence / academic ability Studying towards a research degree is perceived as an advanced step in an academic career; not all students have the ability and skills to take such a step. Academic ability and intelligence are a must for successful research degree completion. Some students have scraped through an undergrad degree but don t have what it takes to manage a large amount of material and a data base for research purposes. 9. Lack of curiosity and ability to learn Supervisors appreciate students who are willing to learn. Narrow vision, rigid thinking, lack of curiosity, a closed mind, not being able to think broadly and intellectual inflexibility are all seen as factors that constrain the research process. Lack of initiative in going beyond the original topic and supervisors ideas, to see new opportunities for discovery. Many students seem to think that their supervisor somehow has the answer. If we did, the question probably wouldn t be worth asking. The project belongs to them and they need to take responsibility for it. December 2014 Page 29

30 10. Lack of enthusiasm and passion Lack of enthusiasm and drive, loss of interest in the topic or fading motivation all impact on students desire and ability to complete their research degree successfully. Lack or loss of interest is definitely the biggie here All graduate students (and their supervisors) have low periods when things go poorly and motivation is lower. But if the student is genuine in their desire to conduct research they can get through these." December 2014 Page 30

31 B8: The First Year In the Early Stages Once a candidate and the supervisor(s) have agreed to proceed, there are three early steps to take: 1. Complete a Student-Supervisor Agreement (see and note this can be customised) 2. Initiate a more detailed preliminary investigation of the research should be undertaken. This should involve further discussion of the topic between the student and supervisor(s) and the preparation of a brief research proposal, which should be presented to the the department for feedback. 3. Undertake a skills audit to assess which research skills may need to be further developed as part of doctoral education (see table below) and identify relevant professional development opportunities. The early stages of the research should contain all or most of the following: Expansion of the initial written proposal required for registration into a detailed written proposal. This should include specific aims and target dates for the various stages of the research, and it should be discussed with the supervisor(s) and/or the Advisory Panel. Agreement should be reached on aims that are realistic and achievable with the resources available within a reasonable period of time. Thorough planning will help to ensure that good progress is made in the first year of the research. A thorough initial search of the relevant literature. Initiation of consents for ethics (if required) and consultation with Māori. Monitoring of the research student's progress by the supervisor(s) and/or departmental advisory committee. This will usually require the holding of regular meetings (weekly or fornightly) with the student. Formal presentation of the research proposal to a larger audience, perhaps through a research seminar, at an agreed stage or stages. From Provisional to Confirmed Candidacy Admission to the PhD programme is provisional, which means that the candidate must demonstrate satisfactory performance during the first year in order to continue with their research. The process of confirmation will usually take place within the first year s work after six months and before 12 months of full or part-time study. Note that some departments will not confirm candidates before 12 months, even if they are making excellent progress. It should be noted that, although we would expect that a large majority of PhD candidates will achieve confirmed status without difficulty, the process is not automatic. If confirmation is not granted, then either provisional admission may be approved for a further period of up to six months or the candidate will be required to withdraw or to register for another degree. If, after a period of extension, admission is not confirmed, the candidate will be required to withdraw or to enrol for another degree. December 2014 Page 31

32 Skills Audit for Doctoral Research (adapted from Wisker, G. (2012) The Good Supervisor, p96) Rating: 1 = new to develop, 2 = some skills, 3 = quite confident, 4 = confident, 5 = strength of mine Topics Rating Comments Possible support to further develop this skill Turning a research topic in to a research question, which addresses a gap in knowledge Project planning Time management Finding literature Knowledge management (managing files, references etc.) Bench skills in the laboratory Fieldwork skills Analytical skills Critical skills Calculation skills Interpretation skills Evaluative thinking Problem-solving in different contexts Creative thinking Networking with others to share and develop ideas and work Reading for different purposes Reviewing the literature critically and in a dialogue Managing and interpreting data Drawing conclusions, both conceptual and factual, and backing up with data Using appropriate computer packages and programmes e.g. SPSS and NUDIST Nvivo Writing for different audiences Writing at different levels, e.g. for theses and articles Structuring and presenting papers Managing discussions about your work in context and with a variety of colleagues and experts Finishing off pieces of work December 2014 Page 32

33 In order to continue work on the PhD beyond the first year, the candidate must be able to demonstrate the following, as appropriate to the nature of the project: Satisfactory endeavour and application Ability to conduct a detailed literature search and review Acquisition of technical or other practical skills Evidence of suitable professional skills Firm understanding of methodological and/or theoretical issues Ability to communicate clearly, both orally and in writing Achievement of any special requirements (e.g. performance in taught papers) set out in the original application The confirmation process is tied to reporting of progress, which is described in the next section (B9). Writing the Thesis Candidates are strongly encouraged to begin writing up as early as possible, while still engaged in planning, data gathering and/or data analysis. Indeed, writing is encouraged on a daily basis with a minimum of 25 minutes or, ideally two golden hours (see Maria Gardiner and Hugh Kearns, Turbocharge Your Writing (Thinkwell, 2010)). This reduces the often daunting task facing the student if writing up is delayed until it is the only remaining task. The bibliography should also be prepared and up-dated throughout, not left until the final writing-up of the thesis. Candidates are strongly recommended to use referencing software such as EndNote or Zotero to assist in handling their bibliography (ITS offer some courses for postgraduates for some referencing sotfware). Ongoing Professional Development Candidates should undertake a research skills audit within the first few weeks of enrolment to determine which skills they need to further develop in order to study effectively for their PhD. A skills audit template can be downloaded from the Blackboard GRS_PhD Support website under the folder for resources to support early candidature. If any skills are thought to be deficient, support to develop them may come from: The experience of doing a PhD Targetted support from the supervisor Accessing appropriate suport workshops and/or short courses that are run by the Graduate Research School, the Student Learning Centre, the Library etc. December 2014 Page 33

34 B9: Ethical and Regulatory Consents The University requires that any research involving human participants and/or animals is conducted in accordance with the highest ethical standards. Supervisors must ensure that the student's research project complies with all of the requirements of the University's ethics policy. Where appropriate, compliance includes ethical approval from the relevant ethics committee. Research Involving Human Participants The University of Otago has a strong tradition in research culture and the institution has very high standards for research excellence. All research involving human participants undertaken by University of Otago staff or students should be reviewed by a research ethics committee. The researcher has the primary responsibility for maintaining the highest ethical standards inherent in a culture of research excellence. An ethics committee should be used as a tool for researchers to help establish, maintain and review those standards. The responsibility of the researcher extends right throughout the life of the research project. It does not begin and end with the ethical review process. Which Ethics Committee do I need to submit an application to? There are three ethics committees that review research applications from University of Otago staff. The committee that is most appropriate to review your application will depend on the type of research you are conducting and how your participants are being recruited. 1) The University of Otago Human Ethics Committee 2) The University of Otago Human Ethics Committee (Health) 3) The Health and Disability Ethics Committee (administered by the Ministry of Health) 1) The University of Otago Human Ethics Committee The University of Otago Human Ethics Committee reviews applications for research involving human participants that is not considered health research and does not involve patients and which falls outside the jurisdiction of the University of Otago Human Ethics Committee (Health) and the Health and Disabilities Ethics Committee (HDEC). The University of Otago Human Ethics Committee has two categories of application; Category A and Category B. Category A applications are considered and approved by the Committee; whereas Category B Reporting Sheets are audited by the Committee after having been approved by the Head of Department on the Committee's behalf. The Human Ethics Committee has delegated authority to Heads of Department to approve low risk research involving human participants who are NOT recruited in their capacity as patients. Research falling under Category B is considered to be approved once the relevant Head of Department has signed it. However, the Category B form should be sent to the Human Ethics Committee immediately after the Head of Department approves it and before research commences. You are welcome to scan in the fully signed and approved application and send this to us by . December 2014 Page 34

35 A proposal can only be classified as Category B if NONE of the following is involved: Personal information - any information about an individual who may be identifiable from the data once it has been recorded in some lasting and usable format, or from any completed research (Note: this does not include information such as names, addresses, telephone numbers, or other contact details needed for a limited time for practical purposes but which is unlinked to research data and destroyed once the details are no longer needed) The taking or handling of any form of tissue or fluid sample from humans or cadavers (refer to University of Otago Human Ethics Committee (Health)) Any form of physical or psychological stress Situations which might place the safety of either participants or researchers at any risk The administration or restriction of food, fluid or a drug to a participant A potential conflict between the applicant s activities as a researcher, clinician or teacher and their interests as a professional or private individual The participation of minors (children and young people) The participation of any other vulnerable individuals, in particular patients (refer to University of Otago Human Ethics Committee (Health)) Any form of deception which might threaten an individual's emotional or psychological wellbeing The research is being undertaken overseas by students. For further information and guidance on submitting applications, please visit the University of Otago Human Ethics Committees web site: 2) The University of Otago Human Ethics Committee (Health) The University of Otago Human Ethics Committee (Health) will review health and disability research that is considered outside of the jurisdiction of the Health and Disability Ethics Committees, namely studies that: involve participants recruited in their capacity as consumers of health and disability services (patients) involve participants recruited other than in their capacity as consumers of health and disability services (patients), their relatives, or volunteers in early-phase clinical trials (for instance, health professionals or members of the general public) involve the use of existing anonymised human tissue samples with consent involve low-risk (class I) medical devices are audits or related studies (except where HDEC review is required by law) are observational studies that do not involve more than minimal risk are to be conducted wholly or principally for the purposes of an educational qualification, in some circumstances. December 2014 Page 35

36 The University of Otago Human Ethics Committee (Health) also has a separate application process for low risk studies which allows Departmental Approval of Projects using Health Information (Low Risk Studies or Audits). The Departmental approval of projects using health information form is intended for low risk health studies or audits where the researcher intends to 1) use unidentified data and can confirm that the study only uses information that cannot be linked to an identifiable individual OR 2) if the researcher is using identifiable data that compiles with the definitions as specified in the Health Information Privacy Code. Departmental approval of projects using health information applications are considered to have ethical approval once the appropriate Head of Department has signed off on the proposal however these forms are also audited by a sub-committee of the University of Otago Human Ethics (Health) committee each month. If the committee raise any specific issues with the research then the Principal Investigator will be notified following the sub-committee meeting. For further information and guidance on submitting applications, please visit the University of Otago Human Ethics Committees web site: 3) Health and Disability Ethics Committees (HDECs) The Health and Disability Ethics Committee will review studies that: Involve human participants recruited in their capacity as: consumers of health or disability support services (patients), or relatives or caregivers of consumers of health or disability support services, or volunteers in clinical trials The application process for the HDEC is fully electronic. The online form is secure and allows the researcher to modify and edit prior to submission. For further information and guidance on HDEC applications, please visit the HDEC web site Contact details: Manager, Academic Committees: Gary Witte Tel: [email protected] Room: G22 Clocktower Building Academic Committees Administrator: Jane Hinkley Tel: [email protected] Room G24 Clocktower Building Research Ethics Administrator: Jo Farron de Diaz Tel: [email protected] Room: G23 Clocktower Building December 2014 Page 36

37 Research Involving Animals The Animal Welfare Act 1999 Part 6 provides for the use of animals* in research, testing and teaching. To comply with this legislation, any research that involves the use of any animals must be approved by the Animal Ethics Committee. Further information, including the appropriate forms, is available from the Director of Animal Welfare, telephone or from one of the following secretarial staff of the Animal Ethics Committee: in Christchurch: tel in Dunedin: tel in Wellington: tel The Animal Welfare Office was established in 2001 to assist scientists with their use of animals in research, testing and teaching. The Director of Animal Welfare is a veterinarian with specialist qualifications in laboratory animal medicine. Researchers are encouraged to discuss their proposed animal model with the veterinarian, prior to submitting an Animal Ethics Committee application form. For further details please visit the website: *Animals are defined to include mammals, birds, reptiles, amphibians, fishes, crabs, squid, octopus, lobster and crayfish, and embryos of mammals, birds and reptiles in the second half of their gestation or incubation period, and marsupial pouch young. Importation or Development of New Organisms Any importation or development of new organisms, including all organisms or cell lines modified through the use of recombinant DNA techniques (GMOs), requires approval under the Hazardous Substances and New Organisms (HSNO) Act All applications for the importation or development of new organisms must be considered by the Institutional Biological Safety Committee (IBSC) in the first instance. For the importation of new organisms, approval from the Environmental Protection Authority (EPA) is then required, as is an import permit from the Ministry of Primary Industries (MPI). Further information is available from the Secretary of the Institutional Biological Safety Committee, telephone or the Biological Compliance website. (ask your supervisor for the username and password). For information about University Health and Safety policies and procedures, including Hazardous Substances and New Organisms (HSNO), please consult the following website: Notes: It is the responsibility of the Departments and supervisors to advise candidates on ethical matters and to ensure that any required approvals are granted before the research proceeds in earnest. The process of obtaining ethical approval may include consultation with Māori when appropriate. December 2014 Page 37

38 If a substantial and/or significant change in research direction and/or thesis title occurs, candidates may need to seek new ethical approval. In this respect, candidates are also referred to in Changes to admission details. International candidates are alerted to the fact that ethical approval policies and procedures in New Zealand are different to those in other countries. B10: Intellectual Property It is the University s desire to encourage and reward innovative research work within the University which leads to the creation of intellectual property (IP). To encourage such research within the graduate research student community (i.e. thesis Masters and PhD students), and following extensive consultation with these students, the University adopted a Policy for Intellectual Property Rights of Graduate Research Students in with the purpose of: (a) acknowledging the partnership between student and University in the creation of IP during, and directly related to, the course of the student's studies; (b) protecting the respective interests, including legal rights, of both parties; and (c) providing a mechanism for the appropriate sharing, in a mutually beneficial manner, of the financial benefits obtained from the commercial exploitation of the resultant IP. The intent of the Policy is not for the University to automatically assume that it owns all the IP created by its graduate research students or to require students to protect and share in the financial benefits of IP when they do not wish to do so. The intent of the Policy is to allow students to choose whether they wish to protect the IP arising from their research. The essential objective of the Policy is to protect the interests of students and the University when the student wishes to commercially exploit the IP by the development of an appropriate IP Agreement, including University and student ownership of the IP that is tailored to the particular circumstances of the IP that the student has created or anticipates creating. The University's view is that, as such IP is produced with the assistance of the University through its staff and other resources, the University has a part-ownership of the IP. If it wishes to exercise a claim on ownership of the IP, the University will enter into an agreement with the respective student, in accordance with the Policy, to share the financial benefits that may arise. Should the University waive ownership, the student is free to make his or her own arrangements regarding the IP. Students who are also staff and whose staff roles do not include a research component will be considered as students and this Policy will apply provided that the IP which has been created has arisen as part of their graduate research studies. The Staff Intellectual Property Rights Policy will apply to those students who are also members of the academic staff and whose staff roles include a bona fide research component. When using the IP created by a graduate research student, the supervisor concerned has an obligation to declare both the supervisor's and the student's respective roles in creating the IP. A supervisor may not commercially exploit the IP created with a student without the express written agreement of both the student and the University. 1 See policy at: December 2014 Page 38

39 Please note that special IP arrangements are normally required when third parties are involved with the research or its funding. Queries about IP should be directed to the Research and Enterprise Office in the Research Division. December 2014 Page 39

40 B11: Reporting Progress Introduction The PhD programme is supported by a rigorous process for reporting progress as required by the regulations for the PhD degree. The relevant regulations (section 7) are as follows: a) While a candidate is provisionally admitted to the degree programme, progress reports signed by the candidate, supervisors, Head of Department and relevant Pro-Vice-Chancellor shall be submitted to the Doctoral and Scholarships Office at six-monthly intervals from the date of initial admission. b) Once confirmation has been granted, progress reports signed by the candidate, supervisors and Head of Department shall be submitted annually. c) If an unsatisfactory report is received, the Senate may, after appropriate consultation, terminate the candidacy. Principles and Purposes The progress reporting system employed at Otago is based on three major principles: 1. The process should provide a stimulus for honest dialogue between the candidate, supervisors and the department; 2. The process should encourage candidates and supervisors to conduct a careful and regular review of their achievements and to set goals for the next phase of research; and 3. The process should provide an opportunity to discuss career plans and relevant professional development opportunities. Progress reports are used for the following purposes: To support recommendations regarding confirmation of candidature (see Section B8) To ensure that the project is properly "on track", particularly with regard to the planned completion date (a clear record of any research-related problems which have resulted in delays to the completion of the thesis can be used when justifying a 5 th EFT to Senate and the Ministry of Education) To identify any problems inhibiting the progress of the PhD To indicate any changes to the project or its academic support (such as changes of title, changes of supervision, etc) To support recommendations regarding the tenure of scholarships To discuss career pathways and professional development opportunities It is particularly important that the reporting process be used as a means of determining the adequacy of supervision and support. Where problems are identified, these should be signalled in the report, together with measures to rectify them. December 2014 Page 40

41 Timing of Progress Reports The timing of all progress reports is calculated from the date of admission to the programme. Progress reports are due at the following intervals: six monthly until confirmation, and then annually thereafter until the submission of the thesis or termination of candidature. The progress reporting procedure is initiated by the Doctoral and Scholarships Office who write to the Head of Department reminding him/her that a report is due. A copy of the PhD Progress Report Form is attached to this reminder letter. The Reporting Process A Convener who is independent of the supervisory process oversees this reporting process. This person will usually be the Head of Department or the Head of Department s nominee. The candidate and supervisor should be consulted on this matter before the make up of the panel is finalised. The reporting process comprises four parts: 1. The preparation of a self-review document by the candidate. 2. Confidential conversations between the Convener and the candidate, and between the Convener and the supervisors to determine if there have been any issues with supervision. 3. A meeting, chaired by the Convener, to discuss the self-review and other matters relating to the candidate s work. The meeting should be attended by the candidate and the supervisors. 4. The completion of the PhD Progress Report Form on the basis of the discussion, which is then sent to the appropriate authorities for endorsement and is lodged on the candidate s file in the Doctoral and Scholarships Office. Part 1: Self-review In every case, the self-review is the instrument for initiating the reporting process. The production of the self-review is the responsibility of the candidate. Although there is no standard layout for a selfreview document, the following two sections (Six-month Self-Review and Annual Self-Review) should provide general guidance. In all cases, candidates should discuss and agree upon the precise format of the self-review document with their supervisors. The self-review need not be overly long. It should be a summary of work and may be augmented by appendices containing more detail. Previous selfreviews and reports should be used as a point of reference when indicating goals achieved and tasks completed. Ordinarily, a self-review should be completed within two weeks. As well as providing a succinct account of the work done during the reporting period, the self-review can be used to indicate any specific areas of concern that the candidate wishes to be addressed at the subsequent meeting. We draw particular attention to the sections "Support and Resources" and "Candidate and Supervisor Responsibilities" in the PhD Progress Report Form. The self-review should also list any publications, seminar or conference presentations related to the PhD completed during the reporting period. The candidate should circulate the self-review document at least a week ahead of the planned meeting time, submitting this review to the panel comprising the supervisors (or the supervisor and the Departmental Advisory Committee) and the meeting Convener. December 2014 Page 41

42 Six-month Self-Review As the first self-review, the six-month self-review marks a crucial moment in the candidacy. The candidate s self-review should build on the original research proposal, signalling how that proposal has been converted into a definite plan and what work has been done towards the goals set out in the plan. As a minimum, the report will typically contain or refer to: A statement of the research topic or problem An outline of the significance of the problem and an indication of how it will meet the requirements for originality and a contribution to knowledge which define the PhD A literature review A statement of research questions or hypotheses An account of the methodologies by which the questions or hypotheses will be investigated and/or the theoretical model(s) which will be applied A thesis outline A timetable for the work planned for the next reporting period Identification of possible career pathways and desired professional development opportunities (e.g., teaching, research-grant writing, internship etc) Note that the Student-Supervisor Agreement must be attached to the six-month Progress Report when the report is circulated for endorsements and then forwarded to the Doctoral and Scholarships Office. Annual Self-Review All self-reviews for annual reports should take the preceding report as a point of reference. The selfreview will typically contain, or refer to: An assessment of progress made with reference to the tasks set in the timetable in the last report An indication of new developments which have led to a change of direction or emphasis for the project Detailed plans and/or drafts of work completed An updated outline of the thesis A timetable for the work planned for the next reporting period Ongoing professional development plans targetted to possible career pathways The self-reviews do not need to reproduce work already done by the candidate and seen by the supervisors. A self-review should be a summary document, to which any relevant pieces of work can be appended, if necessary. Part 2: Confidential Conversations with the Meeting Convener Prior to the Progress Meeting, the Convener should contact the candidate and supervisors independently to see if there have been any issues with the supervisory relationship. If the candidate has not been contacted by the Convener, and they wish to talk to them, they should initiate a discussion. This is a very important stage, since the candidate may feel unable to raise or admit to issues of supervision when their supervisors are present. If there are issues with supervision, the Convener should negotiate with the candidate (or supervisors) which, if any, aspects will be raised in the formal meeting and by whom, or whether the matter will be taken up with the Head of Department, a Postgraduate Coordinator, an Associate Dean or with the Manager or Dean of the Graduate Research School. December 2014 Page 42

43 Part 3: Progress Report Meeting to Discuss the Self-review The Progress Report meeting is chaired by the Convenor. Typically the format involves methodically going through the Progress Report form, noting changes where appropriate and providing commentary where necessary. The Convener should ensure that all matters raised in the self-review are discussed at the meeting. Moreover, if there are any supervisory issues that have been raised for disussion from the pre-meetings, these should also be openly discussed. The candidate and the supervisors should also be asked to address the questions raised in each section of the report form. If the panel members have any doubts about the candidate s performance in any area of their work, these should be raised courteously and frankly. The panel should also suggest practical measures to counter any perceived deficiencies in performance. It is particularly important that, at the time of the six-month and first annual report, the candidate is given a clear warning where performance is deemed to be unsatisfactory. If the panel feels that confirmation of the candidacy is seriously in question, the candidate should be advised of this at the first opportunity (ideally, this would be at the time of the six-month report) and alternative options (such as termination of candidacy or enrolment for a Master s degree) outlined. Indeed, if at six months, work at the expected doctoral standard looks unlikely, a plan of work should be devised to write-up research in a format that could be considered for a lesser degree (e.g., Masters or Postgraduate Diploma) and the candidate may be placed Under Review (see The meeting with the candidate should also provide the opportunity for open discussion of supervisory arrangements, issues, practical, technical and financial support. It is imperative that the projected completion date of the project be monitored and that any significant changes to the project, its supervision or support be recorded in the progress report. Part 4: Completing the Report Form During the meeting, the Convener will, in consultation with the candidate and the supervisors, fill out the standard PhD Progress Report form, being sure to answer all the questions. The report form is designed to identify any matters of concern which need to be addressed in the "Commentary" section. The form itself contains clear guidance in this respect. If no matters of serious concern are identified, the commentary need not be lengthy. Once completed, the PhD Progress Report form should be signed by all parties, who should receive a copy of the signed report. If there is disagreement about the report, this should be signalled by the Convener when returning the report. In such cases, a candidate or a supervisor may make a personal written statement relating to a progress report. The completed PhD Progress Report form, with the self-review document attached, and, for the sixmonth review, with the Student-Supervisor Agreement attached, should be sent to the Doctoral and Scholarships Office. Copies of these should also be kept on departmental files and candidates are also advised to retain a copy for their records. Copies of the PhD Progress Report form are available on request from the Doctoral and Scholarships Office. December 2014 Page 43

44 B12: Changes to Admission Details or Circumstances Formal approval is required for most changes which may become necessary regarding the details of a candidate's admission. There are two types of forms available as follows: Changes to PhD Details Typical examples of such changes include: major change of topic change of a supervisor changes from full-time to part-time study or vice versa. At the beginning of each year or semester a candidate may apply to change his or her status by amending the enrolment form accordingly and providing a reason for the change (the latter is only required in the case of a change from full-time to part-time study and by obtaining the signature of the supervisor as Adviser of Studies) changes in title of the thesis. A major change of title does require formal approval, but variations in the wording of the title of the thesis do not. The precise title of the thesis should be submitted only at the time when the examiners are nominated. This form is available at: Please note that there is a separate form for if a candidate needs to request an extension to submit their thesis over the normal maximum time (4 EFTS). This form is available on request from the Doctoral Office. Overseas Study Permission is required to study overseas for more than two months, and candidates must remain enrolled while studying off shore (note that deferred candidates do not need to request permission from the University to be overseas). Before embarking on overseas study, supervisory and resourcing arrangements should be discussed with supervisors. All candidates other than New Zealand Citizens should be aware that there are time limits on total overseas study, beyond which international study fees will be charged. The following guidelines apply: Candidates travelling overseas for more than two months shall need to apply, on the appropriate form ( for permission to undertake their research while overseas. Travel overseas covering less than two months of enrolment will not require permission and shall not be counted towards official total time spent overseas during the PhD. However, if travel for research-related reasons is initially intended to be for less than two months, but then exceeds this threshold, permission must be applied for, and the two months shall be counted towards the total time overseas. For Otago scholarship recipients, approval of travel up to one year, for research-related reasons, will also automatically grant overseas tenure on their scholarship unless otherwise stated. Scholarship tenure for travel for personal reasons shall be assessed on a case-by-case basis. Overseas tenure on a scholarship over one year (across the PhD) is not permitted, and the recipient would forfeit their scholarship if and when that limit was reached. New Zealand citizens are entitled to pay domestic fees while studying overseas. December 2014 Page 44

45 For all candidates except New Zealand citizens, domestic fee status is retained only if approved travel is for approved research-related reasons and the total approved/official time spent overseas across the PhD does not exceed twelve months. If a candidate loses eligibility for domestic fee status more than two months into a semester, then international fee status (and fees) shall be applied from the following semester. However any scholarship support would be lost from the time the candidate lost eligibility for domestic fee status (a part month of domestic status will allow scholarship support in that month). Example: a candidate exceeds 12 months overseas from 1 September 2014; they will be charged international tuition fees from January 2015 but their scholarship shall cease (last payment) in August If a candidate loses eligibility for domestic fee status less than two months into a semester, then international fee status (and fees) shall be applied from the start of the current semester. Any scholarship support would be lost from the time the candidate lost eligibility for domestic fee status; scholarship fee payments to that point would remain at the domestic rate (a part month of domestic status will allow scholarship support in that month). Example: a candidate leaves the country for personal reasons halfway through February 2015; they will be charged international tuition fees from January 2015 but their scholarship shall cease from March 2015, with tuition fees for January and February covered only to the domestic rate (the candidate would need to pay the difference between domestic and international fees for these two months, and full international fees from March 2015). Request for PhD Deferral or Permanent Withdrawal A deferral is a period of temporary withdrawal for either academic or personal reasons.. A deferral stops the clock in terms of EFTS, calendar years, tuition fees and scholarships. Deferrals will not normally be granted for periods of less than two months or more than 12 months in the first instance. Multiple deferrals (i.e. more than two) will only be granted in exceptional circumstances. On the form to apply for deferral, which is available at a reason must be given, and the application should be endorsed by the supervisor(s), the Head of Department and the Pro-Vice- Chancellor. The form can also be used to permanently withdraw from the PhD programme. December 2014 Page 45

46 B13: Mid-candidature A PhD Warrant of Fitness has been developed to assist candidates to take stock mid-way through their PhD to see if they are on track for completion: Tick Indicator Comments 1 Topic sorted: you know what your topic is and you have a research question(s) 2 Your research is where it should be (e.g. literature review underway, theoretical framework and/or methods are sorted, ethics has been approved, data are being collected & analysed etc.) 3 A working Supervisory Agreement is in place 4 You have been confirmed (or if not, you know what you need to do) 5 Communication with your supervisor(s) is good and progress meetings are honest and open 6 You have an outline of your thesis chapters and a REALISTIC timeline for completion 7 You have done a presentation of your research 8 International conference plan that freebie 9 You are thinking about possible careers after your PhD and the skills needed, and are seeking out relevant professional development opportunities 10 You are starting to establish professional networks 11 Writing is on track and you have a sense of your findings and the implications 12 Publications: you have published or have a plan to publish 13 Thesis formatting and referencing are under control (14) For internationals you know about the rules re visas/ deferral/ scholarships/writing up from home December 2014 Page 46

47 B14: Format of the Thesis Language Theses will normally be written in English and must conform to proper standards of linguistic presentation. Should the examiners find that the thesis falls short of such standards, they may request that it be corrected before the examination proper is undertaken. Candidates intending to write their thesis in Māori should contact the Doctoral and Scholarships Office for advice. Candidates wishing to write their thesis in a language other than English or Māori will need to seek approval, at the time of admission to the programme, from the Graduate Research Committee. Such approval will only be given in exceptional circumstances. Format of the Thesis The format of the thesis should be agreed to by the Department, supervisor and the student, during the earlier stages of the writing. Any changes which may need to be made later are to be agreed to again by these parties. Note that ITS run workshops on formatting your thesis in Word, and information about formatting your thesis in LaTex is available on the Blackboard website under GRS_PhD Graduate Research Support for Doctoral Candidates pages. Drafts of all chapters should be submitted to the supervisor(s) for comment. Reasonably prompt feedback should be provided on substantive issues. Most supervisors also give feedback on style, grammar, etc., but students are encouraged to get additional feedback from other readers. There are certain physical requirements to be adhered to which are set out in thesis information pamphlets available from the Central Library or Departments and in the regulations pertaining to the presentation of theses. The following two documents provide further information about the presentation of theses: Thesis information guide ( Presentation of theses regulations ( and see section 13) PhD theses are limited to 100,000 words of text, excluding appendices, footnotes and bibliographies. Illustrative materials (such as maps, computer disks and CD s) may be submitted with the thesis. They must either be bound with the thesis or placed in a pocket inside the cover. Extra large or bulky material may be bound separately as an appendix. Citing of References There are three principal methods of citing references in a text: footnotes, the author-date and the reference-number system. Consult your supervisor as to the method favoured in your subject area. There are particular rules for each, and it is important to be consistent in the application of the method you decide upon. Footnotes may be used for purposes other than citing references, namely to provide cross-references, to acknowledge indebtedness and to explain or supplement material that is included in the text. December 2014 Page 47

48 Bibliographic style is important, and considerable time will be saved if all the necessary data for each citation are collected at the time of consulting the works concerned. Various styles are acceptable; the important point again to remember, is that having decided on a particular style, you should retain this style throughout the bibliography. There may be a preferred method within your discipline; check with your supervisor. Several digital platforms are available for retrieving, storing and formatting references (e.g., EndNote and Zotero), and it is strongly recommended that candidates use one in their research. ITS run sessions for some of these software packages. The Library have several Subject (or Liaison) Librarians who can assist PhD candidates with their research needs, particularly regarding finding relevant literature and advice on how to retrieve and store such material. Information on this service is found at: Plagiarism Plagiarism, both unintentional and intentional, is a form of dishonest practice. It is defined as copying or paraphrasing another's work, whether intentionally or otherwise, and presenting it as one's own. In practice this means that plagiarism includes: any attempt to present as one's own work the work of another (whether of another student or a published authority); quoting word-for-word, or near to it, from a source and failing to insert quotation marks around the quoted passage(s). In such cases of direct copying, it it not adequate to merely cite the source; using data or interpretative material without acknowledging the sources or the collaborators; self-plagiarism, which is when you use your own work in a different paper or chapter without indicating the source. As with other dishonest practice, intentional plagiarism is treated very seriously by the University. Thesis candidates should note that the Introduction/Literature Review in their thesis must demonstrate evidence of their own scholarly work. In a PhD thesis, the Literature Review goes beyond a mere literature survey and candidates should avoid therefore the temptation of merely regurgitating the work of others or of piecing together sections of the work of others into a new whole. Research is not summarising or repeating uncritically the ideas of others. Candidates should also be extremely cautious about depending heavily on review articles for their Literature Review. While these are often very helpful, they can also lead to undue reliance upon both the ideas and actual words of other workers. Students have a responsibility to be aware of acceptable academic practice in relation to the use of material prepared by others, and for taking all steps reasonably necessary to ensure that no breach of acceptable practice occurs. Any student found responsible for plagiarism shall be subject to the University's dishonest practice regulations which may result in various penalties including, in extreme cases, exclusion from the University. The University s Dishonest Practice Guidelines are available at December 2014 Page 48

49 PhD candidates can submit drafts of their chapters to check for unintentional plagiarism, using SafeAssign, which is available on the Blackboard website GRS_PhD Graduate Research Support for Doctoral Candidates under Assignments. However, candidates should be aware that the search engines for SafeAssign may not capture all journals that have been used, so could miss detecting passages of text that may be copied. Inclusion of Publications in Theses Overview The University of Otago encourages publishing during candidature for doctoral degrees, and the inclusion of published work, and/or work submitted for publication, where appropriate. Such published material must have been prepared during the candidate s enrolment in the research degree. The submission of papers for publication during the course of thesis research assists the candidate s progress, it clarifies for the candidate the objectives and discipline-specific requirements for presentation of the research, it assists the candidate in future careers, it contributes to the University s research effort, and it provides quality assurance that helps the candidate and the supervisor establish the academic integrity of the research. If candidates are planning to include published material in a thesis, they should discuss the most appropriate format for this with their supervisors. Practices differ across academic disciplines and it is important to obtain advice from experts within the relevant discipline. Individual disciplines are encouraged to develop and disseminate their own practices. Two formats are commonly used for including published material in a University of Otago thesis: i. a hybrid thesis format, whereby published material is inserted either wholly or partially as chapters or sections in the thesis (usually with modification see below); or ii. a thesis with publications appended, whereby published material is not included in the body of the thesis but is appended to the thesis in an unmodified format. For the PhD and professional doctorates, the University of Otago does not offer a formal thesis by publication option, whereby the thesis is composed solely of a portfolio of publications. Thesis Requirements (a) (b) The thesis must be an integrated and coherent body of work. i. It may be necessary to alter the format of published materials for inclusion in the thesis, including standardising formatting and/or deleting duplicated material. ii. Publications included sequentially may need to be linked by short bridging sections. iii. A chapter or sections that synthesise the findings across the thesis should be included. Where published material is included, the thesis introduction should include the following and an example is given below: i. How the thesis is structured, including details on direct inclusion of published material (as chapters, sections or appendices) and identification of any chapters or sections which are substantially based on published material; ii. Bibliographical details of included published material (including material on which chapters or sections are substantially based) in paragraph or tabular form; and, December 2014 Page 49

50 iii. The contributions of the candidate and any co-authors to each publication included in the thesis. It is expected that for any published material presented in the body of the thesis, the candidate will be the first author. (c) It is the candidate s responsibility to ensure that any published work (or parts thereof) included in the thesis comply with the copyright provisions of the publisher and that any guidelines with regard to self-citation are followed. More information on copyright is available on the University of Otago Library Thesis Information webpage ( Examination of the Thesis (a) (b) The inclusion of published material in a thesis does not guarantee a pass in the degree for which the thesis is submitted. The thesis must stand on its own merits and will be assessed as a single document. Examiners may require changes to any part of the thesis regardless of whether that material has been previously published or not. All aspects of the thesis including publications and appendices are examinable and may be raised at an oral examination. For example, if a co-author of an included publication conducted some analyses, the candidate may be required to answer questions regarding those analyses. Example of how to include commentary on the inclusion of published material in a thesis This example is a fictitious thesis by Smith, who was supervised by Bloggs and Brown. The discussion of published material included in this thesis occurs in the introduction, with key aspects highlighted through both commentary and a table. 1.3 Academic papers This doctoral thesis has been completed by preparing a series of four academic papers which are in various advanced stages of the peer-reviewed publication process. Consequently, there may be a small amount of repetition between chapters, most notably within the introductions of Chapters Three, Four and Five. Table 1.1 outlines the four papers and provides details on the authors, the contribution of the candidate to the papers, targeted journals for publication, and current status at the time of printing of this thesis. The content within each published paper is in effect the same as that found in the chapters of this thesis with the exception of Chapter Five, which was under review at the time of submission. Permission has been granted by journal publishers to include these papers in this thesis. December 2014 Page 50

51 Table 1.1 Thesis chapters, paper titles, authorship and candidate contribution, target journal and current publication status for each of the four journal articles produced for this thesis. Chp Paper title Authors Contribution of candidate Journal Status 2 A review of doctoral education Smith, Brown & Bloggs Undertook review, collating and analysing literature and writing the review. Coauthors provided guidance on appropriate literature and had editorial input into final drafts. Education Review 2013:27, Battling on: Factors affecting the progression of doctoral candidates Smith, Bloggs & Brown Designed survey and collected and analysed data; took lead role on writing the manuscript. Coauthors provided guidance on research and had editorial input into final drafts. Studies in Higher Education 2014; in press 4 Stories from the trenches: navigating the doctoral minefield Smith & Rivers Candidate conducted interviews, analysed data and wrote the manuscript. The coauthor assisted with discourse analysis and provided editorial input into final drafts. Narrative Inquiry 2014: submitted and being revised 5 A new model for doctoral education Smith, Bloggs, Rivers & Brown Candidate synthesised findings and wrote the manuscript. Coauthors provided guidance on interpretation and had editorial input into final drafts Teaching in Higher Education 2014: submitted and under review Proof-reading of Thesis Guidelines Thesis Masters and doctoral candidates may use a third party as a proof-reader at any stage during their candidature provided that certain guidelines are followed. These guidelines are available at: December 2014 Page 51

52 B15: Thesis Submission Dates and Pro-rata Fees The Rules A candidate is required to be enrolled at the time of submitting a thesis. This means that if the candidate does not submit their thesis by the end of that semester for which they are enrolled, they will be required to (1) enrol for the next semester and (2) pay the full fees for that semester. It will not be possible for the thesis to be accepted for examination until this is done. Note that candidates can request the Revenue Management Office to allow part-payment of a semester if a firm submission date is planned that is partly into a semester. For example, if the candidate knows they will submit in February, they can apply to the Fees Office to only be invoiced for January and February. The application must be supported by the primary supervisor. If the thesis is submitted before the end of a semester, the candidate will receive a pro-rata fees refund for that portion of that semester that remains after they have submitted. For example, if a candidate submits on 30 April, they will receive a pro-rata refund based on the two months (May and June) that remain of the first semester. In other words, the clock stops as soon as the thesis is submitted. The pro-rata refund will be calculated based on full months only. This means that if the thesis is submitted on say 16 April, the calculation date will be considered as 30 April and the candidate will receive a pro-rata refund based on the two months that remain after 30 April. Please note that if candidates have a student loan, the pro-rata fees refund will be made direct to the Department of Work and Income. It is also important that candidates are aware of the following: Full-time candidates enrolled for the first semester only should remember that the maximum number of weeks that StudyLink allows for them to receive a student allowance is 20 weeks per semester. If a candidate suspects that they will not submit their thesis during the semester they are enrolled for, it would be advisable if they were to enrol for the entire year to ensure continuity of their student allowance. Candidates should remember that they will receive a pro-rata fees refund for any portion of the year that remains after they have submitted their thesis. There is a minimum enrolment level for PhD candidates, namely at least 2.5 full-time equivalent years. Pro-rata fees refunds will only apply if this minimum enrolment level has been reached. Candidates are required to be continuously enrolled for the entire period of their candidacy. However, a candidate may apply to defer (i.e., withdraw temporarily) from their studies for a short period due to personal reasons beyond their control. The appropriate approval should be sought in advance (where possible) from the Graduate Research Committee, through the candidate s Head of Department, Dean (if applicable) and Pro-Vice-Chancellor (see Section B12). An approved period of deferral will mean that the candidate will be credited at a future date with the pro-rata fees for that period. For example, if the candidate is away for three months, then they will be credited with three months' fees. December 2014 Page 52

53 The fees of new candidates enrolling for the first time will be calculated on a pro-rata basis, also based on full months only. For example, a candidate starting on 10 October will be charged fees calculated from 1 October until the end of the year, namely three months. Candidates may apply for a refund of the Welfare Services and Recreation Fee on a pro-rata basis provided that their thesis has been submitted. Candidates who receive a refund will be required to surrender their University ID Card at the time of application. University regulations require a PhD candidate to be enrolled at the time of submitting a thesis. December 2014 Page 53

54 B16: The Examination Process Outline of the Examination Process The PhD examination process includes the following main stages: Step 1: The candidate advises their department of his or her intention to submit Step 2: Three examiners and a Convener are nominated by the department and then formally approved by the Graduate Research Committee. Step 3: The candidate submits their thesis. A date for the oral examination is set (if applicable). Step 4: Copies of the thesis are sent to the examiners and the Convener (assuming examiners have been approved) Step 5: Step 6: The examiners: - read the thesis - write their reports (independently) - submit their reports and recommendation sheets to the Doctoral Office via Once all three examiners reports are in, the Convener considers the reports Step 7: The Convener arranges and chairs an oral examination, where applicable Step 8: The Convener facilitates a consensus decision amongst the examiners Step 9: The Convener advises the Doctoral Office of the initial outcome Step 10: The Doctoral Office advises the candidate of that initial outcome Step 11: If applicable, the candidate makes the required amendments/revisions Step 12: In the case of amendments, the Convener and internal examiner (where applicable) check the amended thesis In the case of a revise and resubmit decision, the examination process begins again (the same examination panel is normally used) December 2014 Page 54

55 Step 13: The Convener advises the Doctoral Office of the final outcome Step 14: The Doctoral Office advises the candidate of that final outcome Step 15: The candidate submits the final two hard-bound copies of the thesis and e-thesis to OUR Archive Step 16: The candidate graduates with a PhD degree! Introduction The degree of Doctor of Philosophy at the University of Otago is acquired solely by the submission of a thesis prepared under supervision. There is no course work, although candidates may be required to take certain papers in order to acquire specific knowledge or expertise to complete their research satisfactorily. The thesis may be submitted after at least 2.5 full-time years of study and no more than eight calendar years of study. The University expects, as a norm, that a PhD will take three years of full-time study to complete. 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. 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. The purpose of this document is to describe the policy and procedure for the examination of PhD theses as required by the regulations for the PhD degree. The accompanying flowchart provides a diagrammatical representation of the examination process. Advice of Intention to Submit Candidates are requested to advise their supervisors of the intention to submit the thesis at least two months prior to submission. This will prompt the supervisors to nominate examiners and to submit an application for a Postgraduate Publishing Bursary if applicable. Nomination of Examiners and Convener of Examiners PhD theses are normally examined by three examiners: one from outside New Zealand ( Overseas External ); one from within New Zealand but external to the University ( New Zealand External ); and one internal to the University ( Internal ). Normal patterns for examiners may be varied in exceptional circumstances. For instance, where no suitably qualified examiner is available to fulfil the role of New Zealand External, a further Overseas External will be appointed. Where no suitably qualified examiner can be found to fulfil the role of Internal, a further New Zealand External (or, in exceptional circumstances, an Overseas December 2014 Page 55

56 External ) will be appointed. A supervisor, ex-supervisor or member of the Departmental Advisory Committee will not be appointed as an examiner. Examiners should be suitably qualified to undertake the task. Suitably qualified examiners: preferably have a PhD (or if not, some other higher degree but with appropriate research experience at a high level. It is unusual, however, for someone without a PhD to be nominated to examine a PhD thesis); should be knowledgeable in the area/field/discipline of the topic of the thesis to be examined (i.e. the examiner should have the necessary background to be able to make an informed judgement about the thesis); and should be research active. When nominating examiners, consideration should also be given to the examining experience of the examiners. It is recommended that a mix of both experienced and inexperienced examiners should be nominated where a panel of three experienced examiners is not feasible. If more than one examiner is inexperienced (i.e. has not examined more than three doctoral theses), a strong justification will need to be made. An independent Convener of Examiners convenes the examination. The Convener is not an examiner of the thesis but is a person who coordinates the examiners reports and submits a report on the recommendation of the examiners. If an oral examination is held, the Convener prepares for, and chairs, the oral examination (see below). Conveners are drawn from Heads of Department and other senior academic staff a list of official Conveners is available on the PhD website at A Convener is not necessarily a member of the same department as the PhD candidate. A supervisor, ex-supervisor, or member of the Departmental Advisory Committee will not be appointed as Convener. It is essential that departments begin the process of selecting potential examiners before the thesis is submitted so that the examination process is not unnecessarily protracted. The nominations for examiners are made by the Head of Department after consultation with the supervisors on the appropriate form which is available from the PhD website ( The nomination of a Convener is made at the same time. It is the Head of Department s responsibility to ensure that the nominated examiners and Convener are agreeable to performing their respective roles before the Nomination of Examiners form is submitted to the Doctoral Office. The Graduate Research Committee, under the delegated authority of the Senate, approves examiners and the Convener. The identities of the examiners are not divulged to one another until after their reports have been submitted, nor are their identities released to the candidate until after the examination result is made known by the Doctoral Office. If an oral examination is held, however, their identities will be divulged at that time. Submission of the Thesis Before submitting the thesis, the candidate should discuss the thesis with the supervisor(s). If the thesis has been completed before the minimum enrolment time of 2.5 EFTS, approval is required from the supervisor(s), Head of Department and Dean (where applicable) that the thesis is ready to be submitted for examination. For theses completed beyond 2.5 EFTS, specific approval for submission is not December 2014 Page 56

57 required but it is advisable for agreement to be reached between the candidate and the supervisor(s) that the thesis is ready for submission. The candidate should then inform the Head of Department accordingly. Candidates are advised to submit the thesis in a soft-bound format because this is relatively inexpensive and means that any required corrections or amendments can be made before the hard binding of the final copies. Candidates must submit four softbound copies of the thesis, accompanied by one signed softbound declaration form, which is available on the PhD website. The form should not be bound into the thesis, but submitted loosely. Otago Uniprint deals with enquiries regarding the soft binding of theses ([email protected]). Theses should NOT be submitted direct to academic departments but to the following staff: for candidates in Dunedin to the Doctoral Office in the Clocktower Building for candidates in the Christchurch School of Medicine and Health Sciences to the Manager, Academic Programmes, in the Dean s Department for candidates in the Wellington School of Medicine and Health Sciences to the Postgraduate Liaison Officer in the Postgraduate Office. Candidates should also ensure that they have further copies of the thesis available for use by themselves and their supervisors should an oral examination be held. As the clock stops when a thesis is submitted, it is important that it be submitted to the appropriate University staff member. Submission of the thesis is acknowledged by the Doctoral Office by a letter to the candidate. PhD enrolment formally ceases on submission, but candidates retain access to resources until submission of their hard bound theses prior to graduation. Theses are sent by courier to the Overseas External and New Zealand External examiners. Report by the Supervisors When the thesis is submitted for examination, the supervisors shall provide a brief report on the work of the candidate. The report should: (a) (b) (c) (d) confirm that the work has been done under their immediate supervision and outline the part played by all involved in the supervision; attest that the supervisors have read the thesis in its entirety in a final draft and state whether the supervisors agree that the thesis is suitable for submission; provide a statement about the extent to which this is the candidate s own work if parts of the thesis are based on published work under joint authorship; and provide any other relevant information on the candidate s work. The report should be signed by the primary supervisor and sent to the Doctoral Office, who will release a copy to the Convener of Examiners. At the discretion of the Convener, the report may be released to the examiners and then only after the examiners reports have been submitted. December 2014 Page 57

58 Written Reports from Examiners Each of the examiners is requested to furnish a written report on the thesis together with an assessment of its acceptability in line with the University s five-point scale: a) Accept, or accept with minor editorial corrections (The corrections required are minor and can be completed in a short period of time, normally not longer than a few weeks. The Convener of Examiners will check that the corrections have been made satisfactorily.) b) Accept after amendments have been made to the satisfaction of the Convener of Examiners in consultation with the internal examiner (The amendments required can be completed within a few months, normally not longer than two or three months. The amendments will be made to the satisfaction of the Convener of Examiners in consultation with the internal examiner.) c) Revise and resubmit for examination (The thesis is not of the required PhD standard and requires substantial revision involving up to six months of work or possibly a little longer. The revised thesis will be resubmitted formally to all three examiners for a repeat examination.) d) Reject and refer to the appropriate authority within the University for consideration of the award of another degree (The thesis is not of the required PhD standard and there is no likelihood that revisions will bring it up to that standard. However, the thesis may meet the standards required of an alternative degree, possibly a Master s.) e) Reject with no right of resubmission (The thesis is not of the required PhD standard and there is no likelihood that revisions will bring it up to that standard, nor does the thesis meet the standards required of an alternative degree.) The examiners are asked to comment on the thesis with reference to the description of the degree (see Introduction above). Examiners are requested 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 depth 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 the 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 mastery of appropriate methodology and/or theoretical material? December 2014 Page 58

59 The reports should also contain specific comments on those parts of the thesis that the examiners believe to require correction or amendment. The examiners form their own independent assessments of the thesis without discussion amongst themselves or with the candidate. Should discussion be necessary amongst the examiners, it will be coordinated by the Convener. The examiners send the reports directly to the Doctoral Office. From there, they are forwarded to the Convener of Examiners. The examiners normally retain their copies of the thesis, unless they have marked comments on it that the candidate will need to see. In this case the thesis should be returned to the Doctoral Office. Oral Examination An oral examination may be held on the recommendation of the examiners or the Convener or at the request of the candidate. Please note that it is customary in certain departments for oral examinations to be held for all PhD candidates. Compulsory oral examinations have been mandated for PhD candidates who first enrol from January 2014 onwards. The Convener of Examiners will ascertain whether any of the examiners, or the candidate, requests an oral examination. The Convener will inform all parties involved, inlcuding the Doctoral Office, of an oral examination, using the Oral Examination Briefing Report. If an oral examination is held, it is chaired by the Convener and is held after the examiners reports have been submitted. If the examination is held at the University, it will be attended by the Internal Examiner and the New Zealand External Examiner. In cases when this arrangement proves impractical or impossible, at the discretion of the Convener the oral examination will be conducted by audio or video conference. Under these circumstances, the Internal Examiner and at least one of the other examiners will be involved in the examination. At the discretion and invitation of the Convener, the supervisor(s) and Head of Department may contribute to the oral examination. After consultation with the examiners, the Convener may approve the attendance of others at the oral examination (e.g. the candidate may wish to have a support person). The main objectives of the oral examination are to: provide the candidate with a special opportunity to defend the thesis; establish that the candidate fully understands the work and its wider implications; provide the candidate with an opportunity to reply to criticism or challenge; enable the examiners to clarify issues in the thesis which may be unclear; help the examiners to decide on the nature and extent of any corrections or revisions which may be required; allow the examiners to confirm whether the thesis should be recommended as exceptional. Until oral examinations are the norm (i.e., from 2016 onwards), the Convener is responsible for the final decision as to whether an oral examination is to be held. An oral examination will be held if: the candidate wishes to have an oral examination. To assist the candidate to make an informed decision, the Convener should supply the candidate with copies of the examiners reports (without their names or any confidential sections); December 2014 Page 59

60 the customary practice of the Department of the candidate is to hold an oral examination, as confirmed by the Head of Department; the examiners agree that an oral examination is necessary, in which case the Convener should inform the candidate that an oral is to be held and supply the candidate with an Oral Examination Briefing Report including copies of the examiners reports (without their names or any confidential sections and NOT the results sheets); the Convener sees differences in views in the examiners reports that could be addressed by the candidate in order to clarify acceptance of the thesis or the nature of revisions to be made. The format of the oral examination will vary from case to case, and will be made clear in the Oral Examination Briefing Report. Normally, it will include the following: a brief overview of the thesis by the candidate; questions from the examiners on the substantive issues communicated to the candidate beforehand; other questions and free discussion. Questions may also be addressed to the supervisors. Correspondence between the examiners should take place only via the Convener. The Convener should make arrangements for the oral examination in accordance with The Role of the Convener Guidelines. The Oral Examination Briefing Report details the logistics of the examination: when, where and the format. The Convener should send The Oral Examination Briefing Report to the Doctoral Office. Then the Convener should send this Briefing Report, together with anonymised copies of the examiner s reports (but NOT the recommended results sheets) to the candidate, supervisors and examiners at least two weeks prior to the oral examination. Once the oral examination has concluded, the Convener and the examiners will confer in private. Result The result of the examination is decided by the University s Graduate Research Committee under delegated authority of the Senate after receipt of the examiners recommendation from the Convener. In cases where the examiners are unable to reach a unanimous recommendation on a thesis, the Convener should report this to the Dean of the Graduate Research School, who will initiate arrangements to appoint a referee to make a final recommendation. The referee will normally be a person of international academic standing. Communication of the Result to the Candidate Once the result is decided, the Doctoral Office will officially communicate this to the candidate. This will include a covering letter written by the Convener which outlines the next steps the candidate needs to follow. The candidate, primary supervisor, and the Head of Department will also receive copies of the examiners report at this time. In the case of an a accept or b - amend result, these reports will reveal the identity of their writers (provided the examiners have included their names on their written reports). In the case of a c revise and resubmit result, the identity of the examiners will remain anonymous, as a second examination will take place. December 2014 Page 60

61 After the Result is Received After the candidate has been informed of the result, he/she will follow the instructions set out in the covering letter from the Convener of the examination. If the result is (i) Accept, or accept with minor editorial corrections, the corrected thesis should be submitted to the Convener, who will check that the corrections have been done satisfactorily. If the result is (ii) Accept after amendments have been made to the satisfaction of the Convener of Examiners in consultation with the Internal Examiner, the amended thesis should be submitted to the Convener, who will check that the amendments have been done satisfactorily in consultation with the Internal Examiner. If the result is (iii) Revise and resubmit for examination, the candidate should revise the thesis substantially in line with the recommendations of the examiners under the guidance of his/her supervisors. Once the revised thesis is complete, it should be resubmitted for examination as described above. The revised thesis will normally be examined by the same examiners as the original thesis. The process will be the same as for the original examination except that a revised thesis shall not be recommended for further revision and resubmission. In other words, after the candidate has resubmitted a revised thesis, the examiners have four, and not five, possible examination results to select from. In the case of a revise and resubmit result after an oral examination has been held, a further oral examination is permissible after the candidate has revised and resubmitted the thesis. If the revised thesis is recommended for acceptance (i) Accept, or accept with minor editorial corrections, or (ii) Accept after amendments have been made to the satisfaction of the Convener of Examiners in consultation with the Internal Examiner - minor corrections or amendments should be made in accordance with the process outlined above. If the thesis is not recommended for acceptance, the result (iv) Reject and refer to the appropriate authority with the University for consideration of the award of another degree, or (v) Reject with no right of resubmission, will be recommended. If the result is (iv) Recommend for another degree and refer to the appropriate authority within the University, the examiners may recommend that amendments be made to the thesis before it is submitted for the award of another degree (typically, a Masters degree). The thesis, together with the examiners reports and recommendations, will then be forwarded to the appropriate authority for action and the candidate notified accordingly. If the result is (v) Reject with no right of resubmission, no further action is required. December 2014 Page 61

62 Contact with Examiners Under no circumstances should a candidate enter into direct contact with the examiners during the examination process (including the amending and revising process), apart from during the oral examination. Timing of Amendments and Revisions If a thesis requires minor editorial corrections (i) or amendments (ii), the candidate is expected to complete this work within three months of notification of the result of the examination. If a thesis requires revision (iii), the candidate is expected to complete this work within six months of notification of the result of the examination. Note that extensions can be requested if the candidate is having difficulty meeting these timeframes, but the University reserves the right to require the candidate to reenrol with payment of tuition fees. Leave to Appeal A PhD candidate may seek leave to appeal the decision of the examiners under the University s Regulations Relating to Student Appeals to the University Council as described in the University of Otago Calendar. December 2014 Page 62

63 B17: Frequently Asked Questions (FAQs) about the PhD Thesis Examination Process How long will it take to examine my thesis? 1. The examination of a PhD thesis is a serious and time-consuming process involving a large number of steps, documents and participants. There are, therefore, many possible sources and causes of delay. The staff of the Doctoral and Scholarships Office will do their very best to facilitate a smooth and timely process for you, however you should bear in mind that delays are common and so it is important to be realistic about how long it will take before a result is available. 2. The usual time between submission and receiving the initial outcome, based on historical data, is approximately 4 months. This period does not include the time needed for doing amendments and submitting your final hard-bound thesis. 3. The assessment of a PhD thesis is a large and serious undertaking and it usually requires a substantial period of uninterrupted time. The time of the year at which the thesis is submitted can also be a significant factor. 4. The Doctoral and Scholarships Office will remind examiners about two weeks before their reports are due. A reminder will also be sent if an examiner s report has not been submitted within the timeframe suggested. This usually results in a renegotiated deadline for the report. If the response is unsatisfactory, senior management will attempt to expedite matters. 5. Once all the examiners reports have been received, the Convener of Examiners considers all three reports before making a final consensus recommendation regarding the result after consulting with the examiners if necessary. Conveners are asked to undertake this task within two weeks if at all possible. As with the examiners reports, however, there can be delays here too for a variety of reasons such as the time of the year, the unavailability of examiners for consultation purposes; etc. Also, if an oral examination is to be held, additional time is usually required before the Convener is able to report a final recommendation. May I contact the Doctoral and Scholarships Office during the examination period? 1. For any queries about the progress of your doctoral examination please contact the Doctoral and Scholarships Office. Should there be any unusual delays, you will certainly be informed. 2. It is essential that you keep the Doctoral and Scholarships Office informed of your current postal and addresses during the examination process. December 2014 Page 63

64 Do I need to be on campus for an oral examination or to make corrections to my thesis, if required? 1. The answer is preferably yes as it will greatly facilitate the completion of your examination process. If it is unavoidable for you to move away from the campus, you should discuss the implications with your supervisor, HOD and the Convener of Examiners before making a decision. 2. By special arrangement it is possible to arrange an oral examination by video or audio conference but this will need the approval of the Convener of Examiners. May I request an oral examination? Yes. You should make your request to your Convener of Examiners. Do I have to enrol and pay fees if I have amendments/revisions to make? Usually not. However, you may be required to enrol and pay fees if you take longer than the expected timeframe to make your amendments or revisions (three months for the two accept results and six months for a revise and resubmit result). Do I have to be on campus when I am receiving a Postgraduate Publishing Bursary? The Postgraduate Publishing Bursary Regulations (which are printed on the reverse side of the application form) state that it is expected that the candidate will work within his/her department during the period of the Bursary. In exceptional cases, requests to hold the Bursary elsewhere may be submitted for approval. May I take up employment during the examination process? The University does not have any regulations that prohibit you from taking up employment, including post-doctoral positions, during the examination process. It is your, and your prospective employer s, decision whether you wish to do this. If you are contemplating employment, it is recommended that you carefully consider the implications of that employment should you be required to make amendments/revisions or attend an oral examination. Why do I have to make amendments/revisions? 1. It is important that thesis candidates understand that, as a result of the examination of their thesis, revisions may be required. Sometimes these are relatively straightforward and will not take very long to complete. However, examiners may decide that more substantial work has to be undertaken. 2. The examination of a thesis is similar to the critical scrutiny that academic work receives when it is submitted for publication in a scholarly journal or by scholarly publishers. When you submit your work for publication, you will have two to three critical readers of your work. It would be unusual for work to be accepted without revision. Often the revisions required can be December 2014 Page 64

65 very substantial before your article or chapter will be accepted for publication. In that case you have a choice: either you do the revisions to the satisfaction of the reviewers and editor, or you do not get your work published. The examination of theses is similar to the processes involved in peer review for scientific journals. 3. Candidates should be aware that when they submit their thesis for examination it is read and critically evaluated by three examiners. There is no guarantee of the outcome of any examination process. A thesis may pass; it may fail; it may require revision. When you submit your thesis, you and your supervisor may believe that it is ready to be examined. However, submitting the thesis for examination does not mean that you have completed your thesis. It means that you have reached the point where you believe that your work is ready to be scrutinised by people knowledgeable in your field of study. 4. If you are required to undertake revisions, please remember that this is part of the process of being a thesis candidate. The revisions will make your thesis a better thesis. This means that you will achieve a higher quality of work than you initially submitted. That is good for both the completed thesis on the library shelf and for your own training as a researcher. 5. When you submit your revised thesis for checking by the Convener and/or internal examiner, please ensure you include a cover letter that details how the examiners concerns have been addressed. Also, contact your Convener to determine in which format they want the revised thesis to be submitted. If I submit now, can I graduate at the next graduation ceremony? 1. Probably not! The nature of the PhD examination process unfortunately means that it is simply not possible to guarantee any particular graduation date. 2. If amendments are required, then this will also affect when you are able to graduate. It is important to be realistic about that. A thesis will not be passed unless, in the view of the examiners, it reaches the standard required for a PhD degree. December 2014 Page 65

66 B18: Final Submission and Access to the Thesis Once the examination process is complete, the candidate will be notified of the final result. Should the result be to award the PhD degree, the candidate will be required to: forward two permanently bound copies of the final version of the thesis: to the Doctoral Office in the Clocktower Building on the Dunedin Campus for candidates in the Christchurch School of Medicine and Health Sciences to the Manager, Academic Programmes, in the Dean s Department for candidates in the Wellington School of Medicine and Health Sciences to the Postgraduate Liaison Officer in the Postgraduate Office. Note that the cost of the two hard-bound copies will be met by the University provided that the thesis is submitted within four years of full-time PhD study. If eligible, the candidate should obtain an order form from the Doctoral Office ([email protected]) to cover the printing and binding costs of the two hardbound copies of the thesis. complete a standard Author Declaration Form to be bound into the front of one of the submitted hard bound theses. A copy of this form is available on the PhD website. Any variations to this standard form require special approval; and deposit an electronic copy of the final thesis to the Libary (see >Submitting). The candidate must ensure the level of access they assign during their e-thesis submission matches that indicated on the completed Author Declaration Form. Embargo of Thesis In situations where the thesis contains sensitive material or has been funded or helped by external research grants, or has publications pending, it may be necessary for the completed thesis to be placed under an embargo, with access restricted for a period of time. This may also be necessary for intellectual property reasons. Restricted access will be permitted only in the most exceptional circumstances and requires the permission of the Dean of the Graduate Research School. In the first instance the candidate, with the support of their primary supervisor and Head of Department, or the primary supervisor with the support of the Head of Department, should apply for an embargo in writing explaining in detail the reason for the embargo and indicating the time frame of the embargo. A thesis is normally embargoed for a period of one year but this can be extended or reduced as required. Applications should be forwarded to the Dean, Graduate Research School ([email protected]) for processing, whereby a special Library Declaration Form is produced and signed off by the Dean, the divisional Pro-Vice-Chancellor and the candidate. December 2014 Page 66

67 B19: Graduation To have your degree conferred, you must apply to graduate either in person or in absentia at the appropriate ceremony online via e:vision Once the exact opening date for applications has been confirmed for each round of ceremonies, these will be published in the Opening and Closing Dates section of the Graduation webpages, In order to be eligible to apply to graduate, you must have submitted your thesis for examination. For all doctoral candidates we strongly recommend applying to graduate in the group of graduation ceremonies after the group of ceremonies immediately following your submission. For example, if you submit in December, we recommend that you apply in the following year for the August ceremony, rather than a May ceremony. Statistics show, while not impossible, it is very doubtful that you will meet requirements and deadlines to graduate at a ceremony immediately following submission of your thesis for examination. Graduating in the next set of ceremonies is also not guaranteed, but it is much more likely. It is each student s responsibility to ensure that they apply for a place in the ceremony allocated to their discipline before the closing date for that ceremony. As there is a limit to the number of people who can graduate in person at each ceremony; the closing date may be brought forward if this limit is reached before the closing date. Please apply promptly to avoid disappointment. There is no limit to the number of people who can graduate in absentia, but your application must be received by the closing date. You must submit two hard-bound copies of your thesis to the Doctoral and Scholarships Office at least five weeks prior to the date of the ceremony that you have been accepted into, as well as an electronic copy of your thesis to OUR Archive, For the exact date that your hard-bounds and e-thesis are due, please contact either the Doctoral and Scholarships Office or the Graduation Office. Alternatively, this information can be viewed either on the Doctoral and Scholarships Office webpage or on the Graduation Office webpage If you are having your thesis hard bound through the University of Otago library bindery it will take up to ten working days to be ready for collection. If your degree is to be conferred in person, a brief summary (150 words or less) of your research and findings will be included in the graduation ceremony booklet. Please download the Graduation Booklet Form for Doctoral Candidates from the Graduation webpage ( complete it and it to [email protected] as soon as possible, and at least five weeks prior to the ceremony you wish to attend. If you are graduating in absentia, the graduation ceremony booklet will list the title of your thesis but will not include a summary, so you do not need to fill out the Graduation Booklet Form for Doctoral Candidates. December 2014 Page 67

68 If you have any questions about the Graduation process please contact the Graduation Office, or phone (03) , or visit the Graduation webpage: December 2014 Page 68

69 SECTION C: RESOURCES AND SUPPORT C1: Sources of Funding Sources of Funding and Scholarship Support A database of all sources of funding and Postgraduate Scholarships is available at: or on request from the Scholarships Administrators, whose Office is located on the ground floor of the Clocktower Building, Room G03. Contact details are: Tel: or 5291 Fax: [email protected] An ongoing display of this material is also set up in the Clocktower Building. University of Otago Postgraduate Scholarships Each year the University offers about 180 of its own Postgraduate Scholarships for PhD study. Application is made at the same time as applying for admission to PhD study. PhD Scholarships are tenable for a maximum of 3 years (no extensions are given), and provide for payment of tuition fees in addition to an annual emolument. University Guidelines for the Acceptance of External Research Grants Prospective doctoral candidates should be familiar with the University's Procedures for Externally Sponsored Graduate Research (see This procedure seeks to protect the integrity of the University and the interests of the students involved in externally-funded or externally-supported projects. External funding of a research project can raise issues relating to the ownership of the research findings. The University s general policy is that researchers must be able to publish and make presentations of the results of their research, including externally sponsored research. In some cases, a delay in the publication of the results may be required, or special arrangements for the secure examination of a thesis may have to be made, to ensure the commercial interests of the Sponsor and the University are protected. This being the case, various procedures should be followed: (a) The student(s) should be fully informed in writing prior to their acceptance of the thesis topic of any agreement into which the University has entered and which may restrict their publication rights. (b) If the student is an employee of an organisation which, by virtue of this relationship, may claim ownership of some or all of the research findings, there shall be a formal agreement between the University and the Employer to the effect that the student will have the right to present his or her thesis with their personal interpretation and use of the data and results. The conditions allowing secure examination may apply. (c) Only in exceptional circumstances will the normal thesis examination procedures be modified. In these exceptional circumstances the University will arrange for commercial-in-confidence December 2014 Page 69

70 agreements to be completed by all prospective examiners before receiving the thesis for examination. (d) The delay in publication will be formally agreed in the following or similar manner: The Sponsor recognises that, under University policy, the results of the University Project must be publishable and agrees that Researchers engaged in Project shall be permitted to present at symposia, national, or regional professional meetings, and to publish in journals, theses or dissertations, or otherwise of their own choosing, methods and results of Project, provided, however, that Sponsor shall have been furnished copies of any proposed publication at least [ ] months in advance of the submission of such proposed publication or presentation to a journal, editor, or other third party. Sponsor shall have [ ] months, after receipt of said copies, to object to such proposed presentation or proposed publication on the basis that there is patentable subject matter which needs protection. In the event that Sponsor makes such objection, said Researcher(s) shall refrain from making such publication or presentation for a maximum of [ ] months from date of receipt of such objection in order for University to file patent application(s) with the Patent and Trademark Office and/or foreign patent office(s) directed to the patentable subject matter contained in the proposed publication or presentation. (e) Access to the thesis in the University Library may be restricted for a period of time to persons designated by the University supervisor in agreement with the Head of Department. Travel to Conferences Students often enquire about possible funding support to assist them in attending conferences related to their research. The University will providea grant-in-aid to support doctoral candidates to present at one major international conference. Each Division administers the application and funding process, so consult your Divisional Office. A special conference fund is available for Māori candidates. Information and apoplication forms are available at: Some outside organisations also offer general financial support and those which the University holds information are available through the Scholarships Administrators in the Clocktower Building. University Research Funding Further information concerning other funding sources can best be obtained from the staff of the department concerned. In general terms, however, applications for modest amounts are handled on a Divisional basis with closing dates determined by the individual Divisions. Postgraduate Publishing Bursaries These are bursaries of up to three months duration at an equivalent rate of a Postgraduate Scholarship stipend and awarded to PhD candidates whose theses are under examination so as to continue with their student research by preparing papers to the submission stage for publication in journals of international standing. If candidates submit their thesis for examination within four eqivalent full-time years, if they are based on campus and are working no more than 10 hours a week, then they are eligible to apply. Further details are available on the University of Otago website at: December 2014 Page 70

71 C2: Resources for Graduate Research Candidates 1. The University recognises the importance of providing appropriate resources for graduate research candidates to enhance the quality of their training. 2. Prior to either (a) accepting a graduate research candidate or (b) approving a major change of topic and/or methodology during candidature, the Department/School concerned should assess the feasibility of the proposed research project in terms of the resources likely to be required for the successful completion of the project. 3. The acceptance of a graduate research candidate represents the Department s/school s commitment to support his/her research project by providing the following resources: 3.1 access to appropriate resources to undertake the candidate s research project (for example: equipment, materials, facilities, and funding for fieldwork or data collection or other activities considered essential to the successful completion of the project); 3.2 an appropriately equipped working and quiet study/writing space, including secure storage; 3.3 after-hours access to departmental facilities, provided both safety and security requirements are met; 3.4 access to appropriate computing resources; 3.5 access to and appropriate internet communications; 3.6 access to library facilities including interloans and database searching; 3.7 access to a telephone; and 3.8 for doctoral candidates, support to present at one major international conference at least (each Division is required to establish a policy about the level of support), in addition to support from Departments and Divisions to attend other conferences where appropriate and feasible. 4. Comments by doctoral candidates and their supervisors on the adequacy and level of support received shall be included in their annual progress reports. Notes: (a) The resources referred to in this policy do not include human resources such as supervisory knowledge and skills. These human resources are covered by separate regulations and policies. (b) The University encourages candidates and their supervisors to apply for funding from other sources to support appropriate aspects of their research projects. Irrespective of the funding source, however, Departments and Schools remain accountable for ensuring that (i) appropriate resources are provided and (ii) students are informed about where and how to access the resources. (c) Where circumstances beyond the direct control of the student, supervisor and Department/School necessitate an alteration of the research project s cost structure, the Department/School is responsible December 2014 Page 71

72 for ensuring that the project continues to be appropriately resourced. December 2014 Page 72

73 C3: Resolving Problems and DisputesThe University is committed to providing an environment conducive to scholarship through excellence in teaching, research and service. It aims to provide a stimulating environment for both students and staff. Nevertheless, during the course of your study, problems may arise. These may include a problem with your supervisor or with other post-graduate students in your area. These problems need not become a barrier to your study and research and, indeed, they can become a valuable part of the learning experience. The University s Ethical Behaviour Policy undertakes to provide an environment of safety, respect and dignity for all members of the University community and it expects that everyone will contribute to the creation of that environment. If you experience problems it is best to deal with them early and with the person most directly concerned. You can do this yourself or you can seek advice and support if you are unsure of how to proceed. Most problems are able to be resolved informally once both people are aware of the issues and concerns, and the University strongly encourages informal resolution of concerns. One of the reasons people are sometimes reluctant to raise a concern is that they think it will be perceived as a criticism or an attack. Adopting a problem-solving approach from the outset increases the chances that the other person will do the same. This isn t working for me and I d like to discuss what ways there might be of changing things or something similar is a good first approach. There are a number of people whom you might want to contact to discuss your concerns or to seek advice: Your supervisor Your Postgraduate Coordinator Your Head of Department The Dean or Manager of the Graduate Research Sschool The University Mediator [email protected] or phone A member of the Ethical Behaviour Contact Network see the posters or go to If you wish, or if informal methods haven t worked, you have the option of making a formal complaint under the Ethical Behaviour Policy. The full text of the policy is available at Any approach you make to the Dean or Manager of the Graduate Research School, the Mediator or the Contact Network will be confidential and you may request a confidential discussion with your supervisor or the head of Department Academic Grievance Procedure In addition to the Ethical Behaviour Policy, the University has adopted an Academic Grievance Procedure For Students ( An academic grievance means any grievance which a student has against a staff member because of a claim that he or she has sustained academic disadvantage, as a result of that staff member s: error; failure to observe an established rule or guideline without reasonable cause; unfair treatment of the student; or providing the student with teaching of a quality which falls below the standard that any reasonable teacher would be expected to provide. December 2014 Page 73

74 The objectives of the Academic Grievance Procedure are to minimise the chances of minor grievances escalating into major problems, to foster procedural consistency across departments, faculties and divisions, and to encourage good practice on the part of both students and staff. December 2014 Page 74

75 C4: Policy Statements The PhD programme and other student affairs are governed by a number of policy statements. These statements will not be reproduced in this Handbook although they should be consulted by those wishing to be sure on points of detail. The relevant policy statements include: Academic grievance procedure for students Admission to the University regulations Alcohol at student functions Computer regulations Computer server policy Discipline regulations Dishonest practice guidelines Electronic directories Eligibility to use the library policy Enrolment regulations Equal educational opportunities policy Ethical behaviour policy Examination regulations Fees regulations Guidelines for the acceptance of external research grants involving undergraduate or postgraduate students Guidelines for responsible practice in research and procedures for dealing with allegations of misconduct in research Intellectual property policy Library regulations Notes on the presentation of theses Oral examination guidelines Policy on ethical practices in research and teaching Policy on credit Presentation of thesis regulations Regulations and notes for postgraduate scholarships and awards Regulations relating to student appeals to the University Council Senate policy on assessment of student performance Under review procedure Use of premises regulations The policies referred to are available on the University's website in the policy database at the following address: Notes: The above list of policies is not an exhaustive list of all policies related to student affairs at the University. Additional policies may be added, and existing policies amended, from time to time. December 2014 Page 75

76 C5: Relevant Committees Board of Graduate Studies The Board of Graduate Studies is a Committee of Senate. It meets once a month and is responsible for the following matters relating to the PhD programme: Consideration of proposed changes to the degree regulations Monitoring PhD registrations, withdrawals and completion times Consideration of matters of policy concerning postgraduate scholarships and awards Graduate Research Committee The Graduate Research Committee meets once a month. It reports to the Board of Graduate Studies and has delegated authority to: Approve applications for admission to the degree Make decisions on the confirmation or termination of candidature Approve changes to registration details Monitor progress reports and recommend appropriate action in cases of unsatisfactory progress Approve the appointment of examiners Determine the result of examinations after considering recommendations made by examiners Graduate Research Student Liaison Committee This committee meets four times a year. The committee has a purely advisory function, discussing current issues relating to research students. The committee reports to the Graduate Research Committee and may make recommendations for changes to any appropriate processes or regulations. Any recommendations or proposed actions will be discussed by the Graduate Research Committee, which will take further action where appropriate. The constitution of the Committee is as follows: Dean, Graduate Research School (Convener) Deputy Vice-Chancellor (Research & Enterprise) One academic member of the Graduate Research Committee Manager, Graduate Research School Scholarships Manager, Graduate Research School Two student representatives from each of the teaching Divisions of the Dunedin campus One student representative from the University of Otago Wellington One student representative from the University of Otago Christchurch One distance student representative Two representatives of Māori students Two representatives of Pacific Islands students Two international student representatives The OUSA Postgraduate Representative The OUPS president The Committee represents thesis Masters and PhD students. December 2014 Page 76

77 SECTION D: OTHER SERVICES AND CONTACTS The University aims to provide as much help as possible to its students in order that they may utilise their time at the University to their fullest potential. There are many different ways to make use of this help; from the academic, to accommodation, career advice, childcare and more. Accommodation The University of Otago offers a variety of accommodation options suitable for postgraduate students. The options include Abbey College, a fully dedicated residential college for postgraduate students, shared accommodation in undergraduate colleges or flatting. International students may also apply for the University Flats which offer independent living with other postgraduate students. The friendly staff at the Student Accommodation Centre can assist you with: Residential College applications Applications for the University Flats Rental accommodation solutions General accommodation enquiries Temporary accommodation options close to the University Campus For further information, contact an Accommodation Adviser or visit our office: Address: University of Otago,109 St David Street, Dunedin Tel: Fax: [email protected] Website: Career Development Centre Attend workshops offered by the Career Development Centre on a variety of topics from networking, cover letters and CVs through to interview tips, building a social media profile and self assessment for career planning. Meet employers on campus as part of graduate recruitment. View job and internship opportunities via our online job board OtagoCareerHub. Speak to an Adviser about your career questions at drop in times or by appointment. For details of all of these options visit us in person or view our website. Tel: [email protected] Website: Chaplaincy Team The Chaplains associated with the University have offices located on the eastern end of the Mezzanine floor in the University Union building. They are available to all members of the University, whatever their beliefs, and will be glad to make time for anyone who wants to talk over something in confidence. (Mike Wright, one of the Chaplaincy team is currently a Doctoral student in Education.) Tel: Rev Greg Hughson (Ecumenical Chaplain) or December 2014 Page 77

78 Mike Wright (Ecumenical Chaplain) Rev Mark Chamberlain (Catholic Chaplain) [email protected] Website: Facebook: Childcare Childcare at the University is provided on Campus by the Otago University Childcare Association at Te Pā, opposite Selwyn College, and Te Kaupapa o Rōpu Tiaki Tamiti, on the College of Education site. These services are available to all tertiary student and staff parents. Early enrolment is advisable. The Association operates a range of Centres for children aged 0-5years including Te Pārekereke o Te Kī which is a bilingual programme promoting Te Reo me ona Tikanga Māori. Full day care is available in all Centres and they are open throughout the year. While the Association is supported by the University this is a user pays service to cover the cost of providing quality early childhood education, fees are charged. The Childcare Subsidy, administered by the Work and Income (WINZ), is available to families who use 3 hours or more per week and meet the income qualifying criteria. The 20hrs ECE Subsidy is also available for all children over 3yrs. For further information contact: The Director Otago University Childcare Association Tel: [email protected] Website: Critic Founded in 1925, Critic is Otago's award winning student publication and is read by over 20,000 students. We are the excitement to your Monday morning lecture, the light to your lab and the lullaby to your bedtime. If you're after Scarfie news, captivating features, opinions, reviews, random ranting, awkward blind dates, or just a freshly carpeted office containing extremely good-looking people, then you're after Critic. Tweet, , post on our Facebook page, or pay us a visit to have a rant about anything. We are here to let students know what is going on with OUSA, the University and out in the big wide world. Whilst this may get us into trouble from time to time it s nothing our hard-working, dedicated and good-looking staff can t handle. If reading Critic doesn t provide you with quite enough scandal, we encourage any brave souls to join the team too. We are constantly looking out for students to contribute to New Zealand s Best Student Publication! Tel: [email protected] Facebook: fb.com/critictearohi Website: December 2014 Page 78

79 Disability Information and Support The staff at Disability Information and Support provide learning support, advice, advocacy and information to students with permanent, recurring or temporary impairments. Staff work in partnership to promote an inclusive environment that empowers individuals with impairments to achieve their full potential. Student Advisors are available to discuss individual requirements and work collaboratively to put together a support plan. The information that a student provides DI&S in relation to their impairment and support requirements will be held in confidence. Support received is not documented on a student s academic record or marked on their qualification. Tel: or [email protected] Website: Information Technology Services (ITS) Technology is an intergral part of university life and the University provides many different services and support for students IT requirements. Many departments provide computing facilities for PhD candidates (please see your department for details) while the University provides a number of services available to all students to support their IT needs. All students can access The Student Desktop via one of the University s 22 computing locations or on your own laptop and/or mobile device by going to The Student Desktop provides the applications you will require to complete you PhD and is available to you to use anywhere, anytime and on any device as long as it has a web browser. The University provides a number of other IT resources to students including , internet access, storage for your files and documents (including unlimited cloud storage as well as on premise storage for sensitive documents), printing facilites and free copies of Microsoft Office for your personal devices. There are a number of ways to access IT support including: ITS Website ( Student IT Advisors available in the Cental Library as well as remotely via on-line chat (see ITS webpage for details) and by phone (03) ITS Service Desk which can be reached via for non-urgent enquiries ([email protected]) or phone ITS Training offers a wide range of computing training courses, covering everything from a basic introduction to computing through to advanced application. A very popular course for PhD candiates is Word-Thesis Writing which provides tips and tricks on how to use Microsoft Word more productivley when writing up your thesis. Further information can be found by visiting the IT training website The most important thing to know is that if you have any IT related question, please do contact ITS via one of the contacts given above. We are always ready to help you. December 2014 Page 79

80 International Office The International Office processes all international student applications and makes offers of admission to the University of Otago. Once you ve received your offer of a place, the International Office is the place to go for information and advice regarding arriving in Dunedin, student visas, insurance, US Financial Aid (Direct Loans) and pastoral care matters. No appointments are required, with a drop-in service offered Monday through to Friday on the Dunedin campus. If you re based in Wellington or Christchurch, international student advisors will visit regularly to assist with pastoral care issues and student visa matters, and can be contacted at all other times by or phone. Tel: Fax: [email protected] [email protected] [email protected] [email protected] Website: Justices of the Peace (JPs) Some University of Otago staff members are available to provide JP services such as providing certified copies of original documents, witnessing signatures and taking declarations, affidavits or affirmations. You will need to make an appointment and details of when they are available can be found here There is also a drop-in JP service during semesters on Wednesday mornings from 9.00 am to 1.00 pm at the University Information Centre in the Information Services Building. In Dunedin there is a JP service available at the Dunedin Public Library in Moray Place on Fridays, am to midday and at Community House, 283 Moray Place on Saturdays, am to midday. Other JPs may be living in your neighbourhood; find out at this website: General JP information: Libraries The University Library offers excellent facilities for postgraduates. Opening times are extensive and cover late nights and weekends. The collection includes comprehensive print and electronic resources with full-text electronic journals and international databases accessible via the library website. Research collections are held in a number of facilities across campus, including the Central Library, Robertson, Law, Health Sciences, and Science Libraries and Hocken Collections. The Hocken Collections is one of New Zealand s foremost research libraries and contains many rare historical publications of national and international significance, as well as manuscripts, pictures and photographs. December 2014 Page 80

81 Subject librarians support postgraduate students with information on starting research, finding resources and producing a thesis. From the library website, you can contact your subject librarian and make an appointment for a personal or group consultation. Tel: All Enquiries: [email protected] Website: Māori Centre Te Huka Mātauraka The Māori Centre encourages Māori students to participate and succeed at tertiary education. It offers support for both academic and social needs from pre-enrolment through to graduation and beyond. The Centre operates from a Kaupapa Māori base to provide services such as: Academic Support tutorials across all disciplines and subjects study skills seminars essay writing and examination preparation departmental seminars and study groups time management departmental seminars/hui and study groups Resources small library examination papers and lecture notes seminar, study and tutorial rooms computer suite office space for post-grad (bookings by appointment only) Liaison scholarship and course advice advice about welfare and finance Iwi networks school visits and campus tours support groups referrals Social and other Support Programmes Ka Rikarika a Tāne (Mentoring for 1 st year Maori students) Counselling and advocacy The Māori Centre is located at 515/519 Castle Street North, Dunedin and is open between 8.30 am to 5.00 pm from Monday to Friday. After hours access can be arranged for personal study or study groups on request. December 2014 Page 81

82 So come on over to a relaxed atmosphere and meet the friendly Kaimahi at the Māori Centre, other tauira Māori and you may even meet whanaunga. For further information please contact the following: Manager Tel: Reception Tel: Kaitakawaeka Māori/Māori Community Liaison Officer Tel: Fax: [email protected] Website: Facebook: Otago University Students Association The Otago University Students Association (OUSA) is a student-run organisation that provides a wide range of services and support to its student members, both undergraduate and postgraduate. Students elected to the OUSA Executive are responsible for running the Association and representing the student body at university, local and national level. Some of the services offered by OUSA include the Recreation Centre (clubs and societies, equipment, courses, free student breakfasts), Student Support Centre (academic and general advocacy, foodbank, queer support and queer resource library, class representative system), Radio One, Critic magazine, cheap airport shuttles and more. If you ever need support or advice on any matter, academic or otherwise, please come and talk to us! OUSA is its members. Tel: Fax: Web: Facebook: Postgraduate Representative [email protected] Student Support [email protected] Pacific Islands Centre The Pacific Islands Centre provides academic and pastoral support for Pacific postgraduate students including: A Pacific Postgraduate Reference Group Academic Support Monthly Seminars An annual Pacific Voices publication of abstracts and Postgraduate Symposium Supplementary tutorials and study skills Information on accommodation Scholarships information December 2014 Page 82

83 Cultural/Pastoral Support Orientation Assistance for NZAID and international students from the Pacific Fellowships Local Church groups information Pacific Islands Community Network Advocacy Career advice And lots more Tel: or extn [email protected] Website: Personal Performance and Development Coaching Brian Johnston is a Personal Performance Coach graduating with Distinction in 2006 from the Coaching Academy, Europe s leading training organisation. The focus of his sessions is to help students gain a study/life balance to ensure their time at University can be fulfilling and successful. Personal Performance and Development Coaching is practical and action based. Coaching enables you to examine your current challenges and find strategies to manage and overcome whatever it is that is holding you back from achieving your goals. The process explores the power of your beliefs, values and how limiting beliefs can hold you back from realising and releasing your potential. Personal performance and development coaching encourages you to think outside the box and consider adopting positive attitudes and behaviours which will assist you to overcome any obstacles and stumbling blocks and lead you towards creating a more satisfying and balanced personal and professional life. For an appointment, please Brian at: [email protected] Tel: Website: Location: Costs: Room GE8, The Centre for Innovation, 87 St David St, next to the St David s Lecture Theatres Each individual coaching session costs $15.00 cash. The coaching service does not have EFTPOS facilities available. Proctor s Office/Campus Watch/Campus Cop The Campus and surrounding suburb require a sense of safety and order. One of the Proctors main roles is to work closely with the Police and local authorities in fostering the unique town-gown relationship that exists at Otago, as it relates to student behaviour. Also working out of the Proctor s Office are the Campus Watch Teams who patrol the Campus and suburbs, giving advice, preventing offending and generally making the area safe for students and staff. The Campus Cop is a fully sworn December 2014 Page 83

84 member of the NZ Police and is also based with the Proctors. They all operate an open door policy and welcome inquiries, questions and requests for information and advice on all matters relating to their area of responsibility (and a few that are not). They can be found in the St David Lecture Theatre Complex. The existence of the Proctor s Office is an indication of Otago s commitment to the welfare and safe passage of its students through their academic careers. Simon Thompson, Proctor Tel: [email protected] Andrew Ferguson, Deputy Proctor Tel: [email protected] Campus Watch Tel: (emergencies) Tel: [email protected] Campus Cop Tel: [email protected] Website: Recreation A wide variety of recreational activities is offered to students and staff at Otago. A comprehensive recreation programme is offered from Unipol Recreation Centre and OUSA Recreation Centre who are in the serious business of helping students and staff have fun. There are courses, trips, group fitness classes, social sport, sports clubs and societies to cater for every need in the leisure area. Unipol Recreation Centre and OUSA Recreation Centre offer drop-in usage of full weights and cardio rooms through to basketball and squash courts where you and your friends can participate in a wide range of campus activities. A range of equipment can be hired for other leisure activities in your own time. Be sure to pick up your copy of the Get A Taste Recreation magazine your complete guide to recreation on campus. Unipol Recreation Centre University Plaza Building One Anzac Avenue Tel: [email protected] Website: December 2014 Page 84

85 OUSA Recreation Centre 84 Albany St Tel: Website: Revenue Management Office The Revenue Management Office (Financial Services Division) administers the invoicing and collection of fees. For general fee enquiries contact: Tel: Fax: [email protected] Websites: The Ministry of Social Development administers the Student Loan Scheme through Study Link. Visit the Study Link website at: Student Emergency Fund The University has a fund to provide assistance to full-time University-enrolled students who need to meet any urgent unforseen expenses. Applications are made via an advocate. Advocates can be University staff members or members of the Student Support Centre. The fund is a means of last resort for genuine emergency situations that have occurred unexpectedly. Applications are subject to certain criteria and are treated on a case-by-case basis. OUSA Student Support Centre 5 Ethel Benjamin Place Tel: [email protected] Website: Student Health Services Student Health is centrally located on campus in a purpose-built facility. We have approximately 50 staff, comprising nurses, general practitioners, counsellors, psychiatrists and administrative staff. We endeavour to provide the best health care possible in a manner that is competent, compassionate, confidential, timely and in an atmosphere of mutual responsibility and respect. We provide daily urgent and routine appointments. If patients need to be seen in our urgent daily clinic they will always be triaged (phone call or face to face) by a nurse before being booked an appointment with a health professional. Consultation fees do apply (details are available on our website) and charges are reduced with a Community Services Card (CSC). December 2014 Page 85

86 The Dunedin Urgent Doctors and Accident Centre is available for after-hours emergencies. Higher consultation fees apply for after-hours services. Emergency Psychiatric Service at the Dunedin Public Hospital provides urgent mental health care 24 hours a day. More information on the services provided and the fees charged are available on the Student Health Services website. Corner of Albany and Walsh Streets Tel: or free phone Website: Student Learning Centre The Student Learning Centre is a free and confidential service to support all students at all levels of study. Included in the Centre s services are: Programme of workshops on a wide range of topics covering aspects of your doctoral research journey. Workshops are designed to be interactive, relaxed and informal. Postgraduate peer support programmes, including writing groups and a conference presentation skills peer support service. A collection of on-line resources and videos on research, writing and study skills. Postgraduate students are also welcome to book individual consultations with Learning Centre staff to receive practical guidance and advice on research, study or writing-related issues. Tel: or (ask for SLC) [email protected] Website: Facebook: University Information Centre The University Information Centre is situated just inside the Cumberland Street entrance of the Information Services Building (which also houses the Central Library). The opening hours of the Centre are 8.30 am to 5.30 pm, Monday to Friday. General enquiries can also be directed to the University of Otago Helpline between 8.30 am until 5.00 pm on: Tel: or [email protected] December 2014 Page 86

87 University Mediator The University Mediator can help if you are encountering difficulties with your supervisor, colleagues or others. Often this is about exploring options or working out strategies to help things go better, all in a confidential environment. Sometimes the option you choose may be mediation where the mediator helps you and the other person talk about the difficulties and find ways to resolve them. Tel: (03) [email protected] Website: University of Otago Language Centre To attend the University of Otago (in a Postgraduate capacity), if English or Māori is not your first language, you will be asked to provide evidence of competence and understanding of written and spoken English. If you have not yet reached this level, you may take pre-sessional courses in English at the University of Otago Language Centre, which offers courses in general English, English for academic purposes and English for Otago. The English-language requirements for most courses at Otago can be met by successful completing English for Otago. For further information, please refer to the University of Otago Language Centre web pages or contact the admissions team at the address below: University of Otago Language Centre PO Box 56 Dunedin 9054 New Zealand Located in the University Plaza Building One (130 Anzac Avenue, Dunedin). Tel: Fax: [email protected] Website: University Union Campus Cafés This includes the Food Court consisting of several outlets in the main University Union Building (open am till 2.00 pm weekdays during semester time), Frankly Sandwiches (open am till 3.00 pm weekdays during semester time); Cafe Albany (open 8.00 am till 9.00 pm weekdays during semester time) in the Link (the atrium between the new Information Services Building and the Union) providing a diverse range of foods and drinks. The Union Grill, adjacent to the Food Court, is open 8.00 am till 3.00 pm semester time only, offering cook to order breakfasts, and an array of burgers as well as espresso coffees. The St David Café is in the St David Lecture Theatre Building and also offers an array of food from 8.00 am to 4.00 pm weekdays all year round. December 2014 Page 87

88 Open weekdays 8.00 am till 4.30 pm during semester time is the always popular Hunter Café, located opposite the Dental School on Great King Street. The Plaza Café is located in the Plaza Building adjacent to the Forsyth Barr Stadium and is open 7 days a week from 8am to 4pm offering a diverse range of food and drink. Events Catering Locations including Union Hall, Main Common Room and ISB Link are catered for by the Events Catering team. These locations are fully licensed and range in size to cater for 30 guests to 2,000 guests in a variety of styles and with an extensive menu selection to suit all customer requirements. An experienced team is available to help organise any event, ranging from student hops and conferences, to weddings and formal dinners. These locations also serve an array of food as well as alcoholic and non-alcoholic beverages weekdays during semester time. Staff Club This historical University building is situated in the middle of campus alongside the Leith River. A great venue upstairs is perfect for private dinners, weddings, lunch or just a catch up coffee. The a la carte restaurant downstairs is open for dining Monday to Friday. Retail Outlets The retail outlets consist of the Campus Shop and Archway Shop based in the ISB Link, and shop@com located in the Commerce Building. Both outlets provide a wide selection of pre-prepared foods and drinks, stationery, apparel, and other merchandise and are open from 8.00 am to 4.00pm weekdays during semester time. You will find the newly built Visitor s Centre in the St David Lecture Theatre Building and this offers a range of University branded apparel and souvenirs. The College Shop is located within the University of Otago College of Education, selling food and drinks and is open semester time only from 8.00 am to 4.00 pm. University Volunteer Centre Join UniCrew Volunteers and share your time, energy and talent to make a positive difference for your community. We are a centralised hub for volunteering on campus that connects students and staff with community organisations and projects that need volunteers. You can access an online database of volunteer roles once you are registered with UniCrew Volunteers. Come and see the volunteer coordinator to get matched with a role or organisation. Facebook: UniCrew Sign-Up + Database: [email protected] Phone: December 2014 Page 88