The FHES Thesis Guide. Doctor of Philosophy AK3518

Transcription

1 The FHES Thesis Guide Doctor of Philosophy AK3518 AUT 2015

2 Contents THESIS PAPER OUTLINE... 3 FLOWCHART FOR THESIS STUDENTS... 5 POSTGRADUATE AND RESEARCH COMMITTEE SUBMISSION PROCEDURES... 6 PRESENTATION OF THESES - OPTIONS... 7 THESIS EXAMINATION CHECKLIST... 8 GRADUATION REQUIREMENTS RESOURCES FOR DOCTORAL STUDENTS APPENDIX 1: RESEARCH SUPERVISION AGREEMENT APPENDIX 2: PGR2 ADMISSION TO A DOCTORAL PROGRAMME APPENDIX 3: PGR8 - PROGRESS REPORT APPENDIX 4: PGR9 CONFIRMATION OF CANDIDATURE APPENDIX 5: PROCESS FOR PGR9 APPROVAL APPENDIX 6: GUIDELINES FOR THE PROOFREADING OF THESES APPENDIX 7: THESIS EXPENSES REIMBURSEMENT CLAIM Disclaimer Although every reasonable effort is made to ensure accuracy, the information in this document is provided as a general guide only for students and is subject to alteration. All students enrolling at AUT University should consult its official document, the AUT University Calendar, which is available online at to ensure that they are aware of, and comply with, all regulations, requirements and policies. 2

3 THESIS PAPER OUTLINE Welcome to the Doctor of Philosophy thesis paper. This is a wonderful opportunity to investigate a question that you are passionate about. You have the chance to work with a supervisor to help you meet the outcomes of this paper. You need to read this Paper Outline in conjunction with the Postgraduate Handbook This outlines the thesis regulations, assessment and submission processes. Flow Chart On page five of this document you will find a flow chart for all the processes you need to complete. Please note all forms are available from the AUT website: You will see in the Postgraduate Handbook that the student / supervisor(s) have an agreement to negotiate. This agreement can be re-negotiated and there are processes within the postgraduate regulations to guide students and supervisors in the thesis research. Ethics You should start to think about the ethics of your research from the outset of your project. If you are using human participants it is likely that you will need to go through an ethical review process. There are a number of different processes and which one you need to go through will depend on the nature of your research. For example, if you are proposing a clinical trial with a vulnerable population you will need to go through a Health Research Council ethics committee. If you are doing an observational, survey-based, or low risk intervention study you will likely apply for review through AUTEC AUT s ethics committee. AUTEC has the general review process through bi-monthly meetings and also an expedited review process for fully anonymised survey-based studies. If you are not sure whether your study requires AUTEC approval, check the exemption criteria on the research ethics website If you do need to seek ethics approval, first go to AUT s ethics knowledge base: The knowledge base is extensive and can guide you through the process. There are also templates for the forms you will require: for example, participant information sheets and consent forms. You do not have to use these templates, but they do include all the required sections for AUTEC approval. Always download and use the current application form For advice on any part of the ethical approval process, for example, establishing which process you should be using for your study, or what level of detail you should include in your application, your AUTEC representative is Associate Professor Valerie Wright-St Clair is happy to help, guide and advise you during the process. Valerie is best contacted by vwright@aut.ac.nz. Charles Grinter is AUT s ethics advisor and he is also very happy to be contacted about any aspect of the ethical approval process. His address is: charles.grinter@aut.ac.nz. It is much more straightforward and less time consuming if you get your application right prior to submission to an ethics committee. While your first supervisor is the applicant for ethics approval, it is likely to be your role to complete the ethical approval process. 3

4 Research Presentations You are expected to attend Faculty of Health and Environmental Sciences research seminars where you can hear staff and your student colleagues present their research. You are all required to present your own research before submission of your thesis for examination, therefore attendance will be helpful for your own research presentation. Notification of these seminars will be advertised in your school. The topic of the presentation will be from the thesis but the focus of the presentation is the choice of the student (in consultation with their supervisor). Contacts Please feel free to contact your school s Postgraduate Head or the Associate Dean Postgraduate with any questions or points of clarification you may have. Contact details are: Postgraduate Heads School of Health Care Practice, Rehabilitation and Occupational Studies David Healee Ext 7642 or david.healee@aut.ac.nz School of Sport and Recreation Michael McGuigan School of Public Health and Psychosocial Studies Heather Came School of Applied Science Allan Blackman Ext 7580 or michael.mcguigan@aut.ac.nz Ext 7799 or heather.came@aut.ac.nz Ext 9642 or allan.blackman@aut.ac.nz Associate Dean Postgraduate Erica Hinckson Ext 7224 or erica.hinckson@aut.ac.nz For administration enquiries please contact: Executive Administrator Postgraduate and Research Office Lisa Herd Ext 7020 or lisa.herd@aut.ac.nz 4

5 FLOWCHART FOR THESIS STUDENTS Procedure Enrol in thesis paper Thesis research proposal Supervisors and topic approval Supervision Agreement Submission of Ethics Proposal (if required) Student progress reports Confirmation of Candidature Presentation and submission of thesis for examination Process Prior to enrolment consult with the Postgraduate Head for your school regarding potential supervisors and your topic. Meet with potential supervisor(s) to discuss possible supervision, topic and available resources / facilities. Where negotiation of supervisor(s) is required, please discuss with Postgraduate Head for your school or Associate Dean Postgraduate. Develop your research proposal with your supervisor and complete Research Proposal form PGR2. Please see submission information on page 6 of this booklet. Following the Postgraduate and Research Committee meeting, the Associate Dean Postgraduate will confirm whether the research proposal and supervisor(s) were approved via ed letter. Student and supervisors complete Supervision Agreement; see Appendix 1. Your supervisor is named as lead applicant on your Ethics Proposal. You work in consultation with your supervisor to complete the ethics application who will confirm if you need to apply to AUTEC or the Auckland Regional Ethics Committee. The AUTEC Ethics Proposal form is found on the AUT website ( Once ethical approval is granted send a copy of your proposal and approval letter to Lisa Herd, Executive Administrator Postgraduate, for filing. Students must provide a Progress Report form PGR8 every six months to the Postgraduate and Research Committee submitted to Lisa Herd, the committee s administrator. The report MUST be signed by the student, supervisors and Head of School. Unsigned and hand written forms will not be accepted. Please see the Head of Postgraduate or Programme Leader to coordinate this process. Students in consultation with their principal supervisor complete the report and send it to Lisa Herd according to the following schedule: PhD/DHSc thesis 1st week of April & 1st week of October each year MPhil and Master s thesis - 1st week of October (and 1st week of April each year for part time students) Masters Practice Project/Practise Research Project - 1st week of October Bachelor (Hons) dissertation 1st week of October. Please see Postgraduate & Research Committee submission processes on page 6 of this booklet. Confirmation of candidature occurs after 6-12 months. All candidates are required to present their PGR9 Research Proposal at one of the school seminars prior to submission to the Postgraduate and Research Committee. Your thesis must be discussed in full with supervisors before submission for examination. Once the thesis is ready for submission for examination a Lodgement of Thesis form PGR12 must be completed and handed in with the three spiral-bound copies of your thesis plus a digital copy. Prior to submission a thesis research presentation must be completed by the student. This is to be discussed with supervisors and Programme Leader or Postgraduate Head of the School and date confirmed with the Postgraduate and Research Office (Lisa Herd). 5

6 POSTGRADUATE AND RESEARCH COMMITTEE SUBMISSION PROCEDURES In an attempt to be more eco friendly the Postgraduate and Research office has revised the procedures for submitting documentation to the Postgraduate and Research Committee. From the 1 st April 2011 all agendas went electronic which means all documents will be submitted in PDF format as follows: PG forms, and review forms are to be submitted electronically in PDF format. The PGR2 is to be sent to the Postgraduate Head/Postgraduate Administrator for coordination. The following documents are required to be submitted to the Postgraduate head: o PGR2 o One review from a Postgraduate & Research Committee member, or delegated person (coordinated by the Postgraduate Head). o o A memo from the student addressing all issues highlighted in the reviews. Indication from the reviewers that the student has sufficiently addressed the issues within the reviews. The postgraduate head then forwards all documents electronically to the Executive Administrator, Postgraduate and Research Office, lisa.herd@aut.ac.nz PG forms are to be signed and electronically submitted to the Executive Administrator, Postgraduate and Research Office, (lisa.herd@aut.ac.nz) and copy in the postgraduate head. All forms must be completely filled in (typed) and signed by all required signatories. This includes the student, supervisors and Head of School. If the form is received without all required signatures, and not completely filled in the form will be sent back for completion and may delay the approval process. The signatures can be obtained either via adobe electronic signature following the directions below or wet ink signatures with the form then scanned, and sent in PDF format. Plain typing the name is not sufficient and will not be accepted. Please note: the signature sheet must contain all required signatures (student, supervisors and Head of School). If we have not received the fully completed signature sheet the item will be removed from the agenda and added to the next month s meeting. All submissions must be received no later than 4pm on the agenda close off day. Anything received after the deadline will automatically be included on the following meeting. No additions to the agenda will be made after the deadline day, only in exceptional circumstances will there be any exceptions and this must be agreed to by the Associate Dean Postgraduate. Meeting and close off dates for 2015: Agenda Closes Sub-committee meeting Main PGRC meeting 7 January 16 January 23 January 2 February 13 February 20 February 2 March 13 March 20 March 30 March 10 April 17 April 27 April 8 May 15 May 1 June 12 June 19 June 29 June 10 July 17 July 3 August 14 August 21 August 31 August 11 September 18 September 5 October 9 October 16 October 2 November 13 November 20 November 30 November 11 December NB- All current versions of the postgraduate forms are located here: 6

7 PRESENTATION OF THESES - OPTIONS The format of your thesis needs to be prepared in conjunction with the Postgraduate Handbook section Formatting and Presentation. Remember to discuss your presentation pathway with your supervisors during your supervision agreement meeting. The thesis must have a clear statement of the thesis objective/research questions, outline the theoretical overview that provides the framework for the thesis as a cohesive linked package and show clear evidence of the candidate s original contribution. All work should follow the structure outlined on pages 115 to 119 of the AUT Postgraduate Handbook. Three presentation options are as follows: PATHWAY ONE Thesis is presented in the traditional thesis structure The thesis is wholly written. It includes chapters related to introduction, literature review, methodology/methods, data analysis, and conclusions. It fits within the requirement of 60,000 to 80,000 words, with a maximum of 100,000 words (excluding bibliographies) for a PhD thesis. PATHWAY TWO This pathway may include distinct studies/publications which must be adapted in chapter format. The purpose of this pathway is to encourage students to publish papers in peer reviewed journals during their research. It is expected that the thesis will include chapters adapted from at least three papers which are accepted or published in peer-reviewed journals by the time of thesis submission. Otherwise students are advised to submit under Pathway One. The published papers need to be presented and formatted in a way that the thesis reads as a cohesive whole. It is not acceptable to insert a copy of a published journal article as a discrete chapter in the thesis; all chapters should follow the standard formatting and presentation. Word limits are the same as for Pathway One. PATHWAY THREE The thesis, when formulated in the nature of a practice project, will be presented as a project report and shall include: A full explanatory introduction A substantial review of the literature Detailed description of method and data Discussion of relevant theoretical, historical and critical context A discussion that overviews the thesis project The method of presentation of the remainder of the thesis may be written and / or may include such artefacts as visual material, video, and examples of resources. For example, if a client education video has been produced as the major focus of the practice project, then the video itself would form a major component of the presentation. If the practice project involved a series of changes over time, a visual record of the impact of those changes could form an important part of the presentation. Another example of a practice project could involve the development of an innovative piece of equipment to assist clients. That piece of equipment would become an artefact within the presentation. The mode of presentation to the examiners will be at the discretion of the supervisors, and the Programme Leader. Where there are no cost constraints, the student may choose to present a visual / verbal presentation to the examination panel. The student is required to offer a record of such a presentation to the examiners. The length of a project report (including literature review) requires 30,000 words for a doctoral exegesis and is generally expected to be between 40,000 and 50,000 words. 7

8 THESIS EXAMINATION CHECKLIST The following checklist is a summary only. A full description of guidelines and processes can be found in the AUT University Postgraduate Handbook. You can read this handbook online, and download any of the postgraduate forms you need, by going to the AUT website > Being a student > Current postgraduates > Academic information > Postgraduate Forms. Nomination of examiners Talk to your supervisor(s) (ideally three months) before you are due to submit so that the appointment of examiners can be arranged. Your supervisor will do this. Formatting your thesis Make sure you know the correct formatting requirements. Detailed requirements for the format of theses can be found on pages of the AUT University Postgraduate Handbook. Proofreading We cannot emphasise enough the importance of proofreading your final draft. Do not let your examination result be negatively impacted by grammatical errors, spelling mistakes and referencing inconsistencies. Drafts of theses for proofreading must be given to the proofreader in hard copy form only, to avoid the wholesale acceptance of suggested corrections on electronic documents without due consideration by the student. The student must include, in the acknowledgements section of the thesis submitted for examination, a statement which indicates the name of the proofreader and the nature of the services rendered by that person. Refer to Appendix 6 for further information on where to find the guidelines on what is permitted under proofreading plus some proofreaders to contact. Attestation of authorship Don t forget to sign and include your Attestation of Authorship after the table of contents in each of your examination copies. The wording should read as follows: I hereby declare that this submission is my own work and that, to the best of my knowledge and belief, it contains no material previously published or written by another person (except where explicitly defined in the acknowledgements), nor material which to a substantial extent has been submitted for the award of any other degree or diploma of a university or other institution of higher learning. Signed Date Co-authored works (Pathway 2) If your thesis follows the Pathway 2 structure, ie contains jointly authored research papers, case studies and/or any other work published or accepted for publication, you must be the principal author and a declaration is required to state the extent to which the jointly authored material is your own work. This declaration should include the signatures and percentage contributions of all co-authors and a qualitative statement of all contributions. This page should be bound into your thesis after the table of contents. Don t leave it until the last minute; it can sometimes take time to gather all the necessary signatures from your co-authors. 8

9 PGR12 Lodgement of Thesis for Examination When you are ready to submit, download a PGR12 Form, sign it and then get each of your supervisors to sign it. This form should accompany your submission not be bound into it. You are not required to get the Associate Dean s signature we will do that. How many copies are required for the examination? We require 3 spiral bound copies. Doctoral submissions require a digital copy a PDF or Word version to hdymond@aut.ac.nz Financial support for printing your thesis The Faculty of Health and Environmental Sciences is able to reimburse some postgraduate research expenses which may include the printing of your thesis for examination and/or your final hard bound library copy. See Appendix 7 for guidelines. Do you need an embargo? Where your research may have commercial sensitivity, or where you believe your interests, or those of your research subjects, would be at risk if your thesis were publicly available, you may apply for an embargo of public availability. Download a PGR16 Application for Restricted Access, get it signed by your supervisors and submit it with your thesis. We will get the Dean s signature. Where to submit your thesis for examination Bring the three spiral bound copies of your thesis plus your signed PGR12 to Hannah Dymond in Room AG106 on the Akoranga Campus ( hdymond@aut.ac.nz and phone number ext 7624). What if your thesis is going to be late? If you are going to be a few days late, please advise me (hdymond@aut.ac.nz or ext 7624). If you are going to require an extension you will need to download a PGR6 Variation of Record Form and submit this before your deadline. An extension may incur additional fees. How long will the examination take? Examiners are asked to provide their reports within 8 weeks for doctoral examinations. Be aware that examiners are not always able to complete their reports according to this timeframe - it is a guideline only. The University Postgraduate Centre maintains contact with the examiners to monitor progress. You can enquire about the progress of your examination, however you won t be given any information about the recommendations of the examiners until the examination process is complete. You must not attempt to communicate in any way with the examiners once your thesis has been lodged. In order to graduate at one of the University's graduation ceremonies, the examination process and consideration of recommendations by the faculty postgraduate committee and/or the University Postgraduate Board must be completed at least six weeks before the ceremony. For detailed information on how your doctoral thesis will be examined, refer to the AUT Postgraduate Handbook. Examination results Doctoral students will be contacted by the University Postgraduate Centre regarding the outcome of their thesis examination and the scheduling of their oral examinations. 9

10 GRADUATION REQUIREMENTS The following list is a summary only. A full description of guidelines and processes can be found in the AUT University Postgraduate Handbook. You can read this handbook online, and download any of the postgraduate forms you need, by going to the AUT website > Being a student > Current postgraduates > Academic information > Postgraduate Forms. Hardbound copy Once approval has been given for your degree to be awarded, you will need to submit one hardbound copy of your amended thesis to the Faculty Office (Hannah Dymond, Room AG106 on the Akoranga Campus, hdymond@aut.ac.nz, phone ext 7624). For information on the format and layout of the final hard bound copy refer to pages of the AUT Postgraduate Handbook. Don t forget you still need a signed Attestation of Authorship bound into the final copy, plus a completed and signed PGR15 Form bound in to the front. Digital deposit on the Scholarly Commons You are required to deposit a digital copy of your thesis on the AUT Library Scholarly Commons ( Embargoed theses You may have had an embargo approved at the time of examination, however your thesis will still need to be deposited in the library and will be held in Archive until the embargo expires. The embargo form should be inserted in the front of the bound copy or (preferably) bound in. 10

11 RESOURCES FOR DOCTORAL STUDENTS Scholarships There are scholarships available to help you with research costs: I. Maurice and Phyllis Paykel Trust Scholarship in Health Science a. Closing date: 07 Feb 2015 b. Purpose: The purpose of this scholarship is to assist postgraduate students, who are at a suitable stage in the development of their career, to undertake health research at the Faculty of Health and Environmental Sciences. II. Postgraduate Fee Scholarship (Heath and Environmental Sciences) a. Closing date: 07 Feb 2015 b. Purpose: To provide a merit-based scholarship towards payment of postgraduate fees for an approved programme of study in the Faculty of Health and Environmental Sciences III. School reimbursement for research costs, see Appendix 7 for how to make a claim. (This reimbursement does not include editing, photocopying, printing and binding costs related to the presentation of your thesis.) Scholarship information can be found online at: Postgraduate Learning Centre The Faculty of Health and Environmental Sciences Postgraduate Learning Centre is located in the Akoranga Library. There are computers, a printer, study desks and kitchen facilities available during library opening hours. Access to this room will be by a swipe card. Collect the form to apply for a swipe card from the Programme Administration Office, Room AG107, Akoranga Campus. The faculty s Security Services issues the swipe card to students on receipt of this form. Access outside library hours will be available to students with a swipe card. Library Interloan Policy There are limits on the number of library interloans that incur a cost that students can access. Thesis students can access 25 interloans per year. After this specific total is reached, the cost will be carried by the student. Should you have any queries about the library interloan service please contact the Akoranga Campus library. Access All students may access . The student addresses take the format of loginname@aut.ac.nz i.e. paufal77@aut.ac.nz To put money into your account, contact the Student s Association (AuSM). The AuSM office is located above the cafeteria (HS block). Fax Any urgent fax you wish to send please contact the Postgraduate and Research Office (AG135). You will be invoiced for any faxes sent. Statistical consulting services Careful study design and data collection are the proper bases for statistical analysis. The biostatisticians in the Faculty Postgraduate Research Office provide assistance to faculty staff and postgraduate students relating to aspects of study design, data collection, analysis, and interpretation of data. The biostatisticians keep abreast of new developments in statistical practice and have extensive experience 11

12 in the application of statistical methods in the health and other sciences. They can develop novel methods for unusual problems when necessary. As correct and appropriate design and statistical methods are essential elements in most research projects, support is available from our bio-statistical staff listed below. The Biostatistics Unit team is comprised of five academic biostatisticians and the faculty's research development manager. It is an expectation that your supervisor will attend at least the first consultation with you. Biostatisticians: Research Development Manager: Alain C. Vandal 7726 Sara Metcalf 7665 Nick Garrett 7773 Steve Taylor 7798 Priya Parmar 6942 Mark Wheldon 7954 More details can be found on the Biostatistics webpage. Postgraduate Seminar Series Programme A range of centralised postgraduate workshops which are coordinated by the University Postgraduate Centre are provided for master and doctoral students undertaking research projects, dissertations or theses. These workshops are an opportunity to improve your research skills and include seminars such as: Managing Long Documents, Using EndNote, Launching the thesis, Preparing for and Writing your Literature Review and many more. Also included in the programme are social get-togethers and a yearly Postgraduate Symposium. To Register To book in for any of these workshops, you will need to register with the online registration system - CareerHub. You will receive updates and notification of upcoming workshops and events happening throughout the year. Go to the Postgraduate website link provided to register. For more information about these workshops contact Annette Tiaiti by ing her at: annette.tiaiti@aut.ac.nz Software Available for AUT Student Use At Home There are software products that AUT has a site licence for that allows students to install this software at home. The following is available for students under our current licence agreements: Endnote and NOD32 (Anti-virus software) There are two ways of obtaining Endnote and NOD32 software. The first is to go to and when prompted use your AUT internet login name and password. If you do not have an internet connection at home you can access a copy of the software on a blank CD from the student computer lab. Contact Student Helpdesk ext. 9931, they will be able to advise you on how to put a copy of the Endnote and NOD32 software on your CD. There is no charge for this service. NOTE: Before installing NOD32, please ensure that you do not have other Anti-Virus software running on your PC. Having more than one Anti-Virus product on your PC may cause it to become unstable. 12

13 APPENDIX 1: RESEARCH SUPERVISION AGREEMENT See AUT Postgraduate Handbook 2015 Name(s) Supervisor(s):... Name(s) Supervisor(s):... Date:... Supervisor/Student Understandings What is a Thesis/Dissertation? Issues to discuss might include: what do thesis and dissertation mean? what form should a thesis/dissertation proposal have in this discipline? what is the appropriate structure of the written part of a thesis/dissertation for this topic? what paradigm/model of research will be used? what is the appropriate length? what referencing conventions should I follow? some titles of good thesis/dissertation examples in this field what is meant by originality or advanced knowledge or new knowledge or new theory? who owns papers arising during and after thesis/dissertation supervision? in what publications could parts of the thesis/dissertation be published as papers? what conferences could be attended to present parts of the thesis/dissertation or the completed thesis/dissertation? Meetings Issues to discuss might include: frequency and duration of meetings access to supervisor outside scheduled meeting times who has responsibility to initiate meetings (if not scheduled regularly)? protocol for when one person can t make the meeting should meeting decisions be noted? By whom? Advice and Support Issues to discuss might include: development of the research proposals (initial proposal, ethics proposal): how much input from supervisor, how will this proceed? expectations of feedback: how much, how often, in what form, with how much notice? support with theoretical content, e.g. resources, contacts: how much can be expected, given the supervisor s knowledge of the area? what other kinds of knowledge are needed, e.g. of the research process, of academic writing, of the literature, of data storage and retrieval, of statistical treatment etc.? what resources does the supervisor know of; how much help can she/he give? are there sources of funding for this research? If so, how can they be accessed? are there relevant personal circumstances that might make the supervision or completion of the Thesis/Dissertation difficult, e.g. candidate suffering financial hardship or experiencing relationship difficulties or supervisor going on sabbatical, expecting a baby or...? 13

14 Time Frame Issues to discuss might include: how long should the different stages take to complete? what would be a realistic completion date in view of our separate commitments and AUT policy? Faculty Expectations & Resources Written information what documents are relevant for postgraduate candidates? What web URLs are useful? What access does the candidate have to a study place, pigeon-hole, locker, etc? tea/coffee facilities? paid work, e.g. tutoring? computer, data storage, , internet access, interloans? funding/research grants/scholarships? If available how do I apply? When are the deadlines? Who can I contact for more information? support services, e.g. technical, secretarial, library? What expectations does the faculty have of the candidate? seminar presentation of thesis/dissertation in progress? small group meetings to discuss progress? what else? Monitoring supervision, resolving conflict What are the faculty procedures for monitoring the supervision in the event that one of us is not happy with its progress? For replacement of supervisor? For establishing a time commitment by the candidate (e.g. hours per week, weeks per year, etc). Other faculty issues? AUT Requirements AUT guidelines/regulations what documents are available on postgraduate supervision? What web URLs are useful? Clarification of thesis/dissertation assessment how is the assessment of the thesis/dissertation or dissertation conducted? who will be the external assessor? When is this decided? Can I have a say? what is the difference between a thesis/dissertation that passes and one that is awarded with honours? How does the thesis/dissertation grade contribute to the overall pass/honours for the qualification? Extensions and deferment what are the protocols for extensions and deferment? in the event that I need an extension over the summer, or beyond, what will the position be regarding supervision? Will there be an extra cost? AUT Protocols what AUT-wide channels are available in the event that one of us is not happy with the progress of the supervision and the faculty cannot or is inappropriate to resolve this? 14

15 Ethics what ethical issues need to be considered in the research project? do I need to apply for consent from the AUT Ethics Committee? how do I apply for ethical approval? Deadlines? Intellectual Property who owns the intellectual property that I produce? are there any documents outlining my rights & responsibilities with respect to the University and any third parties? has the commercial potential of the research been discussed? See page 101, AUT Postgraduate Handbook - Intellectual Property Rights. Other AUT-wide issues? 15

16 Supervision meeting record Student: Discussion: Page number: Date: On-going plans: Student On-going plans: Supervisor Date of next meeting: 16

17 APPENDIX 2: PGR2 ADMISSION TO A DOCTORAL PROGRAMME NB- All current versions of the postgraduate forms are located here: FORM PGR2 ADMISSION TO A DOCTORAL PROGRAMME (FORMER D1/D2) PLEASE NO This form must be typed. Handwritten forms will not be accepted. Double clicking on the check boxes enables you to change them from not-checked to checked. Applicants to the PhD complete Section 1 Applicants to the Doctor of Education or Doctor of Health Science complete Section 2 Student ID No Faculty Name School/Dept Ethnicity Residency Citizen/PR International Programme Proposed Start Date Expected Completion Date Working Title Please indicate where you will be based during your studies: (This does not include trips for data collection) City: Study History Country: Have you ever been enrolled as a doctoral student prior to this application? Yes No Topic Institution Period of Candidature Reason for non-conferment (if applicable): Department Was the degree conferred? Yes No Please indicate your employment commitments (if applicable) Please indicate your employment commitments during your proposed candidature. Name of Position Title Employer Full-time Parttime 17

18 Scholarships Do you hold any scholarships/awards/sponsorship by an external organisation? Yes No Are fees included in the scholarship? Yes No Give the name(s) of scholarships/awards/sponsors Language Do you wish to present your research in a language other than English? Yes No If yes, state which language ADDITIONAL INFORMATION Expected Completion: doctoral students are normally expected to complete within 3 years; applications for extensions will be considered at the end of this period External parties: when working with external parties, contractual arrangements should be in place to clarify your rights and responsibilities. The University Research Office is responsible for such contracts and is available to assist and answer questions. Conflicts of Interest: Please refer to the current version of the Postgraduate Handbook. This section establishes a set of questions to help identify any potential conflicts. If a conflict is identified, the supervisory agreement should outline how this will be managed. Confidential Material: If the subject matter of the research is confidential and may require an embargo once completed this should normally be identified when the PGR09, full research proposal, is completed. Please refer to the current version of the Postgraduate Handbook. Your primary supervisor must supply a justification for confidentiality to the University Postgraduate Board. Intellectual Property: Please refer to the current version of the Postgraduate Handbook. If you or your supervisor have reason to believe that Intellectual Property implications will arise out of independent research, your primary supervisor is responsible for discussing this with you and liaising with the University s commercialisation arm AUT Enterprises Ltd. Confirmation of Candidature: Candidates are normally expected to submit their PGR9 (Full research proposal) within 12 months from the date of first enrolment. Ethics Approval: with the exception of pilot studies, ethics approval is not required until the PGR9 stage. please seek advice from the Ethics Secretariat (AUTEC)if you have any queries on ethics requirements. Postgraduate Handbook: the postgraduate handbook is the overarching guide to postgraduate academic policies and procedures. APPROVALS (OFFICE USE ONLY) SUPERVISOR SUPPORT STATEMENTS Please comment on the scope and feasibility of this project as a PhD? Please comment on the candidate s ability to complete a PhD within the normal timeframes? (3 years) 18

19 Please identify the potential resources and budget implications for this project. SUPERVISOR DECLARATION As supervisors, we are committed to ensure that adequate and appropriate supervision will be provided according to University policy and any/all issues relating to conflict of interest with respect to the candidate and/or the project will be declared and managed appropriately. Primary Supervisor Supervised PhD to Completion Yes No Signature Date Second Supervisor Supervised PhD to Completion Yes No Signature Date Additional Supervisor / Mentor Supervised PhD to Completion Yes No Signature Date Role of Additional Supervisor ENTRY CRITERIA Admitting Qualification Institution Country Length (years) Year Granted NARIC Honours (equivalent) Research Component Yes No Other Qualifications Additional Info/Consideration Research Methods Yes No Points/ Total Points/ Total English Language Is English the applicant s first language Yes No Evidence of English Language IELTS TOEFL Previous PG Study in English Other (supply Evidence/Justification) RESOURCE SIGN OFF HOD/HOS (name) Confirm Resources Available for this project Yes No Signature Date 19

20 FACULTY APPROVAL Recommendation That this applicant be admitted to the above AUT Doctoral Programme Condition(s) Associate Dean (Signature) Faculty PGC Approval Date UNIVERSITY POSTGRADUATE BOARD APPROVAL Approval Name Signature I approve admission to the above AUT doctoral programme with any conditions as listed above Title UPB Approval Date SECTION 1 Doctor of Philosophy (PhD) RESEARCH PROPOSAL Please write a short, maximum 2 pages, provisional proposal using the following headings as a guide. Your proposal should be in 12-point font, single spaced and written in lay English for a general audience under the headings as indicated. You may delete the italic text under each header (including these instructions). Topic/Research Question: Research Benefits/Significance: Provide a brief outline (2-3 sentences) of the benefits/effects your research may produce for whom, why and in what way? Design/Plan of the Study: Provide a brief outline of the potential methodology and methods/research technique(s) to be employed in the study. Timeline (normally 3 years): 20

21 RESEARCH PUBLICATIONS Provide details of any original research and/or publications for publication/abstracts you have authored/co-authored and indicate the percentage of your contribution, eg sole (100%), joint (50%), multi-authorship (20%); the nature and standing of the journal/conference; whether in press (accepted for publication) or published. ADDITIONAL INFORMATION State details (if any) and attach evidence (if any) of any additional information which may support your application. DECLARATION BY APPLICANT I declare that the information provided by me in this application is true and complete. I recognise that it is my responsibility to provide all necessary documentation to support my application and I authorise Auckland University of Technology, where necessary, to obtain further relevant documentation and to verify my qualifications as detailed in this application. I acknowledge that AUT reserves the right to vary or reverse any decision regarding admission to candidature on the basis of this application. I agree that I will endeavour to complete this programme within 3 years. I have read and understand the conditions of candidature outlined in the current Postgraduate Handbook and am prepared to accept them in full. I have read and understand the supervisors support statements as attached to this application. Applicant s signature: Date: SECTION 2 Doctor of Education(EdD) / Doctor of Health Science (DHSc) RESEARCH CONCEPT Include an outline of the area of research that will be the focus of your doctoral programme and a summary of the salient literature which will provide the context for your research. The word limit is 2000 words. Area of Research: Significance of Proposed Topic: RESEARCH PUBLICATIONS 21

22 Provide details of any original research and/or publications for publication/abstracts you have authored/co-authored and indicate the percentage of your contribution, eg sole (100%), joint (50%), multi-authorship (20%); the nature and standing of the journal/conference; whether in press (accepted for publication) or published. ADDITIONAL INFORMATION State details (if any) and attach evidence (if any) of any additional information which may support your application. DECLARATION BY APPLICANT I declare that the information provided by me in this application is true and complete. I recognise that it is my responsibility to provide all necessary documentation to support my application and I authorise Auckland University of Technology, where necessary, to obtain further relevant documentation and to verify my qualifications as detailed in this application. I acknowledge that AUT reserves the right to vary or reverse any decision regarding admission to candidature on the basis of this application. I agree that I will endeavour to complete this programme within 2 years (FTE) after completing the coursework component. I have read and understand the conditions of candidature outlined in the current Postgraduate Handbook and am prepared to accept them in full. I have read and understand the supervisors support statements as attached to this application. Applicant s signature: Date: 22

23 APPENDIX 3: PGR8 - PROGRESS REPORT NB- All current versions of the postgraduate forms are located here: FORM PGR8 PROGRESS REPORT PLEASE NOTE This form must be typed. Handwritten forms will not be accepted. Double clicking on the check boxes enables you to change them from not-checked to checked. A written report is required from each student and their primary supervisor on a six monthly basis. Forms are returned to the primary supervisor who discusses progress with the candidate and forwards the report to the Faculty Postgraduate Committee Referencing: when citing references please specify the referencing style you will use (e.g. APA). This specified style should be used throughout. Doctoral Students: Submission of the PGR9 (full research proposal) replaces the requirement for a progress report. Student ID No Faculty Name School/Dept Programme Primary Supervisor Commencement Date Has a Supervision Agreement been completed? Supervisory agreements are compulsory Secondary Supervisor Expected Completion Date Yes No Thesis Dissertation Points Value Pathway 1 Pathway 2 Pathway 3 PLEASE PROVIDE A 2-3 PAGE REPORT USING THE FOLLOWING HEADINGS Working Title Outline of progress to date Specifically address the past six months and any key issues raised in the previous progress report Research Methods outline any changes/issues to/with methodology Outline any actual or proposed major alterations to the original proposal Include ethical approval or re-approval requirements Identify any problems or difficulties encountered 23

24 Proposed timetable for the next six months Please provide a timetable for activity to be undertaken over the next six months. Indicate whether an extension of time might be required (if yes please complete a PGR6, variation of record) Extension required Yes No Any other comments or recommendations SUPERVISOR S REPORT Issues raised in previous progress report Issues that need to be addressed in the next six months Additional comments I confirm that the student is making satisfactory progress Yes No I confirm that the student should remain in the programme Yes No STUDENT S RESPONSE I confirm that my primary supervisor has discussed the comments on my progress with me Yes No SCHOOL AND FACULTY APPROVALS Primary Supervisor Signature Date Secondary Supervisor Signature Date Additional Supervisor Signature Date Student Assoc Dean Signature Signature Date Faculty Approval Date 24

25 APPENDIX 4: PGR9 CONFIRMATION OF CANDIDATURE NB- All current versions of the postgraduate forms are located here: FORM PGR 9 CONFIRMATION OF CANDIDATURE RESEARCH PROPOSAL (FORMER D9) PLEASE NOTE This form must be typed. Handwritten forms will not be accepted. Double clicking on the check boxes enables you to change them from not-checked to checked. Student ID No Faculty Commencement Date Has a Supervision Agreement been completed? Supervision agreements are compulsory Name School/Dept Expected Completion Date Yes No Is an Ethics Application required? Yes No This thesis will be presented using the following pathway: Working Title 1 Standard thesis 2 Including published papers 3 Creative works CONFIDENTIAL MATERIAL Does your research require an embargo? Yes No If you require an embargo, please complete a PGR16 and attach a memo with justification from your primary supervisor. LANGUAGE Do you wish to present your research in a language other than English? Yes No If yes, state which language SUPERVISORS Primary Supervisor s Endorsement Comments This proposal has been discussed with me and I recommend that this candidate be confirmed Name Signature Date Secondary Supervisor s Endorsement Comments This proposal has been discussed with me and I recommend that this candidate be confirmed Name Signature Date Additional Supervisor s Endorsement Comments This proposal has been discussed with me and I recommend that this candidate be confirmed Name Signature Date Yes Yes Yes No No No 25

26 FACULTY APPROVALS AND RESOURCE AVAILABILITY HOD/HOS/DeptChair (name) Confirm Resources Available for this project Yes No Signature Date Assoc Dean Faculty PGC Approval Date ADDITIONAL INFORMATION Postgraduate Handbook: the postgraduate handbook is the overarching guide to postgraduate academic policies and procedures. Referencing: when citing references please specify the referencing style you will use (e.g. APA). This specified style should be used throughout the entire proposal. External parties: when working with external parties, contractual arrangements should be in place to clarify your rights and responsibilities. The University Research Office is responsible for such contracts and is available to assist and answer questions. Conflicts of Interest: Please refer to the current version of the Postgraduate Handbook. This section establishes a set of questions to help identify any potential conflicts. If a conflict is identified, the supervisory agreement should outline how this will be managed. Confidential Material: If the subject matter of the research is confidential and may require an embargo once completed this should normally be identified when the D9 is completed. Please refer to the current version of the Postgraduate Handbook for further information and the procedure. Your primary supervisor must supply a justification for confidentiality to the University Postgraduate Board. Intellectual Property: Please refer to the current version of the Postgraduate Handbook. If you or your supervisor have reason to believe that Intellectual Property implications will arise out of independent research, your primary supervisor is responsible for discussing this with you and liaising with the University s commercialization arm AUT Enterprises Ltd. Ethics Approval: please seek advice from the Ethics Secretariat (AUTEC)if you have any queries on ethics requirements. PROPOSAL SUMMARY Provide a summary of the proposal, up to 300 words in length, using non-technical language that is understandable by non-experts. RESEARCH PROPOSAL Please write a substantive research proposal with a 10,000 word maximum (excluding Appendices), using the following headings as a guide. You are able to type over the text under each header. If any of these are not applicable to your proposal, briefly justify. Rationale and Significance of the Study The key reasons for undertaking the research, with a focus on why the study is worth undertaking. Literature/Past Research Review 26

27 A critical review of the literature which provides the context in which the research is undertaken. This should include a brief account of how the proposed project relates to existing knowledge and literature within the appropriate field. Design of the Study An outline of the research design. References A list of sources referred to in the proposal. Ethical Approval If ethics approval is required, please attach a copy of the letter(s) of approval. If not yet granted, this must be indicated, along with details of which committee(s) will be approached. A copy of approval letter(s) must be submitted to the Postgraduate Office within 6 months of the confirmation of candidature. Resources and Budget Identify any additional resources you will need over and above those provided by AUT. Provide a planned budget for your research and how this will be funded. Location Indicate where the research will be conducted, and if not at AUT, provide a brief justification and indicate how communication and resource issues will be addressed. Progress and Activity to Date Specifically address the past 6 months and any issues raised in the previous Progress Report. Timetable for Completion Provide an outline of the major activities required to complete your research and write up your thesis (including activities partially completed). Indicate the dates by which you expect to complete each activity. Publications and Presentations List any research outputs directly relating to the candidate s research to date. e.g. papers, presentations and publications. DECLARATION BY APPLICANT I declare that the information provided by me in this application is true and complete. I have read and understand the conditions of candidature outlined in the current Postgraduate Handbook and am prepared to accept them in full. This proposal has been discussed between my supervisors and myself and I therefore submit it for confirmation of my candidature. Applicant s signature: Date: 27

28 APPENDIX 5: PROCESS FOR PGR9 APPROVAL 28

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