Doctoral Candidature Appeal Procedures


Application


Doctoral candidates wishing to appeal decisions made by the Board of Graduate Studies (or delegate) pertaining to the extension and suspension of doctoral enrolment and termination of doctoral candidature, except:

  • PhD candidates governed by a PhD Statute other than that which came into effect on 1 October 
  • Named doctorate candidates governed by the 2016 General Regulations for Named Doctorates

Such candidates must consult the applicable Statute or General Regulations.

Purpose


To specify the procedures that apply to the submission, consideration and determination of appeals as to extension and suspension of doctoral enrolment and termination of doctoral candidature. 

Procedures


1.    Subject to clauses 2-5 of this policy, a doctoral candidate may appeal a decision by the Board of Graduate Studies (or delegate) to decline an application for a suspension and/or extension of doctoral enrolment or a decision by the Board of Graduate Studies (or delegate) to terminate doctoral candidature. 

2.    The appeal must be lodged by the candidate, or by a proxy acting on the authority of the candidate, within one month of the date of notification (to the candidate) of the decision as to suspension and/or extension of doctoral enrolment or as to termination of doctoral candidature.

3.    Appeals may be lodged on the following grounds only:

a)   That relevant information, which was not available to the decision-maker at the time of the decision has since become available

and/or

b)   That the decision was the result of a material failure of University process

4.    The appeal must state clearly all grounds relied on by the candidate, and all relevant and supporting documentation must be attached.

5.    Where the Dean of Graduate Studies, as delegate of the Board of Graduate Studies, made the decision as to the suspension and/or extension of enrolment, or as to the termination of candidature, the Dean must appoint a nominee to consider and determine the appeal (unless the person holding the role of Dean of Graduate Studies at the time of the original decision is not the same person holding the role at the time of the appeal).

6.    Where a delegate of the Board of Graduate Studies, other than the Dean of Graduate Studies, made the decision to terminate candidature, the Dean of Graduate Studies, or a nominee (who must not be the delegate who made the original decision) appointed by the Dean for the purposes of these procedures, must consider and determine the appeal as to termination of candidature.

7.    Where the Academic Head, as delegate of the Board of Graduate Studies, made the decision to decline the suspension and/or extension of enrolment, an Associate Dean/Director (Postgraduate Research) will consider and determine the appeal as to the suspension and/or extension of enrolment.

8.    Where a delegate of the Board of Graduate Studies, other than the Academic Head or Dean of Graduate Studies, made the decision to decline the suspension and/or extension of enrolment, the Dean of Graduate Studies, or a nominee (who must not be the delegate who made the original decision) appointed by the Dean for the purposes of these procedures, must consider and determine the appeal as to the suspension and/or extension of enrolment.

9.    The person responsible for the consideration and determination of the appeal under clauses 5-8 (“the arbiter”) may seek further information and/or evidence relating to the candidate’s appeal. This provision in no way mitigates the responsibilities of the candidate under clause 4 above.

10.   Where new information relating to the candidate’s appeal results from the arbiter’s exercise of clause 9, the candidate shall be notified and provided with an opportunity to comment within seven days, and prior to the arbiter determining the appeal under clause 12.

11.   Information already in the possession of, or otherwise available to, the candidate does not constitute new information under clause 10.

12.   The arbiter will determine the appeal and convey the outcome and the reasons for the outcome in writing to the candidate.

13.   The arbiter’s determination of the appeal under clause 12 is the final decision on the appeal.

Definitions


Academic Head refers to the head of the relevant academic unit, or their nominee for the purposes of doctoral matters.

Associate Dean/Director (Postgraduate Research) normally refers to the person holding that role (or equivalent) in the faculty or Large Scale Research Institute (LSRI) in which the candidate is enrolled, or to that person’s nominee in the case of an LSRI or one-department faculty, but the role may also be carried out by the person holding that role in another faculty or LSRI or by a person holding another Associate Dean/Director role within the same faculty or LSRI.

Doctoral candidate refers to a student enrolled in a doctoral degree at the University.

Doctoral candidature commences upon enrolment in the doctoral degree and concludes when the requirements for the degree are met, except where candidature is terminated or expires prior to completion of the degree.

Extensions are periods of time beyond the regulatory maximum enrolment period for the degree.

Suspensions are periods of time during which a candidate’s enrolment is put on hold (suspended) when they are unable to continue with their research programme because of circumstances beyond their control.

University means the University of Auckland and includes all subsidiaries.

Key relevant documents


Document management and control


Content manager: School of Graduate Studies

Owner: Dean of Graduate Studies

Approved by: Board of Graduate Studies

Date approved: October 2020

Review date: October 2023