General Regulations for Named Doctorates

These Regulations apply to all doctoral degrees except the Doctor of Philosophy and Higher Doctorates, and should be read in conjunction with the regulations for those degrees.

The ‘Department’ is the Department or School or other academic unit in which the candidate is registered, and the ‘Head of Department’ is the head of that academic unit.

Admission

1 Every candidate for a named-doctoral degree must have applied for admission and been admitted to the University of Auckland.

Registration

2 a Every candidate for a named-doctoral degree must be registered by the Board of Graduate Studies.

b Registration is provisional for all candidates for the first 12 months of equivalent full-time study following the Date of Registration as defined in Regulation 2.

c Application for registration must be made to the Head of Department, Division, School, Chair of a Board of Studies or Director of the Research Centre or Institute (“the Head of Department”) in the discipline in which the candidate is to be registered and must include, where appropriate to the composition of the doctoral degree, a preliminary research proposal.

d The Head of Department will make a recommendation to the Faculty Associate Dean (Postgraduate) as to whether the candidate:

(i) meets the eligibility criteria and has the ability to follow the proposed programme of study

and

(ii) has submitted a satisfactory preliminary research proposal as stipulated by the Head of Department.

e Where the Head of Department is satisfied, this recommendation must include:

(i) the proposed date of registration

(ii) nominations for supervisors

(iii confirmation that the School/Department accepts responsibility for making satisfactory supervision arrangements and providing research resources and facilities over the whole enrolment for the degree

(iv) an appropriate set of goals for the provisional period of registration agreed to by both the candidate and nominated main supervisor; these must include, but are not limited to, those goals prescribed in the regulations for the relevant named doctorate and any standard goals required by the Board of Graduate Studies such as attendance at induction events, English language screening, and the satisfaction of academic integrity and health and safety requirements.

f Where an intending candidate is not resident in Auckland, the Head of Department must also provide the Associate Dean (Postgraduate) and the Board of Graduate Studies with evidence that the candidate will be provided with research resources and supervisory support at the location in which the research is to be carried out.

g On receipt of the recommendation of the Head of Department, the Faculty Associate Dean (Postgraduate) will make a recommendation to the Board of Graduate Studies as to the matters set out in Regulation 2d.

h On receipt of the recommendation of the Faculty Associate Dean (Postgraduate), the Board of Graduate Studies will decide whether or not to register the candidate and, if so, the conditions that will apply to the registration. The Board of Graduate Studies may call for any further information it considers relevant before making its decision.

i Registration takes effect on the date (the “Date of Registration”) approved by the Board of Graduate Studies. Where a candidate has already started supervised research on the doctoral topic, the Date of Registration may, subject to approval by the Board of Graduate Studies, be backdated by not more than six months.

j The Board of Graduate Studies will appoint the supervisors for each candidate. The supervisors must be actively involved in research in the candidate’s general field, and must either hold a doctoral degree or be appropriately qualified and experienced. Persons who are themselves candidates for the same named doctorate may not be appointed as supervisors, although they may be appointed as advisers.

k For each candidate the Board of Graduate Studies will appoint a suitably qualified main supervisor who takes overall responsibility for the supervision of the candidate and for assistance in the provision of research resources. The main supervisor must be a staff member of the University of Auckland.

l In addition, the Board of Graduate Studies will appoint for each candidate:

(i) at least one suitably qualified co-supervisor

and/or

ii) an advisory committee or adviser/s.

m Candidates wishing to present and defend a thesis in Te Reo Māori must, before applying to the Head of Department to be registered, obtain the permission of the Pro Vice-Chancellor (Māori). When such permission is granted, the Pro Vice-Chancellor (Māori) will make a recommendation in writing to the Board of Graduate Studies as to:

(i) whether the candidate has adequate fluency and literacy in Te Reo Māori in the subject area of the thesis

and

(ii) the likelihood of being able to find appropriately qualified examiners for the thesis.

Reviews of Registration

3 a During provisional registration, a candidate must achieve the goals prescribed by the Board of Graduate Studies and satisfy any other applicable programme requirements specified in the regulations for the relevant named doctorate.

b Where a thesis proposal is required as a provisional goal, it should be submitted for approval to the appropriate committee or subcommittee of the Department, Institute and/or Faculty in which the candidate is registered. The committee may accept the proposal, or indicate changes needed to the candidate and supervisor(s) and request a resubmission, or it may decline the proposal. It will inform the Head of Department of its decision.

c At the end of the provisional registration period, the candidate, the supervisor/s and the Head of Department are to submit a formal report to the Board of Graduate Studies on the progress of the candidate. This report may also be discussed by the appropriate postgraduate committee of the Department, Institute and/or Faculty in which the candidate is registered. The report should clearly state whether or not the progress of the candidate has been satisfactory, whether or not any programme specific requirements for the period have been satisfied, and whether or not the goals laid down for the provisional period of registration have been achieved. The report should include a recommendation that the candidate’s registration be:

(i) confirmed

or

(ii) continued on a provisional basis for a period of three to six months

or

(iii) discontinued and the candidate recommended for enrolment in another programme, where a suitable programme exists

or

(iv) terminated.

d At the end of each year of registration following the provisional period, the main supervisor, the candidate and the Head of Department are to submit, through the Associate Dean (Postgraduate) of the Faculty, a joint report to the Board of Graduate Studies on the candidate’s progress. This report may also be discussed by the appropriate postgraduate committee of the Department, Institute and/or Faculty in which the candidate is registered. As part of this report, the main supervisor and the Head of Department are to make one of the following recommendations:

(i) that the candidate’s registration be continued

or

(ii) that the candidate’s registration be continued subject to specified conditions

or

(iii) that the candidate’s registration be terminated.

e Where a recommendation is made under Regulation 3c(ii) or 3d(ii), the Head of Department will also recommend to the Board of Graduate Studies any specific goals and/or conditions to be met by the candidate and the time in which these are to be completed. At the end of this period the Head of Department and main supervisor will advise the Board of Graduate Studies whether or not these requirements have been met. Registration will be terminated if the specified conditions have not been fulfilled to the satisfaction of the Board of Graduate Studies.

f No decision to terminate registration may be made by the Board of Graduate Studies unless the candidate has been notified in writing and given reasonable opportunity to respond.

Changes to the Conditions of Registration

4 a The Head of Department may, after consultation with the candidate, make a written recommendation to the Board of Graduate Studies via the Faculty Associate Dean (Postgraduate) for changes in the conditions of registration for the candidate. After considering a recommendation from the Head of Department, the Board of Graduate Studies may, after considering any submissions made by the candidate, change the conditions of registration for any candidate.

b Where a resident candidate intends to be absent from the University in pursuit of their research for more than two months, supervisors are to submit for approval by the Board of Graduate Studies, through the Head of Department and before the candidate’s departure, suitable plans for the supervision of the candidate during the period of absence.

c When necessary, the Head of Department will make a recommendation to the Board of Graduate Studies regarding changes to the supervision of the candidate. This will normally be required when a supervisor is granted leave, resigns or retires.

Whilst the Board of Graduate Studies will take into consideration the candidate’s views on any recommended changes to supervision, it reserves the right to determine the appointment of supervisor/s according to the availability of suitably qualified staff.

d When the Board of Graduate Studies is satisfied that there is sufficient reason, it may extend a candidate’s submission date. Before approving an extension of submission time the Board of Graduate Studies will require the candidate, the supervisor(s) and Head of Department to agree on the programme of supervision and schedule of research considered necessary for submission by the new date proposed.

e Where a candidate is unable to continue with their research programme because of circumstances beyond their control, the Board of Graduate Studies may suspend their registration for a specified period of time. The conditions of Regulation 7g of the Statute for the Degree of Doctor of Philosophy 2016 will apply.

f Enrolment and Programme Regulations regarding discontinuation apply to candidates for named doctorates.

g The Board of Graduate Studies may terminate the registration of any candidate who:

(i) fails to enrol for any academic year corresponding to a year of registration

or

(ii) fails to make payment of any tuition fees related to the registration

or

(iii) applies to cease being registered

or

(iv) has not made satisfactory progress while under provisional registration

or

(v) has received an unsatisfactory annual report

or

(vi) has not submitted a required provisional year or annual report

or

(vii) has not met any conditions specified under Regulation 3e

or

(viii) has not satisfied a requirement as stipulated in the structure and content regulation of the relevant named doctorate regulations

or

(ix) has not submitted or re-submitted the examinable work in time

or

(x) has had the termination of their registration recommended by a decision of a Disputes Committee constituted pursuant to Regulation 6

or

(xi) is prohibited under the Disciplinary Statute of the University from enrolling.

Before making a decision to terminate a candidate’s registration pursuant to this Regulation or otherwise, the Board of Graduate Studies will allow the candidate a reasonable opportunity to respond.

Enrolment and Fees

5 a Candidates for the degree must be enrolled and pay all prescribed fees including tuition fees in each academic year for which they are registered. Candidates need not pay tuition fees for any period during which their registration is suspended.

b On enrolment in each academic year every candidate must pay the prescribed fees for that academic year.

c A candidate who submits all examinable work or terminates their registration will receive a refund of one-twelfth of the tuition fee paid for each complete month of the period between the date of submission of the examinable work or termination of registration and the end of the academic year for which fees have been paid.

d Unless otherwise exempted under the relevant regulations, all candidates must pay the prescribed Building Levy and Student Services fees and any other fees as may be prescribed from time to time. There is no refund of these fees.

e Notification of the award of the degree will be withheld until all outstanding fees have been paid for the academic year in which a candidate is registered. Candidates will not be able to graduate until all outstanding fees have been paid.

Appeals

6 a If a doctoral candidate believes that they have been significantly disadvantaged by the examination process, or by any part of the examination process, then a written appeal may be made to the Board of Graduate Studies, setting out the grounds of the appeal. All relevant documents relied upon must be submitted with the appeal. Regulations 11d and 11e of the Statute for the Degree of Doctor of Philosophy 2016 shall then apply.

b Candidates, supervisors or Heads of Department may appeal against any decision, other than one bearing on examination matters, of the Board of Graduate Studies normally within three months of the making of the decision, on the grounds that:

(i) relevant information which was not available to the Board of Graduate Studies at the time of its making the decision has since become available

and/or

(ii) the procedure adopted in arriving at the decision was unfair.

The appeal must state clearly all grounds relied on by the candidate and attach all relevant documentation. Regulation 11b of the Statute for the Degree of Doctor of Philosophy 2016 shall then apply.

Dispute Resolution Procedures

7 Disputes are to be resolved according to the Resolution of Student Academic Complaints and Disputes Statute.

Transitional Arrangements

8 a These regulations came into force on 1 January 2016 and revoked the previous General Regulations for Named Doctorates.

b For candidates initially registered under previous regulations, the Board of Graduate Studies may agree to vary the application of the provisions of these regulations to ensure consistency with the provisions of the regulations under which the candidate was enrolled, where it is satisfied that the candidate would otherwise be at a disadvantage.

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