Doctoral Candidature Appeal Procedures

Doctoral candidates  and former 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:

• (former) candidates governed by programme regulations that came into effect prior to 2020. Such (former) candidates must consult the appeal provisions of the applicable programme regulations.  

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.  

1.    

a) Subject to clauses 4-6 of these procedures, 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.

b) A former doctoral candidate may appeal a decision by the Board of Graduate Studies as to candidature only as permitted under clauses 2 and 3.

2. Subject to clauses 4-6 of these procedures, a former doctoral candidate may appeal a decision by the Board of Graduate Studies (or delegate) to terminate doctoral candidature.

3. Subject to clauses 4-6 of these procedures, a former doctoral candidate may appeal a decision by the Board of Graduate Studies (or delegate) to decline an application for an extension of doctoral enrolment, provided the candidature expired under the programme regulations and was not terminated, completed or withdrawn under the programme regulations.

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

5.    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

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

7. Material from the (former) candidate’s appeal may be shared with third parties (including but not limited to supervisors and Academic Heads) for the purposes of clause 12 below.

8.    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; in such cases, the current Dean may consider and determine the appeal or appoint a nominee to do so).

9.    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.

10.    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.

11.    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.

12.    The person responsible for the consideration and determination of the appeal under clauses 8-10 (“the arbiter”) may seek further information and/or evidence relating to the (former) candidate’s appeal. This provision in no way mitigates the responsibilities of the (former) candidate under clause 6 above.

13.   Where new information relating to the (former) candidate’s appeal results from the arbiter’s exercise of clause 12, the (former) candidate shall be notified and provided with an opportunity to comment within seven days, and prior to the arbiter determining the appeal under clause 15.

14. The (former) candidate is prohibited from introducing any further grounds for consideration in any comment supplied under clause 13.

15.   Information already in the possession of, or otherwise available to, the candidate does not constitute new information under clause 13.

16.   The arbiter will determine the appeal and convey the outcome and the reasons for the outcome in writing to the (former) candidate.

17. The Supervisors, Academic Head, Associate Dean/Director (Postgraduate Research) and School of Graduate Studies will be notified of the outcome of the appeal.

18.   The arbiter’s determination of the appeal under clause 16 is the final decision on the appeal.

The following definitions apply to this document:

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

Academic unit refers to the unit in which the (former) candidate is/was enrolled.

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.

Candidature refers to a person’s status as a candidate for a doctoral degree at the University; it commences upon enrolment in the doctoral programme and concludes when the requirements for the degree are met or confirmed as not having been met, except where candidature is terminated or expires or a candidate withdraws prior to completion of the degree.

Doctoral candidate refers to a person who is a candidate for a doctoral degree at the University (see candidature).

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

Former doctoral candidate, for the purposes of these procedures, refers only to a person whose candidature has expired or been terminated.

Supervisors refers to the University staff members appointed to supervise the doctoral thesis.

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.

Include the following:

• PhD Statute

Content manager: School of Graduate Studies
Owner: Dean of Graduate Studies
Approved by: Board of Graduate Studies, Senate and Council
Date approved: October 2021
Review date: October 2026