Doctoral Continuation of Confirmed Candidature Policy and Procedures

Confirmed doctoral candidates and their supervisors, and staff members involved in the continuation (of confirmed candidature) review process, except:

• PhD candidates governed by a PhD Statute other than that which came into effect on 1 October 2020
• Named doctorate candidates governed by the 2016 General Regulations for Named Doctorates .

To specify the continuation policy and procedures that apply to confirmed doctoral candidates, their supervisors and staff members involved in the continuation (of confirmed candidature) review process.

1.    Except as exempted under clause 2, confirmed candidature must be reviewed at each 12 month FTE anniversary of the initial date of programme enrolment (excluding any periods of suspension approved by the Board of Graduate Studies [or delegate]). 

2.   Where the due date for a continuation of confirmed candidature review (“continuation review”) falls within 3 months of the date for thesis submission, as notified by the candidate in accordance with the Doctoral Thesis Submission Pre-Examination Procedures, review of candidature is not required.

3.    In order to be continued in their programme, a confirmed doctoral candidate must

a) comply with the procedures below

and

b) satisfy the Board of Graduate Studies (or delegate), via the assessment process detailed in the procedures below, as to their rate of progress and quality of work across the previous 12 months of full-time equivalent enrolment, including, and subject to clause 4, their performance in relation to any prescribed milestones or conditions scheduled for achievement within that period.

4.

a) Conditions that have previously been reported as satisfied under clause 19 of the procedures below or under clause 21 of the doctoral intervention policy and procedures cannot subsequently be reassessed as not satisfied within a continuation of confirmed candidature review.

b) Failure to satisfy the post-confirmation milestones prescribed within the DClinPsy programme regulations may result in termination of candidature.

5. Milestones and conditions must be prescribed by the Board of Graduate Studies (or delegate) for the continuation of candidature as required by the relevant programme regulations.

6.    Independent of clause 5, candidature may be continued with milestones, as approved by the Board of Graduate Studies (or delegate). Milestones must be:

         • clear and measurable

         • appropriate to the specified timeframe 

         • directly related to the candidate’s programme

Performance in relation to milestones will inform assessment of progress in the next continuation review and/or may result in a candidature intervention process in the period between review dates.

7.    Independent of clause 5, candidature may be continued subject to conditions as approved by the Board of Graduate Studies (or delegate). Conditions, which must normally be satisfied within a timeframe of three months FTE, must be:

• clear and measurable
• appropriate to the specified timeframe
• directly related to the candidate’s programme

Note -  Conditions may include, but are not limited to, provisions pertaining to engagement with supervision and/or use of equipment/resources and/or reporting, provided they are deemed relevant by the Board of Graduate Studies (or delegate) to a candidate’s progress in their programme. 

Failure to satisfy conditions may result in termination of candidature. Where conditions are satisfied, an intervention process may still be instituted in accordance with the Doctoral Candidature Intervention Policy and Procedures.

8.    Where a candidate is assessed as not meeting the requirements for continuation of candidature, the Board of Graduate Studies (or delegate) may terminate candidature.

9.    The outcome of the continuation review will be determined by the Board of Graduate Studies (or delegate) in accordance with the procedures below.

10.    No more than 1 month prior to, but no later than, the 12 month FTE anniversary of enrolment, the candidate must submit the candidate continuation review report.

11.   The main or  joint supervisor* must normally complete the supervisor continuation review report within 1 month of the candidate’s submission of the candidate continuation review report, and, subject to clause 14, must recommend either that candidature be:

i)  Continued 

or

ii)  Continued with milestones

or

iii)  Continued subject to conditions

or

iv)  Terminated 

12.   Additional members of the supervisory team (excluding advisers) may comment on the review reports within 1 week of the main or joint supervisor’s completion of the  supervisor continuation review report.

13.   Review of candidature may include consideration and/or comment and/or recommendation by the Academic Head and/or the Associate Dean/Director (Postgraduate Research). 

14.

a) Continuation in the DClinPsy must be subject to conditions as prescribed in the programme regulations.

b) Continuation in the EdD must be with milestones as prescribed in the programme regulations.

For the avoidance of doubt, these requirements do not preclude the prescription of conditions and/or milestones in addition to those specified in the relevant programme regulations.

15.   Where the Academic Head supports a candidate’s continuation subject to conditions, the candidate will have 7 calendar days’ right of response, except where the conditions are prescribed by the programme regulations.

16.   Where the Academic Head supports termination of candidature, the doctoral termination proceedings policy applies and the candidate will be given notice of termination proceedings and allowed 14 calendar days to make a submission for the Board of Graduate Studies (or delegate) to take into account in making the decision as to termination of candidature. 

17.   The Board of Graduate Studies (or delegate) will consider all reports, recommendations and material supplied in accordance with these procedures and, where relevant, with the doctoral termination proceedings policy, and then determine the outcome of the continuation review.

For the avoidance of doubt: where termination of candidature is recommended under clause 11 and/or clause 13, the Board of Graduate Studies (or delegate) decision under the doctoral termination proceedings policy is the determination of the continuation review.

18.   Where candidature is continued subject to conditions, the Board of Graduate Studies (or delegate) may, during the period of conditions, where such an amendment would favour the candidate and the Board of Graduate Studies (or delegate) regards it as appropriate, approve an amendment to conditions with the support of the supervisor/s and Academic Head.   

19.   At the conclusion of any period of conditions imposed under clause 14 and/or clause 17(or as amended under clause 18), the person responsible for the assessment of the candidate’s fulfilment of the condition(s) will report to the School of Graduate Studies as to whether the student has satisfied conditions. 

20.   Where the person responsible for the assessment of conditions reports to the School of Graduate Studies that conditions set under clause 14 and/or clause 17 and/or conditions as amended under clause 18 of these procedures (excepting any conditions that are no longer considered relevant by the person responsible for the assessment of conditions) have not been satisfied, the doctoral termination proceedings policy applies and the candidate will be given notice of termination proceedings and allowed 14 calendar days to make a submission for the Board of Graduate Studies (or delegate) to take into account in making the decision as to termination of candidature.

Note * In exceptional circumstances, the supervisor continuation review report may be completed by another member of the supervision team.

The following definitions apply to this document:

Academic Head refers to the head of the academic unit in which the candidate is enrolled or their nominee.

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 candidates, for the purposes of this policy and procedures, refers to people who are currently enrolled or currently suspended from enrolment in a doctoral programme at the University.

Candidature refers to a person’s status as a candidate for a doctoral degree at the University.

FTE is an abbreviation for Full Time Equivalent.

Joint supervisor refers to the joint supervisor with primary responsibility for administrative requirements.

Main supervisor is the lead supervisor who takes primary responsibility for the supervision of a candidate. 

Staff member refers to an individual employed by the University on a full or part time basis.

Supervisor/s refers to main supervisor, or one or both joint supervisor(s), or co-supervisor.

Thesis is a substantial presentation of the outcome of an original and coherent doctoral research project. It situates the research in the broader framework of the disciplinary field(s), and entails a cohesive written document.

University means the University of Auckland and includes all subsidiaries.

• PhD Statute
• Doctoral Candidature Intervention Policy and Procedures
• Doctoral Thesis Submission Pre-Examination Procedures

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