Doctoral Exceptional Circumstance Entry Policy and Procedures

• Applicants for the PhD programme at the University who do not meet the requirements of Regulation 13a of the PhD Statute.
• Applicants for the DHSc programme at the University who do not meet the requirements of Regulation 14a of the DHSc regulations.
• Applicants for the DocFA programme at the University who do not meet the requirements of Regulation 14a of the DocFA regulations.
• Applicants for the EdD programme at the University who do not meet the requirements of Regulation 15a of the EdD regulations.
  

To specify the requirements that must be met for the applicants identified above to be admitted to the relevant doctoral programme at the University.

1. The exceptional circumstances recognised under this policy are those circumstances identified in clauses 3-15 below.

2. Relevance, equivalence, consistency and incompatibility, where invoked in this policy and associated procedures, are subject to determination by the Board of Graduate Studies (or delegate).

3. Applicants for the PhD who hold a degree assessed as equivalent to the University of Auckland MBChB may be admitted to the PhD programme under this exceptional circumstances policy, provided that they satisfy Regulations 13b-f of the PhD Statute and the University’s Admission regulations.

4. Applicants for the PhD who hold a postgraduate (or equivalent) pass/fail degree in a relevant subject area may be admitted to the PhD programme under this exceptional circumstances policy, provided they satisfy Regulations 13 b-f of the PhD Statute and the University’s Admission regulations.

5. Applicants for the DHSc who hold a postgraduate (or equivalent) pass/fail degree in a relevant subject area may be admitted to the DHSc programme under this exceptional circumstances policy, provided they satisfy Regulations 14 b-f of the DHSc regulations and the University’s Admission regulations.

6. Applicants for the DocFA who hold a masters (or equivalent) pass/fail degree in a relevant subject area may be admitted to the DocFA programme under this exceptional circumstances policy, provided they satisfy Regulations 14 b-e of the DocFA regulations and the University’s Admission regulations.

7. Applicants for the EdD who hold a postgraduate (or equivalent) pass/fail degree in a relevant subject area may be admitted to the EdD programme under this exceptional circumstances policy, provided they satisfy Regulations 15 b-f of the EdD regulations and the University’s Admission regulations.

8. PhD Applicants whose most recent (attempt at a) qualification relevant to Regulation 13a of the PhD Statute does not satisfy the requirements of that regulation may be admitted to the PhD programme under this exceptional circumstances policy only where:

a)

i) a previous qualification satisfies the requirements of Regulation 13a of the PhD Statute

and

ii) the Board of Graduate Studies (or delegate) is satisfied that the most recent (attempt at a) relevant qualification is subject to proportionate extenuating circumstances

and

iii) the applicant satisfies Regulations 13b-f of the PhD Statute and the University’s Admission regulations

or

b)

i) the requirements of clause 9a below are met through outputs completed by the applicant since their most recent (attempt at a) qualification relevant to Regulation 13a of the PhD Statute.

and

ii) the requirements of clauses 9b-d below are met.

9. Subject to clause 8, PhD applicants, other than those identified at clauses 3-4, may be admitted to the PhD programme under this exceptional circumstances policy, provided

a) that the Board of Graduate Studies (or delegate) is satisfied that the applicant has demonstrated, through their research outputs (and any bridging programme approved under clause 16), a level of attainment, training and experience in a relevant subject area consistent with, or greater than, the standards at Regulation 13a(iii) of the PhD Statute and at clauses 4-7 (“research ability and experience”) and 10 (“disciplinary training”) of the Doctoral Candidate Research Capacity Policy and Procedures, including the qualitative requirement for achievement in research in a relevant subject area at the equivalent of B+ or higher standard at postgraduate level at the University of Auckland

and

b) that the applicant satisfies Regulations 13 c-f of the PhD Statute and the University’s Admission regulations

and

c) that the Board of Graduate Studies (or delegate) is satisfied with the two academic references that must be supplied for the applicant

and

d) that the main or joint supervisor and the Academic Head are satisfied as to the applicant’s suitability for the proposed research project. Consideration may include the conduct of an interview with applicant.

10. DHSc applicants whose most recent (attempt at a) qualification relevant to Regulation 14a of the DHSc programme regulations does not satisfy the requirements of that regulation may be admitted to the DHSc programme under this exceptional circumstances policy only where:

a)

i) a previous qualification satisfies the requirements of Regulation 14a of the DHSc programme regulations

and

ii) the Board of Graduate Studies (or delegate) is satisfied that the most recent (attempt at a) relevant qualification is subject to proportionate extenuating circumstances

and

iii) the applicant satisfies Regulations 14 b-f of the DHSc programme regulations and the University’s Admission regulations

or

b)

i) the requirements of clause 11a below are met through outputs completed by the applicant since their most recent (attempt at a) qualification relevant to Regulation 14a of the DHSc programme regulations

and

ii) the requirements of clauses 11b-d below are met

11. Subject to clause 10, DHSc applicants, other than those identified at clause 5, may be admitted to the DHSc programme under this exceptional circumstances policy, provided

a) that the Board of Graduate Studies (or delegate) is satisfied that the applicant has demonstrated, through their research outputs (and any bridging programme approved under clause 16), a level of attainment, training and experience in a relevant subject area consistent with, or greater than, the standards at Regulation 14a(ii) of the DHSc regulations and at clauses 4-7 (“research ability and experience”) and 10 (“disciplinary training”) of the Doctoral Candidate Research Capacity Policy and Procedures, including the qualitative requirement for achievement in research in a relevant subject area at the equivalent of B+ or higher standard at postgraduate level at the University of Auckland

and

b) that the applicant satisfies Regulations 14 c-f of the DHSc programme regulations and the University’s Admission regulations

and

c) that the Board of Graduate Studies (or delegate) is satisfied with the two academic references that must be supplied for the applicant

and

d) that the main or joint supervisor and the Academic Head are satisfied as to the applicant’s suitability for the proposed research project. Consideration may include the conduct of an interview with applicant.

12. DocFA applicants whose most recent (attempt at a) qualification relevant to Regulation 14a of the DocFA programme regulations does not satisfy the requirements of that regulation may be admitted to the DocFA programme under this exceptional circumstances policy only where:

a)

i) a previous qualification satisfies the requirements of Regulation 14a of the DocFA programme regulations

and

ii) the Board of Graduate Studies (or delegate) is satisfied that the most recent (attempt at a) relevant qualification is subject to proportionate extenuating circumstances

and

iii) the applicant satisfies Regulations 14 b-e of the DocFA regulations and the University’s Admission regulations

or

b)

i) the requirements of clause 13a below are met through outputs completed by the applicant since their most recent (attempt at a) qualification relevant to Regulation 14a of the DocFA programme regulations

and

ii) the requirements of clauses 13b-d below are met.

13. Subject to clause 12, DocFA applicants, other than those identified at clause 6, may be admitted to the DocFA programme under this exceptional circumstances policy, provided

a) that the Board of Graduate Studies (or delegate) is satisfied that the applicant has demonstrated, through their research outputs (and any bridging programme approved under clause 16), a level of attainment, training and experience in a relevant subject area consistent with, or greater than, the standards at Regulation 14a(ii) of the DocFA regulations and at clauses 4 and 6 of the DocFA Candidate Research Capacity Policy and Procedures, including the qualitative requirement for achievement in both creative practice research outputs and non-creative practice written research outputs in a relevant subject area at the equivalent of B+ or higher standard at masters level at the University of Auckland

and

b) that the applicant satisfies Regulations 14 c-f of the DocFA regulations and the University’s Admission regulations

and

c) that the Board of Graduate Studies (or delegate) is satisfied with the two academic references that must be supplied for the applicant

and

d) that the main or joint supervisor and the Academic Head are satisfied as to the applicant’s suitability for the proposed research project. Consideration may include the conduct of an interview with applicant.

14. EdD applicants whose most recent (attempt at a) qualification relevant to Regulation 15a of the EdD programme regulations does not satisfy the requirements of that regulation may be admitted to the EdD programme under this exceptional circumstances policy only where:

a)

i) a previous qualification satisfies the requirements of Regulation 15a of the EdD programme regulations

and

ii) the Board of Graduate Studies (or delegate) is satisfied that the most recent (attempt at a) relevant qualification is subject to proportionate extenuating circumstances

and

iii) the applicant satisfies Regulations 15 b-f of the EdD programme regulations and the University’s Admission regulations

or

b)

i) the requirements of clause 15a below are met through outputs completed by the applicant since their most recent (attempt at a) qualification relevant to Regulation 15a of the EdD programme regulations

and

ii) the requirements of clauses 15b-d below are met.

15. Subject to clause 14, EdD applicants, other than those identified at clause 7, may be admitted to the EdD programme under this exceptional circumstances policy, provided

a) that the Board of Graduate Studies (or delegate) is satisfied that the applicant has demonstrated, through their research outputs (and any bridging programme approved under clause 16), a level of attainment, training and experience in a relevant subject area consistent with, or greater than, the standards at Regulation 15a(ii) of the EdD regulations and at clauses 4-7 (“research ability and experience”) and 10 (“disciplinary training”) of the Doctoral Candidate Research Capacity Policy and Procedures, including the qualitative requirement for achievement in research in a relevant subject area at the equivalent of B+ or higher standard at postgraduate level at the University of Auckland

and

b) that the applicant satisfies Regulations 15 c-f of the EdD programme programme regulations and the University’s Admission regulations

and

c) that the Board of Graduate Studies (or delegate) is satisfied with the two academic references that must be supplied for the applicant

and

d) that the main or joint supervisor and the Academic Head are satisfied as to the applicant’s suitability for the proposed research project. Consideration may include the conduct of an interview with applicant.

16. The Board of Graduate Studies (or delegate) may approve an individual bridging programme at the University of Auckland for the purpose of providing an applicant with an opportunity to satisfy clause 9b or 11b or 13b or 15b above.

17. Applicants who satisfy clause 9 or 11 or 13 of this policy are deemed to have satisfied the requirements of the Doctoral Candidate Research Capacity Policy and Procedures; applicants who satisfy clause 15 of this policy are deemed to have satisfied the requirements of the DocFA Candidate Research Capacity Policy and Procedures.

18. The Board of Graduate Studies (or delegate) may seek a recommendation from the relevant Academic Head or Associate Dean/Director (Postgraduate Research) regarding the equivalence of an applicant’s degree to the relevant University of Auckland degree.

19. At the invitation of the Board of Graduate Studies (or delegate), an applicant under clause 9 or clause 11 or clause 13 or clause 15 of the above policy may submit, for consideration in relation to the criteria at clause 9b or 11b or 13b or 15b (whichever is relevant) of the above policy, research outputs in a discipline or subject area relevant to the proposed doctoral project.

20. Co-authored research outputs may be considered under these procedures only where a statement regarding author contribution and standing of research outputs, and corroboration from at least one co-author, are provided for consideration.

21. Except where a submission under clause 19 of these procedures is manifestly incompatible with clause 9b or 11b or 13b or 15b of the above policy, the Board of Graduate Studies (or delegate) may release the research outputs to the academic unit for assessment and recommendation in relation to the criteria at clause 9b, 11b, 13b, or 15b (whichever is relevant) of the above policy.

22. All assessment pursuant to clause 21 must be conducted by an experienced academic staff member who is not part of the proposed supervision team, and must include recommendations, accompanied by supporting rationales, as to the scale of the work in relation to a University of Auckland postgraduate points enrolment, and as to a grade (for each research output) in relation to the University of Auckland grading scale.

23. The Board of Graduate Studies (or delegate) may determine that an assessment conducted under these procedures is insufficient and/or that any recommendation made under these procedures is at odds with the evidence or with the substance of an assessment.

24. The final decision as to whether a candidate will be admitted to the doctoral programme under the above policy will be made by the Board of Graduate Studies (or delegate) after due consideration of the application and any material produced pursuant to the above policy and these procedures.

The following definitions apply to this document:

Academic Head is the head of the academic unit in which the applicant wishes to enrol, or their nominee.

Academic unit may refer to a faculty, Large Scale Research Institute (LSRI), school or department.

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.

Subject area is the official subject area in which the applicant wishes to enrol.  

University means the University of Auckland and includes all subsidiaries.

Include the following:

• PhD Statute
• Doctoral Candidate Research Capacity Policy and Procedures
• DocFA Candidate Research Capacity Policy and 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