Provisional Year Review Procedures (2016 PhD Statute only)

Doctoral candidates and their supervisors at the University undertaking the provisional year review, and staff members involved in reviews of provisional doctoral registration.

These procedures apply only to those candidates governed by the 2016 PhD Statute and governed by the 2016 General Regulations for Named Doctorates.

This document outlines the procedures for the review of provisional doctoral registration. It is to be read in conjunction with Regulation 5 of the PhD Statute under which the candidate is registered.

Timeline

1. No less than 3 months before the 12 month (or part-time equivalent) anniversary of the candidate’s start date, dates are to be determined for the oral presentation on the work in progress, submission of the full thesis proposal, and a meeting with the postgraduate provisional year review committee

2. The full thesis proposal must be submitted to the postgraduate provisional year review committee at least two weeks before the meeting with the candidate

3. The oral presentation is to take place in advance of, or at, the meeting with the postgraduate provisional year review committee, but must not be held more than one month before the meeting with the postgraduate provisional year review committee

4. The meeting with the postgraduate provisional year review committee must take place no later than one week before the 12 month anniversary (or part-time equivalent) of the candidate’s start date

Postgraduate provisional year review committee

5. The departmental graduate adviser, in consultation with the academic head (or nominee), is to determine the composition of the postgraduate provisional year review committee for each provisional year review

6. The postgraduate provisional year review committee must have at least two members: the departmental graduate adviser (or nominee) and a member approved by the academic head

7. The committee will usually be drawn from the academic unit in which the candidate is registered, but may include members from the wider faculty or University or industry community

8. Neither the academic head (or nominee) nor any member of the supervision team, other than an adviser, may be a member of the postgraduate provisional year review committee

9. The postgraduate provisional year review committee is to be chaired by the departmental graduate adviser or nominee

Oral presentation

10. The oral presentation on the work in progress must be attended by all members of the postgraduate provisional year review committee, but attendance by a wider audience is encouraged

11. The presentation will normally be no less than 20 minutes in duration, followed by questions from the audience (where the audience is not solely comprised of the postgraduate provisional year review committee)

Meeting with the postgraduate provisional year review committee

12. The committee is to discuss with the candidate:

• the candidate’s oral presentation
• the full thesis proposal
• the candidate’s progress to date
• each of the candidate’s provisional year goals
• the candidate’s plans through to submission
• any current or envisaged obstacles to successful, timely submission

13. The supervisors may attend the meeting between the candidate and the postgraduate provisional year review committee

14. The committee may request that the supervisor(s) and/or the candidate leave the room at any point during the session

Postgraduate provisional year review committee report

15. Within one week of the meeting with the candidate, the postgraduate provisional year review committee must submit a report to the academic head on the meeting with the candidate

16. The report is to state clearly whether the full thesis proposal has been accepted, or whether revisions are required, or whether the proposal has been rejected

17. The report must conclude with one of the following recommendations:

• Confirmation in the programme (this may be subject to specified conditions)
• An extension to the provisional period of registration of between 3 and 6 months

Note:

-This recommendation can only be made where the candidate’s total time at provisional status will not exceed 18 months FTE

-It must be accompanied by a schedule of work to be achieved during the proposed extension to the provisional period of registration

-The report must specify whether or not the postgraduate provisional year review committee is to reconvene and meet with the candidate at the end of the proposed period of extension.

• Discontinuation of the PhD enrolment and enrolment in another degree
• Termination of enrolment

18. The chair of the postgraduate provisional year review committee is to provide the candidate with written feedback on their recommendation within one week of the meeting.

19. The Board of Graduate Studies will notify the candidate of the outcome of their provisional year review process within one week of receiving the recommendation from the faculty.

Provisional year review report

20. The supervisor(s) and candidate must ensure that their sections of the provisional year review report and supporting documentation have been submitted to the academic head by the 12 month anniversary (or part-time equivalent) of the candidate’s start date

21. The postgraduate provisional year review committee report and the provisional year review report are to be submitted to the Board of Graduate Studies by the provisional status review date indicated on the student’s registration summary.

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.

Department graduate adviser refers to the relevant graduate adviser in the academic unit in which the candidate is registered.

Doctoral candidates are students enrolled in a doctoral degree at the University.

University means Waipapa Taumata Rau, the University of Auckland and includes all subsidiaries.

Include the following:

• PhD Statute
• Postgraduate Provisional Year Review Committee report form
• Provisional Year Review form

Owner: Dean of Graduate Studies
Content Manager: School of Graduate Studies
Approved by: Board of Graduate Studies, Senate and Council
Date approved: 19 September 2022
Review date:  19 September 2027