Doctoral Off-Campus Research Policy and Procedures

Doctoral candidates who seek to undertake research off-campus for periods of one month or more.

To specify the policy and procedures that must be satisfied in order for off-campus research to be approved during doctoral candidature.

General Provisions

1.   Research, for the purposes of this policy and associated procedures, encompasses all activity towards the completion of the doctoral degree.

2.   Off-campus research may entail temporary off-campus research of less than 12 months’ duration or long-term off-campus research of 12 months or more in duration. 

3.   Except as permitted under clause 6, any period of off-campus research of one month or more during doctoral candidature requires the approval of the Board of Graduate Studies (or delegate) and is subject to this policy and associated procedures.

4. Applications for off-campus research will not be considered for any period where the candidate is required by the Board of Graduate Studies (or delegate) to undertake campus-based coursework, training, examination, assessment or review.

5.   The Board of Graduate Studies (or delegate) may rescind approval for off-campus research:
a) where information that was not available to the Board of Graduate Studies (or delegate) at the time the approval decision was made, and which would have resulted in a different decision being made, becomes available

and/or

b) where off-campus research is no longer deemed appropriate on health and safety grounds

and/or

c) pursuant to clause 12f

and/or

d) as part of, or as part of the outcome of, a process under the Doctoral Candidature Intervention Policy and Procedures or the Doctoral Confirmation of Candidature Policy and Procedures or the Doctoral Continuation of Candidature Policy and Procedures (or their equivalents under the 2016 PhD Statute or 2016 General Regulations for Named Doctorates for those candidates governed by those regulations).

and/or

e) where an agreement pertaining to a Joint Graduate School or partner institution is terminated in accordance with the provisions of the relevant MoU and/or student agreement.

6.   A doctoral candidate may work on their thesis from home within the wider vicinity of the relevant Waipapa Taumata Rau | University of Auckland campus without permission from the Board of Graduate Studies (or delegate), provided the supervisor/s is/are satisfied that the candidate’s research project does not require greater periods of time on campus.

7.  

a) Where a supervisor is not satisfied under clause 6 above, the Academic Head will determine the matter upon consultation with both candidate and supervisor. 

b) Conditions regarding campus attendance imposed in accordance with the Doctoral Candidature Intervention Policy and Procedures or the Doctoral Continuation of Candidature Policy and Procedures (or their equivalents under the 2016 PhD Statute or 2016 General Regulations for Named Doctorates) prevail in the event of conflict with decisions under clauses 6-7a of this Doctoral Off-Campus Research Policy and Procedures.

8.   A candidate must remain enrolled for the duration of any period(s) of off-campus research approved under this policy and associated procedures.

9.   Doctoral candidates must pay University fees in accordance with the programme regulations and University Fees Statute whether they are on or off-campus.

10.   Doctoral candidates who are not New Zealand citizens and who receive exceptional circumstance approval under clause 18b to conduct their entire doctorate overseas are required to pay international tuition fees for the duration of their enrolment.

Note: Doctoral candidates who are not New Zealand citizens will lose their eligibility to pay domestic tuition fees if the duration and/or nature of their absence is not compliant with the PhD Domestic Tuition Fees Policy.

11. There must be an appropriate supervision plan for any period(s) of off-campus research longer than one month, including a regular schedule of electronic and video-conferencing meetings.

12.   Candidates must have access to appropriate resources and supervision during any period(s) of off-campus research.

a) The Board of Graduate Studies (or delegate) must be satisfied, at the time of the application for off-campus research, with the availability of appropriate research resources and supervision for the proposed off-campus research.

b) The University carries no responsibility, other than as specified in a Joint Graduate School or partner institution agreement, where anticipated research resources and/or supervision at the off-campus location do not materialise.

c) Candidates who receive approval for off-campus research retain access to PReSS accounts in accordance with the PReSS Account Policy and Procedures and the PReSS-related clauses of these Off-Campus Policy and Procedures.

d) Candidates who receive approval for off-campus research are permitted to access the University Library’s digital holdings remotely during the period of approved off-campus research but are responsible for their capacity to do so.

e) There are no circumstances, other than as specified in a Joint Graduate School or partner institution agreement, in which the University is responsible for:

i) the provision of research funding and/or specialist equipment in excess of resources approved in accordance with the PReSS Account Policy and Procedures
ii) the provision of resources, at the off-campus location, that are available to on-campus doctoral candidates only on an on-campus basis

f) The Board of Graduate Studies (or delegate) may rescind approval for off-campus research at any time prior to or during the period of off-campus research, if it is no longer satisfied with the availability of appropriate resources or appropriate supervision at the off-campus location.

13.   The University is not responsible for the costs associated with the candidate travelling to the University or with a supervisor travelling to meet with the candidate at their off-campus research location.

14.   Occupational health and safety training relevant to the research location must be undertaken by the candidate.

15.   Appropriateness, where invoked in this policy and associated procedures, is determined by the Board of Graduate Studies (or delegate).

Temporary off-campus research

16.Approval for off-campus research for less than 12 months is subject to the general and fees and scholarship provisions of this policy and may be withheld for reasons including but not limited to Board of Graduate Studies (or delegate) concern regarding the impact of off-campus research on academic progress.

Off-campus research for first year of enrolment and/or long-term off-campus research

17.Approval for off-campus research for the first year of doctoral enrolment, and/or for long-term off-campus research of 12 months or more (including for the duration of the doctoral enrolment), is subject to clauses 18-27, as well as to the general and fees and scholarship provisions, of this policy, and may be withheld for reasons including but not limited to Board of Graduate Studies (or delegate) concern regarding the impact of off-campus research on academic progress.

18.
a) Approval for off-campus research for the duration of a candidate’s doctoral enrolment will normally be restricted to candidates conducting research under a Joint Graduate School agreement who satisfy the requirements of this policy and associated procedures.
b) In exceptional circumstances, approval for off-campus research for the duration of a candidate’s doctoral enrolment may be granted without involvement of a Joint Graduate School. Factors taken into account in the consideration of such applications include but are not limited to:

i) the candidate’s academic record
ii) the research grounds for the application
iii) the strategic relationship with the off-campus location
iv) the availability of appropriate research resources at the off-campus location
v) the availability of appropriate supervision at the off-campus location
vi) the frequency of planned visits to Waipapa Taumata Rau | University of Auckland.

19.   If the first year or more of the doctorate is intended to be conducted off-campus, this must be declared by the applicant, for Board of Graduate Studies (or delegate) consideration, at the time of application for programme admission.

20.   Where an applicant declares off-campus intentions under clause 19, the academic unit must, at the time of support for programme admission and prior to Board of Graduate Studies (or delegate) decision on programme admission and off-campus research, advise the applicant and Board of Graduate Studies (or delegate) of any requirement for the applicant, if admitted, to:

a) present their full thesis proposal in person during provisional candidature

and/or

b) present a research seminar in person during candidature

and/or

c) meet with their provisional year or confirmation review committee in person

and/or

d) undertake any campus-based coursework or training during candidature.

21.   Candidates must undertake DELNA within the first two months of programme enrolment, and satisfy all confirmation milestones and/or provisional year goals as prescribed by the Board of Graduate Studies (or delegate), regardless of any period of off-campus research approved under this policy and associated procedures.

22.   Candidates conducting long-term off-campus research must be located/working in an environment conducive to their area of research (e.g. a research-oriented institution or company, another university or an archive repository etc.) and will normally have a co-supervisor or an adviser at their off-campus location.

23.   There must be an agreed academic development plan for the candidate. This may involve the candidate being required to spend time at the University in order to participate in face-to-face workshops, seminars and other activities.

24.   Candidates may be required to travel to the University to meet with their provisional year or confirmation review committee and/or to attend their oral examination.

25.   Candidates must not use their PReSS account to fund travel related to supervision or on-campus activities pursuant to clause 23, or to meet with their provisional year or confirmation review committee or to attend their oral examination.

26.   Financial arrangements regarding in-person supervisory sessions and campus attendance must be established before approval for off-campus research can be considered.

27.   Where a candidate intends to be based at the institution of a co-supervisor, outside of joint/dual/double PhD or Joint Graduate School agreement, clauses 29-35 also apply.
Off-campus research under a partner institution (joint/dual/double PhD) or Joint Graduate School agreement.

28. Approval to undertake off-campus research under a partner institution (joint/dual/double PhD) or Joint Graduate School agreement is subject to clauses 18-34, as well as to the general and fees and scholarship provisions, of this policy, and may be withheld for reasons including but not limited to factors external to the particular student concerned.

29.   There must be an agreed, regular schedule of electronic and/or face-to-face contact between the main or joint supervisors and the co-supervisor/adviser who is located at the off-campus location.

30.   If a candidate is required to undertake one or more English language courses during their period of provisional candidature, the candidate must either be enrolled in a course or courses at Waipapa Taumata Rau | University of Auckland, or enrol in an approved language course or courses at another New Zealand university or at an approved partner institution. The costs associated with approved non-Waipapa Taumata Rau | University of Auckland language courses will not be met by the School of Graduate Studies.

31.   At the time of enrolment for the doctorate, there should be a discussion between members of the supervisory team (located on and off-campus) and the candidate about ownership of any intellectual property arising from the project.

32.   In the event that the intellectual property is not deemed the property of the candidate, or if the candidate has waived such a right, the main supervisor or joint supervisors and off-campus co-supervisor/adviser must discuss the ownership, protection and any exploitation of any intellectual property generated as a result of the research project in good faith – see Intellectual Property Created by Staff and Students Policy and Intellectual Property: A Guide for Students. The candidate will normally be included in the discussion. 

33.   If necessary, the conditions for the rights of ownership and use of results obtained during the thesis or of work done are to be specified by jointly agreed protocols or specific documents.

34.   Candidates must consult their supervisor/s regarding any additional ethics requirements of their host institution/off-campus location, and must abide by those requirements as well as those of Waipapa Taumata Rau | University of Auckland.

35.
a) Concerns regarding access, at the off-campus location, to resources specified within a Joint Graduate School agreement are to be raised, in the first instance, with the off-campus supervisor/s and pursued through the Director of the Joint Graduate School as warranted. Waipapa Taumata Rau | University of Auckland carries no responsibility, other than as specified in a Joint Graduate School agreement, where research resources at the off-campus location do not materialise.

b) Concerns regarding access, at the off-campus location, to resources agreed by the partner institution are to be addressed in accordance with the processes for dispute and complaint resolution at the partner institution and are not the responsibility of Waipapa Taumata Rau |University of Auckland unless otherwise agreed by Waipapa Taumata Rau |University of Auckland in the joint/dual/double PhD agreement.

Fees and Scholarships

36.   Candidates are responsible for the fees and scholarship implications of any period(s) of off-campus research approved under this policy and associated procedures.

Note: Non-New Zealand citizens retain eligibility for domestic PhD tuition fees only if they are out of New Zealand for no more than 12 months in total during their doctoral candidature (excluding allowed annual leave) and only for the purposes of research that cannot be conducted at the same level in New Zealand.

37.   New Zealand citizens who are awarded a University of Auckland Doctoral Scholarship may hold that scholarship off-campus for any periods of off-campus research approved under this policy and associated procedures, provided a New Zealand bank account is available to them.

38.   Non-New Zealand citizens may retain a University of Auckland Doctoral Scholarship for periods of off-campus research approved under this policy and associated procedures, provided that

a) a New Zealand bank account is available to them

and

b) during their doctoral candidature, they are out of New Zealand for no more than 12 months in total (excluding allowed annual leave) and only for the purposes of research that cannot be conducted at the same level in New Zealand.

Note: If non-New Zealand citizens lose their eligibility for domestic fees, they forfeit their University of Auckland Doctoral Scholarship.

39.   Holders of scholarships other than the University of Auckland Doctoral Scholarship must consult the regulations of their scholarship to ascertain whether they are eligible to receive the scholarship for any periods of off-campus research approved under this policy and associated procedures.

Right of review

40.   A candidate subject to the PhD Statute that came into effect on 1 October 2020 may request review of a decision by the Board of Graduate Studies (or delegate) as to off-campus research in accordance with the provisions at clause 45 of the procedures below.

Note: all other candidates are subject to the appeals provisions of the applicable programme regulations.
For the avoidance of doubt, decisions made by the academic head under clause 7a above are the result of a de facto review process and are not subject to right of review or appeal provisions. They may be superseded by decisions pursuant to candidature intervention or review policy and procedures (or their equivalents under the 2016 PhD Statute or 2016 General Regulations for Named Doctorates).

Application

41. If the first year or more of doctoral research is intended to be conducted off-campus, this must be declared by the applicant, for Board of Graduate Studies (or delegate) consideration, in the application for admission to the doctoral programme.

42. Where a prospective supervisor wishes to support an applicant for programme admission and off-campus research, the supervisor must, in consultation with the applicant, supply for consideration:

• the rationale for the proposed period of off-campus research
• details of resource access at the proposed off-campus location
• a proposed supervision plan as agreed with the applicant
• the proposed candidate development plan, including details of time on campus and arrangements for the confirmation review
• a proposed contingency plan in the event that the applicant is required to undertake one or more English language courses during their period of provisional candidature, including financial arrangements
• details of health and safety training arrangements
• the financial arrangements for any in-person meetings with the supervisor and/or any campus attendance required during the proposed period of off-campus research
• acknowledgement by applicant and supervisor of the above policy limitations on PReSS expenditure and confirmation that the requirements of the above policy have been discussed

43. Post programme admission, doctoral candidates must apply for any period(s) of off-campus research via Wahapū (or via a Doc 6 where a candidate has not been granted access to Wahapū). The application must include:

• the rationale for the proposed period of off-campus research
• details of resource access at the proposed off-campus location
• a proposed supervision plan
• details of the proposed candidate development plan, where such a plan is not already in place or where the off-campus research requires modification of the plan
• the financial arrangements for any in-person meetings with the supervisor/s and/or any campus attendance required during the proposed period of off-campus research
• a statement of support from the supervisor

44. All applications for off-campus research will be determined by the Board of Graduate Studies (or delegate).

Right of review

45.   A candidate subject to the PhD Statute that came into effect on 1 October 2020 or who commenced a named doctorate after 1 January 2022 may, within two weeks of notification of the decision, request review of a decision as to off-campus research, except decisions under clause 7a above. Upon request, the School of Graduate Studies will advise the candidate as to the decision-maker, and the candidate will direct their appeal in accordance with the following:

a) Where the decision was made by the supervisor as delegate of the Board of Graduate Studies, the review will be conducted by the Academic Head who will make the final decision.

b) Where the decision was made by the Academic Head as delegate of the Board of Graduate Studies, the review will be conducted by the Associate Dean/Director (Postgraduate Research) who will make the final decision.

c) Where the decision was made by the Associate Dean/Director (Postgraduate Research) or by the School of Graduate Studies as delegate of the Board of Graduate Studies, the review will be conducted by the Dean or Deputy Dean of Graduate Studies (or by their nominee) who will make the final decision.

d) Where the decision was made by the Dean or Deputy Dean of Graduate Studies as delegate of the Board of Graduate Studies, the review will be conducted by whichever of the two parties did not make the original decision (or by their nominee), and that person will make the final decision.

The following definitions apply to this document:

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

Academic unit refers to the faculty, large scale research institute, school or department in which the candidate is enrolled.

Applicant refers to an applicant for admission to a doctoral programme at the University.

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.

Confirmation milestones are the activities that a candidate must complete, to the satisfaction of the named party or at the required standard, in order to be confirmed in their doctoral programme.

Confirmation Review Committee refers to the committee formed for the purposes of the confirmation review for candidates subject to the PhD Statute that came into effect on 1 October 2020.

DELNA refers to Diagnostic English Language Needs Assessment and is a compulsory milestone for all doctoral candidates.

Doctoral candidate refers to a person who is a candidate for a doctoral degree at the University.

Doctoral candidature 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.

Joint Graduate School, for the purposes of this policy and procedures, refers to a graduate school partnership between Waipapa Taumata Rau | University of Auckland and a New Zealand research institute.

Long-term off-campus research is off-campus research of 12 months or more in duration.
Off-campus research refers to research activity towards completion of the doctoral degree that is conducted at a location other than a Waipapa Taumata Rau | University of Auckland campus.

On-campus means on a Waipapa Taumata Rau | University of Auckland campus.

Off-campus means away from a Waipapa Taumata Rau | University of Auckland campus.

Partner Institution, for the purposes of this policy and procedures, refers to an international institution with a joint/dual/double PhD agreement with Waipapa Taumata Rau | University of Auckland.

PReSS account refers to the research support funding provided by the University to doctoral candidates during their doctoral candidature, up to a maximum of 4 years FTE.

Provisional Year Review Committee refers to the committee formed for the purposes of the provisional year review for candidates who are subject to the 2016 PhD Statute.

Supervisor/s: Main supervisor, or one or both joint supervisor(s), or co-supervisor.

Temporary off-campus research is off-campus research of less than 12 months in duration.

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  Waipapa Taumata Rau | University of Auckland and includes all subsidiaries.

Wahapū is the University’s online doctoral candidature management system.

Include the following:

• PhD Statute
• PhD Domestic Tuition Fees Policy
• PReSS Account Policy and Procedures
• Doctoral Candidate Resources Policy
• Doctoral Intervention 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: June 2023
Review date: June 2028