1 DOCTORAL DEGREE REGULATIONS University of Humanistic Studies
2 UNIVERSITY OF HUMANISTIC STUDIES DOCTORAL DEGREE REGULATIONS CONTENTS PREAMBLE CHAPTER 1 DOCTORAL DEGREE 1 General terms and conditions 2 Admission to the doctoral degree PhD candidate supervisor co-supervisor 3 Doctoral Research and thesis manuscript 4 Doctoral thesis 5 Assessment Committee 6 Doctoral thesis defence ceremony 7 Settlement of disputes CHAPTER 2 CHAPTER 3 HONORARY DOCTORATE OTHER PROVISIONS
3 PREAMBLE 1. The following definitions shall apply to terms set forth in the regulations hereunder a. University: University of Humanistic Studies. b. Professor: a professor, or professor by special appointment. c. Board for the Conferral of Doctoral Degrees: Board for the Conferral of Doctoral Degrees of the university. d. Rector : The Rector of the university. e. Act: The Higher Education and Research Act (Dutch abbreviation: WHW) 2. The text in these regulation makes use of the masculine form without any prejudice to the reader and in cases of a female graduate, should be replaced with its feminine form. CHAPTER 1 DOCTORAL DEGREE 1 GENERAL TERMS AND CONDITIONS Article 1 Doctoral degree 1. The university provides the opportunity to attain a doctoral degree. 2. Doctoral degrees are awarded by the Board for the Conferral of Doctoral Degrees. 3. The chairperson of the Board for the Conferral of Doctoral Degrees represents the Board judicially and extrajudicially. Article 1a Joint doctorate 1. The university awards joint doctorates as referred to in Article 7.18, Section 6, WHW. The joint doctorate can be obtained by defending the doctoral thesis in the presence of the Board for the Conferral of Doctoral Degrees or a separate committee appointed by this body. 2. The joint doctorate shall be awarded by the Board for the Conferral of Doctoral Degrees, together with a commensurate body from the partner institute or institutes. 3. A joint doctorate can only be pursued at the university after written consent has been obtained from the Board for the Conferral of Doctoral Degrees in accordance with the Regulations for Obtaining a Joint Doctorate which constitute an annex in the Doctoral Degree Regulations. Permission must be requested prior to starting the doctoral research track. 4. The stipulations in the Doctoral Degree Regulations shall apply to all joint doctorates without exception, unless the Board for the Conferral of Doctoral Degrees grants permission to deviate from these stipulations on reasonably substantiated grounds. Article 2 1. In these Regulations, the terms supervisor and co-supervisor shall include the plural forms to cover cases where two or more persons have been appointed supervisor or co-supervisor. 2. If the Rector has been appointed supervisor or wishes to be a voting member of the Assessment Committee and/or the Doctoral Examination Committee, his or her responsibilities as described in these Regulations and as chairperson of the Board for the Conferral of Doctoral Degrees shall be delegated to the deputy chairperson of the Board for the Conferral of Doctoral Degrees. 3. Those who participate in the deliberations as described in Articles 17, 18, 24, 29 and 30, as well as those involved in the procedures described in Paragraph 7, are bound to confidentiality. Article 3 Instructions to the PhD candidate In accordance with these regulations, the PhD candidate in the execution of his tasks must observe the Instructions to the PhD candidate as laid down by the Board for the Conferral of Doctoral Degrees, and should make use of the forms specified by the Board for the Conferral of Doctoral Degrees. 2 ADMISSION TO THE DOCTORAL PROGRAMME; PhD CANDIDATE, SUPERVISOR, CO-SUPERVISOR Article 4 Request for admission/exemption 1. Admission to the doctoral studies programme shall be granted to any person who: a) is in the possession of a certificate as referred to in Article 7.18 second paragraph under subsection (a) of the Act. b) has either written a thesis or developed a research design as a demonstration of his or her capability for the independent pursuit of research, and
4 c) has complied with all the requirements laid down in these Doctoral Degree Regulations. 2. At the request of the applicant, the Board for the Conferral of Doctoral Degrees may grant admission to a candidate who does not possess the required degree for admission to the doctoral programme, but does fulfil the provisions of Article 7.18, Section 2, Subsections (b) and (c) WHW, provided the candidate can clearly prove to possess sufficient knowledge. This request shall be accompanied by a recommendation from a professor at the university. 3. At the onset of the research that will serve as the basis for his doctoral degree, the PhD candidate shall submit to the Board for the Conferral of Doctoral Degrees a request for admission to the doctoral programme. This request may not be submitted without prior approval of the Director of the Graduate School. The request shall also be signed by the proposed supervisor and the Director of the Graduate School. 4. The request shall be accompanied by a detailed research proposal and an authenticated copy of the certificate referred to in paragraph Upon receipt of the request, the Board for the Conferral of Doctoral Degrees will make a decision on admission of the candidate to the doctoral programme. If rejected, the candidate is given one more opportunity to submit a revised research proposal. If the revised version is not approved, the request for admission is definitively rejected and the concerned research proposal cannot be submitted again. Article 5 Appointment of supervisor 1. Together with the request for admission to the doctoral programme, the PhD candidate shall submit to the Board for the Conferral of Doctoral Degrees a request for the appointment of a supervisor who, in his opinion, is most suitable. This request requires the prior approval of the Director of the Graduate School. If the intended supervisor is related to the PhD candidate, prior consultation with the Rector will be required. In case of a request for the appointment of two supervisors, the candidate should indicate their preferred order of ranking. The primary supervisor must always be a professor of the University of Humanistic Studies. 2. After having received the request, the Board for the Conferral of Doctoral Degrees shall appoint at least one but not more than two professors to act as supervisor(s). In exceptional cases only, the Board for the Conferral of Doctoral Degrees may decide to appoint more than two supervisors. In the case of one supervisor, the Board for the Conferral of Doctoral Degrees will appoint a co-supervisor who has been nominated by the supervisor. Article 7 of these regulations applies to the appointment of the co-supervisor. 3. The Board for the Conferral of Doctoral Degrees may appoint a professor from the university or from another Dutch or international university or institute of higher education to act as supervisor. 4. If the Board for the Conferral of Doctoral Degrees appoints a supervisor from another higher education institute, a supervisor from the university will be appointed as well. Article 6 Honourably dismissed professors For five years after the termination of their employment, honourably dismissed professors retain the right to act as supervisors to PhD candidates to whom they were assigned by the Board for the Conferral of Doctoral Degrees before their dismissal. Article 7 Co-supervisor 1. At the request of the supervisor and after approval by the Director of the Graduate School, the Board for the Conferral of Doctoral Degrees may appoint one or a maximum of two co-supervisors. The Board for the Conferral of Doctoral Degrees will appoint at least one co-supervisor in case of the appointment of only one supervisor. 2. In order to arrange this, the supervisor should first submit a written request to the Director of the Graduate School including the proposal to appoint a co-supervisor. After gaining approval from the Director of the Graduate School the supervisor submits the request to the Board for the Conferral of Doctoral Degrees. 3. Anyone who holds a doctorate, is an expert in the relevant scientific area, and is not a professor, may be appointed co-supervisor. The co-supervisor will be involved in the daily supervision of the PhD candidate. The cosupervisor is entitled to retain this position until five years after he or she has been honourably dismissed. 3 DOCTORAL RESEARCH AND THESIS MANUSCRIPT Article 8 Research requirements The research that will serve as the basis for the doctoral thesis must fulfil the following requirements: a. The PhD candidate must conduct the research independently or contribute to a substantial part thereof; b. The research must be conducted in accordance with the professional code of conduct, or the codes which are applicable to professional behaviour in the relevant area of research; c. The research must be conducted in compliance with legal and university regulations. Article 9 Joint research
5 Joint research may serve as the basis for a doctoral thesis written by two or three PhD candidates, in compliance with the fulfilment of the following requirements: a. Each of the PhD candidates must deliver an independent and adequate contribution to the research to the satisfaction of the supervisor; b. Each of the PhD candidates must be an author of a separate part of the thesis, while at the same time the candidates must be, without prejudice, jointly responsible for the overall consistency of the thesis. Article 10 Guidance of the PhD candidate 1. The supervisor shall guide the PhD candidate in writing the thesis, and shall arrange meetings on a regular basis. 2. If two or more supervisors have been appointed, they shall divide the various tasks between them after consultation with the PhD candidate. They shall document this division of tasks if either of them or the candidate so requires. 3. The co-supervisor shall guide the PhD candidate in writing the thesis, in accordance with the supervisor. Article 11 Thesis manuscript assessment 1. The PhD candidate may ask the supervisor to assess his manuscript in order to ascertain whether it meets the requirements of a thesis. 2. The supervisor shall assess all submitted manuscripts on the basis of the following fundamental criteria: a. academic and social relevance of the subject; b. academic and social relevance of the research question and its clear formulation; c. originality in the treatment of the subject; d. scientific level of the structuring, analysis and processing of the research data; e. methodological soundness of the analysis; f. derivation of new insights and concepts; g. critical confrontation with the conclusions of existing theories or concepts; h. creativity of the approach of the candidate to the scientific area covered in the thesis; i. level of restraint exercised in the production of the text; j. well-balanced structure and clarity of style. The supervisor shall also assess whether the manuscript meets all other requirements laid down in the Doctoral Degree Regulations. 3. After consulting with the PhD candidate and, if applicable, the co-supervisor, the supervisor may instruct the candidate to make specific alterations to the manuscript. Article 12 Approval of the manuscript 1. On receiving a request by the PhD candidate, the supervisor shall decide if the manuscript merits approval on the basis of the criteria described in the Doctoral Degree Regulations. 2. The supervisor shall allow the co-supervisor enough time to assess the manuscript. The co-supervisor shall supply his or her opinion in writing. The supervisor shall attach the assessment of the co-supervisor to his or her own assessment. 3. Unless the PhD candidate consents to a longer assessment term, the supervisor shall make a decision on the request for approval within three months of receiving the manuscript. If the assessment term exceeds this time period, the candidate may request the Board for the Conferral of Doctoral Degrees to instruct the supervisor to make a decision before a specific date. The Board for the Conferral of Doctoral Degrees shall take a decision within 30 days of receiving this request. 4 DOCTORAL THESIS Article 13 Formal requirements for the thesis 1. The doctoral thesis shall either be a scientific treatise on a particular subject, or a number of separate, sufficiently coherent scientific treatises, all or some of which have already been published as articles. 2. An article written by more than one person may be accepted as part of the thesis, only if the candidate is the primary author. 3. If a thesis consists of a number of separate scientific papers, the following provisions apply: a. Apart from the later mentioned introduction and conclusion sections, a minimum of four papers need to be included in the thesis. b. A minimum of three papers should have been or are to be published in international academic journals where the editorial board sends the papers for independent peer review prior to publication. c. The fourth paper either meets the same requirements, or has been published in an international academic publication (e.g. edited book), of which the independent contributions have been independently peer reviewed prior to publication.
6 d. A minimum of two papers need to have been accepted for publication. A third paper needs to at least have passed a first review by the referees as mentioned under 3b, without being rejected. A fourth paper needs to have been submitted to the editors and been given for peer review to the referees as mentioned under 3b. e. The candidate shall add an introduction and a conclusion in which he or she explains the coherence between the various papers. Article 14 Other form requirements 1. The thesis shall be written in English or Dutch. Subject to the approval of the Board for the Conferral of Doctoral Degrees, the thesis can also be written in another language. 2. In case the thesis consists of a number of separate academic papers, the thesis must be entirely written in English, or, with the permission of the Board for the Conferral of Doctoral Degrees, in another language. Papers that are originally written in another language than that of the thesis need to be translated. 3. If the thesis is written in Dutch, an English translation of the title and summary of the contents should be included. If the thesis is written in English, a Dutch translation of the title and summary of the contents should be included. If the thesis is written in a language other than Dutch or English, both Dutch and English translations of the title and content summary must be included. 4. The thesis should contain a concise curriculum vitae of the PhD candidate. 5. The thesis must be available in both print and in digital formats for the purpose of the doctoral thesis defence ceremony and for public distribution as specified in Instructions to the PhD candidates. 6. The thesis should be formatted and printed in compliance with the regulations of the Board for the Conferral of Doctoral Degrees specified in Instructions to the PhD candidates 7. With the approval of the Board for the Conferral of Doctoral Degrees, the thesis may include additions that, in the strict sense, fall outside the scope of a scientific treatise. 8. In the case of a joint thesis, this article shall apply equally to each of the concerned PhD candidates. 5 ASSESSMENT COMMITTEE Article 15 Organization 1. The Board for the Conferral of Doctoral Degrees shall establish an Assessment Committee within two weeks of notification of approval of the thesis manuscript. 2. The committee members shall be recommended by the supervisor and approved by the Rector. 3. The supervisor shall ensure that both the chairperson and the members of the Assessment Committee receive copies of the approved manuscript. Article 16 Committee members 1. The Board for the Conferral of Doctoral Degrees shall appoint four or five members to be voting members of the Assessment Committee. At least four of the voting members shall be professors of a Dutch or international university, or emeritus professors who are still authorized to award doctoral degrees. 2. The Rector chairs the Assessment Committee and has an advisory role. The Rector may be substituted by a professor of the university who is not a voting member. The chairperson represents the Assessment Committee both judicially and extrajudicially. Article 17 Acceptance to the doctoral thesis defence 1. Within one month of receiving the manuscript, the Assessment Committee shall decide whether the manuscript demonstrates the capability of the candidate for the independent pursuit of research to such an extent that the candidate shall be allowed to defend his or her thesis. In exceptional cases, the Board for the Conferral of Doctoral Degrees may extend this term by a specific number of days. 2. Even in cases where the thesis consists of a number of separate articles or papers that have been reviewed by the independent referees as stated in article 13, paragraph 1, the Assessment Committee will form an independent decision as mentioned in article 17, paragraph All members of the Assessment Committee shall separately submit a written voting statement on the acceptance of the candidate to the doctoral thesis defence. If the members of the Assessment Committee are unanimously of the opinion that the candidate should be allowed to defend the thesis, the chairperson may decide not to summon the Assessment Committee. In case one or more of the members of the Assessment Committee vote against the acceptance of the candidate, the chairperson shall summon the Assessment Committee for a gathering where the supervisor and co-supervisor will be heard. 4. The Assessment Committee can, with a maximum of one vote against or one abstention, decide in favour of the acceptance of the candidate to the doctoral thesis defence. Before doing so, in the case of an opposing vote the committee will present the thesis to one or more advisers. An adviser can be anyone who holds a doctorate in the field specifically relevant to the thesis, and who was not involved in the research that serves as the basis for the thesis. Only after having obtained this external advice can the committee give its final decision.
7 5. The Assessment Committee does not propose alterations or additions to the thesis, and it attaches no conditions in this respect to the decision of acceptance to the defence. Article 18 Cum laude designation (i.e. doctorate with distinction ) 1. The Assessment Committee, after approval by the Rector, may recommend the Doctoral Examination Committee to confer upon the PhD candidate a degree with a cum laude designation. 2. Before deciding on the recommendation as referred to in Section 1, the Rector shall seek the advice of at least one external expert in a relevant scientific area who was not involved in the research that serves as the basis for the thesis. The Rector shall be notified by the Assessment Committee of the name(s) of the expert(s) at least four weeks before the date of the defence. 1. The recommendation by the Assessment Committee to award a degree with a cum laude designation shall be made unanimously and with the consent of the supervisor. The supervisor shall first consult with the cosupervisor before giving his or her consent. 2. The Rector shall notify the Doctoral Examination Committee of the recommendation to award a doctorate with a cum laude designation at least five working days before the graduation date. Article 19 Postponement of the doctoral thesis defence If the PhD candidate fails to submit his thesis in compliance with Article 15 and the Instructions to the PhD candidates, the chairperson of the Board for the Conferral of Doctoral Degrees may decide to postpone the doctoral thesis defence ceremony. 6 DOCTORAL THESIS DEFENCE CEREMONY Article 20 Ceremony date The Rector shall, on proposal by the supervisor, set the place, date and time of the doctoral thesis defence ceremony. Article 21 Doctoral Examination Committee 1. The candidate shall defend his thesis in the presence of a Doctoral Examination Committee, which shall be established by the Board for the Conferral of Doctoral Degrees. 2. The members of the Doctoral Examination Committee are appointed at the recommendation of the supervisor and with the consent of the Rector. 3. The Doctoral Examination Committee shall consist of: a. all voting members of the Assessment Committee; b. the supervisor and, if applicable, the co-supervisor; c. other professors and associate professors of the university, provided that, in addition to the chairperson and the supervisor, at least two members of the Doctoral Examination Committee have the status of professors at the university. If the Assessment Committee has submitted a recommendation to award a degree with a cum laude designation, at least three members of the Doctoral Examination Committee must have the status of professors at the university, in addition to the chairperson and the supervisor. 4. The Rector is chairman of the Doctoral Examination Committee and serves an advisory role. The Rector may appoint a professor of the university to act as his or her deputy. The chairperson represents the Doctoral Examination Committee both judicially and extrajudicially. 5. The supervisor acts as the secretary of the Doctoral Examination Committee. 6. Emeritus professors and guests may be invited to join the Doctoral Examination Committee in an advisory capacity. Article 22 Objections 1. All members of the Doctoral Examination Committee have the right to raise objections. The supervisor shall ensure that a sufficient number of committee members have expressed their willingness to raise objections. 2. Subject to the consent of the Rector, anyone who holds a doctorate and is an expert in the subject area of the thesis is permitted to raise objections. 3. Subject to consent from the Board for the Conferral of Doctoral Degrees, recognized experts in the subject area of the thesis who do not hold doctoral degrees may be permitted to raise objections. 4. Joint theses shall be separately defended by each candidate, if possible one after the other on the same day. Article 23 Graduation session 1. The chairperson of the Doctoral Examination Committee shall regulate the discussion in such a way that the candidate is given the opportunity to respond each time an opponent has raised an objection. 2. The session, unless decided otherwise by the chairperson, shall be adjourned 45 minutes after its commencement. The Beadle shall announce the end of the 45 minute period with the words Hora est (Latin: It
8 is time ). The chairperson shall then adjourn the session, after which the Doctoral Examination Committee shall retreat for closed-door deliberations. Article 24 Deliberations 1. During the deliberations referred to in Article 23, Section 2, the secretary and the chairperson of the Doctoral Examination Committee shall present their evaluations, taking into account any minority opinions. 2. The Doctoral Examination Committee shall decide on the conferral of the doctorate taking into consideration the defence of the thesis by the candidate. If any member of the Doctoral Examination Committee so desires, a poll shall be conducted. All committee members have voting rights, and the doctorate shall be awarded only in case of a clear majority. In the case when the votes are equally divided, the doctorate shall not be awarded. 3. If the Assessment Committee has recommended awarding a doctoral degree with a cum laude designation to the candidate, a poll shall be conducted. If more than one member of the Doctoral Examination Committee votes against this proposal, the cum laude designation shall not be awarded. 4. If the doctorate is awarded, both the chairperson of the Doctoral Examination Committee and the supervisor shall sign the doctoral degree certificate. The co-supervisor shall also sign the certificate. The cum laude designation, if awarded, shall be added to the certificate. Article 25 Announcement of the decision 1. After the deliberations referred to in Article 23, Section 2 have been concluded, the chairperson of the Doctoral Examination Committee shall reopen the session and announce the Committee's decision. 2. If the doctorate is awarded, the supervisor, under the authority of the chairperson of the Assessment Committee, shall confer on the candidate the doctoral degree and present him with the certificate as referred to in Article 24, Section 4. The supervisor shall also be the one to announce the awarding of a cum laude designation, should this be the case. 3. The supervisor or, subject to permission of the chairperson of the Doctoral Examination Committee, the cosupervisor, shall express his or her opinion about the thesis and, if desired, the scientific qualities of the PhD candidate. He or she may add some words of appreciation. 7 SETTLEMENT OF DISPUTES Article 26 Arbitration 1. The Rector shall, at the request of any of the parties involved, offer to serve as the arbitrator: a. if a professor refuses to accept his or her appointment as supervisor or withdraws his or her acceptance; b. if a dispute arises between the supervisor and the co-supervisor or between the supervisor and the candidate while the candidate is writing the thesis; c. if a dispute arises between the supervisors, between the supervisor and the co-supervisor or between the supervisor and the candidate about the approval of the manuscript; d. if the Assessment Committee does not grant acceptance to the candidate to defend his thesis. 2. If the Rector himself is the supervisor of the PhD candidate involved or a voting member of the Assessment Committee, the Board for the Conferral of Doctoral Degrees shall appoint a professor to serve as the arbitrator. 3. The arbitrator shall hear the parties involved in order to reach an amicable solution. The arbitrator shall present his or her findings and reasoned conclusions in a written report, which he or she shall discuss with all the parties involved. The report and a written summary of this discussion shall be sent to the parties involved and to the Board for the Conferral of Doctoral Degrees. Article 27 Ruling by the Board for the Conferral of Doctoral Degrees 1. If the process of arbitration, as outlined in Article 26, fails to result in an agreement within one month, either one or both parties may submit a written request to the Board for the Conferral of Doctoral Degrees to settle the dispute. 2. Within one month of receiving the request, the Board for the Conferral of Doctoral Degrees shall establish an Advisory Committee to advise the Board on the presented dispute. The committee shall be composed of three professors who have not been involved in the doctoral research and are non-voting members of the Assessment Committee. 3. The Advisory Committee, formed as mentioned in Section 2 above, shall hear all the parties involved and shall be authorized to consult any experts. The committee shall present its findings in a written report. 4. Within two months of its establishment, the Advisory Committee, referred to in Section 2, shall submit its recommendations to the Board for the Conferral of Doctoral Degrees in the form of a well-reasoned draft decision, accompanied by the report referred to in Section The Board for the Conferral of Doctoral Degrees shall settle the dispute within one month of receiving the recommendations by the Advisory Committee as elaborated in Section 4.
9 CHAPTER 2 HONORARY DOCTORATE Article 28 Honorary doctorate An honorary doctorate can be awarded to anyone: a. who has conducted research which proved to be of exceptional significance to the academic practice at the university or to science in general; b. who has made, either academically, culturally, or socially, an outstanding contribution, directly or indirectly, to academic education and research. Article 29 Consultation with the Supervisory Board of the University 1. If the Board for the Conferral of Doctoral Degrees intends to accept a recommendation to award an honorary doctorate as submitted by the Rector, it shall consult confidentially with the Supervisory Board. 2. Following notification by the Supervisory Board, the Board for the Conferral of Doctoral Degrees decides whether the honorary doctorate shall be awarded. Article 30 Decision on the awarding of an honorary doctorate 1. If the Board for the Conferral of Doctoral Degrees has decided to award an honorary doctorate, it shall also appoint one or more university professors to act as supervisor/supervisors. 2. The decision by the Board for the Conferral of Doctoral Degrees shall be confidentially communicated to the candidate, the supervisor, the Executive Board and the Supervisory Board. 3. The decision shall only be made public after the candidate has declared willingness to accept the honorary doctorate. Article 31 Public session 1. The honorary doctorate shall be awarded by the Board for the Conferral of Doctoral Degrees in a special public session. 2. By order of the Rector, the supervisor shall award the honorary degree to the candidate, expressing words of praise and recognition. 3. As evidence of the title awarded, the honorary doctor shall receive a cappa (i.e. a small honorary gown) and a degree certificate signed by the Rector and the supervisor.
10 CHAPTER 3 OTHER PROVISIONS Article 32 With the adoption of these regulations, the following will expire: a. The previous Doctoral Degree Regulations as last instituted on 23 September b. The Scheme registration and monitoring research external candidates, dated 11 May c. The decision dated 29 March 1999 stating that An external supervisor will be appointed for all Doctoral Degree candidates, unless there are obvious reasons to deviate from this rule. Article In all cases not covered by the Doctoral Degree Regulations, the Board for the Conferral of Doctoral Degrees shall be responsible for the decision. 2. In exceptional cases, the Board for the Conferral of Doctoral Degree may deviate from the Doctoral Degree Regulations. Article 34 These regulations shall come into force on the date of adoption. As laid down by order of the Board for the Conferral of Doctoral Degrees on 15 September The official language of the Doctoral Degree Regulations is Dutch. In the event of discrepancies or ambiguity between the original Dutch version of these Regulations and this translation, the Dutch text shall prevail.
DOCTORAL DEGREE REGULATIONS UTRECHT (The texts printed in grey refer to articles from the Higher Education and Research Act (Dutch abbreviation: W.H.W.)) Article 7.19 W.H.W. Doctoral Degree Regulations;
DOCTORAL DEGREE REGULATIONS UTRECHT (The texts printed in grey are articles from the Higher Education and Research Act (Dutch abbreviation: W.H.W.)) Article 7.19 W.H.W. Doctoral Degree Regulations; the
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