Doctorate Regulations

Transcription

1 Board for Doctorates Doctorate Regulations First published 2004 / Amended version January 2012 Delft University of Technology

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3 Doctorate Regulations First published 2004 /Amended version January 2012 Board for Doctorates Delft University of Technology Further information regarding these Doctorate Regulations may be obtained from: The Office of the Beadle (Administrative Support) Tel: +31(0) of 64

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5 The Doctorate Regulations were established on 18 February 2004 and amended on 27 February 2008 and 26 May These regulations were amended again on 18 December 2011 and adopted by the Chairman. The Decision in question is appended to these Regulations. The amendments are effective from 1 January Professor K.C.A.M. Luyben Rector Magnificus Chairman of the Board for Doctorates TU Delft 3 of 64

6 Foreword The public defence and conferral of the doctorate take place in the presence either of the Board for Doctorates itself or of a Doctoral Committee appointed by the Board for Doctorates which comprises professors and other competent academic authorities. While this body is also responsible for the conferral of honorary doctorates, the procedure for such conferral falls outside the scope of these Regulations. The Board for Doctorates is composed of the Faculty Deans, the Rector Magnificus as chairman and the Vice-Rector as deputy chairman. A dean can appoint a professor from his faculty to take his place on the Board for Doctorates. No distinction is made between regulations and procedural rules. All rules are included in the Doctorate Regulations (Part I). Explanations and rules which may be only temporary in nature are included in Part II. The division into chapters has been chosen so as to give a clear presentation of the responsibilities of all parties concerned. As a result, the individual articles place less stress on the procedure to be followed. This procedure is clearly set out in Part III, which summarises the sequence of actions and the minimum time schedule. The doctoral defence procedure comprises a number of specific moments. To prevent either the promotor or the PhD candidate from becoming bewildered by a plethora of administrative details, this procedure has been standardised as far as possible. The use of standard forms, for instance, means that participants can count on the greatest possible administrative dispatch. Part IV of these Regulations contains examples of these standard forms, while Part V closes with an overview of the relevant articles in the Dutch legislation. The revisions in the January 2012 version concern primarily the establishment of the TU Delft Graduate School: Article 1.1: definitions; Articles 2.2 and 2.3: Admission to the doctorate programme; Articles 5.1 and 5.7 to 5.12: Registration of candidacy, appointment of promotor and Doctoral Education (DE) Programme; Article 13.1: The results of the DE Programme followed by the PhD candidate and the role of the PhD candidate therein; Article 13.3: The members and advisors of the Doctoral Committee send written notice of their assessment; Part III: The order of events in the doctoral defence procedure and the minimal time schedule, also the related articles; Other minor changes to the text. The Office of the Beadle will be pleased to provide additional information on the administrative aspects of the doctoral regulations. The Vice-Rector can provide further information on the regulations themselves. Delft, January of 64

7 The Minimal Time Schedule Graduate School / Preparations for the Doctoral Defence (the numbers in brackets refer to the Articles in these Regulations) Step When PhD Candidate Promotor University Graduate School Office of the Beadle 1 week 1 to 4 1) Agrees on topic of thesis with proposed promotor [2.2a] 2) Intake interview, diploma check and registration of proposed promotor [2.2a] 3) Informs parties concerned of registration [2.2b] 2 week 4 to 14 1) Agrees on supervision and Doctoral Education (DE) programme with proposed promotor and sends a report via DMA [2.2c, 5.9] 2) Approves report in DMA 3) Starts DE programme [2.2c] 3 after 6 months 1) Progress review meeting with PhD candidate 4 after 12 months 1) Go/No go interview [2.4] 2) Submits Go statement and PROM-02 request to the Board for Doctorates (BfD) [5.7] 3) Informs parties concerned of decision BfD [5.8] 5 after 24 months 2) Sends report on R&D meeting to promotor via DMA 1) R&D Meeting with PhD candidate 3) Approves report in DMA 6 after 36 months 2) Sends report on R&D meeting to promotor via DMA 1) R&D Meeting with PhD candidate 3) Approves report in DMA 7 Later on 1) Completes DE programme 5 of 64

8 The Minimal Time Schedule Graduate School / Preparations for the Doctoral Defence (the numbers in brackets refer to the Articles in these Regulations) Step When PhD Candidate Promotor Office of the Beadle 8 No later than 2) Submits PROM x DT to Beadle 1) approves draft thesis (DT), signs 3) checks completion of DE programme 11 weeks in and fixes provisional defence date PROM-03 [10.1] before fixing defence date with PhD advance [13.1] candidate. [13.1] 4) Submits composition proposal for 5) Sends DT to proposed committee a Doctoral Committee to Board members. Informs Beadle of date of for Doctorates (BfD) via Beadle dispatch [13.2] PROM [12.1] 9 No later than 3) Processes suggested changes in 2) Promotor receives any suggested 1) Informs committee members of 3 weeks after consultation with promotor [13.4] changes to thesis and responds to appointment and response time, refers dispatch of DT suggested changes (if any) [13.4] to dispatch date DT [12.2] 10 No later than 1) Has received assessments of committee 5 weeks after members [12.3, 13.3] dispatch of DT 11 No later than 1) Submits definitive thesis and 2) Approves thesis with PROM-06 [18.2] 4) Approves title page and propositions 6 weeks in propositions to Promotor for approval and initials propositions [18.4] [18.5] advance [18.3] 8) Submits any cum laude proposals with 3) Submits PROM-06, propositions (2x) letters of recommendation to BfD via 5) Informs PhD candidate and promotor and title page (2x) to Beadle [18.5] Beadle [24.2] of admission to the defence ceremony [18.7] 6) Has thesis and propositions printed [19.1] 7) Schedules appointments with Beadle and chairman of the Doctoral Committee on arrangements for defence ceremony [20.2, 20.3] 12 No later than 1) Distributes thesis and propositions [19] 3) Arranges announcement of defence 2 weeks in ceremony [20.2] advance 2) Has meetings with Beadle and chairman of the Doctoral Committee [20.2, 20.3] 4) Receives DE certificate from Faculty Graduate School 13 Doctorate 3) Gives presentation [20.4] and defends 1) The Promotor and the Doctoral 2) Assists with strict execution of protocol Defence thesis [22.1] Committee are present in good time Ceremony [21.4] 6 of 64

9 Contents Part I Doctorate regulations 9 Chapter 1 General Conditions 10 Article 1 Definitions 10 Article 2 Admission requirements 12 Article 3 The doctorate 13 Article 4 Confidentiality 14 Chapter 2 The PhD candidate 15 Article 5 The PhD candidate, appointment of promotor and the DE Programme 15 Article 6 Draft thesis preparation and the responsibilities of the PhD candidate 16 Chapter 3 The promotor 17 Article 7 The promotor 17 Article 8 The promotor s tasks and responsibilities 18 Article 9 The copromotor 18 Article 10 Approval of draft thesis 19 Chapter 4 The doctoral committee and the assessment of the draft thesis 20 Article 11 Composition of the Doctoral Committee 20 Article 12 Installation of the Doctoral Committee 21 Article 13 Assessment of the draft thesis by the Doctoral Committee, the results of the DE Programme followed by the PhD candidate and the role of the PhD candidate therein 21 Chapter 5 The doctoral thesis and propositions 23 Article 14 Content of the doctoral thesis 23 Article 15 Language of the thesis 24 Article 16 Form of the thesis 24 Article 17 Propositions 25 Chapter 6 Admission to the doctoral defence ceremony 26 Article 18 Approval of the doctoral thesis and propositions 26 Article 19 Distribution of the thesis and propositions 27 Chapter 7 The doctoral defence ceremony 28 Article 20 Preparations 28 Article 21 The defence ceremony 28 Article 22 Protocol 29 Article 23 Investiture with a doctorate 30 Article 24 Investiture with a doctorate cum laude 31 Chapter 8 Procedure for settling disputes 33 Article 25 Disputes 33 Chapter 9 Final and interim provisions 34 Article 26 Final provisions 34 7 of 64

10 Article 27 Interim provisions 34 Part II Explanatory notes 33 a. Admission to the doctorate (Article 2.1 a) 36 b. Composition of the Doctoral Committee (Article 11) 36 c. Standard forms (Article 1.4) 36 d. Research financing (Article 5.7) 37 e. The title page and its reverse (Article 16.2) 37 f. Approval of the propositions (Article 17.1) 40 g. The costs and distribution of the thesis (Article 19) 40 h. Press releases (Article 19.4) 40 i. Publication of a summary of the thesis (Article 19.3) 40 j. Clothing protocol during the defence ceremony (Article 22) 40 k. Investiture formulas (Article 23) 41 Part III The order of events in the doctoral defence procedure and the minimal time schedule 43 The Minimal Time Schedule Graduate School / Preparations for the Doctoral Defence IV Examples of standard forms 49 V Relevant extracts from the Dutch Higher Education and Scientific Research Act 57 VI Information on propositions 61 8 of 64

11 I. Part I Doctorate Regulations

12 Chapter 1 General Conditions Article 1 Definitions 1.1 These Regulations employ the following definitions: Act : the Dutch Higher Education and Scientific Research Act, known in the Netherlands as the Wet op het hoger onderwijs en wetenschappelijk onderzoek, or WHW; Advisor : an expert nominated by the promotor and appointed in an advisory capacity to the Doctoral Committee by the Board for Doctorates; Beadle : official responsible for the ceremonial aspects of the doctoral defence ceremony and for ensuring compliance with protocol; Board for Doctorates : the board for doctorates of the university within the meaning of Article 7.18 section 4 and Article 9.10 of the Act; Copromotor : person appointed by the Board for Doctorates to assist the promotor in supervising the PhD candidate; Diploma : the certificate, signed by the chairman of the Doctoral Committee, the promotor(s) and the copromotor, which confers the degree of Doctor to the recipient; DMA : Doctoral Monitoring Application: web-based tool used by the organisation and the PhD candidate to track the status of the doctorate programme; Doctoral agreement : an agreement (not a contract of employment) between the promotor, the PhD candidate and the daily supervisor to complete the doctorate within 4 years; Doctoral Committee : the committee appointed by the Board for Doctorates whose presence is required for the conferral of a doctorate; Doctoral Defence Ceremony : the public session of the Board for Doctorates or the Doctoral Committee during which the PhD candidate defends his doctoral thesis together with its propositions and appendices, or his doctoral design, in order to obtain the conferral of a doctorate; Doctoral Design : the original, technically innovative design proposal, within the meaning of Article 7.18, section 2b of the Act, which meets the requirements defined in these Regulations; DE programme : mandatory Doctoral Education(DE) programme followed by a PhD candidate, as set out in Articles 5.9 to 5.12 of these regulations; Doctoral Examination Working Committee : a committee appointed by the Board for Doctorates, comprising the Rector Magnificus, the Vice-Rector and the other acting rectors involved in the doctoral defence ceremony; Doctoral thesis : the academic dissertation, within the meaning of Article 7.18, section 2b of the Act, which meets the requirements defined in these Regulations; 10 of 64

13 Doctorate programme : the period from registration of candidacy up to and including the defence ceremony; Draft thesis : the draft text of the doctoral thesis or the documentary supplements to the doctoral design, which is presented for approval to the promotor and then to the Doctoral Committee for assessment. Faculty : the university faculty covering the academic field in which the subject of the thesis lies; Faculty Graduate School : every faculty has a graduate school chapter, which is headed by a director; First-year PhD candidate : PhD candidate who is still awaiting a Go/No go decision and has not yet been formally admitted to the doctorate programme by the Board for Doctorates Go/No go interview : appraisal interview at the end of the first year in which the proposed promotor decides whether the first-year PhD candidate is capable of achieving a doctorate within four years; PhD candidate : the person admitted to the doctorate by the Board for Doctorates; professor : a professor within the meaning of Article b of the Act and Article 7.2 of these Regulations; Promotor : the professor or emeritus professor appointed by the Board for Doctorates in accordance with Article 7.18, section 5 of the Act; Proposed promotor : professor who has reached agreement on a doctoral research topic with a first-year PhD candidate. In the event of a Go decision he requests the Board for Doctorates to appoint him officially as promotor; Propositions : the claims attached to the doctoral thesis or doctoral design (including appendices), the truth of which the PhD candidate wishes to demonstrate; Rector Magnificus : the Rector Magnificus of the university and chairman of the Board for Doctorates, or the Vice-Rector at the doctoral defence ceremony; TU Delft Graduate School : the Graduate School of the university as described in Article 18a of the Executive and Management Regulations of TU Delft; which consists of the Faculty Graduate Schools together with the University Graduate School; University : TU Delft, within the meaning of the relevant Dutch legislation (Wet openbare universiteit te Delft), unless otherwise specified; University Graduate School : The Graduate School office which exists alongside the Faculty Graduate Schools. Vice-Rector : the deputy chairman of the Board for Doctorates and chairman of the Doctoral Examination Working Committee. 1.2 Where these Regulations, the explanatory notes or the appendices a. make use of male pronouns, these should be read as female pronouns in the event that they refer to a female person; b. refer to Articles, they refer to Articles in these Regulations, unless otherwise specified. 1.3 Where these Regulations make reference to: a. a promotor, this should be understood to mean promotors in the event that more than one promotor has been appointed; b. a thesis, then this can mean part of a thesis, a doctoral design, or the documentary supplements to a doctoral design; c. a professor in the sense of the (proposed) promotor, this should be read as professors in the event that more than one promotor has been appointed. 11 of 64

14 1.4 Where these Regulations refer to written requests, proposals and explanations standard forms should be used. These are described in the Explanatory Notes (Part II, section c) and in Part IV of these Regulations, and can be downloaded from the TU Delft website. 1.5 The written notification of decisions taken by the Board for Doctorates with regard to submitted requests and proposals consists of a copy of the relevant standard form signed on behalf of the Board. Admission to the doctorate Article 2 Admission requirements 2.1 Admission to the doctorate can be granted to any person who, in accordance with Article 7.18, section 2 of the Act: *The decision-making process concerning the insertion of this article in the Executive and Management Regulations of TU Delft was not concluded at the time of this Regulation s publication. Upon its resolution, this article s text will be placed on the website. a. has been granted a Master s degree in accordance with Article 7.10a, section 1, 2 or 3 of the Act [2], and b. has written a doctoral thesis, as a demonstration of his ability to carry out independent academic research, and c. meets all the remaining requirements specified in these doctorate regulations. 2.2 Admission to a doctorate programme a. In order to be admitted to a Doctorate programme the applicant must consult with a professor in the discipline and decide on a research topic, a working title for the thesis and whether the professor is willing to act as promotor. This professor is thereafter referred to as the (proposed) promotor. The applicant must also register with the University Graduate School and present: an authenticated copy of the degree certificate referred to in Article 2.1, section a; a valid passport. b. The University Graduate School ensures that the applicant as soon as possible receives a statement signed by the Rector Magnificus on behalf of the Board for Doctorates to confirm his registration as a first-year candidate c. After receiving the statement referred to in b, the first-year candidate is required to: reach agreement with the proposed promotor on the nature of the supervision and the content of the Doctoral Education Programme; acquire a copy of the Doctorate Regulations; register for the Doctoral Education Programme at the Graduate School. A Admission to a Doctorate Programme for candidates who do not meet the academic requirement in Article 2.1, section a 2.3 Applicants who do not meet the academic requirement described in Article 2.1, section a, may submit a request for this requirement to be waived, for instance on the grounds that a course at a foreign institute of academic education has been successfully completed. In such cases, the following procedure should be adopted: Applicants who do not meet the above-mentioned academic requirement may request that it be waived on the basis of a successfully completed Master s programme at a foreign institute of academic education. The procedure is as follows: a. The applicant must reach agreement with the most willing professor in accordance with Article 2.2, section a and register with the University Graduate School. He must present: b. authenticated copies of the foreign certificates; the accompanying transcript of records; authenticated Dutch or English translations of the certificates and transcript of records if these are not in Dutch, English, German or French; a valid passport. 12 of 64

15 c. Acting on behalf of the Board for Doctorates, the University Graduate School verifies the certificates, assesses the transcript of records (and any authenticated translations) and tests the educational programme against Dutch educational criteria. d. The University Graduate School will inform the applicant as soon as possible whether the waiver has been granted and whether he has been registered as a first-year candidate. If so, the applicant will receive a written statement to this effect signed by the Rector Magnificus or the Vice-Rector on behalf of the Board for Doctorates. e. After receiving the statement referred to in d, the first-year candidate is required to: reach agreement with the proposed promotor on the nature of the supervision and the content of the Doctoral Education Programme; acquire a copy of the Doctorate Regulations; register for the Doctoral Education Programme at the Graduate School. B. Other cases Applicants who do not meet the academic requirement described in Article 2.1, section a and who have not successfully completed a Master s programme at a foreign institute of academic education may request that this requirement be waived on the basis of a statement signed by the director of the Faculty Graduate School. The procedure is as follows: a. The applicant must reach agreement with the most willing professor in accordance with Article 2.2, section a and register with the University Graduate School. He must present: b. an authenticated copy of his certificate at the highest level; a valid passport; a curriculum vitae; the written advice from the director of the Faculty Graduate School; If the certificate was not attained in the Netherlands, the following documents are also required: a transcript of records accompanying the certificate; authenticated Dutch or English translations of the certificate and transcript of records if these are not in Dutch, English, French or German. c. Acting on behalf of the Board for Doctorates, the University Graduate School verifies the certificate, the statement and the curriculum vitae. d. The University Graduate School informs the applicant as soon as possible whether the waiver has been granted and whether he has been registered as a first-year candidate. If so, the applicant will receive a written statement to this effect signed by the Rector Magnificus or the Vice-Rector on behalf of the Board for Doctorates. e. After receiving the statement referred to in d, the first-year candidate is required to: reach agreement with the proposed promotor on the nature of the supervision and the content of the Doctoral Education Programme; acquire a copy of the Doctorate Regulations; enrol for the Doctoral Education Programme at the Graduate School. 2.4 The Faculty Graduate School ensures that an appraisal meeting (Go/No go interview) takes place between the first-year PhD candidate and the proposed promotor before the end of the first year. The proposed promotor decides in good time whether he regards the first-year PhD candidate as capable of successfully completing the doctorate programme within four years. Article 3 The doctorate 3.1 The doctorate may be awarded by the university after the PhD candidate has successfully defended his thesis in public in the presence of the Board for Doctorates, or the Doctoral Committee appointed by the Board. 3.2 The award of the doctorate must be approved by the Board for Doctorates. 13 of 64

16 3.3 This Article does not apply to the award of an honorary doctorate within the meaning of Article 7.19, section 2 of the Act. Article 4 Confidentiality All those present at the closed sessions mentioned in these Regulations are required to treat the matters discussed as strictly confidential. 14 of 64

17 Chapter 2 The PhD candidate Article 5 The PhD candidate, appointment of promotor and the DE Programme 5.1 A first-year PhD candidate can only be recognised and designated as such after he has received the statement from the Rector Magnificus or the Vice-Rector (referred to in Article 2 of these Regulations). 5.2 Doctoral research or experimental designs carried out at the university must be clearly related to an academic area being researched by one or more professorial chairs at the university, given the desirability of involving the university s academic staff in the preparation of the thesis. 5.3 If the research underlying the thesis has been carried out under the supervision of a given professor, then as a rule the first-year PhD candidate is expected to put that professor forward for designation as the doctorate promotor. An exception to this rule may be made only after a detailed written request has been submitted to the Board for Doctorates; after hearing the parties involved, the Board will act according to its discretion. 5.4 In the event that the agreement described in Article 5.1 is not reached, or if only a provisional agreement is reached, then the most appropriate party may present a reasoned argument of their case to the Board for Doctorates, which will act according to its discretion. 5.5 No more than two professors may supervise any doctorate programme; if a copromotor has been appointed, no more than one professors may act as promotor. In exceptional circumstances the Board for Doctorates may appoint three professors as promotors, or two as promotors and one as copromotor. 5.6 In the event that the first-year PhD candidate requests that a promotor be a professor from a university other than TU Delft, the Board for Doctorates reserves the right, after having consulted the proposed promotor, to nominate a professor from within the university as (co-) promotor. 5.7 At the request of the proposed promotor and within a month of the Go/No go interview between the proposed promotor and the first-year PhD candidate, the Faculty Graduate School will ask the Board for Doctorates to grant the first-year PhD candidate formal admission to the doctorate programme through the intermediation of the Office of the Beadle; i.e. he will be able to make preparations for the doctorate and will be allocated a promotor, and (in some cases) a copromotor. This admission request must be accompanied by the final Go/No go decision from the proposed promotor that the first-year PhD candidate is capable of successfully completing the doctorate within four years. 5.8 After the request for registration of candidacy and appointment of a promotor has been received, the Board for Doctorates will inform the PhD candidate as soon as possible in writing via the Office of the Beadle that he has been formally admitted to the doctorate programme, and that a promotor has been appointed. The promotor is also informed. If admission is denied, the reasons will be stated in a written notification. 15 of 64

18 5.9 The PhD candidate is required to follow the DE Programme offered by the Graduate School described in The DE Programme consists of components that develop generic, research and discipline-related skills The Board for Doctorates can grant exemption from the DE Programme when: a. the PhD candidate has a contract of employment with the university without doctorate obligation. b. the PhD candidate does not have a contract of employment or a doctorate agreement with the university but does intend to take a doctorate at the university. c. the faculty that the PhD candidate belongs to did not have a Faculty Graduate School when the PhD candidate started his research The persons referred to in 5.11a, 5.11b and 5.11c may participate voluntarily in the DE Programme. This is subject to further conditions. Article 6 Draft thesis preparation and the responsibilities of the PhD candidate 6.1 The PhD candidate shall carry out the research underlying the thesis independently or shall be responsible for an essential contribution thereto. This research can relate to a doctoral design as described in Article Research carried out together by two or three PhD candidates can form the foundation for a joint thesis, provided the stipulations laid down in Article 14.5 are met. 6.3 The PhD candidate is responsible for the academic contribution made by the thesis. 6.4 The PhD candidate is responsible for ensuring that the research: a. takes place in accordance with the professional code of conduct applying to professional activities carried out in the academic field concerned; b. has the full and informed consent of those involved, or of their appointed representative, in the event that the thesis requires that tests be carried out on or with the cooperation of test subjects; c. conforms to the laws concerned, in the event that the research makes use of laboratory animals, hazardous (e.g. radioactive) materials, hazardous (e.g. biological) substances etc.; d. is not subjected to the imposition of restrictions inconsistent with academic freedom and the freedom of publication of research data and results, including where research has been partly or wholly financed by third parties. 16 of 64

19 Chapter 3 The promotor Article 7 The promotor 7.1 The Board for Doctorates appoints a university professor within the meaning of Article 7.18 of the Act as promotor. 7.2 A professor attached to a foreign institute of academic education having equal standing can also act as a promotor at the university in the event that he possesses this authority in the country of the institute concerned by virtue of procedures which correspond with the professorial appointment procedures employed in Dutch universities. Professors attached to Dutch institutes providing international courses may act as promotors only if they also have a university professorial appointment. 7.3 Close relatives of the PhD candidate or other persons whose relationship with the PhD candidate is such that they cannot reasonably be expected to state an opinion about him do not come into consideration as (proposed) promotor. 7.4 Emeritus professors retain the ius promovendi for a period of five years following their retirement or for five years after termination of a temporary contract of employment. They should submit a written request to the Board for Doctorates no less than 30 days before their retirement date in order to receive permission to act as promotor for one or more named PhD candidates after their retirement, with the proviso that they must already have been appointed as promotor by the Board for Doctorates for the named PhD candidate(s). This request, together with a list of PhD candidates, must be co-signed by the Dean of the faculty in question, and be accompanied by details of how continuity of supervision is to be assured. 7.5 In certain instances an exception can be made to the stipulations laid down in section 7.4, for instance if the PhD candidate has carried out his research outside the university within a particularly specialised academic subject area for which no professor is employed by the university. In such cases, the Board for Doctorates appointment of a promotor shall depend on the results of written consultations with the dean of the faculty by which the retired professor was employed. 7.6 In the event that the former professor appointed as promotor has not given his approval of the thesis and its propositions to the Board for Doctorates in accordance with Article 18.2 within five years of his departure date, or should it become evident that the promotor has become protractedly or permanently incapable of carrying out his supervisory tasks, then his appointment becomes invalid. The Board for Doctorates shall then, after having consulted with the PhD candidate, appoint another promotor, unless the Board is of the opinion that no new appointment is necessary; this can be the case if more than one promotor was originally appointed. 7.7 The Board for Doctorates shall send written notification of the appointment of a promotor to both PhD candidate and promotor within 30 days of the receipt of the application. 17 of 64

20 Article 8 The promotor s tasks and responsibilities 8.1 The proposed promotor shall ascertain that the first-year PhD candidate has been granted admission to the doctorate in accordance with Article 2 and, after a positive Go/No go interview, shall submit an application to the Board for Doctorates for formal appointment as promotor. He shall supervise the PhD candidate s preparation of the thesis, ensuring in this connection that the research is carried out in accordance with Article The promotor shall send the Board for Doctorates his written acceptance of his appointment as promotor and after approving the draft thesis he shall submit a proposal concerning the composition of the Doctoral Committee, shall approve the definitive doctoral thesis with propositions and shall make the necessary preparations for the doctoral defence ceremony to proceed. 8.3 The supervision described in Article 8.1 is also aimed at ensuring that the draft thesis is presented and approved within a reasonable time after the start of the doctoral research programme. If the doctoral research takes place within the framework of a full-time appointment by the university as PhD candidate, then this reasonable time is deemed to be four years. 8.4 The promotor shall read the draft thesis in its entirety or in instalments, and shall assess the text presented to him on the grounds he has determined, with a view to his responsibility for the thesis, to be the foundation of the doctorate. He shall also give the copromotor, if one has been appointed, timely opportunity to give his opinion of the draft thesis. 8.5 In assessing the draft thesis, the promotor will devote attention to: a. the relevance of the subject; b. the importance of the research question and its precise formulation; c. the originality of the treatment; d. the academic content of the research work: its organisation, analysis, data processing and synthesis; e. the presence of creative proposals in the academic area to which the thesis belongs; f. the critical confrontation of the PhD candidate s own conclusions with existing theories and concepts; g. a well-balanced layout of the thesis, the clarity of its style, and the correct use of language; h. the absence of anything contrary to public order or decency. 8.6 If more than one promotor is appointed, the promotors will determine the division of their tasks in consultation with the PhD candidate. The division of tasks shall be laid down in writing if one of the promotors or the PhD candidate requests this. 8.7 The promotor may propose changes and/or additions to the thesis in consultation with the PhD candidate, the copromotor (if applicable) and others involved in the preparation of the draft thesis. Article 9 The copromotor 9.1 On receipt of a written proposal from the promotor the Board for Doctorates may appoint an assistant professor or associate professor from the university as copromotor. The proposal must describe the role and function of the copromotor and must be co-signed by the copromotor. A full professor cannot be a copromotor. 9.2 The Board for Doctorates can appoint as copromotor any senior staff member working for an academic research institute attached to the university, or for an international 18 of 64

21 training institute with which the university has a joint working relationship. 9.3 A request for a person to be nominated as copromotor may be presented to the Board for Doctorates at any time up to the approval of the draft thesis. 9.4 In the event that the proposed copromotor refuses his nomination or wishes to revoke a previous acceptance of this nomination, then he must give the Board for Doctorates written notification of his decision; the Board for Doctorates shall then act according to its discretion. 9.5 It is the copromotor s responsibility to supervise the PhD candidate in the preparation of the thesis. The promotor and the PhD candidate must be involved in discussions at the faculty on the nature of this supervision. 9.6 The copromotor shall provide the promotor with a brief written assessment of the draft thesis. Article 10 Approval of draft thesis 10.1 If the promotor is of the opinion that the draft thesis meets the requirements made of it and can be accepted as evidence of the PhD candidate s competence to carry out independent academic work, then he shall give the draft thesis his approval and may if applicable also state the copromotor s assessment In the event that the copromotor is of the opinion that the draft thesis does not merit approval, and this opinion is not shared by the promotor, then this shall be regarded as a difference of opinion within the meaning of Article The promotor is obliged to provide both the Board for Doctorates and the PhD candidate with written notification of his approval of the draft thesis, or his refusal to give it this approval, within two months of its receipt. The promotor may postpone this notification only in the event that and as long as the PhD candidate gives his permission In the event that the PhD candidate is of the opinion that the draft thesis is completed and that the promotor has not produced an approval or a rejection within the period specified in Article 10.3, then the PhD candidate can request the Board for Doctorates to instruct the promotor to take a decision on such approval within a given time period. The Board for Doctorates shall take a decision on such a request within a period of 30 days In the event that more than one promotor has been nominated, then the approval of the draft thesis is arrived at in a process of mutual consultation. Should the promotors fail to reach agreement, then each promotor shall bring his own detailed written assessment to the attention of the Board for Doctorates, while sending a copy to the PhD candidate. The Board for Doctorates shall then act according to its own discretion If approval is withheld from the draft thesis, and the requirements of Article 10.3 have been met, then at the PhD candidate s request the Board for Doctorates, after hearing both the PhD candidate and the promotor, may choose to release the promotor from his obligations. The Board shall then appoint another promotor, unless it is of the opinion that such an appointment is unnecessary, as might be the case for instance if more than one promotor was originally appointed. The appointment of another promotor shall take place only after the dean of the faculty concerned has been given an opportunity to put forward any recommendations. 19 of 64

22 Chapter 4 The doctoral committee and the assessment of the draft thesis Article 11 Composition of the Doctoral Committee 11.1 A Doctoral Committee consists of members having voting powers and possible advisors present in an advisory capacity. With the exception of the chairman, they should all be experts in the academic field of the thesis or part of it. Their task, apart from that stipulated in the rest of these Regulations, is to act as opponents (i.e. to pose questions about or make objections to the content of the research) during the ceremonial defence of the thesis. The number of persons in the Doctoral Committee, including the chairman, shall be no fewer than six and no more than eight Members can include individuals who have the right to award PhDs, who hold a post at a Dutch university or equivalent foreign academic institution, as well as associate professors who may or may not hold a university post. Assistant professors can also be granted membership, on the condition that they meet the following requirements: - the request that they do so is made by the PhD promotor; - the assistant professor has made a genuine contribution to the completion of the dissertation in question; - the assistant professor has tenure at the university; - there are no more than two promotors and there is no copromotor The following provisions apply to emeritus professors: a. Former professors who still possess the ius promovendi in accordance with Article 9.1.9, section 3, of the Act, are regarded as professors for the purposes of this article. b. Former professors who are entitled to bear the title professor in the Netherlands in accordance with Article 9.19, section 4, of the Act but who no longer possess the ius promovendi may be admitted as members of the Doctoral Committee after the promotor has submitted a written application to this end, with reasons, to the Board for Doctorates The Rector Magnificus is chairman of the Doctoral Committee; he may however delegate this task to a member of the Examination Working Committee or of the Board for Doctorates The promotor and the copromotor are ex officio members of the Doctoral Committee There shall be at least five professors, including the chairman and the promotor, on the Doctoral Committee In order to ensure independence of the opposition (to the ceremonial defence of the thesis), at least four of the Doctoral Committee members and advisors must not have been directly involved in the doctoral research programme and at least one of these members or advisors must not be attached to the university. The promotor must detail the committee s independence in his proposal for committee composition. The university shall be represented by at least two of its professors, of whom at least one shall not be the promotor. The chairman is not included in the minimum numbers mentioned in this article. 20 of 64

23 11.8 If the Doctoral Committee has six members or contains the minimum number of professors mentioned in Articles 11.6 and 11.7, a professor of the university shall be appointed as substitute Doctoral Committee member. The substitute member shall hold himself in readiness up to ten minutes before the start of the public defence of the thesis, and is called on to participate only if one of the members or advisors is unable to attend No more than two advisors may be included in the Doctoral Committee. An advisor will in general have a doctorate, and may be attached to the university s academic staff or may be an expert not attached to a university. Application for the inclusion of an advisor without a doctorate should be made in writing, with arguments, by the promotor. Article 12 Installation of the Doctoral Committee 12.1 The promotor, through the intermediation of the Office of the Beadle, shall submit, no later than the eleventh week before the provisional defence date, a written proposal for the installation of a Doctoral Committee in accordance with Article 11.7, after he has satisfied himself that the proposed Doctoral Committee members and advisors are prepared to accept their nominations, and the contact details of all proposed members and advisors Within three weeks of receipt of the proposal mentioned in Article 12.2, the Board for Doctorates shall make a decision to install the Doctoral Committee and shall inform the promotor, the PhD candidate and the members and advisors of the Committee of this decision in writing Within three weeks of receipt of their nomination, the members and advisors of the Doctoral Committee shall inform the Office of the Beadle in writing whether they accept this nomination If the Board for Doctorates does not agree with the composition of the Doctoral Committee proposed by the promotor, it shall ask him to make a new proposal. The Board for Doctorates reserves the right to nominate one member of the Doctoral Committee itself. Article 13 Assessment of the draft thesis by the Doctoral Committee, the results of the DE Programme followed by the PhD candidate and the role of the PhD candidate therein 13.1 After the draft thesis has been approved by the promotor in accordance with Article 10.1 and the DE Programme has been completed, the PhD candidate may apply for admission to the doctoral defence procedure. To this end he should, in consultation with the Office of the Beadle, apply for permission to hold the doctoral defence ceremony on a date that is also acceptable to the promotor. This application must include: a. the final title of the thesis and three copies of the draft thesis, and b. a written statement by the promotor that the enclosed draft thesis has been approved by him (Prom-03); c. the written statement by the director of the Graduate School that the PhD candidate has successfully completed the DE Programme; d. Doctoral defence ceremonies are suspended for a period of four weeks in the summer and during the Christmas holidays. 21 of 64

24 13.2 The PhD candidate shall send, no later than the eleventh week before the defence date: a. a copy of the draft thesis to each proposed member and advisor of the Doctoral Committee; b. the date on which the draft thesis was sent to them, to the Board for Doctorates through the intermediation of the Office of the Beadle Within five weeks of being appointed, the members and advisors of the Doctoral Committee shall send the Board for Doctorates, through the intermediation of the Office of the Beadle and with a copy to the promotor, a written report indicating whether in their opinion the draft thesis provides adequate evidence that the PhD candidate is capable of carrying out independent academic work, and whether the PhD candidate may be allowed to defend the thesis in public The members and advisors of the Doctoral Committee may make their approval for the defence conditional, by sending written proposals for modification of and/or additions to the draft thesis to the promotor and the PhD candidate within three weeks of receipt of the draft thesis. They will receive a written reply from the promotor as to whether these proposals are accepted, copies of this reply being sent to the other members and advisors of the Doctoral Committee and to the Board for Doctorates. If a difference of opinion arises between the Committee members and advisors on the one hand and the promotor on the other concerning the inclusion of the proposed changes, the promotor shall report this in writing to the Board for Doctorates, which will deal with the matter at its own discretion If one of the members of the Doctoral Committee produces an adverse judgement, this member may not be removed from the Committee for this reason. In order to ensure proper monitoring of the level of the doctorate, one must in such a case oppose the awarding of the doctorate and must inform the Rector Magnificus of this fact without delay If one or more members of the Doctoral Committee consider the draft thesis to be of inferior quality, the decision as to whether to give approval for the defence is taken in a meeting of the Doctoral Committee chaired by the Rector Magnificus or his replacement, by a majority of the votes cast. The chairman has the right to abstain from voting. Those who cannot attend the meeting shall give their vote in writing, with reasons, to the chairman before the meeting. In the event that the votes are equally divided, admission to the defence ceremony is assumed to be withheld The Doctoral Committee may only refuse permission for the PhD candidate to defend the thesis in public on the grounds of major objections to the content, academic quality, size or language usage in the draft thesis, or if the Doctoral Committee is of the opinion that the PhD candidate failed to successfully complete the DE Programme The promotor passes the decision referred to in Article 13.6, in writing and countersigned by the chairman of the Doctoral Committee, to the Board for Doctorates, the PhD candidate and the Office of the Beadle. If the Doctoral Committee refuses to give approval for the defence, the grounds for this refusal are also mentioned. The Board for Doctorates shall deal with the matter further at its own discretion. 22 of 64

25 Chapter 5 The doctoral thesis and propositions Article 14 Content of the doctoral thesis 14.1 The subject of the doctoral thesis is related to the fields of academic research dealt with in one or more professorial chairs at the university. The content of the thesis is in the public domain The provisions concerning the doctoral thesis contained in these Regulations also apply to the doctoral design. In this context, the doctoral design is taken to mean the original, innovative technical design consisting of design drawings, models and/or other products made on the basis of appropriate academic knowledge, methods and/or calculations, in combination with written academic justification and documentation The doctoral thesis should provide clear evidence of the PhD candidate s ability to engage in independent academic activity. It consists of an academic dissertation, a collection of previously published papers or a combination of the two, which is the original work of the PhD candidate. If one or more papers were produced by more than one author, only those articles may be included in the thesis which may be largely ascribed to the PhD candidate; moreover, the co-authors must have given their written permission for use of these papers If the thesis consists wholly or in part of previously published papers, then: a. these papers must have been published, or accepted for publication, in academic journals of international renown; b. they must be in line, or have been brought in line by means of suitable added comments, with current academic insights at the time of submission of the thesis; c. the topics dealt with should show a logical cohesion; d. the thesis should be provided with an introduction in which the cohesion between the topics is elucidated by means of summarising, connecting text If two or three PhD candidates carried out a joint programme of research, this can lead to the production of a joint thesis if the following conditions are satisfied: a. each PhD candidate has made an independent, demonstrable and sufficient contribution to the doctoral programme, in the opinion of the promotor; b. each PhD candidate assumes individual responsibility for both the various parts of the thesis and the cohesion of the whole; c. an explanatory note or foreword indicates what role each PhD candidate played in the production of the thesis, and for which parts each one is responsible; d. each PhD candidate appends the required number of propositions to the thesis The thesis shall contain a title page, a contents list, a summary, a reference list and the PhD candidate s curriculum vitae. The summary shall in any case contain a statement of the problem considered and a brief description of the method of investigation, the results obtained and possible applications The (concise) curriculum vitae of the PhD candidate given at the end of the thesis shall contain the following information: a. date and place of birth; b. type of secondary education followed, and the period occupied by this education; 23 of 64

26 c. the period and nature of the tertiary education courses leading to the final examination mentioned in Article 2; d. any special qualification [such as cum laude] mentioned in connection with the gaining of the diplomas; e. if applicable, details of any professional activities engaged in after the completion of the training mentioned in Article 2, and f. the name of the institute where the research was carried out The thesis, in particular the foreword and/or postscript if present, may contain brief expressions of thanks formulated in consultation with the promotor so as to avoid over-flowery language; these may include acknowledgements in the form commonly employed in the international literature The thesis shall not contain any advertisements or other matters not directly related to the topic under investigation. Institutions or persons that have made financial contributions or helped in other ways to make the production of the thesis possible may if desired be mentioned on the reverse of the title page. Article 15 Language of the thesis 15.1 The thesis shall be written in Dutch or English. Another language may only be used in highly exceptional cases. The PhD candidate must then submit a letter of application (including written approval from the promotor) to the Board for Doctorates via the Beadle before submitting the draft thesis to the promotor. The Board will inform its decision on this matter to the PhD candidate in writing, also sending a copy to the promotor The following provisions apply to the language used in the title and the summary of the contents of the thesis: a. When the thesis is written in Dutch, an English translation of the title and the summary shall be appended; b. When the thesis is written in English, a Dutch translation of the title and the summary shall be appended; c. If, in highly exceptional cases, the thesis is written in a language other than Dutch or English, a translation of the title and the summary into both Dutch and English shall be appended. Article 16 Form of the thesis 16.1 The thesis shall be produced as a conveniently sized book, unless in the opinion of the promotor another format is desirable. The PhD candidate is responsible for the further design of the thesis, in line with normal Dutch usage A standard text shall be used for the title page of the thesis (including the reverse of this page), in line with the model given in section e of Part II of these Regulations If the thesis is produced by two or three PhD candidates, the title page shall include mention of their names. Details of what role each PhD candidate played in the production of the thesis and for which parts each one is responsible, as laid down in Article 14.5, shall be given on one of the following pages before the contents list If the PhD candidate received appreciable guidance or support concerning the production of the thesis from a member of the academic staff of the university other than the (co-)supervisor, or from a member of the academic staff of an external institution for academic research, the name of this person may be mentioned on the reverse of the title page if the promotor gives his approval for this. 24 of 64