Board for Doctorates Doctorate Regulations 2004 Edition/New revised edition september 2010 Delft University of Technology
Doctorate Regulations 2004 Edition/New revised edition september 2010 Board for Doctorates Delft University of Technology Further information regarding these Doctorate Regulations may be obtained from the Office of the Beadle: telephone: (015) 278 64 56 / (015) 278 9162 e-mail: Pedel@tudelft.nl 1
2
The Doctorate Regulations, established on 18 February 2004 and amended on 27 February 2008. These regulations were amended again on 26 May 2010 and adopted by the Chairman. The decision in question is appended to these regulations. The amendments enter into force on 1 September 2010. Prof.ir. K.C.A.M. Luyben Rector Magnificus Chairman of the Board for Doctorates TU Delft 3
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 follows clearly from Part III, which summarises the sequence of actions and the minimum time required for them. The doctoral defence procedure comprises a number of specific moments. To prevent either the supervisor or the 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. Examples of these standard forms, which can be downloaded from the Internet (www.phd.tudelft.nl) can be seen in Part IV of these Regulations, while Part V closes with an overview of the relevant articles in the Dutch legislation. Further details on these administrative aspects may be obtained from the Beadle. The revisions in the September 2010 version concern: Article 5.5: the number of supervisors and co-supervisors; Article 7.4: ius promovendi after honourable dismissal; Article 9.1: justification for a proposed co-supervisor and required signatures; Article 11.7 (together with Article 12.1): clarification of the independence of opposition during doctoral defence ceremonies; Articles 15.1 and 15.2: language of the dissertation and of the defence ceremony; Article 24: investiture with a doctorate cum laude; Part III: The order of events in the doctoral defence procedure and the minimal time schedule, also the related Articles. The addition of Part VI: Information on propositions 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 more information regarding the regulations themselves. 4
The main points of the Doctorate Regulations are summarised below. 1. As the final authority, the candidate s supervisor (promotor) has the first and the last word, provided that all conditions specified by the Board for Doctorates with regard to procedural and quality control issues have been met. 2. Every student preparing for a doctorate must first reach agreement on the matter with a professor. For the purposes of these Regulations, the student will be acknowledged as a PhD candidate (promovendus) only after the Board for Doctorates has appointed the professor as the candidate s supervisor (forms: PROM 01 and 02). 3. Before the candidate can fix a date for the doctoral defence ceremony the supervisor must have approved the draft of the doctoral thesis [1] (form: PROM 03). 4. Both candidate and supervisor are obliged to respond to any proposals made by the members of the Doctoral Committee (as appointed by the Board for Doctorates, forms: PROM 04 and 05) or its advisors having regard to changes and/or additions to the draft thesis. Any major difference of opinion concerning the acceptance of such proposals must be reported to the Board for Doctorates. 5. The candidate cannot be admitted to the doctoral defence ceremony before the supervisor has approved the final text of the thesis and propositions (form: PROM 06). 6. The candidate must be able to demonstrate during the doctoral defence ceremony that he or she is able to publicly defend both the thesis and the propositions. 7. Any disputes shall be submitted to the authority of the Board for Doctorates. 8. Members of the Doctoral Committee who do not have the ius promovendi, that is, the authority to supervise a doctoral candidate, must be associate professors employed by a university. External experts who do not have the ius promovendi and doctorate assistant professors may have seats on the Committee as advisors; the supervisor must submit a request to this end to the Board for Doctorates, forms: PROM 04 and 05). Furthermore, at least two professors (of whom no more than one may be a supervisor) from TU Delft must have seats on the Committee in addition to the Chairman. 9. A procedure has been laid down to deal with the eventuality that one or more members of the Doctoral Committee, after having read the draft thesis, is of the opinion that the candidate cannot be conferred a doctorate. Delft, September 2010 [1] These Regulations will deem the use of the term thesis to include the doctoral design ( proefontwerp ) together with the accompanying scientific justification and documentation. 5
The minimal time schedule (the numbers in brackets refer to the Articles in these Regulations) STEP Week PhD candidate Supervisor Beadle 1 Start of PhD period 2) request appointment of supervisor [5.7, possibly 5.8] submit PROM 01 and 02 1) agreement on topic of thesis [5.1] sign PROM 02 3) send application to Board for Doctorates [5.7] 2 Start of PhD period Send approval of application to supervisor and PhD candidate [5.9] 3 11 2) submit PROM 03 together with three copies of the draft thesis to Beadle and set defence date [13.1] 5) one copy to the proposed members of the doctoral committee [13.2] 6) submit addresses and date of submission to Beadle 1) approve draft thesis [10.1] sign PROM 03 3) submit proposal for appointments to Doctoral Committee to Beadle [12.1] PROM 04 and 05 4) send proposal for appointments to doctoral committee to Board for Doctorates [11.7 and 12.1] 4 8 3) consult with supervisor on any proposed changes [13.4] 2) receive any proposals for thesis changes or additions [13.4], 4) react to any proposed changes [13.4] 1) inform members of doctoral committee about appointment with reference to the date on which the draft thesis was sent [12.2] 5 6 1) deadline for receiving reactions from committee members/ advisors [12.3, 13.3] 6 5 2) submit propositions to supervisor for approval [18.3] 4) submit PROM 06 and supervisor approval with authorised text of propositions (1 copy) to Beadle and have thesis title page and reverse (2 copies) approved [18.5] 6) have copies made of thesis and propositions [19.1] 9) schedule meeting with chair of doctoral committee[20..3] 1) approve thesis [18.2] 3) approve propositions and authorise text [18.4] PROM 06 7) submit proposal for cum laude accolade, if applicable, along with letters of recommendation [24.2] 5) authorise copies of title page and reverse [18.5] and inform parties involved of candidate s admittance to defence. [18.7] 8) send proposal for cum laude accolade along with letters of recommendation to Board for Doctorates, if applicable. 7 2 1) distribute thesis and proposals [19.2], [19.3] and [19.4] 3) make appointment with Academic Protocol office on details of the defence [20.2] 4) appear before chair (members) of the doctoral committee [20.3] 2) submit (in highly exceptional cases) request to use language other than Dutch or English during the defence [22.5] 5) announce defence [20.2] 8 0 3) give presentation in advance of defence [20.4] 4) defend thesis for one hour [22.1] 1) present in committee room before defence and acts as supervisor during defence [21.4] 2) assist in protocol during the defence ceremony. 6
Contents Part I Doctorate regulations 9 Chapter 1 General Conditions 10 Article 1 Definitions 10 Article 2 Admission to the doctorate application process 11 Article 3 The doctorate 12 Article 4 Confidentiality 12 Chapter 2 The candidate 13 Article 5 Registration of candidacy and appointment of supervisor 13 Article 6 Draft thesis preparation and the responsibilities of the candidate 14 Chapter 3 The supervisor and co-supervisor 15 Article 7 The supervisor 15 Article 8 The supervisor s tasks and responsibilities 16 Article 9 The co-supervisor 16 Article 10 Approval of draft thesis 17 Chapter 4 The Doctoral Committee and the assessment of the draft thesis 18 Article 11 Composition of the Doctoral Committee 18 Article 12 Installation of the Doctoral Committee 19 Article 13 Assessment of the draft thesis by the Doctoral Committee and the role of the candidate in this connection 19 Chapter 5 The doctoral thesis and propositions 21 Article 14 Content of the doctoral thesis 21 Article 15 Language of the thesis 22 Article 16 Form of the thesis 22 Article 17 Propositions 23 Chapter 6 Admission to the doctoral defence ceremony 24 Article 18 Approval of the doctoral thesis and propositions 24 Article 19 Distribution of the doctoral thesis and its propositions 25 Chapter 7 The doctoral defence ceremony 26 Article 20 Preparations 26 Article 21 The defence ceremony 26 Article 22 Protocol 27 Article 23 Investiture with a doctorate 28 Article 24 Investiture with a doctorate cum laude 29 Chapter 8 Procedure for settling disputes 31 Article 25 Disputes 31 Chapter 9 Final and interim provisions 32 Article 26 Final provisions 32 Article 27 Interim provisions 32 7
Part II Explanatory notes 33 a. Admission to the doctorate (Article 2.1, a) 34 b. Composition of the Doctoral Committee (Article 11) 34 c. Standard forms (Article 1.4) 34 d. Research financing (Article 5.7) 35 e. The title page and its reverse (Article 16.2) 35 f. Approval of the propositions (Article 17.1) 37 g. The costs and distribution of the thesis (Article 19.3) 37 h. Press releases (Article 19.3) 37 j. Publication of a summary of the thesis (Article 19.3) 37 k. Clothing protocol during the defence ceremony (Articles 22 and 23) 37 l. Investiture formulas (Article 23) 38 Part III The order of events in the doctoral defence procedure and the minimal time schedule 39 The order of events 40 The minimal time schedule 42 Part IV Examples of standard forms 43 Part V Relevant extracts from the Dutch Higher Education and Scientific Research Act 51 Part VI Information on propositions 55 8
I. Part I Doctorate Regulations
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 co-supervisor : that person appointed by the Board for Doctorates to assist the supervisor in advising the candidate; advisor : an expert nominated by the supervisor and appointed to the Doctoral Committee by the Board for Doctorates in an advisory capacity; Beadle : official responsible for the ceremonial aspects of the doctoral defence ceremony and for ensuring compliance with protocol, and who acts as intermediary in many information exchanges throughout the candidate s doctoral studies; 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; candidate : the person admitted to the doctorate and for whom a supervisor has been appointed by the Board for Doctorates; diploma : the certificate, signed by the chairman of the Doctoral Committee, the supervisor(s) and the co-supervisor, which is given as proof of the conferral of the doctorate; doctoral course of study : the period from registration of candidacy up to and including the defence ceremony; 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; Doctoral Committee : the committee appointed by the Board for Doctorates whose presence is required for the conferral of a doctorate; 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 defence ceremony : the public session of the Board for Doctorates or the Doctoral Committee during which the 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 thesis : the academic dissertation, within the meaning of Article 7.18, section 2b of the Act, which meets the requirements defined in these Regulations; faculty : the university faculty covering the academic field in which the subject of the thesis lies; 10
draft thesis professor propositions supervisor university Rector Magnificus Vice-Rector : the draft text of the doctoral thesis or the documentary supplements to the doctoral design, which is presented for approval to the supervisor and, after having received his approval, is presented to the Doctoral Committee for assessment. After the possible inclusion of amendments suggested by the Doctoral Committee, this draft becomes the definitive doctoral thesis which, together with the propositions, is defended by the candidate at the doctoral defence ceremony; : a professor within the meaning of Article 9.19 2b of the Act and Article 7.2 of these Regulations; : the claims attached to the doctoral thesis or doctoral design, the truth of which the candidate wishes to demonstrate; : the professor or emeritus professor appointed by the Board for Doctorates in accordance with Article 7.18, section 5 of the Act; : TU Delft, within the meaning of the relevant Dutch legislation (Wet openbare universiteit te Delft), unless otherwise specified; : the Rector Magnificus of the university and chairman of the Board for Doctorates, or his replacement at the doctoral defence ceremony; : 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 supervisor, this should be understood to mean supervisors in the event that more than one supervisor 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) supervisor, this should be read as professors in the event that more than one supervisor has been appointed. 1.4 Where these Regulations refer to written requests, proposals and explanations, the standard forms described in the Explanatory Notes (Part II, section c) and in Part IV of these Regulations should be used. 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. Article 2 Admission to the doctorate 2.1 Admission to the doctorate can be granted to any person who, in accordance with Article 7.18, section 2 of the Act: a. has been granted a Master s degree in accordance with Article 7.10a, section 1, 2 or 3 of the Act [2], and [2] Candidates who have obtained a pass certificate for their Master s degree within the meaning of the Act on scientific education which preceded the current WHW are held by Article 16.2 of the current Act to have obtained this certificate within the meaning of the WHW and therefore meet this academic requirement. 11
b. has written a doctoral thesis or prepared a doctoral design (with documentary supplements), as demonstration of his ability to carry out independent academic research, and c. meets all the remaining requirements specified in these doctorate regulations. 2.2 By virtue of Article 7.18, section 3 of the Act, the Board for Doctorates can in exceptional circumstances grant admission to the doctorate to persons who meet the requirements laid down in Article 2.1, sections b and c, but who do not meet the academic requirements laid down in Article 2.1, section a. 2.3 Candidates not meeting the academic requirements 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: a. A candidate wishing to be admitted to a doctoral degree course must apply to the university Protocol Officer (ProZa). The application should be accompanied by a copy of the candidate s birth certificate or an extract from the municipal register and by authenticated copies of any certificates which, in the candidate s opinion, justify admission to the doctorate. b. The Protocol Officer then carries out the following actions on behalf of the Board for Doctorates: he verifies the certificates supplied, assesses the lists of marks (after their translation if necessary), compares the course followed with its Dutch academic counterparts and informs the candidate of his decision as soon as possible. c. If the decision is positive, the candidate should reach agreement with the most suitable professor about the subject of the thesis and its working title. d. He should then approach the Dean of the faculty for advice, bringing with him both a written recommendation from the professor and the Protocol Officer s written statement. e. If necessary, he should ascertain whether the faculty can provide him with either a research post or a declaration of hospitality. f. He should submit a written recommendation from the Dean of the faculty with his application for appointment of a supervisor. Article 3 The doctorate 3.1 The doctorate may be awarded by the university after the 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. 3.3 This Article does not apply to the award of an honorary doctorate within the meaning of Article 9.10, section 2 of the Act. Article 4 Confidentiality All those present at the closed sessions mentioned in these Regulations must treat the matters discussed as strictly confidential. 12
Chapter 2 The candidate Article 5 Registration of candidacy and appointment of supervisor 5.1 A candidate wishing to prepare for a doctorate should obtain a copy of these Regulations. Before he can be recognised as a candidate, he must make sure that he is entitled to be admitted to the doctoral defence ceremony in accordance with Article 2 of these Regulations, and should consult with the professor most appropriate to the academic area concerned about the subject of his doctoral research and the professor s preparedness to act as supervisor. This professor will further be referred to as the (intended) supervisor. 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 PhD candidate is expected to put that professor forward for designation as the doctorate supervisor. 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 doctoral course of study; if a co-supervisor has been appointed, no more than one professor may act as supervisor. In exceptional circumstances the Board of Doctorates may appoint three professors as supervisors, or two as supervisors and one as co-supervisor. 5.6 In the event that the candidate requests that a supervisor be a professor from a university other than TU Delft, the Board of Doctorates reserves the right, after having consulted the proposed supervisor, to nominate a professor from within the university as (co-) supervisor. 5.7 Within a month after reaching agreement with the intended supervisor, the candidate shall report to the Board for Doctorates, through the intermediation of the Beadle, with a written request to be admitted to the preparation for the doctorate and to be allocated a supervisor. This admission request must be accompanied by: a. the written consent of the professor described in Article 5.1, who may also elect to complete the appropriate standard form to propose an co-supervisor; b. a copy of the candidate s birth certificate or extract from the municipal register, and c. an authenticated copy of the certificate entitling the candidate to admission to the doctoral defence ceremony. In the event that no authenticated copy of this document can be produced, then at the Beadle s request the original certificate must be shown together with valid proof of identity. 13
5.8 In the event that the candidate does not possess a Dutch university graduation certificate, then the Board for Doctorates will make the appointment of supervisor dependent upon the written recommendation of the professor concerned; this recommendation must accompany the request for the allocation of a supervisor. Candidates not meeting the academic qualification requirements laid down in Article 2.1, section a, must nevertheless follow the procedure described in Article 2.3 and include the relevant faculty recommendation in the request described in Article 5.7. 5.9 On receipt of the application for registration of candidacy and appointment of a supervisor, the Board for Doctorates will send as soon as possible, through the intermediation of the Beadle, written notification of its findings to the candidate and to the intended supervisor. If the application is rejected, then the notification shall detail the reasons for this rejection. Article 6 Draft thesis preparation and the responsibilities of the candidate 6.1 The 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 14.2. 6.2 Research carried out together by two or three candidates can form the foundation for a joint thesis, provided the stipulations laid down in Article 14.5 are met. 6.3 The candidate is responsible for the academic contribution made by the thesis. 6.4 The 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. 14
Chapter 3 The supervisor and co-supervisor Article 7 The supervisor 7.1 The Board for Doctorates appoints a university professor within the meaning of Article 7.18 of the Act as supervisor. 7.2 A professor attached to a foreign institute of academic education having equal standing can also act as a supervisor 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 supervisors only if they also have a university professorial appointment. 7.3 Close relatives of the candidate or other persons whose relationship with the candidate is such that they cannot reasonably be expected to state an opinion about him do not come into consideration as (intended) supervisor. 7.4 Emeritus professors retain the ius promovendi, that is, the right to supervise a doctoral candidate at a Dutch university, 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 of Doctorates no less than 30 days before their retirement date in order to receive permission to act as supervisor for one or more named candidates after their retirement, with the proviso that they must already have been appointed as supervisor by the Board of Doctorates for the named candidate(s). This request, together with a list of 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 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 supervisor 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 supervisor has not given his approval of the thesis and its propositions to the Board of Doctorates in accordance with Article 18.2 within five years of his departure date, or should it become evident that the supervisor 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 candidate, appoint another supervisor, unless the Board is of the opinion that no new appointment is necessary; this can be the case if more than one supervisor was originally appointed. 7.7 The Board for Doctorates shall send written notification of the appointment of a supervisor to both candidate and supervisor within 30 days of the receipt of the application. 15
Article 8 The supervisor s tasks and responsibilities 8.1 The supervisor shall ascertain that the candidate has been granted admission to the doctorate in accordance with Article 2 and shall submit to the Board for Doctorates an application for appointment as supervisor. He shall supervise the candidate s preparation of the thesis, ensuring in this connection that the research is carried out in accordance with Article 6.4. 8.2 The supervisor shall send the Board for Doctorates his written acceptance of his appointment as supervisor 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 of 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 doctoral student, then this reasonable time is deemed to be four years. 8.4 The supervisor 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 co-supervisor, if one has been appointed, timely opportunity to give his opinion of the draft thesis. 8.5 In assessing the draft thesis, the supervisor 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 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 supervisor is appointed, the supervisors will determine the division of their tasks in consultation with the candidate. The division of tasks shall be laid down in writing if one of the supervisors or the candidate requests this. 8.7 The supervisor may propose changes and/or additions to the thesis in consultation with the candidate, the co-supervisor (if applicable) and others involved in the preparation of the draft thesis. Article 9 The co-supervisor 9.1 On receipt of a written proposal from the supervisor and after consulting with the candidate, the Board for Doctorates may appoint an assistant professor or associate professor from the University as co-supervisor. The proposal must describe the role and function of the co-supervisor. It must be co-signed by the co-supervisor. 9.2 The Board for Doctorates can appoint as co-supervisor any senior staff member working for an academic research institute attached to the university, or for an international training institute with which the university has a joint working relationship. 16
9.3 A request for a person to be nominated as co-supervisor 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 co-supervisor 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 co-supervisor s responsibility to supervise the candidate in the preparation of the thesis. The supervisor and the candidate must be involved in discussions at the faculty on the nature of this supervision. 9.6 The co-supervisor shall provide the supervisor with a brief written assessment of the draft thesis. Article 10 Approval of draft thesis 10.1 If the supervisor is of the opinion that the draft thesis meets the requirements made of it and can be accepted as evidence of the 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 co-supervisor s assessment. 10.2 In the event that the co-supervisor is of the opinion that the draft thesis does not merit approval, and this opinion is not shared by the supervisor, then this shall be regarded as a difference of opinion within the meaning of Article 25.1. 10.3 The supervisor is obliged to provide both the Board for Doctorates and the 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 supervisor may postpone this notification only in the event that and as long as the candidate gives his permission. 10.4 In the event that the candidate is of the opinion that the draft thesis is completed and that the supervisor has not produced an approval or a rejection within the period specified in Article 10.3, then the candidate can request the Board for Doctorates to instruct the supervisor 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. 10.5 In the event that more than one supervisor has been nominated, then the approval of the draft thesis is arrived at in a process of mutual consultation. Should the supervisors fail to reach agreement, then each supervisor shall bring his own detailed written assessment to the attention of the Board for Doctorates, while sending a copy to the candidate. The Board for Doctorates shall then act according to its own discretion. 10.6 If approval is withheld from the draft thesis, and the requirements of Article 10.3 have been met, then at the candidate s request the Board of Doctorates, after hearing both the candidate and the supervisor, may choose to release the supervisor from his obligations. The Board shall then appoint another supervisor, unless it is of the opinion that such an appointment is unnecessary, as might be the case for instance if more than one supervisor was originally appointed. The appointment of another supervisor shall take place only after the dean of the faculty concerned has been given an opportunity to put forward any recommendations. 17
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. 11.2 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 supervisor; 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 PhD supervisors and there is no non-tenured PhD supervisor. 11.3 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 3, of the Act but who no longer possess the ius promovendi may be admitted as members of the Doctoral Committee after the supervisor has submitted a written application to this end, with reasons, to the Board for Doctorates. 11.4 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. 11.5 The supervisor and the co-supervisor are ex officio members of the Doctoral Committee. 11.6 There shall be at least five professors, including the chairman and the supervisor, on the Doctoral Committee. 11.7 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 supervisor 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 supervisor. The chairman is not included in the minimum numbers mentioned in this article. 18
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. 11.9 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 reasons, by the supervisor. Article 12 Installation of the Doctoral Committee 12.1 The supervisor, through the intermediation 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. 12.2 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 supervisor, the candidate and the members and advisors of the Committee of this decision in writing. 12.3 Within three weeks of receipt of their nomination, the members and advisors of the Doctoral Committee shall inform the Beadle in writing whether they accept this nomination. 12.4 If the Board for Doctorates does not agree with the composition of the Doctoral Committee proposed by the supervisor, 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 and the role of the candidate in this connection 13.1 After the draft thesis has been approved by the supervisor in accordance with Article 10.1, the candidate can apply for admission to the doctoral graduation procedure. To this end he should, in consultation with the Beadle, apply for permission to hold the graduation ceremony on a date that is also acceptable to the supervisor. 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 supervisor that the enclosed draft thesis has been approved by him. Doctoral defence ceremonies are not held during a period lasting four weeks in the summer or during the Christmas holidays. 13.2 The 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 addresses of all proposed members and advisors of the Doctoral Committee and the date on which the draft thesis was sent to them, to the Board for Doctorates through the intermediation of the Beadle. 13.3 No later than the sixth week before the defence date the members and advisors of the Doctoral Committee shall send the Board for Doctorates, through the intermediation of the Beadle and with a copy to the supervisor, a written report indicating whether in their 19
opinion the draft thesis provides adequate evidence that the candidate is capable of carrying out independent academic work, and whether the candidate may be allowed to defend the thesis in public. 13.4 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 supervisor and the candidate within three weeks of receipt of the draft thesis. They will receive a written reply from the supervisor 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 supervisor on the other concerning the inclusion of the proposed changes, the supervisor shall report this in writing to the Board for Doctorates, which will deal with the matter at its own discretion. 13.5 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. 13.6 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. 13.7 The Doctoral Committee may only refuse permission for the candidate to defend the thesis in public on the grounds of major objections to the content, academic quality and/or size of the draft thesis, and/or language usage in the draft thesis. 13.8 The supervisor 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 candidate and 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. 20
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. 14.2 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. 14.3 The doctoral thesis should provide clear evidence of the 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 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 candidate; moreover, the co-authors must have given their written permission for use of these papers. 14.4 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. 14.5 If two or three 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 candidate has made an independent, demonstrable and sufficient contribution to the doctoral programme, in the opinion of the supervisor; b. each 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 candidate played in the production of the thesis, and for which parts each one is responsible; d. each candidate appends the required number of propositions to the thesis. 14.6 The thesis shall contain a title page, a contents list, a summary, a reference list and the 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. 14.7 The (concise) curriculum vitae of the 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; c. the period and nature of the tertiary education courses leading to the final 21
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. 14.8 The thesis, in particular the foreword and/or postscript if present, may contain brief expressions of thanks formulated in consultation with the supervisor so as to avoid over-flowery language; these may include acknowledgements in the form commonly employed in the international literature. 14.9 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 candidate must then submit a letter of application (including written approval from the supervisor) to the Board for Doctorates via the Beadle before submitting the thesis to the supervisor. The Board will inform its decision on this matter to the candidate in writing, also sending a copy to the supervisor. 15.2 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 supervisor another format is desirable. The candidate is responsible for the further design of the thesis, in line with normal Dutch usage. 16.2 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. 16.3 If the thesis is produced by two or three candidates, the title page shall include mention of their names. Details of what role each 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. 16.4 If the 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 supervisor gives his approval for this. 22
Article 17 Propositions 17.1 Propositions are appended to the thesis. At least six of these propositions should concern topics not related to the subject of the thesis. It may be stated as a general rule that the total number of propositions should not exceed ten. All propositions shall be academically sound, shall lend themselves to opposition and be defendable by the candidate, and shall be approved by the supervisor. The supervisor s approval shall be explicitly mentioned on the sheet bearing the propositions, as laid down in the Explanatory Notes (Part II of these regulations, section f). No more than two propositions may be somewhat playful in nature. 17.2 The propositions should show that the candidate s academic knowledge is broadly based and not limited to the subject of the thesis. Possible topics dealt with in the propositions may include: a. extensions of ideas dealt with in the thesis, or perspectives offered by the thesis; b. results of incidental interest which are not included in the thesis; c. (critical) comments on the academic literature; d. comments on related disciplines and/or methods used; e. speculative statements concerning future developments, which cannot yet be objectively verified. Propositions should preferably be provided with references to the literature, or mention of sources. 17.3 The propositions shall be written in Dutch and, if appropriate, in the language in which the thesis is written. 23