REGULATION ON DOCTORATE AT RIGA TECHNICAL UNIVERSITY. Terms and definitions:

REGULATION ON DOCTORATE AT RIGA TECHNICAL UNIVERSITY Terms and definitions: Doctoral Studies independent research conducted by a doctoral student under the supervision of a scientific adviser that is based on an individual study plan and complies with the requirements of the study programme to obtain a Doctor of Science Degree. Doctorate postgraduate studies implemented by Riga Technical University and the system established to award a Doctor of Science Degree and qualification in the chosen research field or sub-field. Doctoral Student a person matriculated to a doctoral study programme. 1. GENERAL PROVISIONS 1.1. The objective of the Doctorate of Riga Technical University (RTU) is to ensure that doctoral study programmes are implemented by RTU in order to educate and train professionals pursuing doctoral degrees. 1.2. Doctoral Studies at RTU are implemented pursuant to licensed or accredited study programmes in compliance with the laws of the Republic of Latvia, the regulations of the Cabinet of Ministers of the Republic of Latvia, RTU Statutes, this Regulation and other RTU internal regulations. 1.3. The goal of the Doctoral Studies is to grant a Doctor of Science Degree and to educate and train internationally competitive and highly-qualified specialists capable of carrying out academic and scientific research activities at universities, scientific research centres, as well as of performing organizational activities at the state and private institutions. 1.4. Implementation of the Doctoral Studies is one of the top priorities of RTU; a component of the strategy of renewal and professional development of the academic personnel. To increase the number of elaborated and defended Doctoral Theses, RTU is entitled to reward the personnel implementing Doctoral Studies for each defended Doctoral Thesis. 2. MANAGEMENT OF RTU DOCTORATE 2.1. Doctorate is managed by Doctoral Studies Department under the supervision of RTU Vice-Rector for Research. 2.2. RTU Vice-Rector for Research supervises: 2.2.1. the development of doctoral study programmes; 2.2.2. the assessment of the results of doctoral studies. 2.3. RTU Vice-Rector for Research represents RTU Doctorate at the Ministry of Education and Science of the Republic of Latvia, Latvian Council of Science, Higher Education Council, RTU Senate and other institutions. 2.4. The main tasks of the Doctoral Studies Department are as follows: 2.4.1. to organize and manage the Doctorate; 2.4.2. to monitor the quality of the Doctorate; 2.4.3. to publish the annual edition of RTU Doctorate ; 2.4.4. to draw up resolutions related to the Doctorate; 2.4.5. to organize the awarding of Doctoral Diplomas; 2.4.6. to support the activities of RTU Doctoral School. 3. DOCTORAL STUDY PROGRAMMES 3.1. The implementation of RTU doctoral study programme may be initiated upon the resolution of RTU Senate and the licence issued by the Ministry of Education and Science of the Republic of Latvia. The Senate makes a decision based on proposals submitted by the Council of the respective faculty on the initiation of

Doctoral Studies in a particular research field and sub-field or cross-field upon the recommendation of the Promotional Council. 3.2. The implementation of RTU doctoral study programme is interrupted by the Resolution of RTU Senate based on the application of RTU Vice-Rector for Research. 3.3. RTU doctoral study programmes in any study field are developed in accordance with the Regulation on RTU Study Programme Development, approved by the Promotional Council and submitted to RTU Vice- Rector for Research. 3.4. The structure and content of a doctoral study programme are developed in accordance with the laws and regulation of the Republic of Latvia and RTU. 3.5. The duration of full-time Doctoral Studies is four years. The duration of part-time Doctoral Studies is five years. 3.6. The volume of full-time and part-time Doctoral Studies amounts to 192 (one hundred and ninety-two) credit points (CP). There are four weeks of leave per academic year. 3.7. The doctoral study programme can be completed by a Doctoral Student in a shorter period of time provided that final examinations of all study courses of a respective study programme are successfully passed, a Doctoral Thesis is developed and submitted to the Promotional Council and publicly defended. 3.8. The doctoral study programme comprises: 3.8.1. compulsory study courses 15 (fifteen) CP; 3.8.2. compulsory electives 21 (twenty-one) CP; 3.8.3. electives 6 (six) CP; 3.8.4. research work 150 (one hundred and fifty) CP. 3.9. Curricula are approved by the Dean of the respective faculty and the Head of Doctoral Studies Department. They are approved by RTU Vice-Rector for Research. 4. DOCTORAL STUDY FINANCING 4.1. Doctoral Studies at RTU are funded by: 4.1.1. state subsidies (only full-time Doctoral Studies); 4.1.2. scholarships granted by other institutions (grants); 4.1.3. contributions of natural persons or legal entities. 4.2. Tuition fees for Doctoral Studies and the criteria for exemption from tuition fees are determined by the RTU Senate. 5. ENROLMENT REGULATIONS Enrolment regulations for doctoral study programmes are approved by RTU Senate. 6. DOCTORAL THESIS SCIENTIFIC ADVISOR 6.1. Upon commencing Doctoral Studies, each Doctoral Student by an order of RTU Vice-Rector for Research is appointed a Doctoral Thesis scientific advisor approved by the RTU Scientific Council. 6.2. Doctoral Thesis scientific advisor holds a Doctor Habilitus or Doctor of Science Degree, who actively participates in scientific research in the particular scientific field or sub-field, which is attested by publications and the status of an expert in the database of the Latvian Council of Science. 6.3. Doctoral Thesis scientific advisor can be changed. The change of the Doctoral Thesis scientific advisor is carried out on the basis of an application addressed to the Vice-Rector for Research that is coordinated with the current and newly appointed scientific advisor and Doctoral Studies Department. The change of the Doctoral Thesis scientific advisor is approved by RTU Scientific Council. 6.4. Doctoral Thesis scientific advisor: 6.4.1. monitors the implementation of the work plan of the Doctoral Student and the progress of Doctoral Thesis elaboration; 6.4.2. advises the Doctoral Student on the issues related to elaboration of the Doctoral Thesis;

6.4.3. advises the Doctoral Student on elaboration of scientific publications in compliance with the international requirements; 6.4.4. to the extent possible attracts the necessary funding for the purchase of the resources necessary for research conducted within the Doctoral Thesis and for business trips of the Doctoral Student. 6.5. Professor within one academic year can start supervising Doctoral Theses elaborated by two Doctoral Students, but other employees elected to academic positions can start supervising the elaboration of one Doctoral Thesis. 6.6. Doctoral Thesis scientific advisor cannot start supervision of a new Doctoral Thesis, if during the past six years a Doctoral Degree has been granted to less than one third of the supervised Doctoral Students, who have successfully completed the Doctoral study programme. 6.7. Professor can simultaneously supervise the elaboration of Doctoral Theses for not more than seven Doctoral Students, but other employees elected to academic positions for four Doctoral Students. 7. ORGANIZATION OF DOCTORAL STUDIES AND QUALITY MANAGEMENT 7.1. Upon enrolment to the Doctorate, a Doctoral Student draws a work plan for the first academic year and a Doctoral Thesis elaboration plan for the entire period of the Doctoral Studies and coordinates them with a Doctoral Thesis scientific advisor. 7.2. The work plan of Doctoral Student includes: 7.2.1. the title of the research field and sub-field, in which a Doctoral Degree is pursued; 7.2.2. the title of the study programme; 7.2.3. the title of the Doctoral Thesis; 7.2.4. the topicality of the Doctoral Thesis; 7.2.5. the study plan of the study programme; 7.2.6. the plan of research activities that specifies: 7.2.6.1.stages of research; 7.2.6.2.list of planned publications; 7.2.6.3.list of activities for improvement of professional skills (pedagogical work with students, participation in scientific seminars, conferences, symposiums, etc.); 7.2.6.4.periods of internship or experience exchange abroad, if feasible; 7.2.6.5.vocation period. 7.2.7. information about the fulfilment of the plan of research activities; 7.2.8. information about academic assessment of the Doctoral Student. 7.3. Doctoral Student work plan for each subsequent academic year is drawn and submitted at the beginning of the corresponding academic year. 7.4. Doctoral Student work plan can be modified or supplemented not later than two weeks after the beginning of the corresponding semester. 7.5. Doctoral Students are advised to conduct pedagogical work. Pedagogical work load of a full-time Doctoral Student cannot exceed 10 academic hours per week. 7.6. Full-time Doctoral Students are advised to undergo internship or experience exchange abroad, which is related to the theme of the Doctoral Thesis. 7.7. Lectures for the Doctoral Students are organized by structural units responsible for the implementation of the doctoral study programme. 7.8. RTU Doctoral School organizes seminars to promote the quality of scientific research conducted by Doctoral Students. 7.9. On the basis of the assessment results of the Doctoral Student work plan fulfilment, Doctoral Students are promoted to the next academic year by the order of the head of the institute or the Dean of the faculty. Assessment is performed by the Scientific Committee of the faculty.

7.10. Doctoral Student can suspend studies for a certain period due to poor health or other plausible reasons and renew studies afterwards. The suspension of the Doctoral Studies (sabbatical leave) is approved by the order of the Dean of the faculty. The total length of sabbatical leave for a Doctoral Student cannot exceed two years. Doctoral Students can take sabbatical leave not more than twice. Sabbatical leave can be granted not earlier than after the first examination period. 7.11. Taking into account the suggestion made by the scientific advisor of the Doctoral Thesis and the resolution by the meeting of the Council of an institute or faculty, the Doctoral Student who has not fulfilled the work plan is exmatriculated from the Doctorate by the order of RTU Vice-Rector for Research. 7.12. Personal file of an RTU Doctoral Student comprising study documents, which include written examination materials, is stored at the structural unit that is responsible for record management. After exmatriculation, a student s personal file is handed over to RTU Archive. 7.13. RTU Doctoral Students can apply for a scholarship on the basis of competition. The procedure of granting scholarship to Doctoral Students, who study at state budget funded study positions, is conducted in compliance with RTU Regulation on Scholarship Granting. 8. ASSESSMENT OF ACADEMIC RESULTS 8.1. Within Doctoral Studies a Doctoral Student must pass study course examinations included in the study plan. 8.2. Examinations in compulsory and compulsory elective study courses are assessed by examination commission consisting of not less than three persons, where one person is a responsible instructor of the study course (professor), and other members of the commission hold Doctoral Degrees. Members of the examination commission are approved by the head of the study programme. 8.3. The Dean of the respective faculty must confirm the examination schedule and submit it to Doctoral Studies Department prior to the beginning of the examination period. The Head or a Deputy Head of Doctoral Studies Department can participate in the examination as an observer. 8.4. Examinations in compulsory and compulsory elective study courses must be recorded in the minutes. The minutes are drawn up in duplicate. They are signed by all members of the examination commission. One copy of the minutes is enclosed in the personal file of the student, and the other copy is issued to the Doctoral Student. 9. SUBMISSION OF DOCTORAL THESIS 9.1. An applicant for an academic degree submits to Promotional Council: 9.1.1. the application with the written endorsement of the Doctoral Thesis scientific advisor; 9.1.2. one copy of the Doctoral Thesis written in the state language or, by approval of the corresponding Promotional Council, in another official language of the European Union; 9.1.3. the summary of the Doctoral Thesis in the state language and English; 9.1.4. the notice of completion of the doctoral study programme; 9.1.5. Curriculum Vitae (CV); 9.1.6. the list of scientific publications on the results of Doctoral Thesis and copies of these publications; 9.1.7. the extract from the minutes of the meeting of the Promotional Council or the meeting of the respective structural unit, which was attended by the Chair of the Promotional Council or an industry expert appointed by the Chair, that attests that the Doctoral Thesis was discussed, as well as confirms its scientific novelty and personal contribution of the applicant. 9.2. If the Doctoral Thesis is a collection of thematically related publications, which were developed with co-authors, or a collective monograph, it must be supplemented by a written consent, signed by all coauthors of the publications included into the Doctoral Thesis, approving the use of the publications in the Doctoral Thesis or the confirmation from the corresponding (main) author of these publications about the personal contribution of the applicant to the elaboration of the publications.

10. COMPLETION OF DOCTORAL STUDIES 10.1. RTU Doctoral Studies are completed if examinations in all study courses included in the study plan have received positive evaluation, if the Doctoral Thesis has been submitted to the corresponding Promotional Council for awarding the Doctoral Degree, and if the Doctoral Thesis has been publicly defended. 10.2. If the applicant for an academic degree has independently elaborated a Doctoral Thesis and the academic results achieved in the previous education or through professional experience in accordance with the RTU established procedures are acknowledged as compliant with the requirements of a particular doctoral study programme, the applicant is entitled to submit the Doctoral Thesis for defence. 10.3. Doctoral Student is exmatriculated as an applicant for an academic degree, if upon a successful completion of a doctoral study programme, the Doctoral Student has submitted the Doctoral Thesis to the Promotional Council or if the draft of the Doctoral Thesis has been predefended at the meeting of the Promotional Council or the meeting of the respective structural unit, which were attended by the Chair of the Promotional Council or an industry expert appointed by the Chair, and a recommendation to submit Doctoral Thesis to the Promotional Council for review has been received. 10.4. Doctoral Student is exmatriculated from RTU due to poor academic results, if upon a successful completion of a doctoral study programme, the draft of the Doctoral Thesis has not been pre-defended at the meeting of the Promotional Council or the meeting of the respective structural unit, which were attended by the Chair of the Promotional Council or an industry expert appointed by the Chair, and a recommendation to submit Doctoral Thesis to the Promotional Council for review has not been received. 10.5. A Doctoral Degree shall be conferred to a person after the successful defence of the Doctoral Thesis in the Promotional Council. 10.6. The order on exmatriculation of the Doctoral Student as an applicant for an academic degree or on exmatriculation of the Doctoral Student due to poor academic results is issued by RTU Vice- Rector for Research on the basis of the resolution of the Council of the corresponding institute or faculty. 10.7. The order on conferral of Doctoral Degree and exmatriculation of the Doctoral Student is issued by RTU Rector on the basis of the resolution of the Promotional Council on conferral of Doctoral Degree. 10.8. On the basis of the order on conferral of Doctoral Degree to the Doctoral Student, RTU Vice- Rector for Research issues an order on conferral of a Doctoral Diploma. The Doctoral Diploma is signed by RTU Rector and the Chair of the corresponding Promotional Council.