Forskningsseksjonen - PhD regulations

This is a translation. The Norwegian version is the official one.

Adopted by the University Board on 15.12.05 (case S 77/05) in accordance with the Norwegian Universities’ Act, sub sections 3-3, 3-7 and 3-9 (01.04.05). Changed 21.6.2006 og 19.7.2007. Ref: S 32-06 and F 106-07.

Chapter I General regulations

Section 1: Applicability

These regulations apply to education culminating in the degree of Philosophiae Doctor (PhD). These regulations pertain to admission, participation in and completion of the doctoral degree programme at the University of Tromsø. The regulations about examinations pertain to examinations in the course component of the programme.

Section 2: Objective of the doctoral degree programme

The doctoral degree programme is designed to qualify students for research activity at a high academic level and for other types of work in which a high degree of academic expertise and analytical skill is required.

Section 3: Responsibility for the doctoral degree programme

Doctoral degree programmes are under the jurisdiction of the University Board, which determines regulations for the programme’s organisation. The University Board determines the establishment and discontinuation of doctoral degree programmes based on recommendations from the respective faculty/Norwegian College of Fishery Science (NFH).

The faculty/NFH can determine further regulations for programmes for which they have the academic responsibility. Once adopted, copies of such additional regulations must be forwarded to the University Director.

Section 4: Contents of the doctoral degree programme

The doctoral program shall primarily consist of scientific research activity conducted under an academic advisor.

The doctoral degree program consists of:

Completion of an independent piece of research in active collaboration with the academic advisor and other researchers
An approved set of courses or instruction
Participation in active research communities, both nationally and internationally
Research dissemination that is closely linked to the dissertation in progress

The work shall conclude with a scientific dissertation – doctoral dissertation.

The PhD degree is awarded based on:

A recognised scientific dissertation and a satisfactory defence thereof in a public defence
Approved completion of an approved set of courses or instruction or other approved academic instruction or competence
At least one approved trial lecture

Chapter II Admission, right to study and leave of absence

Section 5: Admission requirements

In order to be admitted to a doctoral degree program, the applicant must either have completed an integrated Master’s degree (300 credits), a Master’s degree (120 credits) and Bachelor’s degree (180 credits) or the equivalent education as approved by the faculty responsible for the specific programme.

Experience-based master's degrees (120 credits) may suffice as basis for admission to the PhD programmes. Before the admissions committee can consider an application for admission based on an experience-based master's degree to a PhD programme, the faculty must see to in advance that the quality of the master's thesis in question has been externally evaluated as adequate for admission to the doctoral level, both academically, methodically and as regards philosophy of science. The external evaluation must be done by at least one professor/associate professor from a relevant subject area at another university. The admissions committee should put decisive weight on the external evaluation.

The respective faculty/NFH can adopt minimum academic requirements for admission to doctoral degree programmes.

Section 6: Application

The application for admission to a doctoral degree programme shall contain the following:

An individual education plan, which is a plan detailing participation in the doctoral degree programme – both the instruction component and the dissertation project – and a description of the project
An account of project funding
A description of the necessary infrastructure
An account of the need for academic advising and the name(s) of proposed academic advisor(s)
A detailed plan for the completion of the project, including interim deadlines
Any relevant plans for extended stays at other research institutions or organisations, nationally or internationally
Documentation of educational background qualifying for admission
Information concerning any intellectual property restrictions related to the rights of other parties
Specification of which language the dissertation will be written in. Refer to the final clause in section 17

Applications must be submitted on the official application form.

The individual education plan is normally prepared in collaboration with the principal academic advisor and includes descriptions about the research, the research question and the selection of relevant theory and method.

Section 7: Admissions committee

Each faculty shall appoint an admissions committee, which has responsibility for admissions to the doctoral degree programme. The Doctoral Degree Committee or similar can also act as this committee. Student representatives must comprise at least 20 percent of the membership of the admissions committee. When there is no more than one member, students have the right to appoint a second representative, who is able to speak and make suggestions, but not vote.

Section 8: Decisions concerning

Decisions concerning admission are made on the basis of a holistic evaluation of the application. When the number of applicants exceeds the admissions capacity of the faculty/NFH, applicants will be ranked on the basis of this holistic evaluation and the applicant’s research potential as outlined in the application.

Admission to the doctoral degree programme may be made subject to funding, the faculty’s admissions capacity, provision of an individual education plan, completion of additional educational programmes or courses, and agreements concerning rights to intellectual property.

The following shall be included in the official notification of admission to the programme: the name of the academic advisor, delegation of responsibility for any other specific needs stipulated in the application, and the specific dates of the programme contract period. Any extension of the contract period must be related to the rights of employees pursuant to Norwegian law, or be the subject of a separate agreement.

Admission may be denied in the event that:

rights to intellectual property prevent the publication of results and an open defence of the dissertation
the relevant and current agreements pertaining to intellectual property are so unreasonable that the institution shall not participate in the research project

Section 9: Admission to courses in the instruction component

The following students can take PhD courses – courses at 8000 level – at UiT:

Category 1: People admitted to the PhD programme at UiT
Category 2: People employed in Research Fellow positions at UiT, who are yet to be admitted to a PhD programme
Category 3: Doctoral degree students from other universities
Category 4: People with a minimum of a Master’s degree (or equivalent), who have not been admitted to a PhD programme

When the number of applicants exceeds the number of places available on a PhD course, applicants will be ranked from category 1 to 4. This ranking is handled at departmental level.

Students in all of the above-mentioned categories must apply for admission/register for PhD courses on the official application form.

Section 10: Contract

Admission to the programme is formalised through a written contract for the doctoral degree programme. Part A is the agreement between the doctoral degree student and the relevant faculty/NFH. Part B is the agreement between the student, the academic advisor and unit (programme) to which the student has been admitted the department. In the event that a student has his/her place of work at an institution other than the admitting institution, a separate contract (part C) must be drawn up to cover working conditions, including the amount of work time to be allocated to the dissertation project, funding of operating costs, and the need for equipment. The contract shall also guarantee that the student participates actively in a research community and shall facilitate student completion of the programme within the stipulated period.

Section 11: Right to study

Students who accept the offer of a study place retain the right to study for a period equivalent to two years’ effective study with normal progress in full or part time study over and above nominal length of the study. Faculties/NFH can, at their own discretion, extend this period for their programme(s). Time deductions are not made for delayed study start, leave of absence, exclusions from the university and academic delays. Students who lose their right to study can submit a new application.

Section 12: Leave of absence

Doctoral degree students can apply for maternity leave during the pregnancy and to care for their baby, as set out in the Norwegian Universities’ Act, sections 4 and 5. Leave of absence is also granted for doctoral degree students who must serve compulsory military service.

The relevant department can also grant leaves of absence for a total of up to two years during the study period for the following reasons: to enable the doctoral degree student to participate in international defence operations or work related to student politics, protracted illness and for other important academic, social or personal reasons. Faculties/departments have the authority to adopt supplementary rules expanding the opportunities for leaves of absence for doctoral degree students. Research Fellows granted leaves of absence from their position automatically receive the equivalent leave(s) of absence from their study.

Chapter III Doctoral degree programme

Section 13: Doctoral degree programme

The doctoral degree program has a value of 180 credits and shall be designed so that students are able to complete their studies within the stipulated time frame, three years’ effective study. The contract period may be extended in the event that a student is granted leave of absence from the programme on the basis of his/her legal rights as an employee.

The faculty/NFH shall provide all doctoral degree students with courses and instruction at a high academic level. In the event that the faculty/NFH is responsible for the programme does not provide all required courses, that faculty/NFH must facilitate student participation in comparable courses at other institutions/faculties that provide accredited doctoral instruction.

Section 14: Instruction component

The instruction component of the doctoral degree program shall include courses amounting to 30 credits, and shall include the compulsory course(s) in the philosophy of science and ethics. Courses forming part of the instruction component shall normally be at 8000 level. Completion of the instruction component shall be approved before submission of the dissertation. Applications for amendment of previously approved individual education plan for the instruction component shall be prepared in collaboration with the principal academic advisor and be considered by the faculty/NFH.

The programme faculty/NFH may grant exemption/academic approval from part of the instruction component in the event that the student has completed equivalent and approved instruction or courses at another approved institution.

In subjects where there is no course instruction, students may submit individual reading lists for approval in lieu of course participation.

Section 15: Affiliation with a research community

The principal academic advisor, in cooperation with the faculty/NFH, is responsible for facilitating the doctoral student’s regular participation in an active research community involving senior researchers and other doctoral degree students. For doctoral degree students attached to other institutions, an agreement is to be set between the university and the collaborating in order to regulate working conditions, including active participation by the doctoral student in an active research environment (with reference to section 10).

Section 16: Equipment

Doctoral degree students shall have access to all necessary equipment to participate in the research project. The faculty/NFH determines what constitutes necessary equipment. For doctoral degree students with external funding and/or place of employment, a specific contract must be drawn up between the university and the external parties for each research project. Such contracts shall be drawn up during or immediately after the admission process (with reference to section 10).

Chapter IV The dissertation

Section 17: Dissertation requirements

A dissertation shall be an independent piece of academic research which meets international standards in the discipline within which it is written. The dissertation shall contribute to the development of new knowledge and achieve a level meriting publication in scientific literature in the field.

The dissertation can either be a monograph or a collection of several smaller research papers. Such collections must involve a connection between the various components, and such connections must be explained in a summary.

Research carried out in collaboration with others may be approved as part of a doctoral dissertation to the extent that the doctoral degree student’s individual input can be identified and documented.

A faculty/NFH can approve dissertations being jointly written by two or more doctoral degree students.

The language in which the dissertation is written must be mutually agreed between the academic advisor, the doctoral degree student(s) and the faculty/NFH.

Section 18: Work that may not be submitted

Research work which has been submitted for previous examination purposes may not be submitted for assessment as part of a doctoral dissertation unless it is included as a minor part of a dissertation consisting of several related works.

Section 19: Academic advising

Doctoral degree students shall receive academic advising while working on their doctoral dissertation. The doctoral degree student shall have regular contact with their academic advisor(s) and shall participate in an active research community.

At least one of the academic advisors shall be employed at the admitting institution. The academic advisor must have a doctoral degree or its equivalent.

If a doctoral student has more than one academic advisor, one of the academic advisors shall be appointed principal academic advisor. The principal academic advisor is primarily responsible for the academic supervision of the student. The principal academic advisor shall normally be employed at the admitting institution.

Both the doctoral degree student and academic advisor shall submit the required reports and documents, in accordance with the regulations set by the faculty/NFH (with reference to section 21).

Section 20: Public availability

The dissertation shall be available to the public no less than two weeks prior to the public defence.

There shall be no restrictions on the publication of a doctoral dissertation. An exception may be made in the event that a prior agreement has been made concerning delayed publication at an agreed upon date. Such an agreement may take place when the doctoral work is partially or wholly funded by an external party, in order that that external party may determine its interest in possible patents or commercialisation of research results. Refer to what is determined by laws governing discoveries by employees. An external party may not impose a condition requiring all or part of a doctoral dissertation be withheld from publication or in any way hinder its being made publicly available.

Chapter V Quality assurance and reporting

Section 21: Quality assurance and reporting

The university shall maintain a system for quality assurance of its doctoral degree programmes. This system shall include measures to reveal insufficient progress in doctoral work and inadequacies in academic supervision, as well as routines for handling any such deficiencies that might arise. This system shall include annual, individual reporting from the doctoral degree student and the academic advisor, and shall be designed such that dual reporting is avoided.

Chapter VI Termination of contract

Section 22: Voluntary termination of the contract

The doctoral degree student and the faculty/NFH can reach mutual agreement for termination of the doctoral degree programme prior to term. In the event of such terminations of contract, a separate agreement must be drawn up covering questions such as employment conditions, funding and rights to the result.
In the event of voluntary termination of contract because the doctoral degree student wishes to change project or transfer to another doctoral degree programme, the doctoral degree student must reapply based on the new project. In this context, transferring to the Doctor Philos. degree is the same as voluntary termination of contract.

Section 23: Termination of the contract

Severe breach of the contract may result in the faculty/NFH’s termination of a doctoral degree student’s contract prior to term. Examples of breeches of contract that can result in termination:

The doctoral degree student has breeched responsibilities regarding information, follow up and reporting by several occasions or for essential matters
The lack of progress on the research project is delayed to such an extent that there is reasonable grounds to believe that the doctoral degree student would be unable to complete the project on term, and the delay results from conditions under the doctoral degree student’s control.
Participation in the instruction component is substantially delayed, for reasons under the doctoral degree student’s control
The doctoral degree student has breeched the ethical rules and standards that apply for the specific specialist field.
The doctoral degree student has breeched the university’s confidence through unlawful actions while participating in the doctoral degree programme

Resolutions about termination of contract shall be written by the faculty/NFH in consultation with the university. In the event that the doctoral degree student is employed, the contract can be terminated even though conditions in the Norwegian Civil Servants Act have been met.

Chapter VII Assessment of dissertation

Section 24: Application for assessment for degree

An application for assessment of a doctoral dissertation shall be directed to the faculty/NFH. The application shall contain documentation of completion and approval of the instruction component of the doctoral degree programme. A copy of the dissertation in standard form must accompany in the format – printed or electronic – stipulated by the faculty/NFH. The faculty/NFH shall also stipulate how many copies shall be submitted.

If the dissertation is found worthy of public defence, an additional number of copies of the dissertation shall be provided, in accordance with the regulations of the individual doctoral degree programme.

Work or parts of work previously approved for a doctoral degree in Norway or at an institution abroad may not be submitted even if the work has been revised.

Section 25 Appointment of Dissertation Committee

The faculty/NFH shall appoint a Dissertation Committee consisting of at least three members. The composition of the committee shall be such that:

both sexes are represented, to the extent possible
at least one of the members has no association with the university
at least one of the members is from a foreign institution, to the extent possible
all members hold doctoral degrees or their equivalent

The doctoral candidate’s own department or research group or unit may propose potential committee members. Grounds for the proposal must be provided and the proposal shall also indicate how the committee as a whole covers the field(s) dealt with in the dissertation.

The faculty/NFH shall appoint either one of the committee members or another person to serve as committee chairperson. The academic advisor, doctoral degree students who have collaborated on the dissertation and other ineligible people shall not be a member of the Dissertation Committee or function as its chairperson.

The doctoral degree student shall receive notification of the composition of the Dissertation Committee.

Section 26: Withdrawal and reworking

A dissertation which has been submitted may not be withdrawn before the Dissertation Committee has determined whether or not it is worthy of public defence. The doctoral candidate may nonetheless correct formalities in the submitted dissertation. In the event that the candidate does so, corrections must be submitted no later than one month prior to the public defence.

Section 27: Obligation to provide information

An academic advisor may be summoned by the Dissertation Committee in order to provide information concerning the advising carried out and the dissertation work.

The Dissertation Committee may request that the doctoral candidate submit material and/or data or provide any relevant additional information.

Chapter VIII The committee’s report and consideration of the report

Section 28: Deadlines

The report of the Dissertation Committee shall to the extent possible be presented no later than three months after the dissertation being submitted, unless the faculty/NFH has stipulated otherwise. If the doctoral degree candidate is allowed to rework the dissertation pursuant to section 29 paragraph 4, a new period commences upon resubmission of the dissertation. This also applies to possible resubmission pursuant to section 32.

The public defence shall take place within four months of the dissertation being submitted, to the extent possible.

Section 29: The report of the Dissertation Committee

The Dissertation Committee determines whether the dissertation is worthy of public defence. The committee’s decision shall be presented in an assessment report. The decision presented in the report and any dissenting views must be substantiated.

The report of the Dissertation Committee shall be presented to the doctoral degree candidate, who is given a period of 14 days in which to submit written comments on the report. If the doctoral degree candidate chooses not to do so, the committee shall be promptly informed.

The committee’s report shall be considered by the Faculty Board/NFH Board. The doctoral degree student shall receive notification of the outcome of this consideration.

Without considering section 26, the faculty/NFH can allow the doctoral degree student to rework his/her dissertation in the event that the committee recommends this in its report. The doctoral degree student shall receive a period of up to six month for such reworking.

Section 30: Procedure with unanimous committee decision

If a Dissertation Committee submits a unanimous report, this report shall be adopted and duly noted by a majority vote at the Faculty Board/NFH Board. If a majority of this body finds that there are grounds to doubt that the dissertation shall be approved, in spite of the unanimous report of the Dissertation Committee, the faculty/NFH shall either request further clarification from the Dissertation Committee, or appoint two new reviewers, who shall submit individual assessments of the dissertation. The two new reviewers shall not be employed at the university or have been previously involved with the dissertation.

The doctoral degree candidate’s comments, if any, shall be appended. The Faculty Board/NFH Board then votes on the basis of the original report and the subsequent reviews. In the event that the Dissertation Committee’s report is unanimous, the Faculty Board/NFH Board can delegate adoption of the report to the Dean/University College Rector.

Section 31: Procedure with a non-unanimous committee report

If the Dissertation Committee is not unanimous in its decision regarding the dissertation, the faculty/NFH may vote on whether or not the dissertation is to be approved, request further clarification from the Dissertation Committee or appoint two new reviewers, who shall submit individual assessments of the dissertation. The two new reviewers shall not be employed at the university or have been previously involved with the dissertation.

The doctoral degree candidate’s comments, if any, shall be appended. The Faculty Board/NFH Board then votes on the basis of the original report and the subsequent reviews.

Section 32: Re-submission

A dissertation that was not deemed worthy of public defence can be re-submitted after reworking one time. Such re-submission is permitted a minimum of six months after the date of the first resolution.

Chapter IX Public defence and awarding of the degree

Section 33: The trial lecture

After the dissertation has been approved for public defence, but before such public defence, the doctoral degree candidates shall hold a trial lecture. The Faculty/NFH determines whether the doctoral degree candidate shall hold one or two trial lectures.

One trial lecture shall be on a given topic. The topic for the lecture is determined by the Dissertation Committee and is given to the candidate 14 days prior to the holding of the lecture.

In the event that the faculty/NFH determines that the doctoral degree candidate shall hold two trial lectures, the doctoral degree candidate may determine the topic of the second lecture. The doctoral degree student shall notify the faculty/NFH of the title of the lecture no less than one month prior to the holding of the lecture.

The trial lecture(s) shall be held in the language in which the dissertation is written or in another language, as approved by the faculty/NFH. The trial lecture(s) shall be held after the dissertation is submitted and before the public defence of the dissertation, and shall be approved by the Dissertation Committee.

In the event that the trial lecture(s) are not approved, new trial lecture(s) may be held a minimum of six months later. If possible, the new lecture(s) shall be evaluated by the original committee.

Section 34: Defending the dissertation

When the trial lecture(s) has/have been held and approved by the Dissertation Committee, the doctoral degree candidate may defend the dissertation in public. The venue and time for the defence shall be posted well in advance, along with information concerning publication and availability of the dissertation.

The defence shall be held in the language in which the dissertation is written or in Norwegian, unless otherwise stipulated by the faculty/NFH.

There shall normally be two opposing speakers or discussants at the defence. These two shall be members of the Dissertation Committee and shall be appointed by the faculty/NFH. In special circumstances, opposing speakers can be appointed from outside the committee.

The defence shall be led by the Dean/University College Rector or his/her representative. The leader of the defence shall give a brief presentation of the procedure completed thus far, including submission of the dissertation, the Committee report and the trial lecture(s). After this introduction, the doctoral degree candidate shall give an ccount of the objectives and results of the dissertation project.

The first opposing speaker commences the discussion, and the second concludes the defence. The faculty/NFH may, however, stipulate a different order and/or division of labour between the doctoral degree candidate and the first opposing speaker. Members of the audience who wish to pose questions from the floor must notify the leader of the defence of their desire to do so by a designated time in the proceedings.

After the public defence, the Dissertation Committee sends a statement of its evaluation of the defence to the faculty/NFH. This statement shall conclude either that the defence has been approved or that it has not.

In the event that a defence is not found satisfactory, a new defence may be held not less than six months later. If possible, the new defence shall be evaluated by the original Dissertation Committee. The defence must be found satisfactory before a diploma may be awarded.

Section 35: Awarding of the degree, diploma and transcript

When the institution has approved the instruction component, dissertation, trial lecture(s) and public defence, a doctoral candidate is awarded the degree of Philosophiae Doctor (PhD) by the University Board.

A diploma and transcript are issued by the university. The diploma shall contain the date on which it is awarded and details of the doctoral degree programme. In addition, the candidate shall receive a transcript stating the titles of the dissertation and trial lecture(s) and information concerning the academic program in which the candidate has participate.

Chapter X Appeals

Section 36: Appeal of application and admissions proceedings

Decisions regarding admission to the doctoral program (with reference to Section 5) may be appealed in accordance with the provisions of Section 28. Appeals shall be submitted to the faculty/NFH. If the original decision is maintained, the appeal shall be sent to the university’s central Appeals Board for consideration.

Section 37: Appeal of decision regarding approval of courses and instruction

In appealing decisions regarding approval of courses or instruction as part of the doctoral degree programme’s instruction component, Section 28 of the Norwegian Public Administration Act pertains. In appeals of decisions regarding examination or test grades, the Norwegian Universities Act, section 5-3, pertains.

Section 38: Appeal of decision regarding application for assessment or non-approval of dissertation, trial lecture or defence

Decisions involving non-approval of a dissertation, trial lecture(s) or public defence may be appealed in accordance with Section 28 and following of the Norwegian Public Administration Act. Appeals, including mention of the grounds for the appeal, must be submitted to the faculty/NFH, which may reconsider all aspects of the appealed decision.

Chapter XI Taking effect

Section 39: Taking effect

These regulations apply from 01.01.2006.