REGULATIONS for the PhD degree programme at THE FACULTY OF HEALTH SCIENCES THE UNIVERSITY OF AARHUS Applicable from 1 October 2003 (amended May 2004)

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1 REGULATIONS for the PhD degree programme at THE FACULTY OF HEALTH SCIENCES THE UNIVERSITY OF AARHUS Applicable from 1 October 2003 (amended May 2004) CONTENTS INTRODUCTION... 3 OBJECTIVES... 3 APPLICATION FOR ADMISSION TO THE PHD DEGREE PROGRAMME... 3 SUPERVISION...6 COURSES... 7 COURSE PLANNING... 8 ASSESSMENT... 9 STUDY PERIODS ABROAD PARTICIPATION IN AN ACTIVE RESEARCH ENVIRONMENT, AND TEACHING/COMMUNICATING KNOWLEDGE PORTFOLIO DURATION FINANCING PHD DISSERTATION DISSERTATION SUBMISSION DISSERTATION ASSESSMENT DEFENCE CONFERRAL OF THE DEGREE RELATIONSHIP BETWEEN A PHD DISSERTATION AND A DOCTORAL DISSERTATION EXEMPTION TRANSITIONAL REGULATIONS COMPLAINTS PRACTICAL INFORMATION APPENDICES INTRODUCTION The regulations for the PhD degree programme at the Faculty of Health Sciences, the University of Aarhus, are set out in accordance with PhD Executive Order, no. 114 of 8 March 2002 and the regulations adopted by the University of Aarhus for the PhD programme. The faculty can confer a PhD degree in medicine, odontology and science in nursing. The study programme described below applies to all enrolled PhD students at the faculty, regardless of their field of study.

2 In accordance with section 8 of the PhD Executive Order, the PhD degree programme consists of the following elements: Completion of an independent research project under supervision (the PhD project). Preparation of a PhD dissertation based on the PhD project. Completion of research courses with a satisfactory result (PhD courses). The total point value of the courses must correspond to approximately 30 ECTS credits. Participation in active research environments, including periods of study at other research institutions, mainly abroad, or by other means. Experience in teaching or other forms of communicating knowledge, directly related as far as possible to the PhD project. The PhD degree programme comes under the auspices of the faculty s The Research and Research Training Committee (FFU). The degree programme is administered by the Graduate School of Health Sciences at the Faculty of Health Sciences, University of Aarhus, Vennelyst Boulevard 9, DK-8000 Aarhus C, Denmark. Information is also available on the graduate school s web site at: OBJECTIVES The faculty has defined the following supplementary objective for the PhD degree programme, in accordance with the regulations of the University of Aarhus and within the scope of the PhD Executive Order: The objectives of the PhD degree programme are to provide a broad knowledge of the scientific theories, methodologies and tools that form the basis of health science research, and to develop the student s ability to understand and independently deal with scholarly problems and topics. APPLICATION FOR ADMISSION TO THE PHD DEGREE PROGRAMME In accordance with section 5, article 1, of the PhD Executive Order, a completed Master s degree is a prerequisite for admission to the PhD degree programme. Students who have yet to complete a degree at Master s degree level can enrol as a PhD student in accordance with the regulations set out by the institution in question. The faculty has defined the following regulations for admission to the PhD degree programme: A prerequisite for admission to the PhD degree programme is normally a Master s degree in medicine, odontology or science in nursing, or another Master s degree that is considered to provide the necessary prerequisites. No prior research experience is required, but a completed diploma degree programme/research year is, of course, an advantage. Enrolment prior to completing a Master s degree is an exception, but is possible if the student has an overall plan for completing both the Master s degree and the PhD degree. Students must submit an application in triplicate using a special form, accompanied by a research and education plan (the PhD plan), which must include the following: 1. A brief description of the project. A comprehensive project description of approximately 5 A4 pages must be attached, prepared in collaboration with the potential supervisors. The project description must

3 include the following information: a) The background for the project with a brief description of current knowledge in the field. The applicant s previous experience of relevance to the completion of the project, e.g. completed diploma degree programme/research year (approximately 1 page). b) The purpose of the project and what makes it interesting. Project hypotheses and/or main topics (approximately 1 page). c) Suggested methodologies and how they will be applied. The ethical aspects of the project, including whether it is necessary to obtain permission from the Danish National Committee on Biomedical Research Ethics (approximately 2 pages). 2) Agreement regarding the form of the supervision, including commitment to regular meetings. 3) A schedule indicating the completion time for the individual elements of the PhD degree programme (completion of project, course participation, experience with communicating knowledge, participation in an active research environment [including a stay at another research institution, if applicable], information about participation in a journal club and preparation of the dissertation). The course plan must be prepared in accordance with the Courses section below. 4) A budget for the financing of the project, including funds for own salary. If the PhD degree programme is completed in collaboration with others, a copyright agreement must be attached. It is important that the project description clearly indicates the extent of the PhD student s own efforts regarding the project. Guidelines are available for research projects based on qualitative methodology (appendix). Elective courses (both those offered by the faculty and external courses) must be selected after consultation with the supervisors. The choice can be amended/supplemented in connection with half-yearly evaluations or following a special application. Special regulations apply to PhD courses completed before enrolment, cf. appendix. Twice a year, the faculty offers an introductory course in the preparation of applications for admission to the PhD degree programme. Applications for admission must be submitted to: Graduate School of Health Sciences Faculty of Health Sciences Vennelyst Boulevard 9 DK-8000 Aarhus C Denmark

4 Applications for enrolment in the PhD degree programme are evaluated by the faculty s The Research and Research Training Committee (DFU) before a decision about enrolment is made. Information about the current composition of the Research and Research Training Committee is available from the Graduate School of Health Sciences and the graduate school s web site. Those aspects considered most important by the Research and Research Training Committee are the quality of the degree programme, especially the background for the project, a satisfactory description of the methodologies, statistical analysis, project feasibility and the competence of the supervisors. In approving the course programme, emphasis is placed on the academic scope of the programme and its relevance to the student s project. If, at first glance, the project is found to be acceptable, approval will take approximately 2 months. If the application requires further elaboration/amendment, which is often the case, this process will take longer. On the basis of the recommendation by the Research and Research Training Committee, the dean confirms the PhD plan for the individual PhD student in accordance with section 10 of the PhD Executive Order. Any subsequent changes to the course plan must be approved by the main supervisor, who must indicate the reason for such a change in the subsequent half-yearly evaluation. If there are significant changes to the project, a revised project description must be submitted for approval by the Research and Research Training Committee. All supervisors must approve a request for changes to the project description. The PhD studies management approves changes to the PhD plan. SUPERVISION In accordance with section 9 of the PhD Executive Order, one main supervisor and one project supervisor must be appointed. The main supervisor is responsible for the overall PhD degree programme and must be a permanent member of the faculty. In the clinical degree programmes, only clinical professors and clinical associate professors can be approved as main supervisors. The Executive Order allows the appointment of a main supervisor who is not employed at the faculty, subject to an agreement between the faculty and the employer of the potential main supervisor. Currently, the faculty has no plans to enter into any such agreements. The project supervisor is responsible for supervising the PhD project. The project supervisor and the main supervisor can be the same person. In such case, the faculty requires that a co-supervisor be appointed to ensure that two supervisors are always associated with a project. If the project is completed outside the faculty, the project supervisor must normally be an employee of the institution at which the project is completed. In addition to the main supervisor and the project supervisor, a co-supervisor can be appointed if required for the completion of the project. Applicants who would like more

5 than three supervisors to be associated with their PhD project must submit their grounds in writing. The main supervisor, the project supervisor and generally also any other supervisor(s) must be professors or associate professors, or have equivalent qualifications in the field in question. In connection with enrolment in the PhD degree programme, the dean approves the supervisors on the basis of a recommendation from the Research and Research Training Committee. It is considered important that the supervisors cover all academic aspects of the project and that they are active researchers in the field in question. Supervisors can be replaced or additional supervisors appointed subject to application from the PhD student during the course of studies. The composition of the supervisors can also be changed if there is a valid reason. The faculty s regulations for supervision are as follows: Supervisor responsibility The main supervisor prepares the half-yearly project evaluations, but all supervisors are jointly responsible for the project and must: be familiar with the PhD Executive Order and other rules and regulations for the PhD degree programme. provide regular supervision, including participation in the planning of future trials, discuss results and read manuscripts. assist with questions regarding financial matters. establish contact with other relevant research environments, both in Denmark and abroad. Responsibility of the PhD student The PhD student is responsible for keeping the supervisors informed about the progress of the project, including: trial protocols. all important research findings. drafts for abstracts, publications and the PhD dissertation. external enquiries relating to the project. In addition, PhD students must: keep their electronic portfolio up to date. provide the supervisors well in advance with the necessary information for halfyearly evaluations. be familiar with the PhD Executive Order and other regulations and guidelines for the PhD degree programme. COURSES In accordance with the PhD Executive Order, the PhD student must complete an individually planned course programme amounting to six months of studies or 30 ECTS

6 (European Credit Transfer System) credits. The faculty s regulations for course participation are as follows: The PhD degree programme consists of four compulsory courses: Basic course in health science research of 3 days duration; Basic course in biostatistics of 6 days duration; one of the basic courses in biomedicine, clinical research, epidemiological research or qualitative research (of 3 4 days each); and one of the specialised courses in biostatistics (4 days each). PhD students must also participate in a number of elective courses relevant to the individual student s project. The compulsory and elective courses must add up to the equivalent of 25 ECTS credits. In addition, the student gets 5 ECTS credits for participation in journal clubs, conferences, institute/department seminars and similar activities. Participation in such activities must be documented in the PhD student s portfolio. The Basic course in health science research and the Basic course in biostatistics must be completed as soon as possible after enrolment in the PhD degree programme, normally within the first one to two months. An assessment of the participants can take place at the end of the courses if deemed necessary by the course leader. A diploma is issued upon completion of the course if the student s participation is deemed satisfactory by the leader. See the graduate school s web site for examples of elective courses offered by the faculty. PhD students at the University of Aarhus can participate in PhD courses at the Faculties of Health Science in Copenhagen and Odense and at the Faculty of Pharmaceutical Sciences at the University of Copenhagen, on a par with PhD students at those universities. Courses at other institutions in Denmark or abroad can be approved as part of the course programme, subject to application. The faculty also participates in the activities of a number of graduate schools that offer PhD course programmes. See the graduate school s web site for information about the courses offered. An application for approval of external courses must be sent to the Graduate School of Health Sciences, either in connection with the application for enrolment or at a later stage. Guidelines for the approval of external courses have been prepared (appendix). PhD students with a non-medical background can receive credits for relevant completed courses/subjects in medicine up to a maximum of 10 ECTS credits. The PhD studies management determines the number of ECTS credits based on an assessment of the course programme in question. COURSE PLANNING Courses come under the auspices of the Research and Research Training Committee. The

7 PhD studies management and the course leaders jointly determine the contents of individual courses and select the participants. In the selection process, PhD students are considered in order of enrolment. The courses offered by the faculty are determined each term. The Basic course in health science research is normally offered four times a year, beginning in January, April, September and November. At the time of enrolment, PhD students are notified of their acceptance in compulsory courses. Students can apply for enrolment in elective courses by completing a special form that is available from the Graduate School of Health Sciences or can be downloaded from the graduate school s web site. It is possible for PhD students to apply for participation free of charge in graduate school courses at other institutions (the open course market). EVALUATION In accordance with section 11 of the PhD Executive Order, half-yearly evaluations are required to determine whether the PhD student meets the requirements set out in the PhD plan. Every six months, the main supervisor must provide an evaluation of the progress made. This evaluation is prepared following a discussion with the PhD student and the other supervisor(s). The main supervisor must indicate whether the PhD programme is being completed in accordance with the PhD plan and explain any adjustments made. When assessing whether satisfactory progress has been made, the supervisor must take into account any documented illness, maternity/paternity leave or other approved leave. If the PhD student does not comply with the requirements in the PhD plan, the dean must give the student an opportunity to rectify the situation within three months. If the PhD student accepts this offer, an assessment must be made within a month of the expiry of the three-month period. If this assessment is negative, the PhD student can request that the case be submitted to the Faculty Council. If the Faculty Council assesses that the requirements in the PhD plan have not been met, the PhD student will be deregistered at the end of the month. The offer to rectify any shortcomings in the project can only be given once during the entire PhD degree programme. In accordance with the regulations of the University of Aarhus, the evaluation must be prepared in writing and document which parts of the degree programme have been completed and any deviations from the PhD plan, as well as any changes to the PhD plan in question that have been approved. The faculty has set out the following supplementary evaluation regulations: A special form has been prepared for evaluations, which is sent to the main supervisor when the PhD student is enrolled. Evaluations must be submitted to the Graduate School of Health Sciences. Any comments the PhD student makes regarding the main supervisor s statement must be attached.

8 Applications for credit for external courses, and applications for leave/extension of the PhD degree programme, etc. must be submitted to the Graduate School of Health Sciences as separate applications. The main supervisor must approve any changes to the course programme and indicate the reason for such changes in the subsequent half-yearly evaluation. Half-yearly evaluations and changes to the course plan are approved by the PhD studies management unless there are reasons for submitting them to the Research and Research Training Committee. STUDY PERIODS ABROAD In accordance with the PhD Executive Order, the faculty must ensure that the student as far as possible spends a shorter or longer period of study at another laboratory, preferably abroad. Research projects at the Faculty of Health Sciences are generally carried out in close collaboration with other research institutions in Denmark or abroad, which ensures that the PhD student becomes part of these research environments. Periods of study at these institutions can take place to the extent that they are a natural part of the student s project. PhD students who are financed by a scholarship plus a subsidy according to the taximeter principle (funding per student activity) can apply for a subsidy to finance periods of study abroad. PhD students who do not receive a subsidy according to the taximeter principle must cover their costs by means of grants from private foundations or by applying to the Danish Medical Research Council, for example. PARTICIPATION IN AN ACTIVE RESEARCH ENVIRONMENT, AND TEACHING/COMMUNICATING KNOWLEDGE In accordance with section 8 of the Executive Order, PhD students must participate in an active research environment and gain experience with teaching or some other form of communicating knowledge directly related as far as possible to the PhD project. Faculty regulations: The main supervisor is responsible for ensuring that the requirements of the Executive Order are complied with. For instance, all PhD students are expected to join a journal club or take part in a similar activity. Further information about journal clubs is available on the graduate school s web site. PhD students must also participate in seminars organised by the institute/department, as well as international conferences, where they present posters or give lectures. It is also considered natural for PhD students to assist with the supervision of research year students and, to some extent, with teaching students at the institute/department. PORTFOLIO Information about the activities included in the PhD degree programme must be recorded in an electronic portfolio created for each PhD student. This information must include courses, journal clubs, participation in seminars and conferences, presentations locally or

9 at conferences and participation in supervision and teaching, etc. Access to this portfolio is limited to the individual student, but can be read by the PhD studies management. A printout of the portfolio must be attached to each half-yearly evaluation and be signed by the main supervisor. DURATION The official duration of the PhD degree programme is three years of full-time studies. The institution can approve a less extensive PhD programme for students who have otherwise acquired equivalent qualifications, cf. section 4 of the Executive Order. The faculty can approve subject to application that the PhD degree programme be completed on a part-time basis, but the enrolment period must not exceed six years. The faculty can also grant maternity/paternity leave, and leave in connection with clinical work, for example. The duration is calculated from the time of enrolment normally the first month following approval of the application. It is possible, however, to request in the application that the time of enrolment be calculated from a later date. If previously completed research work or course participation forms part of the degree programme, a student can apply for transfer of credits. A completed diploma degree programme or research year entitles the student to six months credit for the PhD programme. After a total of three years of study time, the approved PhD plan must be completed and the dissertation submitted for assessment. Any application for extension of the degree programme must be submitted as soon as possible after the need arises and well in advance of the expected completion date. The application for extension must include a detailed explanation of the grounds for the application and be accompanied by a statement from the main supervisor. FINANCING Scholarships PhD degree programmes are normally financed by a PhD scholarship/research scholarship from The Faculty of Health Sciences The Industrial PhD initiative Graduate schools Private trusts It is also possible to complete the degree concurrently with other employment, such as a registrar. In such cases, the faculty can grant approval for part-time studies of more than three years duration. Graduates applying for admission to the degree programme, or who are already enrolled, can apply for a range of PhD and research scholarships at the disposal of the faculty. These scholarships are advertised every six months in the January and June editions of Information & Debat, Ugeskrift for Læger and Tandlægebladet. They are allocated

10 according to the following guidelines: PhD scholarships PhD scholarships are normally allocated for a three-year period, but this period can be reduced in cases of credit transfer, e.g. if previously published work will be included in the PhD dissertation, or if the PhD student has previously completed a diploma degree programme or a research year. The applicable salary and the agreement with the Danish Confederation of Professional Associations (AC) are available on the graduate school s web site. PhD fellows are obliged to carry out work corresponding to a total of 840 hours during a three-year employment period. This work can consist of communication, research, teaching, library work or other relevant tasks (excluding tasks of an administrative nature) that ease the strain on the academic staff. PhD fellows cannot undertake other paid work in addition to the scholarship without prior approval by the dean. Applications for permission to undertake paid work in addition to the scholarship must be submitted to the faculty accompanied by a statement from the main supervisor. This statement must indicate whether the paid work is compatible with the completion of the PhD degree. Approval is not normally given for the PhD student to undertake more than 20 hours of work per month in addition to the scholarship. At the University of Aarhus, recipients of PhD scholarships are normally not permitted to undertake other paid work. Research scholarships Research scholarships are reserved for students with a minimum of two years relevant work experience and other professional qualifications (research experience) entitling the student to at least six months credit towards the PhD degree programme. The research scholarships are normally for a maximum of 2 1 / 2 years. The research scholarship includes an obligation to complete assigned tasks such as teaching for up to 20% of the working hours. The research fellow receives a basic salary in accordance with the Danish Confederation of Professional Associations (AC) agreement plus a research supplement. Salary brackets are available on the graduate school s web site. Research fellows are not permitted to have other paid work in addition to the scholarship. Applications for exemption are subject to the same regulations that apply to PhD scholarships. Subsidy according to the taximeter principle The faculty receives a subsidy according to the taximeter principle for PhD scholarships. The faculty uses this subsidy to pay for the 840 hours, corresponding to 280 hours per year. In addition, the institute/department receives DKK 20,000 per year for project costs. If the scholarship is allocated for a period of less than 12 months, the amount is reduced accordingly.

11 The rest of the taximeter amount covers course fees, assessment fees, administration, etc. In the case of participation in external courses, the student can apply for a complete or partial refund of the course fee in addition to travel expenses. The application must be sent to the Graduate School of Health Sciences accompanied by a detailed course programme, course fees and a budget for travel expenses. There is also an education grant in connection with the faculty s research scholarships. This involves an amount of DKK 20,000 per year for project costs allocated to the institute/department. In addition, costs relating to the participation in external courses can be covered in accordance with the regulations that apply to PhD scholarships. If the PhD student has received an externally financed PhD scholarship or research scholarship with a subsidy according to the taximeter principle, an amount of DKK 40,000 per year must be transferred to the faculty in payment of education costs. Other financing In cases where the PhD degree programme is financed by funds received from private trusts or through other employment, such as a registrar, no subsidy applies according to the taximeter principle. In such cases, the faculty has decided that an amount of DKK 60,000 for the entire period of the degree programme must be transferred to the faculty from the student s institute/department/project grant. This amount covers costs of participating in faculty courses and the assessment of the dissertation. The amount does not cover the costs of participation in external courses, periods of study abroad or project costs, as it is presumed that these costs can be covered by the institute/department/project grant. Confirmation of payment of the amount by the institute/recipient of the grant must be presented upon enrolment. Free admission Until further notice, it is possible to apply for free admission to the PhD degree programme if the student has difficulty obtaining the necessary financing for tuition fees and assessment costs. Free admission places are advertised in the January and June editions of Information & Debat, Ugeskrift for Læger and Tandlægebladet, and applications must be submitted on a special form. PHD DISSERTATION The PhD dissertation proves that the PhD student has been able to independently complete an academic project using relevant scientific methodologies, and thereby contribute to promoting research at a level that corresponds to the international standard for PhD degrees in the subject area in question. The faculty s regulations for the dissertation are: As a general rule, the dissertation must be in English. Applications for permission to write the dissertation in Danish or another language must be addressed to the Graduate School of Health Sciences.

12 A PhD dissertation can be submitted in different formats: I. A dissertation consisting of a number of published articles or manuscripts ready for publication, accompanied by a summary statement. This is the most commonly used format, and is recommended by the faculty to ensure that the student s research findings are published internationally and that the PhD student becomes familiar with this very important process. The summary statement normally consists of the following: Table of contents. A summary of relevant literature leading to the formulation of subject topics and the objectives/hypotheses of the studies. A brief description of the methodologies used and the most important findings. An in-depth discussion of the results of the studies including a critical assessment of the underlying theories and the methodologies used, and a comparison with previously published findings. This discussion is an essential part of the entire dissertation and must be followed by a general conclusion. A section discussing future aspects, if applicable. A summary in English. If the dissertation is written in Danish or another language, a summary in that language must also be included. Instead of the brief presentation of the methodologies and key results, the student can choose to incorporate the published articles/manuscripts as independent chapters. Some students choose to publish the summary statement as a review article in an international journal, which is viewed favourably by the faculty. In this case, it is logical to incorporate the student s own findings on a par with other literature. The PhD student must be the sole author of such a review article. II. A monograph. This format can be used if there is a need for more detail than is normally possible in published articles. A monograph normally consists of the following: Table of contents. A summary of relevant literature leading to the formulation of subject topics and the objectives/hypotheses of the studies. Materials and methodologies. Results. An in-depth discussion of the results of the studies including a critical assessment of the underlying theories and the methodologies used, and a comparison with previously published findings. This discussion is an essential part of the entire dissertation and must be followed by a general conclusion. A section discussing future aspects, if applicable. A summary in English. If the dissertation in written in Danish or another language, a summary in that language must also be included. If the monograph is based on published articles or submitted manuscripts involving several authors, such articles must be attached for information, but are not included in the assessment.

13 Co-author declarations Co-author declarations must be included in all cases where the submitted PhD dissertation includes work by several authors. The co-author declarations must describe the extent and nature of the PhD student s share of the work and be signed by the coauthors and the PhD student. The declaration must also mention whether the article in question has previously been included in another thesis or PhD dissertation. If a monograph is based on research findings obtained in collaboration with others, which at the time of submission have not yet been described in manuscripts, the PhD student and the main supervisor must prepare a joint statement that describes the extent of the PhD student s work. This statement must be signed by both the PhD student and the main supervisor. DISSERTATION SUBMISSION The PhD dissertation must be submitted to the Faculty Secretariat within three years from the date of enrolment unless the student has been granted leave or extensions on other grounds. The printout of the portfolio must also be submitted, signed by the main supervisor. The main supervisor must prepare a statement about the completion of the PhD programme, including whether the requirements regarding course participation, experience with communicating knowledge and collaboration with external research environments have been complied with. This statement must be submitted prior to or at the latest at the time of the submission of the dissertation. The statement by the main supervisor is prepared jointly with the project supervisor, if applicable, and any cosupervisors. On the basis of this statement, the faculty assesses whether the PhD degree programme has been satisfactorily completed. The dissertation is only assessed if the entire PhD programme is deemed to have been completed in a satisfactory manner. The PhD dissertation must be submitted in six copies presented in ring binders or bound in another way. If the main supervisor is the only person appointed to the committee as a non-voting member, only five copies are required. Each of the copies submitted must include: The actual dissertation. A summary in English. If the dissertation is written in Danish or another language, a summary in that language must also be included. A printout of the portfolio, signed by the main supervisor. Copies of co-author declarations/declarations regarding joint projects. The copies submitted must be accompanied by one copy of the following declarations: A written declaration stating whether the dissertation has previously been assessed either in the same or in a more or less amended form with a view to conferral of an academic degree. A statement by the main supervisor regarding the completion of the PhD programme. Copies of all course diplomas.

14 Original co-author declarations/declarations regarding joint projects. Summaries for publication in the Ugeskrift for Læger journal and daily newspapers must be prepared before the defence of the dissertation. See the graduate school s web site for further instructions. DISSERTATION ASSESSMENT The Faculty Council appoints an Assessment Committee of three members based on a recommendation from the Research and Research Training Committee. The members must be professors or associate professors, or have equivalent qualifications. In accordance with the PhD Executive Order, at least two of the members must come from external institutions and therefore cannot be employed at the faculty. The third member must be a permanent member of the faculty, as a professor, clinical professor, associate professor or clinical associate professor (the chairman of the committee). The main supervisor and the project supervisor are also appointed to the committee, but have no voting rights. In order to comply with the requirements in the Executive Order for a maximum of four months total assessment time from the date of submission of the dissertation until the date of the defence, the faculty has decided that the Assessment Committee must be appointed before submission of the dissertation. The main supervisor must therefore propose members for the committee no later than two months before the deadline for submission of the dissertation. The main supervisor must give reasons for this proposal and include a tentative title and a provisional summary of the dissertation of approximately 1 A4 page. Before submitting the proposal, the main supervisor must ask the proposed members whether they agree to participate in the assessment work. When asking the members, the main supervisor must point out that the Faculty Council can change the composition of the committee following a recommendation by the Research and Research Training Committee. The PhD student must approve the proposed committee in writing. Along with the suggestion for an Assessment Committee, the main supervisor must submit a schedule for completion of the provisional recommendation and a date for the oral defence. The schedule must be agreed on in advance by the proposed members of the Assessment Committee. In accordance with the Executive Order, a maximum of two months is allowed for the preparation of a provisional recommendation, and the oral defence must take place no later than four months from submission of the dissertation, unless special circumstances apply. In accordance with section 18 of the Executive Order, the committee providing grounds for its decision must make a provisional, unanimous or majority recommendation as to whether the dissertation in its current form warrants the conferral of a PhD degree. The Research and Research Training Committee must approve this recommendation. The Assessment Committee approves the dissertation

15 If the dissertation is approved, the author is notified accordingly and receives a copy of the provisional recommendation. The chairman of the Assessment Committee can allow a limited number of changes or supplements to the dissertation prior to or in connection with the defence, provided this does not delay the defence. The faculty has set out the following regulations for minor changes prior to the defence: Replacement of articles in the form of manuscripts with published articles: A request for replacement of manuscripts with published articles must be sent via the dean s office to the chairman of the Assessment Committee. If the chairman approves the change, the author is responsible for submitting a copy of the printed dissertation to the assessors as soon as possible. The defence will be based on the dissertation originally submitted. Minor changes to the wording or correction of spelling mistakes: The main supervisor must approve the corrections and is also responsible for sending the corrected dissertation to all members of the Assessment Committee well in advance of the defence. Corrections in the dissertation must be highlighted or shown in a separate list. A copy with the changes either highlighted or shown in a separate list must also be sent to the Faculty Secretariat. The defence will be based on the dissertation originally submitted with the corrections approved by the main supervisor. Minor changes or additions to the dissertation: The author submits a request for minor changes or additions to the dissertation via the dean s office to the chairman of the Assessment Committee. If the chairman approves the changes, the author is responsible for sending the corrected version with the corrections either highlighted or shown in a separate list to the members of the Assessment Committee and the Faculty Secretariat well in advance of the defence. The defence will be based on the dissertation originally submitted and the corrections approved by the chairman of the Assessment Committee. The Assessment Committee does not approve the dissertation If the Assessment Committee provisionally concludes that the dissertation does not warrant the conferral of a PhD degree, its recommendation must, in accordance with section 20 of the Executive Order, also include a unanimous or majority recommendation based on which the institution can decide whether the dissertation can be resubmitted within a period of at least three months. The faculty informs the author as soon as possible that the dissertation does not qualify for a defence in its current form and whether a deadline has been granted for resubmission in a revised form. If the dissertation is resubmitted in a revised form, it is assessed by the previously appointed committee, unless special circumstances apply. If the dissertation has been revised after submission, the Assessment Committee must prepare another provisional recommendation. This recommendation must include a brief

16 summary of the history of the previous dissertation, including whether the dissertation was revised following feedback from the Assessment Committee. The main points raised in the feedback must be mentioned. The revised dissertation is subsequently assessed. DEFENCE In accordance with the regulations of the University of Aarhus, all the members of the Assessment Committee must be present at the defence. The faculty has the following regulations for the planning and presentation of the defence: As mentioned above, the main supervisor must agree with the assessors on a date for the public defence when the committee is appointed. The PhD student is responsible for agreeing on a place and time for the defence with the Assessment Committee and the person responsible for room allocation. This information must reach the Faculty Secretariat no later than four weeks prior to the defence to allow the date and place to be published and notice given to the Assessment Committee. The public defence consists of a lecture followed by an examination. The lecture normally takes 45 minutes and must cover subjects dealt with in the dissertation. The PhD student agrees with the Assessment Committee on a title for the lecture. The subsequent examination must comprise an in-depth discussion and critical analysis of selected parts of the entire dissertation and the lecture, if applicable. The examination is expected to take approximately 1 hour. The audience subsequently has an opportunity to ask the PhD student questions. CONFERRAL OF THE DEGREE After the defence, the Assessment Committee must make a written recommendation based on an overall assessment of the dissertation and the oral defence. The description of the defence can include details such as areas of the dissertation itself that were criticised during the assessment and/or cases where the defence is regarded as considerably above or below standard. The Assessment Committee must state whether the PhD student complies with the requirements for the conferral of a PhD degree, i.e. whether the student has completed research corresponding to the international standard for PhD degrees in the subject area. If the members of the committee disagree about their recommendation regarding the conferral of the PhD degree, the faculty must immediately notify the author accordingly. The committee then makes a provisional recommendation as soon as possible and the author has at least a week to comment on it, whereupon the committee makes its final recommendation. The faculty confers the PhD degree if at least two members of the Assessment Committee recommend that it be conferred. If only one of the members recommends that the PhD degree be conferred, the Faculty Council can decide that the dissertation be evaluated by a new Assessment Committee. Such a decision requires a 2 / 3 majority of voting members

17 and must have been requested by the author within a deadline of at least two weeks. RELATIONSHIP BETWEEN A PHD DISSERTATION AND A DOCTORAL DISSERTATION In accordance with section 5, article 2, of the Doctorate Executive Order, a doctoral dissertation can include work/research findings from a PhD dissertation. In this case, the author must describe in the doctoral dissertation which part of the work or research findings was previously used as a basis for the conferral of the PhD degree. The conferral of a doctorate can only take place if the author documents in the doctoral dissertation that new research findings have been made that constitute an important scientific step forward compared with the findings already assessed. EXEMPTION In accordance with section 31 of the PhD Executive Order, the Ministry of Science, Technology and Innovation can dispense with the provisions of this Executive Order if special circumstances prevail or in connection with clinical trials. In individual cases where special circumstances prevail, the rector can approve dispensation from the provisions of the Executive Order following a recommendation by the Faculty Council, cf. section 32. The faculty can grant exemption from the current regulations when special circumstances prevail. Applications for exemption must be submitted to the dean, who makes the decision. TRANSITIONAL REGULATIONS The above-mentioned regulations took effect on 1 October 2003 and apply to all PhD students enrolled after this date. The regulations are updated on an ongoing basis and the updated version is available on the graduate school s web site. PhD students enrolled after 1 May 2002 and before 1 October 2003 are covered by the regulations set out in Guidelines and practical information regarding the PhD degree programme, November PhD students who commenced the PhD degree programme before 1 May 2002 are entitled to complete their PhD degree in accordance with Executive Order no. 989 of 11 December However, the submission, assessment and defence of the dissertation, as well as the conferral of the PhD degree, are subject to the provisions of Executive Order no. 114 of 8 March COMPLAINTS In accordance with section 33 of the PhD Executive Order, complaints regarding legal issues can be submitted to the Ministry of Science, Technology and Innovation. The complaint is submitted to the dean of the Faculty of Health Sciences, who makes a recommendation. The complainant has the opportunity to comment on this within a

18 deadline of at least two weeks. Complaints about the correctness or appropriateness of a decision are submitted to the dean, who makes a decision. If necessary, the dean consults with the Research and Research Training Committee prior to making this decision. PRACTICAL INFORMATION Applications for admission to a PhD degree programme must reach the Graduate School of Health Sciences no later than six weeks before a meeting of the Research and Research Training Committee. Meetings are held approximately once a month with dates set once per term. Applications must be submitted to: Graduate School of Health Sciences Faculty of Health Sciences Vennelyst Boulevard 9 DK-8000 Aarhus C Denmark Application material and further information about the degree programme, research courses, etc. can be obtained from the relevant contact person at the Graduate School of Health Sciences (see list in the application material or on the graduate school s web site). APPENDICES 1. Guidelines for research projects based on qualitative methodology. 2. Guidelines for approval of external courses. 3. Statistical assistance from consultants.