PhD studies at GSST Graduate School of Science and Technology Aarhus University Denmark This document contains a manual for the new S&T graduate school formed by merging SAFE and AGSoS on October 1, 2011. Some changes can be expected in the coming months when the new online PhD-planner system is implemented, and in view of possible changes in the Aarhus University statutes as well as rule harmonization efforts across the four faculties at Aarhus University. Short manuals will be created in versions aimed specifically at students, supervisors, programme committees, etc., describing rules and procedures relevant for them. October 2011
Contents 1. Introduction to GSST PhD studies...3 2. Programmes... 5 3. Admission... 6 4. Organisation... 9 5. Finances... 11 6. PhD plan... 13 7. Half year evaluations... 15 8. PhD studies Part A and Honours MSc... 17 9. Qualifying examination... 18 10. PhD studies Part B... 21 11. PhD dissertation... 22 12. Conclusion of the PhD studies... 24 13. Extensions, leaves and part time studies... 27 14. PhD studies at other institutions... 28 15. Exception... 29 16. The industrial PhD programme...29 17. Commencement and interim provisions...30 GSST October 2011 2
1. Introduction to GSST PhD studies 1.1 Studies Graduate School of Science and Technology (GSST) at Aarhus University offers PhD studies in science and technology. These studies represent the highest level of education in Denmark, and the aim is to meet the demand for highly qualified researchers to undertake research, development and teaching assignments in the private and public sectors, for which a broad knowledge of research is required. 1.2 ECTS The prescribed duration for completing a PhD degree is eight years of full-time study (480 ECTS credits) from the time of admission to the university. Students are admitted to GSST based on either a 3-year Bachelor s degree or a 5-year Master s degree both of which entitle the PhD student to be admitted with credit transfer. 1.3 PhD studies formal requirements During the PhD studies, the PhD student must: Carry out independent research under supervision (the PhD project). The project will be concluded by writing a PhD dissertation Complete PhD courses Participate in active research environments, including visits to other (mainly foreign) research institutions Gain experience in dissemination (e.g., teaching, supervision, public outreach). The composition of individual PhD studies may cover these four requirements to varying degrees. 1.4 Scientific environment The PhD student will be part of dynamic and professional scientific networks that are very experienced in research and teaching. A main supervisor is appointed to each PhD student on admission, in most cases along with a team of supplementary supervisors. Interaction with scientific groups abroad further equips the PhD student with valuable experience and knowledge within his or her field of study. 1.5 Progress and completion During the PhD studies, GSST monitors the PhD student s progress by means of regular reviews and examinations notably the qualifying examination halfway through the studies. Administratively, all activities related to the PhD studies are registered electronically in the PhD student s personal online PhD planner. The PhD student completes his or her studies by submitting and defending a PhD dissertation. GSST October 2011 3
This dissertation is required as documentation of the PhD student s ability to apply relevant academic methodologies and to carry out independent research that meets international standards for PhD degrees within the field in question. GSST October 2011 4
2. Programmes PhD students are affiliated with one of the research education programmes at the Faculty of Science and Technology: Mathematics Computer Science Physics and Astronomy Chemistry Molecular Biology and Genetics Bioscience Geoscience Animal Science Agroecology Food Science Engineering Environmental Science Nanoscience The programmes are associated with the departments or centres at the Faculty and more information can be found at the GSST website. The PhD student can tailor his or her PhD studies to suit collaboration with other institutions, research schools, centres or private companies. Specialization is also possible in interdisciplinary topics and other fields not directly reflected in the programme names above, such as Science Studies Science Education Bioinformatics Molecular Medicine These fields are administered through one of the thirteen programmes but described separately in calls for applications etc. GSST October 2011 5
3. Admission 3.1 Prerequisites and enrolment The prescribed duration for completing a PhD degree is eight years of full-time study (480 ECTS credits) from the time of admission to university. Students are admitted to GSST based on either a 3-year Bachelor s degree or a 5-year Master s degree both of which entitle the PhD student to be admitted with credit transfer (c.f. 3.2). Most admissions take place after completing at least four years of full-time studies (sometimes denoted 4+4). If the PhD student s admission is based on a Master s degree, he or she is admitted for a 3- year PhD programme of studies (180 ECTS credits), following the Bologna process: If admission is based on a Bachelor s degree only, the PhD student is also initially admitted for an MSc degree with an individual programme of study designed as an integral part of the following 5 years of study. After the first 3 years of this 5-year programme of study, the PhD student will obtain a so-called Honours MSc degree: 3.2 Credit transfer If the PhD student has earned any credits prior to enrolling, and they exceed the required five/three full years of university study, they can be acknowledged and the duration of the PhD study period will be reduced accordingly. 3.3 Application procedures Application forms are available via the GSST online application facility. A guide with instructions on how to apply is available at the GSST website. As a minimum, all applications must include: Documentation for the university degree(s) obtained with the most recent transcripts of study and a calculated grade point average (GPA). CV GSST October 2011 6
Letter of motivation, explaining the PhD student s reasons for applying. Project proposal (prepared in consultation with a prospective supervisor; if the applicant responds to a specific project announcement, this proposal may be copied, but applicants are still advised to contact the relevant supervisor prior to applying). The applicant can use the online application facility to request up to three Letters of reference, which automatically become part of the application. The applicant can also choose to upload previously obtained Letters of reference as PDF documents A certified English translation is required for documents written in languages other than Scandinavian. The programme committee may request further information or invite the applicant to attend an interview. 3.4 Application evaluation All incoming applications are considered collectively by the GSST admissions committee, which draws on the recommendations supplied by the 13 programme committees at the Faculty of Science and Technology. The head of PhD school admits new PhD students based on the recommendation of the admissions committee. The main criteria used in evaluating incoming applicants are their documented qualifications (composition of previous course programme, grades, publications, motivation, study periods abroad, duration of study, recommendations, etc.). Secondary criteria are the scientific quality of the prepared research project for the PhD degree programme and the suitability of the research environment for such a study. Additional aspects that can be taken into consideration include previous activities outside the university, plans for mobility during the PhD study period, plans for collaboration with external partners, plans for dissemination activities, etc. When assessing applicants with a Master s degree, more weight is placed on the secondary criteria and additional aspects than when it comes to applicants without a Master s degree. 3.5 Application and admission deadlines GSST calls for applications four times a year. Applications may be submitted at any time, but applications are only reviewed following the four annual closing dates for applications. The date of admission must be the 1st in a month, but is otherwise flexible and is agreed between the PhD student, supervisor, and GSST. Application deadlines can be found at the GSST website. GSST reserves the right to evaluate applicants on the basis of the material available on the application deadline and will not necessarily request (or permit) further documentation. 3.6 Supervisors The head of PhD school appoints the supervisor(s) for each student based on the recommendations of the programme committee: One main supervisor, who is a recognized researcher and a permanent member of the scientific staff attached to GSST and formally responsible for the PhD project GSST October 2011 7
Optional co-supervisors who are employed either within or outside the university. GSST must approve the supervisors as being qualified within the field in question. GSST October 2011 8
4. Organisation 4.1 Head of PhD school The GSST head of PhD school is the vice-dean for talent development and is responsible for the organisation of PhD studies within the legal framework laid down by the Danish Ministry of Science, Technology and Innovation (Ministerial Order no. 18 of 14 January 2008 and Ministerial Order no. 577 of 28 May 2010) and the GSST Rules and regulations. The head of PhD school: Is responsible for the admission of students Is responsible for regular quality assurance evaluations of the PhD school Is responsible for the individual PhD study programmes Makes recommendations to the dean regarding the appraisal of the PhD studies and supervises the implementation of suggested changes Appoints the PhD supervisors Appoints chairs and members of the programme committees Reports to the dean on all matters of significance for the PhD students, such as fellowships and scholarships awarded, paid employment, examinations, etc. Reviews complaints concerning PhD study matters. The current head of PhD school is professor Jes Madsen. 4.2 GSST admissions committee The GSST admissions committee consists of the head of PhD school, the deputy head of PhD school and 6-9 top researchers with a broad knowledge of science and technology appointed by the dean. Based on input from the programme committees the admissions committee prepares a list of applicants recommended for admission to GSST PhD studies and for full or partial funding by GSST. This list is forwarded to the dean for approval with respect to the amount of funding from the Faculty of Science and Technology. 4.3 GSST PhD committee The GSST PhD committee is responsible for the organisation of PhD studies within the legal framework laid down by the Danish Ministry of Science, Technology and Innovation (Ministerial Order no. 18 of 14 January 2008 and Ministerial Order no. 577 of 28 May 2010) and the GSST Rules and regulations. Six members of the GSST PhD committee are elected among the permanent academic staff, and six members are elected among the PhD students. The GSST PhD committee: Approves PhD courses Discusses matters related to PhD studies in general and forwards recommendations to the dean via the head of PhD school Advises the head of PhD school in matters pertaining to supervision and appraisal of the PhD studies Advises the vice-dean about the composition of assessment committees Reviews applications for credit transfers and requests for exemptions GSST October 2011 9
The members of the PhD committee can be seen at the GSST website. Until new elections can take place ultimo 2011, the GSST PhD committee consists of the members of the previous PhD committees elected at Faculty of Science (AGSoS) and Faculty of Agricultural Sciences (SAFE) with meetings chaired by the vice-dean for talent development. 4.4 Programme committees Each programme has a programme committee composed of 4-6 members of the permanent academic staff and 2-3 PhD students. Academic staff members of programme committees and their chairs are appointed by the vice-dean for talent development after consultations with the relevant departments/centres. The programme committees discuss matters related to PhD studies at the departmental level and forward their recommendations to the head of PhD school. PhD students are excluded from participating in any items on the agenda that pertain to personal issues, such as the evaluation of incoming applications. The academic staff members of programme committees evaluate incoming applications and submit their recommendations to GSST. Their evaluation involves a thorough assessment of each applicant s qualifications, in accordance with the criteria listed in paragraph 3.4 and of the recommendations provided by GSST. Programme committee members from the academic staff take part in qualifying examinations and theses evaluations as described in later sections of these rules. The current list of GSST programmes and their chairs can be seen at the GSST website. 4.5 GSST Secretariat GSST is administered by a Secretariat, which is an integrated part of the Aarhus University administration. The GSST Secretariat is responsible for the administration of its PhD education and provides among other things services related to the following: Application procedures Enrolment and employment Information events Study-related and employment-related counselling Evaluations Transferable skills courses Qualifying examinations Defence of the PhD dissertation Issuing of PhD certificates Extensions, leaves, maternity/paternity/sick leaves, etc. Links to the current head of the GSST Secretariat Lene Kjeldsteen and the GSST staff can be found at the GSST website. GSST October 2011 10
5. Finances 5.1 Financing requirements No students are admitted without a complete plan for financing their PhD studies with or without contributions from the Faculty of Science and Technology at Aarhus University. The PhD student does not necessarily have to bring his or her own financing when applying. Examples of financing: The Danish Council for Independent Research (in Danish: Det Frie Forskningsråd) Companies The Faculty of Science and Technology European Union grants Research foundations Public and private agencies 5.2 PhD scholarships (in Danish: SU-ph.d.-stipendium) PhD scholarships are awarded to students who have not yet obtained a Master s degree, i.e. students enrolled for an Honours MSc degree who have not yet passed the PhD qualifying examination. If the PhD student is not eligible for the Danish State Education Grant and Loan Scheme (SU) or any equivalent thereof, the scholarship amounts to approximately DKK 11,000 per month before tax (2011). If the PhD student has been granted SU support or any equivalent thereof for his or her MSc studies, the additional PhD scholarship amounts to approximately DKK 5,500 per month during the first year of the Honours MSc programme and DKK 11,000 per month for the remaining two years both before tax (2011). The working and fiscal status of a recipient of a PhD scholarship is that of a student. 5.3 PhD fellowships (in Danish: lønnet ph.d.-stipendium) PhD fellowships are awarded to students with a Master s degree or an equivalent thereof. The fellowship is granted for a period of up to three years, in accordance with the collective agreement between the Danish Ministry of Finance and the Danish Confederation of Professional Associations. The basic salary amounts to approximately DKK 27,000 per month before tax, but including pension and holiday pay. The salary is regulated by academic union agreements (depending on seniority). The working and fiscal status of a recipient of a PhD fellowship is that of a university employee. 5.4 Salaried work The PhD fellowship includes work offered by GSST amounting to 280 hours annually. Such work is typically tutoring hours for undergraduate courses within the PhD student s area of expertise, but it can also include other types of dissemination activities. If the PhD GSST October 2011 11
student has a PhD scholarship, he or she is normally offered a similar job, paid in addition to his or her PhD scholarship (up to approximately DKK 65,000 annually in 2011). The salaried work offered by GSST will allow the PhD student to fulfil the dissemination requirements for his or her PhD studies. GSST offers flexibility in the specific scheduling of the salaried working hours, and the PhD student can always decline the offer of salaried work (with a corresponding reduction in the amount paid). All PhD students are granted one semester s teaching exemption with no reduction in payment. Furthermore PhD students may get teaching exemption with no reduction in payment for a period of up to one year due to a stay abroad. The exemption amounts to a maximum of 280 hours for one year. To obtain the latter exemption, the stay abroad must cover an entire teaching quarter. Thus, it is not possible to get teaching exemption for just one month for instance. Please be aware that if the offer of salaried work is declined, the dissemination requirements for the PhD studies must still be met. 5.5 Additional paid work A PhD student is entitled to work one week (37 hours) per term (i.e. every six months) in addition to the scholarship/fellowship/salaried work offered by GSST. To be granted permission, the PhD student must apply to the head of PhD school. This additional work must not interfere with the PhD student s PhD plan. 5.6 Tuition fees All students enrolled in PhD studies at GSST are charged tuition fees that cover the costs of supervision and administration. Tuition fees are normally covered when PhD scholarships/fellowships are obtained from public Danish agencies or universities. 5.7 Training costs All students enrolled in PhD studies at GSST are charged fees that cover the training costs for their education. The fees are normally covered when PhD scholarships/fellowships are obtained from public Danish agencies or universities. 5.8 Overhead A PhD grant from a public Danish research agency includes an overhead to the university, which is currently 44%. GSST October 2011 12
6. PhD plan 6.1 Online PhD planner Once the PhD student has enrolled for his or her PhD studies, he or she is automatically registered with a personal online PhD planner in the Aarhus University electronic PhD administration system. The online PhD planner entry serves as an administrative registration of all events related to the PhD student s studies. In particular, the online PhD planner is where the mandatory half year evaluations of the progress of the PhD student s studies take place. The first entry into the online PhD planner is the PhD plan. The PhD plan is written by the PhD student, but the main supervisor will be able to follow the PhD student s progress and discuss the content of the plan. This plan provides an outline of the complete study, including a plan for the PhD student s research project, and must be submitted for approval within three months of enrolment. The PhD plan is formally submitted electronically in the online PhD planner for approval by the main supervisor. The main supervisor will either approve the plan and submit it for approval by the head of programme or return it to the PhD student for adjustments. The same procedure applies to all levels of approval, i.e. first by the main supervisor, then by the head of programme and finally by the head of PhD school. It is possible to enter relevant comments to the plan at all levels. Any subsequent changes to the PhD plan must be approved following the same procedure. The PhD plan is a mutual agreement between the PhD student and GSST. The plan ensures that the necessary resources for the project are available, and that successful completion will meet the formal requirements of the PhD regulations (course work, mobility, dissemination). 6.2 PhD plan A PhD plan includes the following items: A time schedule ensuring that enough time is allocated to each phase of the project, including necessary time for writing the dissertation Details concerning supervision A project description A plan concerning the PhD courses indicating the required amount of ECTS credits A plan for mobility, typically extended visits to research groups abroad The number of teaching hours and other kinds of dissemination activities that the PhD student provides during his or her PhD study period A copyright/ipr agreement if relevant A financial plan for the project, including sources for scholarships/fellowships, tuition fees and running costs. The plan is subject to revision throughout the study, in particular a thorough revision in connection with the qualifying examination. 6.3 Time spent at Aarhus University GSST October 2011 13
It is a requirement that most of the PhD student s PhD studies take place at Aarhus University (see 14.1 and 14.2 for exceptions). This ensures that the PhD student is integrated into the supervisor s research group, and it enables the supervisor to follow the progress of the PhD student s PhD studies. 6.4 Intellectual property rights PhD students who are employed with a public research institution are covered by the Act on Inventions at Public Research Institutions. According to the Act, the rights to an invention made as part of the work at the institution belong to the PhD student who made the invention, but the institution has the possibility to take over such rights. Therefore the PhD student has an obligation to notify the institution immediately when an invention is made in order for the institution to decide whether it should take over the rights to the invention. If the institution takes over the rights to the invention and subsequently generates a net income from the commercial exploitation of the invention, the institution must pay a reasonable remuneration to the PhD student. A PhD student who is not an employee of the research institution is not covered by the Act, and the institution is not entitled to take over the rights to any inventions made by said PhD student. However, an agreement to this effect may be made between the institution and the PhD student. 6.5 Study time extensions If the PhD student requires an extension to finish the project, he or she must send a motivated request of extension to the relevant programme committee. The programme committee asks the main supervisor to comment on the request before forwarding it to the head of PhD school for final decision. Extensions of the study time do not normally result in extensions of fellowships. GSST October 2011 14
7. Half year evaluations 7.1 Evaluation of progress The PhD plan can be seen as an agreement between the PhD student and his or her main supervisor on a work schedule for the complete PhD study. The main supervisor is responsible for evaluating the PhD student s study progress relative to the PhD plan every six months. The half year evaluation states whether or not the research project and study in general are progressing in accordance with the PhD plan. Unanticipated events/new developments in the project that necessitate amendments to the original PhD plan are noted in the online PhD planner, and the plan modified accordingly. The submission and approval of half year evaluations are handled electronically as part of the online PhD planner by the involved parties (PhD student, main supervisor, head of programme and head of PhD school). In case of a positive evaluation, the PhD student s studies continue possibly based on a revised PhD plan. 7.2 Negative evaluation In case of a negative outcome the PhD student will be given a period of three months to correct it. The PhD student is asked to attend a meeting with the head of programme, the head of PhD school and the main supervisor, and the PhD student receives a written proposal detailing what should be achieved during the three months. However, please note that the total time of study will not be extended. The PhD student must send a written reply to answer this proposal within two weeks to the head of PhD school. If the PhD student rejects the proposal, GSST will cancel the enrolment as a PhD student by the end of the month in question. 7.3 Three months assessment If the PhD student accepts the proposal, an assessment committee will be set up comprising the main supervisor, the head of programme and another member of the academic staff appointed by the head of PhD school. The assessment takes place at the end of the three months time limit and must be completed within one month. The PhD student is required to write a report or sit an oral examination based on the aspects of the studies that were found inadequate. The assessment committee reports the conclusions in writing to the head of PhD school. GSST informs the PhD student of the result of the assessment. The PhD student can continue his or her PhD training if the assessment is positive. If the result is negative, the enrolment is cancelled within the month in question. The PhD student can request that the case be brought before the GSST PhD committee for a final assessment and must send his or her request within one week. The PhD student can only be given one chance to improve during his or her PhD study period, and the total time of study will not be extended. GSST October 2011 15
7.4 Termination of the PhD studies If the PhD student decides to terminate his or her PhD studies, the PhD student and the main supervisor must send a formal request to GSST via the programme committee. The request must be addressed to GSST and include any comments from the programme committee. The head of PhD school invites the PhD student to attend a meeting to discuss the decision. 7.5 Counselling The PhD student is welcome to contact the GSST secretariat, the head of programme or the head of PhD school at any time to discuss any issues related to his or her studies, e.g. any aspects of the studies that the PhD student finds inadequate, or disagreements between the PhD student and the supervisor, the programme and/or the department. GSST provides a range of services aimed at handling issues related to the PhD studies, including stress-related problems during the studies. Furthermore, the PhD student can contact one of two PhD counsellors if the need arises. The purpose of PhD counselling is to address specific problems encountered by PhD students during their PhD studies. These could be problems which are not addressed properly by any of the existing guidance mechanisms of GSST, or which the student does not feel comfortable in presenting to the existing guidance mechanisms. Typically, issues presented to the PhD counsellors will be related to the interaction with supervisors, programme committees, secretariats, etc. The PhD counselling is open to all GSST PhD students, and students are offered full anonymity by the counsellors. Please see the GSST website for contact details. GSST October 2011 16
8. PhD studies Part A and Honours MSc 8.1 Part A Part A of the PhD studies refers to the first part of the PhD student s study. It leads up to the qualifying examination. The exact timing of the qualifying examination is scheduled at the time of admission and is typically halfway through the prescribed duration for completing the PhD studies (however for students admitted on the basis of a Bachelor s degree only, the qualifying examination is scheduled after three years [180 ECTS credits]). The main emphasis of Part A is on coursework, dissemination, and scientific research under supervision. The studies in Part A qualify the PhD student to address incisive research questions and to complete a comprehensive research project at the end of the PhD study period. Part A of the PhD plan must include a plan for the required coursework. The total course requirements for a student admitted on a Bachelor s degree correspond to at least 90 ECTS credits in addition to a Bachelor s degree (60 Master s ECTS and approx. 30 PhD ECTS). For a student admitted on the basis of a Master s degree, the course requirements are approx. 30 ECTS credits in addition to a Master s degree. (1 ECTS credit is equivalent to a documented workload of 27.5 hours). It is recommended that the PhD student uses a maximum of 10 ECTS on transferable skills courses. In addition to transferable skills the PhD courses ensure that the PhD student receives the necessary theoretical and specialised training within his or her field. The PhD student can choose from the selection of advanced courses available within his or her field of research, as well as courses with a wider and often interdisciplinary scope. Courses can be taken at Aarhus University or at other institutions in Denmark or abroad. The PhD student should consult his or her main supervisor when planning the courses and have them approved by the head of programme. 8.2 Honours MSc For PhD students admitted without a prior Master s degree, Part A is integrated with a parallel enrolment for an Honours MSc degree. Admission to the Honours MSc programme can only take place in parallel with admission to the PhD programme at GSST, and normally students admitted to the PhD programme at GSST without an MSc degree will also be admitted to its Honours MSc programme. The Honours MSc programme of study must detail plans up to the qualifying exam. Any Honours MSc programme for a student admitted on a three year BSc only must satisfy the following criteria: Coursework amounting to at least 90 ECTS credits in addition to a Bachelor s degree (60 Master s ECTS and approx. 30 PhD ECTS) Preliminary research activities amounting to 180 ECTS minus the amount of coursework. For more details on the Honours MSc please see the GSST website. GSST October 2011 17
9. Qualifying examination 9.1 The qualifying examination The qualifying examination concludes Part A of the PhD studies. The PhD student must pass this examination to continue his or her PhD studies in Part B. The qualifying examination also serves as an opportunity for the student to obtain feedback on the project from an external expert. The examination comprises: An examination on the research activities of Part A A discussion of the plans for Part B The programme committee and the supervisor(s) are responsible for organising the qualifying examination. 9.2 Registering for the examination The PhD student must register for the qualifying examination on a special form (please see the GSST website). Details of the coursework completed during Part A must be entered (preferably the PhD student should pass the approx. 30 ECTS PhD courses before the qualifying exam), and 5-10 references of key importance to the research project must be listed. Any publications resulting from the PhD student s own work must be listed first. The PhD student must list both passed and planned courses on the Registration form. The completed form must be sent to the programme committee at least four weeks before the PhD student intends to submit the progress report. Permission to sit the qualifying examination is granted by the head of PhD school on the recommendation of the programme committee. Postponement of the qualifying exam does not prolong the total study time, except in the case of maternity/paternity leave, sickness and the like. 9.3 The form of the examination The qualifying examination assesses the PhD student s ability to carry out the training in Part B and complete the PhD degree. The evaluation of the PhD student s performance is based on both the progress report and an oral examination. The progress report is a 20-30 page document written by the PhD student with a detailed account of the status of the supervised research project and discussion of the research plans for Part B. The oral examination takes its starting point in 30-45 minutes presentation of key topics from the progress report. The subsequent discussion and examination focuses on the report and the presentation, including a discussion of the wider thematic framework as laid out in the 5-10 key references. At the end of the examination, there is a discussion of the PhD student s plans for completing his or her PhD project under Part B of the PhD studies. The oral examination lasts up to two hours. The qualifying examination is open to the public, although the head of PhD school may decide that part of the examination be made behind closed doors, if the topic is of a confidential nature. GSST October 2011 18
9.4 The result The result of the qualifying examination is either pass or fail. A brief statement in Danish and English assessing the examinee s qualifications is prepared and forwarded to GSST within one week. The statement must include: A description of the content and assessment of the progress report An assessment of the presentation at the qualifying examination An overall assessment of whether the PhD student has achieved the learning outcomes and research goals of the PhD plan. The statement is part of the examination procedure and not a letter of recommendation, and should therefore be written in a matter-of-fact and unbiased style. It must be carefully written in both English and Danish as it will be given to the PhD student as an official proof of passed examination. 9.5 A positive outcome If the PhD student passes the qualifying exam he or she is entitled to continue the PhD studies (Part B). Furthermore, if the PhD student is enrolled as a PhD student without a Master s degree, he or she obtains an Honours MSc degree when passing the qualifying examination. 9.6 A negative outcome If the PhD student does not pass the qualifying examination, the enrolment as a PhD student is cancelled at the end of the month in which the examination was held. The PhD student can apply once for a re-examination, which must be held no later than three months after the first examination. The progress report from the re-examination is assessed within one month, and the result is similarly deferred. Re-examination postpones the cancellation of the PhD enrolment, but does not extend the total time of study. 9.7 The examiners The review committee is composed of the following people: The supervisor(s) One external examiner One internal examiner For a successful qualifying examination to entitle the PhD student to a Master s degree (see 9.5), the external examiner must be attached to the Danish national body of external examiners. The internal examiner is a member of the programme committee, and his/her task is to lead the examination and ensure that the examination is impartial and consistent. GSST October 2011 19
9.8 Returning to a normal MSc programme If the PhD student is enrolled as a PhD student without a Master s degree, and he or she fails the qualifying examination, the PhD student can still enter for his or her MSc degree in accordance with the general regulations, although the failed qualifying examination counts as one examination attempt. If the PhD student decides to terminate the PhD studies before sitting the qualifying examination, he or she can still be enrolled as a Master s student unless he or she has been expelled from the university. The PhD student is still entitled to supervision for the Master s thesis and to obtain an MSc degree. GSST October 2011 20
10. PhD studies Part B 10.1 Contents - Part B In Part B of the PhD studies, the PhD student will have a stronger focus on his or her research project. 10.2 PhD plan and half year evaluations Part B Immediately after admission to Part B, the PhD student discusses the remainder of the training period as a PhD student with his or her supervisor(s). Based on this and on the feedback the PhD student will have received during the qualifying examination, the PhD student should update the online PhD planner if necessary. This should be done in connection with the next half year evaluation. Furthermore, the half year evaluations will be a continued part of the PhD study. GSST October 2011 21
11. PhD dissertation 11.1 The dissertation The PhD dissertation presents the results of the PhD project and documents the PhD student s ability as a student to communicate theoretical and experimental skills. The PhD dissertation reports on the independent research which the PhD student has conducted within his or her field of study. Therefore, a PhD dissertation cannot be submitted for assessment by two or more authors jointly. However, the underlying research project may well have been carried out in cooperation with others, and/or the dissertation can include co-authored manuscripts (see 11.2). A PhD dissertation may include a number of manuscripts or papers in different stages of completion that are related to the topic of the PhD project. If the dissertation is composed mainly of manuscripts, the PhD student must include a summary chapter at the beginning, which includes the following elements: A brief description of the proposed research questions in the papers A short presentation of the results and a brief assessment of the applied methodologies A critical review in which the PhD student relates his or her own work to the most state-of-the-art work within the field. The PhD student must also demonstrate that he or she has an up-to-date knowledge hereof and is able to put this knowledge into a broader perspective. The summary chapter must resemble a major review article. The PhD dissertation must not exceed 200 pages. 11.2 Co-author statements A co-author statement must be submitted for each jointly authored manuscript included in the PhD dissertation. This statement not only assures that co-authors are aware that their manuscripts are part of a PhD dissertation, but also gives a rough assessment of the co-authors contribution to the work. The PhD student hands in the co-author statements at the same time as handing in the PhD dissertation. Co-author statements sent by e-mail are only accepted in PDF, and only if they are legible. A template is available at the GSST website. 11.3 Language used in the PhD dissertation The PhD dissertation is normally written in English. GSST may allow the PhD student to write his or her PhD dissertation or parts of it in another language, if agreed between the student and the main supervisor. In this case, the title of the PhD dissertation and a résumé must be translated into English and be included. 11.4 Formalities and supplements GSST October 2011 22
When the PhD student submits his or her PhD dissertation, the PhD student must clearly state whether any part of it has previously been considered in preparation for obtaining an academic degree and, if so, the result achieved. The PhD dissertation must be submitted to GSST as a single pdf-file. The PhD student must register all articles and the dissertation in PURE. At the same time as handing in the PhD dissertation, the PhD student must hand in a print to GSST documenting that the articles and the dissertation have been registered. The PhD dissertation must be accompanied by a brief (ten sentences or less) summary in Danish written for the general public, and a recent photograph of the author as a JPG file. Please see the GSST website about the procedure. The summary and the photograph will be used when GSST announces the PhD defence to the Department and the media. GSST October 2011 23
12. Conclusion of the PhD studies 12.1 Submission of the PhD dissertation The PhD student must submit his or her PhD dissertation and co-author statements to GSST within the expiry date of his or her PhD degree programme. Receipt of the submission is acknowledged. Within one week of submission, the PhD dissertation is accompanied by a dated supervisor s statement that describes the skills acquired by the PhD student and assesses the different aspects of the PhD training. The main supervisor must submit the main supervisor statements to GSST in a paper version with the original signature. The main supervisor can write the supervisor s statement jointly with the other supervisors. It must be carefully written in English as it will be included as an attachment to the PhD degree diploma. The statement is part of the evaluation procedure and not a letter of recommendation, and should therefore be written in a matter-of-fact and unbiased style. The statement is written on a special form, which can be obtained from the GSST website. The statement includes the following items: The names of all supervisors Sources of funding A list of published, submitted and planned manuscripts that have resulted from the entire PhD degree programme An outline of research stays at other institutions A list of courses An outline of teaching experience and other forms of dissemination An overall opinion on whether the PhD programme has been completed satisfactorily. Suggestions for members of the assessment committee are submitted via the head of programme to GSST. 12.2 Conclusion date of PhD studies The PhD study programme is concluded for all practical purposes when the submitted PhD dissertation has been approved by the head of PhD school based on a satisfactory supervisor s statement. The PhD fellowship is formally concluded on the date scheduled in the PhD student s Letter of Employment. However, if the PhD student hands in the PhD dissertation before this date, the PhD fellowship will be formally concluded by the end of the month in which the dissertation is submitted. 12.3 Assessment committee Provided that the PhD student has complied with the overall requirements of the PhD degree programme, the dean appoints an assessment committee, cf. section 16 of the Danish Ministerial Order on the PhD degree (Ministerial Order no. 18 of 14 January 2008) based on the recommendations from the relevant programme. The assessment committee is usually chaired by the member of the programme committee whose research interests are closest to the subject of the PhD dissertation. The two other members of the assessment committee must be external (i.e. not from Aarhus University) professors, associate GSST October 2011 24
professors, senior researchers or their equivalents. At least one of the members must be from outside Denmark. The PhD student s supervisor(s) cannot be member(s) of the assessment committee, but the main supervisor must be available to the committee with background information on the training process if needed. Collaborators, whose names appear on one or more of the manuscripts included in the dissertation, are ineligible for membership of the assessment committee. The PhD student has eight working days in which to challenge the appointment of the assessment committee. 12.4 Evaluation Within two months of submission of the dissertation (not counting July), the assessment committee submits either a unanimous or majority voted motivated preliminary recommendation, stating whether the PhD dissertation in its present form is eligible for conferral of the PhD degree. The preliminary recommendation must be an impartial and critical evaluation of the dissertation in accordance with good scientific practice. The preliminary recommendation must include a brief review of the individual chapters of the PhD dissertation and an overall assessment underlining the most significant results. The conclusion must be written using lay terms. The total length of the evaluation document is not expected to exceed 3-5 pages. GSST provides more detailed instructions for the members of the evaluation committees and has a template for the preliminary recommendation. Please see the GSST website for further information. 12.5 Positive outcome If the assessment committee has deemed the PhD dissertation eligible, GSST informs the PhD student of the decision and sends him or her a copy of the preliminary recommendation. 12.6 Negative outcome The members of the assessment committee must reach unanimous or majority agreement to deem a dissertation ineligible. Based on this agreement, the university decides whether the PhD dissertation should be rejected for defence or allowed to be revised once and resubmitted within 3-6 months. GSST informs the PhD student of the assessment committee s decision and whether or not he or she is entitled to resubmit a revised version. The PhD dissertation is returned to the PhD student accordingly. Under normal circumstances, the same assessment committee assesses the revised version of the PhD dissertation. 12.7 The defence The main supervisor arranges the date of the PhD defence in coordination with the PhD student and the assessment committee, and informs GSST. The defence must take place at the earliest two weeks after the preliminary recommendation has been produced and no later than three months after the submission of the PhD dissertation. GSST October 2011 25
GSST may find it necessary to postpone the defence due to prevailing copyright legislation. The decision to postpone must be a mutual one, and all involved parties must agree on a future date. GSST announces the date and venue for the defence online. The PhD defence is open to the public. GSST announces where the PhD dissertation can be viewed. The PhD dissertation must be on view at least eight working days before the defence. The chair of the assessment committee presides at the PhD defence procedure. The PhD defence procedure starts with the PhD student s presentation of the results of the PhD project (30-45 minutes). The members of the assessment committee then discuss the presentation and the dissertation with the PhD student (1-1.5 hours). The chair is authorised to permit others to intervene in the debate. The total duration of the defence should not exceed 3 hours. 12.8 Final recommendation After the public defence, the assessment committee submits its final recommendation of whether the PhD student should be awarded the PhD degree. The recommendation shall be reasoned, and in the event of disagreement, the majority shall prevail. The members of the assessment committee then sign the recommendation, confirming their decision that the PhD degree should be awarded based on the preliminary recommendation and the successful public defence. In cases where the recommendation of the assessment committee is negative, the assessment committee notifies GSST in writing. GSST informs the PhD student of the decision as soon as possible. The assessment committee prepares a preliminary recommendation within two weeks. The PhD student has eight working days in which to comment on this, after which the assessment committee makes the final decision. 12.9 The degree The assessment committee s recommendation is sent to the head of PhD school, who consults the GSST PhD committee on the matter. The PhD degree is awarded if at least two of the assessment committee members have recommended it. If one member of the assessment committee has recommended conferral of the degree, the PhD student can forward a request within eight working days to the head of PhD school that the PhD dissertation is to be reassessed by another assessment committee. The PhD dissertation is not reassessed if none of the members of the assessment committee have recommended conferral of the degree. 12.10 The diploma The PhD diploma is issued in a Danish and English version and includes supervisor statements. GSST October 2011 26
13. Extensions, leaves and part-time studies 13.1 Extensions PhD students are entitled to an extension of their PhD studies in connection with childbirth, adoption, or prolonged illness (see also Section 6.5). Requests for extension must be submitted via the main supervisor and programme chair to the head of PhD school as early as possible. A Doctor s certificate (in Danish: Mulighedserklæring) must be included if the request concerns absence due to prolonged illness. GSST will pay for the Doctor s certificate. 13.2 Leaves Applications for leave from the PhD studies are submitted via the main supervisor and programme chair to the head of PhD school. Leave for any other reasons than childbirth, adoption, or prolonged illness is granted only once and for a maximum of six months. 13.3 Part-time studies PhD studies can be organised on a part-time basis, wholly or partly. 13.4 Finances GSST denies any responsibility for financial problems arising from leave of absence or part-time PhD studies. GSST October 2011 27
14. PhD studies at other institutions 14.1 Going abroad The PhD student can go abroad for a total period of up till one year. Extended visits to collaborating research groups at other institutions or companies are an important part of the GSST PhD degree programme. The PhD student should consult his or her main supervisor for information on the timing and logistics of the visit(s) to other research groups. If the PhD student is prevented from teaching due to a research visit, it is possible to get teaching exemption with no reduction in payment for a period of up to one year. The exemption amounts to a maximum of 280 hours for one year. To obtain exemption, the stay abroad must cover an entire teaching quarter. Thus, it is not possible to get teaching exemption for just one month for instance. Note however, that the dissemination requirements for a PhD study must still be met - if not by the GSST offer of teaching, then by other means. Completing a PhD degree in science from Aarhus University typically requires that most of the study takes place at the university. Permission to spend more than twelve months of the PhD study period at another university or research institution must be approved by the head of PhD school. 14.2 Joint/dual degrees This subsection will be added when Aarhus University rules have been formulated. GSST October 2011 28
15. Exception 15.1 PhD dissertation for assessment without a completed PhD programme GSST can accept a dissertation for defence without the author having received formalised PhD training (Ministerial Order no. 18 of 14 January 2008, section 15). This requires documentation of qualifications corresponding to those acquired by PhD students enrolled in the GSST programme. A fee is charged for the expenses relating to organising the PhD defence. GSST October 2011 29