Source: https://www.handbook.aau.dk/document/?contentId=351795
Timestamp: 2019-11-15 04:33:20
Document Index: 369116916

Matched Legal Cases: ['art 1', 'art 2', 'art 3', 'art 4', 'art 5', 'art 6', 'art 7', 'art 8', 'art 9', 'art 10', 'art 11', 'art 12']

PhD Programme - Internal Rules, Doctoral School of the Humanities
Published: 07.03.2018 (Last revised: 04.11.2019)
Part 1. Purpose, structure etc.
Part 2. Admission etc. to the PhD programme
Part 3. Contents of the PhD programme etc.
Part 4. Completion of the PhD programme
Part 5. PhD thesis
Part 6. Assessment committee
Part 7. Preliminary assessment of the PhD thesis
Part 8. Defence of the PhD thesis
Part 9. Award of the PhD degree
Part 10. The institution's rules
Part 11. Other rules
Part 12. Commencement and interim provisions
(1) The PhD programme is a research programme aiming to train PhD students at an international level to undertake research, development and teaching assignments in the private and public sectors, for which a broad knowledge of research is required.
(2) The PhD programme mainly comprises active research training under supervision.
(1) The ministerial order applies to PhD programmes at the universities and at the higher artistic educational institutions under the Ministry of Science, Innovation and Higher Education.
(2) The institutions, see subsection (1), may award the PhD degree within fields within which they carry out research and within which they have set up a PhD school, either independently or in cooperation with other institutions covered by the ministerial order.
(1) The PhD degree is awarded to students who have successfully completed the PhD programme, see, however, section 15(2) and (3), and successfully defended their PhD thesis.
(1) The PhD programme is equivalent to 180 ECTS points and normally takes the form of full-time studies; however, the institutions may lay down rules providing for part-time studies.
(2) 60 ECTS points correspond to one year of full-time studies.
Rules applying to Doctoral School of the Humanities at Aalborg University
The PhD programme may be organised as part-time studies. Part-time study periods may vary from 4 to 6 years. It is possible to be enrolled as part-time PhD student during the entire enrolment period or during parts of the enrolment period.
Leave for academic or personal reasons may be granted in special circumstances, in agreement with the principal supervisor and the programme director, and on the basis of a reasoned application to the head of department. Decisions concerning leave are made on the basis of an individual assessment and in consideration of the further completion of the PhD programme.
When leave is granted, the enrolment period is extended accordingly and the PhD plan must be adjusted and reapproved by the principal supervisor, the programme director and the head of department immediately after the PhD student has reentered the PhD programme.
PhD students on leave are not entitled to receive supervision, attend PhD courses, and retain their office space etc.
PhD students may apply for up to two extension periods of six months, at the end of the enrolment period. The PhD student must use the application form available on the doctoral school’s website. The application must be approved by principal supervisor, the director of the doctoral programme and the director of the doctoral school.
The maximum extension period will also be six months for part-time PhD students, unless special circumstances apply. The extension only concerns the enrolment and not the employment of the PhD student.
(1) Admission to the PhD programme is based on a Master's degree or equivalent.
(2) The university may decide to let the PhD programme start in connection with a Master's programme; however, it must be ensured that the entire study programme has the scope and level described in sections 1 and 4. The university lays down rules thereon.
(3) Students admitted under subsection (2) must have the opportunity to complete the Master's programme.
(1) The institution decides who is to be admitted as PhD students. The institution's rules must stipulate the criteria on which admission is based.
(2) The PhD student is enrolled administratively on the PhD programme.
Applications for admission on the basis of other degrees than the 300 ECTS Master’s degree will be assessed on the basis of information about the level and contents of the study programme in question. It is the responsibility of the applicant to provide the necessary documentation of the level of the study programme.
At Doctoral School of the Humanities, it is not possible to commence the PhD programme in connection with a Master’s programme (the 3+5 and 4+4 schemes).
The PhD application must include the following and be written in English or Danish:
Copy of diplomas/transcripts in Danish or English (translations must be certified)
Project description (max. 10 pages)
A certified copy of IELTS or TOEFL test result, if applicable.
PhD applicants are assessed by an expert committee and the recommendation of the committee forms the basis of the final decision of the head of department and the director of the doctoral school.
The criteria for assessment of PhD candidates are described in detail on the website of the doctoral school.
(1) The PhD programme is set up in accordance with rules laid down by the institution.
(2) During the programme, the student is required to:
1) Carry out independent research work under supervision (the PhD project).
2) Complete PhD courses or similar study elements totalling approx. 30 ECTS points.
5) Complete a PhD thesis on the basis of the PhD project.
(3) The institution may approve on a case-by-case basis that the PhD programme does not comprise one or more of the elements described in subsection (2), nos. 1-4, if the institution finds that the PhD student has completed other study elements that are comparable to the above (credit transfer).
(1) For each PhD student, the institution designates a principal supervisor who is responsible for the overall PhD programme. The principal supervisor must be a recognised researcher within the relevant field, be employed by the institution and affiliated with the PhD school.
(5) The institution ensures that the required resources are available for the PhD student to complete the PhD programme as laid down in the student's PhD plan.
The PhD student must prepare a preliminary course plan in consultation with the principal supervisor, as part of the PhD plan. For approval of completed course activities, the course diploma or other documentation of participation must be submitted together with the next progress report. The programme director ensures that the courses are relevant for the PhD programme and are at PhD level.
The AAU Basic Course in University Pedagogy is compulsory for PhD students enrolled at Doctoral School of the Humanities, if the PhD student has a teaching obligation at the university. PhD students who have attended the course, before the enrollment as PhD student are exempted.
It is compulsory for PhD students at Doctoral School of the Humanities to attend the AAU PhD course on the Danish Code of Conduct for Research Integrity or a similar PhD course focusing on research integrity.
Conference participation releases ECTS, if the PhD student makes a presentation at the conference. After conferring with the principal supervisor, the suggested number of ECTS credits is stated on the form for approval of ECTS for conference participation and is then submitted with the next progress report for final approval.
At least 20 ECTS must be reserved for subject-specific courses. ECTS for conference participation is considered as a subject-specific course activity and must not constitute more than 8 ECTS.
It is mandatory for PhD students at Doctoral School of the Humanities to participate in international research environments as part of the PhD programme outside Aalborg University. The requirements are described in detail in the AAU Handbook.
The specific plans for the PhD student’s research stay(s) must be stated in the 12 months progress report.
The list of relevant knowledge dissemination tasks is available in the AAU Handbook.
The Dean lays down the teaching obligation of PhD students at the faculty. The teaching obligation at Faculty of Humanities is 600 hours for PhD students employed as PhD Fellow at Faculty of Humanities.
The PhD study board may approve a reduction in the stipulated three years of full-time studies (credit transfer) upon application from the PhD student, if the PhD student has completed elements of the PhD programme, before the enrolment at Doctoral School of the Humanities. Applications for credit transfer must be submitted before the PhD student is enrolled.
The director of the doctoral school appoints a principal supervisor prior to the enrolment of the PhD student. The supervisor is appointed upon recommendation from the head of department and the programme director.
The principal supervisor must be a researcher employed on a permanent basis at Aalborg University, possessing qualifications corresponding to professor, associate professor or senior researcher level and must be an expert in the field of the PhD project.
In connection with the appointment of the principal supervisor, a secondary supervisor is also appointed, unless special circumstances apply. The director of the doctoral school must ensure that the secondary supervisors have an academic background relevant to the PhD project.
300 hours of supervision are allocated to the entire PhD programme. Supervision hours will be distributed between principal supervisor and secondary supervisors, in agreement with the PhD student. Principal supervisor is responsible for the overall PhD programme. The number of spent supervision hours is registered in the progress reports.
It is mandatory for AAU-employed PhD supervisors to attend supervisor seminars or courses at least once every five years. The doctoral school will offer annual supervisor seminars and courses; one for experienced supervisors and one for new supervisors.
AAU Learning Lab offers teaching courses for PhD students.
Principal supervisors must be familiar with the requirements to principal supervisors.
(1) Within three months of the start of the PhD programme, the institution approves a research and study plan (the PhD plan) for the individual PhD student.
(1) At regular points in time during the PhD programme, the institution must assess whether the PhD student is following the PhD plan and, if necessary, adjust the plan. This assessment is based on an opinion from the principal supervisor, who, after having consulted the PhD student, confirms that the PhD programme is progressing in accordance with the PhD plan or justifies, in writing, why adjustments are required. The PhD student must be given the opportunity to submit his or her comments on the principal supervisor's opinion within a deadline of at least two weeks. In the assessment, the institution must take account of periods of documented illness, maternity/paternity leave and other approved leave. The institution lays down rules on the frequency of such assessments.
(2) If the institution assesses that the PhD student is not following the PhD plan, in spite of any adjustments made to the plan, the student must be given three months to get back on course. The three months do not give rise to an extension of the PhD programme. The chance to get back on course in connection with a regular assessment pursuant to subsection (1) can only be given to the PhD student once during the PhD programme.
(4) If the assessment described in subsection (3) is negative, the student is expelled from the PhD programme. The institution must inform any other employer(s) of the expulsion without delay.
No later than three months after admission, the PhD student must submit a PhD plan for approval by uploading it to PhDManager. The deadline is three months for both full-time and part-time PhD students. The PhD plan must be approved by the principal supervisor, the programme director, and the head of the department. The template is available on the doctoral school’s website.
In connection with the PhD plan, the PhD student and principal supervisor must ensure that there is a matching of expectations as regards the form and contents of supervision and the distribution of hours.
During the PhD study, PhD students must submit four progress reports. Progress reports constitute the evaluation of the progress, with reference to the PhD plan. The four progress reports consist of two written reports and two combined written and oral reports:
1st Progress report (portfolio) = after 6 months
2nd Progress report (portfolio and oral) = after 12 months
3rd Progress report (portfolio) = after 24 months
4th Progress report (portfolio and oral) = after 30 months
The requirements are described in detail in Guidelines on Progress Reports.
Part-time PhD students must also submit a total of four progress reports at durations proportional to their period of study.
If the PhD student does not follow the PhD plan and make progress as expected, the Faculty Office informs the PhD student of his/her right to comment on the negative assessment. Based on the assessment and the comments of the PhD student, the director of the doctoral school makes the final decision as to whether a three-month period should be initiated.
The PhD thesis must document the PhD student's or the author's ability to apply relevant scientific methods and to carry out research work meeting the international standards for PhD degrees within the field in question.
(1) The institution lays down rules on the writing and submission of the PhD thesis.
(2) A PhD thesis cannot be submitted for assessment by two or more authors jointly.
(3) The PhD thesis must contain an abstract in Danish and English.
(4) Any articles included in the thesis may be written in cooperation with others, provided that each of the co-authors submits a written declaration stating the PhD student's or the author's contribution to the work, see, however, subsection (5).
The PhD student's enrolment at the institution expires upon the submission of the thesis.
(1) Within one week of the submission of the thesis, the principal supervisor must submit an opinion on the PhD programme as a whole, including the completion of the individual elements of the PhD plan, see section 9.
(2) If the principal supervisor states in the opinion that the PhD programme is not completed satisfactorily, the PhD student must be given at least two weeks to comment on the principal supervisor's opinion.
(3) On the basis of the opinion of the principal supervisor, see subsection (1), the PhD student's comments, if any, see subsection (2), and the regular assessments, see section 10(1), the institution must determine whether the PhD programme has been completed satisfactorily.
(1) The thesis can only be accepted for assessment if the PhD programme is completed satisfactorily, see, however, subsections (2) and (3).
(2) In special cases, the institution may decide that a thesis may be accepted for assessment without the author having completed the PhD programme, if the institution assesses that the author has in other ways acquired other comparable qualifications.
(3) The institution may accept a PhD thesis written by a PhD student from a foreign educational institution for assessment if the PhD student has completed a period of study at the Danish institution as part of a mutually obliging collaboration agreement on PhD training, including the assessment, defence, awarding of degrees etc., and if the institution assesses that the PhD student has acquired qualifications comparable with those acquired under a Danish PhD programme.
The PhD thesis must be in compliance with the principles stipulated in The Danish Code of Conduct for Research Integrity and contribute to the development of new scientific knowledge and be of sufficiently high quality to merit publication as part of the scientific literature in the field.
The PhD thesis may take the following forms:
An article-based PhD thesis consisting of 3-6 scholarly journal articles or book chapters, published, accepted for publication or submitted for publication, and a linking text. Journal articles and book chapters may be co-authored, but the PhD student must be first author of at least two publications. If the articles are co-authored, co-authorship declarations for each contribution must clearly state the distribution of work.
A combination of a monograph and at least two scholarly journal articles/book chapters published, accepted for publication or submitted for publication. The monograph should act as a linking text tying the three or more contributions together. If that is not possible a separate linking text has to be included. Journal articles and book chapters may be co-authored and co-authorship declarations for each contribution must clearly state distribution of work.
It is recommended that the PhD thesis, regardless of the form of the PhD thesis, does not exceed 250 pages (1 page = 2400 typing units).
The PhD thesis must be written in Danish, English or Norwegian. Should the PhD student wish to write in another language, he or she must submit a reasoned application to the programme director.
The PhD thesis must contain an abstract of max.10 pages in English and Danish.
If articles are written in cooperation with others, co-authors’ declarations must be submitted separately.
The PhD student must submit a declaration stating whether the PhD thesis, as a whole or in parts, previously has been submitted for assessment with a view to acquiring an academic degree or a prize at an institution of higher education in Denmark or abroad.
If a PhD thesis consists of a publicly accessible part and a confidential part, the publicly accessible part alone must form the basis of the award of the PhD degree.
On completion of the PhD project, the PhD student submits the PhD thesis electronically through VBN, as stipulated in the AAU procedure for submission of PhD theses.
The PhD student’s enrolment and employment will be terminated from the submission date, also if the PhD thesis is submitted before the expected end date.
Within one week of the submission of the PhD thesis, the principal supervisor must submit an opinion on the PhD programme as a whole. The principal supervisor involves any other supervisors in the writing of the opinion. The supervisor’s opinion must be approved by the director of the doctoral school, who certifies that the PhD programme as a whole has been completed. The supervisor’s opinion is enclosed as supplements to the PhD certificate and must be written in English and follow the template available on the doctoral school’s website.
The decision as to whether a thesis may be accepted for assessment without the author having completed the PhD programme rests with the director of the doctoral school. The decision is made on the basis of an expert assessment of the qualifications of the author. The author must submit the form regarding submission without previous enrolment together with material documenting that the author has acquired qualifications comparable to the Danish PhD programme.
PhD students who have completed a period of the PhD study at the Faculty of Humanities, as part of a mutually obliging collaboration agreement may submit their PhD thesis for assessment at Doctoral School of the Humanities, if the requirements stipulated in the Procedure for double and joint degree collaborations are complied with.
(1) Upon the submission of the PhD thesis at the latest, the institution appoints an expert assessment committee composed of three members. The institution appoints a chairman from among the committee members.
Immediately after having appointed the members of the assessment committee, the institution must inform the PhD student or the author thereof, see section 15(2). The PhD student or the author is entitled to object to the members appointed within a period of at least one week.
On the basis of a recommendation from the principal supervisor and the PhD study board, the director of the doctoral school appoints the expert assessment committee; the members must be professors, full-time employed associate professors or possess corresponding qualifications. The proposed chairman of the assessment committee must be employed at Aalborg University. The assessment committee must be composed of both male and female members, unless special circumstances apply.
The recommendation must be accompanied by a short CV of any external members. Before submitting the proposal, the doctoral programme must ensure that the persons in question are willing to join the assessment committee.
The PhD student must approve any changes in the composition of the assessment committee during the assessment period. If the PhD student objects to the composition of the assessment committee, a new committee must be appointed.
During the assessment period, any contact between the assessment committee and the PhD student regarding the PhD thesis and the assessment must go through the PhD administration at the Faculty Office.
(1) Within two months of the submission of the PhD thesis, the assessment committee must make its recommendation to the institution as to whether the PhD thesis fulfils the requirements for the award of the PhD degree. The month of July is not included when calculating the two-month deadline. The recommendation must be reasoned, and in the event of disagreement, the majority will prevail. The institution sends a copy of the recommendation to the PhD student or the author as soon as possible.
(2) If the recommendation is favourable, the defence of the thesis can take place.
(3) If the recommendation is not favourable, the assessment committee must state in the recommendation whether the PhD thesis may be resubmitted in a revised version. In such case, a deadline for resubmission must be stated. The PhD student or the author and the principal supervisor must be given the opportunity to submit their comments on the recommendation within a period of at least two weeks.
(4) If the recommendation is not favourable, the institution must make one of the following decisions based on the assessment committee's recommendation and the PhD student's or the author's and the principal supervisor's comments, if any:
1) That the defence of the thesis may not take place.
2) That the PhD thesis may be resubmitted in a revised version within a deadline of at least three months. If the PhD thesis is resubmitted, it must be assessed by the same assessment committee, unless special circumstances apply.
3) That the PhD thesis must be submitted for assessment by a new assessment committee.
If resubmission is recommended by the assessment committee, the PhD student may be given the opportunity to revise and resubmit the PhD thesis after the first and second submission, that is a total of three submissions.
The assessment committee submits its preliminary recommendation to the Faculty Office. The recommendation must be in compliance with the doctoral school’s guidelines.
The recommendation must be approved by the director of the doctoral school, before it is forwarded to the PhD student.
(1) The PhD thesis must be defended publicly in accordance with rules laid down by the institution. At the defence, the PhD student or the author must be given the opportunity to explain his or her work and defend the PhD thesis before the members of the assessment committee, see, however, subsection (3). 5
(2) The institution must ensure that the PhD thesis is made available to the public in due time before the defence.
(3) If special circumstances apply, subject to agreement with the PhD student or the author, the institution may decide that a planned defence can be completed with participation of only two members of the assessment committee.
(1) The institution decides the time and place of the public defence.
(2) The defence takes place two weeks after the assessment committee's submission of its recommendation, at the earliest, see section 18(1), and within three months of the submission of the PhD thesis, at the latest, see, however, subsection (3) and section 18(1), second sentence.
The programme director appoints an academic faculty staff member to chair the public defence.
The PhD student’s presentation of his or her work may take approximately 45 minutes, whereas each assessment committee member may spend approximately 30 minutes on questions and dialogue with the PhD student. The chair may allow others to make contributions after the dialogue with the assessment committee. The entire duration of the defence must not exceed 3 hours.
The PhD thesis is made available to the public at the respective doctoral programme, immediately after the PhD students receives notice of the positive preliminary recommendation.
Time and place of the public defence is decided by the doctoral programme, in consultation with the chairman of the assessment committee and the PhD student.
The assessment committee is required to be physical present at the defence. If special circumstances apply, members of the assessment committee may attend the defence by video link. Planned attendance by video link must be approved by the director of the doctoral school.
If unusual circumstances apply, the director of the doctoral school may decide that the defence can be completed without the participation of one of the external members of the assessment committee, with the PhD student’s consent.
If unusual circumstances apply, the director of the doctoral school may approve that the defence is postponed. Postponement of the defence is subject to mutual agreement between the programme director, assessment committee, and the PhD student.
(1) Immediately following the defence, the assessment committee must make its recommendation as to whether the PhD degree should be awarded and must notify the institution and the PhD student or the author thereof. The recommendation must be reasoned, and in the event of disagreement, the majority will prevail.
(2) If the recommendation of the assessment committee is negative, the institution may decide to let the thesis be assessed by a new assessment committee, if so requested by the PhD student or the author within a period of at least one week.
The PhD degree may be awarded if the assessment committee submits a recommendation to that effect.
(1) The institution issues a certificate of the award of the PhD degree.
(2) Such certificate must be in Danish and English and contain information on the relevant field and the subject of the PhD thesis as well as information on the PhD programme completed.
(4) As part of a collaboration agreement, see subsection (3), the institution may also provide a certificate from one or more foreign institutions with which the institution collaborates with an endorsement, signature or the like, such that the diploma is also made enforceable under Danish law, if the institution assesses that the PhD student has acquired qualifications comparable with those acquired under a Danish PhD programme.
If the PhD degree is not awarded, the institution will upon request issue documentation in both Danish and English concerning the elements of the PhD programme that have been completed.
No later than one week after the defence, the chairman of the assessment committee must send the final recommendation to the Faculty Office as to whether the PhD degree should be awarded. The recommendation must be in compliance with the formalities as stipulated in the guidelines for assessment committees.
The Faculty Office issues the PhD diploma with supervisor’s opinion enclosed, immediately after the PhD degree has been awarded by the Academic Council.
Double or joint PhD degrees may be awarded, when the PhD student has been formally enrolled at Doctoral School of the Humanities and as part of a formal collaboration agreement in accordance with the requirements stipulated in Procedure for double and joint degree collaborations.
(1) The institution lays down rules on:
1) Admission to the PhD programme, see section 6(1). 6
2) Organisation of the PhD programme, see section 4(1), section 7(1) and section 10(1).
5) Writing and submission of the PhD thesis, see section 12(1).
6) Defence of the PhD thesis, see section 19(1).
(2) The university also lays down rules on admission to the PhD programme pursuant to section 5(2).
(4) The rules and material amendments thereto must comprise the necessary interim arrangements.
(5) The institution's rules must be made public on the institution's website.
Exemptions from the internal rules laid down by Doctoral school of the Humanities at Aalborg University may be granted by the director of the doctoral school.
(1) In connection with the conclusion of a mutually obliging collaboration agreement on PhD training, including the assessment, defence, awarding of degrees etc. with one or more foreign educational institutions, the institution may derogate from the requirements set out in the ministerial order concerning:
2) The deadline for preliminary assessment of the PhD thesis, see section 18(1), first and second sentence. 3) The deadline for scheduling the defence of the PhD thesis, see section 20(2).
(2) In such cases, the institution is responsible for informing applicants and PhD students who are covered by the collaboration agreement about the conditions applying to the programme, including the rules in the ministerial order derogated from, see subsection (1). This information must be made available before the application deadline.
The following applies to PhD fellowships financed through the Industrial PhD scheme:
(1) The Danish Agency for Universities and Internationalisation may grant exemptions from the ministerial order for PhD students at universities if unusual circumstances apply, except in the situations mentioned in section 19(3), section 20(3) and section 26(1).
Mutually obliging collaboration agreements derogating from the requirements set out in the ministerial order regarding the assessment committee, the assessment process, and the defence must be approved by the dean upon recommendation from the director of the doctoral school.
(1) The university's decisions made under the present ministerial order may be appealed to the Danish Agency for Universities and Internationalisation by the party which the decision concerns (the complainant) if the appeal concerns legal issues. Complaints must be submitted within two weeks of the complainant having been informed of a decision.
(2) The higher artistic educational institution's decisions made under the present ministerial order may be appealed to the Danish Agency for Higher Education and Educational Support by the party which the decision concerns (the complainant) if the appeal concerns legal issues. Complaints must be submitted within two weeks of the complainant having been informed of a decision.
(3) The PhD students and authors described in the present ministerial order are entitled to make complaints. However, in order to be entitled to submit complaints, authors who have not completed the PhD programme must have had their PhD thesis accepted for assessment pursuant to section 15(2).
Complaints about the university’s decision under the ministerial order must be submitted in writing to the Faculty Office.
(1) This ministerial order enters into force on 1 September 2013.
(3) The institution may lay down the necessary interim arrangements for students to complete the programme in accordance with the rules set out in this ministerial order.
As of 1 February 2018, Internal Rules for the PhD Programme at Doctoral School of the Humanities, AAU replaces Regulations and Curriculum, Doctoral School of the Humanities, Aalborg University, February 2016.
The Internal Rules are approved by the Dean upon recommendation from the PhD study Board and Doctoral School of the Humanities.
Doctoral School of the Humanities at Aalborg University offers PhD education pursuant to Ministerial Order No 1039 of 27 August 2013 on the PhD Programme at the Universities and Certain Higher Artistic Educational Institutions (PhD Order), cf. The Danish University Act (Universitetsloven) and Statutes of the self-governing institution Aalborg University.
Internal Rules for the PhD Programme at Doctoral School of the Humanities, AAU supplements the PhD Order and stipulates the internal rules laid down by the PhD study board and the doctoral school. The Internal Rules apply to PhD students who commenced the PhD programme at Doctoral School of the Humanities, AAU from 1 February 2018 onwards. PhD students who commenced the PhD programme at Doctoral School of the Humanities before 1 January 2018 are entitled to follow the internal rules applicable at the time of enrolment, please see the website of the doctoral school for information on previous Internal Rules of Doctoral School of the Humanities.
The Danish University Act (Universitetsloven)
Statutes of the self-governing institution Aalborg University
The Ministry of Finance Circular of March 26, 2012 on the Collective Agreement for Academics in Denmark, Appendix 5, regarding PhD Fellows
The PhD Administration at the Faculty Office for Humanities and Social Sciences, email hum-phd@adm.aau.dk.