PhD Regulations for NTNU Approved by the Board of NTNU on 23 January 2012

REGULATIONS FOR THE PHILOSOPHIAE DOCTOR DEGREE (PHD) AT

THE NORWEGIAN UNIVERSITY OF SCIENCE AND TECHNOLOGY
(NTNU)1
Passed by the Board of NTNU on 23 January 2012 under the provisions of the Act of 1 April
2005 no. 15 relating to Universities and University Colleges, Section 3-3 and Section 3-9 no.
7.

The following sections in the Philosophiae Doctor Degree Regulations no. 1684 at NTNU,
approved by the Board on 7 December 2005, apply to the doctoral education: Section 2,
Sections 10 - 12, Section 23 no. 3, Sections 24 - 30, Sections 32 - 40, Section 42 and Section
44.

PART I INTRODUCTORY PROVISIONS

Section 1 Scope and extent of the regulations
These regulations apply to all education that leads to the degree of Philosophiae Doctor
(PhD). The regulations stipulate the rules for admission, PhD training and completion of the
PhD education, including joint degrees and cotutelle (joint supervision agreements).
Integrated PhD education is a specially designed form of study leading to a PhD degree at
NTNU. The specific provisions for this course of study are set out in separate regulations on
integrated PhD education (2005).

Section 2 Scope, content and objectives of the PhD education

The objective of the PhD education is to qualify candidates to conduct research of a high
international standard and perform other types of work with exacting requirements in terms of
scientific insight and analytical thinking in accordance with sound scientific practice and
established standards for research ethics. The PhD education is intended to provide the
candidate with knowledge, skills and expertise in keeping with the national qualifications
framework. The objective is to contribute to the internationalization of research, the academic
community and the candidate.

The PhD education has a nominal duration of three (3) years of full-time study, and includes
required coursework or similar academic training comprising a minimum of 30 credits. The
most important component of the PhD education is an independent piece of research carried
out under active academic supervision.

The PhD degree is awarded on the basis of:

An approved academic thesis
Approved completion of the required coursework or other academic training
An approved trial lecture on an assigned topic
An approved public defence of the PhD thesis (disputation)

1
This English version of the PhD Regulations at NTNU passed by the Board of NTNU on 23 January 2012 may
differ from the authoritative version, which is in Norwegian. If so, the authoritative version is to be consulted: Ph.d.
forskrift for NTNU, fastsatt av NTNUs styre 23. januar 2012.
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PhD Regulations for NTNU Approved by the Board of NTNU on 23 January 2012

Section 3 Responsibility for the PhD education

The Board of NTNU has the overall responsibility for the PhD education offered at the
institution. The education is organized as programmes of study managed by the faculties.

The Rector establishes PhD programmes based on proposals from the faculties and at the
same time stipulates which faculty is to administrate the programme (the host faculty). PhD
programmes can be established in cooperation between several faculties and with Norwegian
or international research institutions.

When a PhD programme is created in cooperation between several faculties, a programme

council is to be appointed with representatives from the participating faculties. The
programme council submits a recommendation to the host faculty regarding admission of
candidates, recognition of education, the programme description and course descriptions.

The Faculty that administrates the PhD programme is to approve the programme description
and the course descriptions.

Section 4 Quality assurance

The PhD education is covered by NTNU's quality assurance system. NTNU's common
standard for PhD education is to constitute the basis of a Faculty's quality assurance system.

Part II ADMISSION
Section 5 Admission
Section 5.1 Conditions of admission
In order to be admitted to a PhD education, applicants must normally have completed at least
five years of higher education that includes a master's degree, cf. the descriptions in the
second cycle of the national qualifications framework. Based on a special assessment, the
Faculty may approve other, comparable qualifications as the basis for admission. A
Norwegian experience-based master's degree (90 credits) by itself does not provide the basis
for admission. The Faculty may set further qualification requirements based on criteria that
are publicly available and in keeping with NTNU's recruitment policy and academic profile.

Applicants must have a strong academic record from their previous studies, and must have a
weighted average grade for the last two years of their master's or equivalent education
(equivalent to 120 credits) of B or higher in terms of NTNU's grading scale. Applicants with
no letter grades from previous studies must have an equally good academic foundation.
Applicants who are unable to meet these criteria may be admitted only if they can document
that they are particularly suitable candidates for education leading to a PhD degree.

Section 5.2 Application

NTNU determines the content of the application form. Applications are to be submitted to the
Faculty through the Department, and are to contain:
documentary evidence of the educational qualifications on which admission is to be based
a preliminary description of the project, including an academic outline of the project and
the planned schedule
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documentation of funding
documentation of specific needs for academic and material resources
any plans for residence at another institution
a plan for academic dissemination
details of any restrictions related to intellectual property rights, to protect the rights of
others
a plan for the required coursework or other academic training
proposed main supervisor and co-supervisors and their association with an active research
environment
description of any legal or ethical issues raised by the project and how these can be
resolved. The application must state whether the project is dependent on permission
granted by committees on research ethics or other authorities or by individuals (research
subjects, patients, parents, etc.). If possible, such permission should be obtained in writing
and be attached to the application.

The Faculty may specify requirements for further documentation.

As soon as possible, the candidate and the main academic supervisor must review the project
description and assess the need for adjustments. The complete project description is to be
available no later than six (6) months after admission and is to provide details of the subject,
the research questions addressed, theory and method as well as an assessment of the risk
associated with the project.

As a rule, an application for admission to a PhD programme must be submitted within three
(3) months of the start-up of the research project that will lead to award of the PhD degree. If
less than one (1) year of full-time work on the research project remains at the time of
submission of the application, the application is to be rejected; cf. Section 5.5. Special rules
apply to applicants from the medical student research programme at the Faculty of Medicine
and corresponding programmes of study.

Section 5.3 Residency requirement

Candidates with external funding or an external workplace must reside at NTNU for at least
one year of their PhD education. The main supervisor has the task of ensuring that this
residency requirement is met. A reduction in the residency requirement is possible in special
cases, but the proposed solution must fulfil the academic requirements for supervision and
NTNU's desire for the candidate to contribute to the institution's academic development and
environment. A statement from the main supervisor and the Department must accompany an
application for a reduction in the residency requirement.

Section 5.4 Infrastructure

The necessary infrastructure to carry out the research project is to be available for the
candidate. The decision about what is necessary infrastructure for carrying out the work is to
be made by the Faculty. For candidates with external funding or an external workplace, an
agreement must be entered into between the Faculty and the external party in connection with
the research project concerned. As a rule, the agreement must be signed before the formal
admission of the candidate or shortly thereafter.

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Section 5.5 Admission decision

The decision concerning admission is made by the Faculty and is based on an overall
evaluation of the application. The Faculty may specify criteria for the ranking of qualified
applicants and restriction of admission when the number of applicants exceeds the capacity.

The decision is to include appointment of the main supervisor and co-supervisor(s),

assignment of responsibility for dealing with other needs outlined in the application, and
specification of the starting and completion dates in the agreement period. The starting date
will be the same as the date when the candidate's funding begins. Any extension of the
agreement period must be related to the rights of employees, and must be specifically clarified
in relation to the candidate's basis for funding.

Admission is to be refused if:

agreements with external third parties impede public availability and the public
defence of the PhD thesis
the intellectual property rights agreements that have been entered into are so
unreasonable that the institution should not be involved in the project
the applicant will not be able to fulfil the requirement that a minimum of one year of
the project is to be completed after the candidate has been admitted to the PhD
education; cf. Section 5.2.

Section 5.6 Agreement period

The PhD education has a nominal duration of 3 (three) years of full-time study. The
maximum period of study is six (6) years from the starting date to the date on which the thesis
is submitted. Any leaves of absence, lengthy periods of absence due to illness, required duties
and approved part-time study are not to be included in this 6-year period.

If the candidate's period of study is interrupted due to authorized reasons, the agreement
period is to be extended correspondingly.

If the maximum period of study is exceeded, the candidate loses the right to defend his or her
thesis. The Faculty is to decide whether or not the maximum period of study has been
exceeded. If an application explaining the reasons for the delay is received, the Faculty may
extend the agreement period. If an extension of the agreement period is approved, the Faculty
may specify additional terms and conditions.

When the agreement period ends, so do the parties' rights and obligations in accordance with
the PhD agreement. This means that the PhD candidate may lose his or her right to academic
supervision, participation in courses, and access to the institution's infrastructure. However,
the candidate may apply for permission to submit his or her thesis for assessment for the PhD
degree. Each application is to be decided by the Faculty.

Section 5.7 Termination prior to expiry of the agreement period

Voluntary termination:
The candidate and the Faculty may agree on termination of the PhD education prior to expiry
of the agreement period. In the event of voluntary termination of the PhD education, all issues
regarding the terms and conditions of employment, funding, and the intellectual property
rights to the results and similar issues must be specified in writing.
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In the case of voluntary termination resulting from the candidate's wish to change the project
or transfer to another programme, the candidate must submit a new application based on the
new project. The change of project must be approved by all external sources of funding.

Enforced termination:
The Faculty may decide on enforced termination of a candidates participation in the PhD
education prior to expiry of the agreement period. Enforced termination can be decided if one
or more of the following conditions are met:
Considerable delay in carrying out the required coursework or other academic
training, due to factors over which the candidate has control.
Repeated or grave violations of the candidates obligations to provide information,
meet commitments, or report on the project, including failure to submit a progress
report; cf. Section 9.
Delay in the progress of the research project to such an extent that it creates reasonable
doubt as to whether the candidate will be able to complete the project in the agreed
time. Such delays are considered grounds for enforced termination if they are due to
factors over which the candidate has control.
Breach of the ethical research guidelines that apply to the subject area, including
academic misconduct.
Behaviour by a candidate that breaches the trust that must exist between the university
and the candidate during the PhD education. This includes punishable conditions that
are connected to the completion of the PhD education.

It is the responsibility of the Faculty to take the decision to impose enforced termination.

PhD candidates may be dismissed from their position when there are justifiable grounds for
doing so in relation to the organization or the employee concerned, cf. Sections 8, 9 and 10 of
the Civil Service Act, or may be summarily discharged under the provisions of Section 15 of
the same Act.

Section 6 The PhD agreement

Admission to NTNU's PhD education must be formalized in a written agreement signed by
the PhD candidate, the academic supervisors and the Faculty to which the candidate has been
admitted. The agreement governs the rights and obligations of the parties during the period of
admission and is intended to ensure that the candidate participates on a regular basis in an
active research group and that he or she is able to complete the PhD education within the
agreement period. NTNU is responsible for creating a standardized contract for this purpose.

For PhD candidates with funding from an external party, employment at an external party or
receiving other contributions from an external party, a separate agreement must be entered
into between the candidate, the institution and the external party. This is to be formalized in
accordance with the established guidelines at NTNU.

If the PhD candidate is to be affiliated with an institution outside Norway, NTNU's guidelines
for such cooperation must be followed and separate agreement(s) must be entered into. As a
general rule, such agreement(s) must be attached to the PhD agreement.

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PART III PHD TRAINING

Section 7 Academic supervision
Work on a PhD thesis is to receive individual supervision from an academic supervisor. The
Faculty, the Department and supervisors must together ensure that the PhD candidate
participates in an active research environment.

Section 7.1 Appointment of academic supervisors

The Faculty appoints academic supervisors. As a general rule, the PhD candidate is to have at
least two academic supervisors, of which one will be designated as the main supervisor. The
main supervisor must be appointed at the time the candidate is admitted.

The main supervisor has the primary academic responsibility for the candidate. If the Faculty
appoints an external main supervisor, a co-supervisor who is an academic staff member at
NTNU is to be appointed.

Co-supervisors are experts in the field who provide academic supervision and who share the
academic responsibility for the candidate with the main supervisor.

The provisions on impartiality in the Public Administration Act Chapter II concerning

disqualification (Sections 6 to 10) apply to the academic supervisors and appointed mentors.

All academic supervisors must hold a doctoral degree or equivalent qualification in the
relevant research field and must be working actively as researchers. At least one of the
appointed supervisors must have previous experience or training in academic supervision of
PhD candidates.

In addition, the Faculty may appoint one or more mentors who do not meet the qualification
requirements for supervisors, but who still provide supervisory assistance.

The PhD candidate and academic supervisor may ask the Faculty to appoint another
supervisor for the candidate. The supervisor may not withdraw before a new supervisor has
been appointed. Any disputes regarding the academic rights and obligations of the supervisor
and of the candidate are to be referred by these parties to the Faculty for review and a final
decision.

Section 7.2 Content of the academic supervision

The supervisors are to give advice on formulating and delimiting the thematic area and
research questions, discuss and assess hypotheses and methods, discuss the results and the
interpretation of these, discuss the structure and work on the thesis, including the outline,
choice of language, documentation, etc., and provide guidance on the academic literature and
data available in libraries, archives, etc. The supervisors must also advise the candidate on
issues related to research ethics in connection with the thesis.

The candidate must have regular contact with his or her supervisors. The frequency of contact
between the parties is to be stated in the annual reporting of progress; cf. Section 9.

The candidate and supervisors have a mutual obligation to keep each other informed about the
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progress of the work and to assess it in relation to the project description.

The supervisors are required to follow up academic issues that may cause a delay in the
progression of the candidates PhD education, so that it can be completed within the nominal
period of study.

Section 8 Required coursework or other academic training

Section 8.1 Purpose, content and scope
The PhD education is to be designed in such a way that candidates are able to complete their
studies within the nominal period of study.

The Faculty is responsible for ensuring that the required coursework or other academic
training and the work involved in the PhD thesis constitute an education at a high academic
level and are in accordance with international standards. The required coursework or other
academic training must include the completion of an independent piece of academic work,
training in scientific and academic dissemination and an introduction to research ethics, the
philosophy of science and scientific methods. The required coursework or other academic
training, together with the research project, must be designed to achieve the anticipated
learning outcome in accordance with the national qualifications framework.

The required coursework or other academic training must be equivalent to at least 30 credits,
of which, as a general principle, at least 20 credits must be completed following admission to
the PhD education. At least 20 credits are to be taken in established PhD level courses. If a
master's course is to be included in the required coursework or other academic training, the
passing grade is equivalent to B or higher in terms of NTNU's grading scale. A candidate who
has passed the examination in a course with a grade lower than B is only entitled to retake the
examination in this course once in order to improve his or her grade.

Elements that are to be included as part of the required coursework or other academic training
may not have been completed more than two (2) years prior to the date of admission.
Exemption may be granted if there are special academic grounds for this. For PhD candidates
with backgrounds from the medical student research programme at the Faculty of Medicine,
special rules apply.

The Faculty stipulates which elements may be included in the required coursework or other
academic training, the requirements for documentation, and the criteria for passing
examinations. If NTNU does not offer all the required coursework or other academic training,
the Faculty is to arrange for the candidate to receive equivalent courses or training at other
institutions.

Courses at doctoral level at another institution must be approved when they are to meet the
academic requirements of the required coursework or other academic training under the
provisions of Section 3-5 of the Act relating to Universities and University Colleges.

As part of the PhD education, PhD candidates are to receive advice on future professional and
occupational prospects within and outside academia. This is also to increase their awareness
of the expertise that they have acquired during their research work.

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Section 8.2 The candidate's rights in the event of leave of absence

PhD candidates with parental leave from the PhD education may still attend classes and sit for
examinations in courses that will be included as part of the candidate's required coursework or
other academic training during the leave period, under the provisions of Chapter 14, Section
14-10, fourth subsection, of the National Insurance Act and the circular from the Norwegian
Labour and Welfare Administration regarding Section 14-10, fourth subsection, of 18
December 2006, last amended on 30 June 2009.

Section 9 Reporting
During the agreement period, the PhD candidate is to submit reports in writing to the Faculty
every year describing his or her progress in the PhD education. Every year, the supervisors
submit a separate report to the Faculty and the Department. The reports must be written using
the prescribed forms and must be kept confidential when the information warrants this.

The candidate and the supervisor have equal responsibility for submitting the required reports.
A lack of, or inadequate, progress reports from the candidate may result in enforced
termination of the candidate's participation in the PhD education prior to expiry of the
agreement period; cf. Section 5.7. Supervisors who fail to comply with the reporting
requirements may be relieved of their supervisory duties.

The Faculty may establish special reporting requirements, if needed.

Section 10 The PhD thesis

Section 10.1 Thesis requirements
The thesis is to be an independent piece of academic work that meets international standards
with regard to ethical requirements, academic standards and method in the subject area.

The thesis must contribute to the development of new scientific knowledge and must achieve
a level meriting publication as part of the literature in its field.

A thesis cannot be submitted as joint work by more than one candidate.

The thesis may consist of a monograph or a compendium of several shorter scientific or

academic papers. If the thesis consists of several shorter papers, clarification about how they
are interrelated must be included.

If a paper has been produced in cooperation with other authors, the PhD candidate must
follow the norms for co-authorship that are generally accepted in that field and are in
accordance with international standards. If the thesis consists primarily of papers, the
candidate must normally be the main author or first author of at least half the papers.

A thesis containing papers written by more than one author must include a signed declaration
that describes the contribution of the candidate and the co-authors of each of the papers. It
must be possible to identify the candidate's independent contribution in the work.

The Faculty decides which languages a thesis is to be written in.

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Section 10.2 Work that may not be submitted

Work or parts of a work that has been approved as the basis for previous examinations or
degrees may not be submitted for assessment. However, data, analyses or methods from
previous degrees may be used as the basis for work in the PhD project.

Published papers cannot be approved as part of the PhD thesis if there is more than five (5)
years from the date of publication to the date of the candidates admission. The Faculty may
grant exemptions from this requirement if this is warranted by special circumstances.

The thesis may be submitted for assessment to only one educational institution; cf. Section
13.1.

Section 11 Obligation to report on research results with commercial

potential
The intellectual property rights of cooperating institutions must be regulated in a separate
agreement.

When a PhD candidate is employed at NTNU, NTNU's regulations that are in force form the
basis for the candidate's obligation to report on research results with commercial potential that
are produced during the employment relationship.

For PhD candidates with an external employer, a corresponding obligation to report such
results must be stipulated in an agreement between the institution, the PhD candidate, and the
external employer.

For PhD candidates without an employer, a corresponding obligation to report results must be
stipulated in the admission agreement between the institution and the PhD candidate.

PART IV COMPLETION
Section 12 Assessment
Section 12.1 Basis for the assessment
The PhD degree is to be awarded on the basis of:
an approved and published academic thesis
approved completion of the required coursework or other academic training
an approved trial lecture on an assigned topic
an approved public defence of the PhD thesis (disputation)

Section 12.2 Time from submission to public defence of the thesis

The Faculty must try to ensure that the time between submission of the thesis for assessment
and its defence is as short as possible. Normally, this period must not exceed five (5) months.

It is the responsibility of the main academic supervisor to notify the Department and the
Faculty that the thesis will be submitted soon, so that the necessary preparations can begin.

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Section 13 Submission
Section 13.1 Submission of the PhD thesis
The application for assessment of the thesis may be submitted only after the required
coursework or other academic training has been approved.

The following documents must be enclosed with the application:

The thesis prepared in the approved format and in accordance with NTNU's rules, in
the form and with the number of copies stipulated by the Faculty.
Documentation of required permission; cf. Section 5.1.
Declarations from co-authors where required in terms of Section 10.1.
Statement specifying whether the doctoral work is being submitted for assessment for
the first or second time;
Statement that the doctoral work has not been submitted for assessment at another
institution.
Statement from the main supervisor

The Faculty may make an independent decision to reject an application for assessment of the
PhD thesis if it is evident that the thesis does not meet sufficiently high standards of scientific
quality and that it would be rejected by a committee. The PhD candidate may lodge an appeal
against a rejection decision with the University Appeals Committee at NTNU.

The PhD thesis must be made available to the public no later than three weeks before the
public defence; cf. Section 18.2.

Section 13.2 Assessment of the application

The Faculty evaluates the application for assessment of the PhD thesis. Applications that do
not fulfil the requirements stated in Section 13.1 will be rejected.

Section 14 Appointment of an assessment committee

When the Faculty has approved an application for assessment of a PhD thesis, the Faculty is
to appoint an expert committee of at least three members who are to assess the thesis, the trial
lecture, and the public defence. At the same time, the Faculty sets a deadline for the report
from this committee. Normally, the deadline must not exceed three (3) months.

The provisions applicable to partiality in Section 6 of the Norwegian Public Administration

Act apply to the members of the committee; cf. Section 10 of the same Act.

The composition of the committee should be decided at the time of submission of the thesis.
The composition of the assessment committee is normally to be such that:
both genders are represented
at least two of the members are from outside NTNU
the main position of at least one member is at an institution outside Norway
all the members hold doctoral degrees or equivalent qualifications

If these criteria are not met, an explanation stating the grounds for this must be provided.

The Department proposes the assessment committee. The proposal is to include the reasoning
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behind the composition of the committee with regard to how the committee as a whole covers
the field(s) addressed in the thesis. The Faculty designates a chairperson from among the
committee members or in addition to the committee members.

The appointed supervisors may not be members of the assessment committee or administrate
its activities.

If a member withdraws from the committee, the Faculty may appoint an alternative member
to the assessment committee.

The candidate will be notified of the proposal for the composition of the committee, and he or
she may submit written comments no later than one week after the proposal has been made
known to the candidate.

Section 15 Activities of the assessment committee

Section 15.1 Gathering of supplementary information
The Faculty must ensure that the committee members receive NTNU's Guidelines for the
Evaluation of Candidates for Norwegian Doctoral Degrees.

The assessment committee may require presentation of the PhD candidate's source material
and additional information for the purpose of supplementation or clarification.

The assessment committee may ask academic supervisors to provide information about the
supervision carried out and the work involved in the thesis.

Section 15.2 Revision of a submitted thesis

On the basis of the submitted thesis and any additional material, cf. Section 15.1, the
assessment committee may recommend that the Faculty permits the candidate to make minor
revisions to the thesis before the committee submits its final report. The committee is to
provide a written list of the specific items that the candidate must revise.

If the Faculty allows minor revisions to the thesis, a deadline normally not exceeding three (3)
months is to be set for completing such revisions. A new deadline for submission of the
committee's final report must also be set. The Faculty's decision pursuant to this paragraph
may not be appealed by the PhD candidate.

If the assessment committee finds that extensive changes related to the theory, hypothesis,
material or methods used in the thesis are needed in order to deem the thesis worthy of a
public defence, the committee must reject the thesis.

Section 15.3 Report of the assessment committee

The assessment committee determines whether or not the thesis is worthy of being defended
for the PhD degree. The decision presented in the report and any dissenting views must be
explained.

The assessment committee's report should be submitted no later than three (3) months after
the date on which the committee received the thesis. If the committee recommends revision of

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the thesis and the Faculty allows this, a new time limit runs from the date on which the thesis
was resubmitted.

The assessment committee's report is submitted to the Faculty, which forwards the report to
the PhD candidate. The candidate is given ten (10) working days in which to submit written
comments to the report. If the candidate does not wish to submit comments, he/she must
notify the Faculty of this in writing as soon as possible.

Any comments from the PhD candidate must be sent to the Faculty. The Faculty is
responsible for taking the final decision on the matter in accordance with Section 16.

Section 15.4 Correction of formal errors in the thesis

Once submitted, a thesis cannot be withdrawn until a final decision has been reached as to
whether or not it can be approved for defence of the PhD degree.

The PhD candidate has the opportunity to correct formal errors in the thesis after submission.
The candidate must then prepare a complete list of the errors (errata) that he/she wishes to
correct and submit this at the latest four (4) weeks before the committee's deadline for
submission of its report. Correction of formal errors may take place only once.

Section 16 The Faculty's procedures related to the assessment committee's

report
On the basis of the report by the assessment committee, the Faculty decides whether or not the
PhD thesis is worthy of a public defence.

Unanimous committee decision

If the committee's report is unanimous and the Faculty finds that the report should be used as
the basis for its final decision, the Faculty will take the final decision in accordance with the
committee's report.

If the Faculty finds that there are grounds to doubt whether the committee's unanimous report
should be used as the basis for its final decision, the Faculty must request further clarification
from the assessment committee and/or appoint two new experts to make individual statements
about the thesis. Such additional clarification or individual statements must be presented to
the PhD candidate, who will be given the opportunity to make comments.

The Faculty is to take the final decision on the matter on the basis of the committee's report
and the statements obtained.

Non-unanimous committee decision

If the committee's recommendation is non-unanimous and the Faculty decides to use the
majority's recommendation as the basis for its final decision, the Faculty is to take the final
decision in accordance with the majority's recommendation. If the committee's
recommendation is non-unanimous and the Faculty considers using the statements of the
minority as the basis for its final decision, the Faculty may seek further clarification from the
assessment committee and/or appoint two new experts to give individual statements about the
thesis. Such additional clarification or individual statements must be presented to the PhD
candidate, who will be given the opportunity to make comments. If both the new experts

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agree with the recommendation of the majority in the original committee's recommendation,
this recommendation is to be followed.

The candidate will be informed of the outcome after procedures related to the statements by
the new experts have been completed.

Section 17 Resubmission
A PhD thesis that has not been found worthy of public defence may be resubmitted for
assessment in revised form no earlier than six (6) months after the Faculty has made its
decision. The Faculty then appoints a new assessment committee, in which at least one of the
members of the original committee should be reappointed. A PhD thesis may only be
reassessed once.

In the event of resubmission, the PhD candidate must clearly state that the thesis was assessed
previously and was not found worthy of a public defence.

Section 18 Public availability of the thesis

Section 18.1 Requirements related to the printed thesis
When the thesis has been found worthy of a public defence, the PhD candidate must submit
the printed thesis to the Faculty in the approved format and in accordance with NTNU's rules,
with the number of copies determined by the Faculty.

The PhD candidate must submit a short summary of the thesis to the Faculty in English and in
Norwegian. If the thesis is not written in English or Norwegian, the candidate must also
submit a summary in the language in which the thesis is written. Both the thesis and the
summary must be made available to the public. The Faculty is responsible for ensuring that
this takes place.

Section 18.2 Public availability

The thesis must be made available to the public no later than three (3) weeks prior to the date
of the public defence. The thesis should be made available in the form in which it was
submitted for assessment, or following revisions made on the basis of the committee's
preliminary comments; cf. Section 15.2.

No restrictions may be placed on a PhD thesis being made publicly available, with the
exception of a previously arranged delay in the date of public access. Such a delay may be
permitted to allow the institution and any external party that has provided full or partial
funding for the PhD education to consider potential patents. An external party may not require
that all or part of a PhD thesis be withheld from the public domain; cf. Section 5.5.

When publishing the thesis, the candidate must follow the applicable guidelines on the
crediting of institutions. As a general rule, an institution must be listed as the address in a
publication if the institution has made a necessary and substantial contribution or laid a
foundation for an author's contribution to the published work. The same author must also list
other institutions as the address if, in each case, these fulfil the requirement related to the
institution's contribution.

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Section 19 Doctoral examination

Section 19.1 The trial lecture
Before the public defence can take place, cf. Section 15, the PhD candidate is to deliver a trial
lecture. The trial lecture is an independent part of the examination for the PhD degree and is
held on an assigned topic. The purpose is to test the candidate's ability to acquire knowledge
beyond the topic of the thesis and to impart this knowledge in a lecture setting.

The assessment committee specifies the topic for the trial lecture, and undertakes the
assessment itself. The PhD candidate is to be notified of the title of the trial lecture ten (10)
days prior to the lecture. The topic of the lecture must not have a direct connection to the topic
of the thesis.

The trial lecture must be held in the language in which the thesis is written, unless the Faculty
approves the use of another language.

The assessment committee is responsible for determining whether the trial lecture is approved
or not. If the trial lecture is not approved, an explanation must be provided.

The trial lecture must be approved before the public defence can be held.

Section 19.2 Public defence of the thesis (disputation)

The public defence of the thesis must take place after the trial lecture has been held and
approved, and no later than two (2) months after the institution has found the thesis to be
worthy of a public defence.

The time and location of the public defence must be announced at least ten (10) working days
in advance.

The committee that originally assessed the PhD thesis must also assess the public defence.
The public defence must be held in the language used in the thesis, unless the Faculty, on the
recommendation of the assessment committee, approves the use of a different language.

There are normally to be two opponents. The two opponents must be members of the
assessment committee and are appointed by the Faculty.

The public defence will be chaired by the Dean, or by the person authorized by the Faculty.
The chair of the defence provides a brief account of the submission and the assessment of the
thesis. The PhD candidate then explains the purpose and results of the scientific investigation.

The first opponent opens the discussion and the second opponent concludes the opposition.
Other people present who wish to participate in the discussion (ex auditorio) must give notice
of this to the chair of the defence within the time limit that the chair specifies and announces
at the start of the defence.

The assessment committee submits its report to the Faculty in which it explains how it has
assessed the public defence of the thesis. In the report, the thesis is to be considered in relation
to international standards in the subject, with a conclusion stating that the defence should be
approved or not approved.

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Section 20 Approval of the doctoral examination

The Faculty takes the decision about the approval of the doctoral examination on the basis of
the assessment committee's report.

If the assessment committee does not approve the trial lecture, a new trial lecture must be
held. The new trial lecture must be held on a new topic and not later than six (6) months after
the first attempt. A new trial lecture may only be held once. As far as possible, the lecture
must be assessed by the same committee that assessed the original lecture, unless the Faculty
decides otherwise.

If the Faculty does not approve the public defence, the PhD candidate may defend the thesis
once more. The Faculty sets the time for the new public defence. If possible, the defence is to
be assessed by the original committee.

Section 21 Conferral of the degree and certificate

On the basis of the approved required coursework or other academic training, the academic
thesis and the doctoral examination, the degree of Philosophiae Doctor is conferred by the
Faculty on the candidate. The Faculty issues the certificate. Certificates for candidates who
have completed an inter-faculty PhD programme are issued by the host faculty.

In the certificate, information must be provided about the required coursework or other
academic training in which the candidate has participated, the title of the thesis, the topic of
the trial lecture, and the supervisors. The certificate is to be signed by the Dean.

In addition to the certificate from the Faculty, a PhD degree diploma is issued. This is to be
signed by the Rector of NTNU and the Dean of the Faculty.

Section 22 Diploma supplement

NTNU is to issue a PhD diploma supplement in accordance with the guidelines in force.

PART V APPEALS, ENTRY INTO FORCE AND TRANSITIONAL

PROVISIONS
Section 23 Appeals
Section 23.1 Appeal against rejection of an application for admission, appeal
against a decision to terminate a candidates admission rights, and appeal against
rejection of an application for approval of part of the required coursework or
other academic training
Rejection of an application for admission, a decision to terminate a candidates admission
rights, or an application for approval of part of the required coursework or other academic
training may be appealed in under the provisions of Sections 28 and following of the Public
Administration Act. Details of the grounds for such an appeal must be sent to the Faculty. If
the rejection is upheld, the appeal is to be forwarded to the University Appeals Committee at
NTNU for a final ruling.

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PhD Regulations for NTNU Approved by the Board of NTNU on 23 January 2012

Section 23.2. Appeals against grade awarded or procedural error in connection

with examination in the required coursework or other academic training
Examinations that have been taken as part of the required coursework or other academic
training may be appealed under the provisions of the Act of 1 April 2005 relating to
Universities and University Colleges pursuant to Section 5-3 concerning appeals over grades
and Section 5-2 concerning appeals relating to procedural errors in examinations.

Suspicion of academic misconduct or attempted misconduct must be handled in accordance

with NTNU's established routines for this.

Section 23.3 Appeals against rejection of an application for assessment, and

rejection of a PhD thesis, trial lecture or public defence
Rejection of an application for assessment of a PhD thesis and a decision not to approve a
PhD thesis, trial lecture, or public defence may be appealed under the provisions of Sections
28 and following of the Public Administration Act.

Details of the grounds for such an appeal must be sent to the Faculty. The Faculty may annul
or amend the decision if it finds that the appeal is justified. If the Faculty dismisses the appeal,
the appeal is to be forwarded to the University Appeals Committee at NTNU for a ruling. The
body handling the appeal is to investigate all aspects of the appealed decision.

Should the Faculty or the body dealing with the appeal find grounds to do so, it may appoint
individuals or a committee to undertake an evaluation of the assessment made and the criteria
underlying it, or to undertake a new or supplementary expert assessment.

Section 24 Joint degrees and cotutelle agreements

Section 24.1 Joint degrees and cotutelle agreements
NTNU may enter into agreements with one or more institutions in Norway or abroad
regarding cooperation in the form of joint degrees or cotutelle agreements.

The guidelines adopted by the Board on 4 December 2008 (S-sak 83/08) apply to joint
degrees and cotutelle cooperation.

Section 24.2 Joint degrees

The term joint degree is defined as a cooperative programme between two or more institutions
that are jointly responsible for the doctoral programme, admission, academic supervision,
conferral of the degree, and other elements described in these regulations. The cooperation is
normally organized in the form of a consortium and is regulated by an agreement between the
consortium members. For a completed joint degree, a joint diploma is issued in the form of: a)
a diploma issued by the consortium members as a group, b) a diploma issued by each of the
consortium members, or a combination of a) and b).

An agreement to issue a joint degree is normally entered into only if established, stable
academic cooperation already exists between the institution and at least one of the other
consortium members.

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PhD Regulations for NTNU Approved by the Board of NTNU on 23 January 2012

Section 24.3. Cotutelle agreements

The term cotutelle agreement is defined as the joint academic supervision of PhD candidates
and cooperation on doctoral training for PhD candidates. A cotutelle agreement is entered into
by the institutions in the agreement for each candidate and must be based on stable, academic
cooperation between the institutions.

Section 24.4 Requirements for joint degrees and cotutelle

With regard to cooperation on joint degrees and cotutelle agreements, the Rector may grant an
exemption from these regulations if this is necessary due to the regulations at the cooperating
institutions. Such exceptions, both individually and as a whole, must be clearly justifiable on
the basis of the requirements for academic quality that apply to an equivalent PhD degree at
NTNU. The qualifications required for admission, the requirement that the PhD thesis must be
made available to the public, and the requirement for a public defence assessed by an
impartial assessment committee cannot be waived.

As a minimum, cooperation on joint degrees and cotutelle agreements must cover admission,
funding, required coursework or other academic training, supervision, residency requirements
at the institutions, reporting requirements, the language and structure of the thesis, its
assessment, the award of the degree, the issue of the certificate and the intellectual property
rights to the results. Such an agreement is to be signed by the Rector.

The PhD education at the cooperating institution must also have a nominal duration of three
years. The candidate must be admitted to both institutions.

Section 25 Entry into force

These regulations enter into force on 1 August 2012. Section 15 applies to candidates who
submit theses from and including 1 April 2012. At the same time, the regulations of 7
December 2005 No. 1685 concerning the philosophiae doctor degree (PhD) at the Norwegian
University of Science and Technology (NTNU) are revoked.

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