Guidelines for third-cycle (doctoral) education at the Disciplinary Domain of Medicine and Pharmacy

4. UU Guidelines

The disciplinary domain board/faculty board decides in which subjects to arrange third-cycle education. For each of these subjects, there must be a general syllabus [“allmän studieplan”, KUFs kommentar] indicating the main content of the programme, specific entry requirements and any other regulations required.

The general syllabi must be approved by a disciplinary domain board/faculty board or equivalent body responsible for doctoral studies. The syllabus must state, among other things, which criteria will be applied when assessing the ability to benefit from the studies, the relationship between the thesis part and the course part of the programme, the possibility to take a licentiate degree and the requirements for each degree.

The general syllabus must also be available in English, unless this is manifestly unnecessary.

Disciplinary domain guidelines

At the Disciplinary Domain of Medicine and Pharmacy, responsibility for third-cycle education has been delegated to KUF.

KUF has decided on general study syllabi for the two third-cycle education subjects, which were last revised in 2023.

• General study syllabus for third-cycle education in pharmaceutical sciences at Uppsala University, MEDFARM 2022/2592
• General syllabus for third-cycle education in medical sciences at Uppsala University, MEDFARM 2022/2593

English translations of the general study syllabi are available with the same reference number.

1.4 Individual study plan

5. UU Guidelines

The mutual rights and obligations existing between a department and a doctoral student as regards education are stated in the individual study plan. Other obligations and rights, regarding employment for example, are regulated by other means.

At Uppsala University, individual study plans must at a minimum contain information regarding:

1. The intended degree (doctorate, licentiate, or both). A special explanatory statement is required for admission to a programme concluding with a licentiate degree.
2. The timetable for the doctoral student’s studies. The plan should contain a general plan for each year and an estimated date for defence of the thesis. The plan should indicate the courses planned. It is particularly important that the plan is formulated so as to give a good description of the expected thesis work, including monitorable/interim goals with set dates for achieving them.
3. The funding plan for the entire effective period of study. When funding other than employment as a doctoral student (a doctoral studentship) finances the studies, the special considerations made in the process of admission must be attached to the individual study plan as well as the agreement with the funding provider, where relevant.
4. Planned teaching and other departmental duties.
5. The organisation of supervision, specifying both scope and formats, as well as the undertakings of the different parties to ensure effective supervision.
6. If any other special conditions apply to the studies, these must be stated.

The study plan must be approved by the head of department or another person in a position of responsibility after consultation with the supervisor and the doctoral student. The individual study plan is an active document in which both deviations from the plan and intermediate targets reached are documented on an ongoing basis. If targets are not achieved, this is to be stated in the study plan together with reasons for this and measures planned to remedy the situation.

The head of department or equivalent is responsible for follow-up of the study plan at least once a year and revision of the plan, if necessary, in accordance with the procedures established by the disciplinary domain/faculty board or equivalent body with responsibility for doctoral studies. If there is reason to foresee particular difficulties, more frequent follow-up and alternative approaches should be considered.

Doctoral students who teach should take a course in teaching and learning in higher education. This can either be a for-credit component of the individual study plan or take place within the framework of the doctoral student’s departmental duties.

Disciplinary domain guidelines

The individual study plan for doctoral students at the Disciplinary Domain of Medicine and Pharmacy is to be drawn up using the online admissions form (“doktoranddatabasen”, DDB), which can be found under the third cycle education pages on the Staff Gateway (medarbetaringången) or directly via Formularportalen (uu.se).

Prior to admission, the incoming doctoral student creates a provisional individual study plan, but with a project description written by the supervisors. The doctoral student is admitted in light of this provisional study plan. The reason why the individual study plan is provisional, not confirmed, at this stage is that the incoming doctoral student – according to instructions from the Swedish Higher Education Authority – is not allowed to be engaged in work on their project description prior to admission.

After the doctoral student has been admitted, the doctoral student and supervisor(s) jointly revise the provisional individual study plan, including the research plan. Note that an activity plan for the entire duration of studies must then be included. The forms “Revise individual study plan” and “Change or add supervisor or examiner” are used for revisions. A revised individual study plan must be received by KUF for confirmation within 6 net months of the admission decision.

Apart from the information specified in other regulations, the study plan is to include the following information:

• examiner
• workplace during studies
• the concise research plan described above
• information about any already published paper that will be included in the thesis
• one paper published before admission as a doctoral student can be included in the thesis after special explanation, specifying the following necessary conditions:
  • the subject must fit in well with the thesis as a whole
  • the article must have been published no more than one year (12 months) before the date of admission
  • employment position when working on the article
  • the doctoral student’s contribution
  • the total four-year duration of studies is not affected.

If the incoming doctoral student lacks fundamental medical or pharmaceutical education, the individual study plan should contain proposals on bridge courses.

In cases where the doctoral student is expected to perform teaching alongside their third-cycle education, this must be defined in the individual study plan. The Higher Education Ordinance states that third-cycle education is to comprise 48 months of full-time study, and the department must therefore compensate for time dedicated to teaching to an equivalent extent.

The individual study plan is the basis for reporting the doctoral student’s activity in Ladok. The activity specified in the individual study plan must be reported, unless there are special reasons otherwise, in which case it is the responsibility of the principal supervisor to provide documentation describing the reason for the deviation. It is therefore important that the activity plan is up to date and states the current activity in per cent and the equivalent time in net months of study time.

1.5 Annual review of individual study plan

Disciplinary domain guidelines

The principal supervisor is responsible for ensuring that the individual study plan is reviewed annually and revised where necessary. The annual follow-up is conducted by the doctoral student and principal supervisor in consultation with other supervisors and examiners. See also section 3.4 concerning the division of roles between supervisor and examiner, and section 6.5 regarding the duties of examiners. The form “Annual follow-up report”, which is available under the Third-cycle education pages in the Staff Gateway, provides support for this process. The documentation is to cover the progress of work on the thesis and implementation of theoretical aspects of the programme, in relation to the individual study plan.

Consultation with the examiner could be conducted at a joint meeting or by direct communications between the doctoral student and the examiner. The individuals who have been involved in the annual follow-up must all sign the form. The annual follow-up, together with any appendices, is to be registered and the original archived at the department.

If any issues arise between a doctoral student and their supervisor concerning the scope and contents of the individual study plan that lead the doctoral student to view the plan as impracticable, the doctoral student should preferably contact the person with responsibility for third-cycle education at the department, failing that, their examiner or, thirdly, KUF. Further support in matters of this kind is available from the pharmaceutical and medical doctoral student councils and the central doctoral student council at Uppsala University.

1.6 Revision of individual study plan

Disciplinary domain guidelines

The individual study plan is to be reviewed regularly, at least once a year in connection with the annual follow-up, and revised where necessary.

In the case of a change of supervisor or examiner, significant alterations to a research plan or significant changes to the thesis timetable (for example, a change in the papers included in the thesis, a switch to part-time study, addition of a lengthy stay abroad, parental leave, sick leave, etc.), the revision of the individual study plan will be processed by KUF.

The forms “Revise individual study plan” and “Change or add supervisor or examiner” are used for revisions. See also section 1.4 on activity reporting and section 3.2 on change of supervisor.

2 Admission

2.1 Admission and entry requirements

UU Admission Regulations, Section 2 – To meet the entry requirements under Chapter 7, Section 39, point 2, the 60 credits awarded in the second cycle (Master’s level) must include a degree project worth at least 15 credits.

A decision that an applicant meets the entry requirements under Chapter 7, Section 39, point 3 may not be delegated to a level lower than a disciplinary domain/faculty board or an equivalent body with responsibility for doctoral studies.

It is the responsibility of the disciplinary domain/faculty board or equivalent body with responsibility for doctoral studies to determine the specific entry requirements in effect for each doctoral subject area. These requirements must be stated in the general syllabus for the doctoral subject area.

3. UU Guidelines

It is possible to admit doctoral students to a later part of a doctoral programme and in so doing for a shorter effective period of study than 24 months for a licentiate degree and 48 months for a doctoral degree.

Disciplinary domain guidelines

The specific entry requirements for third-cycle education in medical sciences and pharmaceutical sciences are:

1. English level 6 (formerly English B)
2. Courses in areas relevant to the project

A description of the language requirements is provided in the disciplinary domain’s online form for admission to third-cycle education.

To summarise the language requirement in brief, an upper secondary qualification from any Nordic country that satisfies the general entry requirements to higher education is equivalent to English level 6, and this also now applies to many other EU countries. Applicants from countries where English is an official language are exempted, as are doctoral students with a university education given in English that meets entry requirements. Other applicants must have passed a language test before a selection is made among the candidates. The two most common language tests are IELTS and TOEFL. Students taking the IELTS Academic test must achieve an average score of 6.5 across all sections, with no section under 5.5. Students taking the TOEFL Internet-based test must achieve a total score of at least 90.

2.2 Applications and admission decisions

UU Admission Regulations, Section 4 – The disciplinary domain/faculty board or equivalent body with responsibility for doctoral studies decides on admissions of doctoral students to programmes intended to conclude with the award of either a licentiate degree or a doctoral degree. Most faculty-funded doctoral education should be devoted to education intended to conclude with a doctoral degree. Admission for a licentiate degree may not be delegated to a level below the disciplinary domain/faculty board or equivalent body with responsibility for doctoral studies and requires a special explanatory statement (a planned two-stage model, in which the doctoral student is admitted for a licentiate degree to assess whether the student has the ability to take a doctoral degree, only after that offering the opportunity to continue towards a doctoral degree, must not be used).

A doctoral student originally admitted to a programme concluding with the award of a licentiate degree may continue their studies towards a doctoral degree following the approval of a new application. A doctoral student who originally planned to conclude their education with a doctoral degree can conclude their studies with a licentiate degree.

A doctoral student can be employed part-time at the request of the doctoral student, provided that the faculty board considers it appropriate.

The time spent studying for a licentiate degree or a doctoral degree may not be started or extended by the student de facto engaging in third-cycle courses and programmes (as a ‘shadow doctoral student’) without being formally admitted.

Disciplinary domain guidelines

At the Disciplinary Domain of Medicine and Pharmacy, a doctoral student can be admitted for studies intended to lead to a licentiate degree only if this is explicitly wished by the doctoral student and explained in the application for admission. Financial limitations regarding funding for the student’s salary or research project do not constitute an acceptable reason.

If a student has been admitted with a licentiate degree as the final objective, the licentiate degree must be completed before any application for continued studies towards a doctoral degree is granted.

2.3 Selection for admission to third-cycle education

UU Admission Regulations, Section 1 –The disciplinary domain/faculty board or an equivalent body with responsibility for doctoral studies is responsible for ensuring that the admissions process is transparent and competitive.

UU Admission Regulations, Section 3 – Assessment criteria must be specified in the general syllabus for the doctoral subject area. The same assessment criteria must be applied to admission irrespective of funding arrangements.

Disciplinary domain guidelines

In selecting between all the applicants who meet the general and specific entry requirements, their ability to benefit from the course or study programme must be taken into account. The assessment criteria applied when making the selection are described in the general study plan and include:

1. The applicant’s documented subject knowledge of relevance to the field of research.
2. The analytical ability of the applicant, corroborated by scientific reports, academic papers, degree project or similar.
3. Other documented knowledge possessed by the applicant that is important for third-cycle education.

All entry requirements must be fulfilled at the time of selection among applicants, and formal entry requirements – such as language proficiency requirements – cannot be supplemented later since in that case the applicant is not initially eligible for admission.

2.4 Information about third-cycle education

UU Admission Regulations, Section 1 – The disciplinary domain/faculty board or an equivalent body with responsibility for doctoral studies is responsible for ensuring that the admissions process is transparent and competitive, with the exception of the cases specified above, and that the admissions process includes checking that funding can be guaranteed for the entire effective period of study and other resources for the entire duration of studies. This also applies to admission to doctoral studies intended to conclude with a licentiate degree.

Each faculty must provide the following information about doctoral studies:

• the admission procedures,

• the time when places in doctoral programmes are advertised,

• the documents that must be attached to applications for admission,

• the structure of the programme,

• the funding arrangements for studies,

• the general syllabus for each subject.

The announcement that applications are being accepted for admission to doctoral programmes must be available locally and on the University website (www.uu.se) at least three weeks before the deadline for applications. The announcement should also be disseminated as appropriate at national and international level.

Admission of doctoral students to an aid and capacity building programme can be exempted from the requirement of open advertisement with reference to the Higher Education Ordinance, Chapter 7, Section 37, point 3, provided that the scholarship organisation applies and reports selection procedures.

Disciplinary domain guidelines

Applications for admission to third-cycle education are made using the disciplinary domain’s online form, which is available under the third-cycle education pages in the Staff Gateway. The form also provides the basis of the individual study plan. The form must be completed correctly for KUF to process the application. In addition to the information that must be included in the individual study plan, the application is also to include information about:

• The announcement and advertisement of the doctoral student position, unless Chapter 5, Section 5, paragraph 3 and Chapter 7, Section 37, paragraph 2, points 1–3 of the Higher Education Ordinance concerning other employment etc. are applicable.

• Vacancies for third-cycle students are always advertised as leading to a doctoral degree. The only possibility of applying for admission to third-cycle education ending with a licentiate degree, following advertisement and selection, is at the explicit request of the third-cycle student (see point 2.2).

• Explanatory statement if position has not been advertised.

• Certificate showing that both general and specific entry requirements are fulfilled, for example, a degree certificate and (if necessary) a language test with acceptable result.

• For doctoral students employed outside Uppsala University, a certificate from the supervisor or manager must be attached, stating clearly that the doctoral student will be able to engage in third-cycle education at a rate of study of at least 50% within the framework of their employment – a form for this purpose is available from KUF via the Staff Gateway.

• The research track(s) at the disciplinary domain to which the doctoral student wishes to belong.

Disciplinary domain procedures when admitting a doctoral student

Procedures for calls for applications and selection of doctoral students:

• A third-cycle education group should be established at each department, made up, for example, of the director of third-cycle education at the department, a supervisor representative and a doctoral student representative.

• The third-cycle education group or equivalent proposes the creation of a doctoral student position to the department board/head of department. This takes place when finances and projects allow, generally at the initiative of individual researchers.

• The position is to be advertised in accordance with Chapter 7, Section 37 of the Higher Education Ordinance, and Section 1 of the UU Admission Regulations.

• The supervisor selects applicants to third-cycle education in consultation with the department’s third-cycle education group or equivalent. The department board approves the selection.

• In the process of selection, a request for admission with a Degree of Licentiate as final objective may not be used as an argument when selecting a candidate for the position of third-cycle student.

• Certification that the call for applications and selection procedures have been carried out in accordance with applicable regulations is given in connection with the creation and approval of the electronic form “Application for admission to third-cycle (postgraduate) studies”.

• Advertising is not necessary when admitting a student to a later stage of their doctoral studies.

• KUF admits the doctoral student.

3 Supervisors and supervision

3.1 Supervisors

8. UU Guidelines

At least one of the supervisors must have docent status and at least one of them must be an employee or adjunct employee of Uppsala University.

When supervisors are appointed, attention must be given to the issue of conflict of interest.

The principal supervisor has primary responsibility for the doctoral student’s education, including work on the thesis.

Principal supervisors must undertake training for supervisors during their first year as supervisor at the latest, and this is also recommended for assistant supervisors. The arrangements and scope for such training are decided by the relevant disciplinary domain/faculty board or the equivalent body responsible for doctoral studies.

Disciplinary domain guidelines

To register as principal supervisor of a doctoral student at the Disciplinary Domain of Medicine and Pharmacy, the following requirements must be met.

The intended principal supervisor must fulfil and be well acquainted with the rules concerning third-cycle education in place at Uppsala University. Normally, a principal supervisor is already a docent. In cases where the intended principal supervisor has not yet become a docent, the planned supervisor constellation must have been formally approved in a separate, attached supporting document signed by the person with responsibility for third-cycle education at the department at which the doctoral student will be registered.

An application for admission to doctoral studies will be reviewed by KUF, and factors that will be considered as part of the overall assessment of the proposed supervisor constellation include the principal supervisor having:

• well-documented post-doctoral scientific experience, production and independent line of research

• their own (external or internal) research funding that has already been obtained

• undergone the one-day supervisor information session given at the disciplinary domain

• an active appointment, either as a teacher at Uppsala University (see Appointment Regulations UFV 2019/1673), or at another higher education institution, in regional or central government administration, or at a company responsible for funding the doctoral student.

Further, at least one of the supervisors must be:

• an employee or adjunct employee of a department in the disciplinary domain.

In the interests of continuity of supervision, a retired professor may only be principal supervisor of a doctoral student in an exceptional case. This principle is based on two considerations: firstly, ensuring as far as possible that the doctoral student receives good supervision for the entire duration of the project, and secondly, promoting opportunities for younger researchers in the disciplinary domain to improve their academic qualifications. However, this does not prevent a retired professor from being an assistant supervisor. Moreover, when a principal supervisor retires after a doctoral student has been admitted, the supervisor does not necessarily have to relinquish the duties of principal supervisor but can, if both parties so desire, continue with the doctoral student until the defence of the doctoral thesis.

All new principal supervisors must take the online course “Research Ethics for Postdocs and Researchers in Medicine” before taking on the role of principal supervisor. This also applies to new principal supervisors at the Faculty of Pharmacy. For further information, see point 3.5.

3.2 Change of supervisor

Disciplinary domain guidelines

A change of supervisor necessitates revision of the doctoral student’s individual study plan and must be processed by KUF. See also Section 1.6 on the individual study plan.

Notification of a change of supervisor is made using the form “Change or add supervisor or examiner”, which is available under the PhD Studies pages on the Staff Gateway.

The person with responsibility for third-cycle education at the department is responsible for ensuring supervision for the doctoral student and this person must be consulted if a supervisor chooses to discontinue their supervision.

3.3 Supervision

8. UU Guidelines

The scope, formats and arrangement over time of supervision must be continuously updated in the individual study plan in consultation between the supervisors and the doctoral student.

Disciplinary domain guidelines

The main task of the supervisors is to help doctoral students develop into independent researchers with a scientific approach.

The supervisors – and the principal supervisor in particular – must continuously keep up-to-date with rules and guidelines concerning third-cycle education, and:

• ensure that adequate resources for conducting the project are put at the doctoral student’s disposal at the department

• facilitate the doctoral student’s participation in relevant doctoral courses, symposiums and conferences in line with the individual study plan

• support, encourage and be available for discussions with the doctoral student to the extent specified in the study plan

• take responsibility for initiating, conducting and documenting an annual follow-up and half-time review or licentiate seminar

• assess when the doctoral student has attained a sufficient degree of scientific maturity to be considered to meet the requirements that can be made in a public defence of a doctoral thesis and to successfully defend the thesis

• determine when the thesis fulfils the requirements placed on an academic thesis with respect to quality and scope, so that it is ready for defence at a dissertation or a licentiate seminar

• after discussion with the person with responsibility for third-cycle education at the department, propose an external reviewer (opponent) and examining committee members and inform the doctoral student, external reviewer (opponent) and examining committee about the rules surrounding defence of the thesis

3.4 Division of responsibilities between supervisor, examiner and head of department

Disciplinary domain guidelines

While pursuing third-cycle education, the student works on a research project, sometimes assists in undergraduate education, and takes formal courses, while working at a state administrative body, often as an employee of that body. In this complicated situation, the student comes into contact with various people in project or other management positions. The most important of these are likely to be the supervisor, the examiner and the person with responsibility for third-cycle education at the department.

The task of the supervisor is to be responsible for the academic management of the research project and the education and training of the student to become an independent researcher.

The task of the examiner is to examine formal components of the student’s education and to ensure that courses and other credit-bearing components have been performed to a confirmed standard. In addition, examiners are to participate in the annual follow-up, and provide support to students in matters relating to the form and contents of their education and training.

The task of the person with responsibility for third-cycle education at the department is to be responsible for the student’s formal employment, insofar as this is based at a department at Uppsala University, and for other issues associated with safety and the environment at work.

3.5 Information seminar for supervisors

Disciplinary domain guidelines

Participation in the disciplinary domain’s information seminar for supervisors is obligatory for principal supervisors and examiners engaged in third-cycle education. Participation is strongly recommended for assistant supervisors, and after participating for the first time, principal supervisors should participate at least once every five years to keep abreast of developments in the area.

To qualify as a principal supervisor, full attendance for the entire information session is required.

Apart from successful participation in the information seminar for supervisors, first-time principal supervisors at the Disciplinary Domain of Medicine and Pharmacy must have taken the online course “Research Ethics for Postdocs and Researchers in Medicine”. The course has been jointly developed by the seven faculties of medicine in Sweden and is recommended for all researchers employed at the Disciplinary Domain of Medicine and Pharmacy. The contact point at Uppsala University is the Centre for Research Ethics & Bioethics (CRB).

Information about applying for the course: Research ethics for medicine and pharmacy (uu.se)

4 Third-cycle courses

4.1 Syllabus and scope of course

UU Guidelines

Uppsala University’s guidelines for course evaluations (UFV 2010/307) state that course evaluations must be carried out and that the teacher in charge of the course or another person appointed for the task must write a course report assessing the results of the course evaluation and specifying proposed measures in response.

The guidelines also state that students must be informed early in the course about the outcome of previous course evaluations and about any measures taken or planned.

A compilation of responses and the course report must be made available in conjunction with course application information.

Disciplinary domain guidelines

Chapter 6, Sections 14–15 of the Higher Education Ordinance are also to apply to third-cycle education courses in the Disciplinary Domain of Medicine and Pharmacy.

Syllabi for third-cycle education courses in the Disciplinary Domain of Medicine and Pharmacy are subject to approval by KUF.

A template for this purpose is available via the Staff Gateway and must be used for course syllabi in third-cycle education.

A course evaluation specifically designed for third-cycle education is available in Uppsala University’s central system for course evaluations and must be used. Course reports are to be sent to KUF and will be made available in the course database along with the registration form.

In courses that receive financial support from KUF, students’ results are to be reported to Ladok by the department responsible for the course and assessed by the examiner for the course.

The course syllabus, course evaluation and course report as specified above must be reported to KUF before financial support will be paid.

5 Good research practice

5.1 Research ethics, cheating, and plagiarism

8. UU Guidelines

Supervision and other educational elements relating to research ethics in general, and to good research practice and ethical review in particular, must develop the ability of doctoral students to take responsibility for compliance with good research practice in their research. Ethical clearance must be obtained for the research conducted, as required by the Act concerning the Ethical Review of Research involving Humans (2003:460). The role of supervisor includes the overarching responsibility of the entity responsible for research for ensuring that the research is conducted in accordance with good research practice, as required by Section 5 of the Act on responsibility for good research practice and the examination of research misconduct (2019:504).

Disciplinary domain/faculty boards are responsible for ensuring that doctoral studies include the education and training in good research practice referred to above. The Vice-Chancellor specifically checks up on the provision of education and training in good research practice in doctoral studies during the annual quality dialogues with disciplinary domains.

Disciplinary domain guidelines

It is a matter of quality and fairness that the disciplinary domain has clear instructions, both for preventing cheating and for dealing with any suspicions of cheating that arise. Uppsala University has an introduction to research ethics and good research practice on the Staff Gateway, see Research ethics (uu.se).

Ethical permits must be obtained when necessary. For an overview of the permits that may be applicable and links to further information, see Permits and ethical review (uu.se).

Under the Act on responsibility for good research practice and the examination of research misconduct (2019:504), all researchers have a responsibility to follow good research practice in their research. Suspicions of cheating in connection with research conducted as part of doctoral education are handled by the Board for Investigation of Misconduct in Research (uu.se). Information is available at: Tools for good research practice (uu.se).

Checking theses for plagiarism is an important part of ensuring the quality of theses. Accordingly, this also applies to licentiate theses. After the examining committee has conducted its pre-review, KUF decides whether the doctoral student may proceed to the printing and posting of the thesis with the support of the disciplinary domain. In connection with this, the introductory chapter of the thesis (‘kappan’) is to be checked for plagiarism. The principal supervisor and the doctoral student are responsible for carrying out this plagiarism check. The department is to ensure that the plagiarism check is documented and registered and that this documentation is available in case of follow-up.

See also point 3.5 on the decision concerning a course in research ethics for new principal supervisors and newly appointed researchers.

5.2 Use of generative AI

The use of generative AI in research is not prohibited. Every journal may have its own particular rules on this that you as an author must follow.

Doctoral students certainly need training in the craft of scholarly publishing, including methods, logic, ethics and principles in addition to writing as such. However, the focus should not be on the actual generation of the text but on responsibility for its content, context and meaning.

The Research Training Committee therefore encourages researchers and doctoral students instead to use and learn about the tools that are available. However, bear in mind your responsibility for the content of the text. You cannot blame AI.

In the introductory chapter of a compilation thesis, an author using generative AI could write something along these lines:

“This thesis was partially created with the assistance of GPT-4, Open AI’s large-scale language generation model. Upon generating draft language, I reviewed, edited, and refined the text to my own liking and retain full responsibility for the content presented in this publication.”

5.3 Conflicts of interest

Regulations on conflict of interest are provided in Sections 16 and 17 of the Administrative Procedure Act (2017:900). These provisions guarantee that the public authority, i.e., Uppsala University, will be represented in any particular case by a body that is composed in such a way as to make its impartiality unquestionable. Interpretations and applications of the rules are available in the document “Rules governing conflicts of interest within the University’s area of activity” and additional interpretations may be found in the Swedish Research Council’s “Policy on Conflicts of Interest”.

Disciplinary domain guidelines

The University’s guidelines on conflicts of interest are applied strictly, for example in the appointment of supervisors in connection with admission, and in the appointment of external reviewer (opponent), examining committee including extra members, and chair at the public defence of the doctoral thesis.

Apart from conflict of interest because of being an involved party, having a personal interest or because of kinship, the following applies.

A conflict of interest exists in the event of scientific cooperation and joint production that has taken place during the last five years.

One joint article is sufficient to count as joint production.

A conflict of interest may exist even if more than five years have passed if close or extensive cooperation has occurred.

The relationship between a doctoral student and his or her supervisor is deemed to entail a conflict of interest no matter how long ago the cooperation occurred.

An exemption can be made from the five-year rule in the case of cooperation in the form of multi-centre studies and clinical treatment guidelines (‘Guidelines’), assessed on a case-by-case basis. In this case, account is taken of the roles played by those involved. If they are jointly represented in a coordinating grouping or listed as the lead authors of the article, this is regarded as a joint publication.

6 Examination

6.1 Grading of courses in third-cycle education

1. UU Guidelines

Doctoral studies at Uppsala University are based on national and local intended learning outcomes. The outcomes for doctoral studies are stated in the System of Qualifications (Higher Education Ordinance, Annex 2). Doctoral studies should be organised so that all the outcomes specified in the System of Qualifications are clearly assessed. This applies equally to knowledge and understanding, competence and skills, and judgement and approach.

10. UU Guidelines

Assessment takes place as described in the Higher Education Ordinance. Disciplinary domain/faculty boards or equivalent bodies with responsibility for doctoral studies must issue supplementary provisions on assessment if necessary. The general syllabus for the subject is to describe any other provisions.

Disciplinary domain guidelines

Grades for examinations in courses in third-cycle education should preferably be set by an examiner specially appointed for the course or, if no such examiner has been appointed, by the doctoral student’s examiner.

6.2 Grading of doctoral and licentiate theses

UU Admission Regulations, Section 5 – Theses and essays included in compilation theses that have multiple authors can only be counted as part of a licentiate degree or a doctoral degree if it is possible to distinguish the contributions of the individual defending the thesis.

The grade awarded to a doctoral thesis is decided by an examining committee specially appointed for each individual thesis. […]

A doctoral thesis will be awarded the grade ‘pass’ or ‘fail’. The opinion on which the majority agrees will constitute the committee’s decision. If a member of the examining committee has expressed a reservation against the decision of the majority, this is to be noted in the minutes or other decision document, but not on the degree certificate. The committee decides whether to give reasons for its decision. Any such explanatory statement must be attached to the minutes, but not to the degree certificate.

10. UU Guidelines

If the thesis or the doctoral student’s ability to defend the thesis has been failed at a public defence, another defence can be held provided that the thesis or the doctoral student’s ability to defend the thesis has been substantially improved.

Disciplinary domain guidelines

In cases where another defence is planned, the changed circumstances, the thesis or the doctoral student’s ability to defend the thesis, must be very thoroughly documented and a new notification of the intention to defend the thesis must be submitted to KUF. A new pre-review will then be conducted, and if KUF perceives a need for this, an external assessment of the doctoral student’s improved ability can also be obtained.

6.3 Transfer of credits

10. UU Guidelines

A transfer of credits for courses may be considered either at the time of admission or later in the period of studies. Possible credit for courses must not serve as an advantage when qualifications are assessed in conjunction with admission. Any application for a credit transfer is at the initiative of the doctoral student. The scope of any credit transfer must be assessed on a course-by-course basis. Block credit transfers, i.e., credit for several courses at a standard rate, for example for the second year of a second-cycle (Master’s) programme, are not permitted. To ensure educational progression, an assessment must also be made of the number of credits that may be transferred relative to the original scope of the course. A credit transfer may not be linked to a demand for a shortened period of studies. The requirement of guaranteed funding for the entire effective period of studies remains intact. The disciplinary domain board/faculty board decides how decisions on credit transfers are made.

In the case of admission to a later part of the programme, a credit transfer is made for previous studies.

Disciplinary domain guidelines

For a credit transfer, apart from an application, extensive backing material is needed including course syllabus, timetable or documentation on the scope, together with a certificate confirming that an exam has been taken and a passing grade achieved.

Decisions concerning credit transfers for a module of a compulsory course, a non-compulsory course or some other activity within a certain field of third-cycle education are taken by the examiner.

The scope and credits awarded are to follow the disciplinary domain’s guidelines.

Credit transfers for complete compulsory courses are made by the director of studies for doctoral courses on KUF, and cannot be made at department level.

6.4 Guidelines regarding credits for educational components

Disciplinary domain guidelines

The idea of special, formalised credits in third-cycle education is to ensure that the doctoral student, in parallel with the research project, also has the opportunity to acquire certain other basic knowledge and skills. The examiner decides on the credits to be awarded for a specific component and ensures that the basis for the decision is archived.

Generally, one week of full-time participation/full-time work should be valued at 1.5 credits, regardless of the type of activity. Some examples are described below, along with the maximum total credits for certain types of educational activities.

• Participation in a research track is worth 1.5 credits. The research track consists of: 1) participation in two theme days; 2) special courses of relevance to the track worth at least 5 credits as assessed by the examiner; and 3) that the obligatory presentation at an international conference has taken place at a conference with a special focus on the subject of the research track.

• Participation in simple technology/apparatus courses provided by manufacturers or equivalent with individual or group examination, with a scope equivalent to approximately 20 hours of study, is worth 0.5 credits. Documentation in the form of attendance lists or similar is required.

• Participation in more extensive technology/apparatus courses including theory, and individual or group examination, with a scope equivalent to approximately 40 hours of study, is worth 1.5 credits. Documentation in the form of attendance lists or similar is required.

• Participation in specialist skills courses (SK/ST courses) or other similar professionally valuable courses of relevance to the subject of the doctoral thesis can be reported as a course by the examiner, but are then only to be worth credits in proportion to the actual duration of the course, with a whole day (8 hours) being equivalent to 0.3 credits. However, a maximum of 4.5 credits in total may be awarded for this type of course.

• Participation in literature studies/independent study/journal clubs with individual or group examination, with a scope equivalent to approximately 40 hours of study, is worth 1.5 credits. However, a maximum of 7.5 credits in total may be awarded for this type of course. Documentation in the form of attendance lists or similar is required.

• Own presentation with poster or oral presentation at international, or openly advertised national,

• congress/conference for which submitted contributions are reviewed on peer review principles, is worth 1.5 credits, but with a maximum total of 6 credits for this type of activity. For reporting in the study documentation system, documentation in the form of a conference programme and invitation is required in a form that clearly shows the name, venue, date and organiser of the conference, as well as proving the doctoral student’s participation.

• Simple participation in a conference/congress or workshop with clear course-like elements (scheduled lessons, work or training tasks, examination against description of intended learning outcomes/syllabus) can be reported as a course by the examiner in exceptional cases, but is then only to be worth credits in proportion to the actual duration of the course, with a whole day (8 hours) being equivalent to 0.3 credits.

• Simple participation in a congress/conference is worth 0 credits.

• Participation in other doctoral students’ mid-way reviews, licentiate seminars or doctoral thesis defences can be worth a maximum of 0.25 credits per time, but with a maximum total of 2.5 credits for this type of activity. After each occasion, the doctoral student is to reflect in writing on the performance and contents and attach this documentation as supporting material when reporting the activity in the study documentation system.

• Participation in seminar series: 20 occasions are worth 1 credit, but with a maximum total of 3 credits for this type of activity. Documentation in the form of attendance lists or similar is required.

• Own presentation at department seminar or similar seminar series is worth 0.5 credits per occasion (in addition to the credits that participation in the seminar series is worth), but with a maximum total of 2.5 credits for this type of activity. Documentation in the form of seminar invitations or similar is required.

It is also possible to claim formal credit for an extended secondment or fieldwork abroad. The number of credits granted is decided by an examiner, but a suitable benchmark could be approximately 1 credit per two weeks, and in total no more than 5 credits. To be granted credits, the doctoral student must personally register the stay abroad in the University’s database for student mobility “MoveOn” (http://bit.ly/medfarmmoveon) before travelling.

Such registration in MoveOn is recommended for all stays abroad, regardless of duration.

6.5 Examiner

Disciplinary domain guidelines

Each doctoral student is to have a specially appointed examiner, whose most important task is the independent exercise of public authority by examining specific components of the third-cycle education and ensuring that courses and other credit-bearing components are conducted with assured quality. The examiner can examine components of third-cycle education that are directed by a person who lacks examining powers at Uppsala University.

The examiner is to participate in the annual follow-up of the individual study plan and can also provide support to the doctoral student in discussions surrounding the theoretical part of the programme and examination. The examiner may chair the doctoral defence, but may never sit on the examining board.

An examiner must have at least docent status and hold a position as a teacher at Uppsala University that will continue until all their obligations as examiner have been fully performed. Furthermore, the examiner must be engaged at the department at which the doctoral student is registered, and it is emphasised that the examiner and the supervisor must be independent individuals whose mutual relations do not involve a conflict of interest.

A teacher is a person who is employed at Uppsala University as a professor, visiting professor, adjunct professor, senior lecturer (associate professor), adjunct senior lecturer (adjunct associate professor), associate senior lecturer (assistant professor), postdoctoral research fellow, lecturer, or adjunct lecturer.

All adjunct university teachers are Uppsala University employees and can act as examiner while so employed. If employment as an adjunct university teacher ends, the doctoral student needs to have a new examiner appointed.

Employees at the University who do not hold a teaching post, and others engaged in activities at the disciplinary domain but not employed by Uppsala University cannot be examiners. The employment categories that are most likely to be involved here are researchers and post-retirement professors. These rules are the same as those that apply to examiners in undergraduate education.

6.6 Appeals

7 Half-time seminar

Disciplinary domain guidelines

A half-time seminar is mandatory for doctoral students and is to take place when two years of full-time work or equivalent have been carried out. All compulsory courses (but not a presentation at an international conference) are to have been successfully completed before conducting the half-time seminar. The doctoral student’s principal supervisor is responsible for ensuring that this is done.

A licentiate seminar may be conducted instead of a half-time seminar.

The half-time seminar is to include a written presentation of the project, an oral presentation of the project in the form of a seminar, and a subsequent discussion with an assessment panel.

7.1 Written presentation for half-time seminar

Disciplinary domain guidelines

The written presentation may be a compilation consisting of an introductory chapter together with one or more articles/manuscripts, or a monograph. The presentation is to include a plan for the remaining part of the educational programme.

The introductory chapter should be at least approximately 20 pages long, excluding references.

7.2 Assessment panel for half-time seminar

Disciplinary domain guidelines

The principal supervisor nominates three experts who are not associated with the doctoral student’s project, of whom at least two are to have docent status and at most one is from the home department*, who are to discuss and assess the project and its potential for leading to a doctoral degree, together with the supervisor and doctoral student.

* The ‘home department’ means the department(s) at which the author of the thesis, the principal supervisor or any assistant supervisor works.

7.3 Time plan for half-time seminar

Disciplinary domain guidelines

The date of the half-time seminar is determined by the department. The written presentation is to be submitted to the assessment panel at least two weeks before the seminar in order to give the experts the opportunity to prepare the review.

The written presentation need not be printed; it can be distributed in the form of a (locked) PDF file, but it must be registered at the department and the registration number must be given on the first page.

7.4 Minutes of completed half-time seminar

Disciplinary domain guidelines

Minutes are to be drawn up of the completed half-time seminar and sent to KUF. All members of the assessment panel are to sign the minutes. The half-time seminar does not involve any examination.

8 Requirements for the Degrees of Licentiate, and Doctor

8.1 Requirements for Degree of Licentiate

System of Qualifications SFS 2006:1053, Annex 2

A Degree of Licentiate is awarded either after a third-cycle student has completed a study programme of at least 120 credits in a subject in which third-cycle teaching is offered, or after a third-cycle student has completed one part comprising at least 120 credits of a study programme intended to conclude with the award of a PhD, if a higher education institution decides that a Degree of Licentiate of this kind may be awarded at the institution.

Outcomes

Knowledge and understanding

For a Degree of Licentiate, the third-cycle student shall demonstrate knowledge and understanding in the field of research including current specialist knowledge in a limited area of this field as well as specialised knowledge of research methodology in general and the methods of the specific field of research in particular.

Competence and skills

For a Degree of Licentiate, the third-cycle student shall

• demonstrate the ability to identify and formulate issues with scholarly precision critically, autonomously and creatively, and to plan and use appropriate methods to undertake a limited piece of research and other qualified tasks within predetermined time frames in order to contribute to the formation of knowledge as well as to evaluate this work,

• demonstrate the ability in both national and international contexts to present and discuss research and research findings in speech and writing and in dialogue with the academic community and society in general, and

• demonstrate the skills required to participate autonomously in research and development work and to work autonomously in some other qualified capacity.

Judgement and approach

For a Degree of Licentiate, the third-cycle student shall

• demonstrate the ability to make assessments of ethical aspects of his or her own research,

• demonstrate insight into the possibilities and limitations of research, its role in society and the responsibility of the individual for how it is used, and

• demonstrate the ability to identify the personal need for further knowledge and take responsibility for his or her ongoing learning.

Thesis

For a Degree of Licentiate, the third-cycle student shall have been awarded a pass grade for a research thesis of at least 60 credits.

Miscellaneous

Specific requirements determined by each higher education institution itself within the parameters of the requirements laid down in this qualification descriptor shall also apply for a Degree of Licentiate with a defined specialisation.

8.2 Requirements for Degree of Doctor

System of Qualifications SFS 2006:1053, Annex 2

A Degree of Doctor is awarded after the third-cycle student has completed a study programme of 240 credits in a subject in which third-cycle teaching is offered.

Outcomes

Knowledge and understanding

For the Degree of Doctor, the third-cycle student shall

• demonstrate broad knowledge and systematic understanding of the research field as well as advanced and up-to-date specialised knowledge in a limited area of this field, and

• demonstrate familiarity with research methodology in general and the methods of the specific field of research in particular.

Competence and skills

For the Degree of Doctor, the third-cycle student shall

• demonstrate the capacity for scholarly analysis and synthesis as well as to review and assess new and complex phenomena, issues and situations autonomously and critically

• demonstrate the ability to identify and formulate issues with scholarly precision critically, autonomously and creatively, and to plan and use appropriate methods to undertake research and other qualified tasks within predetermined time frames and to review and evaluate such work

• demonstrate through a dissertation the ability to make a significant contribution to the formation of knowledge through his or her own research

• demonstrate the ability in both national and international contexts to present and discuss research and research findings authoritatively in speech and writing and in dialogue with the academic community and society in general

• demonstrate the ability to identify the need for further knowledge and

• demonstrate the capacity to contribute to social development and support the learning of others both through research and education and in some other qualified professional capacity.

Judgement and approach

For the Degree of Doctor, the third-cycle student shall

• demonstrate intellectual autonomy and disciplinary rectitude as well as the ability to make assessments of research ethics, and

• demonstrate specialised insight into the possibilities and limitations of research, its role in society and the responsibility of the individual for how it is used.

Research thesis (doctoral thesis)

For the Degree of Doctor, the third-cycle student shall have been awarded a pass grade for a research thesis (doctoral thesis) of at least 120 credits.

Miscellaneous

Specific requirements determined by each higher education institution itself within the parameters of the requirements laid down in this qualification descriptor shall also apply for a Degree of Doctor with a defined specialisation.

8.3 Requirements for Degree of Licentiate and Degree of Doctor at the Disciplinary Domain of Medicine and Pharmacy

Disciplinary domain guidelines

The scope of courses and theory components must correspond to at least 30 credits for a doctoral degree and at least 15 credits for a licentiate degree. For both types of degree, all compulsory third-cycle courses and components need to be completed and passed. With respect to doctoral degrees, additional compulsory components also need to be completed (see below).

Compulsory courses

All compulsory courses are given in English, with the exception of certain modules in animal experiment courses, which are also given in Swedish.

1. Introduction to Doctoral Studies, 1.5 credits

All doctoral students are automatically registered for this course in connection with admission to third-cycle education, and it should be the first of the compulsory courses to be taken. The course is online.

2a. Introduction to Scientific Research, 10 credits

This integrated course enables a cohesive teaching and learning approach, so that participants can deepen their joint learning. The course is equivalent in contents and scope to the separate courses 2b I, II and III.

2b I. Research Ethics and Philosophy of Science, 3 credits

2b II. Communication in Science and Education, 3.5 credits

2b III. Introduction to Biostatistics, 3.5 credits

The scope and content of the individual courses were previously revised on 1 January 2021, and this new scope and content of course 2b II applies from 1 July 2023 onwards.

If a doctoral student has completed the course “Academic Teacher Training Course, 7.5 credits” this can replace course 2b II “Communication in Science and Education, 3.5 credits”.

If demanded by the project, the following courses are also compulsory:

• Radiation Science, 1.5 credits

• Animal Laboratory Science, equivalent to “function A” in Swedish legislation.

This means that those doctoral students who only receive data/material from animal experiments must have taken the 1 credit course “Swedish legislation and ethics, animal welfare and 3R” and the theory part for each type of laboratory animal concerned. This is worth an additional 1 credit per type of laboratory animal. These courses are online.

Doctoral students who personally carry out animal experiments under supervision must also take the corresponding practical treatment modules, which are worth an additional 1 credit per type of laboratory animal.

If a doctoral student will be conducting animal experiments independently without supervision during their conduct, the Animal Welfare Act (2018:1192) and Chapter 6, Section 5 of the “Regulations and General Advice on Laboratory Animals” (L150 SJVFS 2019:9) direct that “real expertise” must have been demonstrated and formally assessed by a person with the necessary qualifications (but not the doctoral student’s supervisor).

This is worth an additional 0.5 credits per type of laboratory animal.

Doctoral students who have older certification according to FELASA C must supplement this with the online module on “legislation & ethics”.

All reporting to Ladok of components of laboratory animal courses is administered by the Department of Medical Cell Biology and must be done before work involving laboratory animals or similar data/material begins.

Doctoral students who have taken courses as part of another degree that satisfies the entry requirements for admission to third-cycle education cannot be given credit for these courses within their third-cycle education. Instead, they are to apply to the director of studies for courses on KUF for formal exemption for these course components.

Compulsory components apart from formal courses

• At least one presentation (lecture or poster) at an international conference

• A half-time seminar or licentiate seminar is mandatory for a doctoral degree

Compulsory components for research tracks

Taking a research track is not compulsory, but if the doctoral student wishes to have a research track registered and stated on the degree certificate, the following components must be completed:

• Participation in at least two of the theme days for the research track

• Courses worth at least 5 credits of relevance to the research track chosen, as noted in the Disciplinary Domain’s catalogue of third-cycle education courses or in consultation with the examiner and track coordinator

• The international conference (see above) must be relevant to the research track

If the above requirements are fulfilled, this is worth 1.5 credits, which are reported in relation to the research track based on a form that is available on the Staff Gateway. If desired, the name of the research track will be added to the ’diploma supplements’.

9 Dissertation

11. UU Guidelines – Doctoral defence and licentiate seminar

Rules on the defence of a doctoral thesis are provided in the Higher Education Ordinance, Chapter 6, Sections 33–35, supplemented by section 5 of Uppsala University’s Admission and Grading Regulations for Doctoral Studies.

The Vice-Chancellor has decided to delegate the right to decide on the time and venue for a doctoral defence to the chair of a disciplinary domain/faculty board or an equivalent body with responsibility for doctoral studies. This decision must be announced at least three weeks before a doctoral defence. Doctoral defences and licentiate seminars may take place during the semester and during the summer recess, with the exception of the period 15 June to 15 August.

The disciplinary domain/faculty board or equivalent body with responsibility for doctoral studies decides who appoints the examining committee, external reviewer (opponent) and chair of a doctoral defence.

9.1 Booking a time for a dissertation

Disciplinary domain guidelines

A slot to defend a doctoral thesis is to be booked in the dissertation calendar. The dates on which defences are allowed are decided ahead of each academic year. Possible dates are shown in the defence calendar. It should be noted that KUF does not hold any ordinary meetings in the month of July.

9.2 Notification of intent to defend a thesis

Disciplinary domain guidelines

An online form available under the third-cycle education pages in the Staff Gateway is to be used for notification of intent to defend a doctoral thesis. The form must be completed correctly for KUF to process the application, and the application must be approved by the principal supervisor and the person responsible for third-cycle education at the department.

The notification of intent to defend a thesis is to include:

• The title of the thesis

• Date and time of defence

• Proposed external reviewer (opponent)

• Proposed examining committee

• Proposed chair of the defence ceremony

• Names of all supervisors

• Name of examiner

Appendices to application:

• The author’s brief summary of the thesis with a list of included papers

• The supervisor’s statement concerning the novelty of the thesis and the doctoral student’s contribution, progression and independence, and whether the intended outcomes of the third-cycle education have been achieved

• Report card for internal distribution of funds at the disciplinary domain, signed by all supervisors and heads of department concerned

• Register extract from Ladok, with third-cycle education courses clearly marked

• The papers included in the thesis

At the time of application, the papers are to be published articles or manuscripts. Manuscripts are to be in such condition that they are ready to be sent to a journal, with finalised tables and figures and any supplementary information.

9.3 Consultation in connection with notification to defend a thesis

Disciplinary domain guidelines

Before a notification of intent to defend a thesis can be completed, a consultation is to be held with a member of KUF* about choice of members, potential conflicts of interest, and other matters. A document (‘checklist’) for use in conducting the consultation is available in the Staff Gateway. The following points should be raised during this consultation:

• Choice of external reviewer (opponent)

• Composition of the examining board

• Potential conflicts of interest

• Papers included in the thesis, the publication status of each paper and whether each paper has been included or will be included in another doctoral student’s thesis

* Consultation cannot be held with KUF’s chair or student representatives.

9.4 Time plan for notification to defend a thesis

Disciplinary domain guidelines

The notification to defend a thesis is to be sent to KUF 12 days before the meeting of that committee that is scheduled at least 12 weeks before the date of the defence. Note that the application must pass the supervisor and in certain cases the department’s doctoral education group, as well as the person responsible for third-cycle education at the department, before it reaches KUF.

The last date for sending documents KUF before each meeting is indicated in the list of meeting dates in the Disciplinary Domain’s calendar ‘årshjulet’ (media.medfarm.uu.se/arshjul) under ‘områdesgemensamma nämnder och kommittéer’ (domain-wide boards and committees).

9.5 Contents of the doctoral thesis

Disciplinary domain guidelines

The doctoral thesis may be a compilation thesis consisting of an introductory chapter (‘kappan’) together with one or more articles/manuscripts, or a monograph. The quality and scope of the thesis must be in line with the expected outcome of four years of full-time study.

The following guidelines apply to the papers included:

• If the author of the thesis is the first author of fewer than half of the papers included in the thesis, this must be accompanied by an explanatory statement in the supervisor’s report on the doctoral student’s work, when the application to defend the thesis is made.

• There is no rule regarding the number of papers in a thesis. In total, the author’s contribution, calculated across the papers included, is to be equivalent to an effective period of four years of study.

• Each individual paper may be included in a maximum of two theses at Uppsala University. If special reasons exist, an exemption may be granted. An explanation for the exemption must then be attached in the supervisor’s report on the doctoral students work, when the application to defend the thesis is made.

• Each paper included must be published or deemed publishable in an international journal of good quality following peer review. Watch out for ‘predatory journals’. No papers published in journals on ‘Cabell’s list’ (www.cabells.com) may be included in a thesis from the Disciplinary Domain of Medicine and Pharmacy – but note that the date of the journal’s inclusion on the list is indicated and is decisive if an article has been published in a journal before it was added to the list.

• In addition, of course, the supervisor must not have participated in the journal’s editorial assessments or peer review.

Examples of types of papers that can be included in a thesis are:

• Original article, even if classified in the journal as a “Letter”

• Protocol article

• Multi-centre study

• Systematic review if conducted in accordance with established practice

• Meta-analysis, if it meets the above basic requirements of quality and publishability

Examples of types of papers that normally cannot be included in a thesis are:

• Normal review article

• Letter to the Editor (normally not) *

• Editorial

• Chapter of a book

* If a “Letter to the Editor” 1.) contains original data, 2.) is not seriously limited in form or scope by being submitted as a “letter”, and 3.) has undergone peer review, it can be included as part of a thesis. It must then be made clear in the application to defend the thesis that the above conditions are fulfilled.

Paper published before the date of admission (in the case of admission before 1 January 2024; in the case of later admission, see 1.4)

One paper published before admission as a doctoral student can be included in the thesis after special explanation, specifying the following necessary conditions:

• The subject must fit in well with the thesis as a whole.

• The article must have been published no more than one year (12 months) before the date of admission.

• Employment position when working on the article.

• The doctoral student’s contribution.

• The total four-year duration of studies is not affected.

Changes in manuscripts and thesis between pre-review and defence

• Changes may be made in the manuscript up until limits set by instructions from Thesis Production.

• If the revised manuscript constitutes a substantial part of the thesis and the changes in the manuscript are so extensive that they substantially affect the manuscript, the matter must be reprocessed by KUF.

• If a paper is removed or added, the matter must be processed KUF.

9.6 Publication and availability of a doctoral thesis

9. UU Guidelines

Doctoral theses should be published with open access in the University’s publishing platform. To enable satisfactory review of the thesis, it should be published at least three weeks before the public defence of the thesis and 10* printed copies should also be deposited with the University Library at this time. In the case of compilation theses, the introductory chapter should be published openly in electronic form. The individual papers should also be published openly in electronic form when possible. The period from 15 June up to and including 15 August may not be counted as part of the period of availability. Shorter periods of availability for a doctoral thesis may be granted by the dean or a supradepartmental body, but only in exceptional circumstances.

The thesis must be published, printed and distributed so as to adhere to the effective period of study. The publication delay that may arise where patents are involved must not result in it being impossible to adhere to the normal effective period of study.

* Changed to 5 copies (see below)

Extract from the University Library’s thesis production page

‘Posting’ (‘spikning’) means that the doctoral student publishes a summary of the thesis (abstract), together with information about the public defence of the thesis. Posting is required in order to defend the thesis. ‘Electronic posting’ means that the posting information, i.e., the abstract and the time and venue of the public defence of the thesis, is published on the University’s website.

Electronic posting, which is now the mandatory form of posting, occurs in two steps.

1. Posting information is registered in DiVA and subsequently published.
2. Five (5) printed copies of the thesis are to be delivered to staff at the information desk at the main branch of Uppsala University Library, Carolina Rediviva, and a posting receipt will then be received by email as confirmation of posting.

Points to bear in mind when registering in DiVA: Registrera, publicera och administrera i DiVA (uu.se).

Information about the digital version of the notification of submission and summarising introduction should be disseminated in Sweden and abroad.

Disciplinary domain guidelines

Doctoral theses at the Disciplinary Domain of Medicine and Pharmacy must be published with open access in the University’s publishing platform.

All theses are to be finalised in the University’s dissertation template, which is available online from Uppsala University Library’s Thesis Production unit.

The complete compilation thesis (summarising introduction plus papers) is to be printed in a sufficient number of copies for distribution to the examining committee, the external reviewer (opponent), faculty and Swedish and foreign departments in accordance with the department’s mailing list. The department is responsible for drawing up any mailing lists for printed theses.

The size of any sales edition to be printed in Acta Universitatis Upsaliensis is determined separately by the editorial staff in the individual case.

9.7 External reviewer (opponent)

Disciplinary domain guidelines

The external reviewer (opponent) must not be connected in any way with the thesis project (see section 5.3) and must be a highly scientifically qualified person, from another higher education institution, with requisite knowledge of the author’s field of research. ‘Another higher education institution’ means a higher education institution where neither the doctoral student nor any of the supervisors has an appointment or affiliation. The external reviewer (opponent) receives a fee of SEK 15,000. Payment of the fee is arranged by the department.

9.8 Examining committee for dissertation

UU Admission Regulations, Section 5

The grade awarded to a doctoral thesis is decided by an examining committee specially appointed for each individual thesis. The examining committee must consist of three or five members, most of whom must be taken from outside the department to which the doctoral student belongs. In cases where the committee consists of three members, a reserve should be appointed. The members of the examining committee should normally represent different legal genders. The examining committee is in quorum when all members are present. A person who has been a supervisor of the doctoral student may not be on the committee. The committee must appoint one of its members as chair. The external reviewer (opponent) and the supervisors have the right to participate in the meeting of the examining committee but must not be present for decisions.

Disciplinary domain guidelines

No member of the examining committee is permitted to have any connection to the thesis project (see section 5.3) and all must have academic qualifications equivalent to docent status. The ordinary members of the examining committee should normally represent different legal genders. A short justification must be provided in the thesis defence application for each proposed member of the examining committee.

If the examining committee comprises three members, a maximum of one may come from the student’s home department (‘home department’ refers to the department(s) at which the author of the thesis or any supervisor works) and there must be at least one external member from another higher education institution or organisation outside Uppsala University. ‘Another higher education institution’ means a higher education institution where neither the doctoral student nor any of the supervisors has an appointment or affiliation.

If the examining committee comprises five members, a maximum of two may come from the student’s home department and there must be at least one from another higher education institution or organisation outside Uppsala University. Where there are five members, one member is permitted who does not fulfil the requirement of docent status, but the unique expertise they are bringing to the examining committee must then be specially explained.

The online form allows notification to be given of an extra member, who is then scrutinised by KUF and, if necessary, can step in as a substitute at the defence. KUF recommends always appointing an extra member. Note that the regulations concerning representation from another higher education institution apply.

9.9 Chair of the dissertation procedure

Disciplinary domain guidelines

The dissertation procedure is led by a chair (not to be confused with the chair of the examining committee). The chair can be one of the members of the examining committee but could also be a person appointed solely for the purpose of serving as chair of the dissertation procedure, in which case they should be a highly academically qualified person. In the latter case, the chair may not participate in the examining committee’s discussions or decisions. The examiner can chair the defence, but supervisors or other individuals with a direct connection to the author’s thesis are not permitted to serve as chair (see section 5.3). The chair must be an employee, adjunct employee, emeritus, or otherwise formally affiliated with Uppsala University.

9.10 Guidelines for the opponent and examining committee for assessing the doctoral thesis

Disciplinary domain guidelines

The thesis may be the result of teamwork, but the personal, independent contribution of the doctoral student must be clearly distinguishable. The thesis may be a monograph or consist of several papers. Each included paper must be published or deemed publishable in a peer-reviewed journal. The external reviewer (opponent) and examining committee are to set forth the material failings and merits of the thesis at the defence. The following questions should be posed:

1. Choice of subject and problems addressed

• • Is the subject chosen original? Why has it not been previously addressed (e.g., a new idea, necessary conditions were lacking in the past, the author of the thesis had access to unique material or an original technique, etc.)?

• • If the subject has been addressed earlier, why did the author take it up again? Is there reason to suppose that previous results no longer hold because of developments in the area; do new methods allow a deeper analysis of the issues?

1. Literature

• • Is the selection of references adequate and do the works referred to give a correct picture of the state of research in the field?
  • Does the thesis contain a critical analysis of the referenced works?

1. Material

• • Is the material studied appropriately chosen and sufficient in scope?

1. Investigative and processing methods

• • Are the methods conventional, original, diverse, thoroughly checked for possible sources of error, and well suited to the issue addressed?

1. Findings and conclusions

• • Are the results obtained of scientific interest and do they have any novelty?

• • Are the author’s conclusions logical and neither excessive nor inadequate given the findings and material?

• • Does the author demonstrate academic stringency in the summarising discussion?

1. Formal presentation

• • Is the thesis well organised?

• • Is the linguistic expression appropriate and of acceptable quality?

• • Are the experiments, analyses and results clearly and comprehensibly presented?

• • Are the tables and figures well organised and explained?

1. General summary

• • Does the author’s contribution meet reasonable expectations of a 4-year third-cycle education in terms of scope and quality?

• • If teamwork is involved, is it possible to distinguish the author’s own contribution?

• • What criticisms can be made of the thesis?

• • What are the principal merits of the thesis (originality, scientific imagination, innovative methodology, novel findings, etc.)?

9.11 Pre-review

Disciplinary domain guidelines

All theses must undergo a pre-review, performed by the examining committee. The purpose of the pre-review is to ensure that the papers included in the thesis are of sufficiently high academic quality and that the work performed corresponds to the expected period of study. KUF appoints one of the members of the examining committee as coordinator for the pre-review. A supervisor can propose a coordinator. The coordinator must not work at the same department as the author or any of the supervisors.

When KUF has taken a decision on the pre-review, the application to defend the doctoral thesis is sent out to the examining committee together with the minutes template “Minutes of the examining committee’s pre-review” and instructions.

The coordinator summarises the result of the examining committee’s pre-review and signs (preferably electronically) in confirmation, after which the minutes are sent to KUF. The examining committee has 10 working days to complete its pre-review. Note that the supervisor has the ultimate responsibility for ensuring that the pre-review is submitted in time for a decision, but KUF can assist in communications if requested.

When KUF has received the minutes of the pre-review, the application to defend the thesis can be taken up again for a possible decision to approve printing and formal publication (‘posting’ or ‘spikning’). This decision normally takes the form of a decision by the chair or, if the examining committee recommends against approving defence of the thesis, the decision is taken after discussion at the next meeting of the committee.

If the decision is not to approve defence of the thesis, a new date for defence cannot be set less than 3 months from the date initially specified.

9.12 Dissertation procedure

Disciplinary domain guidelines

The dissertation procedure is to be conducted in premises belonging to Uppsala University. KUF can permit the defence to be held at a location other than Uppsala, for example, at a clinical research centre affiliated with Uppsala University.

The author of the thesis and the chair at the procedure must always be present at the venue stated in the notification of submission of the thesis, and the external reviewer (opponent) and examining committee normally also participate in person. However, if there are special reasons for doing so, the external reviewer (opponent) or members of the examining committee may be permitted to participate remotely via video link. In that case, this must be announced in the application to defend the thesis, or as soon as possible thereafter by sending a request by email to KUF for a decision. A video link for public participation is something KUF recommends for all dissertation procedures.

A thesis defence must conclude on the same date that it begins, but must not be subject to any other time limits, for example by the external reviewer (opponent) or a member of the examining committee stating a time at which they intend to leave.

The description of the dissertation procedure is based on an example given on the website of the Swedish Council for Higher Education.

• The dissertation procedure is led by a chair.

• The chair opens the dissertation procedure, lays out the order of proceedings and presents the author, the title of the thesis, the external reviewer (opponent) and the members of the examining committee.

• The author has an opportunity to give an account of corrections and rectifications in the thesis.

• The external reviewer (opponent) and/or author gives an overview of the research area, a summary of the contents of the thesis and its novelty.

• The external reviewer (opponent) provides a review of the thesis with discussions and questions of various types to the author, who defends the thesis by answering these questions.

• The examining committee poses additional questions to the author.

• The audience is invited to pose questions to the author.

• The chair concludes the public part of the dissertation procedure.

• The examining committee meets.

9.13 Measures in the event of absence

Disciplinary domain guidelines

Where the external reviewer (opponent) or an examining committee member gives advance notice of their inability to attend before the dissertation procedure.

• A written request proposing a new external reviewer (opponent) or member is to be sent to KUF. Following consultation, if necessary, the chair takes a decision as soon as possible.

• If there is not time for the chair to take a formal decision before the defence, the chair or vice-chair is to be contacted for an oral decision. If the chair or vice-chair cannot be reached, one of the other ordinary members of KUF is to be contacted, and an administrative officer informed.

In the event of absence on the day of the defence

1. The chair first checks whether the absentee has merely been delayed. If this is the case and the delayed individual can attend, the defence can be postponed for an hour or so. A morning defence can be postponed until the afternoon after checking that the slot is free. Contact the KUF chair, vice-chair or administrative officer.

1. If the absent examining committee member cannot attend the defence, the chair of the defence ceremony checks whether a replacement is available at the defence. If an extra examining committee member has been specified in the author’s defence application, that person is to be asked first. The rules governing the composition of the examining committee must be respected. Contact is made as indicated in point 1 above.

1. If the external reviewer (opponent) is absent, the chair of the defence ceremony checks whether an examining committee member can take over the role of the external reviewer (opponent). A replacement on the examining committee must then be appointed as set out in point 2 above and in line with the rules governing the composition of the examining committee. Contact is made as specified in point 1 above.

1. If a chair who is not a member of the examining committee is absent, one of the members of the examining committee should be asked to adopt the additional role of chair.

1. If the defence has to be postponed, a new slot should be booked in the defence calendar and referred to KUF for a formal decision.

9.14 Examining committee’s discussion and minutes

UU Admission Regulations, Section 5

The examining committee is in quorum when all members are present.

The committee must appoint one of its members as chair. The external reviewer (opponent) and the supervisors have the right to participate in the meeting of the examining committee but must not be present for decisions.

Disciplinary domain guidelines

The examining committee’s meeting:

• The supervisor gives an account of the doctoral student’s work in the presence of the examining committee and external reviewer (opponent), after which the supervisor leaves the room.

• Discussions take place in the presence of the examining committee and external reviewer (opponent); the external reviewer (opponent) leaves the room.

• Further discussion and decision with only the examining committee present.

The chair of the defence ceremony, if not a member of the examining committee, and the author’s examiner are not allowed to be present at or participate in the examining committee’s discussions or its decision.

Minutes are drawn up at the examining committee’s decision following the template and are sent to the Office for Medicine and Pharmacy, electronically in scanned form with signatures, and in the original.

10 Licentiate seminar

In many respects, the regulations for a doctoral defence and a licentiate seminar are the same. This section presents the major differences.

11. UU Guidelines

The Vice-Chancellor has decided to delegate the right to decide on the time and venue for a doctoral defence to the chair of a disciplinary domain/faculty board or an equivalent body with responsibility for doctoral studies. This decision must be announced at least three weeks before a doctoral defence. Doctoral defences and licentiate seminars may take place during the semester and during the summer recess, with the exception of the period 15 June to 15 August.

Disciplinary domain guidelines

At the time of a licentiate seminar, all compulsory courses and components must have been passed and the total course credits amount to at least 15 credits.

The examination consists of a seminar given by the doctoral student and a public discussion led by the chair of the examining committee. A grade of pass or fail is given following discussions within the examining committee. Supervisors may participate in the discussions but may not be present when the decision is taken.

10.1 Notification of intent to pursue licentiate seminar

Disciplinary domain guidelines

A notification to pursue a licentiate seminar is made using an online form on the third-cycle education pages in the Staff Gateway. The form must be completed correctly for KUF to process the application, and the application must be approved by the principal supervisor and the person responsible for doctoral-level education at the department.

A doctoral student who has been admitted to a programme that ends in a licentiate degree and who wishes to continue their studies for a doctoral degree must attach a research plan (maximum 3 pages) for the remaining time to their application for a licentiate seminar.

The licentiate application is to include:

• The title of the licentiate thesis

• Planned date of the seminar

• Proposed examining committee, preferably including an extra member

• Proposed chair of the seminar

• Names of all supervisors

• Name of examiner

Appendices to application:

• Brief summary of the licentiate thesis by the author, with a list of included papers

• The supervisor’s statement concerning the novelty of the thesis and the doctoral student’s contribution, progression and independence, and whether the intended outcomes of a two-year third-cycle education have been achieved

• Report card for internal distribution of quality assurance funding

• Register extract from Ladok, in which third-cycle education courses are clearly marked

• The papers included in the licentiate thesis

Before a notification to pursue a seminar for a Degree of Licentiate can be sent in, a consultation must be held with a member of KUF. The following points should be raised during this consultation:

• Composition of the examining committee

• Potential conflicts of interest

• Papers included in the thesis, the publication status of each paper and whether each paper has been included or will be included in another doctoral student’s thesis

A detailed checklist for the consultation is available under the Third-cycle education pages in the Staff Gateway.

10.2 Time plan for licentiate seminar

Disciplinary domain guidelines

The application for a licentiate seminar must be sent to KUF to enable it to be processed at a meeting at least 6 weeks before the planned date of the seminar. A slot for a licentiate seminar does not need to be booked in the defence calendar.

10.3 Contents of the licentiate thesis

Disciplinary domain guidelines

The licentiate thesis may be a compilation thesis consisting of an introductory chapter (approximately 30 pages) and one or more articles/manuscripts, or a monograph.

The guidelines for the contents of a licentiate thesis differ only in details from those for a doctoral thesis, as described in section 9.5. The most important difference is that a licentiate thesis is to correspond to two years of effective study.

In addition, attention must be paid to the differences in requirements described in the System of Qualifications (SFS 2006:1053), Annex 2, dealt with in section 8.1.

10.4 Publication and availability of licentiate thesis

9. UU Guidelines

Doctoral theses should be published with open access in the University’s publishing platform. To enable satisfactory review of the thesis, it should be published at least three weeks before the public defence of the thesis and 10 printed copies should also be deposited with the University Library at this time*. In the case of compilation theses, the introductory chapter should be published openly in electronic form. The individual papers should also be published openly in electronic form when possible.

The period from 15 June up to and including 15 August may not be counted as part of the period of availability. Shorter periods of availability for a doctoral thesis may be granted by the dean or a supradepartmental body, but only in exceptional circumstances.

A period of availability equivalent to that for a doctoral thesis applies for a licentiate thesis before the licentiate seminar. When a student has been admitted with a licentiate degree as the final objective, the licentiate thesis should be published with open access in the University’s publishing platform.

The thesis must be published, printed and distributed so as to adhere to the effective period of study. The publication delay that may arise where patents are involved must not result in it being impossible to adhere to the normal effective period of study.

* For a licentiate thesis at the Disciplinary Domain of Medicine and Pharmacy, see below.

Disciplinary domain guidelines

In certain cases, licentiate theses at the Disciplinary Domain of Medicine and Pharmacy must be published with open access on the University’s publishing platform (see point 2 below).

• If the student has not been admitted with a licentiate degree as the final objective, the licentiate thesis need not be printed; instead, if the department permits, it can be distributed in the form of a (locked) PDF file. In that case, the thesis does not need to be registered or published in digital form in DiVA, but it must be registered at the department and the registration number must be given on the first page.

• When a student has been admitted with a degree of licentiate as the final objective, or the doctoral student chooses to conclude their doctoral studies with a licentiate degree, the licentiate thesis must be printed as well as being registered and published in digital format in DiVA. Registration is compulsory and includes, among other things, an abstract of the thesis and the time and venue for the seminar. This information must be published on the University’s website at least three weeks before the seminar. This applies even if the licentiate student intends to apply for admission to the later stage to obtain a doctoral degree.

• Registration and publication of the licentiate thesis on the University’s publishing platform DiVA (choose ‘licentiate seminar’, not ‘doctoral thesis defence’) corresponds to the traditional posting (spikning), but the licentiate student does not need to deliver any printed copies of the thesis to the library. DiVA entries for licentiate theses are reviewed and published by library staff. The licentiate student will receive an email confirmation, provided that an email address is indicated in connection with registration in DiVA.

Points to bear in mind when registering in DiVA: Registrera, publicera och administrera i DiVA (uu.se).

10.5 Examining committee for licentiate seminar

Disciplinary domain guidelines

The examining committee for the licentiate seminar is to consist of three members, at least two of whom are to have docent status or equivalent qualifications. To confirm this, their CVs are to be attached to the application for a licentiate degree. A maximum of one member may come from the home department (the department(s) at which the doctoral student or any of the supervisors works).

As in the examining committee for a doctoral thesis defence, the members should normally represent different legal genders.

At a licentiate seminar, there is no specially appointed external reviewer (opponent), and a member of the examining committee must therefore be appointed as chair and then has principal responsibility for leading the ceremony and ensuring that the entire scope of the licentiate thesis is discussed, as well as the work behind it. The chair of the ceremony also chairs the subsequent meeting of the examining committee. The chair must be an employee, adjunct employee, emeritus, or otherwise formally affiliated with Uppsala University. The chair is proposed by the supervisor and the person with responsibility for third-cycle education at the department in connection with the notification of intent to hold a licentiate seminar, and is appointed by KUF.

10.6 Guidelines for the examining committee for assessing the licentiate thesis

Disciplinary domain guidelines

The work of an examining committee at a licentiate seminar differs only in details from the situation at a doctoral thesis defence, as described in section 9.10.

The most important differences are firstly, that there is no external reviewer (opponent) who can be consulted by the examining committee in the subsequent discussion, and secondly, that the author’s work is to be assessed with reference to the expectations of a two-year licentiate education, together with what is otherwise noted concerning requirements for a licentiate degree in section 8.1.

As in the case of a doctoral thesis defence, minutes drawn up at the examining committee’s decision following the template are to be sent to the Office for Medicine and Pharmacy, electronically in scanned form with signatures, and in the original.

11 Distribution of activity credits (‘Rapportkort’)

Disciplinary domain guidelines

The instructions below concern the distribution of activity credits when a degree is taken and the resolution of any disputes that may arise in connection with the distribution of credits. The distribution of activity credits only applies to departments in the Disciplinary Domain of Medicine and Pharmacy, Uppsala University.

The same distribution principle applies to doctoral thesis defences and licentiate seminars.

The distribution of credits is to reflect the department’s third-cycle education contributions (see below). Credits may only be awarded for the period in which the doctoral student was admitted for third-cycle education and credits are determined in relation to the total duration of the third-cycle education. For full credits to be awarded, the doctoral student must have been registered at the department for at least 36 months. Activity credits are not awarded for doctoral students registered for a period of less than 18 months. The following also applies:

1. If the third-cycle education has been undertaken entirely at one department within the Disciplinary Domain of Medicine and Pharmacy at which the doctoral student is registered:

• • The department in question receives 100% of the credits.

1. If the third-cycle education has been undertaken at more than one of the departments in the scientific domain:

• • The activity credits are to be distributed between the relevant departments. The distribution of credits is to reflect commitment, supervision, social responsibility, research activity, etc. and not merely represent compensation for actual operational costs, lab assistance, etc.

• • Normally the department at which the doctoral student has been registered receives at least 50% of the credits.

• • In connection with the defence application, the principal supervisor draws up a proposal for percentage distributions and presents it to all departments that have shared in the supervision of the thesis project in question. The relevant heads of department approve the distribution by signing the report card.

• • In the case of any dispute about the distribution of activity credits, the chair of KUF decides in consultation with the directors of studies for pharmaceutical, preclinical, and clinical doctoral students, respectively, on KUF.

1. If the third-cycle education has been undertaken entirely or in part at a department/equivalent outside Uppsala University’s Disciplinary Domain of Medicine and Pharmacy, despite the doctoral student having been registered at one of the faculties’ departments:

• • For credits to be awarded at all, the doctoral student must have been engaged for at least a year at the department laying claim to activity credits, and must have pursued active research during that time.

• • One year of third-cycle education at the department concerned results in 25 per cent, two years 50 per cent and three years 75 per cent of the credits.

• • For external doctoral students (for example, doctoral students employed in industry), at least 15 per cent of credits are to be awarded to the department at which the doctoral student was registered.

• • For doctoral students in the disciplinary domain’s formally recognised ‘Dual PhD Degree programmes’ or in ‘sandwich programmes’ funded by central government bodies, full compensation is awarded.

12 Funding for studies

The Higher Education Ordinance states as follows:

6. UU Guidelines

Funding for studies is regulated in the Higher Education Ordinance and in section 4 of Uppsala University’s Admission and Grading Regulations.

A disciplinary domain/faculty board that has been assigned overall responsibility for doctoral studies in an area has overall responsibility for the doctoral student for the entire period of their education as regards guaranteeing funding, supervision and other resources for their entire effective period of study. Any delegation of this responsibility to another body must be explicit and must not be made to a lower level than department level. Additional local regulations are provided in UU’s Admission Regulations, Section 3.

A doctoral student will normally be employed at Uppsala University. At a minimum, the pay level must be in line with the salary scale for doctoral students at Uppsala University.

12.1 Other funding for studies

6.a. UU Guidelines

This section concerns other funding in general, such as doctoral students with scholarship funding, doctoral students employed in industry, doctoral students employed by the regional health authority, and doctoral students employed at another higher education institution. Section 6b takes up additional details relating to scholarship-based funding for studies. The admission of doctoral students with other funding presupposes careful assessment that the funding for studies can be ensured for the entire effective period of study. The right to decide on the admission of a doctoral student with funding other than employment as a doctoral student (a doctoral studentship) at Uppsala University may not be delegated to a lower level than to a joint body for a faculty/disciplinary domain that has responsibility for doctoral studies.

The obligation to provide funding for the doctoral student and the obligation to make other resources for the completion of the programme available during the period of studies must be regulated in an agreement or some other document drawn up between the provider of the funding and the department at which the doctoral student will be registered. The agreement must be binding on the funding provider. The agreement should also contain guarantees that the studies will be shielded from any changes of priorities on the part of the funding provider and that time to carry out doctoral studies can be set aside in the day-to-day activities. Decisions on agreements with countries that conduct activities that pose a security threat1 can be particularly sensitive. Rules on who has authority to decide in these cases are provided in the “Order of Delegation for Uppsala University”.

Pay level for doctoral students with other funding

The pay level for doctoral students engaged at Uppsala University must be at least in line with the salary scale for doctoral students. The disciplinary domain/faculty board or, in the event of delegation, the department is responsible for topping up pay to the specified level if necessary.

The funding level for doctoral students engaged at another Swedish higher education institution or a foreign higher education institution/company must be in line with the level at the place concerned. The level of funding must be clear at admission. The Human Resources Division is responsible for instructions in areas concerning the practical management of top-up funding.

When funding is specified in a non-Swedish currency, the exchange rate in effect on 1 January will be used to decide whether the funding is adequate for the next year. The assessment will be made once a year and will take account of any taxation of the amounts paid out.

Loss of means of support during the period of studies

If the means of support for a doctoral student with other funding should fail during their studies, the disciplinary domain/faculty board or, in the event of delegation, the department is responsible for ensuring means of support for the remaining effective period of study.

Employment of a doctoral student with other funding

If a doctoral student admitted with other funding transfers to employment as a doctoral student (a doctoral studentship) the time they have studied will be deducted so as to adhere to the effective period of study for the qualification concerned. The period of employment is only to exceed four years in the case of a licentiate and eight years in the case of a doctorate in the circumstances specified in the Higher Education Ordinance, Chapter 5, Section 7 (see section 7).

[1] According to the Swedish Security Service Yearbook.

Disciplinary domain guidelines

At the Disciplinary Domain of Medicine and Pharmacy, the responsibility for admission to third-cycle education has been delegated to KUF. The responsibility for doctoral students’ means of support is delegated to the department at which the doctoral student is registered.

12.2 Funding for doctoral students via scholarships

6.b. UU Guidelines

The disciplinary domain/faculty board concerned is responsible for ensuring that doctoral students funded under Chapter 5, Section 4 are informed that they are entitled, upon application to the head of department, to employment as a doctoral student when three years of effective study remain of their education. There is no time-limit for submitting such an application.

All doctoral students funded by scholarships must be informed of the differences in terms and conditions compared with a doctoral studentship, for example, with regard to access to social insurance benefits.

Uppsala University defines aid and capacity building programmes as the processes by which individuals, organisations and society as a whole raise, strengthen, adapt and maintain their capacity over time.1 An aid and capacity building programme must aim to build capacity in a country that is on the DAC/OECD list at the time of the doctoral student’s admission.2

[1] Based on OECD/DAC, The Challenge of Capacity Development, 2006.
[2] OECD/DAC lists the countries that are entitled to aid (Official Development Assistance, ODA).

At Uppsala University, funding via scholarships in accordance with Section 4a point 1 is permitted if 1) the scholarship organisation is based in one of these countries or 2) the scholarship organisation explicitly pursues the purpose of promoting capacity building in one of these countries.

The relevant disciplinary domain/faculty board or equivalent body with responsibility for doctoral studies is to determine which programmes and other partnerships funded by the European Union come within the scope of the exemption under Section 4a point 2. This must be documented and communicated in a clear manner.

Requirement for agreement with the scholarship provider

Admission of doctoral students funded by scholarships as described in Chapter 5, Section 4 is subject to a prior agreement between Uppsala University and the scholarship provider, guaranteeing reasonable terms and conditions for the scholarship. For this purpose, the University must be given the opportunity to examine the terms and conditions of scholarships and the conditions for their payment (see Appendix). A decision on an agreement with a scholarship organisation may not be delegated to a level lower than the disciplinary domain/faculty board or equivalent body responsible for doctoral studies.

Agreements with scholarship organisations that can support funding in more than one disciplinary domain must be University-wide. The agreements are to be documented following established procedures so that they are readily accessible for follow-up.

In exceptional cases, if there are extraordinary reasons for doing so, a disciplinary domain board/faculty board may decide to waive the requirement for an agreement with a scholarship provider when it is manifestly unnecessary because the funds involved are under Uppsala University’s own management or come from a well-established national scholarship provider with conditions that the University knows from many years of experience to be reasonable. It is not possible to waive the requirement for an agreement in the case of funding of doctoral students via scholarships pursuant to the Higher Education Ordinance, Chapter 5, Section 4a, points 1–2.

Disciplinary domain guidelines

Funds for scholarships or other types of self-funding must be competitively obtained funds.

Agreements for scholarship funding must be processed and approved by KUF before a candidate can apply for admission with this funding. In preparation for processing by KUF, the department must ensure that the proposed agreement has been reviewed by the Legal Affairs Division. A statement from the Legal Affairs Division must be attached to the submission to KUF. When the matter is processed at an ordinary meeting of KUF, it will be checked against the checklist for Uppsala University and the committee will check that only applicants from the Disciplinary Domain of Medicine and Pharmacy are eligible for the scholarship concerned. After KUF has approved the agreement and it has then been signed by the head of department and the scholarship organisation, an application for admission can be submitted. Responsibility for registering the agreement rests with the department.

In the case of well-established national scholarship providers where the University has previously confirmed that the conditions are reasonable and a central agreement exists, for example “the International Science Programme (ISP)” or the “Swedish International Development Cooperation Agency (Sida)”, the processing by KUF concerning the formulation of the agreement is a formality.

If applicants from other disciplinary domains at Uppsala University are also eligible for the scholarship, KUF will instruct the disciplinary domain’s faculty office to prepare the matter in consultation with the faculty offices of our other disciplinary domains. The matter will then be submitted to the Vice-Chancellor for a decision for the whole University concerning the agreement.

Scholarships from security-classified countries

If the scholarship involves state donors in countries engaged in security-threatening activities in Sweden, according to the Swedish Security Service Yearbook, an investigation must be made before KUF can submit the matter to the disciplinary domain’s vice-rector for a special decision on the agreement.

Overview of required documentation as indicated above:

• Confirmation of the funding organisation’s legal status – investigation ordered from Business Sweden (business-sweden.com) (the investigation is paid for by the department).

• Performance of an analysis based on the Protective Security Act and the Swedish Inspectorate of Strategic Products – contact the Security and Safety Division at Uppsala University. The analysis investigates whether the planned project involves security-sensitive activities or dual-use items.

• Subsequent review of proposed agreement by the Legal Affairs Division.

Responsibility for offering doctoral students funded pursuant to Chapter 5, Section 4 employment as a doctoral student after one year, rests with the head of the department at which the doctoral student is engaged, or another person to whom the head of department has delegated this responsibility. In connection with this, under the University’s joint guidelines, the doctoral student must also be informed of the differences between scholarship funding and employment as a doctoral student.

The EU-funded programmes and partnerships that fall within the scope of the exception under Chapter 5, Section 4a, paragraph 2 of the Higher Education Ordinance include, at the Disciplinary Domain of Medicine and Pharmacy, projects with funding from ERASMUS or the EU’s DG SANTE (Directorate General for Health and Food Safety of the European Commission).

Responsibility for doctoral student funding rests with the department at which the doctoral student has been registered. If a doctoral student’s scholarship funding is discontinued for some reason, the department must set up an appointment for the doctoral student to cover the remaining duration of their studies.

12.3 Checklist for scholarship funding

UU Guidelines

Checklist for agreement on scholarship funding

The agreement must cover the following points:

• The period during which the scholarship will be paid and the total amount of funding.

• Any requirements regarding the gross total period of study.

• How scholarship payments will be made, for example, the form and frequency of payments, with a view in particular to avoiding taxation of the scholarship.

• Other benefits that may accompany the scholarship, for example reimbursement of travel expenses or other costs and insurance.

• Undertakings/obligations of the doctoral student, such as reporting or return requirements.

• Circumstances that could lead to an obligation to repay all or parts of the scholarship. A requirement for foreign doctoral students to return may not be associated with a demand for repayment.

• That the University is not responsible for the doctoral student’s obligations in the way, for example, of reporting and return requirements or any obligation to repay the scholarship.

• That the University is not obliged to admit doctoral students if they are granted scholarships.

• That the prospective doctoral student must meet general and specific entry requirements to be admitted.

• That the doctoral student, following admission, will follow the general syllabus and individual study plan.

• Obligations falling on the University, for example, in the way of requirements to report on the doctoral student’s progress.

• Whether the scholarship provider permits an extension of the gross period of study due to teaching or other departmental duties (which may presuppose that the University covers the costs this entails).

• If the agreement is of a general nature and applies for an extended period, supplementary details on the amount of the scholarship may be given in another document that is binding for the scholarship provider.

• It should be made clear that, if necessary, the University will provide top-up funding for the doctoral student to bring the total net income into line with the salary scale.

• Whether the doctoral student has the right to retain the scholarship for a longer or shorter period following absence, for example because of sickness, leave of absence, parental leave or prolongation.

• The agreement must guarantee that absence because of sickness, parental leave or other factors, with the exception of the doctoral student substantially neglecting their undertakings in the individual study plan, will not lead to demands for repayment for the period of studies carried out.

• The agreement should include a description of the admissions process.

12.4 Educational cooperation leading to a joint degree

6.c. UU Guidelines

Under Chapter 6, Section 11a of the Higher Education Ordinance, educational cooperation leading to a joint degree must be based on a written agreement governing the division of responsibilities. According to the “Procedure for establishing joint doctoral programmes (UFV 2018/681)”, the agreement must clarify the means of support that will be used. The pay level must be at least in line with the salary scale for doctoral students for periods when the doctoral student is engaged in studies at Uppsala University. In other respects, the terms and conditions for means of support follow the guidelines that apply to other funding.

Disciplinary domain guidelines

Educational cooperation at doctoral level leading to a dual degree or a joint degree must include at least 12 months in total spent at each of the institutions named in the degree.

A doctoral student undergoing doctoral education leading to a dual or joint degree is to be admitted to Uppsala University according to the usual procedures, and to be assigned a principal supervisor working at Uppsala University.

12.5 Information requirement in connection with other funding

6.d. UU Guidelines

The Human Resources Division is responsible for matters relating to insurance, residence permits and, where relevant, work permits. In the case of other funding, Uppsala University must make information available to prospective doctoral students about the differences in terms and conditions compared with employment as a doctoral student (a doctoral studentship).

12.6 Employment as a ‘doktorand’

Disciplinary domain guidelines

A doctoral student with a doctoral student appointment can undertake teaching, though at a maximum of 20% of full-time. The time the doctoral student dedicates to teaching is to be compensated for by an equivalent amount of time for third-cycle education.

12.7 Extension of funding for studies (prolongation)

The Higher Education Ordinance states that the total period of employment as a doctoral student may not exceed the equivalent of four years of full-time third-cycle study unless there are special grounds.

7. UU Guidelines

In cases where there are special grounds within the meaning of the Higher Education Ordinance, an extension of employment as a doctoral student may be permitted. Types of leave other than those specified in the Higher Education Ordinance are only to be permitted in exceptional cases. In the event of relatively long periods of planned leave, such as parental leave, arrangements must be made to help the doctoral student keep their thesis project active.

The recommendations made in Uppsala University’s parental policy apply regardless of the type of funding.

Guidelines for extending the period of employment and study for doctoral students in elected positions have been set out in a special decision of 1 February 2022 (UFV 2021/2081). These guidelines apply regardless of the type of funding.

The University’s parental policy draws support from the Parental Leave Act (1995:584), and provisions on the prohibition of disfavourable treatment of job applicants and employees in Section 16 of that Act.

Disciplinary domain guidelines

Getting going months

At the Disciplinary Domain of Medicine and Pharmacy, a doctoral student returning from parental leave lasting at least four months may apply for three additional ‘getting going months’ (extension of the stipulated 48 months of doctoral education). The purpose of ‘getting going months’ is to support doctoral students in cases where complications have arisen that have considerably delayed work on the thesis beyond parental leave.

The doctoral student applies in writing to the head of the department to which the doctoral student has been admitted. A decision may be made by the head of department directly upon application, or forwarded to KUF for assessment. In the latter case, the doctoral student’s application is forwarded to KUF along with a statement from the head of department.

The matter is prepared by a working group in KUF composed of the vice-dean, two of KUF’s three directors of studies for the faculties of medicine and pharmacy, and a doctoral student representative.

A decision to propose to the head of department to issue ‘getting going months’ is then taken following processing by KUF meeting in ordinary session and is conveyed to the doctoral student and head of department. Resources for financing ‘getting going months’ come from the department, and for this reason the final decision rests with the head of department.

Prolongation

Prolongation involves an extension of a doctoral student’s period of study in order to compensate for time spent serving on boards, committees and similar bodies at a disciplinary domain, faculty, department or in student union activities. The doctoral student applies for prolongation following instructions in the Staff Gateway, and KUF can provide guidance if necessary.

The length of the extension is regulated centrally in the “Guidelines for extending the period of employment and study for doctoral students in elected positions”.

13 Work environment

The formal responsibility for the work environment at departments rests with the head of department, but the supervisor also has a responsibility and should be the natural first choice to contact about work environment issues. Several different statutory provisions and guidelines clarify that an employer who becomes aware of a problem in the work environment has a responsibility, and an obligation, to act on this information. However, a need can sometimes arise to talk to someone else and every doctoral student should therefore have a network of people to whom they can turn to discuss different types of concerns or problems. The following is a list of suggested people to contact.

• The doctoral student’s supervisor(s)

• The doctoral student’s examiner

• The department/research group’s safety representative

• The person responsible for third-cycle education at the department

• The head of department

• The directors of studies for third-cycle education at the Disciplinary Domain (KUF)

• The chair, vice chair and other members of KUF

• The chair of the Medical or Pharmaceutical Doctoral Student Council

• The doctoral student representative or student representative at the Uppsala Student Union

• Uppsala University’s occupational health service (for doctoral students with doctoral studentships)

• The Student Health Service (for doctoral students who do not have doctoral studentships)

• Representatives of employee organisations (for doctoral students who are members of such an organisation)

• The relevant occupational health service (for students with an employer other than the University)

Normally, doctoral students and/or supervisors should turn to people on the list whom they trust and who are familiar with the conditions of third-cycle education and conditions at the department so that the issues can be resolved quickly and constructively.

For issues related to the physical work environment (premises, technical solutions etc.), the doctoral student should in the first instance contact their supervisor or the person with responsibility for third-cycle education at the department, the campus facilities manager or the coordinator for students with disabilities at Uppsala University.

At the annual follow-up of the individual study plan, as well as reviewing the progress of the education and the thesis, the doctoral student, supervisor and examiner are to discuss work environment issues.

14 Documentation of credits awarded during third-cycle education

Disciplinary domain guidelines

All grades awarded in third-cycle education at the Disciplinary Domain of Medicine and Pharmacy are documented as directed in the “Procedure for documentation in Ladok of information about students in third-cycle education at Uppsala University”.

Credits awarded from courses receiving financial support from the disciplinary domain are to be reported jointly for all course participants and administered by the department responsible.

15 Withdrawal of resources for a student during third-cycle education

Regulations on the withdrawal of a doctoral student’s resources are given in the Higher Education Ordinance.

12. UU Guidelines

If a doctoral student substantially neglects their undertakings in the individual study plan, the right to supervision and other resources for the doctoral education will be withdrawn.

Withdrawing resources requires careful assessment and must be done within the framework of a transparent decision-making process following a format decided by the responsible disciplinary domain/faculty board.

The grounds for and against withdrawing resources must be stated clearly and the case must be treated with respect and due consideration for the doctoral student’s privacy.

If such an assessment shows that the doctoral student has substantially neglected their undertakings in the individual study plan, the disciplinary domain/faculty board or equivalent body with responsibility for doctoral studies must take measures and, where appropriate, apply to the Vice-Chancellor for resources to be withdrawn.

A decision to withdraw resources is taken by the Vice-Chancellor after the matter has been processed by the disciplinary domain/faculty board or equivalent body with overall responsibility for doctoral studies.

Disciplinary domain guidelines

The assessment that the doctoral student has neglected their undertakings should concern cases in which the doctoral student is not pursuing their education in accordance with the individual study plan. An example could be a case in which the doctoral student, despite access to adequate supervision and other necessary resources for the planned work, does not show an ability to perform this work in a reasonable manner. If the deviation from the plan is substantial, the person with responsibility for third-cycle education at the department must call upon the doctoral student and the supervisor and examiner to submit written statements.

Thorough documentation of deviations from the individual study plan is extremely important in such cases and the annual follow-ups should be included as part of this documentation.

The statements of the doctoral student and the supervisor, the statement of the person with responsibility for third-cycle education at the department and all the documentation in the case are to be forwarded – preferably in electronic format – to KUF. A working group from KUF consisting of the vice-dean for third-cycle education, two faculty representatives and on doctoral student representative, is appointed specifically for each case. This working group prepares the case for presentation to the Disciplinary Domain Board, which decides whether to propose that KUF write to the Vice-Chancellor about the matter.

UU Guidelines

If a doctoral student has applied to the Vice-Chancellor to recover the right to supervision and other resources, the case is prepared by the head of department/equivalent who turns the application over to the disciplinary domain/faculty board or equivalent body with responsibility for doctoral studies together with their own opinion prior to decision by the Vice-Chancellor.

Depriving a doctoral student of the right to resources is not the same thing as deregistration. The doctoral student can continue to study, though if so, completely independently, and can still present a thesis for public defence.

Decisions to withdraw study resources from a doctoral student pursuant to Chapter 6, Section 30 and decisions that a doctoral student is not to recover these resources pursuant to Chapter 6, Section 31 may be appealed to the Higher Education Appeals Board, as provided by Chapter 12, Section 2, point 6 of the Higher Education Ordinance.

16 Deregistration of a student during third cycle education

13. UU Guidelines

A doctoral student may be deregistered at their own request. Deregistration refers to a situation where a doctoral student’s doctoral studies are discontinued. The disciplinary domain/faculty board is responsible for ensuring that a doctoral student who wishes to discontinue their studies is aware that they will have to reapply for admission in order to resume their doctoral studies.

Disciplinary domain guidelines

When a doctoral student discontinues their third-cycle studies, the form “Anmälan om studieavbrott” (“Notification of discontinuation”) is to be used.

17 Regulatory documents

The list below specifies some of the acts, ordinances, guidelines and regulatory documents that apply to third-cycle education.

• Administrative Procedure Act (2017:900)

• Admission and Grading Regulations for Doctoral Studies at Uppsala University (UFV 2022/729), abbreviated as UU Admission Regulations

• Guidelines for Doctoral Studies at Uppsala University (UFV 2022/728)

• Guidelines for extending the period of employment and study for doctoral students in elected positions (UFV 2021/2081)

• Higher Education Ordinance (1993:100), abbreviated as HE Ordinance

• Local collective agreement on salaries for doctoral students (UFV-PA 2019/2385)

• Order of Delegation at Uppsala University (UFV 2020/945)

• Parental Policy (UFV 2005/119) (under revision)

• Policy on Conflicts of Interest, Swedish Research Council (Dnr: 1.2.4-2019-00077)

• Procedure for documentation in Ladok of information about students in third-cycle education at Uppsala University (UFV 2018/1814)

• Routine for dealing with suspected deceptive conduct in examinations (UFV 2013/1411)

• Rules governing conflicts of interest within the University’s area of activity (2018/1656)

• Rules of Procedure: Disciplinary Domain of Medicine and Pharmacy (MEDFARM 2016/408)