Rules and Regulations NRI PhD School

Version: 08/1.0

INTRODUCTION ................................................................................................................................... 3 OVERVIEW OF PHD RULES AND REGULATIONS ............................................................................ 4 CHAPTER 1 GENERAL PROVISIONS ............................................................................................... 5 Article 1 Article 2 Legal title......................................................................................................................... 5 Definitions ....................................................................................................................... 5

CHAPTER 2 REGISTRATION AND ACCEPTANCE .......................................................................... 6 CHAPTER 3 FACILITIES .................................................................................................................... 6 Article 4 Article 5 Article 6 Article 7 Article 8 Article 9 Article 10 Article 11 Fees and expenses......................................................................................................... 6 Removal from the register............................................................................................... 6 Appointment supervisor .................................................................................................. 7 Supervision ..................................................................................................................... 7 Co-supervision ................................................................................................................ 7 Monitoring progress ........................................................................................................ 8 Thesis and Period of Procedure ..................................................................................... 8 Collaboration................................................................................................................... 8

CHAPTER 4 SUPERVISION AND MONITORING .............................................................................. 7

CHAPTER 5 THESIS AND PERIOD OF PROCEDURE...................................................................... 8

CHAPTER 6 COMMUNICATION ........................................................................................................ 9 Language ........................................................................................................................ 9 Article 12 CHAPTER 7 APPROVAL AND ADMISSION TO THE DEFENSE...................................................... 9 Article 13 Article 14 Article 15 Article 16 Article 17 Article 18 Article 19 Article 20 Article 21 Article 22 Article 23 Article 24 Article 25 Article 26 Article 27
APPENDIX A: APPENDIX B: APPENDIX C:

Approval by supervisor ................................................................................................... 9 Examination Committee.................................................................................................. 9 With honour (cum laude) or with highest honour (summa cum laude) ........................... 9 Admission to the PhD defense...................................................................................... 10 Setting a date................................................................................................................ 10 Preparing and distributing the thesis............................................................................. 10 Facilities and expenses ................................................................................................ 12 External Relations......................................................................................................... 12 Doctorate Committee .................................................................................................... 12 Graduation ceremony ................................................................................................... 12 Honorary PhD ............................................................................................................... 13 Research Board ............................................................................................................ 13 Petition .......................................................................................................................... 13 Appeal........................................................................................................................... 13 Validity .......................................................................................................................... 13
APPLICATION FORM & AGREEMENT PHD REGISTRATION NYENRODE BUSINESS UNIVERSITEIT................14 APPROVAL OF MANUSCRIPT BY SUPERVISOR ........................................................................................15 MODEL OF TITLE PAGE ....................................................................................................................16

CHAPTER 8 GRADUATION.............................................................................................................. 10

CHAPTER 9 FINAL PROVISIONS .................................................................................................... 13

APPENDICES...................................................................................................................................... 14

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APPENDIX D: APPENDIX E: APPENDIX F: APPENDIX G: APPENDIX H: APPENDIX I:

APPENDIX J:

MODEL OF TITLE PAGE ....................................................................................................................17 INFORMATION FOR EXTERNAL RELATIONS ........................................................................................18 PROTOCOL......................................................................................................................................19 INSTRUCTIONS FOR PHD STUDENT AND AIDES ....................................................................................21 FEES, EXPENSES AND USE OF NYENRODE FACILITIES ...........................................................................22 REQUIREMENTS FOR RESEARCH PROPOSAL ........................................................................................23
PUBLICATION MATRIX.

235

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INTRODUCTION This document describes the rules and regulations which apply to all those aiming to obtain a Nyenrode PhD. It also serves as an account of what the PHD School, being a cornerstone of the Nyenrode Research Institute (NRI), wishes to be and stands for: an institute aimed at promoting, fostering, and encouraging the process that leads to obtaining a PhD degree. Formally, the Nyenrode PhD rules and regulations result from Article 7.19 of the WHW (Act on Higher Education and Scientific Research), which instructs the Research Board of Nyenrode Business Universiteit to lay down the rules and regulations governing the PhD degree. In accordance with the WHW, the rules and regulations stipulate the procedures relevant to the preparation for PhD graduation and to the graduation itself. It also includes provisions to settle disputes. Informally, we would like to state that being a PhD student should be fun and exciting. Within the framework laid out in the rules and regulations, we therefore would like to enhance this experience. In order to realize this goal, this document also serves to explain and clarify the rights and obligations of PhD students, and all other parties involved in the process. We specifically aim to provide support to PhD students in their research by offering advice, particularly with regard to all methodological aspects. In summary, we will offer a coherent set of dedicated methodology courses and skill labs. And finally we will organize research based seminars and other meetings which allow for exchanging academic ideas and individual experiences. Last but not least, the NRI aims to serve as a home and a beacon, where any questions regarding research issues in general are welcomed, and the demands and needs of research are courteously and professionally met by us.

NRI PhD School, April 2008, Prof.dr. Edward Groenland Prof.dr. Ren Tissen Drs. Stefan van Eerde Viktria Balla Renate van Elteren

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OVERVIEW OF PHD RULES AND REGULATIONS

Chapter 2: Registration And Acceptance

Chapter 3: Facilities

Chapter 4: Supervision And Monitoring

Chapter 5: Thesis And Period of Procedure

Chapter 6: Communication

Chapter 7: Approval and Admission to the Defence

Chapter 8: Graduation

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CHAPTER 1 Article 1 1.1 1.2 1.3 1.4 Article 2 2.1 WHW: PhD:

GENERAL PROVISIONS Legal title Nyenrode Business Universiteit may award a PhD degree by Royal Decree of September 27, 1982. The degree will be granted by or on behalf of the Research Board of Nyenrode Business Universiteit. The Nyenrode PhD rules and regulations are based on Article 7.19 of the WHW (Act on Higher Education and Scientific Research) The Nyenrode PhD rules and regulations are drawn up by the Research Board of Nyenrode Business Universiteit. The provisions of the Nyenrode PhD rules and regulations are legally binding provided that they are in conformity with Dutch law, or regulations covered by the law. Definitions

In the rules and regulations, these terms are to be understood as follows: The Dutch Act on Higher Education and Scientific Research. The Doctorate Degree awarded by the Research Board of Nyenrode Business Universiteit. This degree is equivalent to the Dutch Doctorate Degree (denoted Dr.). Full Professor: Whether part-time or full-time appointed to Nyenrode Business Universiteit and in possession of a PhD (in Dutch: hoogleraar) Supervisor: A full Nyenrode professor appointed by the Research Board to supervise the PhD student (in Dutch: promotor). Co-supervisor: An assistant, associate or full professor holding a PhD and employed at an academic institution, who contributes substantially to the supervision of the PhD research (in Dutch: co-promotor). NRI: NRI is the Nyenrode Research and Innovation Institute, monitoring and advising on the PhD procedure. PhD Directors(s): The persons in charge of PhD policy at Nyenrode Business Universiteit. Research Board: The board responsible for awarding and signing the PhD degree and laying down the rules and regulations, cf. articles 7.18 and 7.19 of the WHW. At Nyenrode Business Universiteit, the Research Board consists of the Rector, the Management Team and both Chairmen of NRI (in Dutch: College voor Promoties). Examination Committee: Committee made up of the supervisor and three full professors from Nyenrode, complemented by two full professors from other academic institutions and chaired by the Rector Magnificus of Nyenrode Business Universiteit. The Examination Committee decides whether a PhD student will be invited to defend his/her PhD thesis (in Dutch: leescommissie). Doctorate Committee: Committee made up of the Examination Committee, with the possible addition of three persons. Of these, two can be assistant or associate professors holding a PhD. The PhD student will defend his/her PhD thesis before the Doctorate Committee (in Dutch: promotie commissie).

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CHAPTER 2 REGISTRATION AND ACCEPTANCE Article 3 3.1 3.2 3.3 3.4 Registration and Acceptance A person who has successfully graduated from an institution referred to in article 7.18, paragraph 2a. of the WHW, having passed examination(s) covering a minimum study-load of 168 points can register as a PhD student, once a Nyenrode professor is willing to act as his or her supervisor. Admission can take place based on a research plan approved by the supervising professor. In exceptional cases, the PhD Directors may register persons who do not meet the requirements in article 3.1. A request to waiver the requirements must be made in writing to the PhD Directors. A person should apply for registration to the PhD Directors at the start of his/her PhD research. The application should include: - a completed application form indicating the theme of the PhD research and including the name(s) and signature(s) of the professor(s) willing to act as supervisor (see Appendix A); - authenticated copies of diplomas; - a curriculum vitae; - a copy of your identification document (passport or ID-card) which must be valid for at least 6 months; - In addition to formal application, applicant is required to submit a research proposal, approved by his/her supervisor The PhD Directors may decide to interview the applicant before registration. After receiving the application, the PhD Directors will decide whether to allow the applicant to start with his/her research and will officially appoint the supervisor(s). After the approval of the PhD Directors, the beadle will register the applicant as PhD student.

3.5 3.6 3.7

CHAPTER 3 FACILITIES Article 4 4.1 4.2 4.3 4.4 4.5 4.6 4.7 Article 5 5.1 Fees and expenses A one-off registration fee covering the cost of Nyenrode facilities, beadle, PhD Directors and Research Board is set by the Research Board. For an internal PhD student, a budget must be available & approved by the Cluster Directors. For an external PhD student, a flat fee of 5000 euro per annum is charged. For current PhD students, registered before April 2008, financial arrangements will be honoured, subject to revision by the Supervisor, depending on external opportunities for funding of the research of a PhD student. Unless otherwise agreed, all expenses related to the PhD research and studies are for account of the PhD student. The costs of supervision are discussed in article 7. The current regulations with respect to fees and expenses are summarized in Appendix G. The fee must be paid prior to the commencement of the research and on annual basis. Removal from the register The Research Board may decide to remove a PhD student from the register: - in case of unethical conduct on the part of the PhD student; - after having been registered for a period of 8 years; - at the request of the Supervisor(s); - at the request of the PhD student; - in case the registration fees have not been paid.

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CHAPTER 4 SUPERVISION AND MONITORING Article 6 6.1 Appointment supervisor With the consent of all those concerned, the Research Board will appoint one or more supervisors. In case more than one supervisor is appointed, the order of seniority should be indicated. When reference is made in the singular to any of the appointed supervisors this should be read as plural and binding to all supervisors. The supervisor is a full professor from Nyenrode Business Universiteit, whether part-time or fulltime. One or more full professors from other academic institutions may be added as supervisor. A professor who has left Nyenrode Business Universiteit can no longer be put forward as supervisor. According to the WHW he/she may remain supervisor for up to five years after the cessation of his/her employment at Nyenrode Business Universiteit. In consultation with all those concerned, the Research Board may consider requests from the PhD student and/or the supervisor to annul the appointment of the supervisor. Supervision The supervisor will supervise the PhD research. He/she will ensure that sufficient consultation takes place. The supervisor is responsible to the Research Board for the academic quality of the thesis, regarding both contents, research methodology and reporting. He/she also ensures the smooth proceedings of all procedures related to the thesis and the graduation. At Nyenrode Business Universiteit, the supervision of PhD research is regarded as a research activity. Upon graduation of his/her PhD student, the supervisor will be credited in the research output measurement system of Nyenrode Business Universiteit. Unless otherwise agreed, supervision takes place in the non-billable time of the supervisor. Supervisor and PhD student may come to an agreement whereby the supervisor is financially compensated by the PhD student or his/her sponsor(s) for supervision time, provided that: - the payments go to the Center of the supervisor; - the agreement is approved by the Research Board and the Cluster Directors. Additionally, Supervisor and PhD student are free to agree on compensation in kind (e.g. teaching assistance or joint publications). Should the agreement under article 7.4 lead to a severe conflict of interests, the Research Board may annul the appointment of the supervisor. A replacement clause must be in place stating; a) which full professor will replace the supervisor once absence occurs or; b) the allocation of a second supervisor (to ensure in-depth supervision and continuity) Co-supervision The PhD Directors may appoint a co-supervisor, after consultation with the supervisor and the PhD student. A co-supervisor should be an assistant, associate or full professor employed at an academic institution holding a PhD. A co-supervisor should be able to contribute substantially to the supervision of the PhD research.

6.2 6.3 6.4 Article 7 7.1

7.2 7.3 7.4

7.5

7.6

Article 8 8.1

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Article 9 9.1 9.2

Monitoring progress In consultation with the PhD Directors, the supervisor and the PhD student put together an individual program of studies relevant to their particular field. The PhD student will report annually to the PhD Directors on the progress of the PhD studies and research. This report includes: - a progress report on the PhD research (including the planning for the next years); - a complete list of research output (articles, papers, conference proceedings etc.), including copies of the research output; - a complete list of courses followed (including grades, if applicable). The supervisor will annually inform the PhD Directors on the progress of the PhD research, including an assessment of the PhD student's ability to independently conduct academic research and the likelihood that the student is able to complete his/her PhD thesis within the designated time-frame. As part of the research process you are requested to: - hold an NRI-introductory seminar in the first year of admittance as a PhD student, to introduce and discuss the research subject and research proposal with a peer audience of (internal) researchers and likeminded external participants. - submit two chapters and/or peer reviewed articles in the next three years of study or sooner when possible/applicable- as approved by your supervisor, to be published as an NRI working paper for which additional research points will be granted. - hold an NRI- research seminar in the final year of study (prior to graduation) to inform an audience of choice by you and your supervisor about the research results and findings. For those PhD students having commenced their PhD-study on or after September 1st 2007, the introductory seminar mentioned above is mandatory. For those students having commenced their studies prior to this date, the introductory seminar is optional. The PhD Directors may ask a co-supervisor, or any other expert for an opinion on the progress of the PhD research. The PhD Directors will organize a meeting - the so-called annual review - in which the PhD Directors, the PhD student and the (co-)supervisor(s) discuss the progress of the research. Following that meeting, the PhD Directors will report to the Research Board on the progress of the PhD research.

9.3

9.4 9.5

CHAPTER 5 THESIS AND PERIOD OF PROCEDURE Article 10 10.1 Thesis and Period of Procedure The thesis may consist of: - an academic treatise on a specific subject; - a number of special academic treatises, all or some of which have already been published in a peerreviewed journal (A or B), providing that there is clear proof of a common link to a specific subject and a clear exposition of that link in the preface; - an experimental concept. The PhD study will generally span a period of three to five years. A shorter period is not likely; a longer period is possible, depending on the supervisor. Collaboration Each PhD student should write his or her own thesis. Collaboration between two or more PhD students is only possible in case this cooperation results in each student writing their own thesis. In case of collaboration between two or more students, from the thesis of each student wishing to acquire the PhD it should show that the student has independently delivered a contribution deemed suitable for PhD graduation and he/she must be seen to take responsibility for such.

Article 11 11.1 11.2

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11.3

In case the thesis consists of treatises which have been written in collaboration with co-authors, the PhD student should have the written permission from his/her co-authors to include these treatises in his/her thesis. The written permission should be sent to the PhD Directors.

CHAPTER 6 COMMUNICATION Article 12 12.1 12.2 Language The thesis and the accompanying propositions are to be written in Dutch or English. Exceptions to this rule need the approval of the PhD Directors. In case the thesis is written in Dutch, the title and a summary must be added in English. In case the thesis is written in English, the title and a summary must be added in Dutch. In case the thesis is written in a language other than Dutch or English, the title and a summary must be added in both Dutch and English.

CHAPTER 7 APPROVAL AND ADMISSION TO THE DEFENSE Article 13 13.1 13.2 Approval by supervisor The PhD thesis will be subjected to scrutiny by the supervisor. He/she will judge whether the thesis may be regarded as proof of the ability to independently conduct academic research, leading to the furthering of science. The supervisor will give his/her approval of the PhD thesis to the PhD Directors by way of the appropriate form (see Appendix B). The approval also implies that the supervisor considers that the thesis propositions will stand up to academic defense. Examination Committee The PhD Directors will put together the Examination Committee by invitation of the Rector, upon the recommendation of the supervisor, after receiving his/her approval of the PhD thesis. The Examination Committee is made up of the supervisor and three full professors from Nyenrode Business Universiteit complemented by two full professors from other academic institutions. One of the three professors may be retired; the latter must still possess his/her ius promovendi. The Examination Committee will be chaired by the Rector or by a full professor representing the Rector. The PhD student will furnish the members of the Examination Committee with a copy of the full manuscript (not solely the summary) which has been approved by the supervisor. The Examination Committee will decide on whether the PhD thesis is proof of the students ability to independently conduct academic research, leading to the furthering of science. This decision should be taken within six weeks after receiving the manuscript. The Examination Committee decides by majority voting, excluding the supervisor and the chairperson. This procedure implies that the PhD student will be invited to defend his/her thesis when a minimum of two out of the three professors referred to in article 14.2 regard the thesis as sufficient proof of the students ability to independently conduct academic research. The Examination Committee will convey its decision to the Research Board in writing. After the Research Board has acknowledged this decision, it can be conveyed to the PhD student, the supervisor and the beadle. With honour (cum laude) or with highest honour (summa cum laude) When the majority of the Examination Committee (excluding the supervisor and the chairperson) is of the opinion that the quality of the thesis merits the qualification with honour or with highest honour, the Examination Committee will propose this to the Research Board in writing, at least six

Article 14 14.1 14.2

14.3 14.4 14.5

14.6

Article 15 15.1

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weeks prior to graduation. The Research Board will subsequently consult at least two independent experts. The proposal to confer the PhD degree with honour will be accepted if: - the independent experts agree with the majority of the Examination Committee; - the majority of the Doctorate Committee is of the opinion that the PhD defense has been conducted well. Article 16 16.1 Admission to the PhD defense A PhD student meeting all of the following requirements may be admitted to the PhD defense if and when: - he/she has successfully graduated from an institution referred to in article 7.18, paragraph 2.a. of the WHW, having passed examination(s) covering a minimum study-load of 168 points (unless article 3.2 applies); - he/she has shown the ability to independently conduct academic research, leading to the furthering of science, as indicated by the approval of the thesis by the supervisor and the Examination Committee; - he/she has written at least six plus four propositions unrelated to the subject matter of the thesis and approved by the supervisor; - he/she fulfils the requirements laid down in the Nyenrode PhD rules and regulations, including the financial requirements in Appendix G. The beadle will check whether the requirements in article 16.1 have been met.

16.2

CHAPTER 8 GRADUATION Article 17 17.1 17.2 Article 18 18.1 18.2 18.3 18.4 18.5 Setting a date After the Examination Committee has been set up, the PhD student, after consultation with his/her supervisor, can come to an agreement with the beadle concerning a provisional date for the graduation ceremony. After the beadle has verified that all requirements in article 16.1 have been met, the provisional date may be changed to a definite date. Preparing and distributing the thesis After the beadle has verified that all requirements in article 16.1 have been met, the PhD student may proceed with reproducing his/her thesis. The (back of the) title page of the thesis should meet the model in Appendix C and must be in accordance with the house style of Nyenrode Business Universiteit publications. Any form of advertising in the thesis is prohibited. A draft copy of the pages referred to in article 18.2 should be given to the beadle for approval, at least five weeks before the planned date of graduation. NRI will publish the thesis, unless otherwise agreed. The PhD student must furnish the beadle with the following, no later than three weeks prior to graduation: - 25 printed copies of the thesis with propositions, intended for the exchange service of the library (the costs for printing & editing the thesis will be paid out of the NRI budget, applicable for all thesis printed on or after September 1st 2007); - a variable number of copies of the thesis with propositions, intended for use within Nyenrode; - an electronic version of the thesis for the purpose of Faculty and Staff. (Please also hand-in Appendix K: License agreement repository Nyenrode Business Universiteit) The PhD Directors will specify this number not later than three weeks prior to graduation; The internal distribution of the dissertation will be carried out by the beadle. The external distribution will be done by the PhD student, unless otherwise agreed.
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18.6

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Article 19 19.1 19.2 Article 20 20.1

Facilities and expenses Graduation takes place at Nyenrode, preferably at the Gerrit Jeelof Aula or the Albert Heijn Auditorium. The rules regarding graduation expenses and the use of Nyenrode facilities are laid down in Appendix G. External Relations The External Relations department of Nyenrode Business Universiteit is responsible for public announcements regarding the PhD degree and will be of assistance to the PhD student in this matter (see Appendix D). Doctorate Committee The Research Board will put together the Doctorate Committee upon the recommendation of the supervisor. The Doctorate Committee is made up of the Examination Committee, with the possible addition of 3 people, 2 of whom can be assistant or associate professors holding a PhD. Graduation ceremony The PhD thesis and the propositions will be defended by the PhD student before the Doctorate Committee and all those who have received permission from the Rector to put forward reservations and considerations. In case the thesis has been written by more than one person, a separate defense will be organized for each person. The opposition and defense will be conducted in Dutch or in English. After defense of the thesis, the PhD degree will be granted by or on behalf of the Research Board. The PhD student will be given a certificate of the PhD degree signed by the Rector or his/her replacement and by the supervisor. In case the degree is awarded with distinction, this will be indicated on the certificate. The PhD student cannot be denied his/her PhD degree after the defense, unless the PhD student refrains from any utterance during the defense. The graduation ceremony will be carried out in accordance with the protocol in Appendix E. The ceremony starts at 14.00 or 16.00 hours. The duration of the defense is 45 minutes; the defense is preceded by a lay talk of 15 minutes. The ceremony is organized as follows: - The Doctorate Committee will convene, with the Rector or his/her replacement acting as chairperson. This meeting and the deliberation thereafter is open to full (retired) professors from Nyenrode, as well as to full professors from other academic institutions invited by the Rector. - The chairperson will ascertain that the required number of persons are present, and will appoint one of the full professors as secretary. The latter will take up position next to the chairperson and keep record. - In the preliminary meeting the order of opposition is laid down by the chairperson, taking into account that: - opposition to the contents of the thesis takes precedence over a discussion of the propositions; - the supervisor has the last say should he/she wish so; - Opposition and defense are not to be discussed beforehand with the PhD student. - After the defense, the Doctorate Committee will retire to deliberate in camera. In this meeting all members of the Doctorate Committee hold the right to vote. - At the end of the deliberation, the certificate will be signed by: - the Rector or his/her replacement; - the supervisor;

Article 21 21.1

Article 22 22.1 22.2 22.3 22.4

22.5 22.6 1. 2. 3. 4. 5. 6. 7. 8. 9. 10. 11.

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Article 23 23.1

Honorary PhD The Research Board, upon the recommendation of the Executive Board of Nyenrode Business Universiteit and in consultation with the Board of Professors of Nyenrode Business Universiteit, representing the Assembly of Professors of Nyenrode Business Universiteit, has the right to confer on those persons appropriate, an honorary PhD degree for outstanding services to science, society and/or business. The honorary PhD ceremony will take place at Nyenrode in the presence of the Research Board.

23.2

CHAPTER 9 FINAL PROVISIONS Article 24 24.1 24.2 Research Board The Research Board is responsible for awarding the PhD degree and laying down the rules and regulations cf. articles 7.18 and 7.19 of the WHW. At Nyenrode Business Universiteit, the Research Board consists of the Rector, and both Chairmen of the NRI. In all cases not covered by these rules and regulations, the Research Board will decide, in accordance with the law. The Research Board will decide by majority vote, on the condition that the majority includes the vote of the Rector. Petition In case of a dispute regarding the preparation for the PhD, any party concerned may petition the Research Board. The Research Board will hear all parties concerned and reach a decision within two months after lodging the petition. The decision will be conveyed to all parties concerned and will include the reasons which led to the decision. The decision referred to in the above article may be reached on behalf of the Research Board by a committee set up by the Research Board. Appeal A Council of Professors, consisting of all full-time full professors of Nyenrode Business Universiteit but excluding members of the Research Board and other professors involved in the decision/dispute, will act as the PhD Appeal Committee. The PhD Appeal Committee will be chaired by the President of Nyenrode Business Universiteit or a professor representing him/her. An appeal can be lodged against a decision of the Research Board within two weeks after that decision has been conveyed to those concerned. The appeal should be lodged in writing and is to be sent to the chairperson of the PhD Appeal Committee. The PhD Appeal Committee may call in the advice of experts in order to help reach a decision. The PhD Appeal Committee may organize a hearing to question all parties involved in the dispute. The PhD Appeal Committee has the authority to decide that a decision against which the appeal has been lodged, has been taken either justifiably or wrongly. In the latter case, the decision will be referred back to the Research Board, in order to come to an amended decision. The PhD Appeal Committee will decide by majority voting within two months of the lodging of the appeal. Validity These rules and regulations will apply as of April 2008 for all PhD students. These rules and regulations do also apply for current students, but will be handled case-by-case in cooperation with the supervisor, with feasibility taken into account.

Article 25 25.1

25.2 Article 26 26.1

26.2

26.3 26.4

Article 27 27.1

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APPENDICES Appendix A: Application form & Agreement PhD registration Nyenrode Business Universiteit

Personal details: Surname: First (middle) name(s): Place and Date of Birth: Address and Postal Code: Telephone E-mail: Previous education: Institution 1. 2. 3. PhD research: How much time is expected (in FTE) for the duration of the project for both PhD applicant and Supervisor(s)? PhD applicant: Supervisor(s): Co-supervisor(s): Subject matter of PhD research: Degree Date of final examination business: private:

Supervisor(s) 1. 2. Co-supervisor(s) 1. 2. Signature PhD applicant Date

Institution

Signature

Institution

Signature

Place

(to be sent in duplicate to the PhD Directors with authenticated copies of diplomas, a curriculum vitae and a birth certificate or proof (passport) of being registered with a local council)
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Appendix B: PhD thesis by:

Approval of manuscript by supervisor

Surname: First (middle) name(s): Place and Date of Birth: Address and Postal Code: Telephone E-mail: business: private:

Title PhD Thesis:

Language in which the thesis has been written: Signatures by supervisor(s) vouching for the approval of the PhD thesis and propositions: Supervisor(s) 1. 2. Recommendation by supervisor(s) regarding the composition of the Examination Committee: Member 1. 2. 3. Examination Committee set up in accordance with PhD rules and regulations: Signature PhD Directors Signature Rector Date Date Place Place Institution Institution Signature

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Appendix C: (in Dutch) Title page:

Model of title page

NYENRODE BUSINESS UNIVERSITEIT

TITEL PROEFSCHRIFT================>

Proefschrift ter verkrijging van het doctoraat aan de Nyenrode Business Universiteit op gezag van de Rector Magnificus, prof. dr. E.A. de Groot en volgens besluit van het College voor Promoties. De openbare verdediging zal plaatsvinden op ............dag ................. 200. des namiddags om (twee of) vier uur precies door ......................................... geboren op ......................................... te .........................................

Back of title page: On the back of the title page the names of the supervisor(s), the co-supervisor and the members of the Examination Committee are to be written as follows: Leescommissie: Promotor(es) Overige leden : ......................................... ......................................... ......................................... ......................................... .........................................

Co-promotor(es)

......................................... .........................................

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Appendix D: (in English) Title page:

Model of title page

NYENRODE BUSINESS UNIVERSITEIT

TITLE THESIS ================>

Thesis with regard to the doctorate/PhD degree at Nyenrode Business Universiteit on authority of the Rector Magnificus, prof. dr. E.A. de Groot in accordance with the Doctorate Committee. The public defense takes place on ............day ................. 200. in the afternoon at exactly (two or) four oclock by bourn in in (date) ......................................... ......................................... .........................................

Back of title page: On the back of the title page the names of the supervisor(s), the co-supervisor and the members of the Examination Committee are to be written as follows: Examination Committee: Promotor(es) Other members : ......................................... ......................................... ......................................... ......................................... .........................................

Co-promotor(es)

......................................... .........................................

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Appendix E:

Information for External Relations

Please contact the External Relations department a few weeks (at least four weeks) before graduation. The following questions will be of interest to them. Can you give a short synopsis of your PhD research which could be understood by a layman, (circa 250 words)? What is the problem statement (in your research)? How was your research work carried out? What are the most important results of your research and which conclusions did you reach thereafter. Do you consider your PhD research of interest to the general public? If so, why? (Please consider, for example, the possible adaptation of the research results for practical uses). In which magazines have you had articles, relating to your research, published up to this date? Does your investigation contain elements which are easily visualized? If so, which ones? Have you already reached agreements with other institutions regarding the publicity aspect? If so, which institutions? Do you know any journalists who might be interested? If so, who are they? Have you yourself already had any contact with the press? If so, with whom? Is your dissertation to be published? If so, by which publisher, what is the ISBN number, and what is the retail price in the shops? We request you to send in your propositions so that these can be used in specialist columns of the newspapers.

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Appendix F: (in Dutch)

Protocol De promotiecommissie (Doctorate Committee) komt vr de promotie bijeen, onder voorzitterschap van de Rector of diens plaatsvervanger. In die bijeenkomst maakt de Rector een lijst van de opponenten op, bepaalt in overleg met hen de volgorde waarin zij het woord zullen ontvangen verdeelt de spreektijd en wijst de secretaris van het college aan. De pedel leidt het college enige minuten voor het begin van de promotie naar de ruimte waar de promotie zal plaatsvinden. In die stoet loopt de promotor ter rechterzijde van de Rector. De pedel kondigt de komst van het college op de gebruikelijke wijze in de deur van de zaal aan.

Pedel:

Het College van Hoogleraren De leden van het college, alsmede de emeriti en gasten, nemen plaats; de Rector en de secretaris achter de linker tafel, de promotor achter de rechter tafel, de opponenten zoveel mogelijk direct achter die tafels op de overige plaatsen, de overige personen op de tweede en volgende rijen achter beide tafels. Baretten af. De pedel leidt vervolgens de promovendus en de eventuele paranimfen binnen. Nadat deze(n) het college met een buiging heeft (hebben) begroet, staat de Rector, weer met baret op en zegt: "Ik open deze plechtigheid. Mijnheer/mevrouw de promovendus, ik heet u hartelijk welkom. U bevindt zich tegenover een commissie, ingesteld door het College voor Promoties, die bereid is met u van gedachten te wisselen over uw proefschrift en de daarbij gevoegde stellingen. Ik geef u eerst de gelegenheid om kort uiteen te zetten wat u hebt onderzocht, waarom u dit onderzoek hebt verricht en welke resultaten het heeft opgeleverd". Rector gaat zitten; baret af.

Rector:

Promovendus: Hooggeleerde opponenten en overige aanwezigen... Er volgt een uiteenzetting van ca. 15 minuten. Rector: "Ik dank u voor uw uiteenzetting. Wij gaan over tot de gedachtewisseling. Wenst iemand uit het publiek met de promovendus van gedachten te wisselen? Zo ja, dan verzoek ik u achter de tafel plaats te nemen. Ik geef u het woord". Nadat de opponent uit de zaal zijn/haar vraag heeft gesteld en zo nodig kort toegelicht, zegt de Rector: "Mijnheer/mevrouw de promovendus, ik geef u het woord om de gestelde vraag bondig te beantwoorden". Indien zich geen opponent uit de zaal meldt, dan wel nadat de vraag van de opponent uit de zaal beantwoord is, zegt de Rector: "Dan geef ik nu het woord aan de hoogleraar ..........". (enzovoorts) Even voordat de tijd verstreken is, treedt de pedel de zaal binnen en blijft bij de deur staan. Op het juiste ogenblik zegt hij/zij met duidelijke stem: "Hora est". De lopende gedachtewisseling wordt zo snel mogelijk afgesloten. Daarna zegt de Rector: "De Promotie Commissie zal zich enige ogenblikken terugtrekken voor beraad". Na het beraad, dat zo kort mogelijk moet duren, leidt de pedel het college weer naar de promotiezaal. Wanneer allen gezeten zijn, leidt de pedel de promovendus (en de eventuele paranimfen) eveneens weer binnen. Zodra deze(n) voor het college staat (staan), zet de Rector zijn baret op en zegt staande: "Mijnheer/mevrouw de promovendus, het College van Promoties dezer universiteit, door ons vertegenwoordigd, heeft besloten u het door u begeerde doctoraat in de bedrijfskunde te verlenen". Indien het predicaat "cum laude" is toegekend, voegt de Rector toe:

Rector:

Rector:

Pedel: Rector:

Rector:

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Rector:

"En wel op grond van ............... (bijv.: uw bijzonder verdienstelijk proefschrift (en uw voortreffelijke verdediging), het hoogst gunstige verslag van de faculteit betreffende uw studies) met het predicaat "cum laude/summa cum laude". De Rector vervolgt: "Uw (eerste) promotor, de hoogleraar .........., is gemachtigd u op de gebruikelijke wijze met deze waardigheid te bekleden". De Rector gaat zitten, baret af. De promotor zet de baret op, gaat staan en zegt: "Volgaarne aanvaard ik de taak, mij door de Rector opgedragen ". De promotor zet na deze woorden de baret af om de promovendus toe te spreken, beginnende met de woorden: "Doch alvorens deze opdracht uit te voeren, wil ik enige persoonlijke woorden tot u richten". Volgt laudatio (maximaal 6 minuten). Na het uitspreken daarvan zet de promotor de baret weer op, nodigt iedereen uit op te staan en spreekt, als ieder staat, de formule uit: "Uit kracht dan van de bevoegdheid, ons bij de Wet toegekend, volgens het besluit van het College voor Promoties dezer universiteit, verklaar ik, ................, u .............. te bevorderen tot doctor en u alle rechten te verlenen die, door Wet of gewoonte, aan het doctoraat zijn verbonden". Op voorbeeld van de Rector gaat iedereen weer zitten, behalve de promotor. Deze vervolgt: "Nadat ik alzo de mij opgelegde taak heb volbracht, mag ik de eerste zijn die u met deze (zo loffelijke) promotie als doctor begroet". De promotor keert terug naar zijn plaats, gaat zitten en zet de baret af. De Rector gaat staan, baret op, en zegt: "Ten bewijze deze (bij cum laude: hoogst eervolle) promotie overhandig ik u het diploma, door Rector en promotor(es) ondertekend en voorzien van het zegel der universiteit". (Doet wat hij zegt.) "En thans, zeer geleerde heer/vrouwe, kwijt ik mij van een aangename plicht door u met de verworven graad geluk te wensen". (Geeft hand en keert terug naar zijn plaats) Hiermede verklaar ik deze plechtigheid voor geindigd. (Tikje met hamer.) Hierna geleidt de pedel het college, gevolgd door de jonge doctor en eventuele paranimfen en familie, uit de promotiezaal. (Gelukwensen van de jonge doctor en de promotor(es) geschiedt uitsluitend in de receptieruimte.)

Rector:

Promotor:

Promotor:

Promotor:

Promotor:

Rector:

Rector:

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Appendix G:

Instructions for PhD student and aides

Nyenrode Business Universiteit would like to ensure that the ceremony begins on time. If guests arrive after the start of the ceremony, please bear in mind that they will only be allowed to enter the hall during the break (approximately 16.50 hours). The PhD student and those accompanying him/her (aides) are to be present in the waiting room 15 minutes prior to the start of the ceremony. After the beadle has led the Doctorate Committee into the graduation hall he/she goes to the waiting room to collect the PhD student and his/her aides. Led by the beadle, the PhD student and his/her aides walk to the graduation hall in single file in the following order: beadle first aide PhD student second aide. Any documents (thesis etc.) intended for personal use during the ceremony are to be carried by one of the aides. On arrival in the graduation hall they line up (with the PhD student in the middle) opposite the Rector and the Board of Professors and at the same time all bow briefly, first to the left and then to the right. After the Rector has welcomed everyone and asked them to be seated, the graduate student takes up position behind the lectern. The documents brought by the aide will then be laid on the table for the disposal of the PhD student by that aide. The aides then take a seat in the places reserved for them. The lay talk and the defense of the thesis will then take place according to the protocol (see also appendix E). Terms of address: Supervisor: hooggeachte promotor (highly esteemed supervisor) Opponent: hooggeleerde/zeergeleerde opponent (highly learned opponent) Promovendus: zeer geachte promovendus After the hora est the Rector and the Doctorate Committee leave the graduation hall to confer, led by the beadle. After the deliberation the beadle will lead the Doctorate Committee again into the graduation hall. Next the PhD student and the aides are brought back by the beadle. They proceed before the table where the Doctorate Committee is seated and take up position in a V-shape (the PhD student somewhat in front of the aides) and remain standing (no bow this time), after which the doctorate is bestowed, the laudation expressed and the degree handed out. After the Rector has pronounced the end of the ceremony the PhD student and aides will move aside to first allow the Doctorate Committee to leave the room led by the beadle. The "new" doctor, the aides and family members are then shown into the reception hall by the beadle.

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Appendix H:

Fees, expenses and use of Nyenrode facilities

External PhD students: External PhD students are PhD students who are not employed by Nyenrode Business Universiteit. The costs associated with doing a PhD at Nyenrode Business Universiteit will be determined by the Research Board and must be transferred prior to the commencement of the research. The registration fee includes: use of Nyenrode library and computing facilities; use of Nyenrode auditorium for graduation ceremony; cost of beadle, PhD Directors and Research Board. The registration fee does not include: expenses related to courses, conferences, data, books or other research resources; postal and printing expenses (of thesis); expenses for the invitations and the reception; cost of supervision. The cost of supervision is regulated in articles 7.3-7.4 of the rules and regulations. Internal PhD students: Internal PhD students are PhD students who are employed by Nyenrode Business Universiteit. There is no one-off registration fee for internal PhD students. The policy regarding fees and expenses of internal PhD students is part of the labour relationship between the PhD student and Nyenrode Business Universiteit and will be dealt with on a case-by-case basis. Travel expenses PhD Defense Doctorate Committee When the travel expenses for the PhD Defense are not reimbursed by your own University, Nyenrode could pay for these expenses under the following conditions: By car: 0.19 per kilometer. By train: ticket second class. By plane: economy ticket. Tickets for flights are to be reported prior to the trip and have to be approved of by the Rector of Nyenrode Business Universiteit. Nyenrode will also take care of the actual booking of the ticket. A taxi to and from the airport and railway station Breukelen will be arranged by Nyenrode Business Universiteit. Please contact the Beadle. Information about travel expenses: Contact Beadle, via Nyenrode Research and Innovation Institute nri@nyenrode.nl, tel.: +31 (0)346-291 695

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Appendix I:

Requirements for Research Proposal

Prof.dr. E.A.G. Groenland, Prof.dr R.J. Tissen, PhD Directors NRI This document provides an overview of the components required in the Research Proposal. The PhD candidate must, in cooperation with the Supervisor, submit a Research Proposal. Based on this proposal, advice can be provided by NRI to the Supervisor about acceptance of the PhD candidate. NRI will focus on the methodology component of the proposal, the Supervisor will focus on the content of the proposal. After filling all the components (motivate your choices) check your proposal based on the following three criteria: a) Do all components fit together, in other words; is it consistent and coherent? b) Does the research framework lead to answers on the research questions? c) Is there a sufficient level of overall scientific quality and depth? A punctual but detailed description is required. In general, a proposal consists of 4-6 A4 pages. Title or temporary work title of the Thesis. A work title entails the central research theme, or the central (dependent) variable in the research. Personal details, including e-mail address and phone numbers where you can be reached. Name of supervisor and his/her research background Personal motivation and cause of research. A change in the field is usually the cause to initiate research. (practical, managerial and scientific motivation) Background research: field of expertise, competence field or market, leading themes and researchers, policy development and developers, players in the field, backgrounds. Solid scientific literature list to underline the importance of the research. All references in this list must be discussed in the body of the text. Generally, 10-15 references are required. Literature to be used: Any central references by which the theoretical introduction can be constipated. Management goal: Toward which management issue can/will the research contribute? Research objective(s): Which knowledge, which insights are desired? Research questions & Problem Statement: Which research questions need to be answered to provide answers in order to resolve the problem statement? Conceptual model: Which variables / concepts must be conceptualized / defined, and operationalized for the research? This includes the variables to be researched; the conceptual model usually describes a process drawn from left to right. All main concepts, and their relations, must be addressed by citing relevant references. Keywords of the research project Desired use of outcomes: How must science perceive and use the outcomes of the research; by which means must the outcomes of the research contribute to the solution of a management issue of the contractor? You have to fill in an activity here. Deliverables: Which questions will be answered, what will be the added value for science; what will the contractor receive in return for her/his investment? The formulation must be in laymen terms: the use of wording must be as concrete as possible, to make it recognizable for the contractor. Process model: Which steps need to be taken in which time frame and time path? This represents your own time path. Research method: qualitative / quantitative, case study, experiment, literature study etc. (in the format of a meta-analysis of scientific researches) Method(s) of data gathering: Quantitative: questionnaire (paper, online), financial year report companies or institutions, observation / mystery shopping, experimental data gathering by means of field- versus laboratory setting, etc.

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 Quantitative applied research: group discussion, in-depth interview / expert interview, observation. The individual is the entity of analysis. Qualitative research through a case study. The entity of analysis is the company or institution (or group/holding): explanations will be searched within the dynamics of the company or institutions. Sample design: population, sample frame, procedure to be used to conduct a factual sampling procedure, design based on cells and amounts, number of observations. Quantitative: probability versus non-probability sampling with chosen type of sample procedure. Qualitative: selection procedure of respondents, number of observations. Analysis strategy: Which types of analysis are needed in order to answer which research questions? Time frame: When will the components in the research start, respectively be completed? The methodological evaluation of your research proposal will focus on three central points: 1) Do all components of your research proposal, as specified above, fit together, in other words; is it consistent and coherent? 2) Internal validity: will the research design lead to answering the research questions? 3) Scientific substance: is there a sufficient level of overall scientific quality and depth?

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Appendix J:

Publication Matrix (derived from EQUIS report, Figure 5-3)

2002-2007 Number of publications in a category 148 528 109 70 186 135 41 63 76 21 16 4 17 Ratio of number of publications over the number of faculty members 2.31 8.25 1.70 1.09 2.91 2.11 0.64 0.98 1.19 0.33 0.25 0.06 0.27 Number of publications in a category 89 421 66 39 103 141 26 19 20 20 4 10 8

1996-2001 Ratio of number of publications over the number of faculty members 1.39 6.58 1.03 0.61 1.61 2.20 0.41 0.30 0.31 0.31 0.06 0.16 0.13

Types of Publication

Scholarly articles in international and peer-reviewed journals Articles in professional and Dutch journals Papers presented at international academic and professional conferences Books, e.g., research monographs Chapters in books (professional and Dutch publications) Mini books (Not classified) Textbooks Chapters in textbooks (English and well-respected publishers) Studies and reports commissioned by companies and government agencies Studies and reports produced as part of an international network Published case studies Published teaching materials Doctoral theses completed

- 25 NRI PhD School, Rules and Regulations, April 2008