Agreement of the Board of Governors of 20 June 2012 modified by agreement of the board of governors of 19 february 2020


The adaptation of official courses to the European Higher Education Area began in 2005 with the approval of Royal Decrees 55/2005 and 56/2005, respectively, which established the framework for the design of the official postgraduate programmes, consisting of masters and doctorate programmes.

Organic Law 4/2007 of 12 April, which amended Organic Law 6/2001 of 21 December, concerning universities, defined doctoral studies as the studies in the third cycle of official university courses, leading to obtaining the official doctorate qualification, which is official and valid throughout Spain.

Royal Decree 1393/2007, of October 29, which provided for the organization of official university studies, subsequently developed the regulatory framework for university courses and established new regulations for doctoral studies.

The regulation of doctoral studies culminated in the approval of Royal Decree 99/2011 of 28 January, which regulates official doctoral courses and was a further step forward in the development of the regulatory framework for doctorates, as it exclusively regulates the organization of doctoral studies.

Among the main new features of Royal Decree 99/2011 are the regulation of doctoral schools and the establishment of academic committees for doctoral programmes, the research plan, the doctoral student's activities document and the code of good practices.

Law 14/2011 of 1 June, concerning science, technology and innovation, recently amended some articles of Organic Law 6/2001 of 21 December, concerning universities, while making statutory provision for the creation of doctoral schools and including them within the structure of universities.

Given this new regulatory framework governing doctoral studies, and in view of the fact that universities are responsible for regulating certain aspects of them, it has become necessary to adapt the regulations governing doctoral studies at Pompeu Fabra University. To that end, on 13 July 2011 the Board of Governors agreed to create the Pompeu Fabra University Doctoral School and approve its regulations, and anticipated its work beginning in the 2012-2013 academic year.

These new academic regulations, which are designed to regulate specific aspects regarding which Royal Decree 99/2011 confers regulatory authority on the University, are also being created in accordance with the provisions of Article 158.2 of the Statutes of Pompeu Fabra University. The aim of this is first, to create a high level of flexibility in each doctoral programme, given the special characteristics of each one, and the variety of needs and training and research methods in the different fields of knowledge; and second, to support UPF's commitment to becoming a leading European university in terms of quality, internationalization and links to research.


SECTION 1. GENERAL PROVISIONS

Article 1. Purpose

This purpose of these regulations is to regulate the doctorate taught at the Pompeu Fabra University Doctoral School, which is governed by Royal Decree 99/2011 of 28 January, which regulates official doctoral courses.

SECTION 2. ADMISSION AND REGISTRATION

Article 2. Access and admission

2.1. Access and admission requirements

Students meeting the admission requirements stipulated in the regulations in force, and the additional requirements or criteria for admission or selection that have been approved by the academic committee of each doctoral programme, which must be recorded in the verification report of the doctoral programme concerned, are eligible for the studies leading to the qualification of doctorate.

2.2. Competent bodies

The Doctoral School is responsible for the admission of applicants to doctoral studies through the academic committee of the doctoral programme.

2.3. Submission of applications

The University will make a single call for admission, in which eligible candidates who meet the access and admission requirements referred to in paragraph 6.1 may participate, as well as those candidates who despite not yet meeting them, anticipate meeting them by the start date of academic activity.

If a public price has been established for participation in the admission procedure, evidence of payment of this sum is a prerequisite for participation.

2.4. Documentation

When submitting the application for admission, candidates must attach documentation certifying their compliance with the access and admission requirements, as well as those aspects which have been subject to assessment.

Final admission is subject to accreditation of compliance with the access and admission requirements on the first day of the academic year.

2.5. Assessment of admission applications for access

a) Criteria

When the demand for places on a doctoral programme exceeds those available, priority will be given to applications based on the assessment criteria established by each doctoral programme in the approved verification report.

b) Procedure

The academic committee of each doctoral programme will be responsible for establishing the selection procedure.

Article 3. Registration

3.1. Procedure

Doctoral students must complete the registration process for the academic supervision of the doctorate every year, and pay the relevant public prices, within the deadlines established by the university and in accordance with the provisions of the regulations governing registration at Pompeu Fabra University. They must also register in the academic year in which the thesis is deposited.

Doctoral students taking doctoral studies with a foreign qualification from outside the European Higher Education Area that has not been officially recognized must pay the appropriate public price for the equivalence study.

The University's acceptance of the registration is conditional upon the accuracy of the details contained in the application, the doctoral student's compliance with the requirements stipulated in the regulations for access and admission to the doctorate, and full payment in the manner and within the deadlines established.

Any doctoral students failing to register within the deadlines and in the manner established by the University will be withdrawn from the programme.

3.2. Withdrawal of registration by doctoral students

Doctoral students may withdraw their registration within two months of the registration date.

The doctoral student's presentation of the registration within the deadline and payment of the registration fee in full is a prerequisite for acceptance of the withdrawal. Once the withdrawal has been accepted, it shall take effect from the date of the doctoral student's withdrawal application.

In academic terms, the acceptance of the withdrawal of registration has the same effects as if the doctoral student had not registered. Withdrawal of registration by the doctoral student will not lead to any refund of the sum paid to that end under any circumstances.

3.3. Other aspects of registration

The regulations of this university concerning the financial aspects of registration for official courses are applicable to prices, discounts, payment methods, modifications, withdrawals and refunds of the fees.

SECTION 3. WORKLOAD OF DOCTORAL STUDENTS

Article 4. Full-time or part-time studies by the doctoral student

4.1. The ordinary regime for undertaking doctoral studies is on a full-time basis. However, at the request of the doctoral student, the academic committee of the doctoral programme may authorize the doctoral student to take the course on a part-time basis, in accordance with the provisions of Article 3 of Royal Decree 99/2011.

4.2. Applications for part-time studies must be submitted to the doctoral programme's academic committee in the manner and within the deadlines established by that committee.

4.3. The change from full-time to part-time dedication must be requested before the end of the three-year deadline for depositing the doctoral thesis. Under no circumstances can it be requested during the period of enjoyment of any of the extensions provided for in Article 15.

Modified by agreement of board of governors of 19 february 2020

SECTION 4. SUPERVISION AND MONITORING OF THE DOCTORAL STUDENT

Article 5. Assignment of a tutor and thesis supervisor

5.1. After their admission to the doctoral program, the academic committee of the doctoral programme will assign a tutor to each doctoral student, who will be a doctor with accredited research experience related to the unit or school organizing the programme.

5.2. Each doctoral student will be assigned a thesis supervisor within the period established by the regulations in force as of the time of enrolment.

The thesis supervisor must be a doctor, either Spanish or otherwise, with accredited research experience, regardless of the university, centre or institution where he/she works. In exceptional circumstances, the thesis may be supervised by doctors who are not linked to research institutions, subject to prior authorization from the Doctoral School's Management Committee.

The doctoral student may apply for a change of thesis supervisor to the academic committee of the doctoral programme. The committee may change the appointment of the thesis supervisor, after prior consultation with the applicant, the thesis supervisor and the doctor it proposes as a new supervisor, provided that it does do on justifiable grounds and there is no disagreement. In the event of disagreement, the case will be put before the Management Committee of the Doctoral School.

Modified by agreement of board of governors of 19 february 2020

Article 6. Joint doctoral thesis supervision

The doctoral thesis may be co-supervised by two or more doctors when there are academic reasons that warrant this, such as those with an interdisciplinary subject matter, subject to prior authorization from the academic committee of the doctoral programme. This authorization may subsequently be withdrawn if in the opinion of the academic committee of the doctoral program, the joint supervision does not benefit the development of the thesis.

Article 7. The doctoral student's activities document

7.1. After registering on the programme, the personalised activities documents will be written for each doctoral student, and must contain all the activities relevant to the development of the doctoral student, as agreed by the academic committee of the doctoral programme.

7.2. This document must be reviewed regularly by the tutor and the thesis supervisor, and evaluated by the academic committee responsible for the doctoral programme.

Article 8. The doctoral student's research plan

Before the end of the first year, starting on the date of first registration, doctoral students must produce their Research Plan, including the methodology, objectives, resources and planning for the production of their thesis. This research plan will be completed during the doctoral student's time in the programme, and must be endorsed by the tutor and the thesis supervisor when submitted for evaluation.

Article 9. Document of commitment

The doctoral student, the university, the tutor and the thesis supervisor shall sign a document of commitment setting out the supervision tasks relating to doctoral students. This commitment, which must be signed as soon as possible once the thesis supervisor has been appointed, must include the procedure for resolving disputes, and must provide for issues relating to intellectual or industrial property rights arising in the doctoral programmes.

Article 10. Annual assessment of the doctoral student

10.1. The academic committee of each doctoral programme must establish mechanisms to ensure the quality of the theses during the production process (public exposition in seminars, prior publication in journals of recognized prestige, external reports, etc.).

10.2. The doctoral programme's academic committee will evaluate the Research Plan, the activities document and the reports of the thesis supervisor and the tutor every year. A positive assessment is a prerequisite for continuing in the doctoral programme. A negative assessment on justifiable grounds will lead to the doctoral student being re-assessed within six months of the previous assessment, and he/she must produce a new research plan to that end. In the event of a further negative assessment, the doctoral student will be withdrawn from the programme on a permanent basis.

SECTION 5. THE DOCTORAL THESIS

Article 11. Contents of the doctoral thesis

11.1. The doctoral thesis must consist of an original piece of research in one of the research lines of the doctoral programme.

11.2. The doctoral thesis may be composed of a compendium of works obtained from the doctoral student’s own research. In this case, the doctoral thesis must include a report which presents the thesis defended, with an introductory chapter and final conclusions.

The works referred to above must have been realized after the first registration in the doctoral programme and in accordance with its research plan.

Modified by agreement of board of governors of 19 february 2020

Article 12. Annual information on doctoral theses

The academic committee of each doctoral programme must report annually to the Doctoral School's Management Committee on the progress of the doctoral theses of all its doctoral students. This information may refer to all the doctoral theses in each doctoral programme.

Article 13. Language of writing and defence of the doctoral thesis

The thesis may be written and defended in any of the languages commonly used in scientific communication in the relevant field of knowledge. If the language of writing and defence of the thesis is not Catalan, Spanish or English, the doctoral student must notify the academic committee of the doctoral programme of this beforehand.

Article 14. Co-tutoring

14.1. The University will promote initiatives that enhance the international dimension of doctoral theses by the bodies responsible for postgraduate programmes, and will establish the appropriate systems for their recognition if necessary. Moreover, in certain cases it may propose that a doctoral thesis is produced under joint supervision with another international institution, by establishing conventions or agreements, in accordance with the regulations in force at Pompeu Fabra University.

14.2. The academic committee of the doctoral program is responsible for authorizing the joint supervision of doctoral theses.

Article 15. Deadline for depositing the doctoral thesis

15.1. Deadlines and extensions

The doctoral thesis must be deposited before the end of the third academic year, or the fifth in the case of part-time doctoral students, since the doctoral student enrolled. If after this period of three or five years, as appropriate, the doctoral student has not submitted the application to deposit the thesis, the Academic Committee responsible for the doctoral programme may authorize an extension of one year, or two years in the case of part-time doctoral students, which may exceptionally be extended for one further year, under the conditions set out in the doctoral degree programme. If in this last period the doctoral student does not deposit their doctoral thesis, they will be de-registered from the programme.

15.2. Situations of leave due to health reasons or related to maternity or paternity

If the doctoral student is incapacitated due to health reasons (including risk during pregnancy), the deadline for depositing the doctoral thesis will be extended as follows:

If the doctoral student has an employment contract, it will be extended by the length of time during which the student is on sick leave.
If the doctoral student has no employment contract, it will be extended by the length of time established by a committee set up specifically for each situation. To avoid conflicts of interest, in no case will the coordinator of the doctoral programme or any person linked to the programme sit on such committee. The committee will request, among other documents, the medical report, a report from the thesis supervisor and a report from the doctoral programme coordinator.

In the case of maternity, paternity, adoption or fostering, the deadline for depositing the doctoral thesis will be extended by the maximum recognized by labour legislation as a “rest period or leave to employees”.

15.3. Situations of voluntary, temporary interruption  

Doctoral students can apply for voluntary, temporary interruption, for a maximum period of one year, extendible by up to one more year. This request must be approved by the Doctoral Programme Academic Committee which will evaluate the need to request the corresponding report from the doctoral thesis supervisor.

Voluntary, temporary interruption must be requested before the end of the three-year (full-time students) or the five-year (part-time students) deadline for depositing the doctoral thesis. Under no circumstances can it be requested during the period of enjoyment of the extensions provided for in Article 15.1.

Modified by agreement of board of governors of 19 february 2020

Article 16. Depositing the doctoral thesis

16.1. Once the doctoral thesis is prepared, the doctoral student must deposit it in the place and manner established by the Doctoral Programme Academic Committee in accordance with the deposit procedure established by the Doctoral School.

16.2. The application for deposit must be accompanied by a favourable report from the thesis supervisor, which must be comprehensive; a copy of the doctoral thesis printed on paper compliant with the conditions determined by the Doctoral School Steering Committee; a copy of the thesis in electronic form, and a statement of thesis authorship.

16.3. The Doctoral Programme Academic Committee will then proceed, in view of the documentation submitted, to authorize the deposit of the doctoral thesis or not. If it does not authorize it, the Committee will provide express justification to the doctoral student and to the thesis supervisor as to the reasons for its decision.

16.4. The Doctoral Programme Academic Committee will notify of the deposit of the thesis so that it may be disseminated, notwithstanding the provisions of Article 19. The doctoral thesis will be deposited for seven working days, starting on the day following the date of deposit, so that doctors can examine it and, if applicable, address a letter to the Doctoral School with the considerations they deem appropriate.

16.5. Thesis consultation will take place under conditions that preserve its originality and the confidentiality of its content. To this end, access may only be gained by persons accrediting the status of doctor, the time of consultation will be limited, and a specific space will be enabled to conduct this procedure.

16.6. In the case of doctoral theses in which companies participate with which confidentiality agreements have been signed or doctoral theses that may generate patents, the University, through its Doctoral School, will establish the necessary mechanisms and procedures to ensure that the authorization of the deposit of the thesis is carried out with all the necessary safeguards of confidentiality.

Modified by agreement of board of governors of 19 february 2020

Article 17. Doctoral thesis board

17.1. Proposed panel

The thesis supervisor will forward to the Doctoral School Steering Committee, via the medium enabled by the Doctoral School for such purpose, a proposal for the thesis panel, which will be approved by the Doctoral Programme Academic Committee. The Academic Committee will provide the Doctoral School Steering Committee with all of the documentation generated by the doctoral thesis assessment procedure, for processing. The Academic Committee may establish a deadline for the supervisor to arrange the proposed panel.

The proposed panel must include three members and two alternates, all holding a doctoral degree and accredited research experience, the majority of whom must be from outside the University and the institutions collaborating in the doctoral programme. The panel must not contain more than two members of the same university or institution. When an alternate is required at the reading ceremony, preference must be given, where appropriate, to someone who allows the panel to continue to be composed of members from different universities and institutions.

Neither the doctoral thesis supervisor nor the tutor can sit on the panel, except in cases where the theses are presented within the framework of bilateral joint supervision agreements with foreign universities that provide for this possibility.

This proposal must be accompanied by a suitability report on each of the five members proposed vis-à-vis the subject of the thesis. If the thesis supervisor does not submit the proposed composition of the panel within the period mentioned, the Doctoral School Steering Committee will proceed to appoint the panel under the terms established in this Article.

17.2. Approval and appointment of the panel

The Doctoral School Steering Committee shall appoint a chair, a secretary and a member from among the members of the incumbent panel, as well as a first alternate and a second alternate. In the event that any incumbent member of the panel were to decline for just cause, they will be replaced by the first alternate, or alternatively, the second alternate.

17.3. Confidentiality of panel members

In cases of doctoral theses in which companies participate with which confidentiality agreements have been signed or doctoral theses that may generate patents, the University, through its Doctoral School, will establish the necessary mechanisms and procedures to ensure that the panel members keep the content of the doctoral thesis confidential.

17.4. Right of attendance

The members of the panel from outside Pompeu Fabra University may request financial consideration by way of payment for services, based on the  established regulations.

Modified by agreement of board of governors of 19 february 2020

Article 18. Defence and grading of the doctoral thesis

18.1. Deadline to defend the thesis

The deadline to defend the thesis is six months from the time the doctoral thesis panel is appointed. The Academic Committee of each doctoral programme may authorize an extension of this term when there is due cause.

18.2. Convocation of the defence proceedings

The thesis defence proceedings shall be convened by the president of the panel, and the secretary shall inform the Doctoral School's Management Committee of the date on which it is to take place, with sufficient advance notice.

18.3. The defence proceedings

The thesis defence proceedings must take place in public within the academic period established for the reading of theses, between July and September, inclusive, without prejudice to the stipulations of Article 19.

The proceedings must consist of the doctoral student's exposition of the research work carried out, the methodology used, the contents and conclusions, with special reference to the original contributions.

The members of the board may ask the doctoral student any questions they deem appropriate. Likewise, the doctors present in the public defence proceedings may ask questions at the time and in the manner stipulated by the president of the panel.

18.4. Grading the doctoral thesis

The members of the panel will issue a report and grade the thesis globally under the terms established by the applicable regulations. The panel may propose that the thesis be awarded the distinction of cum laude, if the secret vote is unanimous in this regard. Once the doctoral thesis defence session has finalized, the counting of the votes in favour of the distinction of cum laude must be carried out in a different procedure.

Modified by agreement of board of governors of 19 february 2020

Article 19. Publication of the doctoral thesis

19.1. Once it has been passed, the doctoral thesis will be archived electronically and in open access format in the TDX repository (Theses and Dissertations Online). The Doctoral School will send the Ministry of Education a copy of the thesis in electronic format, as well as any additional information that is necessary for the appropriate purposes.

19.2. In cases where, in accordance with Article 14.6 of Royal Decree 99/2011, the Academic Committee has envisaged the possibility of partially restricting the publication of the thesis, the doctoral student must inform the Doctoral School of this and must provide a copy of the thesis from which the issues that are subject to special protection have been removed and a full text copy, which in compliance with the mandatory rules, will be kept in the University Archive. This copy will remain confidential throughout the term agreed to by the Doctoral Programme Academic Committee.

Modified by agreement of board of governors of 19 february 2020

SECTION 6. THE DOCTORAL DIPLOMA AND THE DOCTORAL THESIS SPECIAL AWARD

Article 20. The doctoral diploma

After the defence of the thesis has been approved, the doctoral student may apply for a doctoral diploma from Pompeu Fabra University.

Article 21. International mention in the doctoral diploma

The doctoral diploma may include on the obverse the words "international doctor," provided that the provisions of Article 15 of Royal Decree 99/2011 are complied with.

Article 22. Special awards for doctoral theses

The academic committee of the doctoral programme may submit a proposal for a Special Award for a Doctoral Thesis to the Doctoral School's Management Committee. The academic committee of each doctoral programme may request one special award be granted for every ten doctoral theses read.

ADDITIONAL PROVISION. Accredited research experience

Whenever herein accredited research experience is required, it will be understood as being such as determined by the Doctoral Programme Academic Committee

Modified by agreement of board of governors of 19 february 2020

FIRST TRANSITORY PROVISION. DOCTORAL STUDENTS SUBJECT TO PREVIOUS REGULATIONS

1. Doctoral students who have begun doctoral studies under previous regulations are subject to the provisions regulating the doctorate and the issuing of the doctoral diploma that were in force at the time when they began their studies. In any event, the regulations governing the board, the defence and assessment of the doctoral thesis stipulated in Royal Decree 99/2011 are applicable to those students one year after their entry into force.

2. Unless the Regulations governing continuance on doctoral studies at Pompeu Fabra University stipulate a different period, those pursuing doctoral studies on the entry into force of Royal Decree 99/2011 will have five years to present and defend their doctoral thesis. If this period of time elapses without these requirements having been met, the doctoral student will be declared to have been permanently withdrawn from the programme.

SECOND TRANSITORY PROVISION

During the period that the UPF Doctoral School is inoperative, the tasks assigned to the Doctorate School's Management Committee shall be performed by the Postgraduate and Doctorate Studies Committee.

SOLE OVERRIDING PROVISION

These regulations revoke the academic regulations for doctoral studies approved by the Board of Governors on 2 May 2007, and the Agreement of the Governing Council of 16 June 2010, concerning the composition of doctoral thesis boards. 

Resolution of the Board of Governors of 9 July 2008, amended by Resolutions of the Board of Governors of 13 July 2011, 9 May 2012, 7 November 2012, 17 February 2016, 6 July 2016, 26 April 2017, 11 April 2018, 20 February 2019, 29 May 2019, 11 December 2019 and 26 October 2022

Article 1. Scope of application

These regulations are applicable to Bachelor's degree courses governed by the regulations that establish the planning of official university education. The economic management of tuition fees is governed by specific regulations.

Article 2. Admission

The University will regulate the procedure for admitting those students who, having commenced university studies, wish to take a Bachelor's degree course at UPF, in addition to other access procedures that may be regulated by the University.

Article 3. Reincorporation

3.1. Application (see General instruction concerning the reincorporation of students finalising studies with recognised subjects)

3.1.1. Students who have withdrawn from their studies at Pompeu Fabra University because they have previously applied for a transfer to another university and who wish to resume the studies from which they withdrew must apply for readmission and obtain a favourable decision.

3.1.2. The student shall submit the supporting documents setting forth his or her reasons for applying for readmission. UPF continuance standards must be met in all cases

3.1.3. Applications shall be submitted at the Student Information Desk, addressed to the dean, centre director or study director, between 1 and 10 July.

3.2. Decision

3.2.1. The competent body to decide upon applications is the dean, centre director or study director.

3.2.2. In order to grant reincorporation, the competent body will assess the academic transcript of the UPF studies from which the applicant withdrew and the motivations set forth in his or her application, and will take into account the supply of and demand for places on the course for which he or she is applying.

3.2.3. Readmission to discontinued curricula is not applicable.

3.3. Notification and system of appeals

The office of the centre or study will notify the decisions to the interested parties. An appeal may be filed against these decisions before the Rector within no more than one month.

Article 4. Enrolment

4.1. Procedure

The student must formally enrol on the bachelor’s degree course by the deadline established by the University. Past this deadline, the enrolment cannot be formally completed and changes may only be made to the enrolment in the periods established by the university. Applications submitted past the established deadlines will not be accepted for processing.

Acceptance of the application by the University is conditional on the accuracy of the data provided in the application, fulfilment by the student of the requirements laid down in the current regulations governing admission to bachelor’s degree courses, and payment in full of the corresponding public fees by the established method and deadline.

4.2. Enrolment modifications

Before the beginning of the academic year, the University establishes the deadlines for modifying enrolment applications.

Applications submitted after the deadlines laid down will not be accepted for consideration.

4.3. Mandatory nature of enrolment

4.3.1. First-year students must necessarily enrol for all the first-year credits, in accordance with the study modes regulated by the University.

4.3.2. At the time the enrolment is formally completed, students with basic training and compulsory credits that they have not passed must necessarily include those credits if they are also enrolling on credits for the first time.

4.3.3. The offering of optional subjects binds the University for one academic year.

4.3.4. The number of students per subject cannot be less than 20, generally speaking. However, subjects may continue to be taught with a lower number of students in the corresponding academic year in accordance with the criteria to be established by the vice-rector responsible for academic planning, in which the specific conditions to be able to continue offering the subjects in subsequent academic years must be provided for.

4.4. Maximum number of credits at enrolment

4.4.1. In order be able to request the qualification of Bachelor's degree, students must have passed the minimum number of credits required for that degree, which in most cases is 240 credits, in accordance with curricular planning. To allow a margin of flexibility, students may enrol for no more than 16 credits at enrolment.

4.4.2. With regard to the enrolment limitation described in the previous section, students admitted to special bachelor’s degree programmes will be subject to the specific academic regulations for them laid down in the corresponding reports approved by the Board of Governors.

4.5. Enrolment withdrawal

The student may withdraw from enrolment, no later than 30 November. Withdrawal must be accepted by the University, although it is effective as of the date of the withdrawal.

Acceptance of enrolment withdrawal has the same effects as if the student had not enrolled, and the provisions of the regulations on economic aspects of enrolment will be taken into account.

4.6. Fees

The system of enrolment fees is determined in the regulations on enrolment fees for official courses as approved by the University.

Article 5. Study modes

The University shall regulate study modes. The Board of Governors is responsible for approving the specific regulations, which must in all cases include the option of part-time study.

Article 6. Continuance

The continuance standards applied to Bachelor's degree students are as approved by the Board of Trustees, on the proposal of the Board of Governors.

Article 7. Credit transfer

7.1. Concept

Credit transfer consists of the inclusion in the student's academic record of credits obtained in official studies taken previously, at UPF or another university, that have not led to the attainment of an official qualification.

7.2. Procedure and inclusion in the student's record

Upon request addressed to the head of the office of the centre in which the course is taught, the student can apply for the transfer of credits to his or her academic record, by accrediting them with academic certificates issued by the corresponding university. Additionally, the student must sign a statement to the effect that the courses for which he or she is requesting the credit transfer have not led to the attainment of an official qualification and specifying whether he or she is simultaneously taking any other official course of study. The student is responsible for informing the University of any change with respect to these statements.

On verification that the application meets the provisions of the regulations, the office will incorporate the credits into the student's academic record.

Article 8. Credit recognition

8.1. Concept

8.1.1. Credit recognition consists of the acceptance by Pompeu Fabra University of credits which, having been obtained as part of an official course of study at the same or another university, are taken into account in different courses for the purposes of obtaining an official qualification.

Credit recognition entails the transfer of all the credits that figure in the academic transcript of the previous university study accredited by the student, on condition that this course has not led to the attainment of an official qualification.

8.1.2. The following may also be recognised, in the form of credits:

- University studies leading to the attainment of other qualifications, in accordance with the provisions of Article 34.1 of Organic Law 6/2001, of 21 December, on Universities.

- Official studies leading to the attainment of qualifications for higher education in arts, sports or vocational training, under the terms and within the limits established by current regulations on recognition of studies in higher education, and any agreements reached between the University and the corresponding educational authority.

- Accredited work and professional experience, on condition that this experience is related to the skills inherent in the official qualification that is pursued.

8.1.3. Credits corresponding to final-year projects are under no circumstances eligible for credit recognition.

8.1.4. The total number of credits recognized in a degree cannot exceed 60% of the total credits of the syllabus of said degree. Regarding credit recognition in special degree studies at UPF, the provisions of the programme specifications shall apply.

8.2. Courses and subjects that may be recognized

8.2.1. The following subjects may be eligible for recognition:

a) Basic training subjects carried over to the undergraduate studies

- Provided the degree that the student intends to enrol on belongs to the same branch of knowledge, a number of credits corresponding to basic training subjects from said branch of knowledge equal to at least 15 per cent of the total credits for the new degree shall be subject to recognition.

- Credits earned in other basic training subjects belonging to the branch of knowledge of the degree that the student intends to enrol on shall also be subject to recognition.

b) Other subjects

All other credits of a compulsory or optional nature may be recognised by the University, taking into account the match between the skills and knowledge acquired in the other subjects taken by the student and those provided for in the curriculum or that are of a cross-disciplinary nature.

Per altra banda, no sé si he entès bé la diferència entre aquests crèdits i els que es refereixen en el paràgraf anterior. Us ho comento per si creueu que l’he malentès i que cal afegir alguna cosa a l’anglès perquè quedi més clar la distinció que s’està fent. En aquest cas, si em podeu explicar-la, podré ajudar a buscar una solució més oportuna sense cap problema.

8.2.2. The knowledge associated with prior professional experience may also be recognized by the University, provided it is in keeping with that foreseen in the syllabus or is cross-disciplinary in nature.

It is up to the deans and directors of the centre to propose specific criteria for the recognition of the professional activity, which must be validated by the Academic Credits Recognition Committee.

8.2.3. In any case, the number of credits recognized on the basis of work and professional experience and non-official university studies may not exceed, in total, 15% of the total credits that constitute the syllabus. The recognition of these credits will be incorporated into the transcript with the mention of 'recognized credits' and will not count for the purposes of grading in the transcript.

8.2.4. However, credits from UPF-endorsed degrees may exceptionally be recognized at a higher percentage than that stated in the above paragraph or, where appropriate, be subject to recognition in their entirety when the corresponding UPF-endorsed degree has been terminated and replaced by an official degree, provided that such is provided for in the verification report of the new undergraduate syllabus.

8.3. Recognition of foreign degrees

Foreign qualifications may also be eligible for recognition in partial lieu of Pompeu Fabra University Bachelor's degree courses, in accordance with the specific provisions established by current regulations on recognition of foreign degrees.

8.4. General criteria for recognition of academic credits

8.4.1. A UPF subject shall not be recognised, nor shall it form part of a credit recognition table comparing two courses, when either of the following situations occur:

a) There is no course plan for the subject to be recognised.

b) The student has taken an examination in the subject to be recognised in the current course of study.

8.4.2. The credit recognition of a subject will be established for the totality of the credits of one or more subjects.

8.4.3. When the subject passed by the student in the previous studies is worth fewer credits than the target subject, for it to be recognised, the number of credits earned for the subject from the previous studies must be equal to or greater than 80% or those awarded for the target subject.

8.4.4. Recognised subjects shall be taken into account for purposes of study progression as subjects passed by the student.

8.4.5. The match between the skills and knowledge will be studied when an undergraduate student submits subjects taken within postgraduate courses.

8.4.6. Recognitions may be established between subjects duly accredited by students enrolled at UPF who have taken subjects at foreign universities outside an exchange programme.

8.4.7. In the application for credit recognition of basic training subjects taken in previous studies, the dean or study director shall establish whether equivalence is appropriate. In all other cases, the student must specify in the application the proposal for equivalences between subjects.

8.5. Requirements of applicants

Applicants must accredit having obtained a place on the Bachelor's degree course for which they are applying for recognition.

8.6. Place and deadline for application

Applications must be submitted at the Student Information Desk, addressed to the dean, centre director or study director, within the following periods:

- Applications from students enrolled on a course at Pompeu Fabra University can apply from the beginning of the academic year until 31 May.

- Applications from newly enrolled students must apply in the period between 1 and 20 September, without prejudice to the provisions established for applications for access from university studies already underway.

8.7. Documentation

8.7.1. Recognition of basic training subjects

At the time of making the application the interested party must submit the following documents, although the centre or study office may require him or her to provide the necessary additional documents to resolve the recognition application:

- Application form showing the list of completed basic subjects.

- Academic certificate specifying the name of the subjects, their type, the number of credits and the grade obtained. If the student took the courses of origin at Pompeu Fabra University, it is not necessary to submit this document.

- Document accrediting the curriculum followed, duly stamped by the corresponding institution, specifying the branch of knowledge of the course and the basic training subjects. If the student took the courses of origin at Pompeu Fabra University, it is not necessary to submit this document.

- Proof of payment of the fee for the recognition application.

8.7.2. Recognition of other credits

At the time of making the application the interested party must submit the following documents, although the centre or study office may require him or her to provide the necessary additional documents to resolve the recognition application:

- Application form showing the list of subjects for which credit recognition is requested. Given that requesting the recognition of completed credits is an option that is available to the student, who can always opt to take the subjects in his or her curriculum as per normal, no situation can be recognised unless it has been expressly requested.

- Academic certificate specifying the name of the subjects, their type, the number of credits and the grade obtained. If the student took the courses of origin at Pompeu Fabra University, it is not necessary to submit this document.

- Document accrediting the curriculum followed, duly stamped by the corresponding institution. If the student took the courses of origin at Pompeu Fabra University, it is not necessary to submit this document.

- Photocopy of the curriculum or programme of the completed subjects, duly stamped by the corresponding institution. If the student took the courses of origin at Pompeu Fabra University, it is not necessary to submit this document.

- Proof of payment of the fee for the recognition application.

8.7.3. Documents issued abroad

Documents issued abroad must meet the following requirements:

a) They must be official and issued by the authorities competent to do so, in accordance with the legal framework of the country concerned.

b) They must be submitted authenticated by the appropriate diplomatic channel or, when appropriate, by the apostille of the Hague Convention. This requirement is not demanded for documents issued by the authorities of European Union member states or signatory states to the Agreement on the European Economic Area.

c) They must be accompanied, if required, by the corresponding official translation into Spanish or Catalan.

8.8. Application decisions

8.8.1. The competent body to decide on the applications is the dean or centre director.

8.8.2. In the event of the application including credits that are already validated, recognised or adapted, the competent body will issue a decision taking into account the content that gave rise to the original act of recognition of academic equivalence, to which end it is necessary to provide the corresponding documentation.

8.8.3. The centre office will notify the decisions to the interested parties. An appeal may be filed against these decisions before the Rector within no more than one month.

8.8.4. The decisions made by the deans or directors will be conveyed for information purposes to the Academic Credit Recognition Committee referred to in Section 11 of this article.

8.9. Inclusion in the academic record

Any recognised credits will be recorded on the student’s transcript and will be reflected on the European Diploma Supplement, in accordance with the provisions of the legal regulations governing qualifications in force at the time the credits are recognised.

8.10. Fee

The framework of fees for credit recognition is determined by the regulations on fees for official studies as approved by the University.

8.11. Academic Credit Recognition Committee

8.11.11. The Academic Credit Recognition Committee is the competent body to analyse and approve the criteria for credit recognition and tables of equivalences, principally between courses offered by the University itself, and to issue mandatory but non-binding reports on any appeals filed concerning this matter.

In relation to cross-disciplinary free-elective training, its function shall be to ensure compliance with the regulations, approve the criteria proposed by the centres with regard to incompatibilities between subjects, and resolve any other matter concerning cross-disciplinary free-elective training.

8.11.2. The Academic Credit Recognition Committee is composed of the following members:

- Chair: the rector or the vice-rector that he or she delegates.

- Members: up to a maximum of 10 lecturers appointed by the Board of Governors.

- Secretary: the head of the competent service for academic management matters

8.11.32  The criteria and other resolutions adopted by the Academic Credit Recognition Committee shall be published in the corresponding section of the University's website. This publication shall take place prior to their implementation, once the corresponding criterion or resolution has been approved.

Article 9. Academic recognition of activities

The University will regulate the criteria for academic recognition in credits for having taken part in university activities in the fields of culture, sport, student representation, solidarity or cooperation, up to a maximum of 6 credits out of the total for the curriculum followed by the student.

Article 9bis. Cross-disciplinary free-elective training

9bis. 1. Concept

Cross-disciplinary free-elective training is training offered to UPF students at the University in courses other than those on which they are enrolled. This training supplements the training provided as part of their curriculum, as well as any training they may complete within the framework of an exchange or mobility programme.

Only training explicitly completed as such through the University’s specific offering for each period of the academic year will be considered cross-disciplinary free-elective training. Under no circumstances may a subject taken as cross-disciplinary, free-elective training be listed as such on the transcript for more than one UPF degree.

9bis. 2. Offer

Cross-disciplinary free-elective training includes any subject taught as part of the curricula for official qualifications that is included in this programme by the centres and any other training activities that the University deems suitable to include in the cross-disciplinary training offer for each period.

Each centre will determine the subjects of its undergraduate studies and the number of places to be offered as part of this training. The vice rector responsible for teaching, in collaboration with the corresponding academic directors, will determine the other training activities to be included in this training and the number of places for them.

For students enrolling on subjects included in the cross-disciplinary free-elective training, these subjects will be treated, for all purposes, as optional subjects for their curriculum.

9bis. 3. Total credits

The sum of cross-disciplinary free-elective training credits and mobility credits – subjects taken as part of an exchange programme at  another university – shall not be greater than the total number of mobility credits established in the curriculum. Exceptions will be made for those cases in which the student wishes to take a minor, which will be regulated by the University in the corresponding regulations.

9bis. 4. Requirements and incompatibilities

9bis. 4.1. Only students enrolled on a year of their curriculum in which they are allowed to take optional subjects may enrol on subjects within the framework of cross-disciplinary free-elective training, except for those training activities that provide otherwise or when they are taken as part of a minor.

9bis. 4.2. Students may not choose a subject whose content is of an equal or lower level than that of another to be taken as part of their curriculum, that they have already had recognised, or that they are taking as part of another study programme at UPF. To this end, each centre will determine the incompatibilities that it deems appropriate.

9bis. 4.3. Students who have taken subjects within the UPF Open Bachelor’s Degree may request the inclusion of some of these subjects as cross-disciplinary free-elective training, provided that they have not already been included as subjects belonging to their final curriculum.

9bis.5 .  Academic supervisory body

The Academic Credit Recognition Committee will be the supervisory body responsible for enforcing these regulations, will approve the criteria proposed by the centres with regard to the incompatibilities between subjects, and will resolve any other matter concerning cross-disciplinary free-elective training.


Article 10. Framework for sittings

10.1. The Board of Trustees is the competent body to regulate the total number of sittings per subject.

10.2. In the event of the Board of Trustees establishing an extraordinary sitting, the student must address the application to the Rector, enclosing documentary evidence of the grounds for his or her application, no more than two weeks after the publication of the definitive grades.

The Rector, on the proposal of the Board of Trustees, is responsible for making application decisions, and the same decision may establish, in the event of the decision being favourable, the academic conditions whereby the student's enrolment is authorised.

10.3. There is a single sitting per subject and academic year.

Article 11. Learning assessment

11.1. Concept

11.1.1. The student learning assessment determines the degree of achievement of the skills and content of the subject studied.

The results of the assessment are intended to provide both students and lecturers with periodic information on the evolution and progress towards achieving the content and skills expressed as learning objectives.

11.1.2. The assessment is comprised of the series of processes, instruments and teaching strategies defined in the course plan of the subject, applicable progressively and integrated throughout its development.

11.1.3. The student is entitled to an objective and, whenever possible, continuous assessment, and to be informed of University regulations regarding assessment.

11.2. Centres' assessment and resit criteria

11.2.1. The centres are responsible for approving the assessment and resit criteria for the activities included in the course plan.

The deans and centre directors will inform the various departments of the assessment criteria and will ensure that the course plans include a system of assessment that meets these criteria.

11.2.2. The assessment criteria must be known by the student at the beginning of each academic period.

11.3. Assessment and resit periods

11.3.1. The University will programme an assessment period at the end of each term in the academic calendar, in order to allow for examinations and other subject assessment activities.

11.3.2. The University will programme a resit period in July in order to allow for the subject assessment activities in accordance with the provisions of the course plan, without prejudice to the possibility of resits being held at any time of the academic year. To this end, the academic calendar may schedule various Saturdays in the second and third terms in order to set the resits for the first and second terms respectively.

11.3.3. With regard to the criteria referred to in Article 11.2.1, the centres shall determine the period in which the resits can be held, either in July or during the academic year in accordance with the section above.

11.3.4. The July resit period will determine the definitive closure of the transcripts of the academic year with regard to fail grades, which are the only grades that are modifiable in the resit process.

11.4. Subject resits

11.4.1. Subjects will have resit activities in accordance with the course plans, which will establish the necessary requirements to be able to take them.

11.4.2. The resit process may be followed by all students who, having taken part in the learning and assessment activities throughout the term, obtained a fail grade for the subject concerned in the termly assessment. Those who have not taken part in the learning and assessment activities or have withdrawn from the assessment may not follow the process.

11.5. Withdrawal from the assessment

11.5.1. At the beginning of each academic year, the University will publish the deadlines for processing withdrawal from the assessment, and the procedure for requesting it.

11.5.2. In situations in which the student considers that he or she will be unable to pass a subject evaluation, in order to avoid exhausting the sitting he or she must inform the centre office in writing of his or her withdrawal no later than the last day of classes of each term, according to the academic calendar.

11.5.3. Withdrawal from the assessment of a subject entails losing the possibility of taking part in the assessment activities, including resit activities of that subject.

11.5.4. If the subject involves a general examination in the termly assessment period and the student is impeded from taking it due to unforeseeable circumstances of force majeure, he or she may withdraw from the assessment up to seven days after the date of the examination.

The request will be made by means of a written statement of the student's reasons addressed to the dean or centre director, with documentary evidence of the causes that impeded him or her from taking the general examination.

In this case, the dean or centre director will issue a decision within a maximum period of ten days from the date of receipt of the request. A claim may be filed against these decisions before the competent vice-rector in academic planning matters within no more than five days from the day after the date of notification of the decision.

11.6. Preservation of examination papers

The General Secretary of the University, whose responsibilities include managing the University Archives, is the competent body to lay down the conditions and the calendar for the preservation of examination papers. (See resolution of 11 March 2011, amending Instruction 01/2004 of the University Archives, establishing the procedure for the disposal of examination papers and base documents for grading).

Article 12. Grading

12.1. Grading system

The student shall be assessed and graded, in accordance with the provisions of the course plan and current regulations.

The results obtained by the students are expressed in numeric grades, in accordance with the scale set down in Royal Decree 1125/2003, of 5 September, establishing the European credit system and the grading system in official university degrees with validity throughout national territory.

12.2. Notification of grades

The competent vice-rector in academic planning matters is responsible for setting the time limits and the procedure for the notification of grades. Priority will be given to notifying by means of information technologies.

12.3. Review of grades

12.3.1. The student is entitled to a review of the grade with the teaching staff responsible for the subject.

12.3.2. This review will be conducted on the day and at the time indicated by the lecturer responsible for the subject when delivering the provisional grades. The student will be notified of the result by means of its incorporation into his or her academic record once the transcript is closed.

12.3.3. Regardless of whether he or she has exercised the right set forth in the sections above, the student may file a claim against the definitive grade before the dean or centre director within no more than five calendar days from the date of publication of the definitive transcripts.

The dean or centre director will appoint a claims committee, which will settle the students' claims.

Before issuing a decision, the committee must take into consideration the views of the lecturer in charge of the subject.

The committee will settle all the requests for grade reviews within five calendar days of the previous deadline, and its decision will exhaust the administrative channel.

12.4. Assessment of academic records. See the Instruction of the Vice-Rector for Teaching and Academic Planning for treatment of the grade of 'distinction' in Bachelor's or equivalent degrees.

12.4.1. Obtaining the average of the academic record

The average of each student's academic record is obtained using the formula set forth in Royal Decree 1125/2003, of 5 September, without prejudice to the provisions of the section below.

12.4.2. Obtaining the average of the academic record when there is more than one grading system

a) When any one academic record reflects the use of more than one grading system (quantitative and qualitative), for the purpose of standardising the assessment of students' academic records the numeric scale used must necessarily be obtained as follows.

The average of the academic record will be obtained using the numeric scale corresponding to the 'degree holder's overall grade' as set forth in Point 4.5 of Annex XII.A of Royal Decree 1002/2010, of 5 August, on the granting of official qualifications, and the formula established therein to weight the value of each subject with regard to the total subjects that comprise the academic record, in accordance with the following criteria:

- The numeric grades of the subjects or courses will be obtained in accordance with the table of equivalences below.

Grade

Points equivalence

Pass

5.5

Good

7.5

Outstanding

9

Distinction

10

- Recognised credits have the points equivalence corresponding to the grade obtained in the centre of origin.

- Ungraded recognised credits, transferred credits, credits with the grade 'apte/a' (a generic pass grade) and all those containing any other expression are not taken into consideration.

- The grade of each subject or course passed will be weighted by the number of credits awarded for that subject, in accordance with the following formula:

V = P x Nca / NCs, where V = weighted value of the subject or course, P= points for each subject or course in accordance with the table of equivalences, NCs= number of credits awarded for the subject or course, and NCa= total number of credits achieved.

- The average grade of the academic record is obtained by adding the weighted value of all the subjects or courses completed.

b) In the event of processes of competitive concurrence in which the students' academic records do not use the same grading systems, transcripts that give qualitative grades (totally or partially) will be treated as indicated in the section above, for the purposes of calculating the average of the academic record between 0 and 10 points.

c) When it is specifically required that the average of the academic record be obtained scoring from 1 to 4, the numeric scale used will be that corresponding to the 'degree holder's overall grade' as set forth in Point 4.5 of Annex I of Royal Decree 1044/2003, and the formula established therein to weight the value of each subject or course with regard to the total subjects or courses that comprise the academic record, taking into consideration that the numeric grades of the subjects or courses will be obtained in accordance with the table of equivalences below.

Grade

Points equivalence

Pass

1

Good

2

Outstanding

3

Distinction

4

12.5. Certification of grades in the academic record

The certification of the academic record will include the grading information in accordance with the specifications established in the above sections of these regulations.

The academic certificates will state the average of the academic record.

 

Article 13. Incorporation into the academic record

All enrolled credits will be incorporated into the student's academic record.

Once the minimum requirements to obtain the Bachelor's degree have been met, the student's academic record will not incorporate any optional subjects that he or she has not passed.

Article 14. Phasing out of curricula

14.1. When Bachelor's degree curricula are approved that replace other Bachelor's degree curricula, the latter will be gradually phased out year by year. Once all the years have been phased out, the student is entitled to sit examinations for the two immediately consecutive academic years in any sittings established by the University, on condition that he or she is entitled to do so under the academic regulations in force.

14.2. Once the period indicated in the point above has expired, those students who wish to continue the course must submit an application of adaptation to the new curricula to the Student Information Desk, addressed to the dean or centre director, before 1 September of the academic year in which he or she wishes to enter the new curriculum.

Article 15. Granting of official qualifications and the European Diploma Supplement

The official Bachelor's degree and the European Diploma Supplement may be requested once the credits necessary to obtain them have been achieved. The application may be made at any time, and should be addressed to the competent service in academic management matters.

First additional provision: affiliated centres

Applications for credit recognition, academic recognition of activities, reincorporation into the University and other formalities requested by students of higher education institutions affiliated to Pompeu Fabra University that, according to these regulations, are to be dealt with by the dean or centre director, will be dealt with by the body designated by the affiliated centre concerned.

Second additional provision: mobility students

The recognition of credits taken by students in the framework of a mobility programme agreement is governed by the regulations on mobility of undergraduates approved by the University.

Third additional provision

Articles 10, 11 and 12 of these regulations will also be applicable to long degrees, engineering long degrees, diplomas and engineering diplomas, the curricula of which are being phased out.

Fourth additional provision

The centres shall deliver the criteria for resits and assessment, which shall be published through the University's usual channels prior to the beginning of the academic year, to the competent vice-rector in academic planning matters before 1 July 2012.

Fifth additional provision

In exceptional, duly justified situations, deans or directors will be authorized with respect to the teaching carried out at their centre, to modify the system to assess and evaluate subject teaching plans and make all curricular adaptations required, if applicable.

First transitional provision: Academic Credit Recognition Committee

For as long as the University provides tuition in official courses in first- and second-cycle long degrees, diplomas and engineering long degrees and diplomas, whether ongoing or being phased out, the Academic Credit Recognition Committee assumes the responsibilities of the Validations Committee approved by Resolution of the Governing Board of 17 May 2000, amended by Resolutions of the Board of Governors of 2 May 2007, 18 July 2007 and 3 October 2007. 

Second transitional provision: special policy on incompatible studies

Official Bachelor's degree courses provided by Pompeu Fabra University cannot be taken simultaneously at the University with the studies regulated by Royal Decree 1497/1987 that they replace.

Sole additional provision (Resolution of the Board of Governors of 9 May 2012)

1. The amendment of Article 8 will come into force the day after its approval.

2. The amendment of Articles 10, 11 and 12 will come into force in the 2012-2013 academic year.

Sole repeal provision (Resolution of the Board of Governors of 9 May 2012)

The regulations on final examinations, approved by Resolution of the Board of Governors of 6 October 2004, are repealed, without prejudice to their application to the processes corresponding to the 2011-2012 academic year.

Agreement of the Board of Governors of 20 June 2012 modified by agreement of the board of governors of 19 february 2020


The adaptation of official courses to the European Higher Education Area began in 2005 with the approval of Royal Decrees 55/2005 and 56/2005, respectively, which established the framework for the design of the official postgraduate programmes, consisting of masters and doctorate programmes.

Organic Law 4/2007 of 12 April, which amended Organic Law 6/2001 of 21 December, concerning universities, defined doctoral studies as the studies in the third cycle of official university courses, leading to obtaining the official doctorate qualification, which is official and valid throughout Spain.

Royal Decree 1393/2007, of October 29, which provided for the organization of official university studies, subsequently developed the regulatory framework for university courses and established new regulations for doctoral studies.

The regulation of doctoral studies culminated in the approval of Royal Decree 99/2011 of 28 January, which regulates official doctoral courses and was a further step forward in the development of the regulatory framework for doctorates, as it exclusively regulates the organization of doctoral studies.

Among the main new features of Royal Decree 99/2011 are the regulation of doctoral schools and the establishment of academic committees for doctoral programmes, the research plan, the doctoral student's activities document and the code of good practices.

Law 14/2011 of 1 June, concerning science, technology and innovation, recently amended some articles of Organic Law 6/2001 of 21 December, concerning universities, while making statutory provision for the creation of doctoral schools and including them within the structure of universities.

Given this new regulatory framework governing doctoral studies, and in view of the fact that universities are responsible for regulating certain aspects of them, it has become necessary to adapt the regulations governing doctoral studies at Pompeu Fabra University. To that end, on 13 July 2011 the Board of Governors agreed to create the Pompeu Fabra University Doctoral School and approve its regulations, and anticipated its work beginning in the 2012-2013 academic year.

These new academic regulations, which are designed to regulate specific aspects regarding which Royal Decree 99/2011 confers regulatory authority on the University, are also being created in accordance with the provisions of Article 158.2 of the Statutes of Pompeu Fabra University. The aim of this is first, to create a high level of flexibility in each doctoral programme, given the special characteristics of each one, and the variety of needs and training and research methods in the different fields of knowledge; and second, to support UPF's commitment to becoming a leading European university in terms of quality, internationalization and links to research.


SECTION 1. GENERAL PROVISIONS

Article 1. Purpose

This purpose of these regulations is to regulate the doctorate taught at the Pompeu Fabra University Doctoral School, which is governed by Royal Decree 99/2011 of 28 January, which regulates official doctoral courses.

SECTION 2. ADMISSION AND REGISTRATION

Article 2. Access and admission

2.1. Access and admission requirements

Students meeting the admission requirements stipulated in the regulations in force, and the additional requirements or criteria for admission or selection that have been approved by the academic committee of each doctoral programme, which must be recorded in the verification report of the doctoral programme concerned, are eligible for the studies leading to the qualification of doctorate.

2.2. Competent bodies

The Doctoral School is responsible for the admission of applicants to doctoral studies through the academic committee of the doctoral programme.

2.3. Submission of applications

The University will make a single call for admission, in which eligible candidates who meet the access and admission requirements referred to in paragraph 6.1 may participate, as well as those candidates who despite not yet meeting them, anticipate meeting them by the start date of academic activity.

If a public price has been established for participation in the admission procedure, evidence of payment of this sum is a prerequisite for participation.

2.4. Documentation

When submitting the application for admission, candidates must attach documentation certifying their compliance with the access and admission requirements, as well as those aspects which have been subject to assessment.

Final admission is subject to accreditation of compliance with the access and admission requirements on the first day of the academic year.

2.5. Assessment of admission applications for access

a) Criteria

When the demand for places on a doctoral programme exceeds those available, priority will be given to applications based on the assessment criteria established by each doctoral programme in the approved verification report.

b) Procedure

The academic committee of each doctoral programme will be responsible for establishing the selection procedure.

Article 3. Registration

3.1. Procedure

Doctoral students must complete the registration process for the academic supervision of the doctorate every year, and pay the relevant public prices, within the deadlines established by the university and in accordance with the provisions of the regulations governing registration at Pompeu Fabra University. They must also register in the academic year in which the thesis is deposited.

Doctoral students taking doctoral studies with a foreign qualification from outside the European Higher Education Area that has not been officially recognized must pay the appropriate public price for the equivalence study.

The University's acceptance of the registration is conditional upon the accuracy of the details contained in the application, the doctoral student's compliance with the requirements stipulated in the regulations for access and admission to the doctorate, and full payment in the manner and within the deadlines established.

Any doctoral students failing to register within the deadlines and in the manner established by the University will be withdrawn from the programme.

3.2. Withdrawal of registration by doctoral students

Doctoral students may withdraw their registration within two months of the registration date.

The doctoral student's presentation of the registration within the deadline and payment of the registration fee in full is a prerequisite for acceptance of the withdrawal. Once the withdrawal has been accepted, it shall take effect from the date of the doctoral student's withdrawal application.

In academic terms, the acceptance of the withdrawal of registration has the same effects as if the doctoral student had not registered. Withdrawal of registration by the doctoral student will not lead to any refund of the sum paid to that end under any circumstances.

3.3. Other aspects of registration

The regulations of this university concerning the financial aspects of registration for official courses are applicable to prices, discounts, payment methods, modifications, withdrawals and refunds of the fees.

SECTION 3. WORKLOAD OF DOCTORAL STUDENTS

Article 4. Full-time or part-time studies by the doctoral student

4.1. The ordinary regime for undertaking doctoral studies is on a full-time basis. However, at the request of the doctoral student, the academic committee of the doctoral programme may authorize the doctoral student to take the course on a part-time basis, in accordance with the provisions of Article 3 of Royal Decree 99/2011.

4.2. Applications for part-time studies must be submitted to the doctoral programme's academic committee in the manner and within the deadlines established by that committee.

4.3. The change from full-time to part-time dedication must be requested before the end of the three-year deadline for depositing the doctoral thesis. Under no circumstances can it be requested during the period of enjoyment of any of the extensions provided for in Article 15.

Modified by agreement of board of governors of 19 february 2020

SECTION 4. SUPERVISION AND MONITORING OF THE DOCTORAL STUDENT

Article 5. Assignment of a tutor and thesis supervisor

5.1. After their admission to the doctoral program, the academic committee of the doctoral programme will assign a tutor to each doctoral student, who will be a doctor with accredited research experience related to the unit or school organizing the programme.

5.2. Each doctoral student will be assigned a thesis supervisor within the period established by the regulations in force as of the time of enrolment.

The thesis supervisor must be a doctor, either Spanish or otherwise, with accredited research experience, regardless of the university, centre or institution where he/she works. In exceptional circumstances, the thesis may be supervised by doctors who are not linked to research institutions, subject to prior authorization from the Doctoral School's Management Committee.

The doctoral student may apply for a change of thesis supervisor to the academic committee of the doctoral programme. The committee may change the appointment of the thesis supervisor, after prior consultation with the applicant, the thesis supervisor and the doctor it proposes as a new supervisor, provided that it does do on justifiable grounds and there is no disagreement. In the event of disagreement, the case will be put before the Management Committee of the Doctoral School.

Modified by agreement of board of governors of 19 february 2020

Article 6. Joint doctoral thesis supervision

The doctoral thesis may be co-supervised by two or more doctors when there are academic reasons that warrant this, such as those with an interdisciplinary subject matter, subject to prior authorization from the academic committee of the doctoral programme. This authorization may subsequently be withdrawn if in the opinion of the academic committee of the doctoral program, the joint supervision does not benefit the development of the thesis.

Article 7. The doctoral student's activities document

7.1. After registering on the programme, the personalised activities documents will be written for each doctoral student, and must contain all the activities relevant to the development of the doctoral student, as agreed by the academic committee of the doctoral programme.

7.2. This document must be reviewed regularly by the tutor and the thesis supervisor, and evaluated by the academic committee responsible for the doctoral programme.

Article 8. The doctoral student's research plan

Before the end of the first year, starting on the date of first registration, doctoral students must produce their Research Plan, including the methodology, objectives, resources and planning for the production of their thesis. This research plan will be completed during the doctoral student's time in the programme, and must be endorsed by the tutor and the thesis supervisor when submitted for evaluation.

Article 9. Document of commitment

The doctoral student, the university, the tutor and the thesis supervisor shall sign a document of commitment setting out the supervision tasks relating to doctoral students. This commitment, which must be signed as soon as possible once the thesis supervisor has been appointed, must include the procedure for resolving disputes, and must provide for issues relating to intellectual or industrial property rights arising in the doctoral programmes.

Article 10. Annual assessment of the doctoral student

10.1. The academic committee of each doctoral programme must establish mechanisms to ensure the quality of the theses during the production process (public exposition in seminars, prior publication in journals of recognized prestige, external reports, etc.).

10.2. The doctoral programme's academic committee will evaluate the Research Plan, the activities document and the reports of the thesis supervisor and the tutor every year. A positive assessment is a prerequisite for continuing in the doctoral programme. A negative assessment on justifiable grounds will lead to the doctoral student being re-assessed within six months of the previous assessment, and he/she must produce a new research plan to that end. In the event of a further negative assessment, the doctoral student will be withdrawn from the programme on a permanent basis.

SECTION 5. THE DOCTORAL THESIS

Article 11. Contents of the doctoral thesis

11.1. The doctoral thesis must consist of an original piece of research in one of the research lines of the doctoral programme.

11.2. The doctoral thesis may be composed of a compendium of works obtained from the doctoral student’s own research. In this case, the doctoral thesis must include a report which presents the thesis defended, with an introductory chapter and final conclusions.

The works referred to above must have been realized after the first registration in the doctoral programme and in accordance with its research plan.

Modified by agreement of board of governors of 19 february 2020

Article 12. Annual information on doctoral theses

The academic committee of each doctoral programme must report annually to the Doctoral School's Management Committee on the progress of the doctoral theses of all its doctoral students. This information may refer to all the doctoral theses in each doctoral programme.

Article 13. Language of writing and defence of the doctoral thesis

The thesis may be written and defended in any of the languages commonly used in scientific communication in the relevant field of knowledge. If the language of writing and defence of the thesis is not Catalan, Spanish or English, the doctoral student must notify the academic committee of the doctoral programme of this beforehand.

Article 14. Co-tutoring

14.1. The University will promote initiatives that enhance the international dimension of doctoral theses by the bodies responsible for postgraduate programmes, and will establish the appropriate systems for their recognition if necessary. Moreover, in certain cases it may propose that a doctoral thesis is produced under joint supervision with another international institution, by establishing conventions or agreements, in accordance with the regulations in force at Pompeu Fabra University.

14.2. The academic committee of the doctoral program is responsible for authorizing the joint supervision of doctoral theses.

Article 15. Deadline for depositing the doctoral thesis

15.1. Deadlines and extensions

The doctoral thesis must be deposited before the end of the third academic year, or the fifth in the case of part-time doctoral students, since the doctoral student enrolled. If after this period of three or five years, as appropriate, the doctoral student has not submitted the application to deposit the thesis, the Academic Committee responsible for the doctoral programme may authorize an extension of one year, or two years in the case of part-time doctoral students, which may exceptionally be extended for one further year, under the conditions set out in the doctoral degree programme. If in this last period the doctoral student does not deposit their doctoral thesis, they will be de-registered from the programme.

15.2. Situations of leave due to health reasons or related to maternity or paternity

If the doctoral student is incapacitated due to health reasons (including risk during pregnancy), the deadline for depositing the doctoral thesis will be extended as follows:

If the doctoral student has an employment contract, it will be extended by the length of time during which the student is on sick leave.
If the doctoral student has no employment contract, it will be extended by the length of time established by a committee set up specifically for each situation. To avoid conflicts of interest, in no case will the coordinator of the doctoral programme or any person linked to the programme sit on such committee. The committee will request, among other documents, the medical report, a report from the thesis supervisor and a report from the doctoral programme coordinator.

In the case of maternity, paternity, adoption or fostering, the deadline for depositing the doctoral thesis will be extended by the maximum recognized by labour legislation as a “rest period or leave to employees”.

15.3. Situations of voluntary, temporary interruption  

Doctoral students can apply for voluntary, temporary interruption, for a maximum period of one year, extendible by up to one more year. This request must be approved by the Doctoral Programme Academic Committee which will evaluate the need to request the corresponding report from the doctoral thesis supervisor.

Voluntary, temporary interruption must be requested before the end of the three-year (full-time students) or the five-year (part-time students) deadline for depositing the doctoral thesis. Under no circumstances can it be requested during the period of enjoyment of the extensions provided for in Article 15.1.

Modified by agreement of board of governors of 19 february 2020

Article 16. Depositing the doctoral thesis

16.1. Once the doctoral thesis is prepared, the doctoral student must deposit it in the place and manner established by the Doctoral Programme Academic Committee in accordance with the deposit procedure established by the Doctoral School.

16.2. The application for deposit must be accompanied by a favourable report from the thesis supervisor, which must be comprehensive; a copy of the doctoral thesis printed on paper compliant with the conditions determined by the Doctoral School Steering Committee; a copy of the thesis in electronic form, and a statement of thesis authorship.

16.3. The Doctoral Programme Academic Committee will then proceed, in view of the documentation submitted, to authorize the deposit of the doctoral thesis or not. If it does not authorize it, the Committee will provide express justification to the doctoral student and to the thesis supervisor as to the reasons for its decision.

16.4. The Doctoral Programme Academic Committee will notify of the deposit of the thesis so that it may be disseminated, notwithstanding the provisions of Article 19. The doctoral thesis will be deposited for seven working days, starting on the day following the date of deposit, so that doctors can examine it and, if applicable, address a letter to the Doctoral School with the considerations they deem appropriate.

16.5. Thesis consultation will take place under conditions that preserve its originality and the confidentiality of its content. To this end, access may only be gained by persons accrediting the status of doctor, the time of consultation will be limited, and a specific space will be enabled to conduct this procedure.

16.6. In the case of doctoral theses in which companies participate with which confidentiality agreements have been signed or doctoral theses that may generate patents, the University, through its Doctoral School, will establish the necessary mechanisms and procedures to ensure that the authorization of the deposit of the thesis is carried out with all the necessary safeguards of confidentiality.

Modified by agreement of board of governors of 19 february 2020

Article 17. Doctoral thesis board

17.1. Proposed panel

The thesis supervisor will forward to the Doctoral School Steering Committee, via the medium enabled by the Doctoral School for such purpose, a proposal for the thesis panel, which will be approved by the Doctoral Programme Academic Committee. The Academic Committee will provide the Doctoral School Steering Committee with all of the documentation generated by the doctoral thesis assessment procedure, for processing. The Academic Committee may establish a deadline for the supervisor to arrange the proposed panel.

The proposed panel must include three members and two alternates, all holding a doctoral degree and accredited research experience, the majority of whom must be from outside the University and the institutions collaborating in the doctoral programme. The panel must not contain more than two members of the same university or institution. When an alternate is required at the reading ceremony, preference must be given, where appropriate, to someone who allows the panel to continue to be composed of members from different universities and institutions.

Neither the doctoral thesis supervisor nor the tutor can sit on the panel, except in cases where the theses are presented within the framework of bilateral joint supervision agreements with foreign universities that provide for this possibility.

This proposal must be accompanied by a suitability report on each of the five members proposed vis-à-vis the subject of the thesis. If the thesis supervisor does not submit the proposed composition of the panel within the period mentioned, the Doctoral School Steering Committee will proceed to appoint the panel under the terms established in this Article.

17.2. Approval and appointment of the panel

The Doctoral School Steering Committee shall appoint a chair, a secretary and a member from among the members of the incumbent panel, as well as a first alternate and a second alternate. In the event that any incumbent member of the panel were to decline for just cause, they will be replaced by the first alternate, or alternatively, the second alternate.

17.3. Confidentiality of panel members

In cases of doctoral theses in which companies participate with which confidentiality agreements have been signed or doctoral theses that may generate patents, the University, through its Doctoral School, will establish the necessary mechanisms and procedures to ensure that the panel members keep the content of the doctoral thesis confidential.

17.4. Right of attendance

The members of the panel from outside Pompeu Fabra University may request financial consideration by way of payment for services, based on the  established regulations.

Modified by agreement of board of governors of 19 february 2020

Article 18. Defence and grading of the doctoral thesis

18.1. Deadline to defend the thesis

The deadline to defend the thesis is six months from the time the doctoral thesis panel is appointed. The Academic Committee of each doctoral programme may authorize an extension of this term when there is due cause.

18.2. Convocation of the defence proceedings

The thesis defence proceedings shall be convened by the president of the panel, and the secretary shall inform the Doctoral School's Management Committee of the date on which it is to take place, with sufficient advance notice.

18.3. The defence proceedings

The thesis defence proceedings must take place in public within the academic period established for the reading of theses, between July and September, inclusive, without prejudice to the stipulations of Article 19.

The proceedings must consist of the doctoral student's exposition of the research work carried out, the methodology used, the contents and conclusions, with special reference to the original contributions.

The members of the board may ask the doctoral student any questions they deem appropriate. Likewise, the doctors present in the public defence proceedings may ask questions at the time and in the manner stipulated by the president of the panel.

18.4. Grading the doctoral thesis

The members of the panel will issue a report and grade the thesis globally under the terms established by the applicable regulations. The panel may propose that the thesis be awarded the distinction of cum laude, if the secret vote is unanimous in this regard. Once the doctoral thesis defence session has finalized, the counting of the votes in favour of the distinction of cum laude must be carried out in a different procedure.

Modified by agreement of board of governors of 19 february 2020

Article 19. Publication of the doctoral thesis

19.1. Once it has been passed, the doctoral thesis will be archived electronically and in open access format in the TDX repository (Theses and Dissertations Online). The Doctoral School will send the Ministry of Education a copy of the thesis in electronic format, as well as any additional information that is necessary for the appropriate purposes.

19.2. In cases where, in accordance with Article 14.6 of Royal Decree 99/2011, the Academic Committee has envisaged the possibility of partially restricting the publication of the thesis, the doctoral student must inform the Doctoral School of this and must provide a copy of the thesis from which the issues that are subject to special protection have been removed and a full text copy, which in compliance with the mandatory rules, will be kept in the University Archive. This copy will remain confidential throughout the term agreed to by the Doctoral Programme Academic Committee.

Modified by agreement of board of governors of 19 february 2020

SECTION 6. THE DOCTORAL DIPLOMA AND THE DOCTORAL THESIS SPECIAL AWARD

Article 20. The doctoral diploma

After the defence of the thesis has been approved, the doctoral student may apply for a doctoral diploma from Pompeu Fabra University.

Article 21. International mention in the doctoral diploma

The doctoral diploma may include on the obverse the words "international doctor," provided that the provisions of Article 15 of Royal Decree 99/2011 are complied with.

Article 22. Special awards for doctoral theses

The academic committee of the doctoral programme may submit a proposal for a Special Award for a Doctoral Thesis to the Doctoral School's Management Committee. The academic committee of each doctoral programme may request one special award be granted for every ten doctoral theses read.

ADDITIONAL PROVISION. Accredited research experience

Whenever herein accredited research experience is required, it will be understood as being such as determined by the Doctoral Programme Academic Committee

Modified by agreement of board of governors of 19 february 2020

FIRST TRANSITORY PROVISION. DOCTORAL STUDENTS SUBJECT TO PREVIOUS REGULATIONS

1. Doctoral students who have begun doctoral studies under previous regulations are subject to the provisions regulating the doctorate and the issuing of the doctoral diploma that were in force at the time when they began their studies. In any event, the regulations governing the board, the defence and assessment of the doctoral thesis stipulated in Royal Decree 99/2011 are applicable to those students one year after their entry into force.

2. Unless the Regulations governing continuance on doctoral studies at Pompeu Fabra University stipulate a different period, those pursuing doctoral studies on the entry into force of Royal Decree 99/2011 will have five years to present and defend their doctoral thesis. If this period of time elapses without these requirements having been met, the doctoral student will be declared to have been permanently withdrawn from the programme.

SECOND TRANSITORY PROVISION

During the period that the UPF Doctoral School is inoperative, the tasks assigned to the Doctorate School's Management Committee shall be performed by the Postgraduate and Doctorate Studies Committee.

SOLE OVERRIDING PROVISION

These regulations revoke the academic regulations for doctoral studies approved by the Board of Governors on 2 May 2007, and the Agreement of the Governing Council of 16 June 2010, concerning the composition of doctoral thesis boards. 

Agreement of the Board of Governors of 20 June 2012 modified by agreement of the board of governors of 19 february 2020


The adaptation of official courses to the European Higher Education Area began in 2005 with the approval of Royal Decrees 55/2005 and 56/2005, respectively, which established the framework for the design of the official postgraduate programmes, consisting of masters and doctorate programmes.

Organic Law 4/2007 of 12 April, which amended Organic Law 6/2001 of 21 December, concerning universities, defined doctoral studies as the studies in the third cycle of official university courses, leading to obtaining the official doctorate qualification, which is official and valid throughout Spain.

Royal Decree 1393/2007, of October 29, which provided for the organization of official university studies, subsequently developed the regulatory framework for university courses and established new regulations for doctoral studies.

The regulation of doctoral studies culminated in the approval of Royal Decree 99/2011 of 28 January, which regulates official doctoral courses and was a further step forward in the development of the regulatory framework for doctorates, as it exclusively regulates the organization of doctoral studies.

Among the main new features of Royal Decree 99/2011 are the regulation of doctoral schools and the establishment of academic committees for doctoral programmes, the research plan, the doctoral student's activities document and the code of good practices.

Law 14/2011 of 1 June, concerning science, technology and innovation, recently amended some articles of Organic Law 6/2001 of 21 December, concerning universities, while making statutory provision for the creation of doctoral schools and including them within the structure of universities.

Given this new regulatory framework governing doctoral studies, and in view of the fact that universities are responsible for regulating certain aspects of them, it has become necessary to adapt the regulations governing doctoral studies at Pompeu Fabra University. To that end, on 13 July 2011 the Board of Governors agreed to create the Pompeu Fabra University Doctoral School and approve its regulations, and anticipated its work beginning in the 2012-2013 academic year.

These new academic regulations, which are designed to regulate specific aspects regarding which Royal Decree 99/2011 confers regulatory authority on the University, are also being created in accordance with the provisions of Article 158.2 of the Statutes of Pompeu Fabra University. The aim of this is first, to create a high level of flexibility in each doctoral programme, given the special characteristics of each one, and the variety of needs and training and research methods in the different fields of knowledge; and second, to support UPF's commitment to becoming a leading European university in terms of quality, internationalization and links to research.


SECTION 1. GENERAL PROVISIONS

Article 1. Purpose

This purpose of these regulations is to regulate the doctorate taught at the Pompeu Fabra University Doctoral School, which is governed by Royal Decree 99/2011 of 28 January, which regulates official doctoral courses.

SECTION 2. ADMISSION AND REGISTRATION

Article 2. Access and admission

2.1. Access and admission requirements

Students meeting the admission requirements stipulated in the regulations in force, and the additional requirements or criteria for admission or selection that have been approved by the academic committee of each doctoral programme, which must be recorded in the verification report of the doctoral programme concerned, are eligible for the studies leading to the qualification of doctorate.

2.2. Competent bodies

The Doctoral School is responsible for the admission of applicants to doctoral studies through the academic committee of the doctoral programme.

2.3. Submission of applications

The University will make a single call for admission, in which eligible candidates who meet the access and admission requirements referred to in paragraph 6.1 may participate, as well as those candidates who despite not yet meeting them, anticipate meeting them by the start date of academic activity.

If a public price has been established for participation in the admission procedure, evidence of payment of this sum is a prerequisite for participation.

2.4. Documentation

When submitting the application for admission, candidates must attach documentation certifying their compliance with the access and admission requirements, as well as those aspects which have been subject to assessment.

Final admission is subject to accreditation of compliance with the access and admission requirements on the first day of the academic year.

2.5. Assessment of admission applications for access

a) Criteria

When the demand for places on a doctoral programme exceeds those available, priority will be given to applications based on the assessment criteria established by each doctoral programme in the approved verification report.

b) Procedure

The academic committee of each doctoral programme will be responsible for establishing the selection procedure.

Article 3. Registration

3.1. Procedure

Doctoral students must complete the registration process for the academic supervision of the doctorate every year, and pay the relevant public prices, within the deadlines established by the university and in accordance with the provisions of the regulations governing registration at Pompeu Fabra University. They must also register in the academic year in which the thesis is deposited.

Doctoral students taking doctoral studies with a foreign qualification from outside the European Higher Education Area that has not been officially recognized must pay the appropriate public price for the equivalence study.

The University's acceptance of the registration is conditional upon the accuracy of the details contained in the application, the doctoral student's compliance with the requirements stipulated in the regulations for access and admission to the doctorate, and full payment in the manner and within the deadlines established.

Any doctoral students failing to register within the deadlines and in the manner established by the University will be withdrawn from the programme.

3.2. Withdrawal of registration by doctoral students

Doctoral students may withdraw their registration within two months of the registration date.

The doctoral student's presentation of the registration within the deadline and payment of the registration fee in full is a prerequisite for acceptance of the withdrawal. Once the withdrawal has been accepted, it shall take effect from the date of the doctoral student's withdrawal application.

In academic terms, the acceptance of the withdrawal of registration has the same effects as if the doctoral student had not registered. Withdrawal of registration by the doctoral student will not lead to any refund of the sum paid to that end under any circumstances.

3.3. Other aspects of registration

The regulations of this university concerning the financial aspects of registration for official courses are applicable to prices, discounts, payment methods, modifications, withdrawals and refunds of the fees.

SECTION 3. WORKLOAD OF DOCTORAL STUDENTS

Article 4. Full-time or part-time studies by the doctoral student

4.1. The ordinary regime for undertaking doctoral studies is on a full-time basis. However, at the request of the doctoral student, the academic committee of the doctoral programme may authorize the doctoral student to take the course on a part-time basis, in accordance with the provisions of Article 3 of Royal Decree 99/2011.

4.2. Applications for part-time studies must be submitted to the doctoral programme's academic committee in the manner and within the deadlines established by that committee.

4.3. The change from full-time to part-time dedication must be requested before the end of the three-year deadline for depositing the doctoral thesis. Under no circumstances can it be requested during the period of enjoyment of any of the extensions provided for in Article 15.

Modified by agreement of board of governors of 19 february 2020

SECTION 4. SUPERVISION AND MONITORING OF THE DOCTORAL STUDENT

Article 5. Assignment of a tutor and thesis supervisor

5.1. After their admission to the doctoral program, the academic committee of the doctoral programme will assign a tutor to each doctoral student, who will be a doctor with accredited research experience related to the unit or school organizing the programme.

5.2. Each doctoral student will be assigned a thesis supervisor within the period established by the regulations in force as of the time of enrolment.

The thesis supervisor must be a doctor, either Spanish or otherwise, with accredited research experience, regardless of the university, centre or institution where he/she works. In exceptional circumstances, the thesis may be supervised by doctors who are not linked to research institutions, subject to prior authorization from the Doctoral School's Management Committee.

The doctoral student may apply for a change of thesis supervisor to the academic committee of the doctoral programme. The committee may change the appointment of the thesis supervisor, after prior consultation with the applicant, the thesis supervisor and the doctor it proposes as a new supervisor, provided that it does do on justifiable grounds and there is no disagreement. In the event of disagreement, the case will be put before the Management Committee of the Doctoral School.

Modified by agreement of board of governors of 19 february 2020

Article 6. Joint doctoral thesis supervision

The doctoral thesis may be co-supervised by two or more doctors when there are academic reasons that warrant this, such as those with an interdisciplinary subject matter, subject to prior authorization from the academic committee of the doctoral programme. This authorization may subsequently be withdrawn if in the opinion of the academic committee of the doctoral program, the joint supervision does not benefit the development of the thesis.

Article 7. The doctoral student's activities document

7.1. After registering on the programme, the personalised activities documents will be written for each doctoral student, and must contain all the activities relevant to the development of the doctoral student, as agreed by the academic committee of the doctoral programme.

7.2. This document must be reviewed regularly by the tutor and the thesis supervisor, and evaluated by the academic committee responsible for the doctoral programme.

Article 8. The doctoral student's research plan

Before the end of the first year, starting on the date of first registration, doctoral students must produce their Research Plan, including the methodology, objectives, resources and planning for the production of their thesis. This research plan will be completed during the doctoral student's time in the programme, and must be endorsed by the tutor and the thesis supervisor when submitted for evaluation.

Article 9. Document of commitment

The doctoral student, the university, the tutor and the thesis supervisor shall sign a document of commitment setting out the supervision tasks relating to doctoral students. This commitment, which must be signed as soon as possible once the thesis supervisor has been appointed, must include the procedure for resolving disputes, and must provide for issues relating to intellectual or industrial property rights arising in the doctoral programmes.

Article 10. Annual assessment of the doctoral student

10.1. The academic committee of each doctoral programme must establish mechanisms to ensure the quality of the theses during the production process (public exposition in seminars, prior publication in journals of recognized prestige, external reports, etc.).

10.2. The doctoral programme's academic committee will evaluate the Research Plan, the activities document and the reports of the thesis supervisor and the tutor every year. A positive assessment is a prerequisite for continuing in the doctoral programme. A negative assessment on justifiable grounds will lead to the doctoral student being re-assessed within six months of the previous assessment, and he/she must produce a new research plan to that end. In the event of a further negative assessment, the doctoral student will be withdrawn from the programme on a permanent basis.

SECTION 5. THE DOCTORAL THESIS

Article 11. Contents of the doctoral thesis

11.1. The doctoral thesis must consist of an original piece of research in one of the research lines of the doctoral programme.

11.2. The doctoral thesis may be composed of a compendium of works obtained from the doctoral student’s own research. In this case, the doctoral thesis must include a report which presents the thesis defended, with an introductory chapter and final conclusions.

The works referred to above must have been realized after the first registration in the doctoral programme and in accordance with its research plan.

Modified by agreement of board of governors of 19 february 2020

Article 12. Annual information on doctoral theses

The academic committee of each doctoral programme must report annually to the Doctoral School's Management Committee on the progress of the doctoral theses of all its doctoral students. This information may refer to all the doctoral theses in each doctoral programme.

Article 13. Language of writing and defence of the doctoral thesis

The thesis may be written and defended in any of the languages commonly used in scientific communication in the relevant field of knowledge. If the language of writing and defence of the thesis is not Catalan, Spanish or English, the doctoral student must notify the academic committee of the doctoral programme of this beforehand.

Article 14. Co-tutoring

14.1. The University will promote initiatives that enhance the international dimension of doctoral theses by the bodies responsible for postgraduate programmes, and will establish the appropriate systems for their recognition if necessary. Moreover, in certain cases it may propose that a doctoral thesis is produced under joint supervision with another international institution, by establishing conventions or agreements, in accordance with the regulations in force at Pompeu Fabra University.

14.2. The academic committee of the doctoral program is responsible for authorizing the joint supervision of doctoral theses.

Article 15. Deadline for depositing the doctoral thesis

15.1. Deadlines and extensions

The doctoral thesis must be deposited before the end of the third academic year, or the fifth in the case of part-time doctoral students, since the doctoral student enrolled. If after this period of three or five years, as appropriate, the doctoral student has not submitted the application to deposit the thesis, the Academic Committee responsible for the doctoral programme may authorize an extension of one year, or two years in the case of part-time doctoral students, which may exceptionally be extended for one further year, under the conditions set out in the doctoral degree programme. If in this last period the doctoral student does not deposit their doctoral thesis, they will be de-registered from the programme.

15.2. Situations of leave due to health reasons or related to maternity or paternity

If the doctoral student is incapacitated due to health reasons (including risk during pregnancy), the deadline for depositing the doctoral thesis will be extended as follows:

If the doctoral student has an employment contract, it will be extended by the length of time during which the student is on sick leave.
If the doctoral student has no employment contract, it will be extended by the length of time established by a committee set up specifically for each situation. To avoid conflicts of interest, in no case will the coordinator of the doctoral programme or any person linked to the programme sit on such committee. The committee will request, among other documents, the medical report, a report from the thesis supervisor and a report from the doctoral programme coordinator.

In the case of maternity, paternity, adoption or fostering, the deadline for depositing the doctoral thesis will be extended by the maximum recognized by labour legislation as a “rest period or leave to employees”.

15.3. Situations of voluntary, temporary interruption  

Doctoral students can apply for voluntary, temporary interruption, for a maximum period of one year, extendible by up to one more year. This request must be approved by the Doctoral Programme Academic Committee which will evaluate the need to request the corresponding report from the doctoral thesis supervisor.

Voluntary, temporary interruption must be requested before the end of the three-year (full-time students) or the five-year (part-time students) deadline for depositing the doctoral thesis. Under no circumstances can it be requested during the period of enjoyment of the extensions provided for in Article 15.1.

Modified by agreement of board of governors of 19 february 2020

Article 16. Depositing the doctoral thesis

16.1. Once the doctoral thesis is prepared, the doctoral student must deposit it in the place and manner established by the Doctoral Programme Academic Committee in accordance with the deposit procedure established by the Doctoral School.

16.2. The application for deposit must be accompanied by a favourable report from the thesis supervisor, which must be comprehensive; a copy of the doctoral thesis printed on paper compliant with the conditions determined by the Doctoral School Steering Committee; a copy of the thesis in electronic form, and a statement of thesis authorship.

16.3. The Doctoral Programme Academic Committee will then proceed, in view of the documentation submitted, to authorize the deposit of the doctoral thesis or not. If it does not authorize it, the Committee will provide express justification to the doctoral student and to the thesis supervisor as to the reasons for its decision.

16.4. The Doctoral Programme Academic Committee will notify of the deposit of the thesis so that it may be disseminated, notwithstanding the provisions of Article 19. The doctoral thesis will be deposited for seven working days, starting on the day following the date of deposit, so that doctors can examine it and, if applicable, address a letter to the Doctoral School with the considerations they deem appropriate.

16.5. Thesis consultation will take place under conditions that preserve its originality and the confidentiality of its content. To this end, access may only be gained by persons accrediting the status of doctor, the time of consultation will be limited, and a specific space will be enabled to conduct this procedure.

16.6. In the case of doctoral theses in which companies participate with which confidentiality agreements have been signed or doctoral theses that may generate patents, the University, through its Doctoral School, will establish the necessary mechanisms and procedures to ensure that the authorization of the deposit of the thesis is carried out with all the necessary safeguards of confidentiality.

Modified by agreement of board of governors of 19 february 2020

Article 17. Doctoral thesis board

17.1. Proposed panel

The thesis supervisor will forward to the Doctoral School Steering Committee, via the medium enabled by the Doctoral School for such purpose, a proposal for the thesis panel, which will be approved by the Doctoral Programme Academic Committee. The Academic Committee will provide the Doctoral School Steering Committee with all of the documentation generated by the doctoral thesis assessment procedure, for processing. The Academic Committee may establish a deadline for the supervisor to arrange the proposed panel.

The proposed panel must include three members and two alternates, all holding a doctoral degree and accredited research experience, the majority of whom must be from outside the University and the institutions collaborating in the doctoral programme. The panel must not contain more than two members of the same university or institution. When an alternate is required at the reading ceremony, preference must be given, where appropriate, to someone who allows the panel to continue to be composed of members from different universities and institutions.

Neither the doctoral thesis supervisor nor the tutor can sit on the panel, except in cases where the theses are presented within the framework of bilateral joint supervision agreements with foreign universities that provide for this possibility.

This proposal must be accompanied by a suitability report on each of the five members proposed vis-à-vis the subject of the thesis. If the thesis supervisor does not submit the proposed composition of the panel within the period mentioned, the Doctoral School Steering Committee will proceed to appoint the panel under the terms established in this Article.

17.2. Approval and appointment of the panel

The Doctoral School Steering Committee shall appoint a chair, a secretary and a member from among the members of the incumbent panel, as well as a first alternate and a second alternate. In the event that any incumbent member of the panel were to decline for just cause, they will be replaced by the first alternate, or alternatively, the second alternate.

17.3. Confidentiality of panel members

In cases of doctoral theses in which companies participate with which confidentiality agreements have been signed or doctoral theses that may generate patents, the University, through its Doctoral School, will establish the necessary mechanisms and procedures to ensure that the panel members keep the content of the doctoral thesis confidential.

17.4. Right of attendance

The members of the panel from outside Pompeu Fabra University may request financial consideration by way of payment for services, based on the  established regulations.

Modified by agreement of board of governors of 19 february 2020

Article 18. Defence and grading of the doctoral thesis

18.1. Deadline to defend the thesis

The deadline to defend the thesis is six months from the time the doctoral thesis panel is appointed. The Academic Committee of each doctoral programme may authorize an extension of this term when there is due cause.

18.2. Convocation of the defence proceedings

The thesis defence proceedings shall be convened by the president of the panel, and the secretary shall inform the Doctoral School's Management Committee of the date on which it is to take place, with sufficient advance notice.

18.3. The defence proceedings

The thesis defence proceedings must take place in public within the academic period established for the reading of theses, between July and September, inclusive, without prejudice to the stipulations of Article 19.

The proceedings must consist of the doctoral student's exposition of the research work carried out, the methodology used, the contents and conclusions, with special reference to the original contributions.

The members of the board may ask the doctoral student any questions they deem appropriate. Likewise, the doctors present in the public defence proceedings may ask questions at the time and in the manner stipulated by the president of the panel.

18.4. Grading the doctoral thesis

The members of the panel will issue a report and grade the thesis globally under the terms established by the applicable regulations. The panel may propose that the thesis be awarded the distinction of cum laude, if the secret vote is unanimous in this regard. Once the doctoral thesis defence session has finalized, the counting of the votes in favour of the distinction of cum laude must be carried out in a different procedure.

Modified by agreement of board of governors of 19 february 2020

Article 19. Publication of the doctoral thesis

19.1. Once it has been passed, the doctoral thesis will be archived electronically and in open access format in the TDX repository (Theses and Dissertations Online). The Doctoral School will send the Ministry of Education a copy of the thesis in electronic format, as well as any additional information that is necessary for the appropriate purposes.

19.2. In cases where, in accordance with Article 14.6 of Royal Decree 99/2011, the Academic Committee has envisaged the possibility of partially restricting the publication of the thesis, the doctoral student must inform the Doctoral School of this and must provide a copy of the thesis from which the issues that are subject to special protection have been removed and a full text copy, which in compliance with the mandatory rules, will be kept in the University Archive. This copy will remain confidential throughout the term agreed to by the Doctoral Programme Academic Committee.

Modified by agreement of board of governors of 19 february 2020

SECTION 6. THE DOCTORAL DIPLOMA AND THE DOCTORAL THESIS SPECIAL AWARD

Article 20. The doctoral diploma

After the defence of the thesis has been approved, the doctoral student may apply for a doctoral diploma from Pompeu Fabra University.

Article 21. International mention in the doctoral diploma

The doctoral diploma may include on the obverse the words "international doctor," provided that the provisions of Article 15 of Royal Decree 99/2011 are complied with.

Article 22. Special awards for doctoral theses

The academic committee of the doctoral programme may submit a proposal for a Special Award for a Doctoral Thesis to the Doctoral School's Management Committee. The academic committee of each doctoral programme may request one special award be granted for every ten doctoral theses read.

ADDITIONAL PROVISION. Accredited research experience

Whenever herein accredited research experience is required, it will be understood as being such as determined by the Doctoral Programme Academic Committee

Modified by agreement of board of governors of 19 february 2020

FIRST TRANSITORY PROVISION. DOCTORAL STUDENTS SUBJECT TO PREVIOUS REGULATIONS

1. Doctoral students who have begun doctoral studies under previous regulations are subject to the provisions regulating the doctorate and the issuing of the doctoral diploma that were in force at the time when they began their studies. In any event, the regulations governing the board, the defence and assessment of the doctoral thesis stipulated in Royal Decree 99/2011 are applicable to those students one year after their entry into force.

2. Unless the Regulations governing continuance on doctoral studies at Pompeu Fabra University stipulate a different period, those pursuing doctoral studies on the entry into force of Royal Decree 99/2011 will have five years to present and defend their doctoral thesis. If this period of time elapses without these requirements having been met, the doctoral student will be declared to have been permanently withdrawn from the programme.

SECOND TRANSITORY PROVISION

During the period that the UPF Doctoral School is inoperative, the tasks assigned to the Doctorate School's Management Committee shall be performed by the Postgraduate and Doctorate Studies Committee.

SOLE OVERRIDING PROVISION

These regulations revoke the academic regulations for doctoral studies approved by the Board of Governors on 2 May 2007, and the Agreement of the Governing Council of 16 June 2010, concerning the composition of doctoral thesis boards. 

Agreement of the Board of Governors of 20 June 2012 modified by agreement of the board of governors of 19 february 2020


The adaptation of official courses to the European Higher Education Area began in 2005 with the approval of Royal Decrees 55/2005 and 56/2005, respectively, which established the framework for the design of the official postgraduate programmes, consisting of masters and doctorate programmes.

Organic Law 4/2007 of 12 April, which amended Organic Law 6/2001 of 21 December, concerning universities, defined doctoral studies as the studies in the third cycle of official university courses, leading to obtaining the official doctorate qualification, which is official and valid throughout Spain.

Royal Decree 1393/2007, of October 29, which provided for the organization of official university studies, subsequently developed the regulatory framework for university courses and established new regulations for doctoral studies.

The regulation of doctoral studies culminated in the approval of Royal Decree 99/2011 of 28 January, which regulates official doctoral courses and was a further step forward in the development of the regulatory framework for doctorates, as it exclusively regulates the organization of doctoral studies.

Among the main new features of Royal Decree 99/2011 are the regulation of doctoral schools and the establishment of academic committees for doctoral programmes, the research plan, the doctoral student's activities document and the code of good practices.

Law 14/2011 of 1 June, concerning science, technology and innovation, recently amended some articles of Organic Law 6/2001 of 21 December, concerning universities, while making statutory provision for the creation of doctoral schools and including them within the structure of universities.

Given this new regulatory framework governing doctoral studies, and in view of the fact that universities are responsible for regulating certain aspects of them, it has become necessary to adapt the regulations governing doctoral studies at Pompeu Fabra University. To that end, on 13 July 2011 the Board of Governors agreed to create the Pompeu Fabra University Doctoral School and approve its regulations, and anticipated its work beginning in the 2012-2013 academic year.

These new academic regulations, which are designed to regulate specific aspects regarding which Royal Decree 99/2011 confers regulatory authority on the University, are also being created in accordance with the provisions of Article 158.2 of the Statutes of Pompeu Fabra University. The aim of this is first, to create a high level of flexibility in each doctoral programme, given the special characteristics of each one, and the variety of needs and training and research methods in the different fields of knowledge; and second, to support UPF's commitment to becoming a leading European university in terms of quality, internationalization and links to research.


SECTION 1. GENERAL PROVISIONS

Article 1. Purpose

This purpose of these regulations is to regulate the doctorate taught at the Pompeu Fabra University Doctoral School, which is governed by Royal Decree 99/2011 of 28 January, which regulates official doctoral courses.

SECTION 2. ADMISSION AND REGISTRATION

Article 2. Access and admission

2.1. Access and admission requirements

Students meeting the admission requirements stipulated in the regulations in force, and the additional requirements or criteria for admission or selection that have been approved by the academic committee of each doctoral programme, which must be recorded in the verification report of the doctoral programme concerned, are eligible for the studies leading to the qualification of doctorate.

2.2. Competent bodies

The Doctoral School is responsible for the admission of applicants to doctoral studies through the academic committee of the doctoral programme.

2.3. Submission of applications

The University will make a single call for admission, in which eligible candidates who meet the access and admission requirements referred to in paragraph 6.1 may participate, as well as those candidates who despite not yet meeting them, anticipate meeting them by the start date of academic activity.

If a public price has been established for participation in the admission procedure, evidence of payment of this sum is a prerequisite for participation.

2.4. Documentation

When submitting the application for admission, candidates must attach documentation certifying their compliance with the access and admission requirements, as well as those aspects which have been subject to assessment.

Final admission is subject to accreditation of compliance with the access and admission requirements on the first day of the academic year.

2.5. Assessment of admission applications for access

a) Criteria

When the demand for places on a doctoral programme exceeds those available, priority will be given to applications based on the assessment criteria established by each doctoral programme in the approved verification report.

b) Procedure

The academic committee of each doctoral programme will be responsible for establishing the selection procedure.

Article 3. Registration

3.1. Procedure

Doctoral students must complete the registration process for the academic supervision of the doctorate every year, and pay the relevant public prices, within the deadlines established by the university and in accordance with the provisions of the regulations governing registration at Pompeu Fabra University. They must also register in the academic year in which the thesis is deposited.

Doctoral students taking doctoral studies with a foreign qualification from outside the European Higher Education Area that has not been officially recognized must pay the appropriate public price for the equivalence study.

The University's acceptance of the registration is conditional upon the accuracy of the details contained in the application, the doctoral student's compliance with the requirements stipulated in the regulations for access and admission to the doctorate, and full payment in the manner and within the deadlines established.

Any doctoral students failing to register within the deadlines and in the manner established by the University will be withdrawn from the programme.

3.2. Withdrawal of registration by doctoral students

Doctoral students may withdraw their registration within two months of the registration date.

The doctoral student's presentation of the registration within the deadline and payment of the registration fee in full is a prerequisite for acceptance of the withdrawal. Once the withdrawal has been accepted, it shall take effect from the date of the doctoral student's withdrawal application.

In academic terms, the acceptance of the withdrawal of registration has the same effects as if the doctoral student had not registered. Withdrawal of registration by the doctoral student will not lead to any refund of the sum paid to that end under any circumstances.

3.3. Other aspects of registration

The regulations of this university concerning the financial aspects of registration for official courses are applicable to prices, discounts, payment methods, modifications, withdrawals and refunds of the fees.

SECTION 3. WORKLOAD OF DOCTORAL STUDENTS

Article 4. Full-time or part-time studies by the doctoral student

4.1. The ordinary regime for undertaking doctoral studies is on a full-time basis. However, at the request of the doctoral student, the academic committee of the doctoral programme may authorize the doctoral student to take the course on a part-time basis, in accordance with the provisions of Article 3 of Royal Decree 99/2011.

4.2. Applications for part-time studies must be submitted to the doctoral programme's academic committee in the manner and within the deadlines established by that committee.

4.3. The change from full-time to part-time dedication must be requested before the end of the three-year deadline for depositing the doctoral thesis. Under no circumstances can it be requested during the period of enjoyment of any of the extensions provided for in Article 15.

Modified by agreement of board of governors of 19 february 2020

SECTION 4. SUPERVISION AND MONITORING OF THE DOCTORAL STUDENT

Article 5. Assignment of a tutor and thesis supervisor

5.1. After their admission to the doctoral program, the academic committee of the doctoral programme will assign a tutor to each doctoral student, who will be a doctor with accredited research experience related to the unit or school organizing the programme.

5.2. Each doctoral student will be assigned a thesis supervisor within the period established by the regulations in force as of the time of enrolment.

The thesis supervisor must be a doctor, either Spanish or otherwise, with accredited research experience, regardless of the university, centre or institution where he/she works. In exceptional circumstances, the thesis may be supervised by doctors who are not linked to research institutions, subject to prior authorization from the Doctoral School's Management Committee.

The doctoral student may apply for a change of thesis supervisor to the academic committee of the doctoral programme. The committee may change the appointment of the thesis supervisor, after prior consultation with the applicant, the thesis supervisor and the doctor it proposes as a new supervisor, provided that it does do on justifiable grounds and there is no disagreement. In the event of disagreement, the case will be put before the Management Committee of the Doctoral School.

Modified by agreement of board of governors of 19 february 2020

Article 6. Joint doctoral thesis supervision

The doctoral thesis may be co-supervised by two or more doctors when there are academic reasons that warrant this, such as those with an interdisciplinary subject matter, subject to prior authorization from the academic committee of the doctoral programme. This authorization may subsequently be withdrawn if in the opinion of the academic committee of the doctoral program, the joint supervision does not benefit the development of the thesis.

Article 7. The doctoral student's activities document

7.1. After registering on the programme, the personalised activities documents will be written for each doctoral student, and must contain all the activities relevant to the development of the doctoral student, as agreed by the academic committee of the doctoral programme.

7.2. This document must be reviewed regularly by the tutor and the thesis supervisor, and evaluated by the academic committee responsible for the doctoral programme.

Article 8. The doctoral student's research plan

Before the end of the first year, starting on the date of first registration, doctoral students must produce their Research Plan, including the methodology, objectives, resources and planning for the production of their thesis. This research plan will be completed during the doctoral student's time in the programme, and must be endorsed by the tutor and the thesis supervisor when submitted for evaluation.

Article 9. Document of commitment

The doctoral student, the university, the tutor and the thesis supervisor shall sign a document of commitment setting out the supervision tasks relating to doctoral students. This commitment, which must be signed as soon as possible once the thesis supervisor has been appointed, must include the procedure for resolving disputes, and must provide for issues relating to intellectual or industrial property rights arising in the doctoral programmes.

Article 10. Annual assessment of the doctoral student

10.1. The academic committee of each doctoral programme must establish mechanisms to ensure the quality of the theses during the production process (public exposition in seminars, prior publication in journals of recognized prestige, external reports, etc.).

10.2. The doctoral programme's academic committee will evaluate the Research Plan, the activities document and the reports of the thesis supervisor and the tutor every year. A positive assessment is a prerequisite for continuing in the doctoral programme. A negative assessment on justifiable grounds will lead to the doctoral student being re-assessed within six months of the previous assessment, and he/she must produce a new research plan to that end. In the event of a further negative assessment, the doctoral student will be withdrawn from the programme on a permanent basis.

SECTION 5. THE DOCTORAL THESIS

Article 11. Contents of the doctoral thesis

11.1. The doctoral thesis must consist of an original piece of research in one of the research lines of the doctoral programme.

11.2. The doctoral thesis may be composed of a compendium of works obtained from the doctoral student’s own research. In this case, the doctoral thesis must include a report which presents the thesis defended, with an introductory chapter and final conclusions.

The works referred to above must have been realized after the first registration in the doctoral programme and in accordance with its research plan.

Modified by agreement of board of governors of 19 february 2020

Article 12. Annual information on doctoral theses

The academic committee of each doctoral programme must report annually to the Doctoral School's Management Committee on the progress of the doctoral theses of all its doctoral students. This information may refer to all the doctoral theses in each doctoral programme.

Article 13. Language of writing and defence of the doctoral thesis

The thesis may be written and defended in any of the languages commonly used in scientific communication in the relevant field of knowledge. If the language of writing and defence of the thesis is not Catalan, Spanish or English, the doctoral student must notify the academic committee of the doctoral programme of this beforehand.

Article 14. Co-tutoring

14.1. The University will promote initiatives that enhance the international dimension of doctoral theses by the bodies responsible for postgraduate programmes, and will establish the appropriate systems for their recognition if necessary. Moreover, in certain cases it may propose that a doctoral thesis is produced under joint supervision with another international institution, by establishing conventions or agreements, in accordance with the regulations in force at Pompeu Fabra University.

14.2. The academic committee of the doctoral program is responsible for authorizing the joint supervision of doctoral theses.

Article 15. Deadline for depositing the doctoral thesis

15.1. Deadlines and extensions

The doctoral thesis must be deposited before the end of the third academic year, or the fifth in the case of part-time doctoral students, since the doctoral student enrolled. If after this period of three or five years, as appropriate, the doctoral student has not submitted the application to deposit the thesis, the Academic Committee responsible for the doctoral programme may authorize an extension of one year, or two years in the case of part-time doctoral students, which may exceptionally be extended for one further year, under the conditions set out in the doctoral degree programme. If in this last period the doctoral student does not deposit their doctoral thesis, they will be de-registered from the programme.

15.2. Situations of leave due to health reasons or related to maternity or paternity

If the doctoral student is incapacitated due to health reasons (including risk during pregnancy), the deadline for depositing the doctoral thesis will be extended as follows:

If the doctoral student has an employment contract, it will be extended by the length of time during which the student is on sick leave.
If the doctoral student has no employment contract, it will be extended by the length of time established by a committee set up specifically for each situation. To avoid conflicts of interest, in no case will the coordinator of the doctoral programme or any person linked to the programme sit on such committee. The committee will request, among other documents, the medical report, a report from the thesis supervisor and a report from the doctoral programme coordinator.

In the case of maternity, paternity, adoption or fostering, the deadline for depositing the doctoral thesis will be extended by the maximum recognized by labour legislation as a “rest period or leave to employees”.

15.3. Situations of voluntary, temporary interruption  

Doctoral students can apply for voluntary, temporary interruption, for a maximum period of one year, extendible by up to one more year. This request must be approved by the Doctoral Programme Academic Committee which will evaluate the need to request the corresponding report from the doctoral thesis supervisor.

Voluntary, temporary interruption must be requested before the end of the three-year (full-time students) or the five-year (part-time students) deadline for depositing the doctoral thesis. Under no circumstances can it be requested during the period of enjoyment of the extensions provided for in Article 15.1.

Modified by agreement of board of governors of 19 february 2020

Article 16. Depositing the doctoral thesis

16.1. Once the doctoral thesis is prepared, the doctoral student must deposit it in the place and manner established by the Doctoral Programme Academic Committee in accordance with the deposit procedure established by the Doctoral School.

16.2. The application for deposit must be accompanied by a favourable report from the thesis supervisor, which must be comprehensive; a copy of the doctoral thesis printed on paper compliant with the conditions determined by the Doctoral School Steering Committee; a copy of the thesis in electronic form, and a statement of thesis authorship.

16.3. The Doctoral Programme Academic Committee will then proceed, in view of the documentation submitted, to authorize the deposit of the doctoral thesis or not. If it does not authorize it, the Committee will provide express justification to the doctoral student and to the thesis supervisor as to the reasons for its decision.

16.4. The Doctoral Programme Academic Committee will notify of the deposit of the thesis so that it may be disseminated, notwithstanding the provisions of Article 19. The doctoral thesis will be deposited for seven working days, starting on the day following the date of deposit, so that doctors can examine it and, if applicable, address a letter to the Doctoral School with the considerations they deem appropriate.

16.5. Thesis consultation will take place under conditions that preserve its originality and the confidentiality of its content. To this end, access may only be gained by persons accrediting the status of doctor, the time of consultation will be limited, and a specific space will be enabled to conduct this procedure.

16.6. In the case of doctoral theses in which companies participate with which confidentiality agreements have been signed or doctoral theses that may generate patents, the University, through its Doctoral School, will establish the necessary mechanisms and procedures to ensure that the authorization of the deposit of the thesis is carried out with all the necessary safeguards of confidentiality.

Modified by agreement of board of governors of 19 february 2020

Article 17. Doctoral thesis board

17.1. Proposed panel

The thesis supervisor will forward to the Doctoral School Steering Committee, via the medium enabled by the Doctoral School for such purpose, a proposal for the thesis panel, which will be approved by the Doctoral Programme Academic Committee. The Academic Committee will provide the Doctoral School Steering Committee with all of the documentation generated by the doctoral thesis assessment procedure, for processing. The Academic Committee may establish a deadline for the supervisor to arrange the proposed panel.

The proposed panel must include three members and two alternates, all holding a doctoral degree and accredited research experience, the majority of whom must be from outside the University and the institutions collaborating in the doctoral programme. The panel must not contain more than two members of the same university or institution. When an alternate is required at the reading ceremony, preference must be given, where appropriate, to someone who allows the panel to continue to be composed of members from different universities and institutions.

Neither the doctoral thesis supervisor nor the tutor can sit on the panel, except in cases where the theses are presented within the framework of bilateral joint supervision agreements with foreign universities that provide for this possibility.

This proposal must be accompanied by a suitability report on each of the five members proposed vis-à-vis the subject of the thesis. If the thesis supervisor does not submit the proposed composition of the panel within the period mentioned, the Doctoral School Steering Committee will proceed to appoint the panel under the terms established in this Article.

17.2. Approval and appointment of the panel

The Doctoral School Steering Committee shall appoint a chair, a secretary and a member from among the members of the incumbent panel, as well as a first alternate and a second alternate. In the event that any incumbent member of the panel were to decline for just cause, they will be replaced by the first alternate, or alternatively, the second alternate.

17.3. Confidentiality of panel members

In cases of doctoral theses in which companies participate with which confidentiality agreements have been signed or doctoral theses that may generate patents, the University, through its Doctoral School, will establish the necessary mechanisms and procedures to ensure that the panel members keep the content of the doctoral thesis confidential.

17.4. Right of attendance

The members of the panel from outside Pompeu Fabra University may request financial consideration by way of payment for services, based on the  established regulations.

Modified by agreement of board of governors of 19 february 2020

Article 18. Defence and grading of the doctoral thesis

18.1. Deadline to defend the thesis

The deadline to defend the thesis is six months from the time the doctoral thesis panel is appointed. The Academic Committee of each doctoral programme may authorize an extension of this term when there is due cause.

18.2. Convocation of the defence proceedings

The thesis defence proceedings shall be convened by the president of the panel, and the secretary shall inform the Doctoral School's Management Committee of the date on which it is to take place, with sufficient advance notice.

18.3. The defence proceedings

The thesis defence proceedings must take place in public within the academic period established for the reading of theses, between July and September, inclusive, without prejudice to the stipulations of Article 19.

The proceedings must consist of the doctoral student's exposition of the research work carried out, the methodology used, the contents and conclusions, with special reference to the original contributions.

The members of the board may ask the doctoral student any questions they deem appropriate. Likewise, the doctors present in the public defence proceedings may ask questions at the time and in the manner stipulated by the president of the panel.

18.4. Grading the doctoral thesis

The members of the panel will issue a report and grade the thesis globally under the terms established by the applicable regulations. The panel may propose that the thesis be awarded the distinction of cum laude, if the secret vote is unanimous in this regard. Once the doctoral thesis defence session has finalized, the counting of the votes in favour of the distinction of cum laude must be carried out in a different procedure.

Modified by agreement of board of governors of 19 february 2020

Article 19. Publication of the doctoral thesis

19.1. Once it has been passed, the doctoral thesis will be archived electronically and in open access format in the TDX repository (Theses and Dissertations Online). The Doctoral School will send the Ministry of Education a copy of the thesis in electronic format, as well as any additional information that is necessary for the appropriate purposes.

19.2. In cases where, in accordance with Article 14.6 of Royal Decree 99/2011, the Academic Committee has envisaged the possibility of partially restricting the publication of the thesis, the doctoral student must inform the Doctoral School of this and must provide a copy of the thesis from which the issues that are subject to special protection have been removed and a full text copy, which in compliance with the mandatory rules, will be kept in the University Archive. This copy will remain confidential throughout the term agreed to by the Doctoral Programme Academic Committee.

Modified by agreement of board of governors of 19 february 2020

SECTION 6. THE DOCTORAL DIPLOMA AND THE DOCTORAL THESIS SPECIAL AWARD

Article 20. The doctoral diploma

After the defence of the thesis has been approved, the doctoral student may apply for a doctoral diploma from Pompeu Fabra University.

Article 21. International mention in the doctoral diploma

The doctoral diploma may include on the obverse the words "international doctor," provided that the provisions of Article 15 of Royal Decree 99/2011 are complied with.

Article 22. Special awards for doctoral theses

The academic committee of the doctoral programme may submit a proposal for a Special Award for a Doctoral Thesis to the Doctoral School's Management Committee. The academic committee of each doctoral programme may request one special award be granted for every ten doctoral theses read.

ADDITIONAL PROVISION. Accredited research experience

Whenever herein accredited research experience is required, it will be understood as being such as determined by the Doctoral Programme Academic Committee

Modified by agreement of board of governors of 19 february 2020

FIRST TRANSITORY PROVISION. DOCTORAL STUDENTS SUBJECT TO PREVIOUS REGULATIONS

1. Doctoral students who have begun doctoral studies under previous regulations are subject to the provisions regulating the doctorate and the issuing of the doctoral diploma that were in force at the time when they began their studies. In any event, the regulations governing the board, the defence and assessment of the doctoral thesis stipulated in Royal Decree 99/2011 are applicable to those students one year after their entry into force.

2. Unless the Regulations governing continuance on doctoral studies at Pompeu Fabra University stipulate a different period, those pursuing doctoral studies on the entry into force of Royal Decree 99/2011 will have five years to present and defend their doctoral thesis. If this period of time elapses without these requirements having been met, the doctoral student will be declared to have been permanently withdrawn from the programme.

SECOND TRANSITORY PROVISION

During the period that the UPF Doctoral School is inoperative, the tasks assigned to the Doctorate School's Management Committee shall be performed by the Postgraduate and Doctorate Studies Committee.

SOLE OVERRIDING PROVISION

These regulations revoke the academic regulations for doctoral studies approved by the Board of Governors on 2 May 2007, and the Agreement of the Governing Council of 16 June 2010, concerning the composition of doctoral thesis boards. 

Agreement of the Board of Governors of 20 June 2012 modified by agreement of the board of governors of 19 february 2020


The adaptation of official courses to the European Higher Education Area began in 2005 with the approval of Royal Decrees 55/2005 and 56/2005, respectively, which established the framework for the design of the official postgraduate programmes, consisting of masters and doctorate programmes.

Organic Law 4/2007 of 12 April, which amended Organic Law 6/2001 of 21 December, concerning universities, defined doctoral studies as the studies in the third cycle of official university courses, leading to obtaining the official doctorate qualification, which is official and valid throughout Spain.

Royal Decree 1393/2007, of October 29, which provided for the organization of official university studies, subsequently developed the regulatory framework for university courses and established new regulations for doctoral studies.

The regulation of doctoral studies culminated in the approval of Royal Decree 99/2011 of 28 January, which regulates official doctoral courses and was a further step forward in the development of the regulatory framework for doctorates, as it exclusively regulates the organization of doctoral studies.

Among the main new features of Royal Decree 99/2011 are the regulation of doctoral schools and the establishment of academic committees for doctoral programmes, the research plan, the doctoral student's activities document and the code of good practices.

Law 14/2011 of 1 June, concerning science, technology and innovation, recently amended some articles of Organic Law 6/2001 of 21 December, concerning universities, while making statutory provision for the creation of doctoral schools and including them within the structure of universities.

Given this new regulatory framework governing doctoral studies, and in view of the fact that universities are responsible for regulating certain aspects of them, it has become necessary to adapt the regulations governing doctoral studies at Pompeu Fabra University. To that end, on 13 July 2011 the Board of Governors agreed to create the Pompeu Fabra University Doctoral School and approve its regulations, and anticipated its work beginning in the 2012-2013 academic year.

These new academic regulations, which are designed to regulate specific aspects regarding which Royal Decree 99/2011 confers regulatory authority on the University, are also being created in accordance with the provisions of Article 158.2 of the Statutes of Pompeu Fabra University. The aim of this is first, to create a high level of flexibility in each doctoral programme, given the special characteristics of each one, and the variety of needs and training and research methods in the different fields of knowledge; and second, to support UPF's commitment to becoming a leading European university in terms of quality, internationalization and links to research.


SECTION 1. GENERAL PROVISIONS

Article 1. Purpose

This purpose of these regulations is to regulate the doctorate taught at the Pompeu Fabra University Doctoral School, which is governed by Royal Decree 99/2011 of 28 January, which regulates official doctoral courses.

SECTION 2. ADMISSION AND REGISTRATION

Article 2. Access and admission

2.1. Access and admission requirements

Students meeting the admission requirements stipulated in the regulations in force, and the additional requirements or criteria for admission or selection that have been approved by the academic committee of each doctoral programme, which must be recorded in the verification report of the doctoral programme concerned, are eligible for the studies leading to the qualification of doctorate.

2.2. Competent bodies

The Doctoral School is responsible for the admission of applicants to doctoral studies through the academic committee of the doctoral programme.

2.3. Submission of applications

The University will make a single call for admission, in which eligible candidates who meet the access and admission requirements referred to in paragraph 6.1 may participate, as well as those candidates who despite not yet meeting them, anticipate meeting them by the start date of academic activity.

If a public price has been established for participation in the admission procedure, evidence of payment of this sum is a prerequisite for participation.

2.4. Documentation

When submitting the application for admission, candidates must attach documentation certifying their compliance with the access and admission requirements, as well as those aspects which have been subject to assessment.

Final admission is subject to accreditation of compliance with the access and admission requirements on the first day of the academic year.

2.5. Assessment of admission applications for access

a) Criteria

When the demand for places on a doctoral programme exceeds those available, priority will be given to applications based on the assessment criteria established by each doctoral programme in the approved verification report.

b) Procedure

The academic committee of each doctoral programme will be responsible for establishing the selection procedure.

Article 3. Registration

3.1. Procedure

Doctoral students must complete the registration process for the academic supervision of the doctorate every year, and pay the relevant public prices, within the deadlines established by the university and in accordance with the provisions of the regulations governing registration at Pompeu Fabra University. They must also register in the academic year in which the thesis is deposited.

Doctoral students taking doctoral studies with a foreign qualification from outside the European Higher Education Area that has not been officially recognized must pay the appropriate public price for the equivalence study.

The University's acceptance of the registration is conditional upon the accuracy of the details contained in the application, the doctoral student's compliance with the requirements stipulated in the regulations for access and admission to the doctorate, and full payment in the manner and within the deadlines established.

Any doctoral students failing to register within the deadlines and in the manner established by the University will be withdrawn from the programme.

3.2. Withdrawal of registration by doctoral students

Doctoral students may withdraw their registration within two months of the registration date.

The doctoral student's presentation of the registration within the deadline and payment of the registration fee in full is a prerequisite for acceptance of the withdrawal. Once the withdrawal has been accepted, it shall take effect from the date of the doctoral student's withdrawal application.

In academic terms, the acceptance of the withdrawal of registration has the same effects as if the doctoral student had not registered. Withdrawal of registration by the doctoral student will not lead to any refund of the sum paid to that end under any circumstances.

3.3. Other aspects of registration

The regulations of this university concerning the financial aspects of registration for official courses are applicable to prices, discounts, payment methods, modifications, withdrawals and refunds of the fees.

SECTION 3. WORKLOAD OF DOCTORAL STUDENTS

Article 4. Full-time or part-time studies by the doctoral student

4.1. The ordinary regime for undertaking doctoral studies is on a full-time basis. However, at the request of the doctoral student, the academic committee of the doctoral programme may authorize the doctoral student to take the course on a part-time basis, in accordance with the provisions of Article 3 of Royal Decree 99/2011.

4.2. Applications for part-time studies must be submitted to the doctoral programme's academic committee in the manner and within the deadlines established by that committee.

4.3. The change from full-time to part-time dedication must be requested before the end of the three-year deadline for depositing the doctoral thesis. Under no circumstances can it be requested during the period of enjoyment of any of the extensions provided for in Article 15.

Modified by agreement of board of governors of 19 february 2020

SECTION 4. SUPERVISION AND MONITORING OF THE DOCTORAL STUDENT

Article 5. Assignment of a tutor and thesis supervisor

5.1. After their admission to the doctoral program, the academic committee of the doctoral programme will assign a tutor to each doctoral student, who will be a doctor with accredited research experience related to the unit or school organizing the programme.

5.2. Each doctoral student will be assigned a thesis supervisor within the period established by the regulations in force as of the time of enrolment.

The thesis supervisor must be a doctor, either Spanish or otherwise, with accredited research experience, regardless of the university, centre or institution where he/she works. In exceptional circumstances, the thesis may be supervised by doctors who are not linked to research institutions, subject to prior authorization from the Doctoral School's Management Committee.

The doctoral student may apply for a change of thesis supervisor to the academic committee of the doctoral programme. The committee may change the appointment of the thesis supervisor, after prior consultation with the applicant, the thesis supervisor and the doctor it proposes as a new supervisor, provided that it does do on justifiable grounds and there is no disagreement. In the event of disagreement, the case will be put before the Management Committee of the Doctoral School.

Modified by agreement of board of governors of 19 february 2020

Article 6. Joint doctoral thesis supervision

The doctoral thesis may be co-supervised by two or more doctors when there are academic reasons that warrant this, such as those with an interdisciplinary subject matter, subject to prior authorization from the academic committee of the doctoral programme. This authorization may subsequently be withdrawn if in the opinion of the academic committee of the doctoral program, the joint supervision does not benefit the development of the thesis.

Article 7. The doctoral student's activities document

7.1. After registering on the programme, the personalised activities documents will be written for each doctoral student, and must contain all the activities relevant to the development of the doctoral student, as agreed by the academic committee of the doctoral programme.

7.2. This document must be reviewed regularly by the tutor and the thesis supervisor, and evaluated by the academic committee responsible for the doctoral programme.

Article 8. The doctoral student's research plan

Before the end of the first year, starting on the date of first registration, doctoral students must produce their Research Plan, including the methodology, objectives, resources and planning for the production of their thesis. This research plan will be completed during the doctoral student's time in the programme, and must be endorsed by the tutor and the thesis supervisor when submitted for evaluation.

Article 9. Document of commitment

The doctoral student, the university, the tutor and the thesis supervisor shall sign a document of commitment setting out the supervision tasks relating to doctoral students. This commitment, which must be signed as soon as possible once the thesis supervisor has been appointed, must include the procedure for resolving disputes, and must provide for issues relating to intellectual or industrial property rights arising in the doctoral programmes.

Article 10. Annual assessment of the doctoral student

10.1. The academic committee of each doctoral programme must establish mechanisms to ensure the quality of the theses during the production process (public exposition in seminars, prior publication in journals of recognized prestige, external reports, etc.).

10.2. The doctoral programme's academic committee will evaluate the Research Plan, the activities document and the reports of the thesis supervisor and the tutor every year. A positive assessment is a prerequisite for continuing in the doctoral programme. A negative assessment on justifiable grounds will lead to the doctoral student being re-assessed within six months of the previous assessment, and he/she must produce a new research plan to that end. In the event of a further negative assessment, the doctoral student will be withdrawn from the programme on a permanent basis.

SECTION 5. THE DOCTORAL THESIS

Article 11. Contents of the doctoral thesis

11.1. The doctoral thesis must consist of an original piece of research in one of the research lines of the doctoral programme.

11.2. The doctoral thesis may be composed of a compendium of works obtained from the doctoral student’s own research. In this case, the doctoral thesis must include a report which presents the thesis defended, with an introductory chapter and final conclusions.

The works referred to above must have been realized after the first registration in the doctoral programme and in accordance with its research plan.

Modified by agreement of board of governors of 19 february 2020

Article 12. Annual information on doctoral theses

The academic committee of each doctoral programme must report annually to the Doctoral School's Management Committee on the progress of the doctoral theses of all its doctoral students. This information may refer to all the doctoral theses in each doctoral programme.

Article 13. Language of writing and defence of the doctoral thesis

The thesis may be written and defended in any of the languages commonly used in scientific communication in the relevant field of knowledge. If the language of writing and defence of the thesis is not Catalan, Spanish or English, the doctoral student must notify the academic committee of the doctoral programme of this beforehand.

Article 14. Co-tutoring

14.1. The University will promote initiatives that enhance the international dimension of doctoral theses by the bodies responsible for postgraduate programmes, and will establish the appropriate systems for their recognition if necessary. Moreover, in certain cases it may propose that a doctoral thesis is produced under joint supervision with another international institution, by establishing conventions or agreements, in accordance with the regulations in force at Pompeu Fabra University.

14.2. The academic committee of the doctoral program is responsible for authorizing the joint supervision of doctoral theses.

Article 15. Deadline for depositing the doctoral thesis

15.1. Deadlines and extensions

The doctoral thesis must be deposited before the end of the third academic year, or the fifth in the case of part-time doctoral students, since the doctoral student enrolled. If after this period of three or five years, as appropriate, the doctoral student has not submitted the application to deposit the thesis, the Academic Committee responsible for the doctoral programme may authorize an extension of one year, or two years in the case of part-time doctoral students, which may exceptionally be extended for one further year, under the conditions set out in the doctoral degree programme. If in this last period the doctoral student does not deposit their doctoral thesis, they will be de-registered from the programme.

15.2. Situations of leave due to health reasons or related to maternity or paternity

If the doctoral student is incapacitated due to health reasons (including risk during pregnancy), the deadline for depositing the doctoral thesis will be extended as follows:

If the doctoral student has an employment contract, it will be extended by the length of time during which the student is on sick leave.
If the doctoral student has no employment contract, it will be extended by the length of time established by a committee set up specifically for each situation. To avoid conflicts of interest, in no case will the coordinator of the doctoral programme or any person linked to the programme sit on such committee. The committee will request, among other documents, the medical report, a report from the thesis supervisor and a report from the doctoral programme coordinator.

In the case of maternity, paternity, adoption or fostering, the deadline for depositing the doctoral thesis will be extended by the maximum recognized by labour legislation as a “rest period or leave to employees”.

15.3. Situations of voluntary, temporary interruption  

Doctoral students can apply for voluntary, temporary interruption, for a maximum period of one year, extendible by up to one more year. This request must be approved by the Doctoral Programme Academic Committee which will evaluate the need to request the corresponding report from the doctoral thesis supervisor.

Voluntary, temporary interruption must be requested before the end of the three-year (full-time students) or the five-year (part-time students) deadline for depositing the doctoral thesis. Under no circumstances can it be requested during the period of enjoyment of the extensions provided for in Article 15.1.

Modified by agreement of board of governors of 19 february 2020

Article 16. Depositing the doctoral thesis

16.1. Once the doctoral thesis is prepared, the doctoral student must deposit it in the place and manner established by the Doctoral Programme Academic Committee in accordance with the deposit procedure established by the Doctoral School.

16.2. The application for deposit must be accompanied by a favourable report from the thesis supervisor, which must be comprehensive; a copy of the doctoral thesis printed on paper compliant with the conditions determined by the Doctoral School Steering Committee; a copy of the thesis in electronic form, and a statement of thesis authorship.

16.3. The Doctoral Programme Academic Committee will then proceed, in view of the documentation submitted, to authorize the deposit of the doctoral thesis or not. If it does not authorize it, the Committee will provide express justification to the doctoral student and to the thesis supervisor as to the reasons for its decision.

16.4. The Doctoral Programme Academic Committee will notify of the deposit of the thesis so that it may be disseminated, notwithstanding the provisions of Article 19. The doctoral thesis will be deposited for seven working days, starting on the day following the date of deposit, so that doctors can examine it and, if applicable, address a letter to the Doctoral School with the considerations they deem appropriate.

16.5. Thesis consultation will take place under conditions that preserve its originality and the confidentiality of its content. To this end, access may only be gained by persons accrediting the status of doctor, the time of consultation will be limited, and a specific space will be enabled to conduct this procedure.

16.6. In the case of doctoral theses in which companies participate with which confidentiality agreements have been signed or doctoral theses that may generate patents, the University, through its Doctoral School, will establish the necessary mechanisms and procedures to ensure that the authorization of the deposit of the thesis is carried out with all the necessary safeguards of confidentiality.

Modified by agreement of board of governors of 19 february 2020

Article 17. Doctoral thesis board

17.1. Proposed panel

The thesis supervisor will forward to the Doctoral School Steering Committee, via the medium enabled by the Doctoral School for such purpose, a proposal for the thesis panel, which will be approved by the Doctoral Programme Academic Committee. The Academic Committee will provide the Doctoral School Steering Committee with all of the documentation generated by the doctoral thesis assessment procedure, for processing. The Academic Committee may establish a deadline for the supervisor to arrange the proposed panel.

The proposed panel must include three members and two alternates, all holding a doctoral degree and accredited research experience, the majority of whom must be from outside the University and the institutions collaborating in the doctoral programme. The panel must not contain more than two members of the same university or institution. When an alternate is required at the reading ceremony, preference must be given, where appropriate, to someone who allows the panel to continue to be composed of members from different universities and institutions.

Neither the doctoral thesis supervisor nor the tutor can sit on the panel, except in cases where the theses are presented within the framework of bilateral joint supervision agreements with foreign universities that provide for this possibility.

This proposal must be accompanied by a suitability report on each of the five members proposed vis-à-vis the subject of the thesis. If the thesis supervisor does not submit the proposed composition of the panel within the period mentioned, the Doctoral School Steering Committee will proceed to appoint the panel under the terms established in this Article.

17.2. Approval and appointment of the panel

The Doctoral School Steering Committee shall appoint a chair, a secretary and a member from among the members of the incumbent panel, as well as a first alternate and a second alternate. In the event that any incumbent member of the panel were to decline for just cause, they will be replaced by the first alternate, or alternatively, the second alternate.

17.3. Confidentiality of panel members

In cases of doctoral theses in which companies participate with which confidentiality agreements have been signed or doctoral theses that may generate patents, the University, through its Doctoral School, will establish the necessary mechanisms and procedures to ensure that the panel members keep the content of the doctoral thesis confidential.

17.4. Right of attendance

The members of the panel from outside Pompeu Fabra University may request financial consideration by way of payment for services, based on the  established regulations.

Modified by agreement of board of governors of 19 february 2020

Article 18. Defence and grading of the doctoral thesis

18.1. Deadline to defend the thesis

The deadline to defend the thesis is six months from the time the doctoral thesis panel is appointed. The Academic Committee of each doctoral programme may authorize an extension of this term when there is due cause.

18.2. Convocation of the defence proceedings

The thesis defence proceedings shall be convened by the president of the panel, and the secretary shall inform the Doctoral School's Management Committee of the date on which it is to take place, with sufficient advance notice.

18.3. The defence proceedings

The thesis defence proceedings must take place in public within the academic period established for the reading of theses, between July and September, inclusive, without prejudice to the stipulations of Article 19.

The proceedings must consist of the doctoral student's exposition of the research work carried out, the methodology used, the contents and conclusions, with special reference to the original contributions.

The members of the board may ask the doctoral student any questions they deem appropriate. Likewise, the doctors present in the public defence proceedings may ask questions at the time and in the manner stipulated by the president of the panel.

18.4. Grading the doctoral thesis

The members of the panel will issue a report and grade the thesis globally under the terms established by the applicable regulations. The panel may propose that the thesis be awarded the distinction of cum laude, if the secret vote is unanimous in this regard. Once the doctoral thesis defence session has finalized, the counting of the votes in favour of the distinction of cum laude must be carried out in a different procedure.

Modified by agreement of board of governors of 19 february 2020

Article 19. Publication of the doctoral thesis

19.1. Once it has been passed, the doctoral thesis will be archived electronically and in open access format in the TDX repository (Theses and Dissertations Online). The Doctoral School will send the Ministry of Education a copy of the thesis in electronic format, as well as any additional information that is necessary for the appropriate purposes.

19.2. In cases where, in accordance with Article 14.6 of Royal Decree 99/2011, the Academic Committee has envisaged the possibility of partially restricting the publication of the thesis, the doctoral student must inform the Doctoral School of this and must provide a copy of the thesis from which the issues that are subject to special protection have been removed and a full text copy, which in compliance with the mandatory rules, will be kept in the University Archive. This copy will remain confidential throughout the term agreed to by the Doctoral Programme Academic Committee.

Modified by agreement of board of governors of 19 february 2020

SECTION 6. THE DOCTORAL DIPLOMA AND THE DOCTORAL THESIS SPECIAL AWARD

Article 20. The doctoral diploma

After the defence of the thesis has been approved, the doctoral student may apply for a doctoral diploma from Pompeu Fabra University.

Article 21. International mention in the doctoral diploma

The doctoral diploma may include on the obverse the words "international doctor," provided that the provisions of Article 15 of Royal Decree 99/2011 are complied with.

Article 22. Special awards for doctoral theses

The academic committee of the doctoral programme may submit a proposal for a Special Award for a Doctoral Thesis to the Doctoral School's Management Committee. The academic committee of each doctoral programme may request one special award be granted for every ten doctoral theses read.

ADDITIONAL PROVISION. Accredited research experience

Whenever herein accredited research experience is required, it will be understood as being such as determined by the Doctoral Programme Academic Committee

Modified by agreement of board of governors of 19 february 2020

FIRST TRANSITORY PROVISION. DOCTORAL STUDENTS SUBJECT TO PREVIOUS REGULATIONS

1. Doctoral students who have begun doctoral studies under previous regulations are subject to the provisions regulating the doctorate and the issuing of the doctoral diploma that were in force at the time when they began their studies. In any event, the regulations governing the board, the defence and assessment of the doctoral thesis stipulated in Royal Decree 99/2011 are applicable to those students one year after their entry into force.

2. Unless the Regulations governing continuance on doctoral studies at Pompeu Fabra University stipulate a different period, those pursuing doctoral studies on the entry into force of Royal Decree 99/2011 will have five years to present and defend their doctoral thesis. If this period of time elapses without these requirements having been met, the doctoral student will be declared to have been permanently withdrawn from the programme.

SECOND TRANSITORY PROVISION

During the period that the UPF Doctoral School is inoperative, the tasks assigned to the Doctorate School's Management Committee shall be performed by the Postgraduate and Doctorate Studies Committee.

SOLE OVERRIDING PROVISION

These regulations revoke the academic regulations for doctoral studies approved by the Board of Governors on 2 May 2007, and the Agreement of the Governing Council of 16 June 2010, concerning the composition of doctoral thesis boards. 

Agreement of the Board of Governors of 20 June 2012 modified by agreement of the board of governors of 19 february 2020


The adaptation of official courses to the European Higher Education Area began in 2005 with the approval of Royal Decrees 55/2005 and 56/2005, respectively, which established the framework for the design of the official postgraduate programmes, consisting of masters and doctorate programmes.

Organic Law 4/2007 of 12 April, which amended Organic Law 6/2001 of 21 December, concerning universities, defined doctoral studies as the studies in the third cycle of official university courses, leading to obtaining the official doctorate qualification, which is official and valid throughout Spain.

Royal Decree 1393/2007, of October 29, which provided for the organization of official university studies, subsequently developed the regulatory framework for university courses and established new regulations for doctoral studies.

The regulation of doctoral studies culminated in the approval of Royal Decree 99/2011 of 28 January, which regulates official doctoral courses and was a further step forward in the development of the regulatory framework for doctorates, as it exclusively regulates the organization of doctoral studies.

Among the main new features of Royal Decree 99/2011 are the regulation of doctoral schools and the establishment of academic committees for doctoral programmes, the research plan, the doctoral student's activities document and the code of good practices.

Law 14/2011 of 1 June, concerning science, technology and innovation, recently amended some articles of Organic Law 6/2001 of 21 December, concerning universities, while making statutory provision for the creation of doctoral schools and including them within the structure of universities.

Given this new regulatory framework governing doctoral studies, and in view of the fact that universities are responsible for regulating certain aspects of them, it has become necessary to adapt the regulations governing doctoral studies at Pompeu Fabra University. To that end, on 13 July 2011 the Board of Governors agreed to create the Pompeu Fabra University Doctoral School and approve its regulations, and anticipated its work beginning in the 2012-2013 academic year.

These new academic regulations, which are designed to regulate specific aspects regarding which Royal Decree 99/2011 confers regulatory authority on the University, are also being created in accordance with the provisions of Article 158.2 of the Statutes of Pompeu Fabra University. The aim of this is first, to create a high level of flexibility in each doctoral programme, given the special characteristics of each one, and the variety of needs and training and research methods in the different fields of knowledge; and second, to support UPF's commitment to becoming a leading European university in terms of quality, internationalization and links to research.


SECTION 1. GENERAL PROVISIONS

Article 1. Purpose

This purpose of these regulations is to regulate the doctorate taught at the Pompeu Fabra University Doctoral School, which is governed by Royal Decree 99/2011 of 28 January, which regulates official doctoral courses.

SECTION 2. ADMISSION AND REGISTRATION

Article 2. Access and admission

2.1. Access and admission requirements

Students meeting the admission requirements stipulated in the regulations in force, and the additional requirements or criteria for admission or selection that have been approved by the academic committee of each doctoral programme, which must be recorded in the verification report of the doctoral programme concerned, are eligible for the studies leading to the qualification of doctorate.

2.2. Competent bodies

The Doctoral School is responsible for the admission of applicants to doctoral studies through the academic committee of the doctoral programme.

2.3. Submission of applications

The University will make a single call for admission, in which eligible candidates who meet the access and admission requirements referred to in paragraph 6.1 may participate, as well as those candidates who despite not yet meeting them, anticipate meeting them by the start date of academic activity.

If a public price has been established for participation in the admission procedure, evidence of payment of this sum is a prerequisite for participation.

2.4. Documentation

When submitting the application for admission, candidates must attach documentation certifying their compliance with the access and admission requirements, as well as those aspects which have been subject to assessment.

Final admission is subject to accreditation of compliance with the access and admission requirements on the first day of the academic year.

2.5. Assessment of admission applications for access

a) Criteria

When the demand for places on a doctoral programme exceeds those available, priority will be given to applications based on the assessment criteria established by each doctoral programme in the approved verification report.

b) Procedure

The academic committee of each doctoral programme will be responsible for establishing the selection procedure.

Article 3. Registration

3.1. Procedure

Doctoral students must complete the registration process for the academic supervision of the doctorate every year, and pay the relevant public prices, within the deadlines established by the university and in accordance with the provisions of the regulations governing registration at Pompeu Fabra University. They must also register in the academic year in which the thesis is deposited.

Doctoral students taking doctoral studies with a foreign qualification from outside the European Higher Education Area that has not been officially recognized must pay the appropriate public price for the equivalence study.

The University's acceptance of the registration is conditional upon the accuracy of the details contained in the application, the doctoral student's compliance with the requirements stipulated in the regulations for access and admission to the doctorate, and full payment in the manner and within the deadlines established.

Any doctoral students failing to register within the deadlines and in the manner established by the University will be withdrawn from the programme.

3.2. Withdrawal of registration by doctoral students

Doctoral students may withdraw their registration within two months of the registration date.

The doctoral student's presentation of the registration within the deadline and payment of the registration fee in full is a prerequisite for acceptance of the withdrawal. Once the withdrawal has been accepted, it shall take effect from the date of the doctoral student's withdrawal application.

In academic terms, the acceptance of the withdrawal of registration has the same effects as if the doctoral student had not registered. Withdrawal of registration by the doctoral student will not lead to any refund of the sum paid to that end under any circumstances.

3.3. Other aspects of registration

The regulations of this university concerning the financial aspects of registration for official courses are applicable to prices, discounts, payment methods, modifications, withdrawals and refunds of the fees.

SECTION 3. WORKLOAD OF DOCTORAL STUDENTS

Article 4. Full-time or part-time studies by the doctoral student

4.1. The ordinary regime for undertaking doctoral studies is on a full-time basis. However, at the request of the doctoral student, the academic committee of the doctoral programme may authorize the doctoral student to take the course on a part-time basis, in accordance with the provisions of Article 3 of Royal Decree 99/2011.

4.2. Applications for part-time studies must be submitted to the doctoral programme's academic committee in the manner and within the deadlines established by that committee.

4.3. The change from full-time to part-time dedication must be requested before the end of the three-year deadline for depositing the doctoral thesis. Under no circumstances can it be requested during the period of enjoyment of any of the extensions provided for in Article 15.

Modified by agreement of board of governors of 19 february 2020

SECTION 4. SUPERVISION AND MONITORING OF THE DOCTORAL STUDENT

Article 5. Assignment of a tutor and thesis supervisor

5.1. After their admission to the doctoral program, the academic committee of the doctoral programme will assign a tutor to each doctoral student, who will be a doctor with accredited research experience related to the unit or school organizing the programme.

5.2. Each doctoral student will be assigned a thesis supervisor within the period established by the regulations in force as of the time of enrolment.

The thesis supervisor must be a doctor, either Spanish or otherwise, with accredited research experience, regardless of the university, centre or institution where he/she works. In exceptional circumstances, the thesis may be supervised by doctors who are not linked to research institutions, subject to prior authorization from the Doctoral School's Management Committee.

The doctoral student may apply for a change of thesis supervisor to the academic committee of the doctoral programme. The committee may change the appointment of the thesis supervisor, after prior consultation with the applicant, the thesis supervisor and the doctor it proposes as a new supervisor, provided that it does do on justifiable grounds and there is no disagreement. In the event of disagreement, the case will be put before the Management Committee of the Doctoral School.

Modified by agreement of board of governors of 19 february 2020

Article 6. Joint doctoral thesis supervision

The doctoral thesis may be co-supervised by two or more doctors when there are academic reasons that warrant this, such as those with an interdisciplinary subject matter, subject to prior authorization from the academic committee of the doctoral programme. This authorization may subsequently be withdrawn if in the opinion of the academic committee of the doctoral program, the joint supervision does not benefit the development of the thesis.

Article 7. The doctoral student's activities document

7.1. After registering on the programme, the personalised activities documents will be written for each doctoral student, and must contain all the activities relevant to the development of the doctoral student, as agreed by the academic committee of the doctoral programme.

7.2. This document must be reviewed regularly by the tutor and the thesis supervisor, and evaluated by the academic committee responsible for the doctoral programme.

Article 8. The doctoral student's research plan

Before the end of the first year, starting on the date of first registration, doctoral students must produce their Research Plan, including the methodology, objectives, resources and planning for the production of their thesis. This research plan will be completed during the doctoral student's time in the programme, and must be endorsed by the tutor and the thesis supervisor when submitted for evaluation.

Article 9. Document of commitment

The doctoral student, the university, the tutor and the thesis supervisor shall sign a document of commitment setting out the supervision tasks relating to doctoral students. This commitment, which must be signed as soon as possible once the thesis supervisor has been appointed, must include the procedure for resolving disputes, and must provide for issues relating to intellectual or industrial property rights arising in the doctoral programmes.

Article 10. Annual assessment of the doctoral student

10.1. The academic committee of each doctoral programme must establish mechanisms to ensure the quality of the theses during the production process (public exposition in seminars, prior publication in journals of recognized prestige, external reports, etc.).

10.2. The doctoral programme's academic committee will evaluate the Research Plan, the activities document and the reports of the thesis supervisor and the tutor every year. A positive assessment is a prerequisite for continuing in the doctoral programme. A negative assessment on justifiable grounds will lead to the doctoral student being re-assessed within six months of the previous assessment, and he/she must produce a new research plan to that end. In the event of a further negative assessment, the doctoral student will be withdrawn from the programme on a permanent basis.

SECTION 5. THE DOCTORAL THESIS

Article 11. Contents of the doctoral thesis

11.1. The doctoral thesis must consist of an original piece of research in one of the research lines of the doctoral programme.

11.2. The doctoral thesis may be composed of a compendium of works obtained from the doctoral student’s own research. In this case, the doctoral thesis must include a report which presents the thesis defended, with an introductory chapter and final conclusions.

The works referred to above must have been realized after the first registration in the doctoral programme and in accordance with its research plan.

Modified by agreement of board of governors of 19 february 2020

Article 12. Annual information on doctoral theses

The academic committee of each doctoral programme must report annually to the Doctoral School's Management Committee on the progress of the doctoral theses of all its doctoral students. This information may refer to all the doctoral theses in each doctoral programme.

Article 13. Language of writing and defence of the doctoral thesis

The thesis may be written and defended in any of the languages commonly used in scientific communication in the relevant field of knowledge. If the language of writing and defence of the thesis is not Catalan, Spanish or English, the doctoral student must notify the academic committee of the doctoral programme of this beforehand.

Article 14. Co-tutoring

14.1. The University will promote initiatives that enhance the international dimension of doctoral theses by the bodies responsible for postgraduate programmes, and will establish the appropriate systems for their recognition if necessary. Moreover, in certain cases it may propose that a doctoral thesis is produced under joint supervision with another international institution, by establishing conventions or agreements, in accordance with the regulations in force at Pompeu Fabra University.

14.2. The academic committee of the doctoral program is responsible for authorizing the joint supervision of doctoral theses.

Article 15. Deadline for depositing the doctoral thesis

15.1. Deadlines and extensions

The doctoral thesis must be deposited before the end of the third academic year, or the fifth in the case of part-time doctoral students, since the doctoral student enrolled. If after this period of three or five years, as appropriate, the doctoral student has not submitted the application to deposit the thesis, the Academic Committee responsible for the doctoral programme may authorize an extension of one year, or two years in the case of part-time doctoral students, which may exceptionally be extended for one further year, under the conditions set out in the doctoral degree programme. If in this last period the doctoral student does not deposit their doctoral thesis, they will be de-registered from the programme.

15.2. Situations of leave due to health reasons or related to maternity or paternity

If the doctoral student is incapacitated due to health reasons (including risk during pregnancy), the deadline for depositing the doctoral thesis will be extended as follows:

If the doctoral student has an employment contract, it will be extended by the length of time during which the student is on sick leave.
If the doctoral student has no employment contract, it will be extended by the length of time established by a committee set up specifically for each situation. To avoid conflicts of interest, in no case will the coordinator of the doctoral programme or any person linked to the programme sit on such committee. The committee will request, among other documents, the medical report, a report from the thesis supervisor and a report from the doctoral programme coordinator.

In the case of maternity, paternity, adoption or fostering, the deadline for depositing the doctoral thesis will be extended by the maximum recognized by labour legislation as a “rest period or leave to employees”.

15.3. Situations of voluntary, temporary interruption  

Doctoral students can apply for voluntary, temporary interruption, for a maximum period of one year, extendible by up to one more year. This request must be approved by the Doctoral Programme Academic Committee which will evaluate the need to request the corresponding report from the doctoral thesis supervisor.

Voluntary, temporary interruption must be requested before the end of the three-year (full-time students) or the five-year (part-time students) deadline for depositing the doctoral thesis. Under no circumstances can it be requested during the period of enjoyment of the extensions provided for in Article 15.1.

Modified by agreement of board of governors of 19 february 2020

Article 16. Depositing the doctoral thesis

16.1. Once the doctoral thesis is prepared, the doctoral student must deposit it in the place and manner established by the Doctoral Programme Academic Committee in accordance with the deposit procedure established by the Doctoral School.

16.2. The application for deposit must be accompanied by a favourable report from the thesis supervisor, which must be comprehensive; a copy of the doctoral thesis printed on paper compliant with the conditions determined by the Doctoral School Steering Committee; a copy of the thesis in electronic form, and a statement of thesis authorship.

16.3. The Doctoral Programme Academic Committee will then proceed, in view of the documentation submitted, to authorize the deposit of the doctoral thesis or not. If it does not authorize it, the Committee will provide express justification to the doctoral student and to the thesis supervisor as to the reasons for its decision.

16.4. The Doctoral Programme Academic Committee will notify of the deposit of the thesis so that it may be disseminated, notwithstanding the provisions of Article 19. The doctoral thesis will be deposited for seven working days, starting on the day following the date of deposit, so that doctors can examine it and, if applicable, address a letter to the Doctoral School with the considerations they deem appropriate.

16.5. Thesis consultation will take place under conditions that preserve its originality and the confidentiality of its content. To this end, access may only be gained by persons accrediting the status of doctor, the time of consultation will be limited, and a specific space will be enabled to conduct this procedure.

16.6. In the case of doctoral theses in which companies participate with which confidentiality agreements have been signed or doctoral theses that may generate patents, the University, through its Doctoral School, will establish the necessary mechanisms and procedures to ensure that the authorization of the deposit of the thesis is carried out with all the necessary safeguards of confidentiality.

Modified by agreement of board of governors of 19 february 2020

Article 17. Doctoral thesis board

17.1. Proposed panel

The thesis supervisor will forward to the Doctoral School Steering Committee, via the medium enabled by the Doctoral School for such purpose, a proposal for the thesis panel, which will be approved by the Doctoral Programme Academic Committee. The Academic Committee will provide the Doctoral School Steering Committee with all of the documentation generated by the doctoral thesis assessment procedure, for processing. The Academic Committee may establish a deadline for the supervisor to arrange the proposed panel.

The proposed panel must include three members and two alternates, all holding a doctoral degree and accredited research experience, the majority of whom must be from outside the University and the institutions collaborating in the doctoral programme. The panel must not contain more than two members of the same university or institution. When an alternate is required at the reading ceremony, preference must be given, where appropriate, to someone who allows the panel to continue to be composed of members from different universities and institutions.

Neither the doctoral thesis supervisor nor the tutor can sit on the panel, except in cases where the theses are presented within the framework of bilateral joint supervision agreements with foreign universities that provide for this possibility.

This proposal must be accompanied by a suitability report on each of the five members proposed vis-à-vis the subject of the thesis. If the thesis supervisor does not submit the proposed composition of the panel within the period mentioned, the Doctoral School Steering Committee will proceed to appoint the panel under the terms established in this Article.

17.2. Approval and appointment of the panel

The Doctoral School Steering Committee shall appoint a chair, a secretary and a member from among the members of the incumbent panel, as well as a first alternate and a second alternate. In the event that any incumbent member of the panel were to decline for just cause, they will be replaced by the first alternate, or alternatively, the second alternate.

17.3. Confidentiality of panel members

In cases of doctoral theses in which companies participate with which confidentiality agreements have been signed or doctoral theses that may generate patents, the University, through its Doctoral School, will establish the necessary mechanisms and procedures to ensure that the panel members keep the content of the doctoral thesis confidential.

17.4. Right of attendance

The members of the panel from outside Pompeu Fabra University may request financial consideration by way of payment for services, based on the  established regulations.

Modified by agreement of board of governors of 19 february 2020

Article 18. Defence and grading of the doctoral thesis

18.1. Deadline to defend the thesis

The deadline to defend the thesis is six months from the time the doctoral thesis panel is appointed. The Academic Committee of each doctoral programme may authorize an extension of this term when there is due cause.

18.2. Convocation of the defence proceedings

The thesis defence proceedings shall be convened by the president of the panel, and the secretary shall inform the Doctoral School's Management Committee of the date on which it is to take place, with sufficient advance notice.

18.3. The defence proceedings

The thesis defence proceedings must take place in public within the academic period established for the reading of theses, between July and September, inclusive, without prejudice to the stipulations of Article 19.

The proceedings must consist of the doctoral student's exposition of the research work carried out, the methodology used, the contents and conclusions, with special reference to the original contributions.

The members of the board may ask the doctoral student any questions they deem appropriate. Likewise, the doctors present in the public defence proceedings may ask questions at the time and in the manner stipulated by the president of the panel.

18.4. Grading the doctoral thesis

The members of the panel will issue a report and grade the thesis globally under the terms established by the applicable regulations. The panel may propose that the thesis be awarded the distinction of cum laude, if the secret vote is unanimous in this regard. Once the doctoral thesis defence session has finalized, the counting of the votes in favour of the distinction of cum laude must be carried out in a different procedure.

Modified by agreement of board of governors of 19 february 2020

Article 19. Publication of the doctoral thesis

19.1. Once it has been passed, the doctoral thesis will be archived electronically and in open access format in the TDX repository (Theses and Dissertations Online). The Doctoral School will send the Ministry of Education a copy of the thesis in electronic format, as well as any additional information that is necessary for the appropriate purposes.

19.2. In cases where, in accordance with Article 14.6 of Royal Decree 99/2011, the Academic Committee has envisaged the possibility of partially restricting the publication of the thesis, the doctoral student must inform the Doctoral School of this and must provide a copy of the thesis from which the issues that are subject to special protection have been removed and a full text copy, which in compliance with the mandatory rules, will be kept in the University Archive. This copy will remain confidential throughout the term agreed to by the Doctoral Programme Academic Committee.

Modified by agreement of board of governors of 19 february 2020

SECTION 6. THE DOCTORAL DIPLOMA AND THE DOCTORAL THESIS SPECIAL AWARD

Article 20. The doctoral diploma

After the defence of the thesis has been approved, the doctoral student may apply for a doctoral diploma from Pompeu Fabra University.

Article 21. International mention in the doctoral diploma

The doctoral diploma may include on the obverse the words "international doctor," provided that the provisions of Article 15 of Royal Decree 99/2011 are complied with.

Article 22. Special awards for doctoral theses

The academic committee of the doctoral programme may submit a proposal for a Special Award for a Doctoral Thesis to the Doctoral School's Management Committee. The academic committee of each doctoral programme may request one special award be granted for every ten doctoral theses read.

ADDITIONAL PROVISION. Accredited research experience

Whenever herein accredited research experience is required, it will be understood as being such as determined by the Doctoral Programme Academic Committee

Modified by agreement of board of governors of 19 february 2020

FIRST TRANSITORY PROVISION. DOCTORAL STUDENTS SUBJECT TO PREVIOUS REGULATIONS

1. Doctoral students who have begun doctoral studies under previous regulations are subject to the provisions regulating the doctorate and the issuing of the doctoral diploma that were in force at the time when they began their studies. In any event, the regulations governing the board, the defence and assessment of the doctoral thesis stipulated in Royal Decree 99/2011 are applicable to those students one year after their entry into force.

2. Unless the Regulations governing continuance on doctoral studies at Pompeu Fabra University stipulate a different period, those pursuing doctoral studies on the entry into force of Royal Decree 99/2011 will have five years to present and defend their doctoral thesis. If this period of time elapses without these requirements having been met, the doctoral student will be declared to have been permanently withdrawn from the programme.

SECOND TRANSITORY PROVISION

During the period that the UPF Doctoral School is inoperative, the tasks assigned to the Doctorate School's Management Committee shall be performed by the Postgraduate and Doctorate Studies Committee.

SOLE OVERRIDING PROVISION

These regulations revoke the academic regulations for doctoral studies approved by the Board of Governors on 2 May 2007, and the Agreement of the Governing Council of 16 June 2010, concerning the composition of doctoral thesis boards. 

Agreement of the Board of Governors of 20 June 2012 modified by agreement of the board of governors of 19 february 2020


The adaptation of official courses to the European Higher Education Area began in 2005 with the approval of Royal Decrees 55/2005 and 56/2005, respectively, which established the framework for the design of the official postgraduate programmes, consisting of masters and doctorate programmes.

Organic Law 4/2007 of 12 April, which amended Organic Law 6/2001 of 21 December, concerning universities, defined doctoral studies as the studies in the third cycle of official university courses, leading to obtaining the official doctorate qualification, which is official and valid throughout Spain.

Royal Decree 1393/2007, of October 29, which provided for the organization of official university studies, subsequently developed the regulatory framework for university courses and established new regulations for doctoral studies.

The regulation of doctoral studies culminated in the approval of Royal Decree 99/2011 of 28 January, which regulates official doctoral courses and was a further step forward in the development of the regulatory framework for doctorates, as it exclusively regulates the organization of doctoral studies.

Among the main new features of Royal Decree 99/2011 are the regulation of doctoral schools and the establishment of academic committees for doctoral programmes, the research plan, the doctoral student's activities document and the code of good practices.

Law 14/2011 of 1 June, concerning science, technology and innovation, recently amended some articles of Organic Law 6/2001 of 21 December, concerning universities, while making statutory provision for the creation of doctoral schools and including them within the structure of universities.

Given this new regulatory framework governing doctoral studies, and in view of the fact that universities are responsible for regulating certain aspects of them, it has become necessary to adapt the regulations governing doctoral studies at Pompeu Fabra University. To that end, on 13 July 2011 the Board of Governors agreed to create the Pompeu Fabra University Doctoral School and approve its regulations, and anticipated its work beginning in the 2012-2013 academic year.

These new academic regulations, which are designed to regulate specific aspects regarding which Royal Decree 99/2011 confers regulatory authority on the University, are also being created in accordance with the provisions of Article 158.2 of the Statutes of Pompeu Fabra University. The aim of this is first, to create a high level of flexibility in each doctoral programme, given the special characteristics of each one, and the variety of needs and training and research methods in the different fields of knowledge; and second, to support UPF's commitment to becoming a leading European university in terms of quality, internationalization and links to research.


SECTION 1. GENERAL PROVISIONS

Article 1. Purpose

This purpose of these regulations is to regulate the doctorate taught at the Pompeu Fabra University Doctoral School, which is governed by Royal Decree 99/2011 of 28 January, which regulates official doctoral courses.

SECTION 2. ADMISSION AND REGISTRATION

Article 2. Access and admission

2.1. Access and admission requirements

Students meeting the admission requirements stipulated in the regulations in force, and the additional requirements or criteria for admission or selection that have been approved by the academic committee of each doctoral programme, which must be recorded in the verification report of the doctoral programme concerned, are eligible for the studies leading to the qualification of doctorate.

2.2. Competent bodies

The Doctoral School is responsible for the admission of applicants to doctoral studies through the academic committee of the doctoral programme.

2.3. Submission of applications

The University will make a single call for admission, in which eligible candidates who meet the access and admission requirements referred to in paragraph 6.1 may participate, as well as those candidates who despite not yet meeting them, anticipate meeting them by the start date of academic activity.

If a public price has been established for participation in the admission procedure, evidence of payment of this sum is a prerequisite for participation.

2.4. Documentation

When submitting the application for admission, candidates must attach documentation certifying their compliance with the access and admission requirements, as well as those aspects which have been subject to assessment.

Final admission is subject to accreditation of compliance with the access and admission requirements on the first day of the academic year.

2.5. Assessment of admission applications for access

a) Criteria

When the demand for places on a doctoral programme exceeds those available, priority will be given to applications based on the assessment criteria established by each doctoral programme in the approved verification report.

b) Procedure

The academic committee of each doctoral programme will be responsible for establishing the selection procedure.

Article 3. Registration

3.1. Procedure

Doctoral students must complete the registration process for the academic supervision of the doctorate every year, and pay the relevant public prices, within the deadlines established by the university and in accordance with the provisions of the regulations governing registration at Pompeu Fabra University. They must also register in the academic year in which the thesis is deposited.

Doctoral students taking doctoral studies with a foreign qualification from outside the European Higher Education Area that has not been officially recognized must pay the appropriate public price for the equivalence study.

The University's acceptance of the registration is conditional upon the accuracy of the details contained in the application, the doctoral student's compliance with the requirements stipulated in the regulations for access and admission to the doctorate, and full payment in the manner and within the deadlines established.

Any doctoral students failing to register within the deadlines and in the manner established by the University will be withdrawn from the programme.

3.2. Withdrawal of registration by doctoral students

Doctoral students may withdraw their registration within two months of the registration date.

The doctoral student's presentation of the registration within the deadline and payment of the registration fee in full is a prerequisite for acceptance of the withdrawal. Once the withdrawal has been accepted, it shall take effect from the date of the doctoral student's withdrawal application.

In academic terms, the acceptance of the withdrawal of registration has the same effects as if the doctoral student had not registered. Withdrawal of registration by the doctoral student will not lead to any refund of the sum paid to that end under any circumstances.

3.3. Other aspects of registration

The regulations of this university concerning the financial aspects of registration for official courses are applicable to prices, discounts, payment methods, modifications, withdrawals and refunds of the fees.

SECTION 3. WORKLOAD OF DOCTORAL STUDENTS

Article 4. Full-time or part-time studies by the doctoral student

4.1. The ordinary regime for undertaking doctoral studies is on a full-time basis. However, at the request of the doctoral student, the academic committee of the doctoral programme may authorize the doctoral student to take the course on a part-time basis, in accordance with the provisions of Article 3 of Royal Decree 99/2011.

4.2. Applications for part-time studies must be submitted to the doctoral programme's academic committee in the manner and within the deadlines established by that committee.

4.3. The change from full-time to part-time dedication must be requested before the end of the three-year deadline for depositing the doctoral thesis. Under no circumstances can it be requested during the period of enjoyment of any of the extensions provided for in Article 15.

Modified by agreement of board of governors of 19 february 2020

SECTION 4. SUPERVISION AND MONITORING OF THE DOCTORAL STUDENT

Article 5. Assignment of a tutor and thesis supervisor

5.1. After their admission to the doctoral program, the academic committee of the doctoral programme will assign a tutor to each doctoral student, who will be a doctor with accredited research experience related to the unit or school organizing the programme.

5.2. Each doctoral student will be assigned a thesis supervisor within the period established by the regulations in force as of the time of enrolment.

The thesis supervisor must be a doctor, either Spanish or otherwise, with accredited research experience, regardless of the university, centre or institution where he/she works. In exceptional circumstances, the thesis may be supervised by doctors who are not linked to research institutions, subject to prior authorization from the Doctoral School's Management Committee.

The doctoral student may apply for a change of thesis supervisor to the academic committee of the doctoral programme. The committee may change the appointment of the thesis supervisor, after prior consultation with the applicant, the thesis supervisor and the doctor it proposes as a new supervisor, provided that it does do on justifiable grounds and there is no disagreement. In the event of disagreement, the case will be put before the Management Committee of the Doctoral School.

Modified by agreement of board of governors of 19 february 2020

Article 6. Joint doctoral thesis supervision

The doctoral thesis may be co-supervised by two or more doctors when there are academic reasons that warrant this, such as those with an interdisciplinary subject matter, subject to prior authorization from the academic committee of the doctoral programme. This authorization may subsequently be withdrawn if in the opinion of the academic committee of the doctoral program, the joint supervision does not benefit the development of the thesis.

Article 7. The doctoral student's activities document

7.1. After registering on the programme, the personalised activities documents will be written for each doctoral student, and must contain all the activities relevant to the development of the doctoral student, as agreed by the academic committee of the doctoral programme.

7.2. This document must be reviewed regularly by the tutor and the thesis supervisor, and evaluated by the academic committee responsible for the doctoral programme.

Article 8. The doctoral student's research plan

Before the end of the first year, starting on the date of first registration, doctoral students must produce their Research Plan, including the methodology, objectives, resources and planning for the production of their thesis. This research plan will be completed during the doctoral student's time in the programme, and must be endorsed by the tutor and the thesis supervisor when submitted for evaluation.

Article 9. Document of commitment

The doctoral student, the university, the tutor and the thesis supervisor shall sign a document of commitment setting out the supervision tasks relating to doctoral students. This commitment, which must be signed as soon as possible once the thesis supervisor has been appointed, must include the procedure for resolving disputes, and must provide for issues relating to intellectual or industrial property rights arising in the doctoral programmes.

Article 10. Annual assessment of the doctoral student

10.1. The academic committee of each doctoral programme must establish mechanisms to ensure the quality of the theses during the production process (public exposition in seminars, prior publication in journals of recognized prestige, external reports, etc.).

10.2. The doctoral programme's academic committee will evaluate the Research Plan, the activities document and the reports of the thesis supervisor and the tutor every year. A positive assessment is a prerequisite for continuing in the doctoral programme. A negative assessment on justifiable grounds will lead to the doctoral student being re-assessed within six months of the previous assessment, and he/she must produce a new research plan to that end. In the event of a further negative assessment, the doctoral student will be withdrawn from the programme on a permanent basis.

SECTION 5. THE DOCTORAL THESIS

Article 11. Contents of the doctoral thesis

11.1. The doctoral thesis must consist of an original piece of research in one of the research lines of the doctoral programme.

11.2. The doctoral thesis may be composed of a compendium of works obtained from the doctoral student’s own research. In this case, the doctoral thesis must include a report which presents the thesis defended, with an introductory chapter and final conclusions.

The works referred to above must have been realized after the first registration in the doctoral programme and in accordance with its research plan.

Modified by agreement of board of governors of 19 february 2020

Article 12. Annual information on doctoral theses

The academic committee of each doctoral programme must report annually to the Doctoral School's Management Committee on the progress of the doctoral theses of all its doctoral students. This information may refer to all the doctoral theses in each doctoral programme.

Article 13. Language of writing and defence of the doctoral thesis

The thesis may be written and defended in any of the languages commonly used in scientific communication in the relevant field of knowledge. If the language of writing and defence of the thesis is not Catalan, Spanish or English, the doctoral student must notify the academic committee of the doctoral programme of this beforehand.

Article 14. Co-tutoring

14.1. The University will promote initiatives that enhance the international dimension of doctoral theses by the bodies responsible for postgraduate programmes, and will establish the appropriate systems for their recognition if necessary. Moreover, in certain cases it may propose that a doctoral thesis is produced under joint supervision with another international institution, by establishing conventions or agreements, in accordance with the regulations in force at Pompeu Fabra University.

14.2. The academic committee of the doctoral program is responsible for authorizing the joint supervision of doctoral theses.

Article 15. Deadline for depositing the doctoral thesis

15.1. Deadlines and extensions

The doctoral thesis must be deposited before the end of the third academic year, or the fifth in the case of part-time doctoral students, since the doctoral student enrolled. If after this period of three or five years, as appropriate, the doctoral student has not submitted the application to deposit the thesis, the Academic Committee responsible for the doctoral programme may authorize an extension of one year, or two years in the case of part-time doctoral students, which may exceptionally be extended for one further year, under the conditions set out in the doctoral degree programme. If in this last period the doctoral student does not deposit their doctoral thesis, they will be de-registered from the programme.

15.2. Situations of leave due to health reasons or related to maternity or paternity

If the doctoral student is incapacitated due to health reasons (including risk during pregnancy), the deadline for depositing the doctoral thesis will be extended as follows:

If the doctoral student has an employment contract, it will be extended by the length of time during which the student is on sick leave.
If the doctoral student has no employment contract, it will be extended by the length of time established by a committee set up specifically for each situation. To avoid conflicts of interest, in no case will the coordinator of the doctoral programme or any person linked to the programme sit on such committee. The committee will request, among other documents, the medical report, a report from the thesis supervisor and a report from the doctoral programme coordinator.

In the case of maternity, paternity, adoption or fostering, the deadline for depositing the doctoral thesis will be extended by the maximum recognized by labour legislation as a “rest period or leave to employees”.

15.3. Situations of voluntary, temporary interruption  

Doctoral students can apply for voluntary, temporary interruption, for a maximum period of one year, extendible by up to one more year. This request must be approved by the Doctoral Programme Academic Committee which will evaluate the need to request the corresponding report from the doctoral thesis supervisor.

Voluntary, temporary interruption must be requested before the end of the three-year (full-time students) or the five-year (part-time students) deadline for depositing the doctoral thesis. Under no circumstances can it be requested during the period of enjoyment of the extensions provided for in Article 15.1.

Modified by agreement of board of governors of 19 february 2020

Article 16. Depositing the doctoral thesis

16.1. Once the doctoral thesis is prepared, the doctoral student must deposit it in the place and manner established by the Doctoral Programme Academic Committee in accordance with the deposit procedure established by the Doctoral School.

16.2. The application for deposit must be accompanied by a favourable report from the thesis supervisor, which must be comprehensive; a copy of the doctoral thesis printed on paper compliant with the conditions determined by the Doctoral School Steering Committee; a copy of the thesis in electronic form, and a statement of thesis authorship.

16.3. The Doctoral Programme Academic Committee will then proceed, in view of the documentation submitted, to authorize the deposit of the doctoral thesis or not. If it does not authorize it, the Committee will provide express justification to the doctoral student and to the thesis supervisor as to the reasons for its decision.

16.4. The Doctoral Programme Academic Committee will notify of the deposit of the thesis so that it may be disseminated, notwithstanding the provisions of Article 19. The doctoral thesis will be deposited for seven working days, starting on the day following the date of deposit, so that doctors can examine it and, if applicable, address a letter to the Doctoral School with the considerations they deem appropriate.

16.5. Thesis consultation will take place under conditions that preserve its originality and the confidentiality of its content. To this end, access may only be gained by persons accrediting the status of doctor, the time of consultation will be limited, and a specific space will be enabled to conduct this procedure.

16.6. In the case of doctoral theses in which companies participate with which confidentiality agreements have been signed or doctoral theses that may generate patents, the University, through its Doctoral School, will establish the necessary mechanisms and procedures to ensure that the authorization of the deposit of the thesis is carried out with all the necessary safeguards of confidentiality.

Modified by agreement of board of governors of 19 february 2020

Article 17. Doctoral thesis board

17.1. Proposed panel

The thesis supervisor will forward to the Doctoral School Steering Committee, via the medium enabled by the Doctoral School for such purpose, a proposal for the thesis panel, which will be approved by the Doctoral Programme Academic Committee. The Academic Committee will provide the Doctoral School Steering Committee with all of the documentation generated by the doctoral thesis assessment procedure, for processing. The Academic Committee may establish a deadline for the supervisor to arrange the proposed panel.

The proposed panel must include three members and two alternates, all holding a doctoral degree and accredited research experience, the majority of whom must be from outside the University and the institutions collaborating in the doctoral programme. The panel must not contain more than two members of the same university or institution. When an alternate is required at the reading ceremony, preference must be given, where appropriate, to someone who allows the panel to continue to be composed of members from different universities and institutions.

Neither the doctoral thesis supervisor nor the tutor can sit on the panel, except in cases where the theses are presented within the framework of bilateral joint supervision agreements with foreign universities that provide for this possibility.

This proposal must be accompanied by a suitability report on each of the five members proposed vis-à-vis the subject of the thesis. If the thesis supervisor does not submit the proposed composition of the panel within the period mentioned, the Doctoral School Steering Committee will proceed to appoint the panel under the terms established in this Article.

17.2. Approval and appointment of the panel

The Doctoral School Steering Committee shall appoint a chair, a secretary and a member from among the members of the incumbent panel, as well as a first alternate and a second alternate. In the event that any incumbent member of the panel were to decline for just cause, they will be replaced by the first alternate, or alternatively, the second alternate.

17.3. Confidentiality of panel members

In cases of doctoral theses in which companies participate with which confidentiality agreements have been signed or doctoral theses that may generate patents, the University, through its Doctoral School, will establish the necessary mechanisms and procedures to ensure that the panel members keep the content of the doctoral thesis confidential.

17.4. Right of attendance

The members of the panel from outside Pompeu Fabra University may request financial consideration by way of payment for services, based on the  established regulations.

Modified by agreement of board of governors of 19 february 2020

Article 18. Defence and grading of the doctoral thesis

18.1. Deadline to defend the thesis

The deadline to defend the thesis is six months from the time the doctoral thesis panel is appointed. The Academic Committee of each doctoral programme may authorize an extension of this term when there is due cause.

18.2. Convocation of the defence proceedings

The thesis defence proceedings shall be convened by the president of the panel, and the secretary shall inform the Doctoral School's Management Committee of the date on which it is to take place, with sufficient advance notice.

18.3. The defence proceedings

The thesis defence proceedings must take place in public within the academic period established for the reading of theses, between July and September, inclusive, without prejudice to the stipulations of Article 19.

The proceedings must consist of the doctoral student's exposition of the research work carried out, the methodology used, the contents and conclusions, with special reference to the original contributions.

The members of the board may ask the doctoral student any questions they deem appropriate. Likewise, the doctors present in the public defence proceedings may ask questions at the time and in the manner stipulated by the president of the panel.

18.4. Grading the doctoral thesis

The members of the panel will issue a report and grade the thesis globally under the terms established by the applicable regulations. The panel may propose that the thesis be awarded the distinction of cum laude, if the secret vote is unanimous in this regard. Once the doctoral thesis defence session has finalized, the counting of the votes in favour of the distinction of cum laude must be carried out in a different procedure.

Modified by agreement of board of governors of 19 february 2020

Article 19. Publication of the doctoral thesis

19.1. Once it has been passed, the doctoral thesis will be archived electronically and in open access format in the TDX repository (Theses and Dissertations Online). The Doctoral School will send the Ministry of Education a copy of the thesis in electronic format, as well as any additional information that is necessary for the appropriate purposes.

19.2. In cases where, in accordance with Article 14.6 of Royal Decree 99/2011, the Academic Committee has envisaged the possibility of partially restricting the publication of the thesis, the doctoral student must inform the Doctoral School of this and must provide a copy of the thesis from which the issues that are subject to special protection have been removed and a full text copy, which in compliance with the mandatory rules, will be kept in the University Archive. This copy will remain confidential throughout the term agreed to by the Doctoral Programme Academic Committee.

Modified by agreement of board of governors of 19 february 2020

SECTION 6. THE DOCTORAL DIPLOMA AND THE DOCTORAL THESIS SPECIAL AWARD

Article 20. The doctoral diploma

After the defence of the thesis has been approved, the doctoral student may apply for a doctoral diploma from Pompeu Fabra University.

Article 21. International mention in the doctoral diploma

The doctoral diploma may include on the obverse the words "international doctor," provided that the provisions of Article 15 of Royal Decree 99/2011 are complied with.

Article 22. Special awards for doctoral theses

The academic committee of the doctoral programme may submit a proposal for a Special Award for a Doctoral Thesis to the Doctoral School's Management Committee. The academic committee of each doctoral programme may request one special award be granted for every ten doctoral theses read.

ADDITIONAL PROVISION. Accredited research experience

Whenever herein accredited research experience is required, it will be understood as being such as determined by the Doctoral Programme Academic Committee

Modified by agreement of board of governors of 19 february 2020

FIRST TRANSITORY PROVISION. DOCTORAL STUDENTS SUBJECT TO PREVIOUS REGULATIONS

1. Doctoral students who have begun doctoral studies under previous regulations are subject to the provisions regulating the doctorate and the issuing of the doctoral diploma that were in force at the time when they began their studies. In any event, the regulations governing the board, the defence and assessment of the doctoral thesis stipulated in Royal Decree 99/2011 are applicable to those students one year after their entry into force.

2. Unless the Regulations governing continuance on doctoral studies at Pompeu Fabra University stipulate a different period, those pursuing doctoral studies on the entry into force of Royal Decree 99/2011 will have five years to present and defend their doctoral thesis. If this period of time elapses without these requirements having been met, the doctoral student will be declared to have been permanently withdrawn from the programme.

SECOND TRANSITORY PROVISION

During the period that the UPF Doctoral School is inoperative, the tasks assigned to the Doctorate School's Management Committee shall be performed by the Postgraduate and Doctorate Studies Committee.

SOLE OVERRIDING PROVISION

These regulations revoke the academic regulations for doctoral studies approved by the Board of Governors on 2 May 2007, and the Agreement of the Governing Council of 16 June 2010, concerning the composition of doctoral thesis boards.