February 20 th, Preliminary Note for the Linguistic Use. Content. 1. Chapter: Preface Doctoral Degree

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1 Bulletin Note: This is not an official translation of the Promotionsprüfungsordnung. It should give hints for our foreign students. In indefinite cases, the official German Promotionsprüfungsordnung will be applicable. Content The Doctoral Degree Regulations of the University of Karlsruhe (TH) for the Faculty of Chemistry and Biosciences submitted for the fulfillment of the requirements for a Doctoral Degree in Natural Sciences (Dr. rer.nat.)

2 The Doctoral Degree Regulations for the Faculty of Chemistry and Biosciences submitted for the Fulfillment of the Requirements for a Doctoral Degree in Natural Sciences (Dr. rer.nat.) February 20 th, 2007 Due to 38 clause 4 sentence 1 of the Landeshochschulgesetz (LHG), the Senate of the University of Karlsruhe (TH) has concluded in its session on February 1 st,2007 and in agreement with the Faculty for Chemistry and Biosciences the following regulations. On February 20 th, 2007 the Rector of the University has approved the regulations due to 38 clause 4 sentence 1 LHG. Preliminary Note for the Linguistic Use Content 1. Chapter: Preface 2. 1 Doctoral Degree

3 Preliminary Notes for Linguistic Use For a better readability we have chosen the masculine form. However, all gender related expressions apply always in equal measure to women and men. Chapter 1: Preface 1 Doctoral Degree The Faculty for Chemistry and Biosciences of the University of Karlsruhe (TH) awards the academic degree of a Doctor of Natural Sciences (Dr. rer.nat.) for independent scientific achievements. 2 Doctoral Admission Board The Dean may assign his tasks concerning the Doctoral Examination Procedure (chapter 2) to a Doctoral Admission Board consisting of full time professors, University and private lecturers of the Faculty. The board consists of at least 5 members, the Chairman is the Dean or a Vice Dean. The Dean appoints the members of the Doctoral Admission Board. The term of office is two years. A reappointment is possible. 3 Requirements for the admittance to the Doctoral Procedure (1) The admittance assumes that the candidate has a) completed a master study b) absolved a study at an University with at least a four year regular study time or c) absolved a post graduated study due to 38 clause 3 sentence 3 LHG in a course which is represented or is closely related to the courses at the Faculty. A final grade good or better or the higher than average graduation is required. The Dean decides about the subject proximity. (2) Candidates with other courses than those listed in chapter 1 can also be admitted in wellfounded cases, if they fulfill all other conditions named in clause 1. In such cases, the Dean verifies the equivalence of the proved study and examination achievements in these study courses with the content of the courses mentioned in clause 1 and determines if required supplementary achievements. (3) Alumni of an at least four year Diploma or a Bachelor Study at a University of applied Sciences (Fachhochschule) or a University of Cooperative Education (Berufsakademie) may be admitted to the doctoral procedure if they can provide evidence that they belong to the best 10 % of their academic year, which has to be proved through an adequate confirmation of the respective University of applied Sciences /University of Cooperative Education, if a professor or private lecturer of the University who agrees to support the candidate and if the alumni has proved during a declaratory procedure (Eignungsfeststellungsverfahren) that he is able to work scientifically. The declaratory procedure in the field of Chemistry consists of oral examinations for 30 minutes each in the disciplines Inorganic Chemistry, Organic Chemistry and Physical Chemistry for 30 minutes each. The declaratory procedure in the field of Biology will be individually assessed for each case by the examination board.

4 (4) The Dean may accept a study degree at a foreign graduated college, which is equated with a University that conforms to the requirements mentioned in clause 1 or clause 2 as equal with regard to the current recommendations of the Central Office for Foreign Education on the equality of the study degree. The Dean may determine supplementary achievements. In case of doubt the Central Office for Foreign Education has to submit a statement. (5) According to 5, the candidate has to apply for a verification of the equivalency according to clause 2 duly before the admission application. The Dean informs the candidate in writing about the result. In case of rejection 6 clause 3 sec. 2 becomes effective. 4 Admission, Rejection of a Doctoral Student (1) Anyone that fulfills the admission regulations according to 3 and intends to graduate, can apply for the acceptance as doctoral candidate by the Dean. The following documents must be attached to the application: a) a CV presenting the professional and scientific career; b) a declaration about preliminary or current efforts for gaining a doctoral degree with detailed Information about these efforts; c) the certificate about the concluded studies with references; d) in case of foreign graduations, a confirmation which shows that the foreign graduation is equally accredited as the German Diploma; the Dean decides on the final accreditation and can also ask for further achievements according to the regulation of 3 clause 3; e) a declaration in written of the responsible professor, of the responsible private lecturer showing their willingness to support the candidate during the preparation of his dissertation; if the mentor does not belong to the full time teaching staff of the Faculty, a further full time professor, a full time University or private lecturer of the Faculty is to be appointed whose declaration about the supervision of the candidate is also to be attached to this application in written form; f) Indications about the intended field of work or the subject of the doctor thesis; g) Foreign candidates need a confirmation of the mentor, that they have good knowledge of German and English in written and spoken. (2) The Dean decides if the candidate is accepted as doctoral student. His rejection requires the confirmation of the Faculty Board. (3) The admission as doctoral student is initially limited to four years and expires with the end of the semester (on March 31 th or September 30 th ). The candidate can apply for a one year extension by the Dean. In case of rejection, the majority decision of the Faculty Board is needed. In case of admission as doctoral student, the University of Karlsruhe (TH) commits itself to supervise the scientific work of the candidate according to 38 clause 5 LHG.

5 Chapter 2: Doctoral Admission Procedure 5 Application for Admission to the Doctoral Examination Procedure (1) The doctoral student applies in written for the acceptance to the doctoral examination procedure at the Dean of the Faculty of Chemistry and Biosciences. (2) The application for admission must contain the title of the doctoral work and the proper address of the doctoral student. The following documents are to be attached to the application: a) three hardback examples of the doctoral work. The doctoral work has to treat a scientific theme in the field of activity of the Faculty. It has to prove the ability of the candidate to work independently scientifically and to present its results clearly. It has to embody an own new scientific contribution. It must contain a title page, an index of content, a clear abstract, a complete index of the used literature as well as a CV presenting the professional and the scientific career of the doctoral student. b) A declaration in written, that the doctoral student has produced the doctor work autonomously and has used nothing but the listed sources and aids, that he has marked all citations as such regarding contents and words and that he has observed in the relevant version the regulations of the University of Karlsruhe (TH) concerning the protection of a proper scientific praxis. c) The authorization to access a University, which has been acquired in the scope of the Constitutional Law or an equally acknowledged certificate. d) The degree or the master certificate or a certificate of graduation which is equally acknowledged. e) The doctoral certificate if the doctoral student has already acquired another doctor degree. f) A declaration about other possible doctoral procedures beyond the Faculty which is pending or have already ended in failure. g) The evidence on the participation in advanced study courses. The Dean (Chemistry) or the board of the doctoral admission procedure (Biology) decides on the selection of these courses. h) A list of all the scientific publications of the candidate. i) A certificate of good character according to the Bundeszentralregistergesetz (Law of Federal Central Criminal Register) of a recent date as well as a declaration of the candidate that there is no criminal proceeding pending against him. The foreigners have to submit an equal certificate. In case of members of the University of Karlsruhe this certificate can be disclaimed. j) Suggestions about the form of the oral examination, the referees as well as further examiners. ( 11).

6 (3) The application for a doctoral examination procedure can only be revoked, as long as the report about the dissertation is not available. In such a case the application is considered as not made. 6 The opening of a Doctoral Examination Procedure (1) If all the conditions for admission are fulfilled, the Dean proposes the opening of the Doctoral Examination Procedure and informs the doctoral student. (2) The application for admittance is to be rejected, if the conditions according to 5 clause 2 are not fulfilled. The doctoral student is to be informed in written form, the reasons for the rejection are to be explained and the instructions of the right to appeal are to be enclosed. (3) A doctoral student, who has failed in a previous doctoral procedure, is allowed to submit a new application just once again, however, not earlier than one year since the rejection of the first application. The re application of a former rejected doctoral work is not allowed. 7 Segments of the Doctoral Examination Procedure (1) The doctoral examination procedure consists of: 1. The examination of the scientific work by the Dean, which has been submitted as doctoral work, 2. the oral examination, 3. the publication of the doctoral work. (2) The doctoral work can be written in German or, in agreement with the mentor, in English. In case of a draft in English, the candidate must present an abstract in German. This shall not be longer than one page. 8 Examination of the Doctoral Work (1) After the opening of the doctoral examination procedure the Dean initiates the evaluation of the submitted doctoral work and appoints therefore two referees. Only professors and University or private lecturers can be appointed as referees, examiners and co referees. The Dean can deviate from the suggestion of the doctoral student. (2) The referee is usually the mentor of the work. The co referee can be any professional responsible professor, University or private lecturer of the Faculty. At least one of them both must be a full time member of the Faculty. If required by the theme of the work, one of the referees from another Faculty of the University of Karlsruhe (TH) or from another scientific University can join the board. (3) The University or private lecturers of the University of Karlsruhe (TH) who have been appointed by the Dean as referees can only deny their agreement for appointment if they can provide important reasons. 9 Evaluation of the Doctoral Work (1) Each referee has to submit a well founded independent the expertise on the doctoral work. The Dean decides on a reasonable deadline. In this expertise, the referees have to

7 recommend the acceptation or the rejection of the doctoral work and to suggest an evaluation. (2) The evaluation (grade) for a doctoral work suggested to be accepted can be: Very good (magna cum laude) =1 Good =2 Sufficient =3 The half grades 1.5 and 2.5 are also allowed. The determination of the cumulative grade occurs according to 14. If the work is rejected, grades will not be given. (3) In case of particularly excellent achievements, the referees can suggest in their expertise to distinguish the doctoral work with the final grade summa cum laude in case of adequate achievements at the oral examination. The suggestion must be well founded. (4) As soon as the last final expertise arrives, the Dean announces to the University and private lecturers of the Faculty, that the doctoral work and the expertise are open for inspection for 14 days at the Deanery. Within this period, it is possible to raise a professional well founded objection against the evaluation of the work in written form. If all referees have suggested the acceptation of the doctoral work and if there is no objection, the Dean ascertains the acceptance and the arithmetic mean as evaluation out of the grade suggestions of the experts. 10 Negative Expertise, Objection, Faults (1) If one of the ordered referees suggests the rejection of the doctoral work according to 8, the Dean orders a further referee. The display according to 9 clause 4 can only begin if the additional expertise is available. After the expiration of the inspection period, the Dean decides definitely on the rejection or the acceptance of the doctoral work by hearing all referees and sets the evaluation in case of acceptance. (2) In case of objections, the Dean decides after hearing the referees, if the objection should be considered in respect of the evaluation of the doctoral work. (3) If the referees agree upon a rejection of the doctoral work, the Dean declares the rejection at the end of the inspections period and concludes the doctoral examination procedure according to 17 clause 3. Clause 2 is then not applicable. The rejected doctoral work remains together with the expertise on file. (4) If a referee identifies faults in the doctoral work, and however, without rejecting it thoroughly, thus he can apply by the Dean for an elimination of the founded faults as condition for the acceptance of the doctoral work. The Dean demands the doctoral student to represent the doctoral work within a reasonable period after having eliminated the faults. In exceptional cases, the Dean may prolong this period on a wellfounded application. If the doctoral student does not observe the new application period, the doctoral work is to be rejected. The basis for the evaluation of the doctoral work is the firstly presented version of the doctoral work, whereas the corrected faults

8 are to be adequately considered for the evaluation. The doctoral work is considered as accepted after the hearing and approval of the referees concerning the corrections. 11 Oral Examination, Doctoral Admission Board (1) There exists two forms of oral examination: 1. Colloquium, 2. Examination in a major subject and two subsidiary subjects (Rigorosum). (2) The candidate suggests the form of the oral examination. The suggestion needs the approval of the Dean. In exceptional cases the Dean can state the form of the examination. (3) If the rigorosum is chosen, the Dean has to approve the choice of the subject combination. The chosen major subject and at least one subsidiary subject must be represented as courses at the Faculty. All subjects have to be examination subjects at a study course at the University of Karlsruhe (TH). (4) The examination subjects at the oral examination must adequately consider the broadness of the study course (chemistry or biology). (5) The oral examinations must individually be effected with each candidate in case of a colloquium as well as in case of a rigorosum. (6) The oral examination can be accomplished in German or in English in accordance with the examiners. (7) After the acceptance to the doctoral examination procedure, the Dean appoves an examination board, which consists of the chairman, the referees (one main referee and at least one co referee) and the further examiners and the associates of the oral examinations. The chairman is the Dean, a Vice Dean or a full time professor of the examination board. The mentor of the doctoral work cannot be the chairman. (8) In case of a colloquium, the study course of the doctoral work is to be represented by maximum two examiners. At least two further examiners will be ordered, who represent two different study courses. At least one of the examiners has to be a fulltime professor. (9) In case of rigorosum, two further examiners will be ordered, who must represent two different study courses, which differ from the subject of the doctoral work. At least one of the examiners has to be a full time professor. For each of the three examination subjects, an associate is to be consulted. (10) The date and the place of the oral examination will be publically announced by the Faculty. 12 Colloquium and Evaluation of the Colloquium (1) If the candidate takes the oral examination in form of a colloquium, the following persons will be invited: the members of the examination board and the remaining

9 professors, University and private teachers of the Faculty as well as the second members of the Faculty, provided that they are professors, University and private lecturers. The remaining members of the Faculty can attend the examination as listeners, upon approval by the Dean or one of the Vice Deans and the candidate. For important reasons the public is to be excluded. (2) The Colloquium begins with a short presentation (maximum 20 minutes) about the doctoral work. It follows a discussion (about 40 minutes) under the direction of the chairman with the members of the examination board, which should reveal, whether the candidate is proficient in the subject field of his doctoral work and can also demonstrate his interdisciplinary qualifications. Afterwards, all professors and docents who belong to the Faculty, can participate at the discussion. One of the members of the examination board keeps the minutes about the colloquium. (3) Right after the colloquium, the examination board consults on the achievement of the oral examination of the candidate. The evaluation conforms to the grading scale at 9 clause 2. An insufficient achievement is to be evaluated with not passed ; a repetition of the colloquium is according to 13 possible. 12a Rigorosum and the Evaluation of Rigorosum (1) If the candidate takes the oral examination in form of a rigorosum, the following persons will be invited: the members of the examination board and the remaining professors, docents of the Faculty as well as the second members of the Faculty, provided that they are professor, University and private lecturers. The remaining members of the Faculty can attend the examination as listeners, upon approval by the Dean or one of the Vice Deans and the candidate. For important reasons the public is to be excluded. (2) The rigorosum is composed of the approx. half hour for the oral examination in the main subject each, which is identical to the doctoral subject and two subsidiary subjects For the selection of the subsidiary subjects the terms of 11 clause 3 are to be regarded. (3) The examiner in the main subject is the mentor of the work, the examiners of the subsidiary subjects are the persons determined at 8 clause 3. At all oral examinations, a professor or a University or private lecturer has to attend the examination as associate and to take the minutes in a brief outline. (4) The evaluation of the three individual examinations takes place separately by the examiners according to the grading key at 9 clause 2 considering the judgement of the respective associate. An insufficient achievement in an individual examination is to be evaluated with not passed ; in this case the whole oral examination has to be considered as not passed. A repetition of the examination is according to 13 possible.

10 13 Non appearance and Repetition of the Oral Examination (1) If the doctoral students neglects a fixed examination date without good reason, the examination is to be considered as not passed (2) If the oral examination is not passed, the doctoral student can repeat it once only. He cannot apply for repetition before half a year has passed. (3) If the doctoral student does not apply for a repetition of the oral examination within a year or if he does not pass a reexamination, the application for the doctoral degree has to be considered as rejected. It is to be terminated according to 17 clause 3 The Dean decides on justified exceptions. 14 The Final Grade for the Doctoral Work (1) The doctoral work will be evaluated according to the grade suggestions of the referees. If these differ from each other, the examination board decides on the evaluation through a majority decision by considering the suggestions of the referees according 9 clause 2. (2) In the case of a colloquium as oral examination, the doctoral grade results out of a simple information of the doctoral work grade according to chapter 1 and the colloquium according to 12 clause 3. If this results to an average, which is lower than 0,5 units greater of a full number, the grade will be round down to the full number ; if this results to an average, which is higher than 0,5 units greater than a full number, the grade will be rounded up to the next higher full number; if the average deviates exactly 0,5 units from a full number, the examination board decides if it is to be rounded up or down through a simple majority. (3) In the case of a rigorosum as oral examination the doctoral grade results out of a simple information, in which, according to 12 clause 1, the doctoral work grade will be evaluated with a unit of 3/6, the grades of the three individual examinations with a unit of 1/6 each. The rounding up or down effects as described in 12 clause 2. (4) The evaluation of the doctoral work occurs according to 12 clause 2 or 3 by the calculated final grades 1, 2 or 3 with the grade very good (magna cum laude), good (cum laude) or passed (rite). In case of exceptionally excellent achievements (every individual evaluation is very good), the examination board can give the graduation passed with distinction (summa cum laude) by an unanimously decision. 15 Conclusion of a scientific examination (1) After the final grade of the scientific examination of the doctoral procedure has been determined, the Dean communicates it to the doctoral student. (2) If the scientific examination has successfully been concluded according to 14, the Dean issues therefore a preliminary certificate valid for one year indicating the final grade.

11 16 Publication of the doctoral work (1) The doctoral work is to be open to scientific public in a due form within a year after the oral examination. The doctoral student can publish the doctoral work as described in the following letters a) to e) and has to deliver it at the University Library: a) a machine readable file in a version, which is aligned with the University Library in case of a publication in the Elektronischen Volltext Archiv EVA (Electronical Fulltext Archive) of the University Library; or b) 25 archivable copies of the publication in canvas print or in an equal procedure. This includes doctoral works, which will be published in a scientific journal series that is not a publishing company; or c) 3 printed copies of the publisher in case of publications by a publishing house and the availability at bookshops, if a minimum circulation of 150 copies or a unrestrained access at the electronical data net is guaranteed; or d) 3 copies in case of a publication in a scientific journal. e) The delivered versions according to the letters a) to b) must contain a title page. The doctoral work will be published in the version that is approved by the referees. The doctoral student must declare in written to the University Library that the delivered electronic version complies with the examined version in form and content. (2) In the cases of chapter 1 letter a) the doctoral student transmits to the University the right to make the doctoral work available at data nets according to the legal assignments of the University Library, in the cases of chapter 1 letter b) the right, to produce and publish further copies of the doctoral work. (3) The copies that are published according to chapter 1 letter c) and d) must endorse that it concerns a doctoral work which is accepted by the Faculty of Chemistry and Biosciences at the University of Karlsruhe (TH) and the day of the oral examination. If the referees approve another title than that of the examination example, it has also to be indicated in the doctoral work. (4) The Dean decides on exceptions concerning the publication deadline according to 1 on appliance of the candidate in written form. The University Library is to be informed in written about the decision. The text and form of the publication require the approval of the main referees in written. In well founded cases, the co referee can demand, that the publication has also to be dependent on his approval in written. The Dean communicates the approval to the University Library. 17 Conclusion of the procedure, Certificate (1) Directly after delivering the presentation copy, the Dean issues a provisional official certificate. (2) When the publication is evident, the doctoral procedure is performed, while the Dean hands over the certificate to the candidate. This is issued at the date of the final evaluation ( 14)

12 and has to specify the title of the doctoral work, the final evaluation as well as the grade for the doctoral work and the average of the oral examinations and to be signed by the Rector of the University and the Dean. The doctoral student is authorized to bear the academic graduation Doctor of the Natural Sciences, shortened Dr. rer.nat only after having handed over the certificate. At the same time, it is possible to issue a duplicate of the certificate on application against reimbursement of the expenses. (3) If the application for the doctoral work has been rejected according to 10 or 13, the Dean must send to the doctoral student a signed statement of the refusal in written, officiated with the instruction on right to appeal. 18 Doctoral Work on mutual Mentoring with a foreign University (1) A doctoral procedure can be executed on mutual mentoring with a foreign University, in order to impart an intercultural competence to the doctoral student and to enable an examination of miscellaneous economic systems and high school cultures. (2) The doctoral student shall be accepted by both Faculties to the doctoral procedure and will be supervised by respectively one mentor. The involved Universities arrange the mutual supervision by agreement, which is to be signed by the respective Rector, Dean and the mentor of the co operating Universities. In this agreement can particularly be set deviant from the Doctoral Degree Regulations the following rules: a) The composition of the examination board, b) the language, in which the doctoral work is to be written und the oral examination to be taken, c) The grade scale of the evaluation of the doctoral achievements, d) The publication of the doctoral work. (3) The Universities grant together the doctoral degree and issue a mutual certificate in German and in the language of the co operating University. The doctoral degree can alternatively be used in the German or in the foreign form. Chapter 3: Distinction 19 Honorary Doctoral Degree (1) The Faculty can award the Honorary Doctoral Degree of Natural Sciences (Dr. rer. nat h.c.) in appraisal of excellent achievements in the science of teaching and research fields that are covered by the Faculty. (2) A resolution about the grant of the degree needs the majority of the three quarters of the professors, University and private lecturers of the Faculty Council. The grant of the Honorary Doctoral Degree effects in consultation with the Senate of the University of Karlsruhe (TH).

13 (3) The Dean performs the honoration of the doctoral work by handing over the doctoral certificate, which is issued for this purpose, in which the merits of the doctoral student are to be distinguished, and which is signed by the Rector and the Dean. 20 Doctoral Jubilee The Faculty can renew a doctoral certificate, which has been acquired in one of its courses at the University of Karlsruhe (TH), on the occasion of the 25 th and 50 th recurrence of the doctorate anniversary, if this seems to be reasonable considering the special merits in science or the particularly closed connection of the Honoree with the University of Karlsruhe (TH). The Council of the Faculty decides upon it. Chapter 4: Final Clause 21 Invalidity of the Doctoral Achievements and the Revokement of the Doctoral Degree (1) The doctoral procedure can be declared as invalid, if, before the handing over of the doctoral certificate, it arises that the doctoral student has made himself guilty of false pretenses concerning the evidence of the doctoral achievements or that the crucial requirements for the admittance to the doctoral procedure have erroneously been taken for granted. The Dean or the examination board decides upon it. (2) If the admittance requirements are not achieved but the doctoral student did not intend to delude and this has firstly become known after the handing over of the doctoral certificate, the fault is to be considered as remedied. (3) The doctoral grade can be revoked by the Dean or the examination board, if it later turns out, that it has been gained through false pretenses. For the rest, the legal requirements apply. (4) Before the Dean or the examination board decides on the invalidity of the doctorate and on the revokement of the doctoral degree, the person concerned should be given the opportunity to speak out about the reproaches. Burdened decisions of the Dean or the examination board according to chapter 1 and 3 are to be reasoned and sent to the person concerned together with an instruction with the right to appeal. 22 Access Records On appliance, the doctoral student can be allowed to inspect the procedure files after the conclusion of the procedure. The application must be presented to the Dean within one year after the conclusion of the procedure. For the right to access records applies the 29 of Landesverwaltungsverfahrensgesetz.

14 Chapter 5: Commencement, Temporary Arrangements 23 Commencement, Temporary Arrangements (1) These Doctoral Procedure Regulations come into effect one day after the publication of the bulletin of the University of Karlsruhe (TH). (2) At the same time the Doctoral Procedure Regulations of the University of Karlsruhe (TH) for the Faculty of Chemistry and Biosciences as amended on March, 11 th 2004 is overruled. Doctoral students who have started the doctoral work under the instructions of the Doctoral Procedure Regulations as amended on March, 11 th 2004, can conclude the procedure either according these regulations or on appliance to the Dean or the chairman of the examination board according to the new Doctoral Procedure Regulations. Karlsruhe,

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