General Provision for Doctorate Degrees

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1 Bei der vorliegenden Übersetzung handelt es sich um eine nichtamtliche Lesefassung der Allgemeinen Bestimmungen für Promotionen an der Universität Kassel vom (Mittbl. 10/2012, S. 1477), in der die Änderungsordnungen vom (Mittbl. 18/2012, S. 2523) und vom (Mittbl. 11/2014, S. 1654a) eingearbeitet worden sind. Maßgeblich und rechtlich verbindlich ist nur der im Mitteilungsblatt der Universität Kassel veröffentlichte Text. The translations do not have any legal binding effects; the official versions in German are published in Mitteilungsblatt der Universität Kassel. General Provisions for Doctorate Degrees at the University of Kassel () From June 13th, 2012 This non-official version takes into account 1. the Order to Amend the General Provisions for Doctorate Degrees at the University of Kassel from July 11th, the Order to Amend the General Provisions for Doctorate Degrees at the University of Kassel from July 16th, 2014 Contents 1 The Doctorate and the Purpose of PhD Study 2 Doctoral Committees 3 Requirements for Admission to the Programme 4 Application Process 5 Dissertation 5a Cumulative Dissertations 6 Admission to the Doctoral Programme 6a Withdrawal of Application 7 Assessment of the Dissertation 8 Examination Commission 9 Viva Voce Defence [Oral Defence] 10 Assessment of Doctoral Performance 11 Publication of the Dissertation 12 Awarding the Doctorate 13 Honorary Doctorates 14 Cooperative Doctorates/Bi-national Doctorates 15 Doctoral Study 16 Access to Files 17 Revocation of the Doctorate 18 Procedure for Filing Objections 19 Special Provisions of the Departments 20 Entry into Force, Expiration Appendices e

2 1 Purpose of the Doctoral Programme and the Doctorate (1) 1Pursuit of a doctoral degree demonstrates the ability to carry out advanced academic research. 2Proof of specialised academic qualification is provided in the form of independent academic research thesis (Dissertation) and an oral examination in the form of a viva voce defence or Oral Defence. (2) 1At the University of Kassel, the responsible departments award the following academic doctorates: Doctor of Philosophy (Dr. phil.), Doctor of the Natural Sciences (Dr. rer. nat.), Doctor of Economics and Social Sciences (Dr. rer. pol.), Doctor of Agricultural Sciences (Dr. agr.) Doctor of Engineering (Dr.-Ing.) Doctor of Laws (Dr. jur.) After the regular and proper completion of a doctoral programme. 2Specifics are dealt with in the special provisions of the individual departments. (3) The department in whose area of specialisation the academic focus of the dissertation lies is responsible for the doctoral programme. 2 Doctoral Committees (1) 1Each department will form a Doctoral Committee for its area of responsibility. 2This committee is responsible for the awarding of all doctorates in the department, to the extent that Para. 4 does not apply. 3The Doctoral Committee will be composed of representatives of the faculty, students and academic members in a ratio of 3:1:1. 4In decisions that solely concern individual performance on examinations, members who do not hold a doctorate have only an advisory role. (2) The selection of the members of the Doctoral Committee and their substitutes will be made by the representatives of the respective groups in the Departmental Council. (3) 1In the case of Cooperative Doctorates or bi-national Doctorates, the responsible Doctoral Committee for the department will be supplemented by the same number of members from the other participating department or participating university. 2Separate consultations and decisions are permitted. (4) 1Irrespective of Paragraph 1, departments that award the same doctorate can form a joint Doctoral Committee. 2The ratio 3:1:1 applies analogously. 3In this case each department will send a professor as a member of the Doctoral Committee. 4They will be selected by their group in the respective Departmental Council. 5The academic and student members of the Doctoral Committee will be selected in a joint election by the entirety of the respective representative groups of the participating Departmental Councils. 6In this case the joint Doctoral Committee replaces the Departmental Doctoral Committee for these Doctorates. (5) 1Student members of the Doctoral Committee will serve for one year. 2Other members will serve for two years. (6) 1The Doctoral Committee has the following specific duties: a) Deciding on the admission of applicants to the doctoral programme in conformity with 3 in combination with 4 b) Deciding on admission to the doctoral programme in conformity with 6 c) Appointing readers in conformity with 7

3 d) Deciding on the acceptance or rejection of the dissertation after the evaluation is presented in conformity with 7 e) Appointing the Doctoral Committee in conformity with 8. 2Decisions of the Doctoral Committee will be communicated to the Dean s Office. (7) 1The Doctoral Committee is authorised to make decisions when at least half of the members are present. 2Decisions take effect with approval by majority of those present. 3Abstentions are deemed equivalent of Nay votes. (8) 1The Chair of the Doctoral Committee will be selected from among the professors on faculty. 2The Doctoral Committee can transfer duties to the Chair. 3 Requirements for Admission to the Programme (1) The following are generally prerequisites for admission as a doctoral candidate a) a completed university or college degree programme in the desired field of doctoral study for the dissertation with a standard period of study of at least eight semesters and the awarding of the Master s degree, [Bachelor s] diploma or equivalent state certification examination, b) a completed university or college degree programme in a consecutive course of study with the achievement of a Bachelor s and Master s or Diploma I and Diploma II in the same subject at a technical college or university in the intended field of doctoral study for the dissertation or c) a concluded university degree in combination with studies at a university or comparable institution of higher education that prepare the student for doctoral level study in the subject are of the dissertation. (2) 1To the extent that the doctoral area of study does not match that of the completed college or university degree, a supplemental examination shall be completed. 2The Doctoral Committee will determine the contents and scope of the supplemental examination in the individual case. 3The requirement of this supplemental examination can be waived if the documented degree can be regarded in combination with subsequently attained relevant knowledge and skills to provide adequate academic qualifications for the planned doctoral studies. 4The Doctoral Committee will make this decision. (3) 1Appropriatedly prepared graduates of colleges or universities as well as appropriately prepared graduates of shorter academic courses of study at universities with a standard period of study of at least six semesters or three years and with the degree of Bachelor, Diploma, Diploma I, 1st State Certification Exam for Teachers at Elementary Schools or 1st State Certification Exam for Teachers at Secondary and Intermediate Secondary Schools can, after successful completion of placement, be accepted as doctoral candidate s. 2The prerequisites for acceptance are: a) completion of a corresponding course of study at a technical college or university in the scope of the constitution of the department for the doctoral programme b) documentation of corresponding academic ability. This is formally established the overall grade of Good and better in the completed degree and the individual grade of Good or better in the specific area of study for the doctoral programme, c) successful placement. For placement, the rules for the required examinations for the respective Diploma, Diploma II, Magister or Master s and/or the corresponding Examination Rules for teacher certification for College Preparatory Schools [Gymnasien in German] for the subject are of the intended doctoral study apply, with the exception of the final thesis for Diploma/Magister/Masters. (4) 1Master s degree holders who do not have a Bachelor s or equivalent degree in the field of doctoral study must complete a supplemental study in the field of the dissertation in conformity with 3 Para-

4 graph 2, in the scope of up to 30 credit points according to the European Credit Transfer System (ECTS) and conclude it with an examination. 2Credit can be given corresponding to Paragraph 2 Sentence 3. (5) 1Examinations that were completed abroad will be recognised if they are equivalent. 2 The equivalence agreements approved by the Conference of Ministers of Culture and the Conference of University and College Rectors are authoritative for establishing equivalence. 3In cases of doubt about equivalence, the Central Office for Foreign Education can be consulted. 4The Doctoral Committee will make decisions concerning equivalence after consulting the responsible experts in the department. 5To the extent that slight differences in performance are identified in the student s academic training then they can be compensated for through supplemental work according to the Departmental Examination Rules analogous to Paragraph 2. 6In the case of more significant deficits, Paragraph 3 Letter c applies analogously. (6) 1In specific justified exceptional cases, the responsible Doctoral Committee can also admit applicants without the corresponding college or university degree. 2Specific justified exceptional cases especially include multiple years of recognised teaching or research at academic institutions. 3 The individual departmental provisions will specify in greater detail. (7) 1Specific skills in foreign languages can be required for the doctoral programme, as can a minimum grade in the college or university degree. 2The individual departmental provisions will specify in greater detail. 4 Procedure for Admission as a Doctoral Candidate (1) The application for admission as a doctoral candidate must be submitted in writing stating the responsible department and directed to the Doctoral Committee responsible for the corresponding doctorate. (2) 1Include with the application: a) A thesis title and a written explication of the topic for the planned thesis that makes the academic focus clear. This thesis description must include statements about: the current state of research as well as the objective of the planned research project and the programme of the work including a schedule; b) documentation of completion of the requirements for admission to the programme in conformity with 3, certified copies of the required transcripts (documentation of supplemental performance in certified transcript (documentation of supplemental academic performance in conformity with 3 Paragraph 2 and Paragraph 6 Sentence can be submitted up to the time of admission to the doctoral programme [ 6 Paragraph 1 Sentence 1]); c) a tabular curriculum vitae and if relevant a list of academic publications; d) a statement concerning if and if what result a doctoral programme was already completed or was applied to; e) confirmation from the dissertation advisor that he/she will supervise the dissertation; f) copy of personal identification documents or passport. 2Transcripts and documents that are not issued in German must be submitted with a certified translation into German or English. (3) if a dissertation shall be completed in the framework of a joint research project the application should also include:

5 name, academic degree and addresses of the participants in the joint research project information stating whether any participant in the process of the joint research project has already applied for or completed a doctoral programme or tenure process as well as concrete statement of the contribution to the joint work. (4) 1The applicant will select the topic of the doctoral work within the framework of the disciplines represented in the research and teaching programmes at the University of Kassel in consultation with a member of the faculty in the responsible department who shall supervise the planned dissertation. 2Advising solely by retired professors, substitute professors, honorary professors or visiting professors is not permitted. 3Advising solely by private docents is permitted if they are associated with the university in a special manner. 4There is a special association in the cases of teaching and research activities and stipends or in the case of service and employment relationships. 5Once the supervisory relationship is clarified, which entails reviewing both academic responsibility and the existing infrastructure and capacity, the Dean s Office will recommend the acceptance or rejection of the application for admission as a doctoral candidate to the Doctoral Committee. 6If acceptance is recommended, the Dean s Office assures supervision of the planned work in the department. (5) 1If the preconditions of Paragraph 2 are fulfilled and academic supervision as defined under Paragraph 4 is assured, the Doctoral Committee will decide immediately on the acceptance as doctoral candidate. 2With the decision to admit, the Doctoral Committee guarantees the later Assessment of the Dissertation. 3On acceptance of the applicant, the department must support the doctoral programme of study within the limits of what is feasible and necessary. (6) 1The decision of the Doctoral Committee will be communicated to the applicant in a letter of notification. 2In the case of rejection, the letter of notification must include a justification of the decision to reject the application and instructions on legal relief. 3 The application may only be rejected if the applicant does not meet the general prerequisites for acceptance as a doctoral candidate as defined in 3 or supervision of the degree programme cannot be guaranteed. (7) 1In justified cases, the doctoral candidate can change the academic focus of the dissertation as specified under 6 before admission. 2This must be reported to the Doctoral Committee immediately. 3The Doctoral Committee will then make a new decision in accordance with Paragraph 5. 4The doctoral candidate can also withdraw from the doctoral process until the date when the decision is received, without it being deemed a failure. (8) 1Admission as a doctoral candidate expires if the dissertation is not submitted within five years. 2This period is calculated beginning with the date that the admission decision is received. 3On request, an extension of up to two years can be granted academic supervision can continue to be assured. 4Special departmental provisions can provide for other periods but these should not exceed seven years. 5In special departmental provisions, the extension of this deadline can be linked to special requirements. 6Once admission as defined in Sentence 1 expires, so do any obligations of the University of Kassel with respect to the applicant as given under Paragraphs 4 and 5. (9) If the doctoral candidate credibly asserts that he/she is not able to complete the examination, either due to: a) a chronic illness or handicap in the sense of 2 Paragraph 1 SGB IX b) illness in dependent children and family members requiring personal care/nursing care c) maternal or parental leave the doctoral candidate will be granted an extension for the completion of the doctoral programme requirements.

6 5 Dissertation (1) 1The dissertation must meet academic standards and make a contribution to the advancement of knowledge in its academic field. 2It must be independent and original academic work. 3If the dissertation derives from a joint research project, the individual work of the doctoral candidate must be clearly discernible and subject to independent evaluation. (2) 1The dissertation shall be written in German or English. 2With the consent of the Doctoral Committee and in agreement with the supervisor it can also be completed in a different language; in these cases the doctoral candidate must submit the dissertation with an extensive and detailed summary in German. (3) 1The results of previously completed examinations can be used in the dissertation. 2Portions of the dissertation may be published before it is completed. 3An explanation of this must be submitted. (4) 1The dissertation must include the definitive experimental and statistical data that lead to the increase in scientific knowledge and new insights in the field. 2They can be included as appendices. 3Sources and aids that were used for the thesis must be identified in the dissertation according to the discipline s specific rules of citation. (5) A signed copy of the following declaration must be bound in the dissertation: I herewith give assurance that I completed this dissertation independently without prohibited assistance of third parties or aids other than those identified in this dissertation. All passages that are drawn from published or unpublished writings, either word-for-word or in paraphrase, have been clearly identified as such. Third parties were not involved in the drafting of the material content of this dissertation; most specifically I did not employ the assistance of a dissertation advisor. No part of this thesis has been used in another doctoral or tenure process. (6) 1The dissertation must be submitted to the Doctoral Committee in six bound copies and on a data storage device. 2 If necessary any electronic an audio-visual documents included must be submitted on a portable data storage medium. 3In justifiable cases the dissertation can be submitted as an electronic version in six discrete copies. 5a Cumulative Dissertation (1) 1The special provisions of the departmental Rules for Doctoral Programmes can allow for a cumulative dissertation. 2 In this case, a cumulative dissertation integrating multiple academic works can be permitted with the consent of the Doctoral Committee. 3 5 applies analogously. (2) Corresponding rules that must be provided with respect to the subject area must have as their objective: a) meeting the demands of quality assurance with respect to the equivalence of the cumulative dissertation with a monograph dissertation b) discipline-specific rules that make it possible to take into account the universally applicable standards of the respective discipline c) establish process stability for all involved d) avoid conflicts of interest. (3) Discipline-specific provisions must take the following requirements into account:

7 a) To the extent they are present, recommendations and standards of the specifically responsible professional association and/or the responsible professional body must be heeded. This can also lead to subsequent modifications of the discipline-specific provisions. In this case, transitional provisions will need to be defined. b) The works must be related in terms of topic and content and must belong to the academic field of the doctoral programme. They must be developed into a single integrated dissertation. Along with a joint title, it is also necessary that they be embedded in a unified presentation (introduction, transition position of the thesis in the development of research taking into account the state of current research) and have a unified bibliography. c) The discipline-specific rules must make a statement concerning whether and to what extent a person who was involved as a co-author of the individual works may be considered as a reader in the doctoral programme. d) The discipline-specific rules must include a statement concerning the number of works that can be included and - to the extent necessary concerning a weighting scheme for the different types of work. It must also include a statement concerning whether and to what degree already published works or works definitively accepted for publication can be drawn on to fulfil this requirement. Additionally, it must be clarified in terms specific to the discipline, which assessment procedures and/or which publication organs shall be taken into consideration. (4) 1In the written assessment of a cumulative dissertation, the share of the doctoral candidate s contribution to the works submitted must be considered. 2The readers must vote on whether the publications presented are equivalent in scope to a monograph dissertation under consideration of the type and scope of work done by the co-author(s) and propose a grade taking this aspect into account. 6 Admission to the Doctoral Programme (1) Once the dissertation is submitted to the Doctoral Committee, the main doctoral proceeding is initiated and the doctoral candidate is admitted to the final doctoral examination. (2) 1On submitting the dissertation, a candidate can also apply for admission to the final doctoral examination without the preliminary procedure defined in 4. 2Admission cannot be refused if a department is responsible for the topic and the applicant has met the requirements for admission to the programme given under 3. 3If the requirements for admission to the programme given under 3 are provisionally met then admission can be made dependent on the participation in a preparatory course of study or presentation of records of academic performance. 4 If the prerequisites given under 3 are not fulfilled, the Doctoral Committee must deny admission. 6a Withdrawal of Application 1 Withdrawal of an application for admission to the doctoral programme is only permitted as long as the readers have not yet been appointed. 2Withdrawal must be effected in writing. 3The procedure is then deemed not to have been initiated. 7 Assessment of the Dissertation (1) The Doctoral Committee will appoint at least two representatives from the subject area for the Assessment of the Dissertation; on the basis of their academic skills and if need be in cooperation they must be able to comprehensively assess the academic topic of the dissertation.

8 (2) 1The following may be appointed as dissertation readers: University professors of the University of Kassel, professors who do not belong to the University of Kassel, to the extent that their main appointment at a university or research institution consists of research. 2Additionally: Tenured academics and Academics holding doctorates to the extent that their primary appointment at colleges, universities or research institutes consists of research and/or teaching and Lecturers or assistant professors holding doctorates, honorary professors and retired professors can be appointed as readers. (3) If the research topic seems to demand it, the Doctoral Committee can, at the suggestion of the Dean s Office, appoint up to two additional readers as defined under Paragraph 2 for the assessment. (4) 1A reader must be a professor in the department in which the doctoral programme is being completed. 2Professors in the sense of Sentence 1 also includes professors who have been released or who have retired if they were appointed as dissertation supervisors according to 4 Paragraph 5 during their membership in the department and the admission to the main doctoral proceeding as defined in 6 was applied for within three years of their retirement. (5) In the appointment of the first reader, the Doctoral Committee is generally bound to the suggestion of the doctoral candidate; in the second or later appointments (if any), to the suggestion of the responsible department, represented by the Dean. (6) 1The evaluations must be independently drafted. 2Each assessment must provide a comprehensible justification of the result of the assessment. 3The evaluations must be sent to the Doctoral Committee at the latest three months after the dissertation is submitted to the readers. 4If requirements are placed on the printing of the dissertation, they must be set down in writing in a supplement to the evaluation. 5The requirements must be specific and comprehensible. 6Rquirements in the sense of Sentence 4 can include suggested corrections, suggestions for tightening up the prose or instructions for minor revisions. 7The evaluation shall be written in German; in justifiable exceptional cases English may be used. (7) 1The acceptance or rejection of the dissertation will be recommended to the Doctoral Committee in the evaluation. 2Grading will be done following the standard grade scale given in 10. 3The dissertation will be accepted if the majority of the appointed readers assign it a grade of at least Passed. (8) 1If only two readers are appointed and their grades differ from each other by two grades, the Doctoral Committee will appoint an additional reader. 2An additional reader must also be appointed if only one of the evaluations assigned the grade Failed. (9) 1The doctoral candidate will receive copies of the evaluations prior to the Oral Defence for his/her confidential and exclusive use during the doctoral proceedings. 2The use of evaluations given to the candidate according to Sentence 1 outside of the doctoral proceedings is prohibited. 3This does not apply if the reader issues a written consent that prescribes the type and scope of use outside of the doctoral proceedings. (10) 1Once the dissertation is accepted, it will be made available for review by the members, which can also include the readers, for the duration of 14 calendar days, 30 calendar days when the university is in recess; it will be kept in the business office of the Doctoral Committee and in the Dean s Office of the responsible department and/or the electronic, audio-visual documents will be available for review. 2Members of departments in related subject areas are also allowed access, to the extent that they meet the requirements given in Paragraph 2. 3Availability for review must be announced to the university

9 generally. 4On request from a professor in the department, the period can be extended by 14 calendar days. 5The request for extension must be received in the business office of the Doctoral Committee at the latest three working days prior to the end of the viewing period. (11) 1If the dissertation is rejected, the doctoral candidate can apply for a one-time opportunity to rewrite the dissertation on the basis of the evaluations. 2The application must be submitted to the Doctoral Committee within three months of notification that the dissertation has been rejected. 3In justifiable exceptional cases the period can be extended. (12) 1Members of the department or members of other departments that, in accordance with Paragraph 2 can be appointed to evaluate the dissertation and are entitled to view it can submit objections to the grade assigned the dissertation in the form of one second opinion each. 2 The second opinion must contain a grade as defined in 10 Paragraph 1 and must be submitted to the Doctoral Committee within the viewing period. 3An opposing reader must be given the opportunity to present his/her opinion in the Doctoral Committee prior to the Oral Defence. 4The second opinion will be included in the decision of the Doctoral Committee in determining the dissertation grade. 5Paragraph 8 applies correspondingly. (13) 1The doctoral candidate has the right to respond in writing to the evaluation of the dissertation. 2The response must be sent to the readers and included in the doctoral files. 3At the request of the doctoral candidate, the written response can be made available for viewing to the university public as described in Paragraph 5. 4In this case a viewing procedure must be initiated. (14) 1If the dissertation is rejected and a request for re-write is not submitted within the period given in Paragraph 12, the Doctoral Committee will declare the doctoral proceeding concluded unsuccessfully. 2The doctoral candidate will receive a letter of notification with instructions on legal relief from the Doctoral Committee. (15) A rejected thesis remains part of the doctoral file with all evaluations. 8 Examination Commission (1) 1On acceptance of the dissertation, the Doctoral Committee will immediately appoint an Examination Commission for the Oral Defence and name one of its members as the Chair. 2As a rule, one of the readers should be the Chair. (2) The Examination Commission will consist of the readers along with two or three other members in accordance with 7 Paragraph 2. The majority of the committee members must be professors as defined in 7 Paragraph 2 Sentence 1. 9 Oral Defence (1) 1The Oral Defence will as a rule take place six weeks after the submission of all evaluations to the Examination Commission. 2The Oral Defence is only possible after the viewing period has ended. 3The date and time will be set by the Doctoral Committee of the responsible department. 4Minutes of the Oral Defence will be kept. 5These minutes will include information about: a) place and time of the Oral Defence b) name of the candidate and names the members of the Examination Commission c) topic and content of the Oral Defence

10 d) the individual grades for the dissertation and the Oral Defence from the readers and the other members of the Examination Commission e) the overall grade for the doctoral proceeding f) signatures of the members of the Examination Commission. (2) 1In the Oral Defence, the dissertation is defended before the Examination Commission. 2The Oral Defence moreover extends to selected problems in the subject area and related fields from other disciplines as well as the state of research in them. (3) If a joint dissertation as defined in 5 Paragraph 1 Sentence 3 was written, the Oral Defences should as a rule be combined. (4) 1As a rule, the Oral Defence will last ninety minutes for a single candidate and may not exceed two hours. 2In the case of combined Oral Defences as mentioned in Paragraph 3, each candidate must be given adequate opportunity to defend his/her dissertation, but at least an hour. (5) 1The Oral Defence is open to the university public. 2In the case of disruptions, the Chair can exclude the public. 3The doctoral candidate, members of the Examination Commission and the appointed opponents as defined in 14 have the right to speak. 4In justifiable exceptional cases, the Chair of the Examination Commission can expand the right to speak. (6) 1If the candidate passes the Oral Defence, the Examination Commission will determine the overall grade as defined in 10 Paragraph 3 and, in the event of differing grades assigned to the dissertation, will decide on the overall grade in accordance with 7 Paragraph 7 and if needed the grade for the dissertation in accordance with 7 Paragraph 12. 2If the Oral Defence is passed, the doctoral proceeding is deemed successfully completed in the sense of 24 Paragraph 1 and 2 HHG in combination with 2 Paragraph 1 WissZeitVG. (7) The result will be communicated to the candidate immediately through official notification in accordance with Appendix 3. (8) 1If the candidate fails the Oral Defence, it can be repeated once within a year. 2The Doctoral Committee will issue a letter of notification with instructions on legal relief. (9) 1In justified exceptional cases, the chair can decide with the candidate s approval that at most one member of the Examination Commission who has informed the candidate in advance that participation in the meeting is not possible, will be considered present to the extent that the person s participation can be facilitated by means of available technical equipment for transmitting image and voice (video teleconferencing) which allow the person to be aware of all proceedings during the examination. 2A justified exception must be established according to the protocol given in Para. 1 sentence 5 and is specifically established if the member is abroad or if travel would be associated with unreasonable costs. 3The candidate may not be involved. 10 Grading Performance in the Doctoral Programme (1) Grades for the dissertation and Oral Defence are: With distinction (summa cum laude) Very good (magna cum laude) Good (cum laude) Passed (rite)

11 Failed (non rite). (2) 1To mathematically determine the grade on the dissertation, the Oral Defence, and the overall grade, the grades according to Paragraph 1 will be assigned the following values: With distinction = 0.75, Very good = 1, Good= 2, Passed = 3, Failed = 4. 2For greater differentiation in grading the performance, the grades can be raised or lowered as follows: Very good increased by 0.3, Good raised or lowered by 0.3, Passed lowered by 0.3. (3) 1In calculating the overall grade, the unrounded mathematical average of the individual grades for the dissertation are used twice; the unrounded mathematical average of the individual grades for the Oral Defence once. 2The resulting mathematical overall grade will be assigned a grade corresponding to the grade levels specified in Sentence 5 as follows: a) less than 1.0 = With distinction (Sentence 3 and 4 must be observed) b) 1.0 to 1.5 = Very good c) over 1.5 to 2.5 = Good d) over 2.5 to 3.5 = Passed. 3If all individual grades for the dissertation and the Oral Defence are graded With Distinction the overall grade of With Distinction will be awarded. 4If at least one dissertation grade is graded With Distinction and the mathematical overall grade is better than 1.0, the overall grade of With Distinction can be awarded. 5Grades classifications for the overall grade are: With Distinction (summa cum laude) Very Good (magna cum laude) Good (cum laude) Passed (rite). 11 Publishing the Dissertation (1) 1After passing the Oral Defence the doctoral candidate is obligated to publish the dissertation taking into account the requirements issued. 2The publication must be clearly identified as a dissertation from the University of Kassel. 3This identification must include: Dissertation at the University of Kassel, name the department, name of the author as well as date of the Oral Defence. 4The manuscript for publication must be submitted to the Dean s Office of the responsible department prior to publication. 5The Dean s Office or a representative appointed by the Dean will review the work to make sure any deficits identified in the evaluations have been remedied and that any requirements for typesetting have been fulfilled. And will issue permission to print once these requirements have been fulfilled. 6if the manuscript submitted or the therein contained electronic and/or audio-visual documents deviate from the dissertation, the written consent of the readers must be obtained before permission to print can be granted. 7The same applies if the dissertation is to be published in another language. 8The doctoral candidate must provide a summary of the dissertation approved by the first reader for purposes of electronic publication; it must be written in German and English or, if need be, in an additional language, and may not exceed one page in length (in each language). (2) 1The dissertation must be made accessible to the academic public in suitable and appropriate fashion. 2To that end, the author must deliver the following to the University Library via the PhD Office free of charge, along with the copies mentioned in 5 Paragraph 7: a) On publication by the University Library in the Humanities and Social Sciences, 80 copies; in the Natural Sciences and Engineering 40 copies, each in book or photo binding (DIN A 5) or b) On publication in a professional journal: six offprints of the professional journal as well as six complete copies of the dissertation or

12 c) On book publication by a publisher: six file copies of the publication as well as documentation of a minimum print run of 150 copies. On the title page the publication must be identified as a dissertation stating Kassel and/or Witzenhausen as the place the dissertation was completed or d) In the case of online-publication by a publisher: six printed copies as well as the reference for a citable internet address and a copy of the publication on a portable data storage medium (not that the publication s availability in the internet must be guaranteed for at least four years) or e) in the case of online-publication on servers for the publications office of the University of Kassel: six printed copies as well as the reference for a citable internet address and a copy of the publication on a portable data storage medium. The data format must be coordinated with the University Library and/or with the Business Office of the Doctoral Committee. 3In cases a and e the doctoral candidate transfers to the University of Kassel the right to make and disseminate additional copies of his/her dissertation or make them available in the data network, all in the framework of the legal duties of college and university libraries. 4If in cases c or d a dissertation is distributed by a commercial publisher and a subsidy is provided from public funds in order to defray the printing costs, then an appropriate number of copies must be provided to the University Library for inter-library loan purposes. 520 copies are deemed appropriate. 6In the case of changes to the rules governing inter-library loan, other terms of submission deviated from those of Paragraph 2 Sentence 2 Letter a can apply. 7Sentence 2 is not affected by this. (3) The content of the published dissertation must match the approved print-ready version. (4) The special provisions of the departments can include a subsidy for printing costs. 12 Awarding the Doctorate (1) 1The publication of the dissertation in accordance with 11 should be completed within a year of the conclusion of the Oral Defence. 2On justified request, this period can be extended by the Doctoral Committee. 3The request for extension should also be justified by a reader in accordance with 7 Paragraph 2. (2) 1As soon as the required copies of the prescribed summary of the dissertation have been delivered in the business office of the Doctoral Committee, the awarding of the doctorate degree will be completed with the issue of the doctoral diploma to the candidate by the responsible Dean. 2In exceptional cases the presentation of a publishing contract from a publisher recognised in the academic field stating the date of publication and the minimum print run of 150 units along with the publisher s guarantee of publication and declaration that six required copies will be sent to the PhD Business Office will be deemed equivalent to submitting the required copies. (3) 1The doctoral diploma will be prepared dated to the day on which the Oral Defence was completed. 2On request it will be prepared in English. 3It will be signed by the President of the University of Kassel and the Dean of the responsible department and given the seal of the University of Kassel. 4In the case of Cooperative Doctorates, the doctoral diploma will be signed by the President of the participating University or the President of the University of Kassel as well as the Deans of the participating departments/faculties and given the seals of both universities and/or with the seal of the University of Kassel (on bi-national doctorates, see 14 Paragraph 9). 5Only after the doctoral diploma is the person completing the PhD programme legally entitled to bear the title Doctor. 6Samples of these diplomas are provided in Appendices 1 and 2.

13 13 Honorary Doctorates (1) The degree of Honorary Doctor (Dr. phil. h. c., Dr. rer. pol. h. c., Dr. rer. nat. h. c., Dr. agr. h. c., Dr. jur. h. c., Dr.-Ing. E. h.) can be awarded for extraordinary academic or academic-artistic achievements in an academic field. (2) 1The application for the award of an honorary doctorate can be submitted to the Dean s Office by a professor (as defined in 7 Paragraph 2 Sentence 1) from the responsible department. 2If the Departmental Council approves such a proceeding then the Dean s Office will convene a commission. 3It will be made up of three representatives of the faculty professors, a representative of the academic members as well as the Chair of the Doctoral Committee responsible for the field. 4The commission will collect at least two expert opinions. 5The readers as defined under 7 Paragraph 2 Sentence 1 will be appointed by the Dean s Office. 6A reader must be a member or an employee of another university. 7After the expert opinion is submitted, the commission will develop a written statement which will be presented to the Departmental Council as well as the Doctoral Committee to serve as the basis for their deliberations. (3) 1After the hearing of the Doctoral Committee, the Departmental Council will reach a decision on the honorary doctorate. 2The doctorate can only be awarded if at least two-thirds of the voting members vote to award it. (4) If two thirds of the members present vote in favour of it, the honorary doctorate will be awarded. 14 Cooperative Doctorates/Bi-national Doctorates (1) 1Cooperative Doctorates can be carried out with the participation of at least two departments or the participation of at least one other university or technical college. 2In the case of participation by another university, it must be assured that the prerequisites for acceptance and admission at the participating universities are equivalent. (2) 1A joint doctoral proceeding with a foreign university assumes that there is an agreement concerning cross-border joint supervision in place or that an individual cooperative agreement for the execution of bi-national doctoral programmes has been concluded. 2The national law of the respective countries must be observed. (3) The applicant for a bi-national doctorate with a university located abroad must meet both the requirements for admission to the programme at the University of Kassel and the requirements for admission to the programme at the participating university. (4) The dissertation can be submitted either to the University of Kassel or the participating university, as specified by agreement. (5) 1The dissertation will be supervised by one professor at the University of Kassel and one professor at the participating university. 2In the event that a technical college is participating, professors of technical colleges can be appointed to supervise and evaluate the dissertation. (6) In departure from 7 Paragraph 1, the joint Doctoral Committee will, in accordance with 2 Paragraph 3, appoint at least one professor each in the participating departments/faculties as readers in this process.

14 (7) 1The Examination Commission consists in this case of the readers as well as one additional member each from the participating departments/faculties. 2To the extent that an opponent must be part of the Examination Commission according to the Rules for Doctoral Programmes of the participating universities, the number of members of the Doctoral Committee will increase by one opponent for each of the participating universities. 3They may not be members of the participating universities. (8) If the dissertation is not accepted by one of the participating universities, the joint doctoral proceeding is terminated. (9) 1After the successful completion of the doctoral proceeding in joint supervision with a foreign university, a doctoral diploma signed by both of the colleges or universities as defined in Appendix 2 will be issued. 2The doctoral diploma will be provided with the seals of both participating universities and/or departments. 3The completion of a bi-national doctoral proceeding as well as the name of the responsible department or the responsible university must be clearly given in the diploma. 4To the extent that the doctoral diploma is issued by the national government according to the national laws of the foreign university, a doctoral diploma from the University of Kassel can also be issued. 5In this case the state-issued foreign diploma and the German diploma must each include a note that each of the two diplomas is only valid in conjunction with the other and that the doctorate was awarded on the basis of a bi-national doctoral proceeding. 15 Doctoral Course of Study (1) The departments shall offer doctoral courses of study in the scope of 15 to 30 credits according to the ECTS. (2) 1On request, a certificate of the doctoral programme of study can be issued by the department. It shall include: a) detailed advanced studies in the doctoral discipline up to 60 credits and/or b) research-oriented continuing instruction of up to 60 credits and/or c) didactic university-level qualifications of up to 60 credits and d) dissertation and Oral Defence up to 180 credits. 2In total, the certificate can document a workload of a maximum of credits according to the ECTS. 3Work that is done in the framework of remedial coursework and examinations as described in 3 in combination with 4 AB PromO that is specified as a requirement for the certificate of admission, cannot be included in the documentation of the doctoral course of study. (3) 1The respective Examination Rules for the examination in the major field of study are to be analogously applied to the advanced detailed studies in the doctoral field according to Paragraph 2 Letter a. 2Research-oriented continuing education includes participation in colloquia held by doctoral candidates and/or research colloquia and/or graduate colloquia as well as the preparation of the research topic. 3Departmental provisions will provide more detailed rules. (4) Previously completed studies and examinations or research projects can be credited under Paragraph 2 Letters a and b. 16 Access to Files 1The candidate will be granted access to his/her doctoral file on request once the doctoral proceeding is completed. 2The request to view the file must be submitted to the PhD Office within a month of issue of the doctoral diploma.

15 17 Revocation of the Doctorate (1) An earned doctorate shall be revoked if it was earned fraudulently or if facts become known that would have precluded its being awarded. (2) 1The Departmental Doctoral Committee that decided to award the doctorate degree is responsible for the revocation of the doctorate. 2To the extent that a responsible Doctoral Committee cannot be identified after the fact, the university or college administration will determine the responsibility of a Doctoral Committee. (3) 1If there are reasons for revoking a doctorate according to Paragraph 1, the responsible Doctoral Committee will investigate the facts of the case with the Dean s Office. 2The Dean s Office will immediately inform the President and the Investigative Commission for the Assurance of Good Academic Practice concerning the start of investigations. 3If the Investigative Commission for the Assurance of Good Academic Practice announces a recommendation concerning the proceedings, the Doctoral Committee will only make a decision after the announced recommendation has been received. (4) In other aspects the revocation of doctorates is governed by provisions of law. 18 Objections 1A person affected by decisions of the Doctoral Committee can file an objection with the Doctoral Committee or the President of the University of Kassel. 2If the Doctoral Committee does not redress the objection, it will immediately forward an opinion to the President of the University of Kassel, who will issue a decision regarding the objection. 19 Special Departmental Provisions 1The departments will issue special provisions supplemental to the General Provisions. 2Departments that award the same doctorate can form a joint Doctoral Committee in conformity with 2 Paragraph Entry into Force, Expiration These rules enter into force on the day after they are published in the Bulletin of the University of Kassel. The General Provisions for Doctorates at the University of Kassel dated will expire on that date. Kassel, July 17th, 2012 The President of the University of Kassel Prof. Dr. Rolf-Dieter Postlep

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