If the short term Faculty is used in the text, it always stands for Faculty of Mathematics, Natural Sciences and Technology.

Transcription

1 Rules and Regulations for Conferring a Doctorate Degree at the Faculty of Mathematics, Natural Sciences and Technology at the Martin-Luther-University Halle- Wittenberg [Germany] of February 3 rd, 2004 Disclaimer: This is an unofficial translation of the German document with the sole purpose of helping foreign students understand how to obtain a doctorate degree in Halle. No guarantee can be given as to the correctness of the text. Only the official German document is legally binding. English translations of proper German terms or explanations are provided in [square brackets]. Pursuant to section 18, subsection 7, and section 67, subsection 3, number 8 of the Hochschulgesetz des Landes Sachsen-Anhalt (HSG LSA) vom (GVBl. LSA S. 256) [University Act of the Land Saxony-Anhalt of May 5, 2004, (Law Gazette Saxony-Anhalt, page 256)], the Martin-Luther-University Halle-Wittenberg has decreed the following Rules and Regulations for Conferring a Doctorate Degree at the Faculty of Mathematics, Natural Sciences and Technology. If the short term Faculty is used in the text, it always stands for Faculty of Mathematics, Natural Sciences and Technology. Contents Section 1: Doctorate Degrees I Regular Procedure Section 2 Doctorate Requirements Section 3 Doctorate Committee Section 4 Prerequisites for Admission Section 5 Application for Admission to the Doctorate Procedure Section 6 Withdrawal Section 7 Examination Board Section 8 Thesis Section 9 Evaluation and Public Access to Thesis Section 10 Public Defense Section 11 Grading of Doctorate Requirements Section 12 Repetition Section 13 Right to Appeal Section 14 Publication of Thesis Section 15 Closing of Procedure Section 16 Denial or Revocation of Doctorate Degree II Doctor Honoris Causa [no translation available] III Final Clauses [no translation available] Attachment 1: List of Documents to be Submitted Attachment 2: Application Form Attachment 3: Sample of Doctorate Certificate 1

2 Section 1 Doctorate Degrees (1) Upon decision of the responsible Fachbereich [Department], the Faculty of Mathematics, Natural Sciences and Technology confers the academic degree of a Doctor of Natural Sciences (Doctor rerum naturalium, Dr. rer. nat.). The doctorate degree is conferred for scientific achievements in the fields of natural and mathematical sciences represented in the Faculty, after successfully completing the regular doctorate procedure. (2) Upon decision of the responsible Department, the Section for Mathematics and Natural Sciences of the Faculty of Mathematics, Natural Sciences and Technology confers the academic degree of a Doctor of Pedagogical Sciences (Doctor paedagogicae, Dr. paed.). The doctorate degree is conferred for scientific achievements in the fields of didactics represented in the Faculty, after successfully completing the regular doctorate procedure. (3) Upon decision of the responsible Department, the Faculty of Mathematics, Natural Sciences and Technology confers the academic degree of a Doctor of Engineering (Dr.- Ing.). The doctorate degree is conferred for scientific achievements in the fields of engineering sciences represented in the Faculty, after successfully completing the regular doctorate procedure. (4) [Doctor honoris causa - no translation available.] I Regular Doctorate Procedure Section 2 Doctorate Requirements The applicant s scientific qualification shall be proven by doctorate requirements. These are: 1. a written Dissertation [thesis] (cf. section 8), 2. a public defense (cf. section 10) and 3. Publication of the thesis (cf. section 14). Section 3 Doctorate Committee Each Department shall constitute a Doctorate Committee to conduct doctorate procedures. The Doctorate Committee shall consist of a chairperson, two further members and their respective substitutes. The members and their substitutes shall be elected by the Fachbereichsrat [Department Council] for a period of three years; reelection is possible. Chairperson should be the Dean or the Vice Dean of the Department. All members should be full-time professors of the respective Departments. Section 4 Prerequisites for Admission (1) The prerequisite for conferring a doctorate degree at the Faculty of Mathematics, Natural Sciences and Technology shall be a degree (Diplom-Zeugnis [diploma certificate], Staatsexamen [civil service examination for teachers], Master, etc.) in a course of studies also offered at the Faculty. The Doctorate Committee of the responsible Department shall 2

3 decide on the acknowledgement of the degree and shall request the acquisition of additional qualifications, if necessary. The prerequisite for conferring a Dr. paed. shall be either proof of having passed the Erste Staatsprüfung für das Lehramt [first civil service examination for teachers] in the relevant field or equivalent degrees. This prerequisite may also be met, if the prerequisites for a Dr. rer. nat. or Dr.-Ing. are fulfilled and proof of the student s pedagogical qualification is provided. The latter may be acquired by passing exams in didactics in the relevant field and a pedagogical subject. The exams shall be equivalent to the final exams for Gymnasium [German extended secondary school] teachers. The prerequisite for conferring a Dr.-Ing. shall be a university degree (diploma certificate) in engineering sciences from a German university. (2) The applicant should have been supervised by a professor or a habilitiertes Mitglied [qualified university lecturer] of the Faculty for at least one year prior the opening of the doctorate procedure. (3) A degree from a university or another coequal academic institution where the provisions of the German Grundgesetz [Basic Law] do not apply, shall be accepted as fulfilling the prerequisites, if it is equivalent to a German degree. The equivalence is decided upon the basis of equivalence agreements approved by the Kultusministerkonferenz [German Conference of the Federal Cultural Ministers] and by the Rektorenkonferenz [German Rectors Conference]. If in doubt, the Zentralstelle für ausländisches Bildungswesen [German Central Office for Foreign Education] should be heard. (4) The Faculty shall decide on exceptions and, if necessary, on acceptance pursuant to subsection 1 and subsection 3. Applicants holding degrees which are not equivalent may be asked to acquire additional qualifications. An einschlägiges Zusatzstudium [fieldrelated additional studies] at the relevant Department of the Faculty of Mathematics, Natural Sciences and Technology shall be accepted as sufficient additional qualification. (5) University degrees obtained in other fields may be accepted, if the applicant has worked in the field of the doctorate for usually three years after completing the degree. The applicant might have to pass selected exams of the relevant diploma course, if deemed necessary by the Doctorate Committee. (6) Graduates of Fachhochschulen [universities of applied sciences] may be admitted to the doctorate procedure if they are able to prove an exceptional aptitude for scientific research. This proof is usually provided by a university of applied science degree graded with Gesamtnote sehr gut [final grade very good]. Section 5 Application for Admission to the Doctorate Procedure (1) The application for admission to the doctorate procedure shall be submitted in writing to the Chairperson of the Doctorate Committee, indicating the subject of the thesis. (2) The following documents shall be enclosed with the application: a. four bound copies of the thesis; b. a written statement that the applicant has written the thesis independently and without help, that the applicant has not used any other sources or devices than indicated, and 3

4 that the applicant has marked the quotations from the literature used verbatim or as regards to content - as such; c. a statement whether the applicant has already applied for a doctorate degree at an earlier stage, and if so, with which success; d. personal details of the applicant and his/her academic vita, namely - family name, existing academic degree(s), first name, date of birth, place of birth, gender, residence address and correspondence address, citizenship, - scientific field of the doctorate, - list of universities attended and degrees obtained, - statement whether the applicant has already unsuccessfully attempted to acquire a doctorate degree, - proof of attendance of university courses qualifying for a doctorate, - Führungszeugnis [police certificate of good conduct] pursuant to the Bundeszentralregistergesetz vom (BGBl. I S. 1229) [German Criminal Records Act of September 21, 1984 (Federal Law Gazette, vol. 1, p. 1229)] in the currently valid version, - provision of sufficient proof in case of financial support pursuant to the Graduiertenförderungsgesetz vom (GVBl. LSA S. 382) [Sachsen- Anhalt Graduate Scholarship Act from May 27, 1992 (Saxony-Anhalt Law Gazette p. 382] in the currently valid version e. specifications pursuant to section 4, subsection 2; f. proof of successful completion of university studies pursuant to section 4, subsection 1 or 3, but only if these certificates were not already submitted together with the application for acceptance as a doctoral candidate (section 4, subsections 5 and 6); g. suggestions for referees; h. list of publications, if applicable. (3) The Doctorate Committee shall review the submitted documents for completeness and decide on opening the doctorate procedure. The Doctorate Committee shall appoint the referees; it does not have to follow the applicant s suggestions. The applicant shall be informed in writing about the decision. In case of a negative decision, instructions on the right to appeal shall be enclosed. (4) The Dean of the Faculty shall be informed about the opening of the doctorate procedure. Section 6 Withdrawal The doctoral candidate may withdraw from the procedure as long as the chairperson of the Doctorate Committee has not received a referee report. In this case the application shall be regarded as not submitted. If the doctoral candidate withdraws at a later stage, the procedure shall be considered as closed without success. In this case, a copy of the thesis shall remain with the files. In case of an illness certified by a physician, the period of the illness shall not be considered as regards to time limits. This also holds for cases of maternity leave pursuant to the protective leave provisions as well as parental leave pursuant to the regulations of the Bundeserziehungsgeldgesetz [German Act on Federal Child-Rearing Allowance]. Section 7 Examination Board (1) If the application for admission has been accepted, the Doctorate Committee shall appoint an Examination Board. The Chairperson of the Examination Board shall ask the referees for their reports. 4

5 (2) Two referees shall be named, one of them shall be a professor. The supervisor of the thesis shall be one of the referees. At least one of the referees shall not be a member of the Martin-Luther-University Halle-Wittenberg. (3) The Examination Board shall consist of - the chairperson, who shall not be one of the referees at the same time; - the referees; - at least three more persons from the professors, qualified university lecturers and retired professors of the Faculty. Section 8 Thesis (1) The thesis shall completely or partially pertain to one of the fields represented in any one of the Departments. The thesis shall show the candidate s aptitude for independent scientific work and shall contribute to the advancement of science. Generally, it shall not exceed 100 A4 size pages. (2) Generally, the thesis shall be the result of an individual performance. The responsible Doctorate Committee may approve exceptions, if the very nature of the research justifies a joint work and if the individual contributions of the respective authors are clearly establishable. (3) The thesis should be written in German or English. Exceptions require prior approval by the Doctorate Committee. (4) The results of the thesis may be completely or partially published prior to the application for admission to the doctorate procedure. A portfolio of one or several published papers may be submitted in lieu of a thesis, if the applicant s individual contribution is establishable. A portfolio of several publications shall be preceded by a detailed summary of the results in order to show the correlation of the partial results. (5) The thesis shall contain a title page in accordance with Attachment 2. Personal details of the applicant and his/her academic vita pursuant to section 5, subsection 2, number d and the statement pursuant to section 5, subsection 2, number b shall be bound in at the end of the thesis. Section 9 Evaluation and Public Access to Thesis (1) Each referee shall submit a report on the thesis including a recommendation concerning the acceptance or rejection of the work and a suggestion as to the grades. The grades shall comply with section 11, subsection 1. (2) The reports should be returned to the Chairperson of the Examination Board within eight weeks after issuing the request. (3) If two referees grade the thesis as nicht genügend [not sufficient], the chairperson of the Doctorate Committee shall declare the procedure as closed. In this case, the procedure shall be closed without success. 5

6 (4) If only one of the referees grades the thesis as nicht genügend, one further referee shall be named by the Doctorate Committee. If this report is also negative, the procedure shall be closed without success. (5) When there are two positive reports, the Chairperson of the Doctorate Committee shall inform the Examination Board. He/she shall then make the thesis available for at least two weeks, but no more than four weeks to the members of the Examination Board as well as to the Faculty s professors and qualified university lecturers. They may submit written opinions on this matter. (6) Upon submission of the reports and after the public access period, the Examination Board shall decide on the acceptance of the work and the continuation of the procedure. The decision shall be based on the existing reports and opinions. Section 10 Public Defense (1) The public defense of the thesis shall consist of a scientific presentation and a discussion. It should be completed within three months after submission of the last report. If this period exceeds one year due to the candidate s fault, the procedure shall be closed without success. (2) The Chairperson of the Examination Board (section 7, subsection 3) shall invite to the public defense and announce place and time in public. (3) The Chairperson of the Examination Board shall preside over the public defense. At least five members of the Examination Board shall be present. (4) The defense shall consist of a presentation of 30 minutes maximum, followed by a discussion in German or English lasting approximately one hour. Other languages shall require prior approval by the Examination Board. The contents of the thesis and specific scientific questions from the field related to the scientific work shall form the basis for the discussion. (5) Minutes shall be kept on course, contents and results of presentation and discussion. They shall be signed by the Examination Board and shall contain the grades. The grades shall comply with section 11, subsection 4. Section 11 Grading of Doctorate Requirements (1) Thesis, presentation and discussion shall be evaluated separately with one of the grades listed below: magna cum laude sehr gut (1) [very good] cum laude gut (2) [good] rite genügend (3) [sufficient] non sufficit nicht genügend (4) [not sufficient] Intermediate grades 1.3; 1.7; 2.3 and 2.7 shall be also possible. (2) The grades for presentation and discussion shall be decided upon by the Examination Board subsequent to the defense in a closed meeting. 6

7 (3) The doctoral candidate shall only be awarded the doctorate degree, if thesis, presentation and discussion are each graded at least rite. (4) The Chairperson of the Examination Board shall determine the overall grade (N). It shall be calculated according to the following formula: N = 0.6G + 0.2V + 0.2D (G=arithmetic average of the positive reports, V=presentation, D=discussion). (5) The following final grades shall be conferred: 1.0 summa cum laude, > magna cum laude, cum laude, rite. (6) The Chairperson of the Examination Board shall disclose the result, which shall be signed by all members of the Examination Board present at the defense, to the doctoral candidate. (7) Upon application the doctoral candidate shall receive a written confirmation by the Chairperson of the Examination Board, certifying the successful closure of the procedure. This document is valid for one year. Section 12 Repetition (1) If the thesis is rejected, the doctorate procedure shall be closed without success. The applicant shall be informed of the rejection in writing. The applicant may submit a new thesis at the Faculty one more time, but not before one year after the rejection. (2) The defense may be repeated only once. It shall take place not earlier than six weeks and not later than six months after the date of the failed defense. (3) If the repetition does not take place within this period, the doctorate procedure shall be closed without success. The Doctorate Committee shall decide on justified exceptions. Section 13 Right to Appeal Appeals against decisions of the Examination Board or the Doctorate Committee shall be submitted to the Dean of the Department. The appeal shall reach the Dean within one month after the doctoral candidate has been informed about the decision. The appeal shall be either in writing or orally to be recorded. Section 14 Publication of Thesis (1) Within one year the thesis shall be made accessible to the scientific public in a suitable manner. (2) Subsection 1 shall be met if the doctoral candidate submits 30 copies (or 20 copies if published by a publishing company and if publication has ISBN or ISSN) of the thesis to 7

8 the Dissertationsstelle [thesis office] of the Universitäts- und Landesbibliothek after the defense. (3) Subsection 1 shall be also met if the doctoral candidate chooses - after approval by the supervisor - the electronic publication of the thesis according to the regulations of the Universitäts- und Landesbibliothek (four printed copies and one data medium), and transfers the rights for publishing the electronic version in data networks to the Universitäts- und Landesbibliothek. Section 15 Closing of Procedure (1) After completion of the duties pursuant to section 14 and after confirmation through the Faculty, the Dean of the Faculty shall deliver the doctorate certificate, which shall be drawn up according to the sample in Attachment 3 and shall be dated to the day of the defense. (2) Upon receiving the doctorate certificate, the candidate shall acquire the right to bear the doctorate degree. Section 16 Denial or Revocation of Doctorate Degree (1) If the Faculty shall learn of a deliberate deception by the candidate in connection with the doctorate procedure prior to delivery of the doctorate certificate, the achievement connected to the doctorate requirements may be declared invalid. (2) The Faculty may revoke the doctorate degree. The revocation procedure shall be conducted according to the law in force. The doctorate degree may also be revoked if the deception is discovered subsequently. (3) Before the Faculty s decision concerning a denial or revocation of the doctorate degree, the person affected shall be given the opportunity to comment on the charges against him/her. II Doctor Honoris Causa [no translation available] III Final Clauses [no translation available] 8

9 Attachment 1 List of documents to be submitted: - informal application (addressed to the Department s Chairperson of the Doctorate Committee), including - application form to open the doctorate procedure, stating, - the subject of the thesis, - the aspired doctorate degree (Dr. rer. nat / Dr. paed. / Dr.-Ing.). The development of the thesis and the course of the doctoral candidate s scientific education while working on the thesis shall be explained in the application. - four bound copies of the thesis (usually no more than 100 A4 size pages) including a title page according to the sample and including details to the student s person and education (signed), and a written statement that the applicant has written the thesis independently and without help, that the applicant has not used any other sources or devices than indicated, and that the applicant marked the quotations from the literature used verbatim or as regards to content - as such; - a statement, whether the applicant has already applied for the doctorate degree at an earlier stage, and if so, with which success; - personal details of his /her academic vita and education (signed), including a complete list of the student s education and professional employment to date; - list of publications; - degree certificates proving the successful completion of university studies (in German): certified copy or presentation of original certificate; - Führungszeugnis [police certificate of good conduct] (issued less than three months ago); - suggestions for referees; - in case of a portfolio of published papers in lieu of a thesis: an informal description of applicant s own contribution. After the defense, a certificate shall be submitted to the office of the Dean of Faculty about the delivery of the required copies of the thesis pursuant to section 14, subsection 2 of the rules and regulations for conferring a doctorate degree. Attachment 2 Martin-Luther-Universität Halle-Wittenberg Faculty of Mathematics, Natural Sciences and Technology Application for opening a doctorate procedure, via the Department Recognizing the regulations on prerequisites and the modes of procedure, I herewith apply for opening a doctorate procedure. (please type or print!) 1. Last name and name of birth: first name: gender: date of birth: place of birth: country of birth: citizenship: home address: 9

10 (where applicant can be reached permanently) street: phone (home): postal code: town: at the time of the application employed at: postal code: town: street: phone (work): as: Already acquired academic degrees, which: when: where: 2. Status of applicant upon application of thesis (university employee, third party funding, scholarship, external): 3. Aspired academic grade : (commonly used abbreviation) 4. Subject of the thesis (no more than 180 characters): 5 Supervisors: academic title, academic degree: last name: first name: scientific institution: I declare that the above statements are true and correct and that I have not submitted this scientific work at any other academic institution for obtaining an academic degree. Date Signature of applicant The required documents pursuant to the rules and regulations for conferring a doctorate degree have been submitted completely and in proper form. Date Signature of the Chairperson of the Doctorate Committee 10

11 Attachment 3: Sample of Doctorate Certificate Under the Rectorship of the Professor for Stochastics Dr. rer. nat. habil. Wilfried Grecksch, the Faculty of Mathematics, Natural Sciences and Technology (Department of <<Department>>) confers <<name>> born on <<Date of birth>> in <<place of birth>> on basis of the thesis <<thesis subject>> and the public defense the academic degree doctor rerum naturalium (Dr. rer. nat.) For the overall achievement the rating <rating> is granted. Halle (Saale), <<date>> The Rector The Dean of the Faculty 11