Doctoral Regulations Electrical Engineering and Computer Science Faculty University of Siegen Dated 29th October 2003 As ammended on 23rd May 2006 Due to 2, clause 4, and 97, clause 4, of regulations for universities in Nordrhein- Westfalen (HG) dd. 14 th March 2000 (GV. NRW. S. 190) the University of Siegen has issued the following rules for the doctorate degree:
2 Contents 1 DOCTORAL RIGHT 3 2 DOCTORAL REQUIREMENTS 3 3 SCOPE OF DOCTORAL WORK 4 4 DOCTORAL COMMITTEE 4 5 APPLICATION FOR DOCTORAL GRADUATION 5 6 INITIATION OF DOCTORAL PROCEDURE, DOCTORAL COMMISSION, SCIENTIFIC REFEREES 5 7 RESPONSIBILITIES OF DOCTORAL COMMISSION 6 8 JUDGEMENT OF THESIS 6 9 ORAL EXAMINATION 7 10 TOTAL MARKING OF EXAM 8 11 MANDATORY COPIES AND PRINT OF THESIS 8 12 TERMINATION OF DOCTORAL PROCEDURE 8 13 CESSATION OF DOCTORAL PROCEDURE 9 14 DOCTOR HONORIS CAUSA 9 15 DEPRIVATION OF DOCTOR DEGREE 10 16 COMING INTO FORCE 10
3 1 Doctoral Right (1) The faculties of Electrotechnical Engineering and Computer Science award the doctoral degree of engineering sciences (Dr. Ing.) and the doctoral degree of natural sciences (Dr. rer.nat.) on the basis of a scientific discourse (scientific thesis), elaborated by the applicant, named herewith postgraduate student, and an oral examination. The topic of his thesis must be represented in the electrotechnical and computer science faculty by a chair as per 6, clause 4, clause 4, of these doctoral degree regulations. (2) The electrotechnical and computer science faculty can award the doctor honoris causa (Dr.-Ing. h.c.) ( 14). (3) Upon request of the doctoral student the doctoral committee will decide on the doctoral degree in consideration of the topic of the thesis and the educational background of the doctoral student. 2 Doctorate Requirements (1) Basis for the doctoral degree is to have finished appropriate scientific studies of at least eight semester regular studying time, normally in electrotechnical or computer engineering. (2) If the studying subject does not comply with the doctoral subject, or the undergrade studies are subject to a shorter regular studying time, the admission to the doctoral exam as per 6, clause 1 is possible, only if the postgraduate student has successfully passed supplementary examinations from the main study course II. The extent of the specialist exams is fixed by the doctoral committee. (3) Outstanding graduates from universities of applied sciences are admitted as doctoral students if their special aptitude equivalent to university degree holders has been proven. The student can be admitted to graduation provided that he holds a degree of 2.0 or better. The admission procedure regards the specific degree and extends to at maximum 3 semesters, where courses of approx. 12 semester hours have to be attended. The content of these supplementary performances is determined by the doctoral committee in accord with the student s supervisor. During this period, the student must perform up to 4 records of study. (4) Foreign exams are accepted, as far as they correspond to a German exam as per clause 1 or 2. The equivalence of foreign exams is determined by equivalence agreements of the KMK and HRK. If there are doubts about the equivalence the central institution for abroad education must be heard. (5) Before doing the doctorate the postgraduate students should normally have studied two semesters in electrical engineering or computer science at the University of Siegen. Well-founded exceptions are permissible.
4 3 Scope of Doctoral Work (1) By performance of the doctorate special scientific skills and performances as well as the capability for independent scientific working shall be proven. The scope of doctoral work comprises a thesis and an oral exam. (2) The thesis must present an independent continuative contribution to scientific research and verify that the postgraduate student is able to properly deal with a scientific problem and to appropriately present the results. The thesis is to be elaborated in German language with English abstract or in English language with German abstract. A decision about exceptions will be made by the doctoral committee in accord with the scientific referees of the doctoral performance. (3) The prior publishing of partial excerpts of the thesis does not be an obstacle to its acceptance. (4) Before the oral exam as per 9, clause 2, the candidate must give a public universitary lecture about the topic of his thesis. The lecture s duration should not fall below 30 minutes. (5) The oral exam as per 9, clause2, will cover the thesis as well as selected problems of the doctoral subject and adjacent fields. It will be carried out as examination colloquium considering the state of research. 4 Doctoral Committee (1) The faculty council will elect a committee responsible for the implementation of doctoral procedures (doctoral committee) and determine its chairman; this must be a university teacher qualified as per 46, clause 1, no. 4, letter a of HG 1. The election period is 2 years, reelection is permissible. (2) Five university teachers belong to the committee, one scientific assistant, and, if available, one postgraduate student as per the postgraduate support programme. Four university teachers must be qualified as per 46, clause1, no. 4, letter a of HG. (3) The doctoral committee is incumbent in particular upon the following: (1) the decision about the admission to IPP, if necessary, on hearing of representatives of the IPP subject, (2) the decision about the doctoral degree as per 1, clause 3, (3) the determination of supplementary prior achievements as per 2, clause 2, (4) the appointment of scientific referees and further members of the doctoral commission as per 6, clause 3, (5) the appointment of further experts as per 6, clause 6, (6) the determination of equivalence of foreign exams as per 2, clause 3, (7) the decision in case of the postgraduate student s failure of the oral exam as per 9, clause 1, clause 3, (8) the decision about termination of the doctoral procedure as per 13, clause 3, 1 HG = Hochschulgesetz
5 (9) the decision in case of objections of the postgraduate student to determinations within the doctoral procedure. (4) The doctoral committee decides by single majority of votes; in the event of a tied vote the vote of the chairman is decisive. 5 Application for Doctoral Graduation (1) The postgraduate student has to address his application for doctoral graduation to the dean of the electrotechnical engineering or computer science faculty. (2) The following documents have to be enclosed with the application: (1) declaration, that the currently valid doctoral regulations are known to the postgraduate student, (2) proof about university degree as per 2, clause 1 or 2, as well as proof of supplementary performances as per 2, clause 2, (3) four copies of the thesis in machine writing or printing, (4) tabular curriculum vitae, (5) declaration of the applicant that he has written the thesis on his own and has indicated all auxiliary tools and sources, (6) declaration, if, previously or in parallel, a doctoral procedure has been applied for at another faculty or university, if so, with complete data about its completion, (7) proposal of scientific referees for the thesis, (8) declaration regarding wanted doctoral degree (9) clearance certificate issued by the local registry office, stating that the holder has no criminal record (10) if applicable, a declaration of the postgraduate student, that he/she contradicts to public oral exam ( 92, clause 4, HG) 6 Initiation of Doctoral Procedure, Doctoral Commission, Scientific Referees (1) The doctoral committee decides about initiation of the doctoral procedure, if necessary after having heard the representatives of the faculty or the IPP programme 2. The initiation can be refused, only if the conditions as per 2 and 5 are not fulfilled or if the thesis cannot be related to the faculty as to its subject ( 1, clause 1). Initiation of the doctoral procedure must be refused, if at least not one expert with expertise on the doctoral subject as per clause 4 belongs to the faculty. Should the initiation of the procedure be refused by the doctoral committee, the chairman of the committee must inform the postgraduate student immediately in writing, stating the reasons including statement of rights. Such a refusal is not considered as a failed attempt. 2 IPP = International Post Postgraduate Programme
6 (2) A doctoral application can be withdrawn, as long as the doctoral committee has not made a decision about initiation of the procedure. In such case the doctoral procedure is considered as not having been initiated. (3) The doctoral committee elects the dotoral commission (4) The doctoral commission has at least three members, among them the chairman is elected, who must not be scientific referee at the same time. At least two scientific referees belong to the doctoral commission dealing with the thesis and the examiners holding the oral exam. At least two members of the commission must represent the doctoral subject. Exclusively university teachers qualified as per 46, clause 1, no. 4, letter a of HG as well as university teachers qualified as per 46, clause 1, no. 4, letter b of HG with additionally acknowledged research expertise according the resolution of the founding senate dd. 8 th Febr. 1982 (see annex) and post-doctoral lecturing qualification can be members of the commission. (5) The members of the doctoral commission need not all belong to the electrotechnical or computer engineering faculty. Should the topic of the thesis exceed the bounds of the faculty, additional representatives of the respective subjects as referees, resp. examiners must be charged. (6) Besides the referees represented in the doctoral commission further experts, especially external ones, can be appointed. Their appointment is made on proposal of the doctoral commission. 7 Responsibilities of Doctoral Commission (1) As per 8, clause 7, the doctoral commission decides about acceptance and mark of the thesis on the basis of the referees reports. The commission performs the oral exam as per 9, clause 2, and decides about the marking. (2) The chairman runs the business of the doctoral commission. He/she particularly summons the sessions of the commission, determines the secretaries, sets the appointments for the public lecture and the oral exam and invites to it, coordinates the display period of the thesis in accord with the chairman of the doctoral committee and effects the written correspondence of the doctoral commission. (3) The doctoral commission decides by single majority of votes, in case of vote equivalence the chairman s vote will be decisive. 8 Judgement of Thesis (1) Independently from each other the referees establish written reports, which contain a recommendation about acceptance or refusal of the thesis as well as in case of acceptance a proposal for marking. (2) The period from initiation of the doctoral procedure till submission of the expert report shall not exceed four months. (3) The thesis can be marked as follows: very good magna cum laude good cum laude
7 satisfactory rite If the thesis has been judged to be excellent, the grade summa cum laude can be awarded. (4) On completion of the reports, the thesis incl. reports is displayed two weeks in the office of the dean. The chairman of the doctoral committee will announce the display of the thesis and its period in accord with the chairman of the doctoral commission to the vice-chancellor 3, the deans, and the university teachers of the faculty. (5) The thesis is, during its period of display, available for all university lecturers, whereas thesis with referees reports are available during the period of display for all members of the doctoral committee and all university lecturers of the faculty. (6) All persons stated in clause 5, clause 2, can announce - within the period of display - a written statement regarding the thesis or the reports, which has to be submitted within two weeks after termination of the period of display, (7) The doctoral commission shall decide one week after termination of the statement period at the latest - on the basis of the presented reports - about acceptance of the thesis, if necessary, shall impose corrections and decide about the mark. Possible statements as per clause 6 must be discussed in the doctoral commission. If one or more of the referees contradict to the decision of acceptance or the marking of the thesis, the doctoral commission will propose to the doctoral committee, before a final decision is made, the appointment of one or more further experts. 6, clause 4, 5, 6 and 8, clause 1 6 and clause 7, sentence 1 apply accordingly. (8) In case the thesis is refused the postgraduate student must be immediately informed by the dean about this negative decision of the doctoral commission. With this refusal the attempt for doctorate degree is finished. 9 Oral Examination (1) The chairman/chairwoman of the doctoral commission sets the deadline for the oral examination immediately after decision about the thesis. Should the candidate culpably fail the date of the exam or should he/she withdraw from the exam after its beginning without stating good reasons, the exam is to be considered as not having been passed. Decision hereof is made by the dotoral committee. (2) The oral exam is held by the doctoral commission as a colleague exam. It shall last at minimum 45 min. and max. 1 ½ hours. In the beginning the postgraduate student gives a short report about the results of his thesis. During the exam a member of the commission will make a protocol. The commission decides about the marking of the oral exam. (3) The oral exam can be marked as follows: very good magna cum laude good cum laude satisfactory rite If the performance has been judged to be excellent, the grade summa cum laude can be awarded. 3 rector
8 (4) Should the oral exam judged to be not satisfactory the postgraduate student will be allowed to repeat it once. The exam can be repeated at the earliest half a year later, and should be held after one year at the latest. 10 Total Marking of the Exam (1) After the oral exam the doctoral commission decides about the final mark, which is composed of the results of thesis and oral exam. Should one of the marks be not satisfactory the final mark is also not satisfactory. (2) The judgement is made as per the marking table in 9, clause 3. (3) The doctoral document contains only the total mark. 11 Mandatory Copies and Printing of Thesis (1) The postgraduate student must have either printed resp. copied his thesis as independent discourse or published it in a scientific journal or released it by the university library in the internet. To produce the setting copy a uniform faculty cover shall be used. The postgraduate student must deliver to the university library: either a) 40 copies in book or photo finish for means of distribution or or or b) 3 copies, if the thesis is published in a journal c) 3 copies, in case a commercial publisher is engaged to distribute the thesis via book trade and a minimum edition of 150 copies is proved d) 4 printed copies including one version of the thesis on machine legible data carrier in a form (data formate) defined by the university library. One abstract of the thesis (summary of one page) that has been approved by the first referee, shall be made available to the dean for means of publishing as well as one printed copy of the thesis. (2) Should the final version of the thesis deviate from that one that has been accepted by the doctoral commission, this deviation requires the approval of the chairman of the doctoral commission in accord with the referees, after both versions have been verified. (3) The obligatory copies must be handed over one year after the exam has been passed. The dean can prolong this deadline based on the postgraduate student s well-founded application. 12 Termination of the Doctoral Procedure (1) The doctorate exam has been passed with the acceptance of the thesis and the successfully passed oral examination. The chairman of the doctoral
9 commission will immediately inform the postgraduate student about his final mark. (2) The chairman of the doctoral committee ascertains the doctoral procedure to be terminated and initiates the despatch of the doctoral document. (3) The dean will deliver the document to the postgraduate student as soon as the obligatory copies as per 11, clause 1, have been received. On request of the postgraduate student a preliminary certificate can be issued, containing the title of the thesis and the final marking. But, this preliminary certificate does not allow to bear the doctorate degree. (4) The dean informs the faculty council about the termination of the procedure. Termination of the doctorate procedure will be announced as well to the vicechancellor and the university public. (5) All written documents regarding the doctoral procedure are to be stored with the files of the faculty. (6) On termination of the doctoral procedure the doctorate must have, on his request, the possibility to see the files. 13 Cessation of Doctoral Procedure (1) If the postgraduate student renounces, by a written declaration to the dean, the continuation of the procedure, the doctorate degree is evaluated as to have not been achieved. The dean informs the faculty council, the doctoral committee and the doctoral commission about discontinuation of the procedure. In this case a repeated trial is possible. (2) If examination performances during the doctoral procedure have not been fulfilled, the doctoral procedure will be terminated without success. The candidate will be notified by the dean, stating the reasons and adding a statement of rights. (3) If it is ascertained, that the postgraduate student has intentionally made misleading statements as concerns the regulations of 5, clause 2, the doctoral committee will decide, whether the doctoral procedure can be continued. The postgraduate student must be offered the opportunity to make a commentment concerning the accusations he is confronted with. In case the procedure will be stopped, the doctorate degree is evaluated as to have not been achieved. The chairman of the doctoral committee will inform hereof the doctoral commission and the faculty council. The conclusion of the doctoral committee about discontinuation of the doctoral procedure must be founded and delivered to the postgraduate student, foreseen with a statement of rights. 14 Doctor honoris causa In appreciation of excellent scientific achievements, on agreement with the senate of the university, the faculty of electrical engineering and computer science may award the doctor degree of engineering sciences honoris causa (Dr. Ing. h.c.) or the doctor degree (Dr. rer.nat. h.c.) in the field of natural sciences. Corresponding applications must be made by at least two members of the faculty council. There will
10 be established a committee to survey the scientific performances of the person to be honoured, which has three members as per 6, clause 4, sentence 4. Due to the recommendation of this committee the faculty council will decide by 2/3 of the persons entitled to vote. The document shall contain an appreciation about the scientific merits of the doctor honoris causa. 15 Deprivation of Doctor Degree (1) The doctor degree will be deprived if it has been ascertained later, that the degree has been received by deception or if essential conditions for the award have been accepted for error. (2) The doctor degree can be deprived as well, if the doctor has been judged for an intentional crime, the preparation or committing for, the doctor degree has been abused. (3) Decision about deprivation or withdrawal is made by the faculty council. 16 Coming into Force These doctoral regulations are published in the Amtliche Mitteilungen der Universität Siegen and will come into force on that day of publishing. Siegen, 23 rd May 2006 The Rector Prof. Dr. Ralf Schnell