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Doctoral Regulations

The following text has been copied from the Doctoral Regulations of Friedrich-Alexander-Universität Erlangen-Nürnberg (FAU) PDF and is provided for purposes of accessibility. It can be found in its original version here.

 

These doctoral regulations have been worded carefully to be up to date; however, errors cannot be completely excluded. The official German text available at the Office of Doctoral Affairs is the version that is legally binding.

 

Doctoral Regulations of Friedrich-Alexander-Universität
Erlangen-Nürnberg (FAU) – RPromO –
Dated 21 January 2013

amended by statutes of
31 May 2016
10 October 2017
20 February 2019

With reference to Section 13 (1) in conjunction with Section 64 (1) of the Bavarian Higher Education Act (BayHSchG), FAU passes the following General Doctoral Regulations:

Table of contents:

I. General Provisions, page 2
Section 1: Scope, page 2
Section 2: Doctoral Degrees, page 2
Section 3: Doctoral Titles, page 2
Section 4: Doctoral Titles, page 2
Section 5: Reviewers and Supervisors, page 3

II. Admission to a Doctoral Degree, page 4
 Section 6: Admission Requirements, page 4
Section 7: Qualifying Examination, page 4
Section 8: Admission to a Doctoral Degree, page 5

III. The Doctoral Procedure, page 6
 Section 9: Initiation of the Doctoral Procedure, page 6
Section 10: Requirements for the Thesis, page 7
Section 11: Evaluation, Acceptance and Refusal of the Thesis, page 8
Section 12: Oral Examination, page 9
Section 12a: Use of Audiovisual Telecommunication Technology, page 10
Section 13: Resitting the Oral Examination, page 11
Section 14: Results of the Doctoral Procedure, Notification, page 11
Section 15: Publication of the Thesis and Submission of Mandatory Copies, page 11
Section 16: Completion of the Doctoral Degree, page 12

IV. Honorary Doctoral Degrees, page 13
 Section 17: Honorary Doctoral Degree Certificates, page 13

V. Cooperation with Universities of Applied Sciences and Art Schools, page 13
Section 18: Cooperative Doctoral Degrees / Joint Doctoral Degrees, page 13

VI. Doctoral Degrees in Cooperation with Foreign Universities, page 13
Section 19: General, page 13
Section 20: Examination Procedure at FAU, page 14
Section 21: Examination Procedure at the Partner Institution, page 14
Section 22: Joint Doctoral Degree Certificate, page 15

VII. Invalidity and Revocation of Doctoral Degrees, page 15
Section 23: Invalidity of Doctoral Examinations, page 15
Section 24: Revocation of Doctoral Degrees, page 17

VIII. Concluding Provisions, page 17
 Section 25: Legal Validity and Transitory Provisions, page 17

Appendix, page 18

 

I. General Provisions

Section 1: Scope

1These General Doctoral Regulations (RPromO) regulate the procedure for awarding doctoral degrees at FAU. 2The regulations are valid in conjunction with the Faculty Doctoral Regulations (FPromO). 3The relevant FPromO is specified by the subject of the doctoral degree.

Section 2: Doctoral Degrees

1A doctoral degree involves independent academic research which is significantly more detailed than the requirements of a Master’s examination or any other equivalent final examination. The doctoral degree is assessed by a written thesis (Section 10) as well as a formal examination procedure which assesses the academic quality of the written doctoral thesis and the academic qualifications of the candidate. 2The examination procedure consists of the assessment of the written thesis (Section 111) and the final oral examination (Section 122). 3Following successful completion of the doctoral procedure and the publication of the doctoral thesis (Section 15), the candidate shall be awarded a doctoral degree. 4The current version of the FAU regulations for safeguarding good scientific practice and dealing with scientific misconduct (hereinafter: GWP regulations) shall apply to the doctoral procedure.

Section 3: Doctoral Titles

1The faculties and schools entitled to award doctoral qualifications (hereinafter ‘Faculties’) can award the following doctoral degrees to FAU candidates.

1. Doktor der Philosophie (Dr. phil.) from the Faculty of Humanities, Social Sciences, and Theology – excluding the School of Theology

2. Doktor der Theologie (Dr. theol.) from the School of Theology of the Faculty of Humanities, Social Sciences, and Theology

3. Doktor der Rechte (Dr. jur) from the School of Law of the Faculty of Business, Economics, and Law

4. Doktor der Wirtschafts- und Sozialwissenschaften (Dr. rer. pol.) from the School of Business and Economics at the Faculty of Economics and Social Sciences

5. Doktor der Medizin (Dr. med.), Doktor der Zahnheilkunde (Dr. med. dent.) and
Doktor der Humanbiologie (Dr. rer. biol. hum) from the Faculty of Medicine

6. Doktor der Naturwissenschaften (Dr. rer. nat.) from the Faculty of Sciences

7. Doktor der Ingenieurwissenschaften (Dr.-Ing.) from the Faculty of Engineering.

2The title can be awarded as Doktor or Doktorin. 3The abbreviated form remains the same. 4A doctoral degree may also be awarded as an honorary degree (Section 17); in this case it will be awarded with the abbreviation h.c. or another abbreviation specified in the FPromO.

Section 4: Doctoral Titles

(1) 1The appointment of the examining committee as well as other bodies responsible and their jurisdiction are specified in the FPromO. 2The decision according to Section 23 (1) shall be taken by the Faculty Council.

(2) 1Section 30 of the University Constitution shall apply to the affairs of the bodies responsible. 2The chairperson shall be entitled to take decisions that cannot be delayed in place of the bodies responsible. 3He or she must inform the other members of the bodies responsible immediately. 4The FPromO can stipulate that the bodies responsible can transfer individual tasks to the chairperson or individual members as well as revoke these responsibilities.

(3) Abstentions, ballot votes and delegation of votes shall not be permitted for examination decisions relating to the doctoral procedure, (2) shall therefore not apply in this respect.

(4)1The bodies responsible shall ensure that the doctoral procedure is conducted in an appropriate manner and not subject to delays. 2All decisions taken by the bodies responsible must be communicated to the candidate in writing. 3Decisions which result in disadvantages for the candidate must be justified and accompanied by information on legal remedy.

(5) 1The bodies responsible are supported by an Office of Doctoral Affairs which maintains records throughout the doctoral procedure. 2Procedural records include:

– Submitted documents,
– Formal decisions and notifications,
– Evaluation and examination report,
– One copy of the thesis according to Section 9 (2)(2)(3),
– A machine-readable copy of the thesis.

3All documents must be stored for at least five years by the records office responsible; permanent records must be stored in consultation with the University Archive.

Section 5: Reviewers and Supervisors

(1) 1A supervisor shall be appointed for each doctoral proposal. The supervisor shall agree upon the topic of the thesis with the candidate and supervise the doctoral research. 2To assess the submitted thesis, two or more reviewers shall be appointed. 3The FPromO determines whether the supervisor of the doctoral research can also act as a reviewer.

(2)1The following persons may be appointed as supervisors:

1. University lecturers (Section 2 (3)(1) Bavarian Law on Academic Personnel of Higher Education, BayHSchPG) employed on a full-time basis at FAU,

2. Professors on leave or retired professors who were primary or secondary members of the faculty administering the doctoral degree.

2The FPromO may restrict the appointment of supervisors of the doctoral research as specified in (1)(1) to primary and secondary members of the faculty. 3The FPromO may permit part-time lecturers and individuals with doctoral degrees (in particular heads of junior research groups at FAU) who are able to continually supervise the doctoral research due to their employment at FAU or an institution associated with FAU to be appointed as supervisors on an individual or general basis. 4If the supervisor’s membership at FAU is terminated or the supervisor no longer meets the requirements stipulated in sentence 3, the supervisor reserves the right to continue supervising any doctoral research admitted according to Section 88 (4) until completion. 5Section 18 shall remain
unaffected.

(3)1The following persons may be appointed as reviewers:

1. University lecturers at FAU,

2. Professors on leave or retired professors who were primary or secondary members of the faculty administering the doctoral degree,

3. Full-time university lecturers at another university permitted to award doctoral degrees,

4. Other university lecturers,

5. Other persons with a doctoral degree appointed as an examiner according to Section 4, HSchPrüferV.

2The FPromO may stipulate that the appointment of persons according to sentence 1 (4) and (5) are subject to additional provisions and specify restrictions on the combination of reviewers.

 

II. Admission to a Doctoral Degree

Section 6: Admission Requirements

(1)1The candidate must present proof of a degree specified in the FPromO.
2Additional subject-specific qualifications may be specified in the FPromO.
3The FPromO also regulates if and to what extent the bodies responsible can make exceptions to the prerequisites specified in sentences 1 and 2. 4If all other requirements stipulated in these doctoral regulations and the applicable FPromO are met, the respective bodies responsible may provisionally admit candidates with an outstanding undergraduate degree to a doctoral degree for a trial period provided the candidate can be proven to have considerable academic potential, for example from being involved in international doctoral degree programmes with an emphasis on excellence, or in collaborations focusing on research or
training and personal development. 5The FPromO may either stipulate further requirements for provisional admission or rule out the possibility of provisional admission entirely. 6Before the doctoral procedure is commenced, the respective bodies responsible shall come to a binding decision concerning the admission of the candidate, taking sentences 1 to 3, the requirements stipulated in these doctoral regulations and the applicable FPromO into consideration.

(2)1To determine the equivalence of degrees awarded by foreign universities, the equivalence agreements passed by the Standing Conference of the Ministers of Education and Cultural Affairs and the German Rectors’ Conference shall apply. 2The Central Office for Foreign Education shall be consulted in matters of uncertainty. 3In cases to which sentence 2 applies and other cases in which equivalence has not yet been finally determined but in which a positive response from the Central Office for Foreign Education or the respective bodies responsible is to be expected, admission may be granted before the final decision regarding equivalence is passed, subject to the proviso that the degree
is recognised as equivalent. 4If the degree is not recognised as equivalent, the provisional notice of admission shall be withdrawn and shall cease to apply.

Section 7: Qualifying Examination

(1) 1The FPromO stipulates under which circumstances candidates who have not obtained a required degree according to Section 66 (1) in conjunction with the FPromO or whose degree is not considered as equivalent according to Section 66 (1)(3) in conjunction with the FPromO may be admitted to a doctoral degree if they have passed a qualifying examination. 2The FPromO may also stipulate that candidates with a degree in a different subject have to take a qualifying examination. 3The FPromO shall specify the type and scope of the qualifying examination.

(2) 1The application for admission to the qualifying examination shall be made in writing to the bodies responsible. 2The documents listed in Section 8 (2) shall be submitted with the application. 3The doctoral candidate shall declare in writing whether they have previously completed a qualifying examination in the same subject and the examination result. 4The FPromO may specify that additional documents or declarations must be submitted.

(3) 1The bodies responsible decide whether the candidate shall be admitted to the qualifying examination. 2Admission shall not be permitted if the candidate does not meet the admission requirements according to subsection 1 or the candidate has not submitted the documents and declarations in their entirety as required by subsection 2.

(4) If the candidate withdraws from the qualifying examination after admission, the qualifying examination shall be considered as failed, unless the bodies responsible accept valid and credible reasons submitted immediately in writing by the candidate for extenuating circumstances.

(5) If the candidate fails the qualifying examination, the candidate may resit the examination once.

Section 8: Admission to a Doctoral Degree

(1) A written application for admission to a doctoral degree must be submitted to the bodies responsible after registering online.

(2) 1The application must include the following documents and declarations:

1. A CV in German with details of the candidate’s educational background. The FPromO may permit submission of CVs in other languages;

2. Certificates of all previous university degrees;

3. Academic records such as diploma supplements, transcripts of records and certificates as proof of successfully completed studies;

4. Confirmation from the supervisor including details of the subject area and the proposed thesis title;

5. Declaration that the candidate has not previously failed the doctoral examination for the pursued doctoral degree at the final attempt;

6. Declaration whether the candidate has already passed a doctoral examination for the pursued doctoral degree;

7. Declaration that the current versions of the German Research Foundation recommendations on safeguarding good scientific practice and FAU guidelines on safeguarding good scientific practice have been read and understood and that the respective provisions will be complied with during the procedure;

8. Declaration of whether the doctoral proposal has been commissioned for a fee and by whom. Commissioned doctoral proposals must be accompanied by confirmation from the supervisor that supervision was agreed in awareness of the commission and that no payments or non-cash benefits were offered or accepted for the commission.

2The submission of additional documents may be stipulated by the FPromO. 3In the event that admission has already been granted provisionally, it is sufficient to submit the provisional offer of a place together with the missing or – in the case of any differences to the application for provisional admission – updated documents.

(3) If the candidate cannot submit the required documents according to subsection 2, the bodies responsible may permit certification to be submitted in another form.

(4) 1The bodies responsible shall admit the candidate to the doctoral degree if the admission requirements are fulfilled according to Section 6 or the candidate has passed the qualifying examination and there are no grounds for refusal. 2Admission shall be refused if:

1. The subject area of the doctoral proposal is not represented at the faculty applied to,

2. The documents submitted according to subsection 2 are incomplete and alternative certification according to subsection 3 cannot be provided,

3. The candidate has failed a doctoral examination for the pursued doctoral degree at the final attempt,

4. The criteria for revoking a doctoral degree according to Section 69 (1) BayHschG would be met.

3Admission may be made subject to conditions which shall be specified in the FPromO.

(5) Admission to a doctoral degree obtained for passing the qualifying examination is restricted to a specific subject.

(6) 1If the doctoral proposal is withdrawn before initiation of the doctoral procedure according to Section 99, it will be considered as failed. 2All those involved in this specific doctoral proposal shall be informed accordingly in the event of a withdrawal.

 

III. The Doctoral Procedure

Section 9: Initiation of the Doctoral Procedure

(1) Initiation of the doctoral procedure is subject to prior admission according to Section 88 (44).

(2) 1The application for initiation of the doctoral procedure must be submitted in person to the Office of Doctoral Affairs. 2The following documents must be submitted with the application for initiation of the doctoral procedure:

1. Current CV according to Section 88 (2)(1)(1);

2. Agreement of the supervisor for initiation of the doctoral procedure;

3. Thesis pursuant to Section 1010 in the number of hard copies stipulated by the bodies responsible, but at least one hard copy and one machine-readable copy in the format prescribed by the bodies responsible;

4. Certificate of good conduct, no older than three months;

5. In the case of admission subject to conditions (according to Section 88 (4)(3)), proof of fulfillment of the conditions;

6. Completion and current list of all academic publications;

7. Declaration of whether the doctoral title should be awarded in the German masculine or feminine form.

3The candidate must confirm on submission of the application that the thesis and the academic achievements documented in it were produced independently and without unauthorised assistance and that the hard copy corresponds to the machine-readable version. 4The following declarations shall also be submitted in writing:

1. The thesis has not been presented to another examining body, neither in full nor partially.

2. The doctoral examination for the pursued doctoral degree has not been failed before at the final attempt.

3. All sources and materials as well as portions of text that were cited from other works verbatim or in paraphrased form are designated as such.

4. The thesis may be stored electronically and used in order to verify citations. Digital aids, in particular plagiarism-detection software, may be used to check for plagiarism.

5. The candidate is aware that the doctoral title may only be used after the certificate is received and that the rights gained shall be revoked if the required copies are not submitted on time.

5The FPromO may specify that additional documents or declarations must be submitted.

(3) 1The bodies responsible shall ensure that the doctoral procedure is conducted appropriately. 2A decision must be reached on the candidate’s application within one month. 3The initiation of the doctoral procedure shall be refused if the required documents according to subsection 2 are incomplete or if grounds for refusing admission according to Section 88 (4)(2) have become apparent.

(4)1The application for admission to initiation of the doctoral procedure may be withdrawn with due cause and with the permission of the bodies responsible, provided not all evaluations have been submitted. 2In such cases, the thesis shall be considered as not submitted.

Section 10: Requirements for the Thesis

(1) The written component of the doctoral degree generally comprises one independently written, academic monograph demonstrating the ability of the candidate to examine questions in scientific research in a methodologically sound manner, solve problems independently and present research in an appropriate form (thesis).

(2) 1The thesis must not be identical to an earlier final paper or any published essay but may expand upon existing research. 2Parts of the thesis may be pre-published, insofar as this is declared at the initiation of the doctoral procedure and noted in the thesis. 3Section 7 (3)(2) GWP regulations shall apply accordingly. 4In the event of a breach, the decision as to the consequences under examination law will lie with the appropriate bodies responsible; in particular, the thesis can be returned for revision. 5Repeated or serious breaches may be classed as equivalent to plagiarism and the thesis rejected as a result, irrespective of the evaluations submitted. 6Candidates shall be responsible for confirming that contractual agreements involving copyright do not prohibit publication during the doctoral procedure; the bodies responsible are entitled to request evidence that the candidate has performed this duty.

(3) 1The FPromO shall regulate whether and under which conditions a series of essays which have previously been published in reputable scientific journals or accepted for publication (cumulative thesis) can be accepted in the place of a thesis or whether another form of written doctoral research can be submitted. 2If co-authored contributions are included in a written thesis within the meaning of sentence 1, the candidate must clearly indicate which parts of the thesis constitute their own work. 3The candidate shall provide written confirmation of their authorship as well as the authorship of co-authors.

(4) The form of the thesis title page is specified in the Appendix.

(5) 1The thesis must be written in German unless agreed otherwise. 2The thesis must include a table of contents, a German title and a comprehensive abstract in German. 3Written confirmation is required from the supervisor for the thesis to be written in English. The thesis may be written in other languages with prior agreement from the bodies responsible, provided that the review can also be conducted in this language. 4A thesis written in a foreign language shall be provided with a table of contents, a title and an abstract written in the language admitted pursuant to sentence 3. In addition, the thesis must include a comprehensive abstract in German as well as a German translation of the title in the foreign language. 5The thesis shall be bound and submitted in a form ready for publication with page numbers. 6A complete bibliography and list of other resources must be submitted with the thesis.

Section 11: Evaluation, Acceptance and Refusal of the Thesis

(1) The bodies responsible shall appoint two reviewers according to Section 55 (3).

(2) 1The reviewers each produce a written evaluation of the thesis, award a grade according to the scale specified in the FPromO and recommend the acceptance or refusal of the thesis. 2The evaluations should be presented within three months. 3The FPromO can shorten the review deadline specified in sentence 2 and stipulate further conditions for the evaluations.

(3) 1The bodies responsible can appoint an additional reviewer from the persons named in Section 55 (3), if the grades awarded in the first and second evaluation differ by more than one grade level. 2The FPromO may include further provisions stipulating when further evaluation shall be deemed necessary.

(4) 1If all reviewers suggest that the thesis should be accepted, the thesis shall be displayed publicly within the faculty with all evaluations and documents according to Section 99 (2). 2All University lecturers who are full-time members of the faculty, all professors on leave and all retired professors who have been members of the faculty (eligible parties) are entitled to view the thesis on display; the FPromO may name other eligible parties. 3The eligible parties must be notified that the thesis has been displayed and for how long it will be available, the minimum display period being two weeks. 4The thesis may also be displayed electronically; in this instance, suitable measures shall be taken to protect the thesis and the other documents pursuant to sentence 1 from unauthorised access and transfer. 5Within the display period, the eligible parties are entitled to submit a statement evaluating the thesis to the bodies responsible; the reasons for this statement must be given in writing within two weeks. 6If a statement recommends refusal of a thesis according to sentence 5, the bodies responsible shall decide if the thesis is to be accepted, refused, or handed back to the author for revision. 7The bodies responsible can request an additional evaluation before making this decision. 8If a statement of rejection is not received within the period specified in sentence 3, the thesis shall be considered as accepted and the procedure shall continue. 9The bodies responsible may accept the thesis subject to conditions.

(5)1If all reviewers suggest that the thesis should be rejected, the bodies responsible shall decide whether the thesis is refused or handed back to the author for revision. 2If the bodies responsible decide to reject the thesis, the examination shall be considered as failed and the procedure is ended.

(6) 1In any circumstances other than those described in subsection 4(1) or subsection 5(1), the bodies responsible decide based on the reviews whether the thesis is handed back to the author for revision, refused, or whether the procedure of displaying the thesis according to subsection 4(2) et seq. should continue; subsection 4 (8) shall not apply in this case. 2The bodies responsible can request an additional evaluation before making this decision. 3If the bodies responsible decide to reject the thesis, the examination shall be considered as failed and the procedure is ended.

(7) 1If the thesis is returned to the author for revision, the candidate can submit their revised thesis within a period of one year. The revised thesis is generally evaluated by the same reviewers. 2Further revisions of the thesis shall not be permitted. 3If the thesis is not resubmitted by the deadline, the examination shall be considered as having been failed at the final attempt.

(8) The candidate can reapply for admission to the doctoral procedure with a thesis on a new subject once only within one year of the rejection of their thesis.

Section 12: Oral Examination

(1) 1If the thesis is accepted, the candidate is admitted to the oral examination. 2The candidate must be admitted to the oral examination at least one week before the examination date. 3The bodies responsible must appoint the members of the examining committee if not already specified in the FPromO and inform the candidate. 4If an oral examination covers several subject, an examiner shall be appointed for each subject.

(2) 1The FPromO shall specify the type and scope of the oral examination. 2The FPromO shall also regulate which part of the oral examination entitled parties of the Faculty (Section 111 (4)(2)) may attend as listeners, and may permit a wider audience.

(3) 1A transcript of the examination must be produced containing the topic and the results of the oral examination, listed by subject if necessary. 2If an oral examination is held using audiovisual telecommunication technology pursuant to Section 12a, this shall be referred to in the transcript.

(4) 1The oral examination is passed when the candidate has achieved the grade ‘rite’ or ‘sufficient’ in every part of the oral examination. 2The examination is failed if the candidate does not attend the examination on the examination date without due reason; the bodies responsible shall take this decision. 3The reasons according to sentence 2 shall be explained in writing and shown credibly to the bodies responsible without delay. 4If the reasons are accepted, a new date shall be set. 5In case of an inability to sit the examination occurring before or during the examination, the examining committee shall be notified immediately. 6In cases where the student is unable to sit an examination due to illness, the student shall be required to submit a doctor’s certificate; a certificate from an official medical examiner may be requested.

(5) 1After the oral examination, the chairperson of the examining committee informs the candidate of the grade achieved in the oral examination. 2If the candidate fails the examination or the examination is considered as failed, the bodies responsible shall inform the candidate in writing to this effect and provide details of the further procedure and deadline for resitting the examination if this is permitted.

(6) 1The oral examination shall be adjusted to take into account the nature and extent of a student’s physical disability proven with a doctor’s certificate or other suitable means of proof. 2The oral examination cannot be dispensed with, nor may the form of the examination be altered in such a way as to avoid the oral examination. 3The decision concerning any suitable compensation for disadvantages shall be taken by the chairperson of the examining committee. 4The decision shall be communicated to the candidate in good time before the oral examination.

Section 12a: Use of Audiovisual Telecommunication Technology

(1) 1The FPromO may stipulate that the oral examination is to be conducted using audiovisual telecommunication technology in accordance with the following paragraphs if agreed beforehand with the candidate. 2Agreement shall be obtained in good time before the oral examination and shall be granted in writing; this shall be included in the examination records.

(2) 1No more than one member of the examining committee, with the exception of the chairperson and under all circumstances the candidate, may participate in the oral examination using audiovisual telecommunication technology. 2The reasons for being unable to attend in person must be substantial and evidence must be provided to the chairperson of the examining committee if they are not self-evident. 3The chairperson of the examining committee shall decide whether the submitted reasons are to be accepted or not, the essence of the decision shall be included in the examination records. 4Before the oral examination commences, suitable measures shall be taken to confirm the identity of the member of the examining committee who cannot attend in person.

(3) 1Suitable technical measures shall be implemented to ensure that the chosen transmission method will guarantee audiovisual communication between everyone involved in the oral examination without interruption. In particular, it must be ensured that the member who is present at another location can immediately and directly see and hear the candidate and all other participants and be able to follow how the examination is progressing at all times. 2Transmission methods allowing a broadcast to a wider audience than that permitted in accordance with these RPromO or the FPromO are not allowed. 3The transmission shall be protected against unauthorised access using suitable technical procedures.

(4) 1Oral examinations in accordance with these regulations shall generally be held in the premises of FAU allocated for such purposes in order to ensure suitable infrastructure. 2The member of the examining committee attending from another location shall attend the premises of another university or other academic institute offering infrastructure which is at least equivalent to that available at FAU for the duration of the oral examination. 3The chairperson of the examining committee shall immediately raise an objection if the location which is chosen is not suitable for the occasion; if the situation can be remedied at short notice, the oral examination shall be interrupted, if not, the oral examination shall be continued with the substitute member pursuant to subsection 5.

(5) 1An additional member shall be appointed to the examining committee for oral examinations pursuant to this clause (substitute member). 2This member shall attend the examination from the beginning, but is not entitled to participate actively in the oral examination unless and until the case stipulated in sentence 3 arises. 3In the event that a connection cannot be made, the connection is terminated or interrupted for a considerableamount of time or the transmission is seriously interrupted for any other reason, the substitute member shall take the place of the originally intended member, assuming all rights and obligations, until the end of the examination after a decision to this effect is taken by the chairperson of the examining committee. 4If the connection is reinstated, the original member is not authorised to resume participation in the oral examination.

(6) The oral examination may not be recorded, saved or reproduced using audio or video recordings or in any other manner.

Section 13: Resitting the Oral Examination

(1) 1If the candidate has failed the oral examination or the examination is considered as failed, the candidate can apply to resit the examination once only and one month after the examination at the earliest. 2The resit examination must be taken within one year. 3If the candidate has not achieved the grade ‘rite’ (sufficient) in only one subject in an examination with several subjects, only the failed subject shall be repeated in the resit. 4The candidate can apply for the bodies responsible to reduce the resit period or extend the resit period if the candidate must resit the examination due to extenuating circumstances.

(2) 1If the candidate fails the resit of the oral examination or the examination is considered as failed, the doctoral procedure is considered failed. 2The oral examination shall not be repeated a second time.

Section 14: Results of the Doctoral Procedure, Notification

(1) 1The doctoral examinations are passed when the thesis has been accepted and the oral examination has been passed. 2The overall grade of the doctoral degree is defined by the bodies responsible from the grade scale in the FPromO taking the weighted individual grades and statements from entitled parties according to Section 11 (4)(5) into account.

(2) The bodies responsible may declare the doctoral examination failed if the candidate is involved in an act of deception or engages in significant misconduct during the oral examination.

(3) 1The candidate shall be notified of the results of the doctoral procedure including all individual grades. 2This notification does not entitle the candidate to assume a doctoral title.

Section 15: Publication of the Thesis and Submission of Mandatory Copies

(1) After passing the oral examination the candidate shall be obligated to have the version of the thesis as accepted by the bodies responsible printed or photocopied and distributed at their own expense and under observation of all conditions.

(2) The thesis must be marked as coming from FAU; the original title of the thesis shall be included at a suitable position if the thesis is published under a different title.

(3) 1Before publication, the candidate must submit the final version of the thesis in machine-readable form and the manuscript to the supervisor. 2The supervisor shall release the final version of the thesis for publication if all conditions in Section 111 (4)(9) are fulfilled.

(4) 1The final, approved version of the thesis shall be submitted to the University Library in one of the following publication forms:

1. Six copies if the thesis is published as a complete book by a commercial publisher as a book with an ISBN and the publisher confirms a minimum circulation of 150 copies if demand is sufficient, or

2. Six copies if the complete thesis is published by FAU University Press, in print or electronically, or

3. A machine-readable copy of the thesis in an electronic format specified by the University Library; if the thesis is submitted electronically, the candidate grants the University the right to copy, electronically transmit and convert the thesis into other formats within the scope of its official business.

2In the case of a cumulative thesis pursuant to Section 10 (3) in conjunction with the respective FPromO, the obligation to publish pursuant to sentence one does not apply to individual articles which have been accepted for publication and are currently in print and those which have already been published in electronic journals. 3The FPromO may stipulate that texts have to be provided as a framework to the individual articles in a cumulative thesis, providing an introduction, outlining the connection between the publications and / or explaining how the results should be seen in the context of the subject. If this is the case, it is sufficient for such texts to be published with a reference to the individual articles which have been published. 4FPromO WW may stipulate provisions deviating from sentences 1 to 3 for essay-based dissertations pursuant to Section 10 FPromO WW.

(5) 1The candidate must submit the mandatory copies within a year of passing the oral examination. 2The deadline of one year may be extended once only to a maximum of one additional year in extenuating circumstances by the candidate’s written request to the bodies responsible before the deadline is reached. The FPromO may permit further extensions of the deadline. 3If the candidate fails to meet the deadline, all rights and privileges granted by passing the examination shall be withdrawn.

(6) 1In the case of subsection 4 (3), the body responsible pursuant to the FPromO may also deem the requirements pursuant to subsection 1 to have been met if there is a delay in the thesis being made available to the public due to a pending patent application or to publication in a scientific journal. 2The prerequisite is that the submission requirements stated in subsection 4 are met entirely, the latest date of publication is clearly stated in the non-disclosure notice pursuant to subsection 7 and the thesis can be published independently by the University Library.

(7) 1Using a form issued by the University Library, the applicant and supervisor can apply to the body responsible pursuant to the FPromO for a non-disclosure period of up to one year and have it extended for a further year at a time in the same way. 2The notice of approval shall be submitted to the University Library together with the contract of publication.

Section 16: Completion of the Doctoral Degree

(1) 1The doctoral procedure is completed when all of the requirements are fulfilled and the candidate has been awarded a doctoral degree certificate. 2The graduate may only assume the doctoral title after receiving the doctoral degree certificate.

(2) 1The doctoral degree certificate confirms completion of the doctoral degree and includes the title of the thesis, the date of the oral examination and the overall grade. 2The doctoral degree certificate shall be signed by the President of FAU and a member of the faculty of study specified in the FPromO. 3The form and content of the certificate are specified in the FPromO.

(3) 1The doctoral degree certificate may be issued provisionally with the agreement of the bodies responsible before submission of the mandatory copies if Section 15 (4)(3) and (4)(4) apply and it is proven that the thesis will be published by a recognised academic publisher, the University Press or as part of a scientific collection or series. 2The deadline for submitting mandatory copies of the thesis according to Section 15 (5) shall remain unaffected.

 

IV. Honorary Doctoral Degrees

Section 17: Honorary Doctoral Degree Certificates

(1) 1The bodies responsible can award an honorary doctoral degree for worthy and extraordinary academic achievements. 2The FPromO governs this topic in more detail.

(2) 1The President of FAU, the dean of the faculty or the speaker of the school award honorary doctoral degrees to the recipients at an awards ceremony. 2The honorary doctoral degree certificate shall bear the extraordinary academic achievements of the individual.

 

V. Cooperation with Universities of Applied Sciences and Art Schools

Section 18: Cooperative Doctoral Degrees / Joint Doctoral Degrees

(1) 1Section 64 (1)(4) BayHschG permits the bodies responsible to appoint professors from a university of applied sciences (“Fachhochschule”) or art schools (“Kunsthochschule”) as a reviewer or supervisor within the context of a cooperative doctoral degree. 2Supervisors of doctoral research must be able to guarantee continuous academic supervision throughout.

(2) 1Subsection 1 shall apply accordingly for joint doctoral degrees. 2Further details are stipulated in a cooperation agreement.

(3) All decisions and measures to be taken within the framework of the above-mentioned procedure must reflect the importance of FAU as the institution entitled to award the doctoral degree.

 

VI. Doctoral Degrees in Cooperation with Foreign Universities

Section 19: General

(1) 1The doctoral degree can be jointly supervised in cooperation with an international university entitled to award a doctoral degree (partner institution). 2This requires that:

1. An agreement has been concluded concerning joint international supervision of the doctoral research, including a stay of at least six months in the partner institution and

2. The candidate is admitted to a doctoral agree according to Section 88 and is qualified under the relevant regulations of the partner institution for admission to a doctoral degree.

(2) 1The thesis can be submitted to FAU or the partner institution. 2The thesis shall be graded according to the regulations of the institution which the thesis has been submitted to. 3The partner institution shall award an equivalent grade as specified in their doctoral regulations.

(3) 1In the event of a cooperation project involving several international institutions, several partner institutions may share responsibility for supervising and conducting the doctoral procedure, provided the prerequisites stipulated in subsection 1 are met by all partner institutions. 2Subsection 2 and Sections 20 to 22 shall apply accordingly; in particular, the exact extent to which the individual institutions are involved in the procedure and the applicable provisions must be stipulated explicitly in the agreement pursuant to subsection 1(2). 3All involved institutions shall be included in the examination procedure.

Section 20: Examination Procedure at FAU

(1) 1If the thesis is submitted to FAU, it shall be examined by a supervisor according to Section 55 (2) and a qualified member of the partner institution. 2The full details of joint supervision are specified in the agreement according to Section 19 (1)(2)(1).

(2) If the thesis is accepted according to Section 111, the thesis shall be submitted to the partner institution for agreement on continuing the doctoral procedure. 2If the partner institution accepts the thesis, the oral examination shall take place according to Section 122. 3To this end the bodies responsible shall appoint to the examining committee at least one examiner qualified according to the regulations of the partner institution.

(3) If the thesis is accepted at FAU but rejected by the partner institution, the cooperation shall end and the doctoral procedure shall continue according to these regulations.

(4) Publication of the thesis and submission of the mandatory copies of the thesis are governed by Section 15 and specific agreements made according to Section 19 (1)(2)(1).

Section 21: Examination Procedure at the Partner Institution

(1) 1If the thesis is submitted to the partner institution, it shall be supervised by a qualified member of the partner institution and a supervisor according to Section 55 (2). 2The doctoral regulations of the partner institution shall apply to this procedure. 3The full details of joint supervision are specified in the agreement according to Section 19 (1)(2)(1).

(2) 1If the thesis is accepted by the partner institution, it shall be submitted to the bodies responsible at the FAU faculty in order to agree on the continuation of the procedure. 2If the bodies responsible agree to continue, the oral examination shall take place at the partner institution according to their doctoral regulations. 3The agreement according to Section 19 (1)(2)(1) must stipulate that the supervisor from FAU must belong to the examining committee for the oral examination. 4In certain exceptional cases, the provision in sentence 3 can be waived by stating that another person eligible to be an examiner pursuant to the provisions of the respective FPromO can be appointed an examiner instead of the supervisor.

(3) 1If the thesis is accepted by the partner institution but refused by the bodies responsible at FAU, the cooperation shall end. 2The doctoral procedure may continue according to the doctoral regulations of the partner institution.

(4) 1Publication of the thesis and submission of the mandatory copies are subject to the doctoral regulations of the partner institution. 2The agreement according to Section 19 (1)(2)(1) specifies how many mandatory copies shall be submitted to FAU. 3At least one copy of the thesis must be included with the examination records. 4The faculty reserves the right to only issue the doctoral degree certificate according to Section 22 once this copy has been presented.

Section 22: Joint Doctoral Degree Certificate

(1) 1After the joint doctoral procedure, the awarding faculty at FAU and the partner institution will issue a joint doctoral degree certificate certifying that the doctoral degree was awarded under joint supervision. 2The joint doctoral degree certificate shall bear the signatures and seals as specified in these doctoral regulations and the equivalent regulations of the partner institution.

(2) Individual certificates may be awarded by the awarding faculty at FAU and the partner institution instead of a joint certificate, providing that the individual certificates state that they are part of a joint doctoral degree certificate.

(3) The joint doctoral degree certificate shall state that the graduate is entitled to assume the doctoral title according to Section 3 (1) in Germany and assume the equivalent doctoral title in the foreign country.

(4) 1Further details on the format of the certificate are regulated by the agreement according to Section 19 (1)(2)(1). 2Equivalent grades are also defined in this agreement. 3The equivalent foreign grade shall be noted and indicated clearly on the joint doctoral degree certificate.

 

VII. Invalidity and Revocation of Doctoral Degrees

Section 23: Invalidity of Doctoral Examinations

(1) If it becomes apparent that the candidate did not fulfil the admission requirements after admission to a doctoral degree or that the candidate had unauthorised assistance, was involved in an act of deception or committed significant misconduct with respect to academic standards, the bodies responsible can declare the examination as having been failed and the doctoral degree invalid.

(2) 1If there is due reason to suspect scientific misconduct pursuant to (1) or Section 8 Regulations for Safeguarding Good Scientific Practice and Dealing with Scientific Misconduct (hereinafter GWP regulations), the bodies responsible will immediately call for an investigation as set forth in Section 14 GWP regulations (ombudsman proceedings). 2The bodies responsible and the Executive Board of the University shall be informed of the status of the proceedings (ombudsman proceedings, initial analysis, formal investigation pursuant to Sections 14, 15, 16 GWP regulations) and of the final outcome.

(3) 1If the Committee for the Investigation of Scientific Misconduct considers that scientific misconduct has been proven, the President shall forward the report including all recommendations (Section 16 (5)(1) and (2) GWP regulations) to the bodies responsible. The date the report is received shall be recorded. 2The bodies responsible shall recommend which decision should be taken. 3They are entitled to take suitable measures, in particular obtaining further reviews from university lecturers experienced in supervising doctoral research in a relevant subject. 4These reviews must include a recommendation for which decision should be taken. 5The reviewer is entitled to inspect examination records. 6Before starting their evaluation, reviewers shall declare that they will act with all due professional care and diligence, unless they have already submitted a declaration to this effect as an office holder or public servant.

(4) 1After being requested to do so or after the bodies responsible have completed investigations and are ready for a final decision to be made, the Faculty Council shall generally make a decision pursuant to subsection 1 within a period of three months. 2The Faculty Council is not bound to previous recommendations. Subsection 3 sentences 3 to 6 shall apply accordingly. 3The Committee for the Investigation of Scientific Misconduct shall be informed of the result.

(5) 1In exceptional cases, for example in the event of obvious breaches of recognised principles of good scientific practice or in cases in which the person concerned admits to the allegations, at the suggestion of the bodies responsible and with the approval of the President, the Faculty Council can make a decision pursuant to subsection 1 without waiting for the results from other people or committees involved in the investigation. 2In this instance, the Faculty Council shall obtain at least one evaluation from a University lecturer who is not a member of FAU. This requirement can only be waived if approved by the President. 3The Committee for the Investigation of Scientific Misconduct shall be informed of the choice of procedure according to this paragraph and the results of the investigation.

(6) 1The person concerned shall be notified in good time and given the opportunity to make a statement before a decision is taken pursuant to subsection 1. 2Before making the statement, he or she shall be given appropriate access to any evaluations which have been submitted. 3Before a decision is taken, the chairperson of the bodies responsible shall be given the opportunity to make a statement before the Faculty Council and on the evaluations. 4The chairperson of the Committee for the Investigation of Scientific Misconduct or individual members appointed by the Committee shall attend the meetings of the Faculty Council required under this provision in an advisory capacity.

(7) The President shall be responsible for informing the public about the investigation and the result and for answering any queries, in consultation with the respective Faculty, whilst complying with valid data protection provisions.

(8) If the decision pursuant to subsection 1 means that the examination has not been passed and the awarded doctoral degree is declared invalid, any doctoral degree certificate which has been awarded shall be returned immediately.

(9) 1The decision to revoke the doctoral degree shall be made within one year of the report from the Committee for the Investigation of Scientific Misconduct being submitted to the bodies responsible as set forth in subsection 3(1). 2This shall not apply if new facts or evidence arise at a later date which would justify a significantly different decision being taken if considered alone or in combination with the evidence collected earlier or if so required by the gravity of the breach or the complexity of the procedure, whilst taking the legitimate interests of the person concerned into consideration. 3The Faculty Council in consultation with the Executive Board of the University shall be responsible for deciding the legal consequences or making a decision to re-open the procedure or return the procedure to a previous status pursuant to these provisions.

Section 24: Revocation of Doctoral Degrees

The revocation of doctoral degrees shall be governed by Section 69 BayHSchG.

 

VIII. Concluding Provisions

Section 25: Legal Validity and Transitory Provisions

(1) 1These General Doctoral Regulations shall come into effect the day after their publication. 2The regulations shall be applied according to subsection 2 as soon as the relevant Faculty Doctoral Regulations come into effect.

(2) 1These doctoral regulations shall be valid according to subsection 1 in conjunction with the relevant FPromO for all doctoral proposals submitted according to Section 88 (1) after these RPromO have come into effect. 2The FPromO regulates under which conditions the existing doctoral regulations shall be applied to doctoral proposals which have already been submitted or if these proposals shall be subject to the new doctoral regulations. 3If the new General Doctoral Regulations and Faculty Doctoral Regulations cause unintended hardship, the bodies responsible can apply the existing doctoral regulations on request.

(3) Any changes to these General Doctoral Regulations require agreement from the Faculty Council of all Faculties.

(4) The General Doctoral Regulations and the Faculty Doctoral Regulations should be reviewed at appropriate intervals in light of actual experiences, subject-specific developments and academic standards and be revised according to any changes in legislation.

(5) 1The third amendment statute shall come into effect on the day after its publication. 2It shall apply to all doctoral proposals for which an application for admission is submitted pursuant to Section 8 (1) after the third amendment comes into effect. 3Candidates whose doctoral procedures have already been admitted but have not yet been initiated by the date the third amendment comes into effect may complete the doctoral procedure according to the previously valid version of the RPromO from 10 October 2017 if they inform the respective Office of Doctoral Affairs in writing by 30 June 2019 at the latest. 4Sentences 2 and 3 notwithstanding, the possibility to publish stipulated in the previous Section 15 (4) no. 1 (20 complete copies, printed or photocopied) for essay-based theses pursuant to Section 10 (3) in conjunction with Section 10 FPromO WW shall continue to apply until FPromO WW is amended within the meaning of Section 15 (4) sentence 4 (new), subject to the proviso that 10 copies have to be submitted. 5The continued validity pursuant to sentence 4 shall apply until 31 December 2021 at the latest.

 

Appendix

Template for Thesis Title Page

1st page

Thesis topic
X Faculty / X School

Friedrich-Alexander-Universität Erlangen-Nürnberg
for
the doctoral degree Dr. …
submitted by
(candidate’s full name)
born in (place of birth)

2nd page

Thesis accepted by …
(Faculty) / (School)
Friedrich-Alexander-Universität Erlangen-Nürnberg
Oral examination date:

Chair of examining committee: Prof. Dr.

Reviewer:
Prof. Dr. *
Prof. Dr. *

 

 

*Only for the published version