Process to the Dissertation

Presentation

At many institutes, it is common to give a presentation on the content of the dissertation, for example, during the semester before the planned submission, as part of a doctoral seminar. At some institutes, the intended second referents from the faculty and other interested parties are also invited to this presentation. In such cases, the invitation/announcement for this doctoral seminar should be sent out in a timely manner so that the Dean and colleagues can attend as well.

Co-Referents (Korreferenten / Zweitgutachter)

The supervisor should propose suggestions for co-referents (second reviewers / second examiners). If necessary, the doctoral candidate should discuss these with the supervisor and jointly develop a proposal for the examination committee. The co-referents may come from the same institute, but also from a different university. However, the four members of the examination committee must come from three different institutes.

Initiating the Doctoral Procedure

The request for initiating the doctoral procedure must be submitted no later than two weeks before the faculty board meeting at which the doctoral procedure shall be initiated. The recipient is the dean of the Department of Economics and Management. This means that the application must be submitted to the dean's office. Registration with the student office is carried out by the dean's office.

Please note:

  • use a private letterhead for the cover letter [RTF] and do not use institutional letterhead.
  • The cover letter should mention which teaching and research area of the department the dissertation is associated with (a list is available here), e.g., for AIFB, generally "Applied Informatics" applies.

According to §13, the following must be attached:

  • documents required for the recognition of admission requirements (§4):
    • (unofficial) copy of the master / diploma certificate and transcript, as well as the decision on the recognition of the equivalence of the degree (if applicable)
    • high school diploma (this requirement is often waived for former KIT master students),
    • admission as a doctoral candidate (recently no longer requested),
  • attachments from the application for registration as a doctoral candidate (§11):
    • CV [RTF] in tabular form, including a description of the educational background
    • doctoral Certificate, if a Doctorate has already been awarded, 
  • printed dissertation in four copies (additionally one electronic copy per printed copy) (see below Dissertation; may also be submitted later)
    • dissertations can be written in German or English. For other languages, justification and approval by the faculty board and the referents are required (§12). The approvals must be attached 
  • affidavits (eidesstattliche Versicherungen) (according to Appendices 2, 3, and 4b)
  • complete publication list [RTF] (ideally divided into reviewed and other publications)
  • indication of the intended doctoral degree (already included in the doctoral agreement).

Additionally, the following should be included:

  • summary of the dissertation (see Summary; may be submitted later along with the printed copies of the dissertation)
  • statement from the first referent indicating their willingness to supervise the dissertation (recently no longer required).
  • According to the 2006 doctoral regulations, the following were also required:
    • proof of trustworthiness: for KIT employees, a copy of the employment contract, and for candidates not employed at KIT, a certificate of good conduct (Führungszeugnis),
    • declaration regarding previous doctoral candidatures [RTF] (now included in the affidavit)
    • declaration about the tools used [RTF] (now included in the affidavit). 

Summary

At the same time, a one-page summary [RTF] (one printed copy and one electronic version in PDF or Word format) must be submitted to the dean's office, which will be sent out with the invitation to the faculty board meeting. The summary should include the title of the work, the name and institute of the author, and ideally, a section at the end in the following form: "Die Arbeit ist unter Betreuung von Prof. Dr. B. Etreuer am Institut ABC des Karlsruher Instituts für Technologie (KIT) entstanden und in xxx Sprache verfasst. Dr. rer. pol./Dr.-Ing. ist der angestrebte Doktorgrad." (can also be in English, e.g., "The work was completed under the supervision of Prof. Dr. B. Etreuer at the ABC Institute of the Karlsruhe Institute of Technology (KIT) and iss written in [language (German/English)]. Dr. rer. pol./Dr.-Ing. is the intended doctoral degree."). The summary should clearly highlight what is novel in the dissertation. The summary is a separate document and is not part of the bound dissertation. Copies of the other documents can also be submitted to the dean's office to simplify the process. It is also recommended to informally notify the dean's office about the names of the (internal and external) co-referents.

Dissertation

At least 10 days before the faculty board meeting, a minimum of four bound copies of the dissertation (for the dean's office, the referent(s), and the additional member) must be submitted: one copy to the dean's office and one copy to each reviewer. Additionally, a digital version should be sent to the dean's office. After consulting with the dean's office, it may be possible to submit the copies later (at least 3 days before the faculty board meeting). The bound copies are generally in size DIN A4.

Please note:

  • Important!!! On the title page [RTF], the co-reviewer should not yet be named, and it must say "submitted dissertation" and not "approved dissertation"! Furthermore, no logos should be used on the title page!
  • For binding, use cold glue binding, not spiral binding!
  • The affidavit (according to Appendix 2) should be bounded into the dissertation!

Further Proceeding

1. In the faculty board meeting, the doctoral procedure is initiated, and the referents and examiners are determined.

2. After the faculty council meeting, the referents will write their assessments. It may be possible to provide them with a preliminary copy of the dissertation before the faculty board meeting. The dean's office will then inform all professors of the department that the dissertation and the assessments are on display, and will also announce the date of the oral examination. The dissertation and the assessments must be on display for at least two weeks. Interactive negotiation skills of the stressed doctoral candidate are advantageous for solving the often difficult problem of finding a date that works for all referents, the examiner, the dean (or their deputy), and the candidate.

3. Once the oral examination is completed, the process is finished. The examination usually takes place during the lecture period but has been allowed to occur during the semester break since 2017. On the scheduled day, ensure that everything is organized (e.g., pick up the key for the examination room from the dean's office, make sure the projector works, etc.). The examination is generally conducted in German, even if the dissertation was written in English.

4. Following the oral examination, a reception with the examiners and colleagues is customary. Regardless of this, it is of course possible to celebrate late into the night with colleagues, friends, and family...

5. Within one year, the dissertation must be published in a version approved by the referents (see the notes below on publication). The publication must include the statement: "Dissertation, genehmigt von der Fakultät für Wirtschaftswissenschaften des Karlsruher Institut für Technologie (KIT), 2010. Referent: Prof. Dr. B. Etreuer, Korreferent: Prof. Dr. Maier." (can also be in English, e.g., "Dissertation, approved by the Department of Economics and Management of the Karlsruhe Institute of Technology (KIT), 2010. Referent: Prof. Dr. B. Etreuer, Co-Referent: Prof. Dr. Maier."). A guideline to publication will be provided after the examination. Generally, the publication can be done:

  • through a commercial publisher recognized by the faculty (Springer, Shaker, Universitätsverlag Karlsruhe, etc.). In this case, three copies should be sent to the university library, one to the faculty library, one to the dean's office, and one to each of the members of the examination committee.
  • as offprints, as proof copies if published in a journal, with the same distribution as above.
  • electronically, where the equivalency is certified by the doctoral candidate, e.g., at the university library (five printed copies to the university library, one to the faculty library, one to the dean's office, and, if needed, copies to the members of the examination committee).

6. After the libraries notify the examination office, the doctoral certificate will be issued.

7. Congratulations on earning your doctoral degree!

Tips for Publication

It is possible to publish with KIT Scientific Publishing.

This includes both electronic and printed publication. Here are a few links for electronic publication: