Process to the Dissertation

Attention: This website is not actively maintained. Information may be outdated. The last update was in June 2024!

The information about the process to the dissertation can also be found in an information sheet in Docata under the "Document Pool” tab.

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

Please make sure that your acceptance as a doctoral researcher lasts until your potential oral examination date. If your acceptance is limited to a date before your oral examination can realistically take place, please apply for extension of acceptance as a doctoral researcher in Docata.

The request for initiating the doctoral procedure must be submitted no later than 10 days (better 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. You need to complete the assistant in Docata for initiating the doctoral procedure. The application form can then be downloaded and should be submitted to the Dean’s Office with a signature.

The following documents should be ready for upload when using the assistant in Docata:

  • Dissertation (electronic version)

  • Description of your professional and scientific career incl. a list of all teaching activities/experience (tabular form, e.g., [RTF])

  • List of all technico-scientific and/or academic publications (e.g., [RTF], ideally divided into reviewed and other publications)

  • Proof of fulfillment of requirements for admission to the doctorate

  • Doctoral degree certificate (in case you have already been conferred a doctoral degree)

  • Further information:

    • Information on dissertation and reviewers

    • Information on previous doctoral research (if applicable)

    • Information on the place of conducting the doctoral research, cooperations, affiliation to KIT research landscape, assignment to a Helmholtz research program/PoF structure

    • Information on stays abroad as part of the doctoral research

    • Information on funding

The following documents should be submitted to the Dean’s Office together with the application form to open the doctoral examination procedure:

  • Dissertation, 4x, printed, cold glue binding (see also Dissertation)

    • Summary of the dissertation (see Summary)

    • Title page for dissertation (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!)

  • Affirmation in lieu of oath according to Annex 2 of the doctoral regulations (download from Docata, signed, bounded into the dissertation)

  • Affirmation in lieu of oath in accordance with Annex 3 of the doctoral regulations (download from Docata, signed)

  • A declaration in writing according to Annex 4b of the doctoral regulations (download from Docata, signed)

Additional notes that may no longer be applicable since the main application process is now handled through Docata:

  • 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 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. 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.

 

Further Proceeding

1. In the faculty board meeting, the doctoral procedure is initiated, and the referents and examiners are determined. Doctoral candidates receive by mail an official notification of admission to the doctoral examination procedure from the KIT Department (including information about the examination date and the doctoral examination committee, if already 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. After successfully passing the examination, you will receive a provisional certificate confirming that you have passed the doctoral examination. Please note that you may only use the doctoral title after the official doctoral certificate has been issued.

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.... If you are enrolled at KIT as a doctoral student, you should clarify all matters regarding your disenrollment with the SLE.

5. Within one year, the dissertation must be published in a version approved by the referents (see the notes below on publication). If no editions are requested by the reviewers you usually receive the print approval right after your oral examination at the dean’s office. If editions are requested, they will be communicated to you after the oral examination in writing. Please talk to your first/second reviewer about these editions and submit the print approval to the dean’s office.

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. One printed copy of the dissertation should be submitted to the dean’s office and the examination committee. The certificate can be collected at KIT or sent by mail. The acknowledgment of receipt must be signed and returned to KIT.

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: