Guidelines: Towards A Culture of Doctoral Education at Humboldt-Universität Zu Berlin

Guidelines: Towards a culture of doctoral education at Humboldt-
Universität zu Berlin
These guidelines are drawn up in German, the English translation is provided for
convenience only. Only the German version is binding.
Based on the recommendations by the Wissenschaftsrat (Science Council) (2002 and

2011) and on the experiences of its faculties, graduate schools, Research Training
Groups and the Humboldt Graduate School, Humboldt-Universität zu Berlin aims at
steadily improving the rigorous and internationally competitive culture of its doctoral
education.
The guidelines passed by by the University Senate of Humboldt-Universität zu Berlin on
June 26, 2012 are intended to ensure the transparency of the doctoral educational
process and to strengthen the integrity of scientific quality management at HU. The
guidelines serve as a standard for the revision of doctorate regulations by the faculties of
Humboldt-Universität zu Berlin.
1. Humboldt-Universität zu Berlin acknowledges the time of doctoral research as a

phase of independent scholarly activity.
2. The right to confer a doctoral degree lies with the faculties of Humboldt-Universität
zu Berlin. Each faculty sets the standards for its own doctoral examination procedure
in the form of doctorate regulations based on the present guidelines.
3. Doctoral degrees may be awarded by faculties in the areas of expertise of their

professional academic/research staff, i.e. professor and junior professor. Faculties
may specify doctorate subjects and specializations in their doctorate regulations. The
latter also determine the faculty’s competence for doctoral examination procedures
in which persons from outside the faculty supervise a doctoral student.
4. A master’s degree in a pertinent course of study from a state or state-accredited

university is generally the prerequisite for admission as a doctorate candidate.
Alternatively, degrees such as Magister, Diplom, or first state exam in humanities,
science or theology (Staatsexamen) are accepted. Admission as doctorate candidate
immediately following the successful completion of a bachelor’s degree (fast track) or
1
a master’s degree without previous corresponding bachelor studies requires an
individual assessment of the candidate’s academic record details of which are set
forth in the PhD regulations.
5. The faculty board decides about admission to the doctoral track, the opening of the
doctoral process, and the determination of the overall result; this responsibility may
be transferred to the dean or a Doctoral Degree Committee.
6. To ensure the quality of doctoral research supervision, it is recommended that every

doctoral project at Humboldt-Universität zu Berlin is supervised by two academic
supervisors.
7. The key element for successful completion of the doctoral degree is the independent
preparation of a dissertation that answers an original research question using
suitable scholarly methods. Both the doctoral candidate and their academic
supervisors commit themselves to adhere to the rules of good scientific practice [1].
8. Doctoral candidates receive regular advice from their academic supervisors. The
content and form of the supervision is governed by a binding supervision agreement
which is annually updated according to the requirements of the progress of the
doctorate. The independent nature of the doctoral candidate’s scientific work remains
unaffected by the supervision agreement.
9. Successful scholarly work requires specialised methodological qualifications which

generally go beyond the content of a master’s course and only become necessary
during the doctoral phase. The content, size and timing of the courses to be attended
during the doctoral phase can be governed by the supervision agreement. The
agreement can also cover the candidate’s involvement in and exchange with national
and international research communities.
10. Attendance at conferences and other events is listed in a supplement that can be
appended to the doctoral certificate if so desired by the candidate. If successful
participation in certain events is specified as a requirement for admission to doctoral
studies, this participation becomes a prerequisite for a successful completion of the
doctoral degree.
11. If prior publications are used as part of the dissertation, doctorate regulations require
that the dissertation be a substantially original achievement that goes beyond work
previously submitted for publication or published. In particular, doctorate regulations
2
govern how the doctoral candidate’s proportionate contribution is to be determined in
the event of multiple authors.
12. In addition to the written form, the doctoral thesis must also be submitted
electronically. This ensures that, if appropriate, the work can be checked for
unauthorised plagiarism and for incorrect citations.
13. To ensure the quality of the doctoral work, an independent assessment of the
doctoral thesis will be undertaken by at least two reviewers in accordance with the
quality standards in place in the relevant scholarly community. These thesis
assessment reports will be prepared independently of each other. It is strongly
recommended that at least one thesis assessment report be prepared by a university
lecturer outside of Humboldt-Universität zu Berlin. Before the reviewers are
appointed, they must be asked about and assessed for any possible grounds for bias
towards the doctoral candidate, in order to ensure that other individuals may be
included in the assessment procedure in good time if required. This rule does not
apply to reviewers who have supervised the dissertation.
14. A public doctoral defence is part of the doctoral examination process. It provides the
doctoral candidate with the opportunity to prove his or her scholarly aptitude in a
presentation and scholarly discussion. Doctoral candidates are entitled to inspect the
thesis assessment reports at least 14 days before their doctoral defence. The
discussion should relate to the dissertation and presentation, and may require
knowledge of the environment of the topic being treated.
15. In accordance with its PhD regulations, Humboldt-Universität zu Berlin awards the
grades of ‘summa cum laude’, ‘magna cum laude’, ‘cum laude’, ‘rite’ and ‘non
sufficit’. The overall grade is composed by both the assessment report grades and
the grade for presentation and discussion during the defence. The overall grade
‘summa cum laude’ is only awarded if all individual achievements have been graded
‘summa cum laude’ and at least three thesis assessment reports are available for the
doctoral work. The overall grade of ‘non sufficit’ (fail) is used if a grade lower than
‘rite’ has been awarded for the majority of individual sections. The grading scale is
formally communicated to all those involved in the doctoral examination procedure,
and in particular, the reviewers, when the procedure is initiated.
[1] Ensuring good scientific practice: Regulation/Ordinance governing Humboldt-Universität zu Berlin’s

principles for ensuring good scientific practice and dealing with allegations of scientific misconduct. Adopted
by the University Senate of Humboldt-Universität zu Berlin on 11 February 2014, as amended.

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Guidelines: Towards a culture of doctoral education at Humboldt-

Based on the recommendations by the Wissenschaftsrat (Science Council) (2002 and

1. Humboldt-Universität zu Berlin acknowledges the time of doctoral research as a

3. Doctoral degrees may be awarded by faculties in the areas of expertise of their

4. A master’s degree in a pertinent course of study from a state or state-accredited

6. To ensure the quality of doctoral research supervision, it is recommended that every

9. Successful scholarly work requires specialised methodological qualifications which

[1] Ensuring good scientific practice: Regulation/Ordinance governing Humboldt-Universität zu Berlin’s

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