Legal Questions

Legal situation and doctorate requirements

The submission of a dissertation is required in order to obtain a PhD. Presenting a PhD thesis, however, is only one part of the stipulated examination requirements. Nevertheless, the dissertation fulfils a dual function: On the one hand it is an original piece of academic work, on the other it is an examination component. As an independent piece of intellectual creativity it is subject to copyright, whereas as an examination component it is subject to publication and archiving obligations.

The examination regulations in Germany stipulate compulsory publication of dissertations. To be more precise, the doctoral regulations require publication of the original or key research results. It should be possible to inspect and quote from such results. The doctorate candidates generally fulfil this requirement by submitting a given number of printed mandatory copies to the examination office and, independently of this, publishing the dissertation in one of the following ways:

• Microfiches
• Publication of the main findings of the dissertation in journals
• 40 - 150 printed copies
• Publication by a publisher, guaranteeing a minimum number of copies, or
• in the form of an electronic publication plus 4 to 8 printed copies

The latter option can be added to existing doctorate regulations to permit electronic dissertations, as has been the practice in some parts of the USA for many years now. However, a new approvals procedure for the doctorate regulations needs to be instigated. The legal office of the university should be contacted in this regard.

Both the Conference of Ministers for the Arts and Culture and the German Rectors' Conference are both firmly in support of electronic publication. Back in 1997 the Conference of Ministers for the Arts and Culture passed a recommendation stating that the dissertation publication obligation can be fulfilled by submission of an electronic version. In its recommendations on the "Restructuring of the Information and Publication System at German Universities" released on 5 November 2002, the German Rectors' Conference drew particular attention to the promotion of online publication.

A favoured interim solution is a Faculty Council Resolution (Fachbereichsratsbeschluss) which regulates the submission formalities in consultation with the library. There is also the possibility to obtain a Senate resolution which is then binding for all faculties. The procedural regulations have been adapted in some faculties for pragmatic reasons. On the one hand, online publication on faculty or library servers is to be recognised as official publication, and the requirement for mandatory copies dispensed with (or the number reduced). On the other hand, a workflow needs to be introduced which regulates the system for submitting and forwarding the online dissertations.