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Volume 47
No.
Official announcements 4 Pages 31–
OF THE ALBERT LUDWIGS UNIVERSITY OF FREIBURG IM BREISGAU 48 February 29, 2016

Doctoral regulations of the Albert Ludwig University for

Faculty of Environment and Natural Resources

Due to Section 38 Paragraph 4 Sentence 1 of the Law on Universities in Baden-Württemberg (State Higher
Education Act - LHG) of January 1, 2005 (GBl. p. 1), last amended by Article 3 of the law of December 1,
2015 (GBI . P. 1047), the Senate of the Albert Ludwig University passed the following statutes at its meeting
on February 24, 2016.

The rector gave his approval on February 29, 2016.

Contents

§ 1 Purpose and forms of the

doctorate § 2 Doctoral
committee § 3 Reviewers § 4 Supervision of the
dissertation; Doctoral agreement § 5 Requirements for
admission to the doctorate § 6 Acceptance as a
doctoral candidate § 7 Opening of the
doctoral procedure § 8 Examination
committee § 9 Dissertation
§ 10 Assessment
of the dissertation § 11 Oral
examination § 12
Failure and repetition of the oral examination § 13 Overall
grade of the doctorate § 14
Publication of the dissertation § 15
Completion of the doctorate and
certificate § 16 Withdrawal from the oral
examination § 17 Withdrawal and revocation of admission to the doctorate; Invalidity of doctoral
achievements § 18 Revocation of
the doctoral degree § 19 Procedural
deficiencies and
objections § 20
Ombudsman procedure
§ 21 Protection periods § 22 Compensation
for disadvantages § 23 Storage of the
examination documents § 24 Inspection of the examination
documents § 25 Doctorate in joint supervision
with other
universities § 26
Doctoral students' convention § 27 Doctoral anniversary § 28 Honorary doctorate § 29 Entry into force and transitio
Attachment
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§ 1 Purpose and forms of the doctorate

(1) The regular doctorate serves to demonstrate the ability to carry out in-depth scientific work in one of the
subject areas represented at the Faculty of Environment and Natural Resources. It is based on an independent
scientific work (dissertation) and an oral examination (disputation), the subject of which is the dissertation.

(2) Based on the doctoral achievements it recognizes, the Faculty of Environment and Natural Resources
awards the academic degree of a Doctor of Natural Sciences (Doctor rerum naturali um, abbreviated Dr. rer.
nat.) or a Doctor of Philosophy (Doctor philosophiae, abbreviated Dr . phil.); Women can also use the respective
doctoral degree in the feminine form. As part of doctoral programs, the degree of Doctor of Philosophy
(abbreviated Ph.D.) can also be awarded instead.

(3) The academic degree of Doctor of Natural Sciences is awarded if the dissertation is predominantly of a
scientific nature. The academic degree of Doctor of Philosophy is awarded if the dissertation is predominantly
in the humanities or social sciences.

(4) The duration of the doctorate may not exceed five years. In justified cases, the doctoral committee can
extend the deadline for applications submitted before it expires by a maximum of two years. Once the maximum
permissible duration of the doctorate has expired, admission to the doctorate expires, unless the doctoral
procedure has already been started. Protection periods and leaves of absence in accordance with Section 21
are not counted towards the duration of the doctorate.
(5) Persons who are admitted to a doctoral program at the Albert Ludwig University are enrolled as doctoral
students. Other people who want to write a dissertation and are accepted as doctoral students must register
as doctoral students with the student secretariat; They can be enrolled as doctoral students upon application.

§ 2 Doctoral Committee
(1) For the organization of the doctoral process, in particular for the decision on acceptance as a doctoral
candidate, the appointment of the supervisors, the opening of the doctoral process, the appointment of the
assessors, the appointment of the members of the examination committee, including monitoring the rapid
implementation of the doctoral process
The Doctoral Committee is responsible for documenting the number of doctoral students in the Faculty of
Environment and Natural Resources as well as for all tasks assigned by these doctoral regulations. The
responsibilities of the chairperson of the doctoral committee remain unaffected.

(2) The Doctoral Committee is elected by the Grand Faculty Council from among the university lecturers and
private lecturers working full-time at the Faculty of Environment and Natural Resources for four years; it
includes seven members. Further members are elected by the Grand Faculty Council as a member of the
academic service with a doctorate and, at the suggestion of the Doctoral Candidates' Convention, a doctoral
candidate for two years; they have an advisory vote; If the member of the academic service with a doctorate
has been granted the right to do a doctorate in accordance with Section 3 Paragraph 1 Sentence 2 or if he/she
has completed his habilitation, he/she is a voting member of the doctoral committee. For the members in
accordance with sentence 1, the same number of deputies will be elected by the Grand Faculty Council from
the same group of people; A deputy is elected for each member in accordance with sentence 2. The doctoral
committee elects a professor from among its members as chairperson and another professor as his/her deputy.

(3) The doctoral committee usually advises and decides in a properly convened and chaired meeting; he meets
privately. The doctoral committee has a quorum if all members have been properly invited and the majority of
members entitled to vote are present. Decisions are generally made with a simple majority. In the event of a
tie, the chairperson's vote decides. Resolutions can also be passed in writing or electronically if no member
objects and at least two thirds of the members participate. Abstentions, secret votes and transfers of voting
rights are not permitted in examination decisions and in particular in the decision to revoke the doctoral degree.
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(4) The members of the doctoral committee and their deputies are obliged to maintain confidentiality as far
as examination matters are concerned or the obligation of confidentiality has been specifically decided. The
duty of confidentiality includes the confidentiality of the consultation documents; it continues after
membership in the doctoral committee ends.

(5) The doctoral committee ensures the transparency and quality of the awarding of grades. Every five
years, it prepares a report for the Faculty Council on its transparency and quality assurance measures,
which is made available to the other faculties by the Vice Rector for Research for the purpose of exchanging
experiences and further developing their quality assurance measures.

(6) The doctoral committee can revocably transfer the performance of certain tasks to the chairperson or his/
her deputy; This does not apply to decisions about acceptance as a doctoral candidate, the withdrawal and
revocation of acceptance as a doctoral candidate, the invalidity of doctoral achievements, the revocation of
the doctoral degree and objections.

(7) The doctoral committee is an authority within the meaning of administrative procedural law and
administrative procedural law.

§ 3 Reviewers and examiners

(1) In principle, the following can be appointed as reviewers for a dissertation and examiners in the oral
examination: university lecturers, honorary professors, adjunct professors, retired professors, retired
professors and Private lecturers at the Faculty of Environment and Natural Resources. Upon request, the
doctoral committee can also grant a fixed-term contract to working group leaders working full-time at the
Faculty of Environment and Natural Resources who are particularly qualified for scientific work or to other
scientists working there full-time who have been awarded scientific reviews in competitions Authorization to
grant doctorates and appoint them as assessors and examiners in doctoral procedures. The prerequisite for
this is that the special ability for scientific work is proven by a dissertation of outstanding quality or a scientific
work of at least equivalent value and an external assessment by a recognized research funding institution.

(2) In addition, the doctoral committee may also appoint members of other faculties of the Albert Ludwig
University or other domestic or foreign universities or employees of scientific research institutions as
assessors. For interdisciplinary or cross-faculty dissertations, members of other faculties should also be
appointed as reviewers. The requirements according to paragraph 1 apply accordingly.

(3) In every doctoral procedure, at least one reviewer must meet the requirements in accordance with
paragraph 1, sentence 1.

§ 4 Supervision of the dissertation; Doctoral agreement

(1) The doctoral committee appoints at least two academic supervisors for each doctoral student, one of
whom is designated as the responsible supervisor. The responsible supervisor can only be someone who
can be appointed as an expert in accordance with Section 3 Paragraph 1. Second supervisors can be people
who can be appointed as experts in accordance with Section 3 Paragraph 1 or 2.

If a young scientist who has not qualified as a habilitator is appointed as the responsible supervisor in
accordance with Section 3 Paragraph 1 Sentence 2, a person who meets the requirements in accordance
with Section 3 Paragraph 1 Sentence 1 must be appointed as the second supervisor. If a university lecturer
or private lecturer appointed as a supervisor leaves the Faculty of Environment and Natural Resources, he/
she can exercise the associated rights and obligations for up to three years after his/her departure continue
to perceive; In justified cases, this period can be extended by the doctoral committee to a maximum of five
years. With the departure of the responsible employee
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of the responsible supervisor, the doctoral committee, at his/her suggestion and after hearing the doctoral
candidate, appoints a person who meets the requirements in accordance with Section 3 Paragraph 1
Sentence 1 as an additional supervisor.
(2) Honorary professors, adjunct professors, retired professors and retired professors can be appointed as
supervisors with the proviso that resources may only be used in agreement with those entitled to dispose of
them.

(3) Members of the scientific service with doctorates may also provide additional supervision; The same
applies to cooperation projects for suitably qualified people at the respective partner university.

(4) The future supervisors and the future doctoral candidate conclude a doctoral agreement using the form
provided by the Faculty of Environment and Natural Resources, which includes the following minimum
content:
1. schedules for regular supervision discussions and progress reports that are adapted to the dissertation
project and the doctoral candidate's life situation and are updated annually,
2. Information about an individual study program,
3. a mutual obligation to observe the rules of good scientific practice,
4. Provisions for resolving disputes and
5. the assessment times to be determined when the dissertation is submitted.
(5) The doctoral agreement only becomes effective upon acceptance as a doctoral candidate.

§ 5 Requirements for admission to doctoral studies

(1) The prerequisite for admission to the doctorate is that the applicant
1. a qualified qualification
a) a master's degree program at a German university,
b) a course of study at a German university or university of education with a standard period of study of at
least four years or
c) a course of study based on an undergraduate course at a German university, university of education or
other university with the right to award doctorates
in a subject relevant to the proposed dissertation topic,
2. has not already been accepted as a doctoral candidate or admitted to a doctorate in the same scientific
subject at another faculty or university and has not already passed a corresponding doctoral examination
in the same scientific subject at a university and

3. is not unworthy of holding the doctoral degree within the meaning of the legal provisions.
If the qualified degree in accordance with Sentence 1 No. 1 was not acquired in a subject relevant to the
intended dissertation topic, the doctoral committee can exceptionally admit the applicant to a doctorate,
provided that the other admission requirements are met.
If, in cases according to Sentence 1 No. 1 Letter b, the standard period of study is less than five years, the
applicant must be among the top ten percent of graduates of his/her course of study from the last six
semesters.
(2) Foreign degrees require recognition by the doctoral committee. The prerequisite for recognition is the
determination of equivalence with the required domestic degrees. When deciding on equivalence, the
equivalence agreements approved by the Conference of Standing Ministers and the Conference of
University Rectors as well as agreements within the framework of university partnerships must be taken into
account. If there are any doubts about equivalence, the Central Office for Foreign Education can be
consulted. If the equivalence of a foreign degree cannot be determined because individual study and
examination achievements have not been proven, the applicant can be admitted to the doctorate if the
missing study and examination achievements are based on the evaluation suggestions of the Central Office
for Foreign Education within the framework of a the aptitude assessment process must be carried out
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can and the aptitude assessment procedure is successfully completed; The duration of the aptitude
assessment process should not exceed two semesters.
(3) Particularly qualified graduates of bachelor's and state examination courses who do not fall under
paragraph 1 number 1 letter b can, if they are among the top five percent of graduates of their course from
the last six semesters The requirement to be admitted to the doctorate is that they have acquired at least 40
and a maximum of 60 ECTS points through the successful completion of modules from master's programs in
the Faculty of Environment and Natural Resources before the doctoral process begins. The doctoral committee
determines the modules that can be taken, taking into account the intended dissertation topic.

(4) Particularly qualified graduates of environmental science or natural science diploma courses at a university
of applied sciences or a vocational academy can be admitted to a doctorate by the doctoral committee if they
prove in an aptitude assessment procedure that they generally have the same level of proficiency in the
subject area intended for the dissertation, as is required for graduates in accordance with paragraph 1, are
capable of scientific work. Admission to the aptitude assessment procedure requires that the applicant is
among the top five percent of graduates of his/her course of study from the past six semesters and that he or
she is a university lecturer, an adjunct professor or an adjunct professor A private lecturer from the Faculty of
Environment and Natural Resources supports the admission and agrees to supervise the dissertation. The
aptitude test, which is carried out by two members of the Faculty of Environment and Natural Resources who
are entitled to a doctorate and takes into account the subjects of the completed studies at the technical college
or vocational academy and the intended dissertation topic, includes a written scientific paper with a grade of
at least “good” and one as passed graded oral exam. The duration of the aptitude assessment process
should not exceed two semesters.

§ 6 Acceptance as a doctoral candidate

(1) Anyone who intends to write a dissertation and meets the admission requirements according to § 5 should
apply for acceptance as a doctoral candidate at the earliest possible date. The written application specifying
the topic of the dissertation must be addressed to the doctoral committee. If the topic of the dissertation is
cross-disciplinary and the subject areas are taught at different faculties, the application must be submitted to
only one of the faculties involved.
In the case of such a cross-faculty dissertation, only one of the participating faculties will award the
corresponding doctoral degree. The determination must be made by the faculties involved before acceptance
as a doctoral candidate.

(2) The application must be accompanied by:

1. evidence of the admission requirements in accordance with Section 5;

2. the doctoral agreement in accordance with Section 4 Paragraph 4;

3. the desired degree of a doctor of natural sciences or a doctor of philosophy in accordance with § 1
paragraph 3, the choice of the doctoral degree must be justified, and a written statement from the
responsible supervisor must be enclosed; If the degree of Doctor of Philosophy is sought as part of a
doctoral program, this must also be stated;

4. a declaration of the current doctoral regulations of the Faculty of Environment and Natural Resources
to know;
5. a current CV describing your personal and professional career;
6. a declaration about current or previous doctoral applications; It must be stated when, with what topic and
to which faculty or department the doctorate was applied for; If necessary, it must be stated why the
procedure was not completed or a certified copy of the certificate of a doctoral degree that has already
been awarded must be presented;

7. For foreigners, if necessary, proof of sufficient knowledge of the

German language;
8. a statement about existing criminal convictions and ongoing criminal investigations.
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Upon written request, the choice of the desired doctoral degree made in accordance with Sentence 1 No. 3 can
be changed for valid reasons until the doctoral process is opened; The doctoral committee decides on this.

(3) The doctoral committee usually decides on the application within three months, or at the start of the study
program for doctoral programs. Acceptance as a doctoral candidate must be rejected if:

1. the admission requirements according to § 5 are not met,

2. the intended topic of the dissertation does not fall within the professional focus of the Faculty of Environment
and Natural Resources or no member of the faculty who meets the requirements in accordance with Section
3 Paragraph 1 is able to assess the dissertation topic from a technical perspective,
3. none of the faculty members responsible in accordance with Section 3 Paragraph 1 considers the selected
topic to be worth working on or appropriate for the applicant's previous education or
4. the provision of the material equipment to carry out the work project is not guaranteed
chert is.

(4) If the applicant is accepted as a doctoral candidate, he/she will receive written notification of this.
Simultaneously with the decision on acceptance, the doctoral committee appoints the people named in the
doctoral agreement as supervisors; He also decides whether, based on the intended topic of the dissertation, the

Paragraph 2 Sentence 1 No. 3 the desired doctoral degree can be awarded. If acceptance as a doctoral
candidate is subject to conditions in accordance with Section 5 Paragraph 3, the notification in accordance with
sentence 1 must also contain information about the services to be provided. In the event of a negative decision
by the doctoral committee regarding acceptance as a doctoral candidate, this must be justified in writing and
provided with instructions on legal remedies.
(5) Acceptance as a doctoral candidate can be revoked in particular if
1. the doctoral agreement (§ 4 paragraph 4) is ineffective or has been repealed,
2. reasons subsequently arise for refusing acceptance as a doctoral candidate,
3. There is no prospect that the dissertation will be successfully completed in a reasonable time
it can, or
4. the doctoral candidate against the terms specified by him/her in the doctoral agreement (§ 4 paragraph 4)
has seriously breached the obligations assumed.
A revocation of acceptance as a doctoral candidate in accordance with Sentence 1 No. 4 may only take place if
an ombudsman procedure was previously carried out unsuccessfully and no new supervision agreement was
concluded.

(6) Acceptance as a doctoral candidate expresses the fundamental willingness of the Faculty of Environment and
Natural Resources to evaluate a dissertation on the intended topic as a scientific work. Acceptance as a doctoral
candidate obliges the faculty to provide academic supervision to the doctoral candidate.

(7) Acceptance as a doctoral candidate does not result in any legal entitlement to admission to the doctoral
process.

(8) The responsible supervisor ensures that the doctoral candidate has been familiarized with the rules of good
scientific practice.
(9) Two years after acceptance as a doctoral candidate, the responsible supervisor checks whether the doctoral
project can be continued and informs the doctoral committee in writing of the result of the review.

§ 7 Opening of the doctoral process

(1) The opening of the doctoral process requires that the doctoral candidate continues to meet the admission
requirements stated in § 5. The application to open the doctoral process (assessment of the dissertation and
oral examination) must be submitted in writing to the doctoral committee. The following documents must be
enclosed with the application:
1. the notification of acceptance as a doctoral candidate in accordance with Section 6 Paragraph 4 Sentence 1;
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2. the doctoral agreement in accordance with Section 4 Paragraph 4 in the current version;
3. a current CV describing your personal and professional career;
4. the dissertation in printed and bound form in six copies as well as in electronic form on the specified data
storage system and in the specified file format;
5. a declaration about previous or current doctoral applications, stating the place, date, university and topic
of the dissertation and, if applicable, a certified copy of the certificate of a doctoral degree that has
already been awarded;
6. a recent certificate of good conduct in accordance with the Federal Central Register Act, unless the
certificate of good conduct is sent directly to the doctoral committee, as well as a statement about
ongoing criminal investigations; Foreigners who cannot present a certificate of good conduct in
accordance with the Federal Central Register Act must present an equivalent document from a
competent court or administrative authority in the country of origin, not older than six months;

7. an affidavit in accordance with the appendix to these doctoral regulations;

8. a copy of the instruction provided by the Faculty of Environment and Natural Resources on the meaning
and criminal consequences of the affidavit, signed by the doctoral candidate;

9. in the case of carrying out a doctoral program or taking part in a structured doctoral program, evidence of
the services provided;
10. If necessary, a complete list of scientific publications and scientific documents
chen lectures;
11. If applicable, proof of preparatory studies for a doctorate or completion of additional ones
Pads.
(2) The application can only be withdrawn once by means of a written declaration. Withdrawal is not possible
if the doctoral committee has already received a report or if more than four weeks have passed since the
appointment of the examination committee.
(3) An application that meets the requirements of paragraph 1 can only be rejected if one of the legal reasons
exists for which the doctoral degree could be withdrawn. The decision on this is made by the doctoral
committee.
(4) The doctoral committee decides on admission to the doctoral process. The doctoral committee can
transfer the decision on applications that do not present any particular difficulties to the chairperson. The
doctoral candidate will receive written notification of their admission. If admission is rejected, the decision
must be justified in writing and sent to the doctoral candidate with instructions on legal remedies.

§ 8 Examination Commission
(1) When deciding on admission to the doctoral process, the doctoral committee appoints the examination
committee. The examination committee consists of the dissertation assessors and two additional examiners
for the oral examination. As a rule, the responsible supervisor is appointed as the first assessor.

A person who is not involved in the supervision of the doctoral candidate and who meets the requirements
in accordance with Section 3 Paragraph 1 or 2 is appointed as a second reviewer. At the request of a
supervisor or doctoral candidate, the second supervisor or another person involved in the doctoral project
who meets the requirements in accordance with Section 3 Paragraph 1 or 2 can be appointed as an
additional assessor . The majority of the members of the examination committee must be from the Faculty
of Environment and Natural Resources.

(2) The examination committee is chaired by a member appointed by the doctoral committee who must
belong to the group of university professors in the faculty. The responsible supervisor for the dissertation
cannot be the chairperson.
(3) The examination committee discusses and decides in a non-public meeting. Their decisions must be
recorded in minutes. Abstentions are not permitted.
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(4) The members of the examination committee are obliged to maintain secrecy about facts that have become
known to them in a non-public meeting, unless a fact is already obvious or does not require secrecy due to its
importance. Obligations of confidentiality due to the service or employment relationship remain unaffected.

(5) The appointment obliges the experts to prepare their reports within two months.

§ 9 Dissertation
(1) The topic of the dissertation must be chosen from a subject that is properly represented at the Faculty of
Environment and Natural Resources. The dissertation must demonstrate the doctoral candidate's ability to
carry out independent, in-depth scientific work and represent a significant contribution to the advancement of
scientific knowledge.
(2) The dissertation must generally be written in German or English. Upon a justified request from the doctoral
candidate, the doctoral committee can allow the dissertation to be written in a foreign language if its assessment
within the Faculty of Environment and Natural Resources is secured. The application must be submitted to
the doctoral committee before the dissertation is prepared with a statement from the responsible supervisor.

If the dissertation is written in a foreign language, it must contain a detailed summary in German as an
appendix; If the dissertation is written in German, it must contain a detailed summary in English as an appendix.

(3) The dissertation can be submitted as a monograph or as a cumulative dissertation. The doctoral candidate's
scientific work combined into a cumulative dissertation, at least two of which must have been published in peer-
reviewed, internationally recognized journals or accepted for publication, must have been created under a
common scientific question. The doctoral candidate must have made a significant contribution to at least two
of the publications; None of the submitted work may be the subject of another dissertation in an ongoing or
completed doctoral process of the doctoral candidate. A detailed presentation must be provided in advance,
which provides a critical classification of the research topics and most important findings from the submitted
works in the context of the scientific literature on the topic and, if necessary, an appreciation of the individual
contribution of the doctoral student and the contribution of the other authors. authors of the individual works.

(4) If the dissertation is based on studies that were carried out as part of a joint research project, the individual
performance of the doctoral candidate must be clearly distinguishable and assessable.

(5) The dissertation must contain a title page based on the template provided by the Faculty of Environment
and Natural Resources, a table of contents, a summary and a detailed list of the sources and literature used.

§ 10 Assessment of the dissertation

(1) The assessors examine in detail and independently of one another whether the submitted dissertation can
be accepted as a doctoral achievement, must be rejected or must be returned for revision. Unless it is
suggested that it be returned for revision, the work must be graded with one of the following grades and the
corresponding grade:
Grade predicate

1 summa cum laude for a very outstanding performance

2 magna cum laude for a particularly commendable achievement
3 cum laude for good performance
4 rite for sufficient performance
5 non probatum for no longer sufficient performance
For a differentiated assessment of the examination performance, intermediate values can be created by
increasing or decreasing the grade by 0.3; grades 0.7, 4.3, 4.7 and 5.3 are excluded. The pre-
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The dikat “summa cum laude” may only be awarded if the work is characterized by a high degree of originality and
scientific maturity.
(2) After all reports have been received, the dissertation together with the reports will be available for inspection in
the dean's office for at least two weeks during the lecture period or for at least three weeks during the lecture-free
period. The display period should not exceed four weeks. The chair of the doctoral committee informs the members
of the faculty who are authorized to examine doctoral procedures in writing or electronically about the place and time
of the display.
Those authorized to inspect the dissertation have the right to lodge a written objection against the acceptance,
rejection or evaluation of the dissertation by the end of the display period. The objection must be justified in writing
within one week of submission. During the display period, the doctoral candidate will be given the opportunity to
view the reports. The doctoral candidate has the right to comment on the reports in writing; The statement, which
must be submitted to the doctoral committee no later than one week after the end of the display period, will be sent
to the examination committee.

(3) If the reviewers unanimously suggested that the dissertation be accepted, it is deemed accepted unless an
objection was lodged. If the reviewers unanimously suggested that the dissertation be rejected, it is rejected unless
an objection has been lodged. If the reports differ from each other by more than one grade level with regard to their
recommendation for acceptance or rejection or revision of the dissertation or for its evaluation, or if an objection to
the acceptance or rejection made within the display period in accordance with paragraph 2 is made, the doctoral
committee shall appoint the doctoral committee another reviewer. If the objection is directed solely against the
assessment of the dissertation, the doctoral committee will decide whether the objection will be ignored or whether
another assessor will be appointed. This additional reviewer should submit his/her report within two months. Taking
into account the recommendation of this additional report, the doctoral committee decides whether the dissertation is
accepted or rejected.

(4) If the dissertation is accepted, the overall grade of the dissertation is determined by calculating the arithmetic
mean of the individual grades. Only the first decimal place after the decimal point is taken into account; all other
places are deleted without rounding. The predicates are:
summa cum laude with an average of up to 1.3, provided that no individual grade is worse than 1.3,

magna cum laude with an average of up to 2.4,

cum laude with an average of over 2.4 to 3.4,
rite with an average of over 3.4 to 4.0.

(5) The dissertation will be returned for revision if this is suggested by at least two reviewers. If the dissertation is
not resubmitted in a revised form within one year, it is considered rejected.

(6) If the acceptance of the work as a dissertation is rejected, the doctoral process ends unsuccessfully. The doctoral
candidate receives a written notification from the doctoral committee about the rejection, which must be justified and
provided with instructions on legal remedies. In this case, the doctoral candidate can only apply for the doctoral
process to be reopened once with a thesis on a different topic and not before the end of one year. If this work is also
rejected, the doctoral examination is definitely not passed.

§ 11 Oral examination
(1) The oral examination in the form of a defense should take place no later than four weeks after acceptance of the
dissertation. The chair of the doctoral committee sets the date at the suggestion of the responsible supervisor within
the framework of the examination periods, which are to be scheduled at least twice a year. The date of the defense
must be announced in good time. The dissertation, the reports and any objections and statements must be made
available to the members of the examination committee.

(2) The defense, in which the doctoral candidate is supposed to demonstrate his/her ability to discuss scientific
problems orally, is prepared by the examination board in a meeting. It consists of an examination interview between
the doctoral candidate and those entitled to ask questions in accordance with paragraph 5 about the dissertation as
well as the methods and content related to it
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standing questions. In addition, the discussion led by the chair of the examination committee may also include
more general questions that relate to parts of other subject areas in the Faculty of Environment and Natural
Resources or other faculties that are related to the dissertation. If the dissertation is the result of collaborative
research work, the doctoral candidate should show that he/she can independently explain and represent his/
her own contribution as well as the work process and the work results of the group. The disputation is initiated
by a lecture on the topic of the dissertation lasting a maximum of 30 minutes; it lasts at least 60 and no longer
than 90 minutes.

(3) The defense must generally be held in German. A disputation in English must be reported by the doctoral
candidate, in agreement with the responsible supervisor, to the chair of the doctoral committee at the latest
with the application to open the doctoral process.

(4) The defense is open to the university. Upon agreement between the doctoral candidate and the chair of the
examination committee, guests from outside the university may also be admitted to the defense. The public
must be excluded for important reasons or at the request of the doctoral candidate. The public does not extend
to the consultation and announcement of the examination results.

(5) In addition to the members of the examination committee, the fourth members of the Grand Faculty Council
and other members of the academic service of the Faculty of Environment and Natural Resources with
doctorates are entitled to ask questions in the defense. The chair of the examination committee can admit other
doctoral candidates from the faculty or other academic institutions that are cooperation partners of the faculty
to be eligible to ask questions.
(6) All members of the examination committee must be present at the oral examination. If the second reviewer
or the possible additional reviewer in accordance with Section 8 Paragraph 1 Sentence 5 is unable to attend, a
representative must be appointed who meets the requirements in accordance with Section 3 Paragraph 1 or 2.
In justified cases, a maximum of one member of the examination committee, but not the chairperson, may take
part in the defense and the subsequent discussion on the result of the oral examination via a video conference,
if
1. the examination committee and the doctoral candidate have agreed to participate via a video conference and

2. the transmission of all necessary audio and video data, in particular the image of the doctoral candidate
the doctoral candidate and the examiner as well as the doctoral candidate's presentation, in both directions,
is ensured to be of appropriate quality without interruption during the defense; The chair of the examination
committee is responsible for assessing the quality of the transmission.

(7) A record of the defense must be prepared by an assessor, which must be signed by the members of the
examination committee. The assessor must have a doctorate and be employed by the Albert Ludwig University.

(8) Following the oral examination, the examination committee decides in a non-public meeting whether it was
successful. Each examiner grades the oral examination with a grade in accordance with § 10 paragraph 1. The
grade for the oral examination results from the arithmetic mean of the individual assessments in accordance
with § 10 paragraph 4. The oral examination is only passed if the grade determined in this way is at least 4.0 is.
The title “summa cum laude” may only be awarded if none of the individual assessments is worse than 1.3.

(9) At the same time, the examination board determines the doctoral degree in accordance with the requirements
in accordance with Section 1 Paragraphs 2 and 3 and taking into account the choice of the doctoral candidate
to be awarded.
(10) The examination committee also determines whether and, if necessary, which revisions the doctoral
candidate must make in order to publish the dissertation and within what period of time. Before granting the
printing permit in accordance with Section 14 Paragraph 2, the responsible supervisor checks that the
requirements set by the examination committee have been met.

§ 12 Failure and repetition of the oral examination

(1) If the oral examination is not passed or is deemed not to have been passed, the doctoral committee will
issue a written notice stating the reasons and providing a legal remedy.
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instructions must be provided. The oral examination can be repeated once within one year after the
examination decision becomes effective. The application for admission to the repeat examination must be
submitted to the doctoral committee no earlier than two months after the announcement of the examination
notice.
(2) The doctoral procedure is concluded unsuccessfully and the doctoral examination is ultimately not
passed if an application to repeat the oral examination is not submitted within one year of the examination
decision becoming final or if the oral examination is not passed at the repeat date. The doctoral candidate
receives a corresponding written notification from the doctoral committee, which must be justified and
provided with instructions on legal remedies.

§ 13 Overall grade of the doctorate

(1) If the oral examination is passed, the doctoral committee determines the overall grade and the
corresponding overall grade for the doctorate.
(2) The overall grade results from the weighted arithmetic mean of the grade for the dissertation calculated in accordance
with Section 10 Paragraph 4 and the grade for the oral examination calculated in accordance with Section 11 Paragraph 8.
The grade for the dissertation receives twice the weight. Section 10 paragraph 4 sentences 2 and 3 apply
accordingly. The overall grade “summa cum laude” may only be awarded if none of the two individual
achievements received an individual grade worse than 1.3.
(3) After the overall grade has been determined, the doctoral candidate will be informed of the result of the
doctorate.

§ 14 Publication of the dissertation

(1) The doctoral candidate is obliged to make the submitted and accepted dissertation, if necessary with
the changes requested or approved by the examination committee, available to the scientific public in an
appropriate manner through reproduction and distribution within one year of passing the oral examination
close.
(2) Before publication, the dissertation must be submitted to the responsible supervisor for permission to be
printed. Permission to print must be submitted on a form and included in the doctoral file. If the responsible
supervisor rejects the version intended for publication, the doctoral committee will decide on this at the
request of the doctoral candidate.

(3) For publication, the dissertation can be translated into another language with the approval of the
examination board.
(4) The doctoral candidate satisfies his/her publication obligation if he/she does the following
Number of mandatory copies, which must be printed on age-resistant, wood- and acid-free paper and
permanently bound, delivered free of charge:
1. at the Faculty of Environment and Natural Resources three copies and
2. at the Freiburg University Library
a) for electronic publication via the research information system of the university library
Freiburg FreiDok plus a copy printed on paper in copyable typescript together with an electronic version
whose file format and data carrier meet the specifications of the
Freiburg University Library; the doctoral candidate must ensure that the content and formatting of the
electronic version corresponds to the printed copy;

b) if published by a commercial publisher via the book trade and proof of a minimum circulation of 150
copies and identification of the publication as a dissertation, stating the location of the dissertation in
the imprint, one copy;
c) if published in a scientific journal, an offprint;
d) upon publication of the individual works of a cumulative dissertation in academic publications
Journals three copies of the entire dissertation printed on paper.
In the case of sentence 1 no. 2 letter a, the doctoral candidate transfers the right to the Albert-Ludwigs
University within the scope of the statutory tasks of the Freiburg University Library
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to produce and distribute copies of his/her dissertation or make them available in data networks.

(5) The names of the assessors and the dean as well as the date of the oral examination must be stated on the
back of the title page of the mandatory copies. If the title is changed at a later date, reference must be made to
the title of the dissertation submitted at the time
sen.

(6) If the doctoral candidate fails to obtain printing permission from the responsible supervisor or if he/she misses
the deadline in accordance with paragraph 1, all rights acquired through the doctoral examination expire; If the
doctoral certificate has already been handed out, it must be confiscated. In justified cases, the deadline in
accordance with paragraph 1 can be extended by the doctoral committee by a maximum of one year if an
application is submitted before it expires.

§ 15 Completion of the doctorate and certificate

(1) The doctorate is completed by issuing the certificate. The doctoral certificate is signed by the rector of the
Albert Ludwig University and the dean of the Faculty of Environment and Natural Resources and bears the
university seal. In addition to the degree obtained, it contains the overall grade of the doctorate, the title and grade
of the dissertation as well as the name, date of birth and place of birth of the person receiving the doctorate. The
day of the oral examination is stated as the day of the doctorate.

(2) The doctoral certificate will only be handed out once the doctoral candidate has submitted the mandatory copies
of the dissertation to the Faculty of Environment and Natural Resources and the Freiburg University Library in
accordance with Section 14 Paragraph 4.
(3) The doctoral certificate should be handed out in an appropriate form. Until then, the doctoral candidate will
receive a provisional certificate of passing the doctoral examination upon request. This contains the title and
evaluation of the dissertation, the evaluation of the oral examination and the overall evaluation of the doctoral
achievements.
(4) Before the doctoral certificate is issued, the doctoral candidate does not have the right to use the doctoral
degree, not even with an addition.
(5) Procedural regulations based on international agreements remain unaffected.

§ 16 Withdrawal from the oral examination

(1) If the doctoral candidate does not take part in the oral examination in whole or in part, this is considered a
withdrawal.
(2) If the doctoral candidate is unable to take part in the oral examination due to illness or another important
reason, withdrawal will be approved upon written request. The application must be submitted immediately to the
doctoral committee by the doctoral candidate, stating the reason for withdrawal and enclosing suitable evidence.
In the event of illness, the application must be accompanied by a medical certificate containing the medical findings
necessary to assess the inability to take the examination.

(3) If the withdrawal is approved by the doctoral committee, a new examination date will be set. If the withdrawal
is not approved, the oral examination is deemed to have been failed.

§ 17 Withdrawal and revocation of admission to doctoral studies; Invalidity of Promotions

Services
(1) If it emerges before the doctoral certificate is issued that the doctoral candidate has deceived an admission
requirement or that essential admission requirements have been incorrectly assumed to be met, the admission to
the doctorate can be withdrawn.
The same applies if facts become known that would justify revocation of the doctoral degree in accordance with
Section 36 Paragraph 7 of the State Higher Education Act.
(2) If it emerges before the doctoral certificate is issued that the doctoral candidate has cheated in a doctoral
performance, individual or all doctoral performances can be declared invalid; In more serious cases, admission to
doctoral studies can be revoked.
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(3) Before a decision is made in accordance with paragraphs 1 or 2, the doctoral candidate must be given the opportunity to
comment. The decision must be justified in writing and sent to the doctoral candidate with instructions on legal remedies.

§ 18 Revocation of the doctoral degree

(1) The revocation of the doctoral degree is governed by Section 36 Paragraph 7 of the State Higher Education Act and Section
48 of the State Administrative Procedure Act.

(2) If the requirements for admission to the doctoral procedure were not met without the applicant intending to deceive, and this
fact only becomes known after the doctoral certificate has been issued, this deficiency is remedied by passing the doctoral
examination.

(3) Before a decision is made regarding the revocation of the doctoral degree, the person concerned must be given the
opportunity to comment. The decision must be justified in writing and sent to the person affected with instructions on legal
remedies.

(4) In the event that the doctoral degree is revoked, the doctoral certificate that has already been handed out must be
confiscated.

(5) The revocation of the doctoral degree can be communicated by the rector with the necessary details to all German
universities that have the right to award doctorates.

§ 19 Procedural deficiencies and objections

(1) Defects in the doctoral process must be reported to the doctoral committee immediately.

(2) The person concerned can lodge a written objection to the doctoral committee within one month of notification of negative
decisions issued on the basis of these doctoral regulations. If necessary, the doctoral committee will decide on the objection
after hearing the examination committee.

(3) The provisions of the Administrative Court Code apply to the objection.

§ 20 Ombudsman procedure

(1) The contact person for the doctoral students of the Faculty of Environment and Natural Resources as well as their supervisors
for all conflicts arising from the supervisory relationship and the work on the dissertation is the Senate of the Albert-Ludwigs
University appointed ombudspersons.

(2) The implementation of the ombudsman procedure is regulated in the statutes of the Albert-Ludwigs-Universität Freiburg for
the implementation of the central ombudsman procedure.

§ 21 Protection periods

(1) At the request of a doctoral student, the protection periods are in accordance with Section 3 Paragraph 1 and Section 6
Paragraph 1 of the Act to Protect Working Mothers (Maternity Protection Act - MuSchG) in the version announced on June 20,
2002 (BGBl. I p. 2318) must be taken into account in the currently valid version. The required evidence must be enclosed with
the application. The maternity protection periods interrupt any period according to these doctoral regulations.

(2) Likewise, the periods of parental leave are in accordance with Section 15 paragraphs 1 to 3 of the law on parental allowance
and parental leave (Federal Parental Allowance and Parental Leave Act - BEEG) of December 5, 2006 (BGBl. I p. 2748) in the
currently valid version application to be considered. The doctoral candidate must notify the doctoral committee in writing of the
period for which he/she wants to take parental leave at least four weeks before the date from which he/she wants to take
parental leave, enclosing the necessary evidence. The doctoral committee must check whether the legal requirements are met
that would give employees a right to parental leave and inform the doctoral candidate of the result and, if applicable, the newly
set examination deadlines or other deadlines.
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(3) The use of the protective provisions for the care of a close relative within the meaning of Section 7
Paragraph 3 of the Act on Care Leave (Care Leave Act - PflegeZG) of May 28, 2008 (BGBl. I p. 874, 896) in
the respective current version, who is in need of care within the meaning of §§ 14 and 15 of the Eleventh
Book of the Social Security Code (SGB

§ 22 Compensation for disadvantages

(1) Doctoral candidates with disabilities or chronic illnesses that make it difficult to provide doctoral work
should, upon request, be granted appropriate compensation for disadvantages by the doctoral committee.
The doctoral committee determines the form and scope of the compensatory measure depending on the
severity of the proven disability or illness that makes it difficult to complete the doctoral work. As a
compensatory measure, the examination deadlines provided for in these doctoral regulations can be
extended appropriately; In addition to or instead of this, appropriate compensation can also be granted in
another form.
(2) The application for compensation for disadvantages must be submitted at the latest with the application
to open the doctoral process. Proof of the disability or illness within the meaning of paragraph 1 sentence 1
must be provided by a medical certificate that contains the medical findings necessary for the assessment.
The doctoral committee can generally or in individual cases request the presentation of a certificate from a
doctor appointed by it.
(3) In disputed cases, the representative for students with disabilities or chronic illnesses must be heard,
with the consent of the doctoral candidate, before the doctoral committee makes a decision in accordance
with paragraph 1, sentence 2.

§ 23 Storage of examination documents

(1) After successful completion of the doctoral process, the examination documents including the dissertation
will be added to the files of the Faculty of Environment and Natural Resources.
(2) If the dissertation is rejected or the doctoral examination is ultimately not passed, the dissertation and all
reports remain in the faculty's files.
(3) The examination documents must be kept by the faculty for five years. After the retention period has expired, the
examination documents in accordance with paragraph 1 must be handed over to the university archives and the examination
documents in accordance with paragraph 2 must be offered.

§ 24 Inspection of the examination documents

The doctoral candidate must be granted access to the examination documents within one year of completing
the doctoral process. The chair of the doctoral committee determines the time and place for inspection.

§ 25 Doctorate in joint supervision with other universities

(1) The implementation of joint doctoral procedures with one or more other domestic or foreign universities
with the right to award doctorates takes place on the basis of an agreement between the Albert Ludwig
University and the relevant university or universities. This cooperation agreement must be signed by the
doctoral candidate and, on the part of the Albert-Ludwigs University, by the supervisor, the chair of the
doctoral committee and the rector. The cooperation agreement requires the approval of the doctoral
committee. The following content in particular must be regulated in the cooperation agreement:

1. carrying out the scientific supervision of the doctoral candidate,

2. the minimum scope of research stays at the partner universities,
3. the examination modalities including the language to be used and the composition of the examination
commission and the applicable grading system,
4. the modalities of awarding the doctoral certificate,
5. the obligation to publish the dissertation,
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6. the assumption of travel costs.

(2) The general provisions of these doctoral regulations apply to doctoral degrees that the Albert Ludwig University
carries out in joint supervision with other universities authorized to award doctorates, unless special regulations
are made below.
(3) The doctoral candidate is taught by an academic teacher from the other universities involved and by an
academic teacher from the Faculty of Environment and Natural Resources who meets the requirements in
accordance with Section 3 Paragraph 1 Sentence 1 fulfilled, looked after.
(4) The doctoral candidate decides, in agreement with the dissertation supervisors, at which of the participating
universities the doctoral process will be carried out.
(5) The dissertation can also be submitted in a language other than German or English; Section 9 paragraph 2
applies accordingly. The participating faculties and universities must be stated on the back of the title page of the
dissertation.
(6) The following applies to the assessment of the dissertation, the implementation of the oral examination, the
determination of the overall results of the doctorate and the options for repeating the doctorate
Regulations of the university at which the doctoral procedure is carried out, whereby the following conditions
must be met:
1. If the doctoral procedure is not carried out at the Albert-Ludwigs-Universität, it must be ensured that at least
one specialist representative from the Faculty of Environment and Natural Resources at the Albert-Ludwigs-
Universität who meets the requirements in accordance with § 3 paragraph 1 fulfilled, is involved as an
assessor in the doctoral process at the other university.
2. If the doctoral procedure is carried out at the Albert Ludwig University, at least one representative of the other
participating universities will be appointed as an assessor who meets the requirements in accordance with
Section 3 Paragraph 2 Fulfills.

(7) The doctoral certificate contains the names and signatures of the persons designated in accordance with the
doctoral regulations of the participating universities and is affixed with the seal of the Albert-Ludwigs University
and the seal of the other participating university/colleges or faculty/faculties. It contains the name of the academic
degree of a Doctor of Natural Sciences, a Doctor of Philosophy or a Doctor of Philosophy and, if applicable, the
corresponding foreign academic degree. The doctoral certificate states that it is a doctorate under joint supervision.
If two doctoral certificates are issued, sentences 1 to 3 apply accordingly.

(8) Upon receipt of the doctoral certificate, the doctoral candidate receives the right to receive the doctoral degree
in the Federal Republic of Germany and, in the case of a joint doctorate with a foreign university, the corresponding
academic degree in the state to which the foreign university involved belongs respectively. Authorization to hold
only one doctoral degree is acquired.
(9) For the publication of the dissertation and the number of mandatory copies, reference can be made in the
cooperation agreement to the law of the or another participating university.
It must be ensured that the Faculty of Environment and Natural Resources receives at least three mandatory copies
and that the Freiburg University Library receives the number required in accordance with Section 14 Paragraph 4
Sentence 1 No. 2, depending on the type of publication.

§ 26 Doctoral Candidates’ Convention

(1) The doctoral students from the Faculty of Environment and Natural Resources accepted for doctoral studies
form a doctoral student council.

(2) The Doctoral Candidates' Convention can advise on questions concerning doctoral students and make
recommendations to the university's bodies. The drafts of the doctoral regulations are sent to the doctoral
students' council for comment; the statement will be attached to the Senate documents.

(3) The Doctoral Candidates' Convention establishes its rules of procedure and elects a board of directors. Further
information on the organization of the Doctoral Candidates' Convention and the election procedure for the Board
of Directors is governed by the rules of procedure, which the Doctoral Candidates' Convention decides with the
majority of its members present.
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(4) A member of the Board of the Doctoral Candidates Convention can take part in the meetings of the Grand
Faculty Council in an advisory capacity when discussing drafts of the doctoral regulations.

§ 27 Doctoral anniversary

The Faculty of Environment and Natural Resources can renew the doctorate by issuing a certificate on the twenty-
fifth and fiftieth anniversary of the doctoral day. The scientific or other public merits of the honoree after their
doctorate that become known to them are expressed in a laudatory speech. The decision on this is made by the
Grand Faculty Council.

§ 28 Honorary doctorate
(1) The Faculty of Environment and Natural Resources awards, as a rare distinction, the degree of honorary doctor
of natural sciences (Doctor rerum naturalium hono ris causa, abbreviated Dr. rer. nat.) as a special recognition of
outstanding scientific achievements in the subject areas represented at the faculty . hc) or an honorary doctor of
philosophy (Doctor philo sophiae honoris causa, abbreviated Dr. phil. hc). Women can also use the female form of
the honorary doctorate.

(2) The Grand Faculty Council, in consultation with the Senate, decides on the award of an honorary doctorate and
on the withdrawal of the degree of honorary doctorate in accordance with Section 18.

(3) The application for the award of an honorary doctorate must be submitted in writing to the chair of the doctoral
committee by one or more university lecturers or private lecturers of the Faculty of Environment and Natural
Resources. The application must contain:

1. a biography of the person to be honored,

2. a list of writings of the person to be honored,
3. a detailed justification and
4. a draft version of the document.
After checking whether it is complete, the chair of the doctoral committee forwards the application to the Grand
Faculty Council.

(4) The Grand Faculty Council sets up a commission that examines the requirements for an honorary doctorate and
prepares a report for the Grand Faculty Council to make a decision. The commission consists of: the applicant or
one of the applicants as their representative, as well as three other university lecturers or private lecturers, a
member of the academic service with a doctorate and a student /a student with an advisory voice.

(5) The Grand Faculty Council decides on the application, taking into account the commission's report, with a two-
thirds majority of its voting members.
(6) The recipient of the honor will only be informed of the intended honorary doctorate once the procedure has been
completed. The dean will offer him/her the honorary doctorate.
(7) The award of the honorary doctorate should take place through the ceremonial presentation of the certificate by
the dean in the presence of the members of the faculty. The academic merits of the person being awarded a
doctorate must be acknowledged in the certificate. The certificate is signed by the rector and the dean and bears
the university seal.

§ 29 Entry into force and transitional provisions

(1) These doctoral regulations come into force on April 1, 2016. At the same time, the doctoral regulations for the
Faculty of Environment and Natural Resources at the Albert-Ludwigs-Universität Freiburg i. Br. from
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January 22, 2009 (Official Announcements Vol. 40, No. 5, pp. 7-21), last changed on May 31, 2013 (Official
Announcements Vol. 44, No. 33, pp. 468-469), no longer valid.
(2) The previous regulations apply to doctoral procedures that have already been opened at the time these doctoral
regulations come into force or whose opening has already been applied for at this time.

(3) For doctoral students who have already been accepted for a doctorate at the time these doctoral regulations come
into force and who have not yet applied for the opening of the doctoral procedure, the previous regulations apply, unless
the doctoral candidate expressly requests the application of these doctoral regulations requested.

Freiburg, February 29, 2016

Prof. Dr. Gunther Neuhaus

Vice Rector
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Attachment

(on Section 7 Paragraph 1 Sentence 3 No. 7)

Declaration of an oath

The affidavit must generally be submitted in writing. The possibility of recording the affidavit for transcription remains
unaffected. The written declaration has the following wording:

"Declaration of an oath
in accordance with Section 7 Paragraph 1 Sentence 3 No. 7 of the Albert Ludwig University's doctoral regulations for the
Faculty of Environment and Natural Resources

1. When submitting the dissertation on the topic

_____________________________________________________________________________
This is my independently performed work.

2. I only used the sources and resources specified and did not use any unauthorized help from third parties. In particular,
I have identified content taken literally or analogously from other works as such.

3. I have the dissertation or parts of it

(Please check the relevant box)

ÿ not yet at a university in Germany or abroad as part of an examination or qualification

cation performance presented.

ÿ presented as follows at a university in Germany or abroad as part of an examination or qualification achievement:

Title of the work submitted elsewhere:

_____________________________________________________________________________
Name of the relevant university:

_____________________________________________________________________________

Year of submission of the work:

_____________________________________________________________________________

Type of examination or qualification achievement:

_____________________________________________________________________________

4. I confirm the accuracy of the above statements.

5. The meaning of the affidavit and the criminal consequences of an incorrect one
I am aware of any or incomplete affidavits.

I certify under oath that I have stated the pure truth to the best of my knowledge and have not concealed anything.

_____________________________ _____________________________________________
place and date Signature"