5 On the weekdays which follow, the numbered Proper which corresponds most closely to the date of Pentecost in that year is used. See page 158. Trinity Sunday 8 Genesis 1:1 2:4a or Canticle 2 or 13 2 Corinthians 13:11-13 Matthew 28:16-20 On the weekdays which follow, the numbered Proper which corresponds most closely to the date of Trinity Sunday in that year is used. The Season after Pentecost (Ordinary Time) This lectionary provides two patterns for the Old Testament reading during the Season after Pentecost, beginning with Proper 4. In one pattern, the Old Testament and Gospel readings are closely related each Sunday; in the other, the Old Testament is read in semi-continuous fashion throughout the season, and the readings are not paired with each Sunday Gospel. Congregations may choose each year whether to use the semi-continuous Old Testament readings or the readings that are related to the Gospel, using as well the psalm associated with their choice of Old Testament reading. They should remain with that pattern for the entire lectionary year and may make a different choice in another year. Old Testament and s Proper 1 Deuteronomy 30: Corinthians 3:1-9 Closest to or Sirach 15:15-20 Matthew 5:21-37 May 11 Ps. 119:1-8 Proper 2 Leviticus 19:1-2, Corinthians 3:10-11,16-23 Closest to Ps. 119:33-40 Matthew 5:38-48 May 18 Proper 3 Isaiah 49:8-16a 1 Corinthians 4:1-5 Closest to Ps. 131 Matthew 6:24-34 May 25 Old Testament and s Proper 4 Genesis 6:9-22; Romans 1:16-17; Closest to 7:24; 8: :22b-28,(29-31) June 1 Ps. 46 Matthew 7:21-29 or Deuteronomy 11:18-21,26-28 Ps.31:1-5,19-24 Proper 5 Genesis 12:1-9 Romans 4:13-25 Closest to Ps. 33:1-12 Matthew 9:9-13,18-26 June 8 or Hosea 5:15 6:6 Ps. 50:7-15 Proper 6 Genesis 18:1-15, Romans 5:1-8 Closest to (21:1-7) Matthew 9:35 10:8,(9-23) June 15 Ps. 116:1,10-17 or Exodus 19:2-8a Ps. 100 Proper 7 Genesis 21:8-21 Romans 6:1b-11 Closest to Ps. 86:1-10,16-17 Matthew 10:24-39 June 22 or Jeremiah 20:7-13 Ps. 69: 8-11, (12-17),18-20 Proper 8 Genesis 22:1-14 Romans 6:12-23 Closest to Ps. 13 Matthew 10:40-42 June 29 or Jeremiah 28:5-9 89:1-4,15-18 Proper 9 Genesis 24:34-38, Romans 7:15-25a Closest to 42-49,58-67 Matthew 11:16-19,25-30 July 6 Ps. 45:11-18 or Song of Solomon 2:8-13* or Zechariah 9:9-12 Ps. 145:8-15 *As a Canticle 896 Lectionary A Lectionary A 897
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1 Document control information Published document name: loneworking-gn.pdf Date issued: October 2013 Version: 8.0 Previous review dates: Next review date: Related documents: Governing policy: Guidance to policy: Legislation or related information: August 2011 (V7.0) Following a significant change in information only, or no later than October 2018 Bristol City Council Lone Worker Protection Service Information n/a n/a Management of Health and Safety at Work Regulations 1999 Workplace (Health, safety and Welfare) Regulations 1992 Document owner: Document approved by: Lead contact: Tony Butterworth, Health & Safety Adviser Peter Adams, Director of Health and Safety Tony Butterworth, Health & Safety Adviser Page 1 of 12
2 Contents 1. Scope Introduction Definition of lone working Responsibilities Head of School/Service responsibilities Line manager or supervisor responsibilities Employee responsibilities Student responsibilities Risk assessment The risk assessment process Summary of actions required Useful information Safety & Health Services website links Health and Safety Executive (HSE) guidance Other guidance Appendix example risk assessment Scope This guidance document outlines some of the potential hazards associated with lone working, defines roles and responsibilities and describes the practical steps that can be taken to minimise any risks and to comply with legislation. The document is not intended to prohibit or place rigid restrictions on lone working but rather to provide guidance to enable Schools and Services to develop their own local rules based on the principles of measured risk management. 2. Introduction The principal aim of the guidance is to ensure that any lone working carried out for the purpose of University business is performed in a controlled and co-ordinated manner therefore minimising any health and safety risks to members of staff and students. Page 2 of 12
3 The guidance outlines some of the potential hazards associated with lone working, defines roles and responsibilities and describes the practical steps that can be taken to minimise any risks and to comply with legislation. 3. Definition of lone working A lone worker for the purposes of this guidance is defined as someone who works on their own with no close or direct supervision. Lone working is not where individuals experience transient situations in which they find themselves alone, but where individuals are knowingly and foreseeably placed in circumstances in which they undertake work activities without direct or close supervision. In practical terms, persons are considered to be working alone if they have neither visual nor audible communication with someone who can summon assistance in the event of an accident or illness. Lone working is undertaken by a range of University employees and students either by virtue of their working hours, remote location or methods of working. Some common examples include: security, librarians and Grounds and Gardens staff; cleaning and portering staff; maintenance staff and service engineers; individuals who work on their own in a laboratory or workshop; members of staff or students undergoing fieldwork within the UK or abroad; staff or students undertaking research based in the community; students undertaking practical or experimental work as part of their academic programme; home workers; members of staff travelling alone on University business. 4. Responsibilities Under the Health and Safety at Work etc. Act 1974, the University as an employer has a duty to ensure, so far as is reasonably practicable, the health, safety and welfare at work of all its employees. There is also contained in the legislation a general duty of care to protect students and members of the public. These requirements are applicable to all work situations, including where staff (and others) are working alone or outside normal working hours. Page 3 of 12
4 4.1 Head of School/Service responsibilities The Head of School/Service is responsible for ensuring that arrangements are in place to eliminate the risk from lone working where possible and effectively manage lone working in their areas of responsibility and that these arrangements are communicated to all staff, students and visitors via a local rules document. 4.2 Line manager or supervisor responsibilities The Head of School/Service meets their responsibility by delegating to line managers or supervisors who have the responsibility to ensure that: All lone working activities are formally identified and appropriate risk assessments undertaken, which identify the risk to lone workers and the control measures necessary to minimise those risks, as far as reasonably practicable. Arrangements for lone working are communicated effectively and the details of what can or cannot be done while working alone is explicit. The lone worker is made aware of the hazards and understands all the necessary control measures that need to be put in place. Reasonable enquiries are made to ensure that the lone worker is medically fit to undertake the work alone. Adequate supervision, instruction and training are in place and that the lone worker is competent. The extent of the supervision is a management decision, which should be established through the risk assessment process. It should not be left to individual members of staff or students to decide if they require assistance/supervision. Monitoring of lone working practices is in place to ensure that control measures identified in the lone working risk assessment are being adhered to. 4.3 Employee responsibilities All employees have a responsibility to take care of their own safety and to co-operate with University procedures. Employees should not knowingly place themselves in situations which expose them to additional risk by working alone. If a person finds that they are placed in a situation, which may be considered to be that of a lone worker, then they should ensure that their line manager is made aware of the circumstances at the earliest opportunity and then assist in the process of identifying Page 4 of 12
5 the steps needed to either prevent the lone worker situation from arising, or, if this is not possible, assist in developing the precautions necessary to ensure their own safety. Lone workers have a responsibility to inform their line manager if they have any concerns over the effectiveness and efficiency of the agreed arrangements and also if there are any reasons why they would not be able to work alone or to continue to work alone in safety. 4.4 Student responsibilities Students also have responsibilities to comply with health and safety instructions, including the University's rules and regulations for students, and not to misuse or damage equipment provided. They may be held responsible for the consequences should they neglect to carry out a task required for the health or safety of others. Therefore students must follow any local rules with regard to lone working on University premises or during their study or research. 5. Risk assessment To satisfy the legislative requirements, it is necessary for the risks associated with lone working to be assessed. A school/service generic risk assessment covering all employees may be appropriate for a low risk environment e.g. lone working in an office. Specific risk assessments will be a requirement for high risk activities such as fieldwork in remote locations. It is expected that the risk assessment process is undertaken as a collaborative exercise by both the lone worker and their line manager/supervisor and that the agreed safe working procedures are recorded and communicated to all persons who may be required to work alone and any other employees who have a role to play in ensuring their safety. The following outlines the five steps that must be taken for a lone working risk assessment: 1. Identify the hazards to which the person(s) may be exposed. The hazards are likely to be the same for a particular activity whether lone working or not. The assessment of the risks to which a lone worker may be exposed must take into account normal and foreseeable scenarios. The hazards may be such that the risk cannot be controlled sufficiently and therefore lone working is prohibited. Examples of high risk activities where at least one other person may need to be present include: Page 5 of 12
6 working in a high risk confined space where a supervisor may need to be present, along with someone dedicated to the rescue role; people working at or near live electricity conductors; other electrical work where at least 2 people are sometimes required. High risk activities that require specific attention when planning safe lone working arrangements include working with: chemicals, particularly corrosive, toxic, explosive, flammable, asphxyiant, or narcotic substances, products or reactions; cryogenic substances; class 3B/4 lasers where the beam is not fully enclosed; power tools and machinery; working on or near water; working at height. 2. Identify all persons who may be required to work alone. Consideration must be given an individual s ability to carry out their activities safely on their own. Some individuals may be at greater risk than others for example new and expectant mothers and young persons or those who are new to a role. Consideration must also been given to students due to their possible lack of experience in the work they are doing. It may be necessary to make reasonable enquiries to ensure that lone workers are medically fit to undertake the work alone. Both routine work and foreseeable emergencies may impose additional physical and mental burdens on the individual. When medical advice is necessary, the University Occupational Health Service should be consulted. 3. Assess whether current controls are adequate, and if not, consider what additional/alternative control measure(s) can be put in place. Examples of control measures could include the provision of suitable training, occupational health fitness assessments and/or effective communication strategies. It may be necessary to prohibit certain tasks or activities if the risks cannot be adequately controlled (see hazard section listed above). University Security Services are not able to provide a monitoring service to staff or students who are working alone in a University building. However, Security Services will provide a service to escort staff to their car after normal office and can be contacted on ext There are systems in operation locally for lone working monitoring. Bristol City Council offers such a scheme for lone working monitoring, (costing 1.00 per person, per week) details can be found under useful information (section 7) in this document. Page 6 of 12
7 4. Record the findings. Record your risk assessment findings for any significant risks identified. Have a procedure in place that ensures that the lone worker is made aware of the findings of the risk assessment. 5. Monitor and review the risk assessment. Arrangements which are implemented to ensure the safety of lone workers need to be subject to a monitoring regime which is commensurate with the risk, by their supervisor/line manager. This may range from simple periodic visits, to the more complex implementation of Permits to Work, Review the risk assessment regularly for example if any significant changes take place, following an accident / incident or following any concerns being raised. Any review should make sure existing control measures are adequate and check if any additional controls are needed. Where contingency plans form part of the arrangements, they should be clear, precise, communicated, practised and subject to periodic monitoring and review. 6. The risk assessment process The following is a list of key questions which can be used as a checklist for the completion of a suitable and sufficient risk assessment. It provides an indication on whether the risks can be adequately controlled by one person: Does the workplace present a special risk to a lone worker e.g. due to environment, location, contents, unfamiliarity, etc.? The building Facilities Manager may need to be contacted to ensure a safe entry/exit to the workplace. Does the work activity present a special risk to a lone worker equipment, process, substance, location, time, members of the public? Is there safe entry and exit from the location for one person both in the course of the normal work and in the event of an emergency? This may include information on not using lifts in an emergency. Can the equipment in use be adequately controlled and handled by one person? Can all goods, substances and materials in use be safely handled by one person? Is the working environment appropriate heating, lighting, ventilation, etc.? Are the welfare facilities adequate and accessible - toilet, washing facilities, drinking water, etc.? Does the lone worker have, or have access to, first aid facilities? Page 7 of 12
8 Does the lone worker have access to a suitable means of communication, or other means of summoning assistance, should this be required telephone, mobile phone, radio, inactivity alarm, etc.? Is there a risk of violence associated with the work activity and/or location? Is the lone worker more at risk due to their gender or inexperience? Has the employee received sufficient information, instruction and training to enable the work to be undertaken safely whilst alone? Has the employee received specific training in how to respond to foreseeable emergencies which may arise in the course of their work alone? Is the lone worker medically fit to undertake the work alone? And is there a requirement for on-going health checks, health monitoring? Are there contingency plans in place should an alert/alarm be raised by a lone worker and are these plans well known and rehearsed what to do, who to contact, etc.? 7. Summary of actions required Schools and Services must assess the risks to the lone worker by means of a risk assessment. Once the risk assessment has been carried out, the necessary controls identified should be implemented. If required, the lone worker should receive the correct information and training with regards to the hazards identified. Arrangements should be in place to establish a form of communication with the lone worker. Periodical monitoring of lone working practices should be carried out to ensure that all procedures are correctly working. 8. Useful information 8.1 Safety & Health Services website links Health and Safety policies, responsibilities and organisation: General risk assessment policy and guidance: Page 8 of 12
9 Home working guidance: Community based research, health and safety guidance: Health and Safety Executive (HSE) guidance Working Alone Health and safety guidance on the risks of lone working Other guidance Suzy Lamplugh Trust: Bristol City Council Lone Worker Protection Service: See related documents associated with this guidance on the Safety & Health Services website: Page 9 of 12
10 8.4 Appendix example risk assessment University of Bristol Lone working risk assessment School or Service: Safety & Health Services Description and location of hazard Out of hours lone working in low risk office environment Page 10 of 12 Who might be harmed Staff Risk assessment completed by: Tony Butterworth Date: 22nd August 2013 Existing control measures A. B. Likely Likely severity of occurre injury nce (1 (1 to 3) to 3) Lone working after hours or at weekends discouraged by the Director of Health and Safety. No higher risk work to be carried out of hours, this includes working in the radiation store and/or radiation lab area. Signing in and out board is situated in the main office to be completed when member of staff leaves the office. It is the responsibility of the last person in the office to monitor the board and ensure that they know the safe whereabouts of their colleagues before they go home. If they are in any doubt they must contact the individual s immediate line manager to make them aware of the situation. Members of staff are required to make sure that they inform their line manager if they are intending to work at weekends from the main office. Appropriate arrangements can then be put in place to ensuring that someone knows where they are and their estimated Risk rating (A) x (B) Commen ts/ actions
11 return time. Score Column A: Severity of injury: Major injury or death Injury requiring medical Minor or no injury treatment Column B: Likely occurrence: Regular exposure of several employees to hazard. Occasional exposure of few employees. Exposure to hazard very rare. Risk score Response times Risk score Response times 9 Immediate cessation of activity until interim controls are agreed and implemented 6 Critically examine the areas of exposure in the process and agree timetable for completion of all agreed actions 3 & 4 Review on change of process or if circumstances change. Provide additional training, supervision and monitoring. <3 12 months review (date of next audit). No real changes in procedure required to reduce risk further Page 11 of 12
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2 Doctorate Rules and Regulations of the Department of Mathematics and Computer Science of Freie Universität Berlin Preamble Based on Section 14, para. 1 No. 2 of the partial basic regulation (trial model) of October 27, 1998 (FU Notification 24/1998) in connection with Section 70, para. 5 of the Higher Education Act in the State of Berlin (Berliner Hochschulgesetz - BerlHG) in the version of its publication of the revised version of February 13, 2003 (GVBl. p. 81), most recently amended by the law of July 6, 2006 (GVBl. p. 713), the faculty council of the Department of Mathematics and Computer Science at Freie Universität Berlin has issued the following doctorate rules and regulations on July 19, 2006: Table of Contents 1 Definition of the terms doctorate and doctoral degree 2 Execution of doctoral procedures 3 Admission to the doctoral procedure 4 Registration as doctoral candidate 5 Dissertation project, normal doctorate period 6 Supervision of the Dissertation Project 7 Dissertation and Topic of the Oral Exam Presentation 8 Dissertation assessment 9 Doctoral commission 10 Dissertation decisions and oral exam scheduling 11 Oral exam [Disputation] 12 Decision on the doctorate 13 Additional doctoral subjects 14 New doctoral procedures 15 Withdrawal of the doctoral application and discontinuation of the procedure 16 Doctoral certificate 17 Dissertation publication 18 Forms of publication, submission provisions 19 Joint doctorate with foreign institutions 20 Appeal 21 Revocation of the doctoral degree 22 Honorary doctorate 23 Legal effectiveness and interim provisions 1 Definition of the Terms Doctorate and Doctoral Degree (1) The Department of Mathematics and Computer Science of Freie Universität Berlin confers the academic degree of Doctor of Natural Sciences (doctor rerum naturalium, abbreviated: Dr. rer. nat.) on the basis of a properly executed doctoral procedure and in accordance with the following provisions. Wahlweise können Frauen anstelle des akademischen Grades gemäß Satz 1 den akademischen Grad der Doktorin der Naturwissenschaften (doctor rerum naturalium, abgekürzt: Dr. rer. nat.) erhalten. (2) The doctorate confirms the successful completion of one of the study programs in the subjects offered by the Department of Mathematics and Computer Science and the qualification for in-depth scientific work through in-depth research. The doctoral work shall consist of a scientific paper (dissertation) and an exam colloquium (oral exam) in the doctoral subject. The doctorate may constitute the culmination of post-graduate or doctoral studies. 2 Execution of Doctoral Procedures (1) The faculty council shall appoint the doctoral committee at the beginning of its term. This committee is responsible for the proper execution of doctoral procedures and all other doctoral matters pertaining to the department. The doctoral committee shall consist of at least three full-time professors and one academic staff member with a doctorate. The doctoral committee must include professors from the three subjects. The professors have the majority of the votes. A substitute must be appointed for each member. (2) The doctoral committee can independently or upon request by the doctoral candidate make the necessary decisions In the event of suspected procedural errors that have occurred during the execution of a doctorate In the event of disputes between the doctoral candidate and a supervisor (3) Applications regarding para. 2 must be made immediately. (4) The assessment of doctoral work (dissertation and oral exam) is the responsibility of a doctoral commission that is appointed by the doctoral committee (Section 9). * This regulation was approved on September 06, 2006 by the Senate Committee for Higher Education. 14 FU Communication 2/2007 of Jan. 08, 2007
3 3 Admission to Doctoral Procedure (1) The prerequisites for admission to the doctoral procedure are as follows: 1. The candidate must have successfully earned his or her university degree at a university within the area of application of the Framework Act for Higher Education that is essential for the doctorate by having passed A Master s examination, A diploma examination, or The first State Examination for teachers trained to teach at general education or vocational schools with a minimum grade of good. Applicants whose grade for the first State Examination is less than good can also be admitted as an exception, if his or her scientific publications to date give rise to the expectation that the candidate is capable of earning a doctorate. The doctoral committee is authorized to make that decision. Applicants can be admitted with a Bachelor s degree in one of the subjects essential for the doctorate, if they successfully pass an assessment test in the doctoral subject and subjects closely associated with the dissertation project, which is administered by two full-time professors. The assessment test must match the requirements and procedures for a qualifying examination for Diploma or Master's examination and the respectively applicable rules and regulations for Diploma and Master's examinations of the Department of Mathematics and Computer Science. 2. If the applicant has a university degree from a university of applied sciences [Fachhochschule] or a university degree in a subject essential for a doctorate in mathematics and computer science that does not comply with the requirements listed under 1, the applicant can be admitted to the doctoral procedure, if the doctoral committee is convinced that the applicant is qualified for the doctoral subject. Upon having conferred with a representative of the respective field, the doctoral committee can admit an applicant conditionally to the doctoral procedure, and require the applicant to submit graded course assessments within a certain period of time, which are required to prove the applicant's knowledge regarding the doctorate he or she is applying for in addition to already submitted documents. 3. The submission of a working title and a description of the dissertation project that fulfills the requirements of Section 5, in a subject area pertaining to Mathematics, Computer Sciences, or Bioinformatics that is represented by at least one full-time professor from the department. 4. Presentation of a statement by a professor indicating that he or she is prepared to supervise and review the dissertation project. 5. The applicant cannot already have a doctorate in mathematics, computer science, and/or bioinformatics. Furthermore, the applicant cannot concurrently be involved in a doctoral procedure in mathematics, computer science and/or bioinformatics at another university or institution entitled to award doctorates. 6. The applicant must have the required means (Section 3, para. 3, sub-para. 5). 7. If a group of applicants applies for admission to the doctoral procedure with a jointly to be worked on dissertation project, the description of the dissertation project must provide information on the reasons for the collaboration. The doctoral committee shall, if necessary and in cooperation with the planned supervisors, decide if there are any reasons that would justify the joint work on the dissertation project and the size of the group. If there are justifying reasons, the group must be admitted to the doctoral procedure, if each of the applicants fulfills the prerequisites as per Section 3, para 1 sub-para. 1. For all other matters, the meanings of all provisions of these doctorate rules and regulations also apply to groups. (2) Notwithstanding para 1, sub-para. 3, an already completed dissertation may be submitted in justified exceptional cases. (3) Applications for admission to the doctoral procedure must be submitted in writing to the chair of the doctoral committee. They must be accompanied by: 1. All documents required as per para. 1, 2. A certificate of good conduct not older than three months pursuant to Section 30, para. 1 of the BZRG (National Central Registry and Education Registry). 3. A resume in the form of a table, 4. A written statement on whether the applicant has previously applied for a doctoral procedure at another university or another department of Freie Universität Berlin, if applicable, including all respective information on its results, 5. A written statement indicating which actual and personal means are probably required for the execution of the doctoral procedure, 6. A written statement that the candidate is familiar with the currently valid doctorate rules and regulations, and 7. bei Frauen eine Erklärung über den gewünschten Grad gemäß 1 Abs. 1. FU Communication 2/2007 of Jan. 08,
4 (4) The chair of the doctoral committee shall inform all departments that are involved in applications for admission to doctoral procedures with an interdisciplinary topic. The doctoral committee shall subsequently decide, if the procedure can be carried out at the Department for Mathematics and Computer Science. (5) The applicant can request an exam in an additional subject or exams in additional subjects pursuant to Section 13. The chair of the doctoral committee shall then inform the respective departments. (6) The doctoral committee shall rule on applications for admission to the doctoral procedure within one month, during the free reading period within 6 weeks at the latest. The chair of the doctoral committee must inform the applicant on the admission in writing. The chair must inform the applicant in writing if his or her application has been rejected and provide the reasons for it. (7) Admission can only be refused if: 1. The prerequisites listed in para. 1 are not fulfilled or 2. The documentation submitted together with the application for admission is incomplete and has not been completed within three months after having been requested to do so or 3. The period as per Section 14 has not ended yet or 4. The description of the dissertation project and/or the submitted dissertation pursuant to Section 3 para. 2 does not comply with the requirements of Section 5, para. 3, sub-para. 1. (8) The doctoral committee must be informed in the event significant changes were made to the requirements that have led to the admission to the doctoral procedure. The doctoral committee shall then verify, if the necessary requirements for admission are still met, and shall decide on the continuation of the doctoral procedure. 4 Registration as Doctoral Candidate (1) Doctoral candidates, who are not already members of Freie Universität Berlin because they work for the university or are enrolled in a study program, must register as a doctoral candidate at Freie Universität Berlin. (2) If the candidate does not register within the time period provided in the notice of admission to the doctoral procedure and/or the grace period, the admission to the doctoral procedure will expire. This does not, however, preclude a new application for admission to the doctoral procedure. 5 Dissertation Project, Normal Doctorate Period (1) The candidate is free to choose the topic of the dissertation. It is recommended, however, that it is geared towards the research areas of the department. Generally, the dissertation project should be completed within four years (normal doctoral period). Persons, who have no responsibilities other than their doctorate, are expected to complete their doctorate within three years. Should a doctoral candidate exceed the normal doctorate period, he or she must present a statement from the doctoral committee to the university administration indicating the status of the dissertation and the amount of time the candidate probably still requires. If the statement is not submitted within three months of the doctoral candidate having been asked to do so for reasons the doctoral candidate is responsible for, the admission to the doctoral program expires. (3) The description of the dissertation project (Section 3, para. 1, sub-para. 3) must show that the doctoral candidate has an overview of the current research status pertaining to the special field of the dissertation project, knows how to integrate it into a wider, subjectrelated context, and that the dissertation is expected to make a new research contribution. The doctoral committee may obtain an expert opinion, if it has serious doubts regarding the fulfillment of the requirements listed in sentence 1. 6 Supervision of the Dissertation Project (1) The Department of Mathematics and Computer Science must guarantee the supervision and review of the work for the duration of the doctoral procedure. (2) A dissertation project is usually supervised by a qualified professor of the department. This professor shall, pursuant to Section 3, para. 1, sub-para. 4, provide a statement indicating that he or she is prepared to supervise and review the dissertation project. Upon request, the supervisor shall inform the doctoral commission on the status of the dissertation. Professors from a university of applied sciences may be actively involved in the supervision, if the supervisor and the doctoral candidate agree. (3) The supervisor must make him or herself adequately available to the doctoral candidate to advise the candidate and to discuss the dissertation project. 16 FU Communication 2/2007 of Jan. 08, 2007
5 (4) The supervisor shall advise the applicant with regard to scholarships and other assistance. (5) Should the supervisor or the doctoral candidate feel compelled to terminate the supervisory relationship while the project is ongoing, they must immediately inform the doctoral committee and state the reasons. The doctoral committee shall decide if a new supervisor needs to be appointed. If a supervisor leaves Freie Universität Berlin, the supervisor shall be entitled to complete the supervision of a commenced dissertation and to remain a member of the doctoral commission. 7 Dissertation and Topic of the Oral Exam Presentation (1) The doctoral candidate must present a dissertation in terms of Section 5. The dissertation must be submitted to the department s examination office. (2) A dissertation may be submitted as the work of an individual (individual dissertation) or as an individual work that is part of a group project (dissertation as part of a group project). The scope and type of the work contributed to the dissertations must satisfy the general requirements, and must be clearly defined and assessable. (3) A completely or partially published paper cannot have been outdated by articles published since then by other authors. The reviewer shall determine if this requirement is fulfilled (Section 8). (4) The doctoral candidate must reference all resources and aids that were used and assure that the paper was authored independently on this basis. The paper cannot have been submitted as part of an earlier doctoral procedure. In the event of doubt, papers from earlier doctoral procedures (Section 3, para. 3, subpara. 2, No. 4) must be submitted for comparison purposes. (5) The dissertation must be submitted in German or English. (6) The dissertation s title page must include the topic, the author s or authors name(s), list the Department of Mathematics and Computer Science of Freie Universität Berlin and the year of submission. It must also include a cover page for the names of the reviewers. The appendix must include a summary of the results of no more than one page in German and, subject to the doctoral candidate s approval, a brief resume. (7) The dissertation must be submitted in quintuplicate. One copy must be appropriate for a later duplication. One copy remains with the department. (8) After the review process, the doctoral candidate shall submit a suggestion for a presentation topic for the oral exam that must include a brief abstract. The doctoral candidate may seek the advice of the supervisor or the doctoral commission with regard to the selection of the presentation topic. The doctoral commission shall decide on the acceptance of the suggested presentation topic. If needed, a second suggestion may be requested. 8 Dissertation Assessment (1) The doctoral committee appoints the reviewers immediately upon submission of the dissertation. (2) The primary reviewer of the dissertation to be appointed is the supervisor pursuant to Section 6, para. 2, sub-para. 1. In addition, the doctoral committee shall, jointly with the doctoral candidate, appoint an external reviewer, who must be a professor. Up to two additional reviewers can be appointed. At least one reviewer must be a full-time professor and at least one reviewer must belong to the department. If significant methodological or objective aspects of the dissertation touch on a subject area that is predominantly represented by another department, another reviewer should belong to that department. (3) The reviewer s opinions must be drafted independently from each other and submitted to the examination office within three months after having been requested. A reviewer's failure to observe the time limit must be justified to the doctoral committee in writing. If an external reviewer exceeds the time limit, the examination office shall contact this reviewer and apprise the doctoral committee of the situation. If a reviewer exceeds the time limit by more than one month, the doctoral committee can appoint a new reviewer. The opinions must be treated confidentially. They should assess the importance of the dissertation in a larger context, honor the results of the paper, and outline any deficiencies. In addition, the reviewers can request changes for the version of the dissertation to be published (Section 17, para. 1). These must be described in detail. Each reviewer must write a final overall assessment, in which he or she must recommend the acceptance of the dissertation and suggest a grade pursuant to Section 10, para. 1. or the rejection FU Communication 2/2007 of Jan. 08,
6 of the dissertation. If a reviewer s opinion does not clearly state the required assessments, the doctoral commission shall return the opinion to the reviewer for revision purposes. (4) If the grades suggested by the reviewer differ by more than one grade or if the opinion includes comments as per para. 5 against the assessment of the dissertation, the doctoral committee may, upon the suggestion of the doctoral commission, appoint another external reviewer. (5) At the end of the assessment process, the dissertation must be laid open in the department for two weeks during the lecture period and three weeks during the free reading period, respectively. If a member of the department, who is qualified to supervise dissertations as per Section 6, para. 2, submits a respective request to the doctoral committee, the period during which the paper is laid open can be extended by two weeks. Every member of this group of persons is entitled to review the dissertation and the opinions and to submit a written statement, which must be included in the doctoral documentation. The examination office must inform every member of this group of persons that the dissertation has been laid open. 9 The Doctoral Commission (1) The doctoral committee shall appoint the doctoral commission for the pending procedure. This can be done at the earliest after the dissertation has been submitted, and must be done at the latest upon receipt of the opinions. (2) The doctoral commission consists of four members from the Department of Mathematics and Computer Sciences and has the following composition: three university professors and one academic staff member with a doctorate. Alternative, no more than one external professor may be appointed as one member of the group of professors. Other members, particularly external reviewers, can be appointed as advisory members of the doctoral commission, but they cannot vote. (3) The meetings of the doctoral commission are not open to the public. The decisions must be treated confidentially. (4) Should a voting member of the commission resign, the doctoral committee shall replace this member accordingly. (5) Within the context of interdisciplinary doctoral procedures, other departments must be adequately taken into consideration when forming the doctoral commission. (6) The members of the doctoral commission shall select the chairperson of the doctoral commission. 10 Dissertation Decisions and Oral Exam Scheduling (1) At the end of the period during which the dissertation had to be laid out, the doctoral commission shall decide on the acceptance or rejection of the dissertation. If the dissertation is accepted, the following grading system shall be used: Summa cum laude Magna cum laude Cum laude Rite (outstanding) (very good) (good) (sufficient) (2) If the dissertation is rejected, the doctoral commission shall declare the doctorate as not passed, and shall provide its reasons for this decision in a final opinion. The chair of the doctoral committee must inform the doctoral candidate in writing of the decision and state its reasons. (3) After the dissertation has been accepted, the doctoral commission shall determine the topic of the oral exam presentation under consideration of the suggestion of the doctoral candidate (Section 7, para. 8), and shall inform the doctoral candidate accordingly. In addition, it will schedule the date and time of the oral exam in collaboration with the doctoral candidate. The oral exam should take place during the lecture period. The doctoral commission shall also invite the university to attend. At least two weeks should pass between the communication of the topic and the oral exam. The members of the doctoral committee should attend all oral exams. The period between the receipt of the last opinion and the oral exam should not be longer than two months of lecture period. (4) If the doctoral candidate declares that he or she does not want to take the oral exam, the doctorate shall be deemed as not passed. The chair of the doctoral committee must inform the doctoral candidate of this decision in writing. 11 Oral Exam (1) The purpose of the oral exam is to prove the ability of the doctoral candidate to verbally explain and discuss scientific problems and to defend the dissertation against criticism, particularly objections of the reviewers. He or she should therefore be granted access to the opinions and statements as per Section 5, para. 5 two weeks in advance. The oral exam may be conducted in German or in English. 18 FU Communication 2/2007 of Jan. 08, 2007
7 FU Communications (2) The oral exam shall take approx. 90 minutes. It begins with a 30 min presentation made by the doctoral candidate, and is followed by approx. 15 minutes of discussion. In the presentation, the doctoral candidate shall present a topic of general interest he or she has chosen (Section 7 para. 8). The presentation is followed by a defense of the dissertation, during which the doctoral candidate presents the results of the dissertation in the form of theses. The candidate shall then answer questions from the doctoral commission about the dissertation; during the following discussion, other attendees may also ask questions. (3) The chair of the doctoral commission must draft minutes on the proceedings of the oral exam. (4) Regarding groups pursuant to Section 3, para. 1, No. 7, the oral exam must be conducted jointly with all members of the group; each individual person, however, should be involved in the presentation and the defense just as they would for individual oral exams. Each doctoral candidate's oral exam should take about one hour. If a member of the group is not present without a valid reason or if it must be assumed that he or she will not be available for an extended period of time, the oral exam can be carried out without this person, if the other doctoral candidates agree. A new oral exam date shall be scheduled for the doctoral candidate that could not attend. The other doctoral candidates should attend this oral exam. (5) Should a doctoral candidate not be present at the oral exam without being able to show an important reason, the exam shall be deemed as not passed. The chair of the doctoral committee must inform the doctoral candidate in writing of the decision and state the reasons for this decision. 12 Decision on the Doctorate (1) After the oral exam, the doctoral commission shall decide on the oral exam. If the candidate has passed the exam, it shall use the grades listed in Section 10, para 1. (2) If the doctoral candidate did not pass the oral exam, he or she can retake it at the earliest after three and at the latest after eighteen months. In the second oral exam, the doctoral candidate should be able to report on the development of his or her dissertation topic in research articles that have been published in the meantime. If the doctoral candidate also fails the second oral exam, the doctoral commission shall pronounce the doctorate as failed and will provide the reasons for its decision in a new final opinion (para. 4). The chair of the doctoral committee must inform the doctoral candidate in writing of the decision and state the reasons for this decision. (3) If the doctoral candidate has passed the oral exam, the doctoral commission shall grade the overall result of the doctorate. The doctoral commission shall use the grades/distinctions listed under Section 10, para. 1. The distinction summa cum laude may only be awarded, if the dissertation and the oral exam were both graded as such. (4) The doctoral commission will provide its reasons for the grades in a final opinion that summarizes the work of the doctoral candidate in the dissertation and the oral exam and that includes the individual grades. (5) After having passed the dissertation and the oral exam, the doctoral candidate may, upon request, obtain an interim certificate that must list the topics and the grades of the dissertation and the oral exam as well as the final grade. (6) The entire doctoral procedure must be treated confidentially, even after its completion. Access to the records shall be granted pursuant to the provisions of the Statutes for General Examination Matters. 13 Additional Doctoral Subjects (1) If the doctoral candidate has gained knowledge in additional subjects within the context of his/her research-related education, the candidate must be provided with the opportunity to be tested on this knowledge. (2) Prior to being admitted to an exam in such an additional subject, the minimum admission criteria must be determined together with the department responsible for that subject. An exam in an additional subject lasts approx. 30 minutes. It must take place after the dissertation has been submitted and prior to and independent of the oral exam. (3) The doctoral candidate can request the chair of the doctoral committee that the exam grade awarded for an additional subject pursuant to para. 1 is listed on the doctoral certificate. The performance will be assessed according to the respectively valid examination regulations. 14 New Doctoral Procedure If the doctoral candidate did not pass the doctorate, he or she may apply for a new doctoral procedure after six months at the earliest. The new dissertation can be submitted after one year at the earliest. This also applies, if a doctorate was not passed at another university or institution entitled to award doctorates. FU Communication 2/2007 of Jan. 08,
8 15 Withdrawal of the Doctoral Application and Discontinuation (1) The doctoral committee can only approve an application from a doctoral candidate for a withdrawal of the admission to the doctoral procedure, if the dissertation has not yet been submitted (Section 7, para. 1). The procedural steps taken up to that date are no longer considered part of the doctoral procedure. (2) If more than six years have passed since the candidate was admitted to the doctoral procedure, the doctoral committee may discontinue the procedure after having previously obtained the written approval of the supervisor and having heard the doctoral candidate. The discontinuation notice must include the committee s reasons. It is issued in writing by the chair of the doctoral committee. This does not, however, preclude a new application for admission to the doctoral procedure. 16 Doctoral Certificate (1) A doctoral certificate will be issued in German. (2) It contains the following: 1. The name of Freie Universität Berlin and the Department of Mathematics and Computer Science, 2. The name of the doctor, 3. The doctoral degree that was awarded pursuant to Section 1, para. 1, 4. The title of the dissertation, 5. The doctoral subject, 6. The date of the oral exam, which is considered the date of the doctorate, 7. The final grade of the doctorate pursuant to Section 12, para. 3, 8. The names of the reviewers, 9. The name and the signature of the dean, and 10. The seal/stamp of Freie Universität Berlin. (3) The doctoral candidate may also submit a request to the chair of the doctoral committee, asking that the grade for the examination in an additional subject be also listed on the doctoral certificate pursuant to Section 13, para. 1. The performance will be assessed according to the respectively valid examination regulations. (4) The final opinion must be attached to the doctoral certificate. (5) The dean shall present the doctoral certificate within four weeks upon compliance with the submission provisions pursuant to Section 18. The doctoral certificate entitles its owner to use the doctoral degree as per Section 1, para Publication of the Dissertation (1) Unpublished dissertations must be published within one year of the oral exam in an unchanged form or including changes that were approved by the doctoral commission (Section 8, para. 3) and the number of copies listed in Section 18 submitted free of charge to the university library and the dean. (2) If the doctoral candidate can prove that publication is ensured by a commercial publishing house (Section 17, para 1, No. 1 or 2), the submission period can be extended by one year at the most. If warranted, additional extensions are possible. (3) The published copies should comply with the form requirements as per Section 7, para. 6, and list the names of the reviewers, and the date of the oral exam. A dissertation to be published by a publishing house must, at a minimum, show that this is a dissertation of Freie Universität Berlin and the year it was submitted. 18 Forms of Publication, Submission Provisions (1) The following publication formats are allowed for publications: 1. Publication as a monograph by a commercial publishing house, if a minimum circulation of at least 95 copies can be shown, 2. Publication in a journal, 3. Publication by the doctoral candidate in an electronic format, the data format and data carrier of which must be coordinated with the university library, or 4. Publication by the doctoral candidate in the form of a letterpress print or picture print. (2) If a dissertation is published pursuant to para. 1, No. 1, 2, or 3, 6 copies must be submitted to the university library, and 3 copies to the examination office. (3) With regard to dissertation publications in letterpress print or picture print carried out by the doctoral candidate (para. 1, No. 4), 95 copies must be provided. 19 Joint Doctorate With Foreign Institutions (1) Doctoral procedures can be carried out jointly with foreign universities or similar educational institutions, if: 20 FU Communication 2/2007 of Jan. 08, 2007
9 a) The applicant meets the requirements for admission to the doctoral procedure of the Department of Mathematics and Computer Science of Freie Universität Berlin, and b) The foreign university or equivalent educational institution has the right to grant doctorates in accordance with its national legal regulations, and the respective degree to be awarded would have to be recognized as a doctoral degree within the area of application of the Framework Act for Higher Education. (2) The departments, faculties, or equivalent institutions must enter into an agreement stipulating how the joint doctoral procedure should, on a case by case basis and generally, be carried out. These agreements apply in addition to the provisions of these rules and regulations. The equivalency with the respectively applicable provisions of these rules and regulations must be guaranteed with regard to requirements and procedures. 20 Appeal The doctoral candidate is entitled to appeal the result of the doctoral procedure or individual parts of it with the doctoral committee. This intent must be declared in writing within four weeks upon disclosure of the results and submitted to the chair of the doctoral commission. For further details, refer to the Statutes for General Examination Matters. 21 Revocation of the Doctoral Degree The revocation of the doctoral degree is governed by the legal provisions. 22 Honorary Doctorate The faculty council can, if requested to do so by the dean or at least three professors of the Department of Mathematics and Computer Science, confer an honorary degree pursuant to Section 1 para. 1 (abbreviated Dr. rer. nat. h. c.) for outstanding scientific work in one of the areas represented by the department. The doctoral committee must appoint a doctoral commission as per Section 9 para. 2 to assess this work and submit an opinion. The decision of the faculty council requires the majority of the members of the faculty council with a doctoral degree. Professors of the Department that are not part of the faculty council must be provided with an opportunity to participate in the voting process. 23 Legal Effectiveness and Interim Regulations (1) These doctorate rules and regulations shall become effective one day after their publication in the Communications (official register of Freie Universität Berlin). Concurrently, the currently valid doctorate rules and regulations for the Department of Mathematics and Computer Science dated April 17, 1996 shall become invalid (FU Communication 15/1996). (2) Doctoral procedures that are ongoing at the time these rules and regulations become effective, shall, depending on the preference of the doctoral candidate, be carried out according to these rules and regulations or the former rules and regulations of the Department of Mathematics and Computer Science of Freie Universität Berlin dated April 17, 1996 (FU communication 15/1996). The candidate must make a respective decision by the end of the semester following the legal effectiveness of these rules and regulations. This decision cannot be reversed. FU Communication 2/2007 of Jan. 08,
Attention: This is an English translation of a German text. Only the German version is legally binding! Communications ISSN 0723-0745 Official Register of Freie Universität Berlin 52/2007, September 4,
If the short term Faculty is used in the text, it always stands for Faculty of Mathematics, Natural Sciences and Technology.
Rules and Regulations for Conferring a Doctorate Degree at the Faculty of Mathematics, Natural Sciences and Technology at the Martin-Luther-University Halle- Wittenberg [Germany] of February 3 rd, 2004
Doctoral degree regulations for the Faculty of Mathematics, Informatics and Natural Sciences of the University of Hamburg
Doctoral degree regulations for the Faculty of Mathematics, Informatics and Natural Sciences of the University of Hamburg - Authorized by the Faculty Council on 1st December 2010 and approved by the university