Legal basis
The guidelines for publication-based doctorates adopted by the TUM School of Engineering and Design apply to all doctoral candidates who are preparing a publication-based dissertation.
For the copy of the dissertation for examination purposes, you must note when you were added to the doctoral list.
- If you joined the doctoral candidacy list before 01.10.21, the doctoral regulations apply with effect from 1 January 2014 § 6 and Annex 6
- If you joined the doctoral candidature list after 1 October 2021, the doctoral regulations with effect from 1 October 21 § 7 apply, and you must provide evidence of your contribution to the publications included.
Regarding the publication of the publication-based doctorate, § 21 of the PromO 2021 applies to all doctoral candidates.
DocGS
Upload Annex 6 (the written agreement) from your supervisor or the declaration of your own contribution in DocGS in the tab "Dissertation" under confirmation of supervisor.
For the decalaration of your own contribution, you can also use the CRediT taxonomy. If your published paper already provides information on co-authorship, you are welcome to attach a screenshot to your "declaration of co-authorship".
What exactly does this mean?
In the version for examination purposes, all publications must always be included in the appendix. Alternatively, you can of course include the publications in the text section.
In the version that you publish, ‘publications accepted for publication and published in print or in electronic journals that are included as appendices in accordance with Section 7 (3) sentence 4’ are exempt from the publication requirement.
Important Info!
If you have questions about the number and/or value of your publications, contact your supervisor first. In challenging cases, the supervisor can always contact the GC-ED management or the "Promotionsbeirat" directly.
Role of the supervisor: The supervisor decides whether the doctoral candidate demonstrates the ability to conduct independent academic work with the publication-based doctorate in its entirety and is thus the only reliable contact person for the individual publication-based doctorate.
Scope of publications and publication stage: The TUM doctoral degree regulations stipulate the inclusion of at least 2 accepted publications. Proof of the status of "accepted articles" can be provided by correspondence with the magazine. In addition, the scope of the publications included (usually 2-3 accepted publications) and the associated text section must be equivalent to the corresponding scope of a monograph. This check is done in the first step before the submission of the doctorate by the supervisor and in the second step by the reviewers of the examination board.
Submission and publication: The publications accepted for publication and published in print or in electronic journals must be included in the dissertation as an appendix. According to the ED guidelines, the publications can also be integrated as chapters. For examination purposes, you must therefore submit all publications in their original entirety.
If you then publish the doctoral thesis after the oral examination (§20 or 21 of the PromO), then these publications are excluded from the obligation to publish. This is important, for example, if the journal does not agree to a reprint in the published dissertation.
First / co-authorship: The doctoral candidate must be the main or first author of at least two of the included articles and must have been the lead author of the publication. This means that he/she has made a significant contribution to the publication; without his/her contribution, the publication would not have been published. Please discuss with your supervisor whether you are the leading author, as we do not know the thesis or the publication. For further details please check the FAQs.
Impartiality of the reviewers: At least one reviewer must be appointed who is not a co-author of any of the doctoral publications.
Scope of publications, publication stage and ranking of the publications: Please clarify any questions you may have with your supervisor. The supervisor decides whether the doctoral candidate with the publication-based doctorate in its entirety proves the ability to do independent academic work, whether the results of the publication-based doctorate are presented clearly and understandably and whether the publication-based doctorate has its own, a new, advanced and coherent scientific contribution [§7 (2) TUM doctoral degree regulations (regulations of August 23, 2021)].