Pursuant to Section 5 of the General Doctoral Regulations at FAU (RPromO), the following are qualified to act as supervisors: university lecturers, Privatdozent lecturers, adjunct professors who are employed at the relevant faculty as their main occupation, professors on leave and retired professors. Within the meaning of the RPromO, there is always only one supervisor (main supervisor), but other people can be involved in supervising the doctoral thesis, for example as part of a team of supervisors or in the case of a cooperative doctoral procedure with a university of applied sciences/HAW. Often, the main supervisor is supported by an assistant or postdoctoral researcher who is available to support the doctoral candidate and supervise them on a day to day basis (day-to-day supervisor).

The chosen topic should not only interest you and the doctoral candidate, it should also be directly relevant to your own area of research. It is also important that you can find sufficient time to devote to supervising the doctoral degree over and above your normal workload. Lastly, the topic which is chosen should be such that it can be covered and summarized by the doctoral candidate in an appropriate time frame.

You are under no obligation to supervise a doctoral candidate and can refuse if there is a valid reason for doing so. This may be the case, for example, if the applicant does not have the required scientific background knowledge or if you do not have the time to provide adequate supervision for further doctoral candidates. According to the study Doctoral Programs for the European Knowledge Society, supervising more than 10 doctoral candidates leads to a deterioration in the quality of supervision and is not effective for bringing doctoral degrees to a satisfactory conclusion. The Doctoral Affairs Committee checks that the candidate has met requirements for admission during the procedure for admission to a doctoral degree. This should be completed via the relevant Office of Doctoral Affairs before the doctoral research commences.

Before agreeing to supervise doctoral research, it is important to clarify the reasons motivating the doctoral candidate to carry out the research and whether they have the necessary skills/qualifications, as by agreeing to act as a supervisor you are obliged to provide the doctoral candidate with methodical and subject-related advice and assistance, as well as advising and helping them with respect to their time and work schedule.

In accordance with good scientific practice, the FAU Graduate Center offers a template for a supervision agreement between the supervisor and the doctoral candidate.

The supervision agreement is intended to avoid later misunderstandings by ensuring that the framework for the doctoral research is agreed in advance. It helps to clarify mutual expectations and the rights and obligations of both parties. By signing the agreement, the supervisor agrees to supervise the doctoral candidate until the doctoral degree is completed, irrespective of how long funding is provided for. As a supervisor, you are responsible for overseeing the doctoral candidate’s teaching and research and discussing their future career prospects. If the case arises, you are also expected to help doctoral candidates balance their family commitments and academic career.

A supervision agreement is obligatory for doctoral procedures for Dr. med., Dr. med. dent., Dr. rer. biol. hum. and Dr. phil and part of the admission documents to be submitted to the Office of Doctoral Affairs. The relevant templates are available from the faculties/Office of Doctoral Affairs.

If a doctoral degree is to be supervised effectively, it is important that you hold a meeting with the doctoral candidate at the beginning to clarify the duties, rights and obligations each of you have. The template for the supervision agreement from the FAU Graduate Center includes guidelines of what to cover. The supervision agreement itself can then serve as a written record of the meeting. Conflicts often arise during the course of a doctoral degree if everything is not clarified like this beforehand.

A supervision relationship is established between the doctoral candidate and the supervisor. This is a relationship of trust which incorporates both scientific and educational elements.

The doctoral relationship on the other hand describes the relationship between the doctoral candidate and the faculty and the university which will later set the examination and grant the doctoral degree to the candidate. The doctoral relationship is subject to provisions under public law on the basis of the doctoral regulations.

As a supervisor, you agree to draw up a time and work schedule together with the doctoral candidates and to meet regularly to discuss how the research is progressing. This meeting provides an opportunity for an in-depth discussion between you, as the mentor, and your doctoral candidate, covering the progress of the research and more general topics as well. A brief record is kept of the meeting and signed by both parties. The schedule for the doctoral degree may be revised following this discussion. Good supervision not only provides opportunities for scientific discussion, it also involves providing career guidance and opportunities for personal development.

In addition, you and your doctoral candidates are obliged to comply with the rules of good scientific practice.

For the doctoral procedure to be completed successfully and the final evaluation written, it is crucial that all formal requirements of the respective faculty are complied with. In addition to the General Doctoral Regulations of FAU and the relevant Faculty Doctoral Regulations the following pages include further important information:

• Faculty of Humanities, Social Sciences, and Theology
• School of Business, Economics and Society
• School of Law
• Faculty of Medicine
• Faculty of Sciences
• Faculty of Engineering

The members of staff at the FAU Offices of Doctoral Affairs are happy to answer any admin-related questions you may have.

In the case of external doctoral theses, doctoral candidates do not have close ties to the Institute or Chair, and are certainly not employed there. They cover their costs with paid employment in a company.

It ought to be borne in mind that allocating theses of this nature raises many questions about legal issues and processes that affect all those involved (students, companies, lecturers acting as supervisors, FAU). They are outlined in the Information sheet on allocating topics for and completing external Bachelor’s, Master’s and doctoral theses.

• Information sheet 1: Objectives and content
• Information sheet 2: Preparing for the annual review as a doctoral candidate
• Information sheet 3: Preparing for the annual review as a supervisor
• Status review and self-reflection

During the meeting, you are sure to identify some skills and competencies which you both agree the doctoral candidate can work on. Together, you should decide which and how many seminars the doctoral candidate should attend. FAU offers qualification seminars and workshops on a range of different topics via various platforms. Please contact the relevant office if you have any queries or to book a place.

• Graduate Center and Early Career Support
• Digital Tech Academy (DTA)
• Office of Knowledge and Technology Transfer and Continuing Education (Kontaktstelle für Wissens- und Technologietransfer) (WTT)
• FAU Competence Center Teaching

Human Resources can help you plan and conduct annual reviews. You can use the documents provided by Human Resources for a wide target group. Link to HR Development (internal) and the relevant documents. We recommend using the specific “Documents for annual performance review with doctoral candidates” for annual performance reviews with doctoral candidates.

Staff from the Graduate Center and the chairpersons of the Doctoral Affairs Committees are on hand at all times for advice.

You can also contact the mediators at the faculties at any time.

The Commission for Research Conflict Management can provide support in the event of conflicts with research staff. Every conflict management officer in the Commission acts as a contact for members of the University affected by conflicts at the workplace. Members of the University who are affected by conflicts at the workplace are free to contact any of the conflict management officers in the Commission.

Further points of contact are available on the pages for doctoral candidates.

Sometimes, there is no option but to end the supervision, in particular if the doctoral research shifts into an area too far removed from the supervisor’s subject area, or if you are of the opinion that the basis for the relationship of trust has been damaged significantly and irreparably. If this is the case, both parties should make every effort to find a solution acceptable to everyone involved as soon as possible.

If you unilaterally decide to step back from acting as a supervisor, you are required to submit an application to the Doctoral Affairs Committee, stating reasons for your decision.

If you have come to a mutual solution with a doctoral candidate, the simplest way is for the doctoral candidate to contact the Office of Doctoral Affairs.

The FAU Graduate Center and the Doctoral Affairs Committees are happy to provide advice.