Doctoral Studies
Before requesting admission as a doctoral candidate at the Faculty of Humanities and Social Sciences of the University of Lucerne, we strongly advise you to carefully study the steps involved in the process towards admission:
1) Check the basic prerequisites for a doctorate
To be considered for admission to doctoral studies at our faculty, you must meet the requirements for admission listed in the faculty's PhD regulations and the accompanying guidelines plus you need to have received a confirmation by a faculty member who is a qualified professor that he or she will serve as your first supervisor.
Please consider that finding a first supervisor often is a long process, as professors are completely free regarding who they supervise and select candidates very carefully and according to their personal interest and their capacity to supervise an additional doctoral candidate. Thus before contacting a professor, check whether he or she actually works in your field of interest and whether you bring the needed competences for a doctorate in the chosen field. In the first e-mail contacting a potential first supervisor, describe why supervising your doctoral research project might be good fit for him or her and attach a short CV and project description.
Regarding language skills: For the doctoral research project, it is up to the first supervisor to introduce required language skills. The lingua franca of the Graduate School is English. German skills are desired by the University of Lucerne, but not required.
2) Admission request administered by the Admissions Office
The University's main admissions office is responsible for assessing your admission request regarding whether it meets formal requirements and whether your past academic training is sufficient for admission to a doctorate at our faculty. Admission requests need to be handed in via UniPortal. Please note that for requesting admission to doctoral studies at the University of Lucerne, the following deadlines apply:
31st August for the coming Fall Term
31st January for the coming Spring Term
After the passing of these deadlines, the UniPortal is closed to admission requests for the term in question.
New external doctoral candidates must apply online. Doctoral candidates who have studied at the University of Lucerne before should use the doctorate re-registration form.
Before starting your admission request via the UniPortal, carefully study everything needed (including which documents you need to upload in PDF or JPG format) for finalizing your admission request by following this link.
3) Admission request decided by the Graduate School of Humanities and Social Sciences
Only after the admissions office decides that your admission request meets formal requirements for admission to as a doctoral candidate, your admission request will be forwarded to the Graduate School of Humanities and Social Sciences (GSL). The GSL Board will then decide on whether you will be admitted as a doctoral candidate from a perspective of "content" and whether some additional requirements need to be fulfilled prior to admission or during your doctoral studies. The decision regarding a definite admission by the GSL will be communicated to you via e-mail in the first or second week of the term.
The GSL will also inform the admissions office about the decision taken and the admissions office will contact you to initiate step 4)
4) Finalizing your enrollment as a doctoral student
Once the GSL informs the admissions office that you can be admitted to the doctoral studies, the admissions office will contact you to finalize your admission, i.e. complete your enrollment as a doctoral candidate.
Downloads*
- Research Assistants and Scientific Staff (e.g. SNSF Researchers): Supervision Agreement
- Independent Doctoral Candidates: Supervision Agreement
Important note for research assistants (faculty positions): Pleaseremember to fill in a Career Assessment for Emloyment and Training Agreement (ETA) (for the Human Resources Department).
* If the Supervision Agreement form does not open as a fillable form, click: file -> open in immersive Browser.
Only enrolled doctoral students of the Faculty of Humanities and Social Sciences (KSF) at the University of Lucerne can be members of the Graduate School of Humanities and Social Sciences (GSL). Upon enrollment, KSF doctoral students automatically become GSL members.
Duration and Extension of Membership
Based on the implicit regulations and practical experience (see “Determination of the Regular Membership Duration” below), the GSL Board decided in a meeting on May 27th, 2024, that from this day forward, all doctoral students must apply for the renewal of their membership no later than 5 years after their enrollment.
The GSL does not provide a template for the extension applications – applications should be individually designed and kept as concise as possible. The application extension must be designed in accordance with the description in the “Guidelines for the PhD Regulations for the Graduate School”, the “agreement on the further admission period” mentioned in the paragraph must be carried out by means of a time table featuring all milestones up to the submission of the dissertation - included in the application for extension of GSL membership.
Determination of the Regular Membership Duration
Research assistants and academic staff members
The duration of membership for doctoral students in the category of research assistant and academic staff members is not explicitly stated in the “Guidelines for the PhD Regulations for the Graduate School” but is implicitly regulated. In practice, however, the matter is handled as follows:
§ 4.1 states: “The total period of doctoral studies is generally four years” – which is in accordance with the duration of regular employment in the context of an academic assistant position or research assistant position. In practice, however, doctoral students often do not work in such positions from the very beginning of their doctoral studies but start as independent doctoral candidates. Or they might start their doctorate within the framework of such positions but are not yet finished with their doctorate when the positions expire and thereby switch to the “independent doctoral students” category. This means that the maximum duration of a GSL membership also applies to doctoral students in the category of research assistants and academic staff members and is set at 5 years – which, as explained below, is in accordance with the practice for independent doctoral students.
Independent doctoral candidates
For independents doctoral candidates, membership is limited to a maximum of 5 years form the date of enrollment, in accordance with § 5.1 of the “Guidelines for the PhD Regulations for the Graduate School”.
Prelimenary Remarks
Please note that for the mandatory study achievement "Attendance of course teaching academic skills in methodological or theoretical aspects", a certificate of attendance needs to be submitted to the GSL office along with the next progress report (for further information and forms, see below).
Compulsory registration applies throughout the duration of doctoral studies at the University of Lucerne.
Doctoral studies are subject to Graduate School specifications and are governed by the doctoral regulations and the guidelines to the doctoral regulations.
The curricula shown correspond to the study achievements required for doctoral candidates beginning from the autumn semester of 2012. Doctoral candidates registering before the autumn semester of 2012 should consult the relevant guidelines.
Grant holders
The doctoral process is to be designed in such a way that studies can be completed within three years. The supervisor and, where relevant, the GSL will help candidates to keep to this timetable as far as possible. If there are changes to the timetable, they are communicated to the GSL as part of the annual report.
Research Assistants and Scientific Staff (e.g. SNSF Researchers)
The doctoral process is to be designed in such a way that studies can be completed within four years. The supervisor and, where relevant, the GSL will help candidates to keep to this timetable as far as possible. If there are changes to the timetable, they are communicated as part of the annual progress report.
Independent Doctoral Candidates:
The doctoral process is to be designed in such a way that studies can be completed within a reasonable period of time. The supervisor and, where relevant, the GSL will help candidates to keep to this timetable as far as possible. If there are changes to the timetable, they are communicated as part of the annual progress report.
For those carrying out doctoral studies without university employment or a GSL grant, the overall duration of the doctoral study is not limited. However, admission to the GSL is limited to a period of five years. After this period has elapsed, the Board of the GSL will assess the progress of the dissertation and reach a decision on the duration of a further period of admission.
Notes on individual study achievements:
- Attendance of course teaching academic skills in methodological or theoretical aspects:
- To fulfill these course requirements, formats such as summer schools, winter schools, workshops, block weeks, Master Classes, Master seminars, (…) can be credited - provided that the work effort for their attendance is equivalent to the effort of attending a Master seminar.
- All courses offered by the GSL, the attendance of which is considered as fulfillment of the mandatory achievements, are labeled as such. Comparable courses organized externally can also be attended in agreement with the supervisor.
Generic skills courses can be counted as fulfillment of mandatory study achievements regarding the attendance of a “course teaching academic skills in methodological or theoretical aspects” if the following is adhered to: At least 5 days of generic skills courses must be attended and the first supervisor has to approve that the sum of courses is recognized as equivalent to having attended one mandatory course. Attendance must be proven by handing in external course attendance certificates or handing in a "Certificate of Achievement" provided by the GSL (see below).
In the progress report generic skills courses should be listed under “Generic Skills Courses” but also pointed to in the category “Mandatory Courses”. If not already 5 days of courses have been attended, they should still be listed with the commentary that attendance at further courses is planned in order to fulfill the requirement of 5 course days attended.
- The following course formats are not considered as courses teaching academic skills in methodological or theoretical aspects: Bachelor seminars, language courses, conference attendances (see below).
- Attendance of and presentation given at an international conference: candidates may request financial support from the GSL for attending conferences.
All course and conference attendance and any presentations given at colloquia should be certified by the course organiser. This can be done using either certificates of attendance issued by the event organiser or GSL certificates of credit (see download). All certificates of attendance can be submitted to the GSL either together with the annual progress reports, where they will be archived, or alternatively may be submitted at the end of the period of doctoral study.
First Supervisor
The first supervisor is responsible for the academic supervision. This supervisor must be chosen from among the professorial staff of the Faculty of Humanities and Social Sciences. Without a written supervision agreement that is co-authored and signed by the first supervisor, admission to the doctoral program is not possible. The form for the supervision agreement can be found under Admisson to Doctoral Studies.
In accordance with §4.1 of the PhD Regulations, the first supervisor is responsible for the following: “The first supervisor is continuously responsible for supervision throughout the period during which the candidate is part of the GSL”. First supervisors also sign the annual progress report and confirm in it that an annual meeting has taken place. After submitting the dissertation (see Completion PhD), the first supervisor also writes the first assessment of the dissertation. First supervisors must also co-sign various applications from doctoral candidates for the approval by the GSL Board – e.g. applications for mobility funds, applications for extension of GSL membership for independent doctoral candidates (see Guidelines to the PhD Regulations §5.1).
The exact way in which a first supervisor performs the task of supervising doctoral students beyond the above-mentioned duties is at the discretion and negotiation of the first supervisor and doctoral student. Educational researcher Søren Bengtsen provides an interesting insight into this in a contribution to the “Doctoral Supervision Symposium”, which took place at ETH Zurich in 2019 – see in particular the sequence on the “Doctoral Support Model” in the podcast recording starting from minute 36:50.
The GSL recommends discussing important decisions for the doctoral studies and the dissertation with the first supervisor (especially important changes in content, planned research stays/conferences) However, not all first supervisors want to be involved in decisions to the same extent. The GSL recommends discussing and negotiating mutual expectations that are not specifically laid out in the supervision agreement from the beginning. A questionnaire, such as the one adapted by Anne Lee (downloadable here), can provide guidance as to which expectations may exist on both sides and to what extent. However, it should be noted that neither first supervisors nor doctoral students are obligated to clarify expectations – especially written expectations.
Second Supervisor
The second supervisor must have a scientific education that includes either a habilitation or a an academic qualification equivalent to a habilitation and must also be affiliated with a university accredited for doctoral education, where s/he holds the right to award doctorates (sometimes also called “examination right for doctorates”) (see PhD regulations §4.2). Important: Potential second supervisors must be recognized in their role by the GSL Board – only after this confirmation are they officially entitled to act as second supervisor and to write the second assessment of the dissertation after the doctoral procedure has been initiated.
The process for confirmation of second supervisors by the GSL Board is as follows: The second supervisor should be reported to the GSL by the end of the 2nd year of the doctorate via the annual progress report. The board decides on the recognition of the proposed second supervisor at the next board meeting. If there is any uncertainty as to whether potential second supervisors would be recognized by the GSL Board, the GSL Office can be contacted at any time for an assessment before making an inquiry (gsl@unilu.ch)
The GSL strongly recommends that the agreement of the second supervisor to their role be recorded in writing. There is no text template or official form for this. Experience has shown that an email exchange is sufficient.
If a potential second supervisor would like more detailed information on the second assessment to be written, this downloadable information sheet is available.
The specific role that the second supervisor has during the doctorate – in addition to writing the second assessment – is not specified anywhere but is left to the discretion and negotiation of the persons involved. In cases where the second supervisor plays a substantial role in the doctoral supervision, the GSL recommends discussing this supervision with the first supervisor and, if applicable, co-promoters (see separate rubric “Co-Promoter”).
Co-Promoter
Doctoral students enrolled after HS 2020 have the option of choosing a person as a co-promoter in addition to their first and second supervisor. A co-promoter is a person who already holds a doctorate, who performs a substantial supervisory and support function and – in contrast to first and second supervisors – does not write and assessment on the dissertation. She or he does not need to have a habilitation or habilitation equivalence (see PhD Regulations, Section 4.3.) The GSL strongly recommends that the supervision of co-promoters be coordinated with the first and second supervisors.
A co-promoter is officially honored by being listed on the title page of the submitted dissertation.
Further supervision/support
In general, it should be noted that first and second supervisors as well as co-promoters are the main points of contact – but not the only bodies offering supervision and support. The GSL sees itself as an institution that supplements the support offered by the first and second supervisors where necessary (see “Doctoral Supervision Model” linked in rubric “First Supervisor”): For support services, see also the information on the GSL website.
Annual reports on the progress of the thesis are doctoral study achievements required by the GSL throughout the doctoral study period.
Candidates registering in the spring semester must submit their first progress report by 1 May of the following year.
Candidates registering in the autumn semester must submit their first progress report by 1 November of the following year.
The progress report must be prepared using the GSL form and signed by the doctoral candidate and his/her supervisor. Alternatively to a signature, the veracity of details listed in the progress report can be confirmed via e-mail (with the progress report in question attached to the e-mail).
Template download*:
Template Progress Report (Version Jan. 2022)
Information and guidelines on gaining a joint doctoral degree (also called a ‘cotutelle de thèse’) can be found on the International Relations Office website. It should be noted that the cooperation agreement must be signed within a year of registering as a doctoral candidate.
Candidates may ask the Dean of the Faculty of Humanities and Social Sciences (KSF) in writing for a leave of absence from doctoral studies (ksf@unilu.ch). Requests must be submitted to the Dean by 15th September (for the autumn semester) or 15th February (for the spring semester) at the latest. A leave of absence lasts for a maximum of two semesters. No registration fees are due during this period and no doctoral study achievements (such as progress reports) must be rendered to the GSL. During the leave of absence, the candidates may not apply for financial support from the GSL, may not apply for initiation of the doctoral examintation procedure and may not participate in GSL courses.
Preliminary remark:The path to the completion of the doctoral studies leads via the so-called “initiation of the doctoral examination procedure” – i.e. the start of graduating the doctorate after the submission of the dissertation by the doctoral candidate. This process is regulated in § 7 of the PhD Regulations. In addition, there are subject-specific requirements in the Guidelines for the PhD Regulations (please select the version that was current at the beginning of your doctoral studies).
The following steps describe how the doctoral examination process is organized by the GSL – please read all steps carefully when planning the completion of your PhD:
1) Informal review of academic achievements
As soon as the completion of your PhD is in sight, the GSL Office should be contacted so that informal examination of the study achievements within the framework of the structured doctoral program of the Graduate School of Humanities and Social Sciences can be carried out. In this way, the “Proof of participation in the faculty’s doctoral study program [=fulfillment of GSL coursework] required in the doctoral regulations under § 7) can be checked before you submit your dissertation. The GSL Office prepares an overview of the completed coursework, which it presents to the GSL Board together with the documents submitted by the doctoral candidate for the opening of the doctoral examination procedure. An early informal review of the coursework helps to ensure that it does not become apparent that any required coursework is missing when the application to open the doctoral examination procedure is submitted. If the dissertation manuscript is completed so quickly that not all mandatory requirements have been fulfilled, please contact the GSL Office.
2) Application to open the doctoral examination procedure.
The doctoral examination procedure is initiated by resolution of the GSL Board at the candidate’s request. The application in the form of a short letter (a template can be requested from the GSL Office) must be addressed to the Head of the GSL Board and submitted to the GSL Office, together with the documents listed below:
1. Three printed and bound copies of the dissertation (in the case of cumulative dissertations, please note the specific requirements of the subjects in the guidelines (§ 8) and the information sheet regarding the design of the review copies and the deposit copies of the dissertation).
One copy is sent to each reviewer, and one is required at the Dean’s Office for the process described in step 4)
Note on enclosed documents of points 2-6: These must not be included in the dissertation but must be submitted separately.
2. Three copies of a summary of the dissertation (2-4 pages long), which includes the aim, content and results of the dissertation and should not be identical to parts of the dissertation. The summary is sent to the reviewers as an enclosed document to the paper versions of the dissertation (see step 3) and as an enclosed document to the dissertation at display at the Dean’s Office (see step 4).
3. A decleration of the AI-supported tools used (see template for the declaration of AI-supported tools (see information sheet for template)).
4. A declaration by the candidate that she or he has written the submitted thesis independently, that she or he has only used the specified aids when writing the thesis and has marked passages copied verbatim in terms of content as such. A declaration must also be submitted stating whether the dissertation has already been submitted to another faculty in its current version or in another version.
5. A template for these declarations can be requested from the GSL Office.Proof of participation in the faculty’s doctoral program in accordance with § 3-5 of the guidelines.
Please also see Step 1) above.
6. Proof of enrollment for the duration of the doctoral studies.
Available from the Student Services.
Mention that this proof is required for the initiation of the doctoral examination procedure.
7. In the case of cumulative dissertations, a declaration must also be submitted in which the first supervisor of the thesis confirms that the subject-specific regulations for the cumulative dissertation in accordance with the Guidelines for the PhD Regulations have been complied with (in the version for studies commencing from 1.2.2010 in § 6, for all subsequent versions in § 8).
3) Assessment by reviewers
Following a decision by the GSL Board, the Examination Committee commissions two members of the faculty who have completed their habilitation to provide first and second assessments. As a rule, first and second supervisors are appointed who were determined during the doctoral studies. Sending the dissertation to the reviewers is organized by the GSL Office. From this point onwards, the degree is no longer processed by the GSL Office, but by the Dean’s Office.
The reviewers of the dissertation submit their assessments to the Dean’s Office no later than four months after their assignment – the Dean’s Office forwards the assessments to the Examination Board.
In the rare case that the grades listed in the reviews are too far apart, the Examination Board will request a third review. The permitted deviation of grades and the resulting process is regulated in the PhD Regulations in § 8, paragraph 6. If the doctoral procedure is delayed by a third-party assessment, the Dean’s Office will contact the candidate.
4) Dissertation at display at the Dean’s Office
Once all assessments have been submitted, they are made available for inspection together with the dissertation for a period of four weeks in the Dean’s Office of the Faculty for members of the faculty’s staff who hold at least a doctorate and are active in research and teaching. Theses faculty members can submit queries about the dissertation and objections to the completion of the doctoral examination procedure. The clarification of queries and the examination of objections can prolong the completion procedure and, in the case of incorrectness listed in the PhD Regulations under § 14, the Examination Committee can decide to terminate the doctoral examination procedure. § 20 of the PhD Regulations regulates the legal remedies to be used in the event of an appeal against a termination decision.
5) Defense
The date for the defense is set by the Dean’s Office of the Faculty of Humanities and Social Sciences in consultation with the doctoral candidate and the reviewers. As a rule, the defense takes place no later than three months after the acceptance of the dissertation. At the candidate’s request, the disputation may be open to all doctoral students and an external audience. The defense consists of a presentation lasting approximately twenty minutes and a discussion lasting approximately forty minutes. After acceptance of the dissertation, the candidate will receive an invoice for the examination fees from Finance and Accounting.
6) Title after disputation
After the successful disputation, the Dean’s Office issues a certificate confirming that the disputation has been passed. After receipt of the certificate, the title of Doktorin designata or Doktor designatus (Dr.des.) may be used until the definitive doctorate is obtained by submitting the deposit copies (see step 8).
7) GSL “Academic Record” certificate
After passing the defense, the GSL Office will issue an “Academic Record” on request, i.e. a certificate confirming participation in the structured doctoral program.
8) Obtaining the definite doctor title: Publication and submission of deposit copies
To obtain the definite doctor title, the dissertation must be published, and deposit copies must be submitted to the Dean’s Office. Please refer to the information sheet available for download below.
Information sheet on review and deposit copies.
Mobility
Prelimenary Remark:
This page contains information regarding GSL mobility funding for short-term mobility. For longer research stays abroad, you can apply to the Mobility Grants for Junior Researchers by the Graduate Academy of the University of Lucerne.
GSL Mobility Funding
GSL doctoral candidates can apply for financial support for actively participating in international conferences, doing research stays and other activities directly related to the doctoral research project. Applications must be submitted at least four weeks before attendance of the conference. Please note the guidelines for financial support applications and use the digital application form or the downloadable application form below.
Provisional Change during Coronavirus Crisis: Reimbursement of fees for services provided by libraries and archives can be requested. In total, the maximum amount of funding usually granted for mobility funding per doctoral candidate must not be surpassed. Please collect as many expenses as possible and hand in receipts along with the reimbursment form, accompanied by a short written statement why the payable service is relavant for doctoral research project. Any amount above CHF 150 needs to be requested prior to handing in reimbursement form by using the altered request form for mobility funding below.
Downloads:
- Guidelines for financial support applications
- Application form Word/PDF
- Disbursement form
For any questions, contact gsl@unilu.ch
Short-term and Finishing Grants
In 2024 and 2025, the GSL will offer its member the opportunity to apply for short term and finishing grants.
For more information on the scholarships and the applications process, please see the documents below. It arshipis strongly recommended that you discuss your plans of application as early as possible with the GSL Office Manager (ines.barner@unilu.ch), so that they can provide feedback on your plans and, above all, your eligibility to apply.
Next Application deadline: 28th of April 2024
Call for Applications
Application Cover Sheet
Regulations for awarding GSL short-term and finishing grants (must be read carefully)
Workshops and retreats
GSL doctoral candidates can organise their own workshops or retreats in consultation with the Graduate School. They will receive financial support from the GSL.
Upon request, the GSL office will send information with financial and organisational guidelines for GSL workshops which must be considered when preparing an application. Applications should contain the following:
- Cover letter to the GSL Board (with a short description of the project and a presentation of those organising it and invited lecturers)
- Budget (list of anticipated costs)
- List of participants from among GSL members (interdisciplinary if possible)
Applications should be sent to gsl@unilu.ch.
In case of any problems a talk (telephone, Zoom, personal meeting) can be scheduled with the head of the GSL office. Any shared details will be treated 100% confidentially. If needed, it can be discussed whether the head of the GSL Board or the entire GSL Board should get involved. In addition to discussing the situation in case, contacts of further people within the faculty or university that might be of help can be offered.
Psychological Counseling Campus Luzern: GSL members have access to up to 5 counseling sessions free of charge. Besides classical psychological counseling, counseling is offered regarding issues such as work-life balance, motivational strategies, etc.
Sexual Harassment: Information and help at the University of Lucerne (website in German only, but contact can be in English)
Human Resources Department of the University of Lucerne: In case of problems within employment relationships at the University of Lucerne.
Ombudsman’s Office University of Lucerne: Offers counseling/ mediation in case of problems with persons/ services at the University of Lucerne if all other contacts at the faculty/ university have failed to offer adequate support.
Reporting Office at the University of Lucerne: Allows for anonymous reporting of any problematic incidents in cases where working with contact persons or institutions listed above don't offer adequate support.
In case of financial problems: the University Foundation helps with acquiring funding from private foundations.
In case working at the dissertation is impossible for an extended period of time, a leave of absence can be requested (deadline Spring Term: February 15th; Fall Term: September 15th).
Reading list for counseling literature doctorate.
Here is a link to a Google Doc with counseling literature regarding different aspects of being a doctoral candidate (academic writing and work, time management, work-life balance, etc.). GSL members are encouraged to add entries of their own to the list.
Doctoral Regulations
Study start Spring Term 2024
- PhD Regulations (Translation of "Promotionsordnung" - unchanged version from 2020)
- Guidelines for the PhD Regulations for the Graduate School (Tranlation of "Wegleitung zur Promotionsordnung")
- Infromation sheet on review and deposit copies
Study start Fall Semester 2020:
- PhD Regulations (Translation of "Promotionsordnung")
- Guidelines for the PhD Regulations for the Graduate School (Translation of "Wegleitung zur Promotionsordnung")
- Infromation sheet on review and deposit copies
Study start Fall Semester 2012:
- PhD Regulations (Translation of "Promotionsordnung")
- Guidelines for the PhD Regulations for the Graduate School (Translation of "Wegleitung zu Promotionsordnung")
- Infromation sheet on review and deposit copies
Study start after February 1st 2010:
Forms for Completion of PhD
Infromation sheet on review and deposit copies
Forms and Guidelines to Financial Support
- Guidelines for financial support applications
- Form for financial support application (PDF)
- Form for financial support application (Word)
- Disbursement form
Varia
- Certificate of Achievement for Doctoral Studies GSL (Word)
- Certificate of Achievement for Doctoral Studies GSL (PDF)
- Template Progress Report
* If the forms don't open as a fillable forms, click: file -> open in immersive Browser.
