Handbook for Research Postgraduate Studies 2017-18

Abstract

[evdate 2017-07-26] HANDBOOK FOR RESEARCH POSTGRADUATE STUDIES 2017-18Skip to main content

Home Preface University Governance Student Conduct and Academic Integrity Policies and Practices Governing Research Activities Admissions Fees Scholarships, Awards and Financial Assistance Registration in Programs Study Commitment English Language Requirement Curriculum Requirements Professional Development Course Course Registration Course Substitution and Credit Transfer Course Grading Progression and Academic Standing Guidelines on Thesis Research Graduation Appeals and Grievance Channels Appendices

Preface

Pursuing a research degree is a significant undertaking. For many students, it is a rather different type of study from the coursework programs they are familiar with. This Handbook has been prepared with the purpose of helping students understand their rights and responsibilities as research postgraduate (RPg) students at the Hong Kong University of Science and Technology, and the policies related to various aspects of research studies. We hope this Handbook serves as a useful guide for RPg students throughout their course of study. RPg students are obliged to find out what they need to do or know about their program of study and the related University regulations.

This may also serve as a handy reference for faculty members and administrative staff who may need to advise students on procedural matters concerning research studies at the University.

The content of this Handbook may change from time to time to reflect the most updated information. Students should also refer to the Academic Regulations of the University for policies related to their study.

Office of Postgraduate Studies July 2017

COPYRIGHT � OFFICE OF POSTGRADUATE STUDIES ALL RIGHTS RESERVED. DESIGNED BY PTC.

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The Handbook for Research Postgraduate Studies is produced by the Office of Postgraduate Studies (PGSO) to help students of research postgraduate programs understand the policies and procedural matters related to various aspects of their studies. For any questions, comments or suggestions, please contact PGSO. View Handbook COPYRIGHT � OFFICE OF POSTGRADUATE STUDIES ALL RIGHTS RESERVED. DESIGNED BY PTC.

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Home Preface University Governance Student Conduct and Academic Integrity Policies and Practices Governing Research Activities Admissions Fees Scholarships, Awards and Financial Assistance Registration in Programs Study Commitment English Language Requirement Curriculum Requirements Professional Development Course Course Registration Course Substitution and Credit Transfer Course Grading Progression and Academic Standing Guidelines on Thesis Research Graduation Appeals and Grievance Channels Appendices

Home Preface University Governance Student Conduct and Academic Integrity Policies and Practices Governing Research Activities Admissions Fees Scholarships, Awards and Financial Assistance Registration in Programs Study Commitment English Language Requirement Curriculum Requirements Professional Development Course Course Registration Course Substitution and Credit Transfer Course Grading Progression and Academic Standing Guidelines on Thesis Research Graduation Appeals and Grievance Channels Appendices

University Governance

The Hong Kong University of Science and Technology (HKUST) was established in 1991 by the HKUST Ordinance under Chapter 1141 of the Laws of Hong Kong. Its mission is to advance learning and knowledge through teaching and research, particularly in science, technology, engineering, management and business studies, at the postgraduate level, and to assist in the economic and social development of Hong Kong.

Stipulated in the University Ordinance and Statutes are three major bodies in the University governance structure, namely the Court, Council and Senate. The Court is the supreme advisory body of the University. The Council is the supreme governing body. The Senate is the supreme academic body, which is responsible for setting and reviewing academic policies.

The Senate has delegated some of its powers and duties to the committees that it has set up. Among the committees, the Committee on Postgraduate Studies advises and makes recommendations to the Senate on policies and regulations, and to monitor and review procedures, quality and performance relating to postgraduate studies, while the Committee on Teaching and Learning Quality advises and makes recommendations to the Senate on policies, regulations and guidelines relating to the quality assurance of teaching, learning and assessment.

The University is led by the President, who together with the Executive Vice-President and Provost and the three Vice-Presidents formed the senior administration. More details are available in the University Organization Chart.

The Vice-President for Research and Graduate Studies (VP-RG) provides overall leadership and oversees strategic development of research and graduate studies. Reporting to VP-RG, the Office of Postgraduate Studies performs two main functions: Postgraduate Secretariat, which oversees and coordinates matters related to research and taught postgraduate studies and serves as the secretariat for the Committee on Postgraduate Studies; and Postgraduate Outreach and Admissions, which deals with outreach and admissions matters for all postgraduate programs.

COPYRIGHT � OFFICE OF POSTGRADUATE STUDIES ALL RIGHTS RESERVED. DESIGNED BY PTC.

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Home Preface University Governance Student Conduct and Academic Integrity Policies and Practices Governing Research Activities Admissions Fees Scholarships, Awards and Financial Assistance Registration in Programs Study Commitment English Language Requirement Curriculum Requirements Professional Development Course Course Registration Course Substitution and Credit Transfer Course Grading Progression and Academic Standing Guidelines on Thesis Research Graduation Appeals and Grievance Channels Appendices

Home Preface University Governance Student Conduct and Academic Integrity Policies and Practices Governing Research Activities Admissions Fees Scholarships, Awards and Financial Assistance Registration in Programs Study Commitment English Language Requirement Curriculum Requirements Professional Development Course Course Registration Course Substitution and Credit Transfer Course Grading Progression and Academic Standing Guidelines on Thesis Research Graduation Appeals and Grievance Channels Appendices

Student Conduct and Academic Integrity

The HKUST Academic Honor Code Student Conduct Academic Integrity Policies and Regulations

The HKUST Academic Honor Code

Honesty and integrity are central to the academic work of HKUST. Students must observe and uphold the highest standards of academic integrity and honesty in all the work they do throughout their program of study.

As members of the University community, students have the responsibility to help maintain the academic reputation of HKUST in its academic endeavors.

Sanctions may be imposed on students if they are found to have violated the regulations governing academic integrity and honesty.

Student Conduct

The University expects good conduct from students. Complaints against a student for misconduct should be referred to the Dean of Students (DST). Where the DST is satisfied that there has been misconduct, he/she may impose sanctions. In serious cases, or where the DST determines that the University?s interests will be best served, he/she may refer the case to the Student Disciplinary Committee, which may impose additional sanctions, including expulsion from the University.

The student may submit an appeal against the decision of the DST or the Student Disciplinary Committee to the Executive Vice-President and Provost or the President respectively.

Academic Integrity

The University?s approach to cases of academic misconduct is fundamentally educational. The process for dealing with these cases is designed to enable students to better understand the nature of academic misconduct and the high standards of academic integrity that are expected. The sanctions available in confirmed cases of misconduct are intended to signal the importance that the University places on maintaining these high standards and to communicate this to students.

Academic misconduct includes, but is not limited to:

Cheating: conduct designed to mislead those responsible for making a judgment on a student?s academic performance or standing, including:

Unauthorized conveyance or receipt of examination or test questions. The giving, receiving or utilizing of unauthorized information or assistance in completing an assignment, test or examination. Breaches of the regulations for examinations set out in the Annex of the Regulations for Student Conduct and Academic Integrity. Impersonating another student or allowing oneself to be impersonated by another student in participating in a test or examination. Submission of academic work containing purported statements of fact or references to sources that have been fabricated. Presenting for credit work that has already been accepted for credit in another course.

Plagiarism: the presentation of work which originates from other sources as one?s own without appropriate attribution to the source.

Cases of alleged academic misconduct should be referred to the Head of Department/Division for review. Where the Head is satisfied that the student has committed an act of academic misconduct, the Head may impose sanctions, and file a Report on Student Academic Misconduct to the relevant Dean and the Academic Registrar for record. Unless otherwise instructed, these records will be discarded when the student graduates. Where the Head believes that the best interests of the University will be served, or where there has been a previous act of academic misconduct, the case may be referred to the Dean for review, who may impose additional sanctions. The Dean may refer the case to the Executive Vice-President and Provost (EVPP), and EVPP may refer the case to the Student Disciplinary Committee, for further review and consideration of additional sanctions, including dismissal from the University.

The student may appeal against the decision of the Head or of the Dean to EVPP. Where a case of alleged academic misconduct has been referred to EVPP or the Student Disciplinary Committee, students may appeal against the decision to the President.

Allegations of research misconduct should be referred and dealt with under the Policy on Research Conduct and Integrity.

Policies and Regulations

For details on University policies and regulations governing student conduct, academic integrity and research conduct, please refer to:

Regulations for Student Conduct and Academic Integrity Procedural Framework Governing Violations of Academic Integrity Policy on Research Conduct and Integrity

COPYRIGHT � OFFICE OF POSTGRADUATE STUDIES ALL RIGHTS RESERV Skip to main content menu

Home Preface University Governance Student Conduct and Academic Integrity Policies and Practices Governing Research Activities Admissions Fees Scholarships, Awards and Financial Assistance Registration in Programs Study Commitment English Language Requirement Curriculum Requirements Professional Development Course Course Registration Course Substitution and Credit Transfer Course Grading Progression and Academic Standing Guidelines on Thesis Research Graduation Appeals and Grievance Channels Appendices

Home Preface University Governance Student Conduct and Academic Integrity Policies and Practices Governing Research Activities Admissions Fees Scholarships, Awards and Financial Assistance Registration in Programs Study Commitment English Language Requirement Curriculum Requirements Professional Development Course Course Registration Course Substitution and Credit Transfer Course Grading Progression and Academic Standing Guidelines on Thesis Research Graduation Appeals and Grievance Channels Appendices

Policies and Practices Governing Research Activities Intellectual Property Policy

The University has developed the Intellectual Property Policy and its constituent Guidelines to support the management, technology transfer and commercialization of intellectual Property created by employees, students or others during their association with the University.

More information is available here.

Guidelines and Procedures for Research Practices

The University community has a collective responsibility to ensure that proper research practices are carried out in accordance with both international and University standards and regulations at all times, to be vigilant in guarding against serious lapses, and to report violations if they occur.

All research conducted at the University whenever involving animals, human participants, and safety should be reviewed for research practices. Under the auspices of the Committee on Research Practices, there are three Committee/Panels to review such practices. They are:

Animal Ethics Committee; Human Participants Research Panel; and Safety Panel.

More details on the Guidelines and Procedures for Research Practices at the University are available here.

COPYRIGHT � OFFICE OF POSTGRADUATE STUDIES ALL RIGHTS RESERVED. DESIGNED BY PTC.ED. DESIGNED BY PTC.

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Home Preface University Governance Student Conduct and Academic Integrity Policies and Practices Governing Research Activities Admissions Fees Scholarships, Awards and Financial Assistance Registration in Programs Study Commitment English Language Requirement Curriculum Requirements Professional Development Course Course Registration Course Substitution and Credit Transfer Course Grading Progression and Academic Standing Guidelines on Thesis Research Graduation Appeals and Grievance Channels Appendices

Home Preface University Governance Student Conduct and Academic Integrity Policies and Practices Governing Research Activities Admissions Fees Scholarships, Awards and Financial Assistance Registration in Programs Study Commitment English Language Requirement Curriculum Requirements Professional Development Course Course Registration Course Substitution and Credit Transfer Course Grading Progression and Academic Standing Guidelines on Thesis Research Graduation Appeals and Grievance Channels Appendices

Admissions

General Admission Requirements English Language Requirement for Admission Admissions Procedure Non-local Applicants Deferred Admission Re-admission

General Admission Requirements

To qualify for admission to the University, applicants must meet (i) the University admission requirements; (ii) the admission requirements of the program applying for; and (iii) the English language admission requirement.

University and program admission requirements are minimum requirements for admission. Meeting these minimum requirements does not guarantee admission. Applicants who possess other qualifications equivalent to the University requirements for admission may submit applications for consideration on the basis of individual merit.

Applicants seeking admission to an MPhil degree program should have obtained a bachelor?s degree from a recognized institution, or an approved equivalent qualification; and satisfied specific requirements prescribed by the School and department concerned as to their fitness to pursue postgraduate study.

Applicants seeking admission to a doctoral program should have obtained a bachelor?s degree with a proven record of outstanding performance from a recognized institution or presented evidence of satisfactory work at the postgraduate level on a full-time basis for at least one year, or on a part-time basis for at least two years; and have satisfied the specific requirements prescribed by the School and department concerned as to their chosen subject of research, as well as their fitness to undertake the research.

Details of the admission requirements of the University and individual programs are available here.

English Language Requirement for Admission

Applicants whose first language is not English and whose bachelor?s degree or equivalent qualification was awarded by an institution where the medium of instruction was not English, are required to fulfill one of the following minimum English language requirements:

Test of English as a Foreign Language (TOEFL) ? a paper-based test score of no less than 550; or an internet-based test score of no less than 80; or

International English Language Testing System (IELTS) - an overall score of 6.0 with no sub-score lower than 5.5.

N.B. TOEFL and IELTS scores are valid for two years from the test date.

In addition to the above, individual schools or departments may stipulate higher English language proficiency requirements. Please click here for details.

Admissions Procedure

Applications for admission to postgraduate programs in Fall Term of the year are normally invited from September in the previous year. Interested persons are strongly advised to apply well before the application closing dates. Application deadlines for individual programs may vary and should be checked prior to submitting an application. In order to allow sufficient time to obtain a student visa/entry permit, non-local applicants are encouraged to submit their applications as early as possible and not to delay submission until the closing date.

Selected applicants may be invited for an admission interview. Successful applicants will receive an offer of admission from the Office of Postgraduate Studies, and may be required to satisfy specified conditions. Applicants receiving an offer will be expected to accept or decline by a specified date.

Detailed application procedures are available here.

Non-local Applicants

The University welcomes applications from non-local students who are seeking admission at the postgraduate level.

For admission purposes, non-local students are defined as those who enter Hong Kong for the purpose of education with a student visa/entry permit issued by the Director of Immigration of the Hong Kong Special Administrative Region. This is applicable to all non-local students including visiting and inbound exchange students.

(i) Student Visa or Entry Permit All non-local students must obtain approval from the Hong Kong Immigration Department before the commencement of their studies. Without such an approval, they are not allowed to register for any program of study at the University. Students who are unsure of whether or not they need a visa/entry permit should check with the Immigration Department directly (Tel: 2824 6111; Email: enquiry@immd.gov.hk).

Upon approval by the Immigration Department to enter Hong Kong for the purpose of pursuing the specified program of study at HKUST, Chinese Mainland residents and Chinese residents from Taiwan and Macao will be issued an entry permit label. Non-local students from other places will be issued a student visa.

Students have to apply for student visas/entry permits after they have completed the admission offer acceptance process. Chinese Mainland residents must apply for the entry permits through the University. Other students are strongly advised to apply for the student visas/entry permits through the University though they may choose to file an application on their own. While students have to initiate the student visas/entry permits application process, the Office of Postgraduate Studies will provide appropriate assistance.

The Immigration Department normally takes six to eight weeks to process a student visa/entry permit application. Students who are Chinese Mainland residents will receive the entry permit labels from the Office of Postgraduate Studies, and have to apply for an ?Exit-entry Permit for Travelling to and from Hong Kong and Macao? and ?Relevant Exit Endorsement? at the Public Security Bureau Office where their household registrations are kept , before departure to Hong Kong. This process will take an additional two weeks.

Detailed application procedures for student visas/entry permits are available here.

(ii) Costs of Study In addition to tuition fees, costs associated with staying and living in Hong Kong include accommodation, medical and living expenses. Non-local students should carefully consider the financial aspects of their study in Hong Kong before coming to Hong Kong.

An average HKUST student spends approximately HK$100 per day for meals on-campus. The cost of meals off-campus varies and is substantially higher. Depending on the spending pattern of individuals, personal miscellaneous expenses on local transportation, laundry, sundries and entertainment, etc. will be about HK$600-HK$1,000 per week. More information about the cost of living in Hong Kong can be found here.

(iii) Employment During Study Non-local students should note that, while the Hong Kong Immigration Department has relaxed its employment restrictions, full-time MPhil and PhD students should not take up any employment or internship outside their research studies. They may only apply to take up on-campus part-time work, summer work and study-related internship, subject to rules and conditions specified by the Immigration Department and the University. For further details, please refer to the section ?Internship & Employment During Study? of this Handbook.

Deferred Admission

Under special circumstances, students may apply in writing to the Office of Postgraduate Studies for deferred admission to a subsequent term. Requests will be considered on an individual basis by the relevant School/department, who will notify the applicant of the outcome. All approvals for deferred admission are valid for not more than two consecutive regular terms, after which re-application for admission to the University must be made.

Re-admission

Students who have withdrawn from the University may apply for admission into any program of study by following the regular admissions procedure. However, those who are required to withdraw from the University due to academic reasons or failure to meet the prescribed conditions set for re-enrollment at the end of an academic leave may not apply for re-admission into the same program of study.

For re-admitted students, course grades and credits taken within five years prior to re-admission and not used to earn any academic qualification at the University or elsewhere may be used to fulfill requirements of the new program of study, subject to approval of the major department.

COPYRIGHT � OFFICE OF POSTGRADUATE STUDIES ALL RIGHTS RESERVED. DESIGNED BY PTC.

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Home Preface University Governance Student Conduct and Academic Integrity Policies and Practices Governing Research Activities Admissions Fees Scholarships, Awards and Financial Assistance Registration in Programs Study Commitment English Language Requirement Curriculum Requirements Professional Development Course Course Registration Course Substitution and Credit Transfer Course Grading Progression and Academic Standing Guidelines on Thesis Research Graduation Appeals and Grievance Channels Appendices

Home Preface University Governance Student Conduct and Academic Integrity Policies and Practices Governing Research Activities Admissions Fees Scholarships, Awards and Financial Assistance Registration in Programs Study Commitment English Language Requirement Curriculum Requirements Professional Development Course Course Registration Course Substitution and Credit Transfer Course Grading Progression and Academic Standing Guidelines on Thesis Research Graduation Appeals and Grievance Channels Appendices

Fees

Tuition Fees Partial Fees Refund Policy Caution Money Graduation Fee HKUST Students' Union Fee Late Charges Charges for On-campus Student Accommodation Compulsory Medical Insurance Other Fees and Charges

Tuition Fees

Tuition fees are payable in two equal installments at the beginning of each regular term. The tuition fee for the 2016/17 academic year is: Full-timeHK$42,100 per annum Part-timeHK$42,100 per annum (for RPg students admitted from 2014/15 onward) HK$21,050 per annum (for RPg students admitted before 2014/15)

Partial Fees

Research postgraduate students who are studying beyond the normative period of study and in their final stage of thesis writing may apply to register as Continuing Student, and pay a reduced tuition fee. The tuition fee for Continuing Student is a quarter of the full-time tuition fee, rounded up to the nearest five dollars per regular term, and has to be settled in full in a single payment: Continuing StudentHK$5,265 per regular term

Students who graduate in a term when they register as Continuing Student are not eligible for tuition fee refund even if they complete their program requirements within the first three months of the regular term concerned.

Refund Policy

Tuition fees paid are normally not refundable.

To encourage research postgraduate students to complete their studies at the earliest possible time, a refund mechanism has been introduced so that those who are studying beyond the normative period of study and have met their program and residency requirements within the first three calendar months of the start of a regular term are entitled to a refund of 50% of the tuition fee paid for that regular term. The students must have submitted their final thesis within the three-month period.

This refund mechanism is applicable to both full-time and part-time students who have only their research thesis to complete for submission in the last term of study. Students who have enrolled for courses other than MPhil/Doctoral Thesis Research in the last term are not entitled to the refund.

Caution Money

Each new student is required to pay a deposit of HK$300 as caution money on first registration. Charges will be made against this deposit if there are any unpaid claims against the student, such as outstanding library dues. The balance will be refunded if the student leaves the University before graduation. At graduation, the student is required to restore the balance of the caution money to its original level and the full amount of the caution money will be credited against the graduation fee.

Graduation Fee

Upon completion of the program of study and before the degree or diploma is awarded, each student is required to pay a graduation fee of HK$300. The fee is normally settled by transferring the full amount of the caution money.

HKUST Students? Union Fee

Students joining the HKUST Students? Union are required to pay an initial entry fee and thereafter an annual subscription. These fees are set by the Union and collected by the University on behalf of the Union. The entry fee, applicable to students admitted for the first time, is HK$100 and the annual subscription fee is HK$100.

Late Charges

Students may be required to pay late charges for failure to complete certain University procedures by stipulated deadlines. These include fines for overdue library books. Late charges are levied in accordance with the rules and regulations set by respective offices.

Charges for On-campus Student Accommodation

The University offers on-campus accommodation for eligible full-time research postgraduate (RPg) students at the University Apartments (UA) and the Stephen Kam Chuen Cheong Hall (SKCC Hall).

The accommodation charges for the residential year 2017/18 (covering the period from 17 August 2017 to 30 June 2018) are listed below for reference: Building/HallAccommodation Charge (HK$) Univeristy Apartments ^ and SKCC Hall *24,188 - 39,331

^ Single rooms in 4-person or 5-person apartments and double rooms in 5-person apartments are available in the UA. Utility charge is included. * Single rooms are available in the SKCC Hall. No utility charge applies and residents pay according to their actual consumption.

The rates of charges are subject to further adjustment and confirmation. All charges are paid in advance in installments, and are non-refundable.

Further details about student accommodation can be found at the Student Housing and Residential Life Office website.

Compulsory Medical Insurance

The University policy stipulates that compulsory medical insurance is required for all registered full-time degree-seeking non-local undergraduate and postgraduate students studying at HKUST on student visa/entry permit. Students are required to purchase this insurance from the University.

The compulsory medical insurance aims to provide better resources and safety net for non-local students in the event that they need prompt, appropriate and affordable medical services locally or outside of Hong Kong. While students may use the free general consultations and medications of the campus clinic, they might need other medical services such as hospitalization in some circumstances. There are always long waiting lists for public hospital services in Hong Kong, while medical costs in private hospitals are high.

Further details about student insurance schemes can be found at the Scholarships and Financial Aid Office website. Other Fees and Charges

Other fees and charges students may come across include, but are not limited to:

ItemPer-copy Fee Application for TestimonialHK$30 Application for Transcript of Studies# (excluding mailing charges) HK$50 Replacement of HKUST CardHK$150 Application for Award Certification Letter*HK$30 Replacement of DiplomaPlease contact Academic Records and Registration, Academic Registry

# A free copy of transcript will be issued to students upon approval of graduation or withdrawal from the University. * A free copy of award certification letter will be issued to students upon approval of graduation.

COPYRIGHT � OFFICE OF POSTGRADUATE STUDIES ALL RIGHTS RESERVED. DESIGNED BY PTC.

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Home Preface University Governance Student Conduct and Academic Integrity Policies and Practices Governing Research Activities Admissions Fees Scholarships, Awards and Financial Assistance Registration in Programs Study Commitment English Language Requirement Curriculum Requirements Professional Development Course Course Registration Course Substitution and Credit Transfer Course Grading Progression and Academic Standing Guidelines on Thesis Research Graduation Appeals and Grievance Channels Appendices

Home Preface University Governance Student Conduct and Academic Integrity Policies and Practices Governing Research Activities Admissions Fees Scholarships, Awards and Financial Assistance Registration in Programs Study Commitment English Language Requirement Curriculum Requirements Professional Development Course Course Registration Course Substitution and Credit Transfer Course Grading Progression and Academic Standing Guidelines on Thesis Research Graduation Appeals and Grievance Channels Appendices

Skip to main content menu

Home Preface University Governance Student Conduct and Academic Integrity Policies and Practices Governing Research Activities Admissions Fees Scholarships, Awards and Financial Assistance Registration in Programs Study Commitment English Language Requirement Curriculum Requirements Professional Development Course Course Registration Course Substitution and Credit Transfer Course Grading Progression and Academic Standing Guidelines on Thesis Research Graduation Appeals and Grievance Channels Appendices

Home Preface University Governance Student Conduct and Academic Integrity Policies and Practices Governing Research Activities Admissions Fees Scholarships, Awards and Financial Assistance Registration in Programs Study Commitment English Language Requirement Curriculum Requirements Professional Development Course Course Registration Course Substitution and Credit Transfer Course Grading Progression and Academic Standing Guidelines on Thesis Research Graduation Appeals and Grievance Channels Appendices

Scholarships, Awards and Financial Assistance

Postgraduate Studentships Scholarships Government Student Financial Assistance University Loans and Bursaries

Postgraduate Studentships

Postgraduate studentships (PGSs) are awarded to full-time research postgraduate (RPg) students of the University to provide them with financial assistance to cover their daily subsistence, tuition fees and other related expenses during the course of their study. The PGS is provided to ensure that full-time RPg students do not need to be concerned with looking for other sources of income to support themselves and should devote full efforts to their studies.

Awards given are based on academic merit, English language proficiency, and the suitability of the RPg students for the proposed program of study, as is the selection of applicants for admission to postgraduate studies.

All recipients of PGS, including awardees of the Hong Kong PhD Fellowship Scheme (HKPFS) and the Asian Future Leaders Scholarship Program (AFLSP), may be required to engage in ancillary duties related to teaching and/or research, which supplement their formal degree program. The nature of these assignments may vary from time to time according to need.

The maximum PGS amount in the 2017/18 academic year is HK$16,330, except for awardees of HKPFS and AFLSP, and full-time PhD students who have passed their qualifying examination and have done well in their work. The actual PGS rate a student receives is determined by the home department. The PGS rate, subject to annual review, may be adjusted upward or downward. The PGS rates for an academic year are normally announced in Spring Term of the previous year.

For details, please refer to the Terms and Conditions of Postgraduate Studentships.

Scholarships

The University administers various scholarships and awards on behalf of individual and corporate donors. Most are offered to students on the strength of academic merit and the recommendations of a School or department. Other scholarships may have conditions specified by the donors. Details are available at the Scholarships and Financial Aid Office website.

Government Student Financial Assistance

Students who have the right of abode in Hong Kong or have resided or have had their home in Hong Kong continuously for three complete years immediately prior to the commencement of their studies, are eligible to apply for financial aid from the Student Finance Office (SFO) of the Working Family and Student Financial Assistance Agency. Holders of student visas are not eligible to apply for any financial aid from SFO, irrespective of their number of years of residence in Hong Kong.

Full-time students are eligible to apply for the Tertiary Student Finance Scheme (TSFS), and the Non-means-tested Loan Scheme for Full-time Tertiary Students (NLSFT). Part-time students are eligible to apply for the Extended Non-means-tested Loan Scheme (ENLS).

(i) Tertiary Student Finance Scheme (TSFS) Under this scheme, means-tested awards are offered in the form of grants and/or loans. Grants are given for tuition fees and academic expenses while loans are for living expenses. The level of financial assistance is related to the applicant?s family income and financial status. Grants need not be repaid; loans are to be repaid at a relatively low interest rate within a specified period after graduation or upon leaving the University.

(ii) Non-means-tested Loan Scheme for Full-time Tertiary Students (NLSFT) NLSFT is to complement TSFS to provide financial assistance in the form of loans. This scheme offers loans up to the amount of tuition fees to applicants who do not apply for assistance or who fail to receive assistance from TSFS. It also allows students who receive assistance from TSFS to obtain loans up to the difference between the maximum assistance and the amount they receive under TSFS. Loans awarded are not means-tested. Students have to repay the loan at a cost recovery interest rate within a specified period after graduation or upon leaving the University.

(iii) Extended Non-means-tested Loan Scheme (ENLS) Under this scheme, non-means-tested financial assistance is provided to students studying part-time, in the form of a loan up to the amount of tuition fees. Students have to repay the loan at a cost recovery interest rate within a specified period after graduation or upon leaving the University.

Application forms and further details are available at the SFO website or the Scholarships and Financial Aid Office website. Students with financial difficulties are urged to apply for government assistance as soon as it is open for application.

University Loans and Bursaries

Students with additional financial needs may apply for loans and bursaries administered by the University. In general, these funds are used to supplement, but not substitute for, government financial assistance. Details of loans and bursaries are available here.

COPYRIGHT � OFFICE OF POSTGRADUATE STUDIES ALL RIGHTS RESERVED. DESIGNED BY PTC. Home Preface University Governance Student Conduct and Academic Integrity Policies and Practices Governing Research Activities Admissions Fees Scholarships, Awards and Financial Assistance Registration in Programs Study Commitment English Language Requirement Curriculum Requirements Professional Development Course Course Registration Course Substitution and Credit Transfer Course Grading Progression and Academic Standing Guidelines on Thesis Research Graduation Appeals and Grievance Channels Appendices

Home Preface University Governance Student Conduct and Academic Integrity Policies and Practices Governing Research Activities Admissions Fees Scholarships, Awards and Financial Assistance Registration in Programs Study Commitment English Language Requirement Curriculum Requirements Professional Development Course Course Registration Course Substitution and Credit Transfer Course Grading Progression and Academic Standing Guidelines on Thesis Research Graduation Appeals and Grievance Channels Appendices

Registration in Programs

Maintaining Registration Double Registration Late Registration Mode of Study Normal Duration of Study Leave from Study Retention of Student Status Continuing Student Status Changes of Registration Registration Beyond Program Completion Withdrawal from the University

Maintaining Registration

Program registration involves payment of tuition and other prescribed fees, and completion of the registration process. Failure to maintain registration in the program in any regular term will result in automatic withdrawal from the program and the University, unless a formal approval of Leave from Study has been obtained from the student?s major department. Moreover, a student must be officially registered in the program in the regular term when he/she is being considered for graduation from the program concerned.

Double Registration

Unless prior permission from the Academic Registrar is obtained, students are not permitted to concurrently register for another program at this University or at another tertiary institution. If students are found to be registered elsewhere without seeking prior approval, they will normally be required to discontinue their study at this University.

Students who wish to apply for simultaneous registration are required to submit an ?Application for Double Registration? (form RR-29) to Academic Records and Registration, Academic Registry together with appropriate documentary evidence. Students will be notified of the result of the application in writing.

Late Registration

Non-local postgraduate students admitted to the University in a particular academic year must complete registration in their programs by the end of the add/drop period in the Fall or Spring Term. Under special circumstances, students may apply in writing to Academic Records and Registration, Academic Registry via the department for late program registration for the term concerned.

Mode of Study

Most postgraduate programs are available in both full-time and part-time modes of study. The MPhil and PhD are research degrees, and students in some disciplines may be required to participate in research on a full-time basis.

Postgraduate students may apply to their major department, prior to the beginning of any regular term, for transfer from full-time to part-time status or from part-time to full-time status. When such a transfer is allowed, the remaining program requirements will be determined.

Full-time research students are expected to be in attendance on a year-round basis. For part-time students, attendance shall be as above except on a part-time basis as defined by the requirements of their programs of study.

Normal Duration of Study

The normative period of study for completing a PhD degree in full-time mode is four years after the first degree with a reduction of one year if a relevant research postgraduate degree is earned prior to entering the PhD program. For an MPhil degree in full-time mode, the normative period of study is two years.

The maximum time allowed for degree completion is five years for a master?s degree and eight years for a doctoral degree. Time limits for part-time study are the same as for full-time study. The time limits are in effect whether or not the student is in continuous registration. That is, period of approved Leave from Study, and suspension period are also counted toward the maximum time allowed for degree completion.

Leave from Study

Students are discouraged from interrupting their program of study. In exceptional circumstances with sufficient justification, students may apply for Leave from Study for one regular term, subject to approval of the major department. Applications for Leave from Study for two consecutive regular terms require the approval of the Dean or the Dean?s designee. Applications for Leave from Study for more than two consecutive regular terms will normally not be considered. Any exception to this rule requires the approval of the Office of Postgraduate Studies.

The approved period of Leave from Study will be counted toward the time limit for completion of the program being pursued.

To apply for Leave from Study, students should submit an ?Application for Leave from Study? (form RR-8a) together with the appropriate supporting documents to the department for approval before the start of the proposed leave period.

Retention of Student Status

Research postgraduate students who submit their theses for examination at least four weeks before the commencement of the following regular term, and who are unable to sit for their thesis examinations before the start of the following regular term through no fault of their own, are allowed to retain their student status for a period not longer than four weeks into the following regular term.

Those students whose date of submission of thesis copies for examination falls short of the four-week period prior to the start of a regular term are not eligible to apply for retention of student status.

Students are required to submit an ?Application for Retention of Student Status (for Research Postgraduates)? (form RR-36) to Academic Records and Registration, Academic Registry within two weeks after they have submitted their thesis copies to departments for examination purpose.

During this four-week non-fee paying period, these students are still regarded as students of the University and are entitled to normal student services. However, they are not entitled to receive postgraduate studentships nor to University student accommodation.

The respective thesis examinations should be held within the first three weeks of the following regular term, leaving at least one week for the candidates to submit the final version of their theses. In the event that students are unable to submit their final theses before the end of the four-week period, they are required to register as regular students to maintain their student status. They have to complete program and course registration, and pay the tuition for the term concerned.

Continuing Student Status

Research postgraduate students who are studying beyond the normative period of study and in their final stage of thesis writing may apply to register as Continuing Student, and pay a reduced tuition fee. Their previous mode of study, whether full-time or part-time before changing to Continuing Student status, will remain unchanged. The application ?Application for Continuing Student Status of Research Postgraduate Students? (form RR-45), duly considered and endorsed by the thesis supervisor, and department head or PG Coordinator, has to reach Academic Records and Registration, Academic Registry at least four weeks before the start of the term the Continuing Student status is to be effected.

Continuing Students, regardless of their mode of study, are not eligible to receive any forms of financial assistance, and are not entitled to University student accommodation. There is no time limit for research postgraduates to register as Continuing Student. However, the maximum time allowed for degree completion still holds. Once having registered for the Continuing Student status, students are not allowed to change back to regular student status.

Changes of Registration

A student may change from one program of study to another with the permission of the major department to which the student wishes to transfer. If a transfer is approved, that department will determine which credits from the student?s former program apply to the new program. Normally, the transfer will not be effected until the following regular term. Students who wish to transfer to another program of study in the middle of a term should obtain the prior approval of the major department and the Dean or the Dean?s designee. Unless there are extenuating circumstances, requests for program transfers to be effected in the middle of a term are not supported.

For students who have transferred from one program of study to another, the maximum time for degree completion will be counted from the first day of registration at the University.

To apply for program transfer, students are required to submit an ?Application for Program Transfer/Change of Academic Load (for Postgraduate Students)? (form RR-6a) to the receiving department for consideration.

Registration Beyond Program Completion

Students who have completed their program requirements are not allowed to continue their registration for the same program of study in subsequent terms.

Withdrawal from the University

Students who withdraw, or are required to withdraw, from the University must complete clearance procedures as specified by the Academic Registrar. Only students who have completed the clearance procedures for withdrawal will be entitled to receive refund of caution money and a free copy of the transcript of studies.

To apply for withdrawal and refund of caution money, students should complete and return the ?Application for Withdrawal of Study? (form RR-12) form to Academic Records and Registration, Academic Registry.

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Study Commitment

Study Commitment Internship & Employment During Study Annual Leave

Study Commitment

Students admitted to a full-time program are expected to study full-time for their programs, and are cautioned that outside work commitments may impede their academic performance.

Full-time research postgraduate (RPg) students are provided with Postgraduate Studentships (PGS) to ensure that they need not be concerned with looking for other sources of income to support themselves. Although study-related work or internship may be desirable experiences to have, they may not be critical to the studies being pursued. Full-time RPg students should devote full efforts to their studies.

Internship & Employment During Study

All full-time MPhil and PhD students should not take up any employment or internship outside their research studies regardless of whether or not they are receiving PGS awards.

During the Fall and Spring Terms, full-time RPg students, both local and non-local, are not allowed to engage in any full-time or part-time employment with the University or any other employer. The only exception is that full-time RPg students who are not receiving PGS may apply for taking up no more than 10 hours per week of on-campus part-time work, subject to the prior approval of their supervisors, the departmental PG Coordinator, the Associate Dean (PG) of the School, and the Office of Postgraduate Studies (PGSO).

During the Winter or Summer Terms, with the prior approval of the supervisor, the departmental PG Coordinator, the Associate Dean (PG) of the School, and PGSO, RPg students may engage in full-time research assistantship (RA) work within the University. In such cases, the PGS will be temporarily suspended during the period of employment as research assistants. Students who wish to take up an RA appointment should seek the prior approval of PGSO via their home department before they commit themselves for Winter or Summer RA work. In addition, non-local RPg students must satisfy the conditions of their stay laid down by the Hong Kong Immigration Department.

Further details can be found here.

Annual Leave

With the prior approval of the home department, full-time research postgraduate students may have up to 21 calendar days? leave in an academic year (1 September to 31 August). This leave is inclusive of Saturdays, Sundays and public holidays that lie within the leave period. Those who arrive late will have their annual leave pro-rated.

Unused leave for one year cannot be carried forward to the next academic year. The decision on whether or not a leave request should be granted rests jointly with the thesis supervisor of the student and the departmental PG Coordinator.

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Home Preface University Governance Student Conduct and Academic Integrity Policies and Practices Governing Research Activities Admissions Fees Scholarships, Awards and Financial Assistance Registration in Programs Study Commitment English Language Requirement Curriculum Requirements Professional Development Course Course Registration Course Substitution and Credit Transfer Course Grading Progression and Academic Standing Guidelines on Thesis Research Graduation Appeals and Grievance Channels Appendices

English Language Requirement

Medium of Instruction and Assessment Spoken English Test for New Research Postgraduate Students English Language Enhancement Courses

Medium of Instruction and Assessment

Unless otherwise approved by the Senate for a specific course or program of study, English is the medium of instruction and assessment at the University. It is, therefore, crucial for research postgraduate students to possess an adequate level of English proficiency in order to (a) become more effective learners in their respective disciplines through the medium of English; (b) be able to disseminate their research effectively to an English-speaking audience and readership; and (c) enhance their educational and career prospects.

Spoken English Test for New Research Postgraduate Students

In order to ensure research postgraduate (RPg) students have the oral and aural skills for effective postgraduate studies and classroom teaching, before the start of their first term of study at HKUST, all new full-time RPg students are required to take a Spoken English Test, the English Language Proficiency Assessment (ELPA), administered by the Center for Language Education.

The duties assigned to Graduate Teaching Assistants (GTAs) will involve direct class interaction with undergraduate (UG) students in English. Such interaction may include the conduct of tutorials, assistance in laboratory sessions, and engagement in other UG class activities. It is important that RPg students who perform GTA duties have an adequate mastery of spoken English. ELPA provides a useful assessment of the spoken English ability of those whose mother tongue or first language is not English, to determine if they can effectively perform those duties in English.

For more information concerning the design of ELPA, how to register a timeslot for the test, and how native English speakers can apply for exemption, please refer to the ELPA website.

English Language Enhancement Courses

Students whose spoken English test score is below the threshold score or who failed to take the test in their first term of study at HKUST are required to take and pass an English language course, LANG 5000 Foundation in Listening and Speaking for Postgraduate Students, which has been designed to help improve their spoken English proficiency. Students who obtained a score below Level 4 in the ELPA Speaking Test would not be allowed to serve as graduate teaching assistants until they have passed LANG 5000.

Departments may link the performance of students in LANG 5000 with the Postgraduate Studentship (PGS) rate those students receive by reducing the PGS rate by 25% for students who fail LANG 5000 after the first attempt.

In addition, some programs require their students to take and pass additional language courses as part of the program requirements.

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Home Preface University Governance Student Conduct and Academic Integrity Policies and Practices Governing Research Activities Admissions Fees Scholarships, Awards and Financial Assistance Registration in Programs Study Commitment English Language Requirement Curriculum Requirements Professional Development Course Course Registration Course Substitution and Credit Transfer Course Grading Progression and Academic Standing Guidelines on Thesis Research Graduation Appeals and Grievance Channels Appendices

Curriculum Requirements

Adherence to the Curriculum Residency Requirements Thesis Research PhD Qualifying Examination

Adherence to the Curriculum

Each student enrolled in a specific program is subject to the requirements of the major department and the University. All postgraduate students must adhere to the curriculum of the year of entry throughout their program of study.

Students should ensure that they understand the curriculum requirements of their program and plan ahead to complete their program within the permitted duration of study. In case of deviations from school/departmental/program requirements, approval must be obtained from the Dean or the Dean?s designee. Deviations from University requirements must be approved by the Office of Postgraduate Studies.

Departments should, as far as possible, deliver the curriculum advertised unless due to special circumstances, changes to the original curriculum are necessary or advantageous.

Detailed curriculum requirements for students admitted in different academic years are published in the Postgraduate Program Catalog.

Residency Requirements

Full-time research postgraduate students are required to be on campus full-time and consequently in such geographical proximity as to be able to participate fully in University activities associated with the program. Residency provides students with an opportunity to become immersed in the intellectual environment of the University. Also included in residency are periods during which students? research requires off-campus field or non-HKUST laboratory work.

The residency requirements for a full-time MPhil degree is two regular terms; and that for a full-time PhD degree is three regular terms if a relevant research master?s degree is earned prior to entering the PhD program, but four regular terms for those who do not.

A term of residency of part-time students counts as a one-half term of residency. Students who have not completed their thesis work should continue registration on a full- or part-time basis, without interruption.

Thesis Research

Research postgraduate (RPg) programs focus on original research by the students. In addition to coursework requirements, RPg students will undertake thesis research under the direction of their supervisors.

Further guidelines on thesis research are provided in the section ?Guidelines on Thesis Research? of this Handbook.

PhD Qualifying Examination

Students enrolled on PhD programs are required to pass a qualifying examination within a stipulated period in order to obtain the PhD candidacy. The qualifying examination may be conducted through the oral or written mode, or both. Those who fail the qualifying examination after two attempts are not allowed to continue with their doctoral studies. Individual programs may have stipulations concerning the timeframe that students should take the qualifying examination and when the qualifying examination should be retaken in the case of failure in the first attempt.

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Professional Development Course Professional Development Course

To enhance the educational experience of research postgraduate (RPg) students, the University has introduced Professional Development Courses (PDCs) to provide them with a comprehensive set of essential transferable skills to enhance their personal growth and career development.

All RPg students (both full-time and part-time) are required to take a PDC as part of their program requirements. These PDCs are composed of a series of different workshops and modules that must be attended over the course before completion of RPg studies. Professional development training includes the themes of Professional Conduct, Communication Skills, Research Competency, Entrepreneurship, Self-Management, and Career Development.

Further details can be found here.

Online Administration System for PDCs

An online PDC administration system has been designed to help students enroll in PDC activities. The system allows students to enquire what type of activities, and when they will be offered and to check on the activities for which they have already registered. It also maintains a list of the activities that students have already completed.

Through the PDC system, students can

View their PDC requirements; Search event offerings and schedules; Enroll in PDC offerings; and Track their progress in fulfilling PDC requirements of their program.

Students can access the PDC system via myPortal or the Administrative Service platform.

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Course Registration

Definition Credit Requirements Study Load Background, Prerequisites, Co-requisites, Exclusions and Co-listed Courses Course Auditing Course Add/Drop and Course Withdrawal

Definition

Course registration deals with the selection of and registration in appropriate courses for a specific term. Course registration for a term requires approval from the major department. The student?s program registration will be revoked without formal registration in any course. Students should ensure that they have properly registered in the courses specified for a term. Students whose names are not on the class enrollment list will not be allowed to sit for examinations of the specific courses concerned and will not be awarded any grades for the courses.

Students should acquaint themselves with the general rules for postgraduate course registration and departmental course requirements for the program. They should also refer to the Postgraduate Course Catalog and read the course description and requirements carefully before selecting a course.

Research postgraduate students should ensure that they enroll on the appropriate thesis research course when they begin their thesis research work. They should continue to enroll in the thesis research course until they have submitted their thesis.

Credit Requirements

Credit requirements for postgraduate programs apply only to course and project work, not to thesis research. For students on research postgraduate programs, unless restricted by program regulations, a maximum of six credits of approved undergraduate courses at 4000-level may be used for postgraduate credit. Of the six credits, no more than three may be from the student?s major department.

Study Load

The normal study load of full-time research degree students is ten credits per regular term whereas the maximum study load for those in part-time mode is eight.

Students registered as Continuing Student can only enroll in the thesis research course.

Background, Prerequisites, Co-requisites, Exclusions and Co-listed Courses

A course may require a certain general level of desired prior knowledge as background. Students should ensure that they have the necessary background to undertake a course, and may seek help from their supervisors or departmental PG Coordinator.

If a course designates other courses as its prerequisites, students must have taken and passed the prerequisites before they may enroll in the course, unless exemption is granted by the course offering department. If a course designates other courses as its co-requisites, students must have taken the co-requisites prior to, or at the same time as, the specified course. Exemption from prerequisite or co-requisite requirements requires the approval of the instructor of the course concerned.

If a course has exclusions specified, students are not allowed to enroll in the course if they have already taken and passed any of the stated exclusions. Also students are not allowed to enroll in a course together with any of its stated exclusions in the same term.

A co-listed course is a course offered under more than one course code. There may be different assessment schemes or assignments for the different course registrations, which will be explained to students at the beginning of the term. Students may enroll in and earn credits for only one of the co-listed versions of the course.

Course Auditing

With the permission of the course instructor, postgraduate students may enroll in a course as an auditor, who attends a course and participates in activities up to and including the writing of the final examination but not receiving a formal grade. Subject to satisfactory completion of requirements set by the course instructor, the course will be designated ?AU? on the student?s transcript; otherwise the course will be removed from the registration record. The credit load of audit courses is counted toward the study load of a student.

Course Add/Drop and Course Withdrawal

Students may make changes to their course registration during the add/drop period scheduled at the beginning of each term. Changes made in this period will not be reflected in the student?s record.

Requests to add or withdraw from courses after the add/drop period will not be accepted, except under extenuating circumstances beyond the control of the student. Students wishing to request for course add or withdrawal after the add/drop period will be required to provide the department with full justification for making the application. The request has to be supported by the course instructor concerned, and endorsed by the department head, and the Dean or the Dean?s designee before it is forwarded to Academic Records and Registration, Academic Registry for consideration. If approval is granted for course withdrawal, the Withdrawal without Penalty Grade ?W? will be recorded on the student?s transcript as the course grade.

To apply for course add or withdrawal after the add/drop period, students are required to submit an ?Application for Class Enrollment/Withdrawal after Add/Drop Period? (form RR-22) to the department for approval.

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Course Substitution and Credit Transfer

Course Substitution Credit Transfer Transfer of Course Grades and Credits on Resumption of Studies

Course Substitution

Course substitution may be granted if the student can provide evidence, such as a transcript and course syllabus, that a course is equivalent in content and level to another course taken elsewhere, for which a satisfactory grade has been obtained. The course taken previously should be equivalent to 4000-level or above. No credits will be given for the exempted course and the student will be required to take an approved alternative course to fulfill program requirements.

Applications for course substitution must be made to the major department during students? first term of study after admission. The application must first be reviewed by the course instructor on the equivalency in course content and level; if supported, approval from the department head/PG Coordinator is required.

Credit Transfer

Credit transfer may be granted to students in recognition of previous studies completed elsewhere at an appropriate level as recognized by the University. Students applying for credit transfer must provide evidence, such as a transcript and course syllabus, to illustrate that a course is equivalent in content and level to another course taken elsewhere, for which a satisfactory grade has been obtained.

Applications must be made to students? major department during their first term after admission. For students who complete studies elsewhere during their registration at HKUST, for example on an exchange program, applications must be submitted to the department for approval within one month after students? return to their study at HKUST. Late applications will not be considered.

Applications must first be reviewed by the course instructor; if supported, approval from the department head/PG Coordinator is required. The number of transfer credits to be granted will be determined by the major department following a review of past academic records and the level of equivalence to HKUST courses concerned. Conditions on the granting of transfer credits to research postgraduate students are as follows:

Credits earned at the undergraduate level can only be used for credit transfer purpose if the credits had not been used to earn another academic qualification, and that the course must be at 4000-level or above.

Transfer credits cannot be granted in recognition of non-coursework experience or research work completed either at the University or at other institutions.

Credits for transfer must be at grade ?B? or above.

Transfer credits granted will not be included in the calculation of grade averages but the courses approved for credit transfer will be reflected on students? transcripts.

Transfer of Course Grades and Credits on Resumption of Studies

Students who had previously withdrawn from their program of study at the University but who, after a period of time, are re-admitted to a program at the University, may be allowed to transfer their previous course grades and credits to the new program of study. Such a transfer of course grades and credits is restricted to courses which had been completed within five years prior to the resumption of study at the University. In addition, these credits must not have been used to earn any academic qualifications either at the University or elsewhere.

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Course Grading

Assignment of Course Grades Grades for Postgraduate Courses Grade Reports Grade Averages Grade Review Course Repeats Illness or Other Circumstances Affecting Assessment

Assignment of Course Grades

Grades with grade points assigned are the default grades for courses. Other grading scheme may only be used where this is approved for the course.

Grades given in each course are based on student performance in the final examination, tests, essays and reports, presentations and other forms of classroom participation, assignments, and laboratory exercises, although not all these elements may be present in each course. A failing grade in the laboratory component, if any, of a course may result in a failure in the whole course. The grading scheme for each course will be announced to the class at the beginning of the course.

Grades for Postgraduate Courses

Students receive grades for each course in which they are enrolled. Grades range from A+ to F. The grades C- to D-, and E, are not used in postgraduate courses. For the purpose of calculating the grade averages, numerical grade points are assigned to each course grade, except P/F grade, HP/P/LP/U/Y grade, and other grades which are not included in the calculation of the grade averages. Grades and grade points for courses are shown in the table below: Letter GradeGrade PointDefinition

A+

A

A-

4.30

4.00

3.70

Excellent Performance

B+

B

3.30

3.00

Good Performance

B-

C+

C

2.70

2.30

2.00

Marginal Performance F(1)0Failure

P/F GradeDefinition P(2)Pass, Ungraded F(1)Failure HP/P/LP/U/Y Grade(3)Definition HPHigh Pass PPass LPLow Pass U(4)Unsatisfactory Y(5)Incomplete Other GradeDefinition AU(6)Audited I(7)Incomplete PP(8)Permitted to Proceed TTransferred W(9)Withdrawal without Penalty

Notes:

A failed course (graded F) will not be credited toward a degree. The Pass, Ungraded (P) grade is given only for courses that are indicated in the course description in the Course Catalog that they will be graded as such. The HP/P/LP/U/Y grades are for use exclusively on courses of the Kellogg-HKUST Executive Master of Business Administration and the HKUST Executive Master of Business Administration programs offered by the School of Business and Management. An Unsatisfactory (U) grade will not be credited toward a degree. An Incomplete (Y) grade is used when there is initial delay in coursework. This grade must be converted to a regular grade within a specified deadline; otherwise it will be converted to a ?U? grade. The Audited (AU) grade will be assigned when an auditing student has completed, to the satisfaction of the instructor, any conditions established at registration as an auditor. If the conditions are not met, the course will be deleted from the student?s record. An Incomplete (I) grade is used when work is necessarily delayed through no fault of the student, such as a medical problem or an equipment breakdown. This grade must be converted to a regular grade at least one working day before the start of the following regular term; otherwise it is converted to an ?F? grade. The ?I? grade given to students on postgraduate diploma and postgraduate certificate programs must be converted to a regular grade within one month from the last day for grade reporting for courses, which is normally the sixth working day from the last day of examinations for the rest of the courses. Otherwise it is converted to an ?F? grade. When progress in thesis or project work is satisfactory but not scheduled for completion at the end of a regular term, the Permitted to Proceed (PP) grade is used. The Withdrawal without Penalty (W) grade is given when a student is granted special approval for withdrawal from a course after the add/drop period.

Grade Reports

After the examination period, students are required to check their own course grades which are available on the web-based student information system. Course grades will be posted on this web-based system as soon as they become available but not later than six working days from the last day of the examination period for the term.

Grade Averages

A grade average (GA) is the weighted average grade point obtained in a group of courses with letter grades where each course is given a weight equal to its credit value. Courses graded P/F, HP/P/LP/U/Y, and other grades are not included in the calculation.

There are three grade averages. The term grade average (TGA) is the grade average covering all courses taken in a specific term. The cumulative grade average (CGA) is based on all the courses taken by the student up to the time of calculation. Students? TGA and CGA will be calculated at the end of each of the four terms. At graduation, a graduation grade average (GGA) will be calculated from the courses that are presented for an academic award. The GGA for graduation for all postgraduate programs must at least be 2.850.

Grade Review

Students may apply for a grade review of a course in which they were enrolled in the term just completed. They should first discuss the matter with the course instructor as soon as the course grades are released. Where a clerical or administrative error has been made, the course offering department will report the revised grade to Academic Records and Registration, Academic Registry.

If the student?s concern remains unresolved after this informal discussion, the student may submit a request for a grade review to the head of the course offering department in writing within two weeks from the day on which grades are released:

Stating the grounds for the request for review; Describing the relevant facts; and Providing supporting evidence.

If a review is granted, the department head will arrange for the review within three weeks after the release of the grade.

Requests for review of course grades should normally be resolved at the department level. Students who wish to appeal against the decision of the department must do so in writing to the Dean within two weeks of receiving the decision stating the grounds for the appeal. Upon receipt of the written appeal, the Dean will determine whether or not a further review of the grade should be granted and how the review will be conducted. The Dean?s decision is final.

Course Repeats

A course with a grade lower than C shall not be credited toward a program although it will be reflected in the student?s record. Only two courses (excluding audited courses) in a postgraduate program may be retaken, and each may be repeated only once. The new grade obtained at the second attempt will replace the previous grade in the calculation of the grade averages.

Illness or Other Circumstances Affecting Assessment

If students wish the University to take into account medical reasons or some other extenuating circumstances beyond their control that have affected their performance in an examination, or ability to attend an examination, or to complete other assessment activities, they must report the circumstances of the case in writing and provide appropriate documentation to Academic Records and Registration, Academic Registry within one week of the scheduled date of the assessment activity.

The Academic Registrar will review the case and make a recommendation to the relevant Dean or the Dean?s designee. The student will be notified of the result of the request within one week from the date the request is lodged with Academic Records and Registration, Academic Registry. The make-up examination, if any, will be held within five weeks after the regular examination period. The format of the make-up examination will be decided by the course instructor concerned.

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Home Preface University Governance Student Conduct and Academic Integrity Policies and Practices Governing Research Activities Admissions Fees Scholarships, Awards and Financial Assistance Registration in Programs Study Commitment English Language Requirement Curriculum Requirements Professional Development Course Course Registration Course Substitution and Credit Transfer Course Grading Progression and Academic Standing Guidelines on Thesis Research Graduation Appeals and Grievance Channels Appendices

Progression and Academic Standing

Academic Standing Academic Leave and Academic Dismissal Annual Progress Reports

Academic Standing

The academic standing of all postgraduate students is reviewed at the end of each regular term and assessed by their departments. Unsatisfactory performance may result in students being denied the opportunity to continue their study.

In order for postgraduate students to attain good academic standing, they must, at the end of each term,

obtain a cumulative grade average (CGA) of 2.850 or higher; and show a reasonable progress toward program completion.

Students who fail to maintain good academic standing in a regular term will be issued a letter of warning by the department head.

Academic Leave and Academic Dismissal

Students who fail to maintain good academic standing in two consecutive regular terms will have their records reviewed by the department and may be required to take academic leave and have their study suspended. The academic leave will last from one to three regular terms during which students may apply for re-enrollment in their program of study at the end of their suspension. If this application for re-enrollment is approved, certain conditions may apply and the student must regain good academic standing in the regular term immediately following re-enrollment. Students will be dismissed from the University if the conditions are not met. If re-enrollment in the program is not granted by the expiry of the academic leave, the suspension will be converted to a dismissal from the University.

Annual Progress Reports

All research postgraduate students are required to submit by the end of June every year a written review of their study progress in the past twelve months, and describe their study plan for the twelve months ahead, using an online proforma designed for this purpose.

The progress report will be read by members of the Thesis Supervision Committee (TSC) and their evaluation will be discussed with the student concerned. The progress report will also be reviewed by the PG Coordinator of the major department, and necessary action may be taken to address issues of concern.

Students who fail to submit the duly completed and approved report form to Academic Records and Registration, Academic Registry by the stipulated deadline may not be allowed to register for their program of study for the following year.

In April/May each year, the annual progress reporting system will be open for access via myPortal and the Administrative Service platform.

The first part of the report form is to be completed by the student who should enclose a brief self-assessment summary report at the time the report form is submitted to the thesis supervisor. The second part is an assessment of the work done by the student as well as the progress made since the previous report by the thesis supervisor and TSC.

Thesis supervisors are required to discuss the content of the report with their students and let them read the report, as one of the main purposes of the annual progress report is to allow supervisors to advise students on their research progress, the expectations of TSC and whether their progress is acceptable to TSC. Thesis supervisors should note that terminating the study of a student due to poor performance or slow progress without prior written warning may constitute student grievance.

Should a particular student's progress is found to be unsatisfactory or very unsatisfactory, the department is requested to issue a warning letter to the student specifying the expectations and the courses of action for performance improvement. The warning letter should also stipulate the possible consequences, such as reduction or suspension of Postgraduate Studentships, if the improvement is not satisfactory. A copy of the warning letter should be forwarded to Academic Records and Registration, Academic Registry for record purpose.

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Guidelines on Thesis Research

Thesis Supervision Preparation of Thesis Scheduling Thesis Examinations Thesis Examination Committee Conduct of Thesis Examinations Thesis Examination Results Post-thesis Examination Arrangements and Submission of Final Thesis

Thesis Supervision

Each research posrgraduate (RPg) student will be assigned a thesis supervisor who oversees the student?s research. Both the thesis supervisor and the student are expected to actively involve in the thesis research process. The establishment and maintenance of good relationship between the thesis supervisor and the student are founded on mutual respect and open communication. In addition, to ensure the quality of thesis research and to enhance the learning experience of RPg students, a Thesis Supervision Committee will be established for each student.

Please refer to the ?Guide on Thesis Supervision? for details.

Preparation of Thesis

The thesis shall conform in layout, binding and presentation which is suitable for library cataloging and shelving. Thesis takes its place in the library as a product of original thinking and research, and it is therefore, designed to appear in a form comparable to published works.

Please refer to the ?Guidelines on Thesis Preparation? for details of the requirements on thesis.

Scheduling Thesis Examinations

Students who wish to appear before a Thesis Examination Committee must indicate to their major department at least six weeks before the proposed date of thesis examination, and deliver to their department sufficient hard or electronic thesis copies at least four weeks before the thesis examination. A copy will be put on display prior to the thesis examination for perusal by departmental faculty, students, other members of the University community, and members of the public.

MPhil students should refer to the ?Guidelines on Procedures for Scheduling MPhil Thesis Examinations? for details.

PhD students should refer to the ?Guidelines on Procedures for Scheduling PhD Thesis Examinations? for details.

Thesis Examination Committee

The thesis examination is mandatory for students enrolled in research postgraduate programs and is conducted by a Thesis Examination Committee (TEC).

For MPhil thesis examinations, upon the recommendations of the Thesis Supervision Committee of the candidate being examined, the department head/program director shall appoint an MPhil TEC to examine the candidate who has expressed the intention of defending his/her thesis.

An MPhil TEC shall consist of at least three faculty members, including:

A Chairperson; The thesis supervisor(s); and One other faculty member.

Please refer to the ?Guidelines on the Appointment and Roles of Chairpersons and Examiners of MPhil Thesis Examination Committees? for details.

For PhD thesis examinations, upon the recommendations of the department and the school, the Office of Postgraduate Studies shall appoint a PhD TEC to examine the candidate who has expressed the intention of defending his/her thesis.

A PhD TEC shall consist of:

A Chairperson from outside the student?s major department; The thesis supervisor(s); Two academic staff members, in addition to the thesis supervisor(s), from the student?s major department; One academic staff member, other than the thesis supervisor(s), from outside the department; and One examiner external to the University who has expertise in the field being examined.

Please refer to the ?Guidelines on the Appointment and Roles of Chairpersons and Examiners of PhD Thesis Examination Committees? for details.

Conduct of Thesis Examinations

The thesis examination takes place in a single session and comprises four parts, the first two of which are open to all members of the University and departmental guests. The third part is closed to all but the candidate and the TEC, and the fourth is a closed session of the examiners in the absence of the candidate.

The first part is an oral presentation by the candidate, emphasizing the major elements of the research and the results obtained.

The second part is an open questioning session, involving members of the TEC and others in attendance.

The third is a closed session involving a less formal discussion between the candidate and the TEC on the candidate?s research. At the end of this part of the examination, the candidate must leave the examination venue.

The fourth and final part is a closed session involving only the TEC to assess the quality of the thesis, and the performance of the candidate during the examination. In arriving at a decision, the votes of members of the TEC carry equal weight. The Chairperson is responsible for advising the Committee the vote of the external examiner in absentia, if applicable. A report on the thesis examination is then prepared by the Chairperson, together with members of the TEC.

Please refer to the ?Guidelines on the Conduct of MPhil and PhD Thesis Examinations? for details.

Thesis Examination Results

A thesis examination can have one of the following results:

Passed; Passed subject to minor corrections; Passed subject to major corrections; Failed but may be resubmitted; or Failed.

Post-thesis Examination Arrangements and Submission of Final Thesis

A ?Failed? grade results in the automatic withdrawal of the candidate from the program of study and termination of registration at the University.

In all other cases, the candidate must submit a final version of the thesis by the deadline as required by the University or a date specified by the TEC, whichever is earlier. In the event that a candidate misses the specified deadline, the candidate will be viewed to have failed to meet the thesis examination requirements of the University and will be deemed to have failed the requirements of the degree program being pursued.

If the delay in submitting the final thesis copies is no fault of the candidate, he/she may appeal for an exception to be made for the above rules to be lifted. Appeal supported by the thesis supervisor should be submitted to the PG Secretariat of the Office of Postgraduate Studies via the PG Coordinator with the endorsement from the relevant school.

Please refer to the ?Guidelines on the Conduct of MPhil and PhD Thesis Examinations? for details on the submission of final thesis.

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Graduation

Graduation on Completion of Studies Graduation Grade Average (GGA) Graduation Approval and Award of Degrees Congregation Degree Diploma

Graduation on Completion of Studies

When students have completed the degree requirements for an award, or are enrolled in courses that will complete the requirements for an award, they will be included in the list of potential graduates.

To be considered for graduation, an MPhil or PhD student must:

Complete the specific program requirements for graduation within the specified time limit; Achieve a graduation grade average of at least 2.850 in the courses used to satisfy the program requirements; Attain a pass in the thesis examination; and Meet the residency requirements of the program.

Graduation Grade Average (GGA)

At graduation, a graduation grade average (GGA) will be calculated from the courses that are presented for an academic award. The GGA for graduation for all postgraduate programs must at least be 2.850.

If a student has taken more courses than required by the degree, upon recommendation of the department, certain courses included in the calculation of the CGA may be excluded from the GGA calculation to improve the GGA of the student. Otherwise, all courses taken will be included.

Graduation Approval and Award of Degrees

Endorsement by School Boards or their Postgraduate Studies Committees is required to confirm the graduation list and any special recommendations by departments for degree completion. Departmental and School recommendations are then considered and approved by the Committee on Postgraduate Studies, as delegated by the Senate.

The University confers degrees twice a year, once in May/June and once in November. The official degree diploma is issued only after degree conferment.

Congregation

The Congregation is the formal graduation ceremony at which students are awarded their degrees by the Chancellor or other officers of the University as stipulated in the University Statues. This graduation ceremony is held in Fall Term of each year at a time and place determined by the University.

Attendance at the Congregation is not compulsory. The degree will be awarded in absentia to those graduands who are not present at the ceremony.

Degree Diploma

Diplomas are distributed to graduates after the conferment of the degree. Diplomas show in Chinese and English the following:

Name of the graduate, in the same words and format as shown on the graduate?s Hong Kong Identity Card, with the surname capitalized and appearing first, followed by a comma and the given names; Degree title, which is shown the same as the program title, with no option/stream/concentration given; and The date of degree conferment.

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Home Preface University Governance Student Conduct and Academic Integrity Policies and Practices Governing Research Activities Admissions Fees Scholarships, Awards and Financial Assistance Registration in Programs Study Commitment English Language Requirement Curriculum Requirements Professional Development Course Course Registration Course Substitution and Credit Transfer Course Grading Progression and Academic Standing Guidelines on Thesis Research Graduation Appeals and Grievance Channels Appendices

Appeals and Grievance Channels Appeals

A student may make an appeal in writing to the Associate Dean of the relevant School responsible for postgraduate studies for matters related to his/her study.

Grievance Channels

If students have any grievance about their program, their thesis work, their study or supervision arrangements, channels are readily available to help them settle their grievance and alleviate their concerns.

When a student encounters any difficulty or has any concern that he/she feels should be conveyed to or discussed with the University, the first stop should normally be the PG Coordinator. If this does not work or is not appropriate for some reasons, the next level for voicing grievance is to the department head. If the issue cannot be settled satisfactorily in the department, the student may approach the Associate Dean of the School responsible for postgraduate studies for advice. In the event that the issue still cannot be resolved within the School, the next stop is the Office of Postgraduate Studies. If the issue-in-question involves existing academic policies, the matter may be referred to the Committee on Postgraduate Studies or Senate for consideration.

In general, if the grievance is of a personal nature, the student may consider talking to a student counselor of the Counseling and Wellness Center of the Student Affairs Office for advice.

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Committee on Postgraduate Studies

? ?

Terms of Reference

1.

To advise and make recommendations to the Senate on policies and regulations, and to monitor and review procedures, quality and performance relating to postgraduate studies, including, but not limited to: (a) general program requirements; (b) program development including new programs recommended by School Boards; (c) program quality control, including examinations and award of degrees; (d) matters from the School Boards relating to postgraduate studies and student appeals; (e) selection and admission of postgraduate students; (f) collection and maintenance of student records; (g) student fees and financial assistance; and (h) other matters as may be required by the Senate.

2.

To submit to the Chairman of the Senate no later than the 31 July each year a written report covering the activities of the committee during the previous academic year (1 July to 30 June). ?

Powers

1.

To co-opt such additional voting members as may be required but not exceeding one-third of formal Committee membership.

2.

To form any working groups as considered necessary.

Membership

Chairman :

Appointed by Chairman of the Senate

Professor Ravindra S. GOONETILLEKE ( ??? ?? )

Member and Secretary :

Associate Vice-President for Postgraduate Studies (AVP-PG), ex-officio

Professor Charles W. W. NG ( ??? ?? )

Members :

(a) Deans of Schools or designees

Professor Zhenguo WU ( ??? ?? ) - Science

Professor King-Lun YEUNG ( ??? ?? ) - Engineering

Mr Sean FERGUSON - Business & Management

Professor Cameron CAMPBELL - Humanities & Social Science

Professor Jianping GAN ( ??? ?? ) - Fok Ying Tung Graduate School

(b) One representative to be selected by each School Board

Professor Guochen JIA ( ??? ?? ) - Science

Professor Richard SO ( ??? ?? ) - Engineering

Professor Riki TAKEUCHI ( ???? ?? ) - Business & Management

Professor Yongshun CAI ( ??? ?? ) - Social Science

(c) Academic Registrar, ex-officio

Mr James PRINCE

(d) One postgraduate student representative each from the Schools of Science, Engineering, Business & Management, and Humanities & Social Science, to be nominated by the HKUST Students' Union

Jin ZHANG - Science

Milton LI - Engineering

Shweta AGRAWAL - Business & Management

Bijia CHEN - Humanities & Social Science

(e) Co-opted member

Professor Jianping GAN ( ??? ?? )

?

Term : For student members, a staggered term of one or two years, renewable For others, two years, renewable

~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~

The Hong Kong University of Science and Technology. All Rights Reserved.

Information as of 10 January 2017

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Home Preface University Governance Student Conduct and Academic Integrity Policies and Practices Governing Research Activities Admissions Fees Scholarships, Awards and Financial Assistance Registration in Programs Study Commitment English Language Requirement Curriculum Requirements Professional Development Course Course Registration Course Substitution and Credit Transfer Course Grading Progression and Academic Standing Guidelines on Thesis Research Graduation Appeals and Grievance Channels Appendices

Appendices: Guide on Thesis Supervision (Version July 2017)

Appointment of the Thesis Supervisor Thesis Supervision Committee Responsibilities of Thesis Supervisors Responsibilities of Students Relationship between Thesis Supervisors and Students Joint Supervision with Non-academic Institutions

A. Appointment of the Thesis Supervisor

Each research postgraduate (RPg) student will be assigned a thesis supervisor who oversees the student?s research from the time the student embarks on his/her research.

In cases where non-academic professionals or academic members carrying titles of Visiting or Adjunct faculty, Research Assistant Professors, or Visiting Scholars, are invited to supervise the research work of an RPg student, they can only be appointed as the co-supervisor, but not the prime supervisor of the student. In addition, the appointment of non-academic professionals as a co-supervisor requires the prior approval from the PG Secretariat of the Office of Postgraduate Studies.

B. Thesis Supervision Committee

Each student will be supervised by a Thesis Supervision Committee (TSC) which consists of at least at least two members: the thesis supervisor and the committee chair.

For MPhil students, the TSC is normally formed within their first year of study. The TSC for PhD students is normally formed within their second year of study before they attempt their qualifying examination.

In most cases, the formation of a TSC is initiated by the thesis supervisor. The student may be consulted in the process. The authority to approve and appoint TSCs usually rests with the departmental PG studies committee.

For both MPhil and PhD TSCs, at least one committee member must normally have had experience, at the University or elsewhere, as the designated supervisor of the thesis research work of at least two RPg students who have successfully completed their degrees.

For PhD TSCs, at least one member of the committee must normally have had experience, at the University or elsewhere, in the supervision of at least one PhD student who has successfully completed the degree.

Members on a TSC usually have research expertise relevant to the student?s area of research.

TSC members should meet regularly with the student under their supervision to ensure that the student?s academic and research progress is satisfactory. The student, the thesis supervisor and the TSC are required to complete an annual progress report which serves to document the study progress of the student.

When a thesis supervisor goes on sabbatical leave, he/she will usually continue to supervise his/her students through various means. In the case of a thesis supervisor leaving the University, another member on the TSC should be appointed as a temporary thesis supervisor until a replacement thesis supervisor has been identified.

C. Responsibilities of Thesis Supervisors

To ensure the quality of thesis research and to enhance the learning experience of RPg students, thesis supervisors should provide their RPg students with advice, guidance and direction at every stage in the planning and conduct of research and in the writing of the thesis, and to ensure that replacement supervision is available to the student during any significant period of absence. Thesis supervisors are expected to:

Provide guidance about the nature of research, the standard expected, the planning of the research program, the review of literature, the selection of coursework, and appropriate training in research techniques;

Establish, at the beginning of the student?s research, a framework for supervision, including arrangements for regular meetings. The stages of progress the student is expected to have completed at various points should also be agreed on;

Meet with the student regularly following the agreed schedules and with a clear agenda, and be accessible to the student at other appropriate times when he/she may need advice;

Ensure that the student?s research:

Falls within his/her own area of expertise;

Can be completed with the resources available;

Can be completed within the prescribed period of study; and

Is suitable for the degree program the student aims to undertake.

If applicable, discuss any potential hazards involved in the research work and how these can best be dealt with, ensuring that safety procedures are followed;

Provide advice on the publication of research work, ensuring that attribution is discussed before publication;

Deal promptly with any research problems the student may encounter; Adhere to the schedule for submission of the annual progress report to Academic Records and Registration, Academic Registry;

Advise the student promptly of unsatisfactory progress with regard to any aspect of his/her study, and put this advice in writing if such unsatisfactory progress is considered likely to interfere with satisfactory completion of the research by the agreed deadline;

Guide the student in the preparation of the thesis examination;

Identify prospective examiners for the student?s Thesis Examination Committee;

Treat the student professionally, ensuring proper credit for his/her work; and

Be on the lookout for signs of behavioral changes, stress and depression, absence from classes, laboratory sessions or appointments with no prior notification, reclusion, or erratic behavior in the student being supervised. The department head and PG Coordinator should be notified if any of the above behavior has been observed or reported. If necessary, the student should be referred to the Counseling and Wellness Center of the Student Affairs Office for professional advice.

D. Responsibilities of Students

RPg students are expected to:

Discuss with the thesis supervisor and TSC the type and scope of guidance he/she needs, and agree on regular meeting times;

Take the initiative in raising problems or difficulties with the supervisor, however elementary they may seem, before they become serious;

Attend supervisory meetings well prepared and with a clear agenda for the meeting; and be accessible to the thesis supervisor and/or TSC during the course of study;

Make satisfactory academic and research progress following the advice of the thesis supervisor and TSC;

Discuss with and obtain the approval of the thesis supervisor regarding any changes in the direction of his/her research focus and its implications;

Provide a brief self-evaluation summary report to be attached to the annual progress report for submission to Academic Records and Registration, Academic Registry through the thesis supervisor as part of the annual review process;

Ensure that the thesis is completed and submitted within the period stipulated by the University for assessment;

Abide by the rules and regulations governing postgraduate studies of the University; and

Ensure that all work done by others which are used in the thesis is properly acknowledged.

E. Relationship between Thesis Supervisors and Students

The establishment and maintenance of good relationship between the thesis supervisor and the student are founded on mutual respect and open communication. A successful relationship relies on the devotion of both the thesis supervisor and the student.

To avoid unnecessary disruption, the student and the thesis supervisor should inform the other party as soon as they are aware that there is a possible change in their status, e.g. a student plans to withdraw from the program of study or a thesis supervisor may take sabbatical leave.

In the event that a good working relationship has failed to develop and that the student and/or the thesis supervisor believes that, for this reason, satisfactory study progress cannot be made, either party may approach the PG Coordinator for advice. The PG Coordinator should, in consultation with the department head/Associate Dean of the relevant School responsible for postgraduate studies, consider the matter carefully. If appropriate, the PG Coordinator may recommend a change of the thesis supervisor.

F. Joint Supervision with Non-academic Institutions

The joint supervision of RPg students between academic institutions and the corporate sector is a universal trend which has been gaining popularity in overseas countries. This is an encouraging development as it allows academic and corporate personnel to work together on research topics of common interests. This type of collaboration helps increase mutual understanding as well as provides opportunities for the establishment of closer and longer-term relationship between the corporate and academe. This complementary relationship also allows faculty from institutions to work with research staff of major corporations on application-oriented research.

The principles, limitations and framework for joint supervision of RPg students between the corporate sector and the University are provided in the ?Guidelines on Joint Supervision of RPgs with Non-academic Institutions?.

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Home Preface University Governance Student Conduct and Academic Integrity Policies and Practices Governing Research Activities Admissions Fees Scholarships, Awards and Financial Assistance Registration in Programs Study Commitment English Language Requirement Curriculum Requirements Professional Development Course Course Registration Course Substitution and Credit Transfer Course Grading Progression and Academic Standing Guidelines on Thesis Research Graduation Appeals and Grievance Channels Appendices Committee on Postgraduate Studies Calendar Dates in the 2017-18 Academic Year Terms and Conditions of Postgraduate Studentships (PGSs) 2017/18 Guide on Thesis Supervision Guidelines on Thesis Preparation Guidelines on Procedures for Scheduling MPhil Thesis Examinations Guidelines on Procedures for Scheduling PhD Thesis Examinations Guidelines on the Appointment and Roles of Chairpersons and Examiners of MPhil Thesis Examination Committees Guidelines on the Appointment and Roles of Chairpersons and Examiners of PhD Thesis Examination Committees Guidelines on the Conduct of MPhil and PhD Thesis Examinations Bad Weather Arrangements for Classes and Examinations Useful Forms and Guidelines Contact of Schools/Departments Supporting Services Maps

Appendices: Guidelines on Thesis Preparation (Version July 2017)

Introduction Originality Components Language, Style and Format Creating PDF files for E-thesis Submission Thesis Submission Copyright

A. Introduction

The guidelines described in this document have been established so that theses are presented in a form suitable for library cataloging and shelving. The document takes its place in the library as a product of original thinking and research, and it is, therefore, designed to appear in a form comparable to published works. This document covers the general rules of format and appearance. Students should consult their Thesis Supervision Committee (TSC) for specific content requirements. It is the student?s responsibility to read and follow the requirements presented here and to submit documents of an appropriate quality for publishing. The final copies will not be accepted with corrections, insufficient margins, or if they are of insufficient quality for publishing online, etc. Because of refinement in requirements, students should not use existing library or departmental copies of theses as examples of proper format.

B. Originality

An MPhil thesis shall 1.1Consist of the student?s own account of his/her investigations; 1.2Be either a record of original work or of an ordered and critical exposition of existing knowledge and shall provide evidence that the field has been surveyed thoroughly; 1.3Be an integrated whole and present a coherent argument; 1.4Give a critical assessment of the relevant literature, describe the method of research and its findings and include a discussion on those findings; and 1.5Include a full bibliography and references. A PhD thesis shall 2.1Consist of the student?s own account of his/her investigations and must indicate how they appear to him to advance the study of the subject; 2.2Form a distinct contribution to the knowledge of the subject and afford evidence or originality by the discovery of new facts and/or by the exercise of independent critical power; 2.3Be an integrated whole and present a coherent argument; 2.4Give a critical assessment of the relevant literature, describe the method of research and its findings, and include a discussion on those findings, and indicate in what respects they appear to the candidate to advance the study of the subject; 2.5Include a full bibliography and references; and 2.6Be of a standard to merit publication in whole or in part or in a revised form (for example, as a monograph or as a number of articles in learned journals).

C. Components

A thesis should contain the following parts in the order shown: 1.1Title page, containing: the thesis title; the full name of the candidate; the degree for which the thesis is submitted; the name of the University, i.e. The Hong Kong University of Science and Technology; and the month and year of submission, e.g. August 2017. 1.2Authorization page; 1.3Signature page; 1.4Acknowledgments; 1.5Table of contents, list of figures and tables; 1.6Abstract; 1.7The thesis body; 1.8A thorough bibliography or reference list; and 1.9Appendices and other addenda, if any.

Sample thesis pages are provided here.

Abstracts Every copy of the thesis must have an English abstract. Abstracts must provide a concise summary of the thesis in 300 words or less.

Acknowledgments The student is required to declare, in the acknowledgments section, the extent to which assistance has been given by his/her faculty and staff, fellow students, external bodies or others in the collection of materials and data, the design and construction of apparatus, the performance of experiments, the analysis of data, and the preparation of the thesis (including editorial help). In addition, it is appropriate to recognize the supervision and advice given by the thesis supervisor(s) and members of TSC.

Final Version The final version of the thesis must be free from typographical, grammatical and other errors when submitted to Academic Records and Registration, Academic Registry. While this is the responsibility of the student, the thesis supervisor and the department head/program director should not sign off on theses that are not, to the best of their knowledge, error free.

D. Language, Style and Format

Language Theses should be written in English. Students in the School of Humanities and Social Science who are pursuing research work in the areas of Chinese Studies, and who can demonstrate a need to use Chinese to write their theses should seek prior approval from the School via their supervisor and the divisional head. If approval is granted, students are also required to produce a translation of the title page, authorization page, signature page, table of contents and the abstract of thesis in English.

Scripts and Page Format 2.1A thesis should be presented in a permanent and legible form either in original typescript, or a comparably permanent process. 2.2Paper and print quality are vitally important for legibility. Normally, international size A4 (297mm x 210mm) 80 to 90 gsm woodfree white paper of good quality should be used for the thesis. Exceptionally, paper other than international A4 size may be used when the nature of the thesis requires it. Any thesis not typed or printed on the correct size of paper will not be accepted. 2.3The final thesis copies should be printed on both sides of the paper. 2.4A conventional font, size 12-point, 10 to 12 characters per inch must be used. One-and-a-half line spacing should be used throughout the thesis, except for abstracts, indented quotations or footnotes where single line spacing may be used. 2.5All margins should be consistently 25mm (or at a maximum of 30mm) in width. The same margins should be used throughout a thesis. Exceptionally, margins of a different size may be used when the nature of the thesis requires it. Pagination 3.1Pagination of the body of the text and appendices is to be in Arabic numerals centered at the bottom of the page. The pagination begins with the first page of the first chapter and continues throughout the rest of the text. Pages with tables, maps, photographs, etc. are to be numbered as well. Open a new page only after each chapter or section but not a sub-section. 3.2Pagination of materials preceding the body of the text is to be in small Roman numerals centered at the bottom of the page.

Footnotes, References and Appendices These should conform to a scholarly style appropriate to the discipline. Footnotes may be placed at the bottom of the page, at the end of each chapter or after the end of the thesis body. Consistency of formatting for footnotes and references is required throughout the thesis.

Figures and Illustrations Figures, tables, graphs, etc., should be positioned according to the scientific publication conventions of the discipline. Charts, graphs, maps, and tables that are larger than a standard page should be provided as appendices.

Photographs/Images 6.1High contrast photos reproduce well. Photographs with a glossy finish and those with dark backgrounds should be avoided. 6.2Images should be dense enough to provide 300 ppi for printing and 72 dpi for viewing.

Additional Materials 7.1Other illustrative materials which cannot be conveniently bound in the text (such as maps and slides) should be packed in such a way that they can be bound with the thesis. If the amount of such materials is substantial, it should be gathered into a supplementary volume and packed in a rigid container similar in format to the bound thesis. All loose materials should be marked with the candidate?s name and degree for which the work is submitted so that it can be readily linked with the thesis, and a list of the loose items should be provided. 7.2Raw files, dataset, media files, and high resolution photographs/images of any format can also be included.

E. Creating PDF files for E-thesis Submission

Dissertations and theses are submitted for publishing in PDF format. Providing a properly generated PDF file ensures the manuscript can be read using different platforms (Windows, Mac, etc.), and that it displays as intended. Proper file generation also facilitates the indexing of the paper.

Before sending the PDF file for printing and submission to Proquest please ensure the following using the HKUST E-thesis PDF Preflight application: 2.1All fonts should be embeddable and embedded. 2.2Image resolution should be dense enough to provide 300 ppi for printing and 72 dpi for viewing. 2.3Multiple PDF files should be combined into one single file. 2.4PDF file should NOT be encrypted, as text cannot be extracted from encrypted PDFs for full text indexing or storage. Encrypted PDF files will NOT be accepted by Proquest.

Further information is provided here.

F. Thesis Submission

For examination purpose, sufficient hard or electronic thesis copies are to be submitted to the department at least four weeks before the thesis examination.

On successful completion of the thesis examination, students must submit two identical clean unbound original hard copies of the thesis to their department, which will arrange for the appropriate signatures of approval to be obtained. The department will then forward the signed copies to Academic Records and Registration, Academic Registry for follow-up action. When bound, one copy will be retained by the department and one by the Library as an archival copy in the open collection for the student author and other interested visitors to access on campus.

Before submission of the final version of the printed thesis copies to the department, students should submit an electronic copy of their final thesis to the Electronic Theses database of the University Library. Students are also required to provide a printout of the HKUST Electronic Thesis Submission Acknowledging email when they submit the final thesis hard copies to the department for forwarding to Academic Records and Registration, Academic Registry as proof.

In addition, students are required to complete two online survey forms and submit them together with the final thesis hard copies to the department.

G. Copyright

Until now, the University?s Copyright Policy does not speak directly to thesis copyright, yet it has become common for students to wish to copyright their theses in their own names.

According to the advice of the Vice-President for Research and Development (VP-RD) of July 1999, based on existing policy, copyright in materials produced by ?university-assisted individual efforts? should vest jointly in the University and the Member of the University if significant University support (library and computers excluded) was involved. However, after considering the need for rapid publication to contribute to literature, and the administrative process required, VP-RD had agreed to let students hold sole copyright ownership of their thesis.

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Appendices: Guidelines on Procedures for Scheduling MPhil Thesis Examinations (Version July 2017)

MPhil students, who have already completed all the coursework requirements for the degree, wishing to appear before a Thesis Examination Committee (TEC) must indicate to the department their intention to take the thesis examination at least six weeks before the proposed date of the thesis examination by submitting an online proforma via the Thesis Examination System of the Student Information System (SIS), accessible via myPortal. Inadequate notice served for taking the thesis examination will result in required postponement of the thesis examination. To avoid unnecessary delay in graduation, students are advised to schedule their thesis examinations well in advance, and avoid conducting thesis examinations toward the end of a term, in order to allow sufficient time for revisions and other post-examination arrangements.

Should the contents of the thesis involve commercially sensitive information, the thesis supervisor(s) is/are advised to approach the Technology Transfer Center well in advance to discuss the possibility of obtaining patent protection before the department makes announcement about the thesis examination to the public.

To encourage the participation of members of the University community, thesis examinations should not be scheduled on Sundays and public holidays.

The student has to complete the proforma, and seek the endorsement of the thesis supervisor(s), before submitting the proforma to the department for an MPhil TEC to be approved no less than four weeks before the scheduled examination date.

The department is responsible for identifying examiners to serve on the examination committee following the ?Guidelines on the Appointment and Roles of Chairpersons and Examiners of MPhil Thesis Examination Committees?. The department is also responsible for checking the availability of examiners, and making appointments to the TEC members. Liaison with examiners to make arrangements for the thesis examination should not be done by the candidate being examined.

No less than four weeks before the thesis examination, the student has to deliver sufficient hard or electronic thesis copies ready for examination purpose to the department. Students failing to meet the thesis submission deadline may be required to postpone the thesis examination. The Department should confirm and record the actual date of receipt of the thesis copies in the Thesis Examination System.

The department should distribute the thesis copies to the Chairperson and members of the MPhil TEC immediately, such that members are given sufficient time to review the thesis. The department should also ensure the thesis copies are duly received by the examiners and record the actual dispatch date of the thesis copies in the Thesis Examination System. A thesis copy will be put on display at the department prior to the thesis examination for perusal by faculty, students, other University members, and members of the public. To increase public awareness of the scheduled thesis examination, announcements (in the form of posting at the University Calendar, emails and/or posters, etc.) should be made accordingly.

The PG Secretariat of the Office of Postgraduate Studies reviews the information provided in the proforma to ensure that the arrangements of the thesis examination conform to the University guidelines. If deviations from the University guidelines are identified, postponement or withdrawal of the thesis examination (regardless of whether the student has duly submitted the thesis or not) will be requested/required until the clearance of the PG Secretariat has been sought.

At least one working day before the thesis examination is held, the department is required to ensure that an email reminder is sent to members of the MPhil TEC, specifying the date, time and venue of the thesis examination.

If changes are to be made after the proforma has been approved, the department/student is required to seek clearance, via School, from the PG Secretariat by email before the changes can be effected.

Students will be also be notified by the Health, Safety and Environment Office for performing safety clearance check where applicable.

For enquiries regarding the arrangements for scheduling MPhil thesis examinations, please contact the PG Secretariat via the department office.

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Home Preface University Governance Student Conduct and Academic Integrity Policies and Practices Governing Research Activities Admissions Fees Scholarships, Awards and Financial Assistance Registration in Programs Study Commitment English Language Requirement Curriculum Requirements Professional Development Course Course Registration Course Substitution and Credit Transfer Course Grading Progression and Academic Standing Guidelines on Thesis Research Graduation Appeals and Grievance Channels Appendices

Appendices: Guidelines on Procedures for Scheduling PhD Thesis Examinations (Version July 2017)

PhD students, who have already completed all the coursework requirements for the degree, wishing to appear before a Thesis Examination Committee (TEC) must indicate to the department their intention to take the thesis examination at least six weeks before the proposed date of the thesis examination by submitting an online proforma via the Thesis Examination System of the Student Information System (SIS), accessible via myPortal. Inadequate notice served for taking the thesis examination will result in required postponement of the thesis examination. To avoid unnecessary delay in graduation, students are advised to schedule their thesis examinations well in advance, and avoid conducting thesis examinations toward the end of a term, in order to allow sufficient time for revisions and other post-examination arrangements.

Should the contents of the thesis involve commercially sensitive information, the thesis supervisor(s) is/are advised to approach the Technology Transfer Center well in advance to discuss the possibility of obtaining patent protection before the department makes announcement about the thesis examination to the public.

To encourage the participation of members of the University community, thesis examinations should not be scheduled on Sundays and public holidays.

The student has to complete the proforma, and seek the endorsement of the thesis supervisor(s), before submitting the proforma to the department for a PhD TEC to be recommended by the department head/program director.

The department is responsible for checking the availability of examiners. Liaison with examiners to make arrangements for the thesis examination should not be done by the candidate being examined. The proforma should then be forwarded to the School concerned for identification of a Chairperson of the committee from outside the student?s department.

After the department head/program director and the Dean or the Dean?s designee have endorsed the proposed membership of the TEC, the proforma will be forwarded to the PG Secretariat of the Office of Postgraduate Studies for approval.

The PG Secretariat will check the proposed TEC membership to ensure that it complies with the ?Guidelines on the Appointment and Roles of Chairpersons and Examiners of PhD Thesis Examination Committees?. If the proposed membership is in line with the guidelines, a confirmation email will be sent to the student, copying the the supervisor(s) and the department. If deviations from the University guidelines are identified, postponement or withdrawal of the thesis examination (regardless of whether the student has duly submitted the thesis or not) will be requested/required until the clearance and approval of the PG Secretariat has been sought. Approval from the PG Secretariat on the proposed membership of the TEC should be sought no less than four weeks before the proposed examination date.

No less than four weeks before the thesis examination, the student has to deliver sufficient hard or electronic thesis copies ready for examination purpose to the department. Students failing to meet the thesis submission deadline may be required to postpone the thesis examination. The department should confirm and record the actual date of receipt of the thesis copies in the Thesis Examination System.

The department should distribute the thesis copies to the Chairperson and examiners as soon as possible upon approval of the membership of the PhD TEC, such that members are given sufficient time to review the thesis. The department should also ensure the thesis copies are duly received by the examiners and record the actual dispatch date of the thesis copies in the Thesis Examination System. A thesis copy will be put on display at the department prior to the thesis examination for perusal by faculty, students, other University members, and members of the public. To increase public awareness of the scheduled thesis examination, announcements (in the form of posting at the University Calendar, emails and/or posters, etc.) should be made accordingly.

Upon students? submission of the thesis copies for examination purpose, the PG Secretariat will formally issue an appointment to the Chairperson and examiners of the TEC.

At least one working day before the thesis examination is held, the PG Secretariat will send an email reminder to members of the PhD TEC and relevant parties of the School/department, containing the TEC membership and details of the thesis examination.

If changes are to be made after the proforma has been approved by the PG Secretariat, the department/student is required to seek clearance, via School, from the PG Secretariat by email, before the changes can be effected.

In the event a Chairperson or examiner declines the appointment to serve on the TEC, the School/department is responsible for nominating a replacement Chairperson/examiner for the consideration of the PG Secretariat as soon as possible. The PG Secretariat may request the thesis examination to be postponed if the time allowed for the replacement Chairperson/examiner to review the student?s thesis prior to the thesis examination is considered insufficient.

Students will also be notified by the Health, Safety and Environment Office for performing safety clearance check where applicable.

For enquiries regarding the arrangements for scheduling PhD thesis examinations, please contact the PG Secretariat via the department office.

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Home Preface University Governance Student Conduct and Academic Integrity Policies and Practices Governing Research Activities Admissions Fees Scholarships, Awards and Financial Assistance Registration in Programs Study Commitment English Language Requirement Curriculum Requirements Professional Development Course Course Registration Course Substitution and Credit Transfer Course Grading Progression and Academic Standing Guidelines on Thesis Research Graduation Appeals and Grievance Channels Appendices

Appendices: Guidelines on the Appointment and Roles of Chairpersons and Examiners of MPhil Thesis Examination Committees (Version July 2017)

Composition and Appointment of an MPhil Thesis Examination Committee Roles of the Chairperson and Examiners

A. Composition and Appointment of an MPhil Thesis Examination Committee

Upon the recommendation of the Thesis Supervision Committee of the candidate being examined, the department head/program director shall appoint an MPhil Thesis Examination Committee (TEC) to examine the candidate who has expressed the intention of defending the thesis.

An MPhil TEC shall consist of at least three faculty members, including:

A Chairperson;

The thesis supervisor(s); and

One other faculty member. All members of the MPhil TEC are voting examiners and must be present throughout the examination.

Approval of the Office of Postgraduate Studies (PGSO) must be sought, via the School, in advance if the composition of the proposed membership of an MPhil TEC varies from the above requirements.

B. Roles of the Chairperson and Examiners

Chairperson 1.1The role of the Chairperson is to ensure that: 1.1.1The examination is conducted in accordance with the regulations and requirements of the University, and in a fair and unprejudiced manner. 1.1.2The questions addressed to the candidate are fair and clearly expressed. 1.1.3The examiners are all given sufficient opportunity to ask questions and the candidate is given sufficient opportunity to respond to the questions. 1.1.4There is sufficient opportunity of questions from the floor addressed to the candidate. 1.1.5The recommendations of individual examiners are carefully considered, such that an overall recommendation may be arrived at in a fair and unprejudiced manner. 1.1.6The recommendation of the TEC reflects the majority view of the examiners. 1.1.7The recommendation of the TEC conforms to the regulations of the University that govern thesis examinations. 1.2The Chairperson may cancel a scheduled thesis examination if on the day of the thesis examination, 1.2.1There is no sign of the candidate 15 minutes after the scheduled time of commencement of the thesis examination; or 1.2.2There is no show of an examiner 15 minutes after the scheduled time of commencement of the thesis examination. 1.3Toward the end of the thesis examination, the Chairperson is required to (i) collect Part 2 of the ?Report on Thesis Examination Result for Research Postgraduate Degrees? from all the examiners and (ii) complete Part 3 and Part 4.1 of the report, with the assistance of the examiners.

The complete set of documents should be forwarded to the department head/program director or the thesis supervisor(s) as appropriate. For details, please refer to Section D of ?Guidelines on the Conduct of MPhil and PhD Thesis Examinations?. 1.4The Chairperson is also required to submit a ?Chair person ?s Report on Thesis Examination ? to the PG Secretariat of PGSO within one week from the date of the thesis examination, reporting any irregularities observed during the conduct of the thesis examination. Examiners 2.1The role of the examiners includes the following 2.1.1Examiners must thoroughly read the thesis prior to the examination, and must critically assess the quality of the research, the originality of the thesis and its impact on the field of study. 2.1.2Examiners should prepare questions and discussion materials, to be asked of the candidate during the thesis examinations. 2.1.3As a result of the reading of the thesis and the performance of the candidate in the examination, the examiners must be satisfied that: The candidate has clearly demonstrated the ability and skills to conduct an intellectual study, and arrive independently at a successful conclusion. The thesis represents either the candidate?s own original contribution to the discipline or well-organized and critical exposition of existing knowledge. The candidate, both verbally and in writing, is able to present his/her thesis clearly, systematically, and coherently. The candidate has convincingly and lucidly defended his/her thesis. 2.1.4Examiners must each submit Part 2 of the ?Report on Thesis Examination Result for Research Postgraduate Degrees? to the Chairperson at the end of the thesis examination. 2.1.5To arrive at a final assessment of the quality of the thesis and the performance of the candidate, the examiners, in open consultation with the Chairperson, must jointly arrive at a recommendation which reflects the majority view. The examiners then adopt the majority decision. 2.1.6The examiners should assist the Chairperson to prepare the ?Report on Thesis Examination Result for Research Postgraduate Degrees? recommending the outcome of their assessment of the thesis examination.

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Home Preface University Governance Student Conduct and Academic Integrity Policies and Practices Governing Research Activities Admissions Fees Scholarships, Awards and Financial Assistance Registration in Programs Study Commitment English Language Requirement Curriculum Requirements Professional Development Course Course Registration Course Substitution and Credit Transfer Course Grading Progression and Academic Standing Guidelines on Thesis Research Graduation Appeals and Grievance Channels Appendices

Appendices: Guidelines on the Appointment and Roles of Chairpersons and Examiners of PhD Thesis Examination Committees (Version July 2017)

Composition and Appointment of an PhD Thesis Examination Committee Roles of the Chairperson and Examiners

A. Composition and Appointment of an PhD Thesis Examination Committee

Upon the recommendations of the department and the School, the Office of Postgraduate Studies (PGSO) shall appoint a PhD Thesis Examination Committee (TEC) to examine the candidate who has expressed the intention of defending the thesis.

A PhD TEC shall consist of:

A Chairperson from outside the student?s major department;

The thesis supervisor(s);

Two academic staff members, in addition to the thesis supervisor(s), from the student?s major department;

One academic staff member, other than the thesis supervisor(s), from outside the department; and

One faculty external to the University who has expertise in the field being examined. The Chairperson from outside the student?s major department is selected by the School from a pool of senior faculty holding the rank of Associate Professor or above. He/she should have had experience in the conduct of PhD thesis examinations

The external examiner must be a faculty holding the rank of Associate Professor or above. He/she should normally be professionally detached from the thesis supervisor(s), the student and the University.

A person who has engaged in close research collaboration with the supervisor(s) or the student within five years prior to the conduct of the thesis examination, including advisor/advisee relationship in research studies, and joint work in research projects or co-authored publications, should not serve as an external examiner.

A person who has been on the teaching staff of HKUST, even in a visiting or adjunct faculty capacity, within the past three years, or who will join the University service before the assessment is completed, is not eligible for appointment as an external examiner. Other than the thesis supervisor(s), at least two other examiners (including the external examiner) must hold the rank of Associate Professor or above. If a thesis supervisor holds the rank of Professor, at least one other examiner must hold the rank of Professor and be present at the thesis examination, and one other examiner must hold the rank of Associate Professor or above.

The Chairperson presides over the examination, but is not one of the voting members. There are normally five voting examiners on a PhD TEC, four internal and one external to the University.

The Chairperson and all examiners must be present throughout the thesis examination. In exceptional cases where the external examiner from an overseas institution is unable to attend the examination, a written report should be submitted by the external examiner prior to the thesis examination.

If the composition of the proposed membership of a PhD TEC varies from the above requirements, approval of PGSO must be sought in advance.

B. Roles of the Chairperson and Examiners

Chairperson 1.1The role of the Chairperson is to ensure that: 1.1.1He/She skims through the thesis in order to get a rough understanding of the structure and organization of the thesis. 1.1.2The examination is conducted in accordance with the regulations and requirements of the University, and in a fair and unprejudiced manner. 1.1.3The questions addressed to the candidate are fair and clearly expressed 1.1.4The examiners are all given sufficient opportunity to ask questions and the candidate is given sufficient opportunity to respond to the questions. 1.1.5There is sufficient opportunity of questions from the floor addressed to the candidate. 1.1.6In the case of the external examiner from an overseas institution not being able to attend the examination, the comments and questions raised in the written report are addressed to the candidate by the Chairperson and the responses are reported to the external examiner after the examination. 1.1.7The recommendations of individual examiners are carefully considered, such that an overall recommendation may be arrived at in a fair and unprejudiced manner. 1.1.8The recommendation of the TEC reflects the majority view of the examiners 1.1.9The recommendation of the TEC conforms to the regulations of the University that govern thesis examinations. 1.2The Chairperson may cancel a scheduled thesis examination if on the day of the thesis examination, 1.2.1There is no sign of the candidate 15 minutes after the scheduled time of commencement of the thesis examination; or 1.2.2There is no show of an examiner 15 minutes after the scheduled time of commencement of the thesis examination; or 1.2.3The external examiner neither attends the thesis examination in person nor submits a written report prior to the conduct of the thesis examination. 1.3Toward the end of the thesis examination, the Chairperson is required to (i) collect Part 2 of the ?Report on Thesis Examination Result for Research Postgraduate Degrees? from all the examiners (including the ?External Examiner?s Report? provided by the external examiner in absentia), and (ii) complete Part 3 and Part 4.1 of the report, with the assistance of the examiners.

The complete set of documents should be forwarded to the department head/program director or the thesis supervisor(s) as appropriate. For details, please refer to Section D of ?Guidelines on the Conduct of MPhil and PhD Thesis Examinations ?. 1.4The Chairperson is also required to submit a ?Chair person ?s Report on Thesis Examination? to the PG Secretariat of PGSO within one week from the date of the thesis examination, reporting any irregularities observed during the conduct of the thesis examination. Examiners The role of the examiners includes the following: 2.1Examiners must thoroughly read the thesis prior to the examination, and must critically assess the quality of the research, the originality of the thesis and its impact on the field of study. 2.2Examiners should prepare questions and discussion materials, to be asked of the candidate in the thesis examination. 2.3As a result of the reading of the thesis and the performance of the candidate in the examination, the examiners must be satisfied that: The candidate has clearly demonstrated the ability and skills to conduct a major intellectual study, and arrive independently at a successful conclusion. The thesis represents the candidate?s own significant and original contribution to the discipline that is publishable in major international journals. The candidate, both verbally and in writing, is able to present the thesis clearly, systematically, and coherently. The candidate has convincingly and lucidly defended the thesis. 2.4Both internal and external examiners must each submit Part 2 of the ?Report on Thesis Examination Result for Research Postgraduate Degrees? to the Chairperson at the end of the thesis examination. 2.5To arrive at a final assessment of the quality of the thesis and the performance of the candidate, the examiners, in open consultation with the Chairperson, must jointly arrive at a recommendation which reflects the majority view. The examiners then adopt the majority decision. 2.6The examiners should assist the Chairperson to prepare the ?Report on Thesis Examination Result for Research Postgraduate Degrees? recommending the outcome of their assessment of the thesis examination. 2.7An external examiner from overseas, who is unable to attend the thesis examination, should submit an ?External Examiner?s Report on PhD Thesis Examination? to the PG Secretariat at least five working days prior to the conduct of the examination. Before completing the report, the external examiner may conduct a telephone interview, or through other means of communication, to seek clarification with the candidate. The report will be forwarded to the Chairperson, who will ask the questions on behalf of the external examiner in absentia in the examination session. If deemed necessary, the candidate may also provide the external examiner with a written response to the questions raised.

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Appendices: Guidelines on the Conduct of MPhil and PhD Thesis Examinations (Version July 2017)

Introduction Conduct of Thesis Examination Outcome on Thesis Examination Reports on Thesis Examination Post-Thesis Examination Arrangements Submission of Final Thesis

A. Introduction

The thesis examination is mandatory for those enrolled in research postgraduate programs and is conducted by a Thesis Examination Committee (TEC).

An MPhil TEC normally consists of three faculty members appointed by the department head/program director. One is the thesis supervisor(s) and another is appointed as Chairperson.

A PhD thesis examination normally consists of a Chairperson and five voting examiners appointed by the Office of Postgraduate Studies. The examiners include the thesis supervisor(s), two academic staff members from the candidate?s major department, one academic staff member from outside the department, and one faculty external to the University who has expertise in the field being examined.

B. Conduct of Thesis Examination

A thesis examination takes place in a single session and comprises four parts, the first two of which are open to all members of the University and to departmental guests. The third part is closed to all but the candidate and the TEC, and the fourth is a closed session of the TEC in the absence of the candidate.

The first part is an oral presentation by the candidate, emphasizing the major elements of the research and the results obtained. The candidate is expected to apportion no more than 60 minutes for the presentation.

The second part is an open questioning session, involving the TEC members, and others in attendance. During this part of the examination, all questions are addressed through the Chairperson and any dialogue limited to the candidate and the individual questioner.

The third part is a closed session involving a less formal discussion between the candidate and the TEC on the candidate?s research. Other than the candidate and the TEC, other personnel are not allowed to attend this part of a thesis examination. However, in exceptional circumstances, with the prior agreement of the candidate, the thesis supervisor and the TEC Chairperson, other personnel may be allowed to attend this part of a thesis examination as observers. It should be noted that observers are not permitted to participate in the examination or affect the examiners in their assessment of the thesis examination. At the end of this part of the examination, the candidate and any observers must leave the examination venue.

The fourth and final part is a closed session involving only the TEC to assess the quality of the thesis, and the performance of the candidate during the examination. In arriving at a decision, the votes of members of the TEC carry equal weight. The Chairperson is responsible for advising the TEC the vote of the external examiner in absentia, if applicable.

C. Outcome of Thesis Examination

A thesis examination can have one of the following results:

Passed; Passed subject to minor corrections; Passed subject to major corrections; Failed but may be resubmitted; or Failed.

D. Reports on Thesis Examination

Report on Thesis Examination Results for Research Postgraduate Degrees

The examination result will be reported in a proforma entitled ?Report on Thesis Examination Results for Research Postgraduate Degrees?. The TEC Chairperson shall collect Part 2 of the report from all the examiners and complete Part 3 and Part 4.1 of the report. The report, duly signed by all TEC members, must include all comments that the TEC or the Chairperson wishes to make on the conduct of the examination, the quality of the thesis, the contribution of the thesis to the field of study, the performance and competency of the candidate in the thesis examination, or any other remarks relating to the thesis and the examination.

If a thesis has been graded ?Passed?, ?Failed but may be resubmitted? or ?Failed?, the Chairperson should forward the duly completed report to the head of the candidate?s department. After signing the report, the department head/program director will forward it to the Dean or the Dean?s designee for endorsement, and finally to Academic Records and Registration, Academic Registry together with the final thesis copies for follow-up action and record.

If a thesis has been graded ?Passed subject to minor corrections?, the Chairperson should pass the entire set of documents to the thesis supervisor(s) who should keep the report until the candidate has submitted a revised thesis to his/her satisfaction before the deadline as described in Para E2 below. The full set of documents, with the final thesis copies, should then be forwarded to the department head/program director and the Dean or the Dean?s designee for endorsement before passing to Academic Records and Registration, Academic Registry for action and record.

If a thesis has been graded ?Passed subject to major corrections?, the Chairperson should pass the entire set of documents to the thesis supervisor(s) who should keep the report until the candidate has submitted a revised thesis to the satisfaction of the TEC before the deadline as described in Para E3 below. The full set of documents, with the final thesis copies, should then be forwarded to the department head/program director and the Dean or the Dean?s designee for endorsement before passing to Academic Records and Registration, Academic Registry for action and record.

Chairperson?s Report on Thesis Examination

The Chairperson is also required to submit a ?Chairperson?s Report on Thesis Examination? to the PG Secretariat of the Office of Postgraduate Studies within one week from the date of the thesis examination, reporting any irregularities observed during the conduct of the thesis examination.

E. Post-Thesis Examination Arrangements

If a thesis has been graded ?Passed? with no corrections required, the candidate must, within one week, submit two identical clean unbound original copies of the thesis to Academic Records and Registration, Academic Registry via the department together with the completed ?Report on Thesis Examination Results for Research Postgraduate Degrees? to complete the degree requirements.

For candidates who have passed their thesis examination but subject to minor corrections, their final thesis copies must be submitted to Academic Records and Registration, Academic Registry with the completed ?Report on Thesis Examination Results for Research Postgraduate Degrees? report within three months from the date of the thesis examination, or a date specified by the TEC, whichever is earlier. This requirement is applicable regardless of the mode of registration of the candidate. The corrections are to be made to the satisfaction of the thesis supervisor(s). Candidates should allow sufficient time for the thesis supervisor(s) to check and verify their final version of the thesis before the clean unbound original copies are submitted to Academic Records and Registration, Academic Registry via the department to complete the degree requirements.

For candidates who have passed their thesis examination but subject to major corrections, their final thesis copies must be submitted to Academic Records and Registration, Academic Registry with the completed ?Report on Thesis Examination Results for Research Postgraduate Degrees? within 12 months from the date of the thesis examination, or a date specified by the TEC, whichever is earlier. This requirement is applicable regardless of the mode of registration of the candidate. The revised thesis requires the approval of the full TEC. The TEC may recommend that a re-examination be held before a final assessment is arrived at. If a re-examination is required, the TEC membership should be the same as that for the first examination, unless otherwise recommended by the department or the PG Secretariat. If the members are satisfied with the revised thesis, the clean unbound final thesis copies must be forwarded to Academic Records and Registration, Academic Registry via the department to complete the degree requirements.

The result ?Failed but may be re-submitted? requires that the entire examination process be repeated, including the re-establishment of a TEC. The TEC membership may or may not be the same as that for the first examination. At least six months must pass before the second thesis examination can be conducted. A candidate who has failed in the second attempt of thesis examination will result in the automatic withdrawal of the candidate from the program of study and termination of registration at the University.

A ?Failed? grade results in the automatic withdrawal of the candidate from the program of study and termination of registration at the University.

F. Submission of Final Thesis

On successful completion of the thesis examination, candidates must submit two identical clean unbound original hard copies of the thesis to the major department, which will arrange for the appropriate signatures of approval to be obtained. The department will then forward the signed copies to Academic Records and Registration, Academic Registry for follow-up action. When bound, one copy will be retained by the department and one by the Library as an archival copy in the open collection for the student author and other interested visitors to access on campus.

At the time of submission of the printed copies to the department, the student should have submitted an electronic copy of the final thesis to the University Library?s E-thesis Database. Students are required to provide a printed copy of the email acknowledging receipt of the e-thesis when they submit the printed copies of the thesis to the department for forwarding to Academic Records and Registration, Academic Registry as proof.

In addition, students are required to complete two online survey forms and submit them together with the final thesis hard copies to the department.

If a candidate misses the deadline for the submission of the final thesis copies, the candidate will be viewed to have failed to meet the thesis examination requirements and will be deemed to have failed the requirements of the degree program being pursued. If the delay in submitting the final thesis copies is no fault of the candidate, he/she may appeal for an exception to be made for the above rules to be lifted. The appeal supported by the thesis supervisor(s) should be submitted to the PG Secretariat of the Office of Postgraduate Studies via the PG Coordinator with the endorsement from the relevant School.

COPYRIGHT � OFFICE OF POSTGRADUATE STUDIES ALL RIGHTS RESERVED. DESIGNED BY PTC.

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Home Preface University Governance Student Conduct and Academic Integrity Policies and Practices Governing Research Activities Admissions Fees Scholarships, Awards and Financial Assistance Registration in Programs Study Commitment English Language Requirement Curriculum Requirements Professional Development Course Course Registration Course Substitution and Credit Transfer Course Grading Progression and Academic Standing Guidelines on Thesis Research Graduation Appeals and Grievance Channels Appendices

Home Preface University Governance Student Conduct and Academic Integrity Policies and Practices Governing Research Activities Admissions Fees Scholarships, Awards and Financial Assistance Registration in Programs Study Commitment English Language Requirement Curriculum Requirements Professional Development Course Course Registration Course Substitution and Credit Transfer Course Grading Progression and Academic Standing Guidelines on Thesis Research Graduation Appeals and Grievance Channels Appendices

Appendices: Contact of Schools/Departments Office / ServiceTel No.Email

School of Science

Division of Life Science

Department of Chemistry

Department of Mathematics

Department of Physics

2358-7261

2358-7272

2623-7359

2623-7460

2358-7500

ssci@ust.hk

lifspg@ust.hk

chempg@ust.hk.

Math.Enquiry@ust.hk

School of Engineering

Department of Chemical and Biological Engineering

Department of Civil and Environmental Engineering

Department of Computer Science and Engineering

Department of Electronic and Computer Engineering

Department of Industrial Engineering and Logistics Management

Department of Mechanical and Aerospace Engineering

2358-8988

2358-7130

2358-7154

2358-7000

2358-7040

2358-7100

2358-8654

seng@ust.hk

cbme@ust.hk

civilweb@ust.hk

csdept@cse.ust.hk

eequestions@ust.hk

ieug@ust.hk

menquiry@ust.hk

School of Business & Management

Department of Accounting

Department of Economics

Department of Finance

Department of Information Systems, Business Statistics and Operations Management

Department of Management

Department of Marketing

2358-7533

2358-7555

2358-7623

2358-7666

2358-7733/ 2358-7633

2358-7722

2358-7700

.

acct@ust.hk

econ@ust.hk

fina@ust.hk

isom@ust.hk

.

mgmt@ust.hk

market@ust.hk

School of Humanities & Social Science

Division of Humanities

Division of Social Science

2358-7793

2358-7786

2358-7787

.

huma@ust.hk

somaster@ust.hk

Interdisciplinary Programs Office

Division of Environment and Sustainability

Division of Public Policy

2358-6964

2358-8363

2358-5753

ipo@ust.hk

envr@ust.hk

ppolpg@ust.hk

HKUST Fok Ying Tung Graduate School

2358-6928

fytgs@ust.hk

COPYRIGHT � OFFICE OF POSTGRADUATE STUDIES ALL RIGHTS RESERVED. DESIGNED BY PTC.

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Home Preface University Governance Student Conduct and Academic Integrity Policies and Practices Governing Research Activities Admissions Fees Scholarships, Awards and Financial Assistance Registration in Programs Study Commitment English Language Requirement Curriculum Requirements Professional Development Course Course Registration Course Substitution and Credit Transfer Course Grading Progression and Academic Standing Guidelines on Thesis Research Graduation Appeals and Grievance Channels Appendices

Home Preface University Governance Student Conduct and Academic Integrity Policies and Practices Governing Research Activities Admissions Fees Scholarships, Awards and Financial Assistance Registration in Programs Study Commitment English Language Requirement Curriculum Requirements Professional Development Course Course Registration Course Substitution and Credit Transfer Course Grading Progression and Academic Standing Guidelines on Thesis Research Graduation Appeals and Grievance Channels Appendices

Appendices: Supporting Services Office / ServiceTel No.Email

Academic Registry

Program Registration

PG Course Registration

Exams and Grades

Student Information System

2623-1111

2358-6618

2623-1114

2623-1115

2358-5885

.

progreg@ust.hk

courserg@ust.hk

grade@ust.hk

sishelp@ust.hk

Center for Language Education

Language Commons

2358-7880

2358-7851

lcsupport@ust.hk

lccommons@ust.hk

Information Technology Services Center

2358-6200

cchelp@ust.hk

Library

Learning Commons

2358-6772

2358-6729

library@ust.hk

lbcommons@ust.hk

Student Affairs Office

Career Center

Counseling & Wellness

Recreational Facilities & Amenities

2358-0842

2358-6688

2358-6696

2358-6666

sao@ust.hk

saocc@ust.hk

counsel@ust.hk

rfda@ust.hk

Global Student Programs Office

2358-8178

gspo@ust.hk

Scholarships and Financial Aid Office

2358-5853

sfao@ust.hk

Student Housing and Residential Life Office

Off-campus Housing

2358-6120

2358-8583

pghousing@ust.hk

offcamphouse@ust.hk

Students? Union and Societies

2335-1732

su_union@connect.ust.hk

Health, Safety and Environment Office

Medical Clinic

Student Dental Clinic

.

2358-6670

2358-8580

.

clinics@ust.hk

Campus Services Office

Public Transportation

Restaurants

On-campus Shops

2358-6333

csoweb@ust.hk

Campus Security Control Center

Emergencies (inside campus)

Emergencies (outside campus)

Campus Parking

.

2358-8999

999

2358-6483

.

.

.

parking@ust.hk

COPYRIGHT � OFFICE OF POSTGRADUATE STUDIES ALL RIGHTS RESERVED. DESIGNED BY PTC.

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Home Preface University Governance Student Conduct and Academic Integrity Policies and Practices Governing Research Activities Admissions Fees Scholarships, Awards and Financial Assistance Registration in Programs Study Commitment English Language Requirement Curriculum Requirements Professional Development Course Course Registration Course Substitution and Credit Transfer Course Grading Progression and Academic Standing Guidelines on Thesis Research Graduation Appeals and Grievance Channels Appendices

Home Preface University Governance Student Conduct and Academic Integrity Policies and Practices Governing Research Activities Admissions Fees Scholarships, Awards and Financial Assistance Registration in Programs Study Commitment English Language Requirement Curriculum Requirements Professional Development Course Course Registration Course Substitution and Credit Transfer Course Grading Progression and Academic Standing Guidelines on Thesis Research Graduation Appeals and Grievance Channels Appendices

Appendices: Maps

HKUST Location Map

Campus Map

Lecture Theaters

Lift Location

COPYRIGHT � OFFICE OF POSTGRADUATE STUDIES ALL RIGHTS RESERVED. DESIGNED BY PTC.