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• Last Updated: Oct 11, 2023 4:14 PM
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Regulations for the Degree of Doctor of Philosophy (PhD)

 (Applicable to the September 2007 and subsequent intakes)

PHD1. Definition

The degree of Doctor of Philosophy (PhD) is a research postgraduate degree.  Such a degree shall be awarded to a candidate who

• satisfactorily completes coursework, where prescribed;
• presents a  successful thesis representing the result of the candidate’s research which should be an original contribution to knowledge and worthy of publication; and
• satisfies the examiners in an oral examination (and any other examination if required) in matters relevant to the subject of the thesis.

PHD2. Admission Requirements

The University of Hong Kong offers both 3-year and 4-year PhD programmes.

• complies with the General Regulations;
• a Bachelor’s degree with honours and a taught Master’s degree or another qualification of equivalent standard from this University or from another university or comparable institution accepted for this purpose; or
• a Bachelor’s degree with normally first class honours from this University or another qualification of equivalent standard from this University or from another University or comparable institution accepted for this purpose;
• holds any additional qualifications as may be required by the Faculty concerned; and
• satisfies the examiners in a qualifying examination if required;

shall be considered for admission to a 4-year programme.

• holds a Bachelor’s degree with honours and a research Master’s degree or another qualification of equivalent standard from this University or from another university or comparable institution accepted for this purpose;

shall be considered for admission to a 3-year programme.

PHD3. Qualifying Examination

• A qualifying examination may be set to test the candidate’s ability to pursue the research project proposed.  A qualifying examination shall consist of one or more invigilated written examination papers; additionally, the invigilated written paper(s) may be supplemented by other forms of examination.
• A candidate who is required to sit for a qualifying examination shall not be permitted to register until all examination requirements are satisfied.

PHD4. Registration

• A candidature shall commence upon registration, which is permitted only on the first day of any calendar month.
• no employment, except as a University research assistantship as specified in Regulation PHD4(b)(iii) below; or
• part-time employment (whether inside or outside the University), provided that the employment entails not more than 150 hours of work per annum; or
• a University research assistantship, provided that the work undertaken in this capacity is focused on the topic of the holder’s research degree study.

The full or part-time status of the candidature must be affirmed in the form of a written declaration by the Chairperson of the Departmental Research Postgraduate Committee and the student.

• A full-time candidate may hold a University postgraduate scholarship (PGS) or other postgraduate studentship or scholarship intended to enable him or her to study on a full-time basis.  A holder of the University postgraduate scholarship shall also observe the Regulations Governing Postgraduate Scholarships.

PHD5. Probation and Confirmation of Candidature

• A candidate whose application is accepted shall be subject to a probationary period.  For a candidate in a 4-year degree programme, the probationary period shall be eighteen months for full-time studies or twenty-four months for part-time studies.  For a candidate in a 3-year degree programme, the period shall be twelve months in the case of full-time studies or eighteen months in the case of part-time studies.  By the end of this probationary period, the candidate must demonstrate capability in research, submit a detailed scheme of research and a Data Management Plan (DMP), where applicable, and complete the required proportion of coursework prescribed by the Graduate School.
• Before the end of the probationary period, the Faculty shall make a decision on whether the candidature shall be confirmed or terminated.

PHD6. Transfer of Candidature

The Faculty, on the recommendation of the DRPC, shall decide whether the transfer is approved.  Upon successful transfer to MPhil candidature, the candidate shall follow the set of Regulations and Procedures for MPhil candidates on his/her studies.

• At any stage of his/her studies, a candidate may be permitted to transfer from full-time to part-time candidature (or vice versa ) for the same degree, provided that the requisite coursework requirements can be completed before submission of the thesis.
• Any transfer shall take effect only on the first day of any calendar month.

PHD7. Period of Study

The minimum study period is half of the study period.  In order to safeguard the standard of a PhD degree, a candidate who has successfully transferred his/her MPhil candidature to the degree of PhD is required to enroll in the PhD programme for at least 12 months (for full-time candidate) or 18 months (for part-time candidate) after formal approval of the transfer.  In any case, his/her minimum study period, counting from the initial date of his/her MPhil registration, should not be less than half of the study period as stipulated in the table above.

• A candidate shall spend the whole period of study in Hong Kong, unless leave of absence, provided for under Regulation PHD9 below, has been granted.  Since part-time students may have a full-time job which demands them to be away from Hong Kong from time to time, they may be granted approval to be away from Hong Kong for up to six months in any academic year (see Note).
• Any extra period allowed for revision or resubmission under Regulation PHD16A shall not count towards the period of study.

PHD8. Coursework Requirements

• The approved course of study and research specified in Regulation PHD7(a) shall include a compulsory coursework component in a 4-year degree programme, the objective of which is to aid research work and preparation for writing the thesis.  The formal requirements relating to such coursework shall be determined by the Graduate School from time to time.
• A candidate registered for a 3-year degree programme may also be required to take courses and satisfy coursework requirements.
• The coursework requirements must be fulfilled before the candidate is permitted to submit the thesis.

PHD9. Leave of Absence

• Research study in the University is considered a year-round activity that continues between terms and throughout the summer months.

　Vacation Leave

　Study Leave

　Non-study leave

　Sick Leave

　Maternity Leave

　Paternity Leave

• A candidate shall be granted paternity leave of up to seven days for each confinement of his spouse/partner, provided that documents in support of his application are submitted as required.  The candidate may take all seven days of leave in one go or on separate days.  Any period of paternity leave granted shall be counted towards the period of study, and the candidate will continue to receive PGS, where applicable, during paternity leave.

PHD10. Progress

A candidate shall submit a progress report at six-monthly intervals, and may be required to give one or more seminars on any part of his or her course of study and research.

PHD11. Discontinuation 

A candidature may be discontinued

• if academic progress is not satisfactory; or
• if the student has failed to meet the requirements as stipulated in this set of Regulations.

PHD12. Notice of Intention to Submit Thesis

To allow sufficient time for the appointment of examiners for a thesis and an oral examination, a candidate shall serve written notice of intention to submit a thesis for examination at least 3 months prior to the expected date of submission.  The notice shall be accompanied by a provisional thesis title.

PHD13. Submission of Thesis

• A candidate shall submit sufficient copies of his/her thesis for examination, in accordance with paragraph 3 of the regulations governing the format, binding and presentation of theses, together with a written declaration that the thesis represents the candidate’s own work.
• A candidate shall not submit work that has been included in a thesis, dissertation or report which either has been previously submitted to this University or any other institution, or being submitted to any other institution, for a degree, diploma, or other qualifications, except in the case of a candidate who has registered in a PhD double degree programme of this University and another institution with which the University has entered into a formal agreement in respect of the programme.  Original work of the student related to the thesis may be published prior to submission of the thesis and may be included in the thesis.

PHD14. Examinations

• A candidate shall be examined by examiners appointed for this purpose both on the thesis itself, and at an oral examination on the subject of the thesis and/or the approved course of study and research. A candidate may also be examined by other means.
• A candidate’s coursework shall also be assessed by examiners appointed for this purpose.

PHD15. Coursework Examination Results

• Coursework shall be assessed on a pass/fail basis.
• A candidate who has not satisfied the examiners in respect of the coursework requirements at the first attempt shall be re-examined in the same, or an equivalent, course.  A candidate who does not satisfy the examiners in such re-examination may be required to discontinue his or her studies.
• A candidate who is unable to be present for any written examination due to acceptable extenuating circumstances may apply for permission to present himself or herself at a supplementary examination.

PHD16. Thesis Examination Results

A candidate who has satisfied the examiners shall be recommended for conferment of the degree of Doctor of Philosophy.

A candidate who has not satisfied the examiners

• may be required to resubmit the thesis after making corrections and amendments as required by the Board of Examiners, without a new examination; or
• may be required to revise and resubmit the thesis for a new examination within a specified period, and may also be required to satisfy the examiners at a new oral examination, or any other examination as appropriate, on the subject of the revised thesis and/or the approved course of study and research; or
• may be required to attend a new oral examination, or any other examination as appropriate; or
• may be deemed to have failed, without the option of resubmission.

PHD17. Publication based on Thesis

Any publication based on work approved for a higher degree should contain a reference to the effect that the work was submitted to The University of Hong Kong for the award of the degree.  

Note: For the purpose of this Regulation, a candidate is considered to be absent from Hong Kong when he/she is outside Hong Kong and is not able to conduct studies in the normal manners in the University.  A candidate who resides near the vicinity of Hong Kong which allows him/her to return to the University campus for his/her studies in the same manner as other students is not regarded as being absent from Hong Kong.

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Regulations Governing the Format, Binding and Presentation of Theses for Higher Degrees by Research

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• The thesis submitted for examination shall be typewritten or printed on one side or both sides of International size A4 paper 1 (except for drawings, maps, or tables on which no restriction is placed), with margin of not less than 35 mm on both right- and left-hand edges of each page.
• An abstract in English of not fewer than 200 and not more than 500 words shall be a part of each thesis. The format shall be the same as that of the thesis itself. The front page of each abstract shall contain the following statement:

Abstract of thesis entitled “ ……………………………………………………………

……………………………………………………………………………………………………………”

Submitted by ……………………………………………………………………………………

for the degree of ………………………………………………………………………………

at The University of Hong Kong in (month and year).

• The Faculty shall determine the number of hard copies of thesis required for examination purpose, and may also request a soft copy of thesis. Each copy of the thesis with its abstract preceding the title page, shall be bound in one or more volumes either in the manner prescribed in Regulation 4, or in a temporary heat-sealed ‘Perfect’ binding with the title, name of author, degree, date and the words ‘Temporary Binding for Examination Purposes’ lettered on the front cover (or, if a transparent cover is used, then on the first page so that the lettering may be read through the cover). In addition, extra copies of the thesis abstract, which are not bound together with the thesis, shall be submitted upon Faculty’s request.
• After receiving notification that all formal requirements for conferment of the degree have been satisfied, the successful candidate is required to submit the finalized thesis, in hard and soft copies, as specified below:

(a) sufficient hard copies of the finalized bound thesis shall be submitted to the Faculty Office. The thesis shall be bound, in one or more volumes as determined by the Librarian, with its abstract preceding the title page, between boards faced with green cloth with the title, name of author, degree, and date to be stamped on the front cover and spine in accordance with the standard layout approved by the Librarian. The titles of theses written in Chinese shall be lettered on the cover in Chinese and in English. One copy of the finalized bound thesis shall be passed to the University Libraries for cataloguing and then accessioned by the University Archives. The remaining thesis copies shall be kept by the department and the supervisor(s). Copies of the finalized abstract, which are not bound together with the thesis, shall be submitted upon individual Faculty’s request. The Faculty shall determine the total number of finalized bound thesis and unbound abstract required; and

(b) a soft copy of the thesis shall be submitted for open access in the HKU Scholars Hub. In addition, students who register on September 1, 2017 and thereafter are required to upload their bibliography when submitting their finalized theses online.   Details on electronic theses are available on the website of the University Libraries.

1 297 mm x 210 mm

N.B. Candidates for higher degrees are reminded that any thesis not typed or printed on the correct paper will not be accepted.

Last updated on August 10, 2023

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The MPhil Thesis

The primary requirement of the MPhil degree is production of an MPhil thesis that examines a well-focused topic in depth. The MPhil thesis is significantly more substantial than an MA thesis. Research and writing of the thesis are conducted under the close supervision of the primary supervisor, who is required to meet with the student at least once monthly for consultation and guidance. An MPhil thesis should be based on research using both secondary and primary sources, including the examination of original works of art and historical archival materials as appropriate. The thesis must be written in English and is expected to reach a publishable academic standard, including proper use of quotations, notes, citations, illustrations, and other supporting material. The usual length of an MPhil thesis is 25,000 to 35,000 words (including footnotes).

The PhD Thesis

The primary requirement of the PhD degree is production of a PhD thesis that generates new knowledge about a specific area of art historical research. Research and writing of the thesis are conducted under the close supervision of the primary supervisor, who is required to meet with the student at least once monthly for consultation and guidance. Research for the PhD thesis should incorporate the best existing scholarship on the topic and should bring to light previously unstudied materials and/or interpret previously studied materials in new ways. PhD students are expected to travel to archival sources and conduct research in foreign languages as needed. The thesis must be written in English to a publishable academic standard, including proper use of quotations, notes, citations, illustrations, and other supporting material. The usual length of a PhD thesis is 40,000 to 60,000 words (including footnotes).

Past MPhil Theses

Past phd theses, thesis examination.

A candidate shall serve written notice to the Chairperson of the Departmental Research Postgraduate Committee (DRPC) of his/her intention to submit a thesis for examination  at least three months before the expected date of submission.

An MPhil thesis is examined by one teacher from HKU and one External Examiner specializing in the student’s research area.

A PhD thesis is examined by two teachers from HKU and one External Examiner specializing in the student’s research area.

Examination includes written reports from the examiners and an oral exam. If the student passes the oral exam, s/he is usually given a few months of time to make revisions based on the examiners’ feedback. The degree is granted when satisfactory revisions are submitted.

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香港大學數學系公開講座: <<數趣漫話>> 從看見到發現 – 第三種智慧

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摘要： 我們的知識和智慧一方面源自傳統，另一方面是向西方學習來的，但卻往往忽略了第三個途徑，即不同學科之間的相互借鑒、融合。另一方面，無論學習還是工作，無論科技、文藝，還是經濟、生活，都有一個從看見到發現的過程，我們應該學會觀察。 蔡教授將從數學出發，結合自己的研究、寫作，與大家分享心目中的科學、藝術和人生經驗，他瞭解和觀察世界的方法。

蔡教授將會和大家分享他心目中的科學，藝術和人生經驗。 

歡迎中三或以上同學參加。座位有限，報名從速!

Speaker Professor Tianxin Cai 蔡天新教授

Zhejiang University 浙江大學

講者簡介: 蔡天新，浙江台州人，山東大學理學博士，浙江大學求是特聘教授、數學學院博導。他提出了形素數和加乘方程的概念， 有關新華林問題的研究被英國數學家、菲爾茲獎得主阿蘭·貝克讚為“真正原創性的貢獻”。

蔡天新也是詩人、作家，至今已出版文學、學術和普及著作30多部，並有外版著作20多部，其中英文版7部。2013年和2019年， 他先後獲得貝魯特Naji Naaman詩歌獎和達卡Kathak詩歌獎。2017年，他的著作《數學傳奇》榮獲國家科學技術進步獎；2018年和2022年，《數學簡史》和《數學與藝術》獲得吳大猷原創科普著作佳作獎。2018年，“科學與人類文明”課程獲得國家教學成果獎，並受邀央視“朗讀者”節目和美國愛荷華大學國際寫作計畫。2022年，他入選當當網第八屆影響力作家。

新千年以來，蔡天新應邀在普林斯頓大學、倫敦經濟學院、澳洲國立大學、新加坡國立大學、秘魯天主教大學、奈洛比大學等6大洲數十所名校，國內數百所大中小學，以及海內外書店、圖書館等機構做公眾講座。