General Regulations for the Doctor of Philosophy (PhD) Degree

1. Definition

The award of the PhD degree is contingent upon a candidate having:

1. completed an approved programme of supervised research;
2. presented a written thesis which demonstrates an advanced level of knowledge and understanding in the candidate’s field of study and which describes and summarizes the research undertakings and findings;
3. satisfied the Board of Examiners in an oral examination (and any other examination if deemed necessary), on matters relevant to the subject of the thesis;
4. complied with supervision and coursework requirements, and other requirements as laid down by the respective Faculty/School (hereafter called Faculty); and
5. satisfied the University-wide graduation requirements.

2. The Graduate School

The Graduate School is responsible for ensuring that all students admitted to the PhD programme have met the appropriate admission requirements; that mechanism is in place to ensure that research prospectuses are well conceived and reasonable; and that candidates have fulfilled all requirements for the PhD degree prior to being recommended to the Senate for the aforesaid award.

3. Admission Requirements

3.1 Applicants seeking admission to the PhD degree programme should possess:

1. a Master’s degree from a recognised university or comparable institution; or
2. a Bachelor’s degree with First Class Honours from a recognised university or comparable institution; or
3. any other qualification deemed by the Graduate School to be acceptable for this purpose.

3.2 Candidates under section 3.1(b) of the General Regulations should have evidence of research achievement/experience. They may be admitted to the MPhil programme initially, but with a view to proceeding to the PhD programme after satisfactorily passing an assessment at the time of candidature confirmation.

3.3 Candidates under section 3.1(c) of the General Regulations may be required to take an entrance examination, in which event their progress shall be reported to the Graduate School at the end of their first year of study.

3.4 Language Proficiency Requirements

4. Registration

4.1 Double Registration

Unless otherwise approved by the University, registered candidates are normally not permitted to register part-time or full-time for any other qualification, either at the University itself or at any other local institution of higher learning. Candidates breaching this regulation are subject to discontinuation of their studies at the University.

4.2 Successful applicants shall be admitted to register provisionally for the degree of Doctor of Philosophy as either full-time candidates or part-time candidates.

4.3 Applicants will not be admitted into full-time candidature if they are undertaking work not relevant to their area of study for more than 6 hours per week.

4.4 Applicants will not be admitted into part-time candidature unless the Graduate School is satisfied that they are able to work regularly on the programme of study and maintain regular/adequate contact with their supervisors.

4.5 It is expected that full-time candidates who are studentship recipients will be engaged in duties within a department of the University. These duties, such as teaching/research assistantships, will contribute to the overall development of the candidates’ understanding of their chosen field.

5. Period of Study and Residency Requirement 

5.1 Residency Requirement

5.1.1 Regardless of the mode of study (i.e., full-time or part-time), a student who is receiving regular supervision in Hong Kong or in a location approved by the University is classified as being in residence. The required residence period for research postgraduate studies is equivalent to half of the relevant normal study period.

5.1.2 All research postgraduate students must fulfil the residency requirement before thesis submission.

5.2 Normal Period of Study

The normal period of study for the completion of the approved research and study programme is 48 months for full-time candidates and 72 months for part-time candidates.

5.3 Maximum Period of Study

The period of study may be extended by a maximum period of 24 months. Applications should be endorsed by the Principal Supervisor, Department Head and Faculty/School Dean (hereafter called Faculty Dean). Approval for extension and further extension beyond the maximum period of study rests with the Graduate School.

5.4 Minimum Period of Study 

The minimum period of study is 36 months for full-time candidates and 48 months for part-time candidates.

5.5 For details regarding calculation of study period, please refer to section 2 of the “Guidelines and Procedures for Research Postgraduate Degrees” in the Handbook for Research Postgraduate Students.

6. Programme of Study

6.1 Candidates will pursue a programme of study approved by the Graduate School, and shall present themselves for relevant examinations and at such times as may be required by the examiners.

6.2 The programme of study shall comprise:

1. supervised original research work culminating in the submission of a thesis;
2. coursework as required by the respective Faculty;
3. mandatory research seminars and mandatory course(s) on research methodology;
4. active participation in lectures, study groups, workshops, seminars, colloquia and conferences as directed by the supervisor(s);
5. any other courses needed to make up for the candidate’s deficiencies as required by the supervisor(s) and the University; and
6. the Mandatory Common Core Programme.

The following are also mandatory for students undertaking the 4-year PhD Programme:

1. 1–6 months overseas learning experience;
2. oral/poster presentation at a reputable international conference, workshop or exhibition;
3. publications as required by the Faculty; and
4. any other discipline-specific requirements.

7. Coursework

7.1 Coursework Requirements

7.1.1 For regular students, candidates should successfully complete a minimum of 15 units of coursework for 3-year PhD programmes and 22 units for 4-year PhD programmes (including three units of mandatory common core courses) as laid down by their respective Faculty and achieve a minimum GPA score of 2.67, except as specified in sections 7.1.3, 7.4.1 and 7.4.3 of the General Regulations below. Except the common core courses, each course normally carries 2 to 3 units per semester/trimester/term. For candidates on joint or dual degree programmes, the unit requirement for graduation may vary. All coursework courses taken for fulfilling the coursework requirement will be included in the GPA calculation.

7.1.2 Make-up courses and laboratory courses which are required to cover the candidate’s deficiencies are not counted towards the coursework requirements.

7.1.3 Candidates who have a relevant Master’s degree may be exempted from 3 units of coursework.

7.1.4 For candidates who have been transferred from MPhil candidature and have successfully completed the MPhil coursework requirements, the units gained in their MPhil coursework requirements can be counted towards their PhD coursework requirements if deemed appropriate by the Faculty.

7.2 Academic Standard of Required Courses

7.2.1 The number of units assigned to a course is indicative of the contact time with a teacher and/or the study time associated with that course, on a weekly basis over a period of one semester/trimester/term. In general, a single unit represents attendance once a week throughout the semester/trimester/term at a lecture/recitation lasting 50 minutes.

7.2.2 Students should take postgraduate level courses at HKBU (i.e. Level 6 (6000-series) and Level 7 (7000-series) courses) and any of the courses labelled as postgraduate level offered by the Cross-institutional Course Enrolment Scheme for the fulfilment of coursework requirements. They may take other advanced undergraduate level courses on their own interest or to make up for deficiency. These courses shall be recorded on the transcript but shall not be counted towards the coursework requirement and calculation of GPA.

7.2.3 Any course to be taken by a candidate will need to be recommended by the Principal Supervisor and endorsed by the Department Head with due reference to the candidate’s academic background.

7.2.4 If a required course cannot be offered by the University at a given time, an equivalent course may be taken from another university in Hong Kong with the approval of the Principal Supervisor and the Department Head.

7.3 Mode of Teaching and Assessment Method

The teaching of a course can be delivered in any appropriate mode, such as tutorial, small class, lecture, seminar, colloquium, conference, etc., depending on the course syllabus and the number of students enrolled. Whether the course is taken at the University or another institution/university in Hong Kong, some means of assessment, such as a written examination or submission of term paper(s), is needed to evaluate the candidate’s achievement.

7.4 Coursework Administration

7.4.1 Candidates should officially enrol in the chosen courses through the Graduate School. For courses successfully completed at other institutions/universities under the cross-institutional course enrolment scheme, transfer of units/credits is allowed but the letter grades would not be included in the GPA calculation. Courses without letter grades and courses with grade “S” will not be counted towards GPA calculation. Students who take all courses under the cross-institutional course enrolment scheme for fulfilment of coursework requirements would not have a GPA score.

7.4.2 All courses attempted in the University will be recorded in the candidate’s transcript with letter grades and the total number of units gained. For courses that cannot be assessed objectively (e.g. guided reading and seminar, etc.), candidates will only be given an “S” grade for satisfactory completion of a course or a “U” grade for unsatisfactory performance. For courses successfully completed without letter grades, only the units would be counted towards the total number of units gained. The grades would not be included in the GPA calculation.

7.4.3 Courses taken in the University with grade below “C” will not be counted towards the units gained nor used in the GPA calculation.

7.4.4 For courses approved for transfer from another institution/university, the total number of units gained (but not the letter grade) will be recorded in the candidate’s transcript. The University shall not approve transfer of units for courses with grades below the equivalence of grade “B-” in the University’s grading system.

7.4.5 Any candidate who fails to satisfy the coursework requirements will be dismissed from the University.

7.4.6 Candidates are required to satisfy all coursework requirements including Mandatory Common Core Programme (MCCP) before the qualifying examination, except for Research Seminars which should be taken throughout the course of studies and completed before the submission of thesis for oral examination.

7.4.7 Students who fail to complete MCCP will be barred from (a) the arrangement for confirmation of candidature; and (b) access to the academic transcript/testimonial.

7.5 For registration, attendance and assessment of courses, the relevant provisions under the General Regulations for Undergraduate Degree Programmes and the General Regulations for Taught Postgraduate Degree/Diploma/Certificate Programmes are applicable unless otherwise specified.

7.6 For registration procedures, please refer to section 3 of the “Guidelines and Procedures for Research Postgraduate Degrees” in the Handbook for Research Postgraduate Students.

8. Qualifying Examination

8.1 The qualifying examination will be conducted during the first semester of Year 2 (i.e. between the 13th and 18th month). 

8.2 Candidates who have failed the examination may attempt again within six months after the first attempt (i.e. between the 19th and 24th month). 

8.3 If a candidate fails to obtain a pass in the second attempt, Faculty shall determine whether the candidate be transferred to a programme leading to an MPhil degree, or be dismissed.

9. Candidature

9.1 A full-time candidate registered provisionally for the degree of Doctor of Philosophy will be subject to a probationary period of up to 30 months (for a part-time candidate, up to 42 months). A provisional PhD candidate must attain full candidature by satisfying the requirement of coursework (including MCCP) and the submission of a research prospectus and relevant documents for an open seminar, to be assessed by a Panel before consideration by the Graduate School.

9.2 The Assessment Panel shall be chaired by the Department Head (or designate). The Panel shall have at least two members in the field at the rank of Research Assistant Professor or above, who come from the same department or other department, to assess the research prospectus, the relevant documents, and the seminar presentation. The Principal Supervisor and Co-supervisor can serve on the Panel as non-voting members. The Department Head’s designate shall be at the rank of Associate Professor or above of the Department. If the Department Head is the Principal Supervisor of the candidate, a designate must be appointed to chair the Panel. Failure to attain full candidature in a timely manner may result in dismissal.

9.3 The Assessment Panel shall submit the completed report forms, giving assessment of the candidate’s performance and potential along with the research prospectus (bearing the supervisors’ endorsement) and relevant documents to the Graduate School.

9.4 Upon satisfactory fulfilment of the programme-specific coursework and Mandatory Common Core Programme requirements and the attainment of a standard by the students satisfying the Assessment Panel, the Research Postgraduate Studies Committee shall determine whether to admit provisional candidates to full candidature, or to terminate their period of provisional registration for the degree of Doctor of Philosophy, or to require the candidates to transfer to a programme of study leading to the degree of Master of Philosophy.

9.5 For detailed confirmation procedures, please refer to section 4 of the “Guidelines and Procedures for Research Postgraduate Degrees” in the Handbook for Research Postgraduate Students.

10. Transfer of Candidature

10.1 A candidate whose candidature has been confirmed for the degree of Doctor of Philosophy may be permitted to transfer to candidature for the degree of Master of Philosophy provided that such transfer is made at least 12 months before the expiration of the normal study period.

10.2 Candidates who are initially registered for the degree of Master of Philosophy, have completed at least the first year of their studies and demonstrated their research potential may be permitted, with the approval of the Research Postgraduate Studies Committee, to transfer to a programme of study for the degree of Doctor of Philosophy. Such transfer should be made at least 6 months (for a full-time student) or 12 months (for a part-time student) prior to the expiry of the normal study period of the Master of Philosophy degree; and the candidate shall go through the procedures for qualifying examination and confirmation of PhD candidature as specified under sections 8 and 9 of the General Regulations.

10.3 For application procedures, please refer to section 6 of the “Guidelines and Procedures for Research Postgraduate Degrees” in the Handbook for Research Postgraduate Students.

11. Supervisors

11.1 All candidates shall be assigned one Principal Supervisor from the corresponding department of the University and one Co-supervisor from the same or another department of the University. When it is desirable to access specific expertise elsewhere, an additional Co-supervisor may be appointed from another department or from outside the University.

11.2 For appointment and responsibilities of supervisors, please refer to section 6 of the “Guidelines and Procedures for Research Postgraduate Degrees” in the Handbook for Research Postgraduate Students.

12. Examiners

12.1 Candidates shall be examined by a Board of Examiners appointed by the Graduate School.

12.2 The Board of Examiners shall consist of two external examiners and two internal examiners, including the Department Head (or designate) and one academic in a research field closely aligned with the candidate’s research. The Faculty Dean (or designate) shall chair the Board, casting deciding votes only. The Department Head’s designate shall be at the rank of an Associate Professor or above of the Department and the Faculty Dean’s designate shall be at the rank of an Associate Professor or above of the University. In case the Department Head or the Faculty Dean is the Principal Supervisor of the candidate, a designate must be appointed to serve on the Board.

12.3 The supervisor(s) of the candidate being examined shall be invited to raise questions to the candidate, but shall not be included in the vote taken by the Board of Examiners.

12.4 Appeals against decisions made by the Board of Examiners and/or the Research Postgraduate Studies Committee are provided for, but the highest and final authority rests with the Senate in all cases (see section 19 of the General Regulations).

12.5 For selection criteria and appointment procedures of external examiners, please refer to section 11 of the “Guidelines and Procedures for Research Postgraduate Degrees” in the Handbook for Research Postgraduate Students.

13. Leave of Absence

13.1 Candidates who wish to be absent from their studies in Hong Kong must apply for leave of absence by completing the form on Application for Study Leave via BUniPort.

13.2 Any leave of absence will be counted towards the period of study.

13.3 Leave of absence for more than 12 cumulative months will not be granted.

13.4 For application procedures, please refer to section 10 of the “Guidelines and Procedures for Research Postgraduate Degrees” in the Handbook for Research Postgraduate Students.

14. Performance Requirement

14.1 Regular contact with their supervisors is a requirement for all candidates. In order to monitor this contact and keep track of the study progress, candidates are required to submit a progress report to the Graduate School every 6 months starting from their commencement of studies. Supervisors shall also provide an assessment of the candidate’s performance and submit the report to the Graduate School via the Bi-annual Progress Report System.

14.2 If a candidate fail to satisfy the requirements under the above section or fails to make satisfactory progress, the supervisor(s) shall advise the candidate in writing. A copy of the letter shall be sent to the Graduate School for record. If the candidate is a studentship recipient, upon the recommendation of the supervisor(s) and the Department Head, the studentship may be terminated.

14.3 If the candidates continue not to satisfy the performance requirement, they may, after due warning, be dismissed from the University.

14.4 Candidates may notify the Graduate School in writing of any illness or other special circumstances which may have prevented them from satisfying the requirements under sections 14.1 and 14.2 of the General Regulations or may have adversely affected their performance and which they might like to be taken into account before the Graduate School makes a recommendation in terms of section 14.3 of the General Regulations.

15. Suspension, Withdrawal and Dismissal

15.1 Suspension

15.1.1 Suspension of studies could be (i) a University-initiated requirement resulting from disciplinary action against students who have violated any rules or regulations prescribed by the University authority(s), and/or committed any misconduct; or (ii) a student-initiated non-study-related break from study arising from health-, financial-, work-, or family-related matters or other personal reasons. Suspension period is not counted towards the study period and students do not receive studentship during such period. Under special circumstances, students may be permitted to suspend their studies for a period of up to one year.

15.1.2 For suspension inititated by students, they must complete the clearance procedures at relevant units, where applicable. Subject to approval of the Graduate School, the effective date of suspension is given 3 working days from the day of submission of the completed application.

15.1.3 Upon expiration of the suspension period, students must return to their studies. If the students fail to report to the Graduate School according to schedule, they will be classified as having unofficially withdrawn.

15.2 Withdrawal

15.2.1 Students intending to leave the University prior to graduation must apply for official withdrawal. A student who leaves the University without following the proper procedures will be considered as having unofficially withdrawn. No official documents will be issued to such students, and they shall not be re-admitted under this status.

15.2.2 For official withdrawal, students must complete the clearance procedures at relevant units, where applicable. Students must settle any outstanding tuition fee before an official withdrawal status is given by the Graduate School.

15.2.3 Subject to approval of the Graduate School, the effective date of withdrawal is given 3 working days from the day of submission of the completed application.

15.3 For application procedures, please refer to section 10 of the “Guidelines and Procedures for Research Postgraduate Degrees” in the Handbook for Research Postgraduate Students.

15.4 Dismissal

The University may at any time, by action of the Senate, require any students to terminate their studies at the University either on academic or disciplinary grounds, or on other grounds deemed as appropriate. The Senate may also dismiss a student whose conduct or general influence is considered harmful to the institution. Such a student will normally not be considered for re-admission.

16. Thesis Requirements

16.1 The thesis shall comply with the following conditions:

1. The thesis should be written in English except students in the Department of Chinese Language and Literature. Students who pursue research work in areas that are related to the social or cultural environment of China or European countries, or those who can demonstrate a need to use Chinese or a language other than English to write their theses, should seek prior approval from the Graduate School via the Faculty, Department and Principal Supervisor. It is advisable that students apply for change of language as soon as they have decided the topic, in any case no later than the initial timeline for confirmation of candidature. Any delay in the application rendering cumulative work already written in any other language shall not be the justification for the change of language. Students should complete the Form "Request for Change of Language for Writing Thesis" and provide detailed justifications. If approved, students are required to produce a translation of the abstract in English. Applications submitted after the said period will normally not be considered.
2. The thesis shall form an original contribution to knowledge in the given discipline. The originality shall be shown either by the discovery of new facts or theories or by the demonstration of innovative, critical thinking. The format of the thesis can include non-traditional elements.
3. The thesis shall not incorporate published work by the candidate unless the work was published subsequent to the registration of the candidate for the degree of Doctor of Philosophy.
4. The theses shall be the candidates' own account of their research and shall be accompanied by a declaration to this effect signed by the candidate.
5. Where a candidate’s research work is part of a collaborative project, the thesis must clearly indicate the candidate’s individual contribution and the extent of collaboration.
6. A candidate shall not submit work that has previously been included in a thesis, dissertation or report submitted to the University or any other institution in support of an application for a degree, a diploma or other qualification.
7. The thesis shall be suitable for publication either as submitted or in an amended form.

16.2 Title of the Thesis

The title of the thesis shall be submitted by the candidate with endorsement from the Principal Supervisor, to the Graduate School for approval not less than 2 months before the submission of the thesis. Thereafter no modification of the title can be made without approval.

16.3 Submission of the Thesis

16.3.1 At the end of the programme of study, a candidate shall submit an electronic copy of the thesis to the Graduate School in fulfilment of their degree requirements. The electronic thesis copy shall be deposited in the University’s Institutional Repository administered by the Library. The thesis shall conform in layout, binding and presentation to the requirements prescribed by the Graduate School. The students are also obliged to provide a bound thesis copy to their Faculty/School/Department/Principal Supervisor if so required.

16.3.2 The thesis shall contain an abstract of 200 to 500 words in English and/or 400 to 1,000 characters in Chinese summarizing the content of the thesis. If the thesis is written in Chinese, both the Chinese and English abstracts should be included.

16.4 For details regarding thesis format and submission procedures, please refer to section 12 of the “Guidelines and Procedures for Research Postgraduate Degrees” in the Handbook for Research Postgraduate Students.

17. Examination

17.1 Candidates for the degree of Doctor of Philosophy shall be examined in terms of their thesis submitted, by an oral examination, and in some instances, by means of a written examination. The oral examinations should be conducted within 3 months from the submission of the thesis to the Graduate School.

17.2 The focus of the examination of candidates is on:

1. the subject matter of the thesis, in particular the quality of research supporting it;
2. the field of study encompassed by the thesis;
3. the originality of the research;
4. the written and oral presentations of the research results and conclusions; and
5. the contribution of the research to the field of knowledge.

17.3 For examination arrangements, please refer to section 13 of the “Guidelines and Procedures for Research Postgraduate Degrees” in the Handbook for Research Postgraduate Students.

18. Examination Results

18.1 Candidates who have fulfilled the requirements of candidature and coursework, submitted an acceptable thesis, and satisfied the Board of Examiners shall be recommended, through the Research Postgraduate Studies Committee and Research Committee, to the Senate for the conferment of the degree of Doctor of Philosophy.

18.2 In cases where a candidate has failed to fully satisfy the examiners or the Research Postgraduate Studies Committee, the candidate may:

1. be required to re-submit the thesis with minor revisions as required by the examiners together with a summary of changes made to the revised thesis. After the revisions are approved by the Chair of Board of Examiners via the Principal Supervisor, the final thesis shall be submitted to the Graduate School within 3 months; or
2. be required to re-submit the thesis with substantial revisions as required by the examiners together with a summary of changes made to the revised thesis. After the revisions are approved by the Principal Supervisor, the revised thesis shall be submitted to the Graduate School within 6 months for reassessment of the thesis by the Board of Examiners; or
3. be required to undergo further oral and/or written examination(s) within 6 months; or
4. be deemed to have failed in the candidacy.

18.3 Under exceptional circumstances, the Research Postgraduate Studies Committee has the discretion to recommend that the candidate be awarded the degree of Master of Philosophy.

18.4 A candidate shall be notified of the results of the examination within 2 weeks from the date of the oral examination.

18.5 A candidate shall be notified of the decision of the Senate.

18.6 A student who is found to have committed an act of academic dishonesty such as plagiarism, submission of material(s) for assessment which is not the student’s own work, the use of fabricated or copied data for assessment, may lead to disqualification for the award of the degree or dismissal from the University.

19. Appeals against Decisions

19.1 Appeals against decisions concerning course grade assignment, eligibility of coursework unit transfer, or qualification for candidacy may be addressed to the Dean of Graduate School or designate who may refer the cases to the Research Postgraduate Studies Committee for consideration.

19.2 In cases concerning the fulfilment of requirements for awarding the degree of Doctor of Philosophy, appeals may be carried to the next sitting authority above the one who made the decision under appeal. That is, an appeal against a Board of Examiners’ decision should be addressed to the Chairman of the Research Postgraduate Studies Committee; an appeal against a decision of the Research Postgraduate Studies Committee should be addressed to the Chairman of Research Committee; and an appeal against a decision of the Research Committee should be addressed to the Chairman of Senate.

19.3 Under normal circumstances, only one appeal is permitted. Under exceptional circumstances, such as information not being made available to the Research Postgraduate Studies Committee when it ruled on an appeal against a Board of Examiners’ decision, a second appeal may be permitted. Within the normal academic processes and structures, appeals cannot be made against Senate rulings.

19.4 For grievance procedure and arrangements, please refer to section 17 of the “Guidelines and Procedures for Research Postgraduate Degrees” in the Handbook for Research Postgraduate Students.

20. The Award of the Degree of Doctor of Philosophy

20.1 A candidate who has complied with all the conditions for the award of the degree of Doctor of Philosophy shall be awarded the degree.

20.2 Degrees are conferred after approval for graduation by the Senate.

(Note: Degree Regulations are subject to change and review from time to time. For the latest version of the Regulations, please refer to the web version of the Handbook for Research Postgraduate Students.) 

Remarks:

Faculty/Faculties
A generic and collective term referring to the following academic units of the University:
- Faculty of Arts
- School of Business
- School of Chinese Medicine
- School of Communication
- School of Creative Arts
- Faculty of Science
- Faculty of Social Sciences