3．预答辩委员会委员应对博士学位论文进行严格、认真的审查，着重检查博士学位论文中的创新成果及创新水平、论文工作量等，并详细指出论文中存在的不足和问题，提出改进意见。
1．博士学位论文需由5名教授或相当专业技术职称的专家评审，其中应有至少4位是工作单位在外省的专家，且应在不同单位。学位申请者的导师不能被聘为论文评阅人。论文评阅人原则上应为博士生导师。
2．应聘请在论文涉及的研究方向上有较深学术造诣并熟悉论文研究领域的专家为论文评阅人。鼓励聘请国际同领域知名专家作为博士学位论文评阅人。论文评阅人名单由博士生导师提出，并经有关分委员会或分委员会指定的专家组讨论通过。
3．由答辩委员会秘书负责向评阅人寄送博士学位论文及论文学术评议书，并负责接收论文学术评议书。学位申请者本人不得直接向评阅人寄送论文、索要评阅意见及收拆学术评议书。应保证评阅人有不少于1个月的评阅时间。
如博士生及其导师同意专家意见，则需按照评审意见修改论文并写出修改说明，经导师审核并签署意见后，送研究生院转呈原专家复审。若原专家认可修改意见，可以申请答辩。若原专家不认可修改意见，则由校学位委员会指定专家组，对该博士学位论文、评审专家意见、博士生及导师回复意见等一并进行复议；
（3）专家意见中如有两位或两位以上评议人的反馈意见为不同意答辩，则申请人本次学位申请无效。如有一位不同意答辩，则增聘两位评议人对论文进行匿名评议。若增聘的评议人中仍有不同意答辩者，则本次学位申请无效。
博士学位论文答辩委员会由七名教授或相当专业技术职称的专家组成，且应满足以下要求：①博士生导师应占全体成员的半数以上（至少四名）；②校内同一学科专家不得超过三人；③导师或副导师只能有一人参加，且不得任答辩委员会主席；④必须有其它学院相关学科专家或校外专家。答辩委员会秘书应具有讲师以上职称。对具有研究生毕业同等学力的申请博士学位人员，其论文答辩委员会中需至少有二人是我校和申请人所在单位以外的专家，且申请人的导师和推荐人不能作为论文答辩委员会成员。
（1）答辩委员会主席宣布答辩开始，宣布答辩委员会组成名单，并逐一介绍各位委员；介绍博士学位申请人简况（思想品德、学习成绩、简历、学位论文工作情况及学术论文发表情况）；
（1）答辩委员会应以无记名投票方式，决定答辩是否通过及是否建议授予申请人博士学位。在答辩委员会成员三分之二以上（含三分之二）同意时方可做出建议授予博士学位的决定。
（4）答辩委员会认为申请人的论文虽未达到博士学位的学术水平，但已达到硕士学位的学术水平，而申请人又尚未获得该学科硕士学位时，可以做出建议授予申请人硕士学位的决议。
Harbin Institute of Technology (HIT)
The rules and regulations for the application of doctoral degree are formulated in accordance with the《Academic Degree Ordinance of People’s Republic of China》and the《Temporary Regulations for Academic Degree of People’s Republic of China》taking into account of the concrete conditions of doctoral education and doctoral degree award at Harbin Institute of Technology (HIT), China.
I. Conditions for PhD Viva Voce Examination
Prior to PhD viva voce examination, the candidate should complete the following work:
(1) Complete all curriculums for doctoral education, and successfully pass all examinations;
(2) Accomplish the research project tasks pertinent to the doctoral dissertation;
(3) Have academic papers published as requited during the period of doctoral study;
(4) Submit PhD dissertation.
II. Preliminary PhD Viva Voce Examination
After completing the draft of PhD dissertation, the candidate should submit a preliminary viva voce application to the discipline PhD program with the approval of the supervisor, and meanwhile fill in the《Form for Preliminary PhD Viva Voce Examination》. Preliminary PhD viva voce examination is a key step to oversee the work of dissertation and to guarantee the quality of academic degree theses. Therefore, an emphasis is placed on PhD viva voce examination and the related implementation. The procedures of preliminary PhD viva voce examination are described as follows:
1. With regard to the research direction and the thesis characteristics of the candidate, the convener of the discipline PhD program has the duty to organize 5-7 supervisors of PhD candidates and professors in a given discipline or related disciplines, constituting a preliminary viva board, which should be authorized by the branch committee of academic degree.
2. The candidate should conduct a formal presentation and answer the questions raised (multimedia, projectors, films, slides and pictures may be used). The time for the presentation should be 40-60 minutes.
3. The board members of the preliminary viva should conduct a serious and stringent examination of the dissertation, emphatic on the original achievement, the level of creativity, and the amount of work involved in the dissertation. Furthermore, the weakness and problems in the dissertation should be pointed out in detail, with recommendations for improvement proposed.
4. In the form of review, the board of preliminary viva makes the resolution of “pass”, “not pass”, or “pass with amendments” of the preliminary viva voce examination. In the case of difference, a ballot is adopted to determine the result.
5. The board members of the preliminary viva should fill their reviews in the《Form for Preliminary PhD Viva Voce Examination》.
6. The candidate should revise and modify the dissertation according to the reviews of the board members of the preliminary viva examination. The revised dissertation should be approved and signed by the supervisor. Then, a viva application can be submitted to the branch committee of academic degree.
III. The Inspection of the Branch Committee of Academic Degree for PhD Viva Voce Application
1. The candidate must provide the following materials when submitting his/her viva application to the branch committee of academic degree.
(1) 《Form for Preliminary PhD Viva Voce Examination》
(2) The dissertation or revised dissertation through preliminary PhD viva voce examination.
(3) A completed《Qualification Form for PhD Viva Application》
(4) Major research papers published during the period of doctoral study (Original versions).
(5) Doctoral candidate’s exam grades (including the academic records of lectures and academic activities).
(6) 《Application Form for Preliminary PhD Viva Voce Examination》
2. Inspection Key Points of the Branch Committee of Academic Degree
(1) The originality, level of creativity, and conclusions;
(2) Research paper published during the period of doctoral study;
(3) Format of PhD dissertation.
IV. Specialist Reviews for PhD Dissertation
1. A PhD dissertation should be reviewed by 5 professors or equally qualified specialists, among them at least 4 should be external examiners from other provinces, and furthermore they should not work in the same institution. The supervisor of the candidate should not be invited to serve as reviewer. In principle, the reviewers should be supervisors of PhD candidates.
2. Reviewers should be specialists with profound knowledge or those familiar with the research direction of the dissertation in a specific field. In this regard, international renowned specialists are preferred. The supervisor of the candidate should propose a list of reviewers, which are discussed and appointed by the related branch committee or a designated specialists group.
3. The secretary of the viva board has the duty to send the review forms and collect the reviews. In this regard, the candidate should not get involved, and s/he is not allowed to send, ask for, open or read the reviews. The review period should be no less than one month.
4. Specialists’ reviews and management
(1) The returned five reviews should be used for viva application, or used to modify the dissertation for viva application. In this case, the candidate should explain in written form the reasons for modification. This should be checked and commented by the supervisor, and then inspected and commented by the chairman of the branch committee or a designated specialist. Under this condition, the candidate can apply for PhD viva voce examination.
(2) If some specialists show considerable difference about the dissertation, it is suggested that substantial revision or modification must be done before submitting PhD viva application.
If the candidate and the supervisor agree with the reviewers’ opinion, the candidate should revise the dissertation accordingly and write an explanation for the revision or modification. Being checked and commented by the supervisor, the dissertation should be sent to the Graduate School of HIT, who would ask the same specialists for re-examination. If the specialists approve the revision or modification, a viva application can be submitted. If disapproved, HIT Academic Degree Committee (the Senate) will designate a specialists group to re-examine the candidate’s dissertation, the reviews of specialists, the opinions of the supervisor and the candidate together.
If the candidate and the supervisor disagree with the reviewers regarding the reviews, they can state their reasons. Inspected by the branch committee of academic degree, the Graduate School of HIT will invite another two specialists to re-examine the dissertation by means of anonymity.
(3) If the feedback from two or more than two specialists concerning the viva voce is negative, the candidate fails in terms of viva application this time. If one specialist disagrees regarding viva application, two additional specialists will be invited to review the dissertation by means of anonymity. If they disagree, the viva application fails this time.
5. The secretary of the viva board sort out the collected materials related to the dissertation reviews (the candidate is not allowed to get involved in the collection). In the case of additional reviewers, their reviews and the original reviews should be collected together.
The candidate should give definite answers to the questions raised or the weakness identified by the reviewers. The materials should be attached to the above collected documents. The materials should be commented by the supervisor or the chairman of the branch committee of academic degree.
V. Collection of Reviews
1. The secretary of the viva board sort out the collected materials related to the dissertation reviews (the candidate is not allowed to get involved in the collection).
The collected materials include:
(1) Comments on the chosen research topic;
(2) Comments on the creativity of the dissertation;
(3) Overall evaluation of the dissertation;
(4) Problems and weakness identified in the dissertation, plus recommendations.
In the case of additional reviewers, their reviews and the original reviews should be collected together.
The candidate should give definite answers to the questions raised or the weakness identified by the reviewers. The materials should be attached to the above collected documents. The replies should be commented and signed by the supervisor.
2. The collected materials should be written according to the requirements of the Academic Degree Office of HIT. They should be checked and signed by the chairman of the branch committee of academic degree.
VI. PhD Viva Voce Examination
1. PhD viva board
A PhD viva board consists of seven professors or equally qualified specialists, meeting the following criteria: (1) Supervisors of PhD candidates should be more than half of the total board members (at least four). (2) HIT specialists in the same discipline should not be more than three professors. (3) Only one of the supervisors or co-supervisor is allowed to attend the viva, and the one could not serve as the chairman of the viva board. (4) Specialists related to the discipline from other schools or external examiners must be invited. The secretary of the viva board should be lecturer or plus. For the PhD candidate with the same qualification of master degree, the viva board should include at least two specialists from other institutions, who are not from HIT or the institution where the candidate serves. Furthermore, the supervisor of the candidate or the person who recommends the candidate should not serve as the viva board members.
《Form for PhD Viva Board Members》must be approved by the chairman of the branch committee of academic degree, and authorized by HIT Academic Degree Committee (the Senate). If anyone is to be replaced, the procedures to renew must be observed.
2. PhD viva procedures
In general, PhD viva should be open, and the procedures are stated as follows:
(1) The chairman of the viva board declares that the viva starts, with the introduction of each board member; then gives a brief account of the candidate in terms of moral character, academic records, curriculum vitae, the work of the dissertation, and the research papers published.
(2) Viva voce examination
1) The presentation of the PhD candidate (about 40-50 minutes);
2) Questions from the board members and the answers of the candidate;
3) The review of the supervisor is announced;
4) The collected reviews of the dissertation are announced.
(3) Adjournment, the viva board holds an independent meeting.
1) Discuss and judge whether the dissertation meet the academic standard required by the academic degree ordinance;
2) Ballot for whether or not to recommend that the candidate be awarded PhD degree;
3) Discuss and pass the resolution of the viva board;
4) The chairman signs the resolution.
(4) Resuming the viva, the chairman announces the resolution of the board;
(5) The candidate expresses his/her attitude.
(6) The viva voce examination ends.
3. The resolution of the viva board
(1) The viva board should have a ballot on whether or not the candidate passes the viva voce examination, and whether or not to suggest awarding the candidate PhD degree. If two thirds (including two thirds) of the board members agree, a decision can be made to award the candidate PhD degree.
(2) In the case of “not pass” in the viva voce examination, the viva board considers further amendment of the dissertation. A ballot is conducted to determine whether or not the candidate has another viva voce examination in two years’ time. It is possible only if more than half of the board members approve.
(3) If the viva board makes no resolution to have another viva voce examination after revising the dissertation, no one is entitled the right to arrange another viva voce examination.
(4) If the viva board maintains that the candidate fails to meet the requirements for a doctoral degree but reaches the academic level of master degree, they can make a resolution to award the candidate a master degree (only if the candidate holds no master degree in a given field).
VII. Period of Public Notice for a PhD Dissertation
1. In principle, the period of public notice for a PhD dissertation dates from the date of pass in the viva voce examination to the date on which HIT Academic Degree Committee (the Senate) inspects the dissertation. The period should be no less than a month.
2. During the period of public notice, the candidate should publicize the information relevant to the dissertation, answering the questions raised by the people concerned.
3. During the period of public notice, HIT Academic Degree Committee (the Senate) also accepts and deals with the questions arising from the people concerned.
VIII. Settlement of an Ineffective Viva Application
If a viva application is ineffective, the candidate may leave the university as scheduled, or rewrite his/her dissertation. In a half year or two years’ time, the candidate can submit a viva application again. If the application fails, the university will no longer accept candidate’s application.
IX. Storage of the Specialists’ Reviews
The original documents are stored as confidential files by the Graduate School of HIT, and the copies, either print or typed, are returned to the school or department where the candidate studies before the viva voce examination. They are collected and stored with other viva documents at the related school or department.
研究生院