International Graduate Student Handbook

1 What is Control Science and Engineering?

"Control Science and Engineering are scientific methods and technology that improve efficiency, productivity, quality, and reliability, specifically for machines and systems operating in structured environments over long periods, and the explicit structuring of environments."

The coverage of Control Science and Engineering (CSE) goes beyond their roots in advanced aerospace applications and mass production, and include many new applications areas, such as Biotechnology, pharmaceutical, and health care; Home, service, and retail; Construction, transportation, and security; Manufacturing, maintenance, and supply chains; and Food handling and processing.

2 目录

Welcome from the Dean of CSE College...... 1 General Policies...... 3 The Graduate School...... 3 The International College...... 3 Academic Definition：PhD/Master Degree...... 3 Academic Integrity...... 4 Period of Study...... 4 Time Limitations for Completing Degrees...... 4 Extension of Degree Time...... 5 Leaves of Absence...... 5 Suspension, Withdrawal and Dismissal...... 6 Suspension...... 6 Withdrawal...... 6 Dismissal...... 7 Registration...... 7 Regulations for PhD/Master Degree...... 8 Admission ...... 8 Programme of Study...... 8 Coursework...... 9 The Mandatory Core Programme (MCP)...... 9 Coursework Requirements...... 10 Academic Standard of Required Courses...... 10 Mode of Teaching and Assessment Method...... 10 Coursework Administration...... 10 Candidature...... 11 For PhD Degree...... 11 For Master Degree...... 11 Confirmation...... 12 Supervisors...... 12 Examiners...... 13 Attendance and Performance...... 13 Thesis Requirements...... 14 Title of the Thesis...... 14 Submission of the Thesis...... 15 Examination...... 15

3 Examination Results...... 16 Appeals against Decisions...... 17 The Award of the PhD/Master Degree...... 17 Guidelines and Procedures for Awarding Degrees...... 18 Course Work...... 18 Registration of Courses...... 18 Dropping a Course...... 18 Confirmation of Candidature...... 18 Confirmation of Master Candidature...... 18 Confirmation of PhD Candidature...... 19 Approval by the Graduate Studies and Research Committee...... 20 Guidelines for the Research Prospectus...... 20 Supervision...... 21 Appointment of Supervisors...... 21 Role of Supervisors...... 21 Appointment of Examining Committees...... 23 For Master’s Candidates...... 23 For Doctoral Candidates...... 23 Submission of the Thesis...... 24 Submission of the Thesis Title...... 24 Submission of the Thesis...... 24 Oral Examination...... 25 Arrangement of the Oral Examination...... 25 After the Oral Examination...... 26 Recommendation of the Board of Examiners...... 26 Conferment of the Degree...... 27 Copyright and Intellectual Property...... 28 Guidelines for the Format of Thesis/ Dissertation...... 30 Applicability...... 30 Length of the Thesis...... 30 Writing Format...... 30 Paper Size...... 30 Spacing and Margins...... 31 Font Size...... 31 Pagination...... 31 Order of the Contents...... 31 Binding of the Thesis...... 33

4 Waivers...... 34 Contact Information...... 35 The International College...... 35 The Graduate School...... 36 The College of CSE...... 37

5 Welcome from the Dean of CSE College Welcome to the College of Control Science and Engineering (CSE) in Zhejiang University!

The CSE College was founded in 1956. For 60 years, we CSE people have built a history of excellence in education and discovery, and our college is now one of the most prestigious research and education bases in the area of industrial process control in China. National and international research labs and centers are instituted in our CSE college , which includes the Institute of Industrial Process Control, the Institute of Automatic Instrumentation, the Institute of Cyber-Systems and Control, the State Key Laboratory of Industrial Control Technology, the National Engineering Research Center for Industrial Automation, and the Experiment and Teaching Center for Automation. The CSE college currently has over 120 faculty members with 40 full professors and research fellows, which includes 1 academician of China National Engineering Research Institute, 2 winners for the National Science Fund for Distinguished Young Scholars, 2 distinguished professors for Chang Jiang (Cheung Kong) Scholars Program. Our current student enrollment has about 400 Undergraduate, 400 Master’s and 200 Doctoral.

In the general area of industrial process control, our CSE college in ZJU has become a leading force in China, also edged into the advanced ranks in the world. We have made significant contributions to fulfill the national economic and social development demands, and to advance the overall level of the industrial process automation in China. Various awards such as Scientific Technology Progress Award are received annually in both national and provincial level. The core areas of our research and project activity include:

(1)Theoretic research on control science: fundamental research on the theories and methodologies of variable structure control, control of large time-delay systems, adaptive control, predictive control, intelligent control, etc; fundamental research on the methodologies and technology of

1 system modeling.

(2) Automation instrumentation and related systematic research: theoretic research and related technology; instruments development on fieldbus technology; intelligent instruments; technology of industrial control networking; novel measuring and detection technology; testing system; and reliability technology.

(3) Research on systems engineering and optimization: practical optimization methods and technology, decision support, supply chain, neural networks, data rectification, data mining, and research on theories, methods, and technology of the “whole solutions to integrated automatic systems of process-based industrial enterprises”.

(4) Research on robotics technology: intelligent robotic system, multi-agent system, real-time pattern recognition and behave system, real-time planning and reasoning, micro-sensor and micro-actuators.

2 General Policies This section is a statement of general principles and practices of the Graduate School of Zhejiang University and the the International College of Zhejiang University.

The Graduate School

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

The website of the Graduate School is http://grs.zju.edu.cn.

The International College

The International College of Zhejiang University is a special teaching and administrative institute responsible for the enrollment, service and Chinese as Second Language (CSL) program, consisting of Office of General Affairs, Office of International Promotion of Chinese Language, Office of Degree Student Affairs, Office of CSL program, and Foreign Experts and Overseas Students Service Center, whose head office is located in Yuquan Campus with two other administrative offices located in Zijianggang Campus and Huajiachi Campus respectively.

The website of the international college is http://iczu.zju.edu.cn.

Academic Definition：PhD/Master Degree

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

 completed an approved programme of supervised research;

3  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;

 satisfied the Board of Examiners in an oral examination, on matters relevant to the subject of the thesis; and

 complied with supervision, attendance and all coursework requirements as laid down by CSE college.

Academic Integrity

Students are expected to meet the highest standards of academic integrity. Plagiarism, fabrication, falsification, cheating, and other acts of academic dishonesty, or abetting the academic dishonesty of another will result in sanctions and may lead to academic dismissal. The ZJU Academic Integrity Policy provides a primer on ethical academic work. It also includes a description of computer ethics and the appropriate use of electronic resources. Students should familiarize themselves with the standards and policies outlined in this policy, which is online at http://grs.zju.edu.cn/redir.php?catalog_id=10040&object_id=12770.

Period of Study

Time Limitations for Completing Degrees

The CSE master’s students should complete all degree requirements within 2.5 calendar years.

A Ph.D. candidate may take up to 3.5 calendar years to complete all degree requirements.

4 Extension of Degree Time

A student should consider applying for an extension of time when actively working on program requirements and more time is needed to complete them, but the student is confident that the work will be completed within the additional year if the extension is approved. Students should not request an extension of time if substantial progress cannot be made. If an extension is granted it is expected that students keep on schedule to complete degree requirements.

To request an extension of time to complete the degree requirements, a student must complete the Request for Extension of Time form at http://grs.zju.edu.cn/grsinfo.html and submit it to the college for approval. This request must include a progress report of work completed to date, as well as a timetable for finishing all requirements.

A statement from the student’s academic supervisor must be submitted along with the request, addressing: 1) the practicality of the timetable submitted; and 2) the quality and current status of remaining requirements, including topics selected for projects, preliminary and qualifying review materials, theses, and dissertations. The student must then forward the request to the appropriate dean’s office.

It should be noted that requests for an extension of time are not automatically approved and are granted only in unusual circumstances. If the extension of time is not approved, the student’s candidacy for the degree is terminated.

Leaves of Absence

There are three types of leaves available to graduate students, which are personal leave, parental leave, and Medical Leave of Absence. Please refer to the International College for details.

Students who are not in good academic standing when taking a leave must have an academic plan upon their return to enroll in classes. This plan must be approved by their Supervisor and the respective dean

5 before return. Students who are not in good academic standing are encouraged to discuss their academic situation with their Supervisor.

Because leaves of absence can impact visa status and eligibility to remain in China, international students who are considering taking a leave should contact the International College before any leave is authorized.

Suspension, Withdrawal and Dismissal

Suspension

Under special circumstances, a student may be permitted to suspend his/her studies for a period of up to one year. This is granted in cases of health problems, financial difficulty, urgent family affairs or job-related problems.

For suspension, students must complete the clearance procedures at the International College and and the Graduate School.

Upon expiration of the suspension period, the student must return to his/her studies. If the student fails to report to the Graduate School according to schedule, he/she will be classified as having unofficially withdrawn.

Withdrawal

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 a student, and he/she will not be re-admitted under this status.

For official withdrawal, students must complete the clearance procedures at the International College and and the Graduate School.

6 Dismissal

The University may at any time, by action of the Senate, require any student to terminate his/her 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.

Registration

Successful applicants should apply for the student visa (X1 visa) to the Chinese embassy or consulate in their home country with passport, “Admission Notice” and “Visa Application for Study in China” and register within the specified time at Zhejiang University. Successful applicants who submitted pre-graduation certificate during the application must provide the original copy or notarized photocopy of degree certificate upon registration; those who fail to provide will be disqualified from admission.

Please refer to the International College for more detailed information.

7 Regulations for PhD/Master Degree

Admission

Doctoral Degree Programs Admission 2016 http://iczu.zju.edu.cn/english/redir.php?catalog_id=228

Master's Degree Programs Admission 2016 http://iczu.zju.edu.cn/english/redir.php?catalog_id=227

Online Application System http://iczu.zju.edu.cn:8080/zjdxlxszsxt/default_xs.jsp

Programme of Study

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.

The programme of study shall comprise:

(a) supervised original research work culminating in the submission of a thesis;

(b) coursework as required by the CSE college;

(c) attendance at lectures, study groups and workshops as well as participation in seminars, colloquia and conferences as directed by the supervisor(s);

(d) any other courses needed to make up for the candidate’s deficiencies as required by the supervisor(s) and the University; and

(e) the Mandatory Core Programme, which shall be completed satisfactorily before the arrangement of confirmation of candidature.

8 Students who fail to fulfil section (e) above will be barred from (a) the arrangement for confirmation of candidature; (b) access to the academic transcript/testimonial (official copy and student copy).

Coursework

The Mandatory Core Programme (MCP)

Graduate students are required to complete a mandatory core programme (MCP) before confirmation of candidature. The programme aims to equip students with the necessary knowledge to better prepare themselves for their academic career at ZJU and beyond. The programme comprises the following creditbearing courses:

Course 课程名称 Course Credits Note Number Course Name Language 汉语 5002001 中文 2 Chinese for Master 中国概况 5022001 中文 3 student Introduction of China only for PhD 中国概况 5012001 中文 2 student Survey of China only for Master 矩阵分析 3212001 English 2 student Matrix Analysis only for Master 线性系统理论 1121301 English 2 student Linear System Theory only 控制学科国际前沿讲座 Lectures on Frontiers 3204006 English 1 of Control Science and Engineering

9 Coursework Requirements

PhD Candidates should successfully complete a minimum of 12 credits of coursework (including 5 credits of MCP courses) . For Master Candidates, a minimum of 24 credits of coursework ( including 12 credits of MCP courses ) is required.

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

Academic Standard of Required Courses

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

If a required course cannot be offered by the CSE college at a given time, an equivalent course may be taken from another college/College in ZJU with the approval of the Principal Supervisor.

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.

Coursework Administration

Candidates should officially enrol in the chosen courses through the GRSINFO system (http://grs.zju.edu.cn/grsinfo.html) .

All courses attempted in ZJU will be recorded in the candidate’s transcript with letter grades and the total number of units gained.

Any candidate who fails to satisfy the coursework requirements will be

10 dismissed from ZJU.

Candidates are required to satisfy all coursework requirements within the normal study period and prior to the submission of their theses for oral examination.

Candidature

For PhD Degree

A full-time candidate registered provisionally for the degree of Doctor of Philosophy will be subject to a probationary period of up to 18 months. Between the 12th and 18th months after commencement of study, a provisional PhD candidate must attain full candidature by satisfying the requirement of the Mandatory Core Programme 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. The Assessment Panel shall be chaired by the College Head (or designate). Members shall comprise the Principal Supervisor, and at least one member in the field who comes from the same College or other departments to assess the research prospectus, the relevant documents, and the seminar presentation. The College Head’s designate shall be a senior academic of the Department. If the College 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.

The Assessment Panel will 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.

For Master Degree

A full-time candidate registered provisionally for the degree of Master of

11 Philosophy will be subject to a probationary period of up to 15 months. Between the 12th and 15th months after commencement of study, a provisional Master candidate must attain full candidature by satisfying the requirement of the Mandatory Core Programme and the submission of a research prospectus through the supervisors to the Graduate School for consideration. Failure to attain full candidature in a timely manner may result in dismissal.

Supervisors will submit a completed report form, giving an assessment of the candidate’s performance and potential along with the research prospectus (bearing the supervisors’ endorsement) to the Graduate School.

Confirmation

Upon satisfactory fulfillment of the Mandatory Core Programme and after review of the research prospectus and the reports from the Assessment Panel, the Graduate Studies and Research Committee will determine whether to admit a provisional candidate to full candidature, or to terminate his/her period of provisional registration for the degree of Master or Doctor of Philosophy.

For detailed confirmation procedures, please refer to the “Guidelines and Procedures for Awarding Degrees”.

Supervisors

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

For appointment and responsibilities of supervisors, please refer to the “Guidelines and Procedures for Awarding Degrees”.

12 Examiners

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

The Board of Examiners shall consist of one external examiner and three internal examiners, including the College Head (or designate), Principal Supervisor of the candidate and the Faculty Dean (or designate) who shall chair the Board as a non-voting member. The College Head’s designate shall be a senior academic of the College and the Faculty Dean’s designate shall be a senior academic of the University. In case the College Head or the Faculty Dean is the Principal Supervisor of the candidate, a designate must be appointed to serve on the Board.

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.

Attendance and Performance

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 write an assessment of the candidate’s performance and submit the report to the Graduate School.

If a candidate fails to satisfy the requirements under the above section, or make satisfactory progress, the supervisor(s) shall advise the candidate in writing. A copy of the letter will be sent to the Graduate School for record.

If the candidate continues not to satisfy the requirements of attendance and performance, he/she may, after due warning, be dismissed from the University.

13 Thesis Requirements

The thesis shall comply with the following conditions:

(a) The thesis should be written in English or Chinese.

(b) 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 element.

(c) 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.

(d) The thesis shall be the candidate’s own account of his/her research and shall be accompanied by a declaration to this effect signed by the candidate.

(e) 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.

(f) 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.

(g) The thesis shall be suitable for publication either as submitted or in an amended form.

Title of the Thesis

The title of the thesis shall be submitted by the candidate for approval not less than 2 months before the submission of the thesis. Thereafter no modification of the title can be made without approval.

14 Submission of the Thesis

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 thesis shall conform in layout, binding and presentation to the requirements prescribed by the Graduate School. The student is also obliged to provide a bound thesis copy to his/her Faculty/School/AVA/Department/Principal Supervisor if so required.

The thesis shall contain an abstract of 200 to 500 words in English and/or 400 to 1000 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.

Examination

A candidate for the degree of Doctor/Master of Philosophy shall be examined in terms of his/her thesis submitted, by an oral examination. The Graduate School will appoint a Board of Examiners to conduct these examinations normally within 3 months from the submission of the thesis to the Graduate School.

The focus of the examination of candidates is on:

(a) the subject matter of the thesis, in particular the quality of research supporting it;

(b) the field of study encompassed by the thesis;

(d) the written and oral presentations of the research results and conclusions; and

(e) the contribution of the research to the field of knowledge.

For examination arrangements, please refer to the “Guidelines and Procedures for Awarding Degrees”.

15 Examination Results

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 Graduate Studies and Research Committee, to the Senate for the conferment of the degree of Doctor/Master of Philosophy.

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

(a) 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

(b) 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;

(d) be deemed to have failed in the candidacy.

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

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

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

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

16 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.

Appeals against Decisions

Appeals against decisions concerning qualification for candidacy may be addressed to the Dean of Graduate School or his designate who may refer the cases to the Graduate Studies and Research Committee for consideration.

In cases concerning the fulfilment of requirements for awarding the degree of Doctor/Master of Philosophy, appeals may be carried to the next sitting authority above the one who made the decision under appeal.

Under normal circumstances, only one appeal is permitted. Under exceptional circumstances, such as information not being made available to the Graduate Studies and Research 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.

The Award of the PhD/Master Degree

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

Degrees are conferred at the commencement ceremony of the University.

17 Guidelines and Procedures for Awarding Degrees

Course Work

Registration of Courses

Students who wish to take or drop courses at ZJU should complete the Application for Course Add/ Drop/ Withdrawal online. Applications should be submitted to the Graduate School.

Online Application System：http://grs.zju.edu.cn/grsinfo.html

Dropping a Course

A course for which a student has registered remains on the record unless it has been dropped within the first two weeks of the term.

Confirmation of Candidature

Confirmation of Master Candidature

An Masterstudent must have successfully completed the Mandatory Core Programmme before the arrangement of confirmation of candidature.

Between the 12th and 15th months after commencement of study, a full-time Master student should apply for confirmation of his/her Master candidature. He/she must submit a research prospectus through the supervisors for the consideration of the Research Postgraduate Studies Committee. The Principal Supervisor is required to complete the Supervisors’ Report Form for confirmation of the candidature.

18 Confirmation of PhD Candidature

The following procedures are applicable to students who are admitted directly as provisional PhD candidates.

A PhD student must have successfully completed the Mandatory Core Programme before the arrangement of confirmation of candidature.

Between the 12th and 18th months after commencement of study, a full-time PhD student should apply for confirmation of his/her PhD candidature. Application for confirmation of candidature should be made in writing to the Graduate School through the College attaching evidence of research potential at the PhD level. A list of publications, if any, may be included. The student should also: (a) submit a research prospectus; and (b) present his/her research outline, methodology, literature review, expected findings/ results, etc. in an open seminar.

CSE College will set up an Assessment Panel chaired by the College Head (or designate). Members comprise the Principal Supervisor and at least one member in the field, who may come from the same or another college/department, to assess the research prospectus, the relevant documents and the seminar presentation. The College Head’s designate shall be a senior academic of CSE College. If the College Head is the Principal Supervisor of the candidate, a designate must be appointed to chair the Panel. The Panel should decide whether or not: (a) the prospectus indicates independent work by the student; (b) the student has the ability to define the problem and is familiar with the literature; and (c) the research provides sufficient basis for work at a standard/level appropriate for the PhD award.

An open seminar will be held with the following procedures: (a) a preliminary brief meeting (15-30 minutes) of the Assessment Panel should be held prior to the open seminar for the members to exchange views on the general standard of the submitted prospectus; (b) during the open seminar, questions may be raised by any participants; (c) immediately after the open seminar, a closed meeting of the Assessment Panel should be held to arrive at a recommendation on the confirmation of candidature (voting may be required if consensus is not reached); and

19 (d) the Principal Supervisor should verbally inform the student of the recommendations/advice given by the Panel.

The Chairman should fill out an Assessment Panel Chairman Report. Each Panel member (except the Chairman) should fill out an Assessment Panel Member’s Report and hand it to the Chairman for attachment to the Assessment Panel Chairman’s Report.

The completed Assessment Panel Chairman’s Report, together with individual Panel members’ reports, the student’s research prospectus and other relevant/supporting documents, should be submitted to the Graduate School. The recommendation on confirmation of candidature should be jointly endorsed by all members of the Assessment Panel.

Approval by the Graduate Studies and Research

Committee

Based on the prospectus and the Supervisors’ Report Form (for Master students) or the Assessment Reports (for PhD students), approval of candidature may be granted by the Graduate Studies and Research Committee.

Guidelines for the Research Prospectus

(a) The prospectus should consist of 10-20 typed or printed double spaced A4 pages.

(b) A preliminary thesis title/research topic should be presented.

(c) The contents should be divided into different sections. The suggested headings are listed below (not all of the components need to be presented in every prospectus) to serve as a general guide and indicate a basic order of presentation:

- Background

- Purpose of the Research

20 - Outline of the Thesis

- Literature Review

- Scope of the Study

- Research Methodology

- Expected Findings

- Selected References

(d) The research prospectus should be written in the same language of the thesis. For theses approved to be written in Chinese or another language, an English abstract of 200 to 500 words summarizing the content of the research prospectus should also be submitted.

(e) The prospectus should be submitted in hard copy and shall be returned to the student after confirmation of candidature.

Supervision

Appointment of Supervisors

Each graduate student shall be assigned one Principal Supervisor from the corresponding College of the University and one Co-supervisor from the same or another College of the University. They should be at the academic rank of Research Assistant Professor (or equivalent) or above. Normally, the College Head is responsible for assigning supervisors within the college. When it is desirable to access specific expertise elsewhere, an additional Co-supervisor may be appointed from another College or from outside the University.

Role of Supervisors

The major responsibilities of a Principal Supervisor are:

(a) to ensure that the student understands the postgraduate regulations

21 and that all requirements are complied with;

(b) to give orientation to the student as to the facilities, resources, library support and other services provided by the University;

(d) to advise the student on how to conduct research, and to develop the student’s skills in areas such as thesis writing, computing and data analysis, library searching, and the management of databases and archival material;

(e) to meet the student regularly to read and supervise his/her work, discuss and advise on any problems encountered and to set deadlines or work schedules;

(f) to monitor the student’s progress and instruct the student to follow proper procedures (e.g. submit bi-annual progress reports and the required documents for confirmation of candidature at appropriate time);

(g) to ensure that the student has completed and fulfilled the coursework requirements before the submission of his/her thesis for oral examination;

(h) to identify and recommend prospective external examiner(s) for the student;

(i) to read and comment on the student’s research thesis and to advise the student on possible revisions of the thesis before submission for examination;

(j) to serve as a member of the Board of Examiners in the Masteroral examination, or to serve as an invited member to give input in questioning the candidate in the PhD oral examination, if required;

(k) where appropriate, to advise the student on revisions of the thesis after the oral examination according to the comments of the Board of Examiners; and

(l) after the oral examination and on the final version of the thesis submitted by the student, to confirm that the student has made all

22 necessary changes as recommended by the Board of Examiners and the final thesis has been approved by him/her.

The responsibilities of a Co-supervisor are:

(a) to assist the Principal Supervisor in supervising the student, or serve in place of the Principal Supervisor when he/she is on approved leave;

(b) to read and comment on the student’s research prospectus and share any suggested revision with the Principal Supervisor;

(d) to act for the Principal Supervisor if required, as a member of the Board of Examiners in the Master oral examination, or as an invited member to give input in questioning the candidate in the PhD oral examination, in the absence of the Principal Supervisor.

Change of Supervisor(s)

Students requesting a change of supervisor(s) must complete the form Application for Change of Principal Supervisor/Co-supervisor and return it to the Graduate School.

Appointment of Examining Committees

For Master’s Candidates

The examining committee for master’s candidates completing theses should be composed of three members. One committee member must be from outside the CSE College.

For Doctoral Candidates

The examining committee for doctoral candidates should be composed of a minimum of five members—three from the CSE College (or relevant

23 disciplines at ZJU) with which the student has conducted research and two from outside the university.

Submission of the Thesis

Upon completion of the coursework requirements and the programme of supervised research, the student shall present a written thesis and satisfy the Board of Examiners in an oral examination.

Submission of the Thesis Title

The title of the thesis shall be submitted to the Graduate School by the student for approval, with endorsement by the Principal Supervisor, not less than 2 months before the presentation of the thesis, for the arrangement of the oral examination. Thereafter no modification of the title shall be made without approval.

Format of the Thesis Students are urged to refer to the section “Guidelines for the Format of Theses” before submission of their theses to the Graduate School for the arrangement of the oral examination. The thesis should contain an abstract of 200 to 500 words in English and/or 400 to 1000 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.

Submission of the Thesis

Before the oral examination

Master students are required to submit 4 copies of the thesis to the Graduate School for the 4 examiners (including the Principal Supervisor). PhD students are required to submit 6 copies for the 5 examiners and the Principal Supervisor. Students are required to seek their Principal Supervisor’s approval and have the thesis scanned by the anti-plagiarism software by completing the form “Notice of Unbound Thesis Submission”. The duly completed form, together with the similarity report, should be

24 submitted to the Graduate School with the unbound thesis. The thesis should be printed on both sides and submitted in unbound form using a ring folder. No unbound theses will be accepted without the Notice and the similarity report.

After the oral examination

After the oral examination, an unbound copy of the final thesis (printed on both sides) should be submitted to the Graduate School by the specified date for format checking. Thereafter, an electronic copy of the thesis should be submitted to the Graduate School. The electronic thesis copy shall be kept by the Library. A bound thesis copy should also be provided to your Faculty/School/AVA/Departments/Principal Supervisor if so required.

Oral Examination

Arrangement of the Oral Examination

Upon receipt of the reports from both the External Examiner and the Principal Supervisor, the Graduate School will send the Thesis Assessment Form (submitted by the Principal Supervisor and the External Examiner(s)) and also the Oral Examination Board Assessment Form (for completion by Chairman) and Individual Examiner’s Report (for completion by members) to the Faculty Dean’s office for distribution to the Chairman and members of the examination board. Such documents should be restricted for use by the examination board members only, except where specified. The Faculty Dean’s office will fix the details of the oral examination arrangements.

After the oral examination, each examiner should complete the above reports. As the Chairman of the Master examination board is a non-voting member, he/she is not required to complete the Individual Examiner’s Report. These forms should be submitted to the Faculty after completion.

25 After the Oral Examination

The Faculty shall submit the following documents to the Graduate School within 7 working days of the oral examination: (a) the completed Oral Examination Board Assessment Form; and (b) the completed Individual Examiner’s Reports. The Graduate School will inform the student of the result of the oral examination within 7 days of receiving the above documents from the Faculty.

Recommendation of the Board of Examiners

Undergo further oral and/or written examination(s)

If the Board of Examiners requires the student to undergo further oral and/or written examination(s), the procedures below have to be followed:

(a) after consultation with the Principal Supervisor, the Chair of the Board should file a joint recommendation (using the Oral Examination Board Assessment Form) in which a new date, within 6 months of the original examination date, is proposed for the re-examination. Furthermore, immediately after the initial examination, the Principal Supervisor should verbally inform the student the result of the examination and the Board’s recommendation;

(b) in the recommendation from the Board, the re-examination format should also be specified (i.e. oral examination only, written examination only, or both forms of examinations may be required);

(c) the recommendation as stipulated in (a) and (b) should be submitted to the Research Postgraduate Studies Committee for consideration and endorsement; and

(d) the Graduate School, immediately after the recommendation is endorsed by the Research Postgraduate Studies Committee, should inform the student within 7 days of the result of the oral examination, including the arrangements for the reexamination where appropriate.

Award of Master or PhD degree without any revisions

26 If the Board of Examiners recommends that the student be awarded the Master or PhD degree without any revisions, a copy of the final version of the thesis together with a confirmation memo from the Chair of Board of Examiners via the Principal Supervisor should be submitted to the Graduate School within 3 weeks from the date of the oral examination.

Award of Master or PhD degree with minor revisions

If the Board of Examiners requires the student to re-submit the thesis with minor modifications or revisions, the student should submit a copy of the revised version of the thesis (with changes highlighted as opposed to tracked changes) and a summary of changes made to the revised thesis to the Principal Supervisor. Thereafter, the final thesis and a confirmation memo on the revised final thesis from the Chair of Board of Examiners via Principal Supervisor should be submitted to the Graduate School on or before the deadline specified by the Board of Examiners.

Award of Master or PhD degree with substantial revisions

If the Board of Examiners requires a student to re-submit the thesis with substantial modifications or revisions, then an Master student is required to submit 4 copies of the revised thesis in unbound form using a ring folder (with changes highlighted as opposed to tracked changes), and a summary of changes made to the revised thesis, to the Graduate School for the 4 examiners (including the Principal Supervisor), in the case of a PhD student, 6 copies for the 5 examiners and the Principal Supervisor, on or before the deadline as specified by the Board of Examiners. In either case, if a Proxy is involved, the student must submit one more copy for the Proxy.

The Graduate School will send these theses to the Board of Examiners for reexamination. If the Board of Examiners is satisfied with the revised thesis, the student will be informed to submit a copy of the final version of the thesis together with a confirmation memo from the Chair of Board of Examiners via his/her Principal Supervisor to the Graduate School.

Conferment of the Degree

Students who have fulfilled the requirements of candidature and

27 coursework, submitted an acceptable thesis and satisfied the Board of Examiners, shall be recommended to the Senate, through the Research Postgraduate Studies Committee and Research Committee, for conferment of the degree of either Doctor of Philosophy or Master of Philosophy as appropriate.

Students will be notified of the Senate resolution. A graduation letter together with a testimonial and a transcript (student copy) (if applicable) will be issued to the student before the issuance of the official diploma.

The copyright of the research thesis shall be owned by the student, and all other intellectual property generated from the research thesis and those generated throughout the students’ study period shall be owned by the student and ZJU, depending on the degree of involvement and contribution to the original work.

The student shall make all intellectual property perpetually and freely available to the University for research and educational purposes, including posting the research outputs generated from the study on the institutional repository. The University may attempt to commercialize the intellectual property, but is obliged to obtain the student’s written consent before signing any agreement with any third party.

On the matter of obtaining written consents, the student will be contacted via his/her last registered address with the University. If a student is not contactable for three calendar months, only the written consents from the majority owners of the intellectual property is deemed sufficient for such purposes for commercialization of the intellectual property. The distribution of revenue so generated from commercialization of the intellectual property shall be governed by a separate agreement.

Nevertheless, the rights to any copyrightable materials or intellectual properties the production of which has been partially or fully financed by funds from a sponsor shall be disposed of in accordance with the terms of the contract or grant.

For students enrolled in joint programme with other universities, they

28 should refer to the terms and conditions on copyright and intellectual property as spelt out in the agreement and contract (if any).

In case of doubt, students should approach their Principal Supervisor in the first instance.

29 Guidelines for the Format of Thesis/ Dissertation

Applicability

These Guidelines shall apply to theses, published work and dissertations submitted for Doctorate and Master ’s degrees and should be read in conjunction with the Regulations for those degrees. Hereafter, the term “Thesis” shall be understood to include a thesis, published work submitted for the degrees of Doctor and Master of Philosophy and a dissertation. Though submission of a bound thesis copy is not mandatory, candidates are still required to prepare the thesis in accordance with the guidelines and if so required by the Supervisor to provide a bound thesis copy, the guidelines should also be followed.

Length of the Thesis

The thesis may not exceed 60,000 words, excluding appendices, except with the approval of the Graduate School and the recommendation of the supervisor. Any such recommendation and approval shall be regarded as an exception.

Writing Format

The thesis shall be presented in a permanent and legible form either in original typescript, plain paper photocopy or a comparably permanent process.

Paper Size

International A4 size 80 lb. paper of good and opaque quality shall be used for the thesis, which is recommended to be typed on both sides of the paper. In an exceptional case, paper other than international A4 size

30 may be used when the nature of the thesis requires it.

Spacing and Margins

All text material and preliminary pages, including the abstract, should be double-spaced. Notes, bibliographic references, and long quotations may be single-spaced. The document should be arranged as if it were to be single-sided. The left and right margins should be 1-1/2 inches wide. The top and bottom margins should be one full inch.

Font Size

As a general guideline, the lower-case x-height of characters shall not be significantly larger or smaller than 0.2 cm*. Double or one-and-a-half spacing shall be used, except for abstract, indented quotations or footnotes where single spacing shall be used.

Pagination

The title page should be lowercase Roman numeral “i” but not typed. Subsequent pages should be typed as “ii, iii,” etc., until the thesis proper is reached. The first page of the thesis proper is Arabic “1” and repeats the title only. Pagination appears within the one-inch margin, recommended about 3/4” from the top and right hand edges of the paper or 3/4” from the bottom edge of the paper, centered. Pagination that includes pages such as “10a,” “10b,” etc., should be avoided.

Order of the Contents

The final thesis or dissertation should be assembled in the order listed below:

1. Title page

The title page of the thesis shall give the following ordered information in Chinese or English, depending on the language in which the thesis is

31 written.

 The title

 The full name of the candidate (whose surname should be in BLOCK CAPITALS preceding his/her Chinese given names, and where an English Christian name is applicable, should follow the Chinese given names), to be identical with that shown on the ID card or passport.

 The degree for which the thesis is submitted.

 The name of the candidate’s Principal Supervisor.

 The name ‘Zhejiang University’.

 The month and year of submission.

2. Declaration

The declaration should be bound into the thesis before the abstract. The lower case Roman numerals shall start from this page.

3. Abstract

The abstract of contents and the certificate relating to composition and presentation shall be bound into the thesis before the acknowledgements. (required; 350 words or less for doctoral dissertations, 150 for the master’s thesis; both double-spaced)

4. Acknowledgments (optional)

The acknowledgements shall be bound into the thesis before the table of contents.

5. Table of contents

The table of contents shall be bound into the thesis before the main text.

6. List of Tables, Figures, Symbols and Abbreviation (if any)

List of Tables, Figures, Symbols and Abbreviation, if any, shall be bound into the thesis after the table of contents and before the main text.

7. Main Text

32  The main text shall be bound into the thesis before the appendices and bibliography and/or list of references.

 Whenever practicable, diagrams, maps, illustrations, computer printouts, published papers and tables shall be bound into the thesis at a point accompanying the corresponding text.

 Folded diagrams or charts included in the text shall be arranged so as to open out to the right.

 Photographic prints shall be on single weight paper or permanently mounted on cartridge paper for binding and shall be securely fixed in the thesis. The guideline on margins above should be observed. Illustrative material which cannot be conveniently bound in the text (such as maps and slides) shall be packaged in such a way that it can be bound with the thesis. If the amount of such material is substantial, it shall be gathered into a supplementary volume and packaged in a rigid container similar in format to the bound thesis. All loose materials shall 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.

8. Appendices and Bibliography and/or List of References

Appendices and bibliography and/or list of references shall be bound into the thesis after the main text.

9. Curriculum Vitae

A page of curriculum vitae of the author and page number is also required to form the last page of the thesis. A sample of the Curriculum Vitae is given as Annex 4.

Binding of the Thesis

After the examination, if so required to provide a bound copy, the thesis shall be formally bound in the following manner:

 The thesis shall be bound in boards covered in black material. The binding shall be of a fixed kind with leaves permanently and

33 appropriately secured.

 On the outside front cover shall bear in gold lettering the title of the thesis, the full name of the candidate, the degree for which the thesis is submitted, the name of the University and the year of submission. A sample of the front cover is given as Annex 5.

 The spine shall bear the following information in gold lettering:

 Zhejiang University – 2 cm from the bottom and across.

 The degree and year of submission – 7 cm from the bottom and across.

 Where lettering runs down the spine it shall be printed in such a direction that it is upright when the thesis is lying flat with the front cover uppermost.

Waivers

Where a candidate would meet with serious difficulty in complying with the provisions of these Guidelines, he or she may apply to the Graduate School for a particular Regulation(s) to be waived.

34 Contact Information

The International College

http://iczu.zju.edu.cn/english/redir.php?catalog_id=223

Offices Staff Tel. E-mail

Mr. LU Zhengzhong 87951717 [email protected]

Mr. HE Xudong 87951717 [email protected]

Mr. XU Weimin 87951386 [email protected] General Affairs Ms. ZHOU Xiaoling 87953399 [email protected]

Mr. CHENG chao 87953399 [email protected]

Ms. LU Tingting 87951456 [email protected]

Mr. TANG li 87952848 [email protected]

Mr. YI Honghui 87952848 [email protected] Master’s and PhD Ms. Zhu YI 87953101 [email protected] Program Ms.TANG Qin 87953101 [email protected]

Ms.PAN Yiyun 87953101 [email protected]

Ms. ZHOU Yan 87951718 [email protected] Chinese Language Mr. XU Xiaohang 87951718 [email protected]

Program(Long Mr. ZHUO Jiantong 87953089 [email protected] and short term) Ms. SUN Lin 87953089 [email protected]

Ms. CAI Dan 87951456 [email protected]

Ms.LIU Xianglu 87952398 [email protected]

35 Ms.LI Chenlu 87951456 [email protected]

Mr. XU Weimin 87953212 [email protected]

Ms. WU Jian 87951778 [email protected]

Mr. SHI Hong 87951778 [email protected] Teaching Affairs Ms. HUANG Jiyi 87952091 [email protected]

Ms. DONG Jing 87952091 [email protected]

Ms. LI Yanjian 87953389

Mr. HE Xudong 87951919 [email protected]

Mr. WANG Jian 87951816 [email protected]

Mr. FANG Xueyao 87951816 [email protected]

Student Service Ms. FAN Xiaohong 86971060 Center Mr. LIU Jinfu 86971061

Mr. ZHAO Jianan 87951207

Mr. JIANG Guigen 85235495

Ms. HONG Bin 87982846

The Graduate School

http://grs.zju.edu.cn/english/

The Mailing Address of Graduate School:

Graduate School, Yuquan Campus, Zhejiang University

No.38 , Zheda Road, Hangzhou, Zhejiang, China.

Post Code: 310027

Tel: +86-571-87951395 Fax: +86-571-87951395 Email: [email protected]

36 The College of CSE

http://cse.zju.edu.cn

HR Affairs Yeye Zhu (86)-571-87951135 [email protected]

R&D Affairs Ling Yu (86)-571-87952407 [email protected]

Undergraduate Yilin Xie (86)-571-87952458 [email protected] Student Affairs

Graduate Student Weihua Xu (86)-571-87952369 [email protected] Affairs

http://www.cse.zju.edu.cn/english/redir.php?catalog_id=358