To enhance the training quality and overall competence of doctoral candidates, and strengthen the competitive incentive mechanism of training graduate students, Southeast University conducts an annual comprehensive assessment of doctoral candidates, including political quality, ideology and morality, academic performance, research capability, and practical work skills. Based on this, doctoral candidates will be channeled into differentiated academic pathways (hereinafter referred to as the "Mid-term Assessment").
Ⅰ. Subject of Assessment
The Mid-term Assessment applies to all students who have obtained doctoral candidate status.
Ⅱ. Assessment Schedule
The Mid-term Assessment is scheduled to be completed by the end of the fourth semester after enrolment (by the end of the sixth semester for direct-entry PhD students). Doctoral candidates missing the scheduled Mid-term Assessment due to objective reasons shall apply for a deferral in advance. Upon approval by their supervisors, units, and the Graduate School, the Mid-term Assessment can be deferred once for one semester. Those who fail to attend the Mid-term Assessment for no reason may not apply for an extension and will be treated as failing the Mid-term Assessment (Paragraph 5 of Article 5).
Ⅲ. Assessment Scope
The assessment consists of two parts: quality assessment and performance assessment.
1. Content of Quality Assessment
(1) Students' ideological orientation and behavioral conduct in the following areas: acquisition of the Fundamental Principles of Marxism, adhering to the Four Cardinal Principles, and complying with all rules and regulations of China and Southeast University.
(2) Their academic attitudes, professional conduct, moral qualities and teamwork spirits.
(3) Independent research skills and competence, as evidenced in doctoral candidates' literature review, proposal, specialized reports and published academic papers.
2. Content of Performance Assessment
(1) Completion of doctoral coursework (academic performance and credits) in their training programs within the prescribed time.
(2) Completion and quality of proposals.
(3) Interim research outcomes and published papers.
(4) Participation in academic activities.
Ⅳ. Assessment Criteria
1. A doctoral candidate will be deemed to fail the quality assessment if any of the following circumstances occur:
(1) Seriously violate the Four Cardinal Principles or have serious moral issues.
(2) Lack of diligence or commitment in studies and research; show disrespect toward the supervisor, which hinders the supervisor to fulfil his/her mentoring responsibilities; and refuse to correct his/her errors despite repeated education (including doctoral candidates whom the supervisor deems unfit for further academic training with sufficient and objective reasons).
(3) Engage in falsification, plagiarism, or misappropriation of others' work in their literature review, proposal, specialized reports, or published academic papers; those whose independent analytical and problem-solving abilities, as well as research aptitudes, fall considerably short of the expected standard.
2. A doctoral candidate fails the performance assessment if any of the following circumstances occur:
(1) Having not completed the coursework stipulated in the training program for doctoral candidates.
(2) Failing to complete the proposal on time due to subjective reasons, or failing to pass the first proposal followed by failure of a second attempt conducted as required by regulations.
(3) Seriously insufficient in research achievements, published papers and participation in academic activities.
V. Assessment Method
1. Any doctoral candidate who has passed both the quality assessment and performance assessment is permitted to start or proceed with his/her doctoral dissertation.
2. Any doctoral candidate who fails the quality assessment shall be dismissed from Southeast University.
3. Any doctoral candidate who only fails the performance assessment shall be given an assessment warning. In terms of students joining the combined master's and doctoral programs and direct-entry students, if they meet the master's training requirements, they are permitted to transfer to the master's program in the same or similar major under the same discipline after they submit the transfer application, receive the consent of their supervisors and Schools/Colleges, and get the approval of the Graduate School within half a year. Other doctoral candidates who receive an assessment warning will retake the performance assessment one year later. Any student who fails again will be discontinued from the doctoral program. For graduate students who are transferred from doctoral to master's programs, the total duration of their training shall, in principle, not exceed the maximum course duration prescribed for master's students.
4.Should any disciplinary violation by a graduate student be identified during the quality assessment that falls within the scope of the relevant articles of the Regulations on Disciplinary Action for Students of Southeast University, the Regulations shall be followed.
5.If doctoral candidates fail to take the Mid-term Assessment without valid reasons, they will be expelled.
VI. Organization and Assessment
The Party and administrative heads overseeing graduate education in Schools/Colleges (Departments, Institutes) shall take overall charge of the Mid-term Assessment of doctoral candidates. An assessment group (made up of three or more doctoral supervisors and professors, with one member appointed as the chair) shall be established for each doctoral program to conduct the Mid-term Assessment of doctoral candidates within the discipline and major.
1. Doctoral candidates who participate in the assessment shall write a self-summary based on the assessment scope. The written self-summary shall be filled out in the Self-Summary column of the Mid-term Assessment Form for Doctoral Candidates (hereinafter referred to as the "Assessment Form") , and shall be delivered as an oral report during the assessment group meeting.
2. The supervisor shall engage in a formal discussion with the doctoral candidate eligible for the Mid-term Assessment on assessment requirements, and write comments on the student's performance in the Supervisor's Comments column of the Assessment Form.
3. The Graduate Secretary of a School/College (Department, Institute) shall accurately fill out required materials and information in the Performance Assessment Materials column of the Assessment Form according to the requirements specified in Paragraph 2 of Article 3 and Paragraph 2 of Article 4 of the Regulations.
4. Based on doctoral candidates' presentation of their self-summary and the information documented in the above-mentioned materials, the assessment group shall deliberate upon the doctoral students participating in the Mid-term Assessment, write comments on their quality and performance in the Assessment Group Comments column of the Assessment Form, and clearly indicate whether they have passed or not (All members of the assessment group are required to affix their signatures.). If members of the assessment group have different opinions, a vote may be conducted to determine whether the doctoral student passes, and the voting result must be recorded.
5. The Party and administrative heads overseeing graduate education in Schools/Colleges (Departments, Institutes) shall write comments in the Unit Opinion column of the Assessment Form, affix the official stamp, and submit the form to the Graduate School for review. Upon approval, the Graduate Secretaries of Schools/Colleges shall place it into the doctoral candidates' files.
6. Within one week after completing the Mid-term Assessment, the Graduate School shall report the assessment results to each training unit, which shall promptly inform related doctoral students. For those who fail, the training units shall issue a timely notification that they must retake the assessment one year later.
7. The Graduate School conducts random inspections and evaluations on the Mid-term Assessment of doctoral students of Schools/Colleges (Departments, Institutes).
Ⅶ. The Measures shall be interpreted by the Graduate School.
