BO GIAO Dl)C vA DAo TAOTRU'CrNG D~I HQC SU' PH~M KY THU~T

THANH PHD HO cHi MINH

SO:2111f /QD-DHSPKT

CONG HOA xA HOI CHU NGHIA VI~T NAMD(>c l~p - Tl! do - HC;1nhphuc

Tp. Ho Chi Minh, ngay 26 thang 10 nom 2015

QUYETDJNHBan hanh Quy trinh va cac bieu m~u lien quan den bao v~ lu~n an cap TrU'O'ng

Hltu TRU'O'NGTRU'O'NGD~I HOCSU'PH~M KY THU~T TP.HCM

Can cli' Quyet dinh so 118/2000/QD-TTg ngay 10 thang 10 narn 2000 cua Thutlfang Chinh phu ve vi~c thay dai to chli'c cua De;tihQc Quoc gia TP. Ho Chi Minh, tachTrlfang De;tihQCSlf phe;trnKy thu~t Tp.HCM tr\l'c thu9C B9 Giao d\lc va Dao te;to;

Can cli' Quyet dinh so 70/2014/QD-TTg ngay 10/12/2014 cua Thu tlfangChinh phu ve ban hanh Dieu l~ trlfang De;tihQc;

Can cli' Thong ttl' so 10/2009 /TT -BGDDT ngay 07/5/2009 cua B9 Giao d\lc vaDao te;tOve vi~c Ban hanh Qui che dao te;tOtrinh d9 tien sl;

Can cli' Thong tlf so OS/2012/TT-BGDDT ngay 15/02/2012 cua B9 Giao d\lc vaDao te;tOve vi~c slra dai, ba sung rn9t so dieu cua Quy che dao te;tOtrinh d9 tien SI banhanh kern theo Thong tlf s010/2009/TT-BGDDT ngay 07/5/2009 cua B9 trmyng B9Giao dl;lCva Dao te;tO;

Can cli' de xu at cua Trmyng phong Dao te;tO,QUYETD!NH:

Dieu 1. Ban hanh kern theo Quyet dinh nay la Quy trinh va cac bieu rn~u lienquan den bao v~ lu~n an tien sl cap Trlfang.

Dieu 2. Quyet dinh nay co hi~u h;fCthi hanh va ap dl;lng ttr khoa tuyen sinh narn2012.

Dieu 3. Phong Dao te;tO,Khoa/Vi~n quan nganh dao te;tOtrinh d9 tien sl, cacnghien Cll'llsinh va Trlfl:yng cac dan vi co lien quan chtu trach nhi~rn thi hanh Quyetdtnh nay. oJ

Quyet dtnh co hi~u l\l'c ke ttr ngay ky./. ~

NO'; nhgn:- BGH (oe chi 0,,10);- Khoa/Vi~n quan nganh;- NCS cac kh6a;- LlYu: VT, SDH (2b).

o

BO GIAODI)C vA BAo TAoTRU'CrNG D~I HQC SU' PH~M KY THU~T

THANH PHO HO CHi MINH

CONG HOA xA HOI CHl) NGHiA VI~T NAMDQc l~p - T\f do - H~nh phuc

QUYDJNHQuy trinh va bieu m~u lien quan den bao v~ lu~n an cap TrU'Crng

(Ban hanh kern thea Quyet d,inh s02/f.(,.VQfJ-fJHSPKT ngay 26/10/2015 clla

Hi~u trU'&ng trU'&ng fJ(J.ihQc SU'ph(J.rn Ky thugt Tp.HCMJ

ChU'O'ngIQUY DJNH CHUNG

Dieu 1. PhC;lmvi va d6i tU'Q'ngap d\lngQuy djnh nay dlfl;rCap dl,mg doi v&i tat ca nghH~n Cll'llsinh (NCS) dang tham gia

hQc t~p va nghien ClrU te;ti trU'ang De;tihQc SU' phe;tm Ky thu~t Tp.HCM (DH SPKTTp.HCM).

ChU'O'ngIIQUY DJNH VE BAo V~ LU~N AN CAP TRU'O'NG

Dieu 2. Dieu ki~n de nghien cuu sinh dU'Q'cde nghj bao v~ lu~n an:a) Da hoan thanh trong thai gian quy djnh lu~n an, chU'O'ngtrlnh hQc t~p va cac

yeu diu quy djnh te;ticac Dieu 17, 18, 19, 20 va 22 cua Thong tU' so 10/2009/TT-BGDDT ngay 07/5/2009 cua BQGiao d\lc va Dao te;tOve vi~c Ban hanh Qui che daote;tOtrlnh dQ tien Sl va Thong tU' so OS/2012/TT-BGDDT ngay 15/02/2012 cua BQGiao d\lc va Dao te;tOve vi~c slra dai, ba sung mQt so dieu cua Quy che dao te;tOtrlnhdQ tien Sl ban hanh kern theo Thong tU' so 10/2009/TT-BGDDT ngay 07/5/2009 cuaBQtrU'ang BQGiao d\lc va Dao te;tO(sau day gQi tat la TT 10/2009).

b) Lu~n an dap lrng cac yeu cau quy djnh te;tiDieu 20 va Dieu 30 cua TT10/2009 va quy djnh cua Nha TrU'ang. Khuyen khich nghien ClrUsinh viet va bao v~lu~n an bang tieng Anh.

c) NCS da chinh slra hoan thi~n lu~n an theo Nghj quyet cua HQi dong danh giacap cO'sa (te;tiphien h9P cuoi cling HQidong b6 phieu tan thanh).

d) NCS hi~n khong bj ky lu~t tli' hinh thuc canh cao tra len.e) Hoan thanh hQc phi theo dung Quy djnh cua TrU'ang.

Dieu 3. Ho sO'de nghj cho nghien cuu sinh bao v~ lu~n an cap trU'Crng1. Tren cO'sa y kien ket lu~n cua HQidong danh gia lu~n an cap cO'sa, NCS hoan

thi~n ho sO'glri Hi~u trU'ang (nQp qua phong Dao te;to)de nghj cho NCS bao v~ lu~nan cap trU'ang.

2. Ho sO'de nghj bao v~ lu~n an cua nghien cuu sinh:a) Bien ban chi tiet nQi dung thao lu~n te;ticac phien h9P danh gia lu~n an cap cO'

sa, co chfr ky cua Chu tjch HQi dong va ThU' ky;b) Ban giai trinh cac diem da ba sung va slra chfra cua nghien cuu sinh sau m6i

phien hQp cua HQi dong cap cO'sa, co chfr ky xac nh~n va dong y cua Chu tjch HQi1

dong, hai ngU'('yiphan bi~n lu?n an, nhfrng thanh vien co y kien de nghj b6 sung suaehfra va Trlfang dan vj ehuyen man;

c) Hai ban nh?n xet ella hai ngU'('yiphan bi~n lu?n an;d) Danh saeh cae dan vj va ca nhan dlf9'e gui tom bh lu?n an;d) Ban sao h9'P l~ bang tot nghi~p d<;lihQe, bang th<;lC51 (neu co);e) Ban sao h9'P l~ bang diem cae hQc ph~m clla chlfO'ng trlnh dao t<;loth<;lC51, cae

hQe ph~m b6 sung (neu co), cac hQc ph~m ella chlfO'ng trinh dao t<;lOtrinh d9 tien 51,

cac ehuyen de tien 51, diem tieu lu?n t6ng quan va chlmg chi ngo<;lingfr clla nghienCll'Usinh;

g) Ban sao quyet djnh eong nh?n nghien Cll'Usinh va quyet djnh ve nhfrng thayd6i trong qua trinh dao t<;lO(neu co);

h) Van ban dong y ella cae dong tac gia (neu co cong trinh dong tac gia);i) Ban giai trinh cac diem da b6 sung va sua ehfra clla nghien Cll'Usinh thea y

kien ella cac phan bi~n d9C l?p co chfr ky xae nh?n va dong y nglf(Yi hU'(yng d~n vaTrlfang dan vj chuyen man;

k) Ban ke khai danh ml;lc va sao chl;lP nhfrng bai baa, cong trinh eong bo lienquan den de tai lu?n an clla nghien Cll'Usinh (8 ban);

1) Lu?n an va tom tat lu?n an da dlf9'c b6 sung, stra chfra tren Co'sa tiep thu ykien ella cac phan bi~n dge l?p (8 ban);

m) Trang thong tin ve nhfrng dong gop m&i ve m~t hQe thu?t, ly lu?n clla lu?nan (bang tieng Vi~t va tieng Anh) da dlf9'c b6 sung, stra chfra tren Co'sa tiep thu ykien ella cac phan bi~n d9C l?p. N9i dung gam: ten lu?n an; ten chuyen nganh va rnaso; ten nghien Cll'Usinh va khoa dao t<;lO;chll'e danh khoa hQc, hQe vi, ten nglfCYihlf&ng d~n; ten Co'sa dao t<;lo;n9i dung ngan gQn nhfrng dong gop m&i ve m~t hQcthu?t, ly lu?n, nhfrng lu?n diem m&i rut ra dlf9'c ttr ket qua nghien ell'u, khao sat cllalu?n an; chfr ky va hQ ten clla nghien Cll'Usinh (8 ban).

n) Gtri file PDF toan van lu?n an, tom tat lu?n an (bang tieng Vi~t va tieng Anh)va trang thong tin nhfrng dong gop m&i ve m~t hQc thu?t, ly lu?n, lu?n diem m&i vekhoa hQCva thl;l'c ti~n clla lu?n an (bang tieng Vi~t va tieng Anh) vao dja chi email:sdh@hcmute.edu.vn.

j) Dan dang ky baa v~ lu?n an cap trlfcyng.0) Cac ml;lc a, c, d, e, g do Phong Dao t<;lOchuan bi, cac ml;lc can l<;liNCS se ehuan

bj va gtri cho Phong Dao t<;lo.Dilm 4. Cac bh~um~ulien quan den HQidong cap TrucYng.

Cac m~u dan, m~u xac nh?n, m~u phieu nh?n xet/danh gia lien quan den rnah9i dong danh gia cap Tnl'cyng dlf9'c ban hanh kern thea Phl;lCll;lenay:

1. Ban nh?n xet clla giang vien phan bi~n (BM04-DT-BVCT);2. Ban nh?n xet clla cac thanh vien h9i dong (BMOS-DT-BVCT);

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3. Phieu danh gia ket qua baa v~ lu~n an cap Trlfang - Danh cha t(;liphH~n hQp(BM06-DT -BVCT);

4. Phieu diu hoi cha nglfai tham gia (BM07-DT-BVCT);5. Bien ban phH~n hQp danh gia lu~n an cap Trlfang (BM08-DT-BVCT);6. Phieu bieu quyet thong qua lu~n an (BM09-DT-BVCT)7. Nghi quyet clla HQidong (BM10-DT-BVCT);

Dieu 5. Chuan b! hQp HQi dong danh gia lu~n an cap TrU'Crng1. Nhi~m v~ elm nghien ezru sinhSau khi co Quyet dinh thanh l~p HQi dong danh gia lu~n an tien Sl cap Trlfang

va ngay baa v~, nghien cuu sinh haan thanh cac nQi dung sau:a) NCS gtri Lu~n an, tom tat lu~n an cha Thlf vi~n Trlfang va dam baa dlfQ'C

trlfng bay a phang dQCclla thlf vi~n Trlfang it nhat 30 ngay trmyc ngay baa v~ (coxac nh~n clla Thlf vi~n);

b) NCS hoan thanh vi~c cong khai thai gian, dia diem baa v~ lu~n an, ten de tailu~n an clla nghien cuu sinh tren baa Sai Gan Giai Phong ha~c baa Nhan Dan, trlflYCngay baa v~ it nhat 10 ngay de nhfrng nglfai quan tam co thai gian tIm hieu lu~n anva tham dl;l'phien baa v~ (trtr cac lu~n an baa v~ m~t) (co xac nh~n clla cO'quan baadai);

c) Gtri cha Phang Daa t(;la 50 quyen tom tat lu~n an da dlfQ'Cbo sung, stra chfratren cO'sa tiep thu y kien clla cac phan bi~n dQc l~p de glri den cac nha khaa, cac tochuc khaa hQc thea danh sach da dlfQ'CHQidong baa v~ cap cO'sa thong qua.

2. Nhi~m v~ eua Phong Dao tgoa) Chuyen Quyet dinh thanh l~p HQi dong danh gia lu~n an tien Sl cap Trlfang,

Thlf mai phan bi~n/nh~n xet lu~n an kern mau ban nh~n xet lu~n an, quyen lu~n anva t~p cong trlnh khaa hQc da cong b6 clla nghien cuu sinh va trang thong tin venhfrng dong gop m&i ve m~t hQc thu~t, ly lu~n clla lu~n an (bang tieng Vi~t va tiengAnh) t&i 3 nglfai phan bi~n lu~n an va cac thanh vien HQi dong;

b) Chuyen thlf mai nh~n xet kern thea quyen tom tat lu~n an va mau ban nh~nxet tom tat lu~n an den to chuc va ca nhan co trang danh sach da dlfQ'CHi~u trlfangduy~t;

c) Cong khai thong tin ve lu~n an, tom tat lu~n an (Tieng Vi~t va Tieng Anh) vaban tom tat nhfrng dong gop m&i clla lu~n an tren website clla Trlfang(sdh.hcmute.edu.vn) va gtri den dia chi duatin@maet.edu.vn clla BQGiaa dl;lCva Daat(;la.

d) Tong hQ'p nQi dung cac ban nh~n xet lu~n an (trtr ban nh~n xet clla cac phanbi~n) va tom tat lu~n an cua cac nha khaa hQc.

d) Cac ho sO' cha HQi dong danh gia lu~n an cap Trlfang hQp do Phang Baa t(;lachuan bi. Nghien cuu sinh khong dlfQ'Ctham gia vaa qua trlnh chuan bi va to chucdanh gia lu~n an.

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Dieu 6. To chuc bao v~ lu~n an1. Lu~n an phai dU'Q'cto chfrc baa v~ cong khai. Nhfrng de tai lien quan t&i bi

m~t quac gia dU'Q'cto chfrc baa v~ thea quy d!nh t<J.iDieu 39 cua TT 10/2009.Vi~c baa v~ lu~n an phai mang tinh chat traa doi hQc thu~t, phai baa dam tinh

nguyen tac va neu caa d<J.adfrc khaa hQc, qua d6 tac gia lu~n an the hi~n trinh dQ vasty hieu biet sau rQng ve IInh vtyc chuyen man cua minh trU'ac nhfrng thanh vientrang HQidong va nhfrng ngU'ai quan tam.

2. Sau khi nh~n du 07 ban nh~n xet lu~n an cua cac thanh vien HQi dong va taithieu 15 ban nh~n xet quyen t6m tat lu~n an cua cac to chfrc va ca nhan, HQi dongdanh gia lu~n an cap trU'ang se tien hanh hQp.

HQi dong khong to chfrc hQp de danh gia lu~n an neu xay ra mQt trang nhfrngtrU'ang hQ'p sau day:

a) Yang m~t chu t!ch hQi dong;b) Yang m~t thU' ky hQi dong;c) Yang m~t ngU'ai phan bi~n c6 y kien khong tan thanh lu~n an;d) Yang m~t ttr hai thanh vien hQi dong tra len;d) Nghien cfru sinh dang b! ky lu~t ttr hinh thfrc canh caa tra len;e) Khong dap frng mQt trang cac dieu ki~n quy d!nh t<J.ikhaan 2 Dieu 36 cua TT

10/2009.g) C6 hai nh~n xet cua thanh vien HQi dong khong tan thanh lu~n an. TrU'ang

hQ'p nay lu~n an dU'Q'cxem la khong d<J.tyeu cau, khong dm phai to chfrc baa v~ lu~nanDieu 7. Bao v~ IC;lilu~n an

1.Neu lu~n an khong dU'Q'cHQi dong danh gia lu~n an cap trU'ang thong qua thinghien cfru sinh dU'Q'cphep stra chfra lu~n an va de ngh! baa v~ Ian thfr hai mUQnnhat trU'&c 24 thang ke ttr ngay baa v~ Ian thfr nhat nhU'ng v~n dam baa thai gian taida cha phep trinh lu~n an de baa v~ t<J.iml;lc 7. Dieu 23 cua TT 10/2009.

2. Thanh ph~m HQi dong danh gia lu~n an nhU' HQi dong danh gia lu~n an Ianthfr nhat. Neu c6 thanh vien yang m~t, Hi~u trU'ang bo sung thanh vien khac thaythe.

3. Khong to chfrc baa v~ lu~n an Ian thfr ba.4. Qua thai h<J.n24 thang ke ngay baa v~ Ian thfr nhat, lu~n an khong dU'Q'cdU'a

ra baa v~.5. Quy d1nh chi tiet thu tl;lc va trinh tty to chfrc cha nghien cfru sinh baa v~ l<J.i

lu~n an giang nhU' baa v~ Ian dau.

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ChU'O'ngIIIQUIT~NHBAov~LU~NANCKpTRU~NG

Dieu 8. Quy trinh danh gia lu~n an cap TrU'o-ng

Nghien ell'll sinh nQp ho sO'de nghj rna hQi dong danh

gia cap Tnl'Crng

f)~T

Phong Dao tc:lOthong baoKhoa de xu at hQi dong

Ra quyet djnhthanh l~p HD

Glri ho sO'den cae thanhvien hQi dong

KHONG f)~T

KHONG f)AT

HD tharn djnh. Hoan thi~nho sO'cap bang Tien 51

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NCS nQp l<;lilu~n andil duge ehinh slra

KHONGTAN THANH

to

KHONG f)~T

Dieu 9. Trinh tl! buoi danh gia lu~n an cap TrU'frng1. HQi dong hQp phH~n tru bi kiem tra cac dieu ki~n to chlrc phi en hQp hQi dong

danh gia lu~n an cap TrU'ang, chi cho NCS baa v~ khi cac thanh vien hQi dong thongnhat.

2. TrU'lyng Phong Dao t'?o tuyen bo ly do, cang bo quyet dinh thanh l~p HQidong danh gia lu~n an cap TrU'lyng cua Hi~u trmyng, sau d6 chuyen quyen dieu hanhbuoi baa v~ cho Chu tich HQi dong.

3. Chu tich HQi dong cang bo danh sach thanh vien HQi dong c6 m~t, cac dieuki~n chuan bi cho buoi baa v~ va cang bo chU'O'ngtrlnh lam vi~c.

4. Nghien ClrUsinh trlnh bay nQi dung lu~n an (lU'u y: khang dU'qc dQc ban t6mtat lu~n an), thai gian trlnh bay khang qua 30 phut.

5. Ba can bQ phan bi~n mn lU'qt dQc ban nh~n xet lu~n an.6. ThU' ky HQi dong dQc ban tong hqp nQi dungcac ban nh~n xet lu~n an (Chu

tich, ThU' ky, Oy vien) va t6m tat lu~n an cua cac nha khoa hQc.7. Thanh vien HQi dong va nhfrng ngU'ai tham dty d~t diu hoi ho~c g6p y ve

nhfrng ket qua da d'?t dU'qc, nhfrng diem mai cua lu~n an, nhfrng van de chU'a giaiquyet dU'qc va nhfrng diem din bo sung ho~c slra chfra.

8. NCS giai trlnh ve cac y kien nh~n xet quyen t6m tat lu~n an, tra lai cac dIu hoidU'qc neu ra va cac y kien trao doL

9. Khi khang can van de tranh lu~n ho~c cac van de da dU'qc lam r6, HQi donghQp rieng:

- HQi dong bau ban kiem phieu gam 1 TrU'lyng ban, 1 ThU' ky va 1 Oy vien saud6 tien hanh bo phieu danh gia lu~n an. Lu~n an dU'qc danh gia bang hlnh thlrc bophieu kin. Cac thanh vien HQi dong chi dU'qc bo phieu tan thanh ho~c khang tanthanh. Phieu trang dU'qc coi la phieu khang tan thanh. Lu~n an d'?t yeu cau khi c66/7 ho~c 5/6 thanh vien HQi dong c6 m~t bo phieu tan thanh.

- HQi dong thaa lu~n de thong qua Quyet nghL trong d6 ghi r6 (BMI0-DT-BVCT):

a) Ket qua b6 phieu danh gia lu~n an cua HQi dong;b) Nhfrng ket lu~n khoa hQc cO' ban, nhfrng diem mai, d6ng g6p mai cua lu~n

an;c) CO'sa khaa hQC,dQ tin c~y cua nhfrng lu~n diem va nhfrng ket lu~n neu trong

luan an;d) Y nghla ve ly lu~n, thtyc ti~n va nhfrng de nghi Slr d\lng cac ket qua nghien

ClrUcua lu~n an;d) Nhfrng thieu s6t ve nQi dung va hlnh thlrC cua lu~n an;e) Mlrc dQ dap lrng cac yeu cau cua lu~n an;g) Nhfrng diem can bo sung, slra chfra (neu c6) trU'ac khi nQp lu~n an cho ThU'

vi~n Quoc gia Vi~t Nam;

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h) Kien nght cua HQi dong ve vi~c cong nh~n trinh dQ va cap bang tien 51chonghH~n clm sinh.

10. Nght quyet cua HQi dong phai dU'qc cac thanh vien HQi dong nhat tri thongqua bang bieu quyet cong khai. Chu ttch HQi dong cong b6 Quyet nght cua HQi dong.(BMI0-BT -BVCT)

ChU'O'ngIVTHAM DlNH LU~N AN

Dieu 10. Tham dinh ho sO'qua trinh dao ~o va chat IU'Q'nglu~n an1. Vao tuan cu6i cua cac thang chan trong nam, Nha Trlf(yng g&i BQGiao dl;lCva

Baa t(;lOdanh sach NCS baa v~ lu~n an trong 2 thang trU'ac do, kern thea ho sO' cuatil'ng NCS baa gam:

a) Ban sao quyet dtnh thanh l~p HQi dong danh gia lu~n an cap cO'So' va HQidong danh gia lu~n an cap trU'ang;

b) Ban sao bien ban va nght quyet cua tat ca cac phien hQp cua cac HQi dongdanh gia lu~n an;

c) Ban sao nh~n xet cua cac phan bi~n dQc l~p;d) Trang thong tin nhfrng dong gop mai ve m~t hQc thu~t, ly lu~n cua lu~n an

bang tieng Vi~t va tieng Anh;d) Tom tat lu~n an.2. Vi~c tham dtnh ho sO'qua trinh dao t(;lo,nQi dung va chat lU'qng lu~n an dU'qc

BQGiao d\lc & Baa t(;lOthtyc hi~n trong cac trU'ang hqp sau:a) Tham dtnh ng~u nhien: rut xac suat trong 56 ho sO' lu~n an da baa v~ thea

baa cao cua Nha trU'ang de tham dtnh;b) Khi co dan thU' khieu n(;li,t6 cao ve ho So' qua trinh dao t(;lo,nQi dung va chat

lU'qng lu~n an.3. S6 lU'qng ho So', lu~n an dU'qc tham dtnh khong it han 30% 56 lu~n an baa v~

trong nam cua Nha trU'ang. Trang thai gian 10 ngay lam vi~c ke til' ngay nh~n dU'qcbaa cao cua Nha trU'ang, BQGiao d\lc va Baa t(;lOra soat baa cao va co van ban thongbaa cho Nha trU'ang cac trU'ang hqp can tham dtnh va nQi dung can tham dtnh cuamoi trU'ang hqp.

ChU'O'ngVTO CHUC THl)'C HI~N

Dieu 11. Trach nhi~m to ch.rc thl!c hi~nNghien clm sinh va cac dan v!, ca nhan lien quan can ClYvao qui djnh nay de

thtyc hi~n. ~

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