T大博士学位研究生培养规定说：博士学位论文是博士生在指导教师指导下独立完成的、系统完整的学术研究工作的总结，应当体现博士生在所在学科领域做出的 创造性 学术成果，应当反映博士生已经掌握坚实宽广的基础理论和系统深入的专门知识，并具备独立从事学术研究工作的能力。 很多大学的博士学位论文都有“原创性声明”，如下图： 这里的“原创性”，是与抄袭等学术不端行为对立的意思；但，更应该理解为广义的“原创性”，即如下所述的意思。 从国内外大学对博士学位论文的要求看，最重要的指标是“原创性”（ORIGINALITY）。 如何界定博士论文的原创性？ Phillips与Pugh 在《How to get a PhD》著作中，提出了博士论文原创性的15个标准，其中后6个标准来自Francis（1973）。具体如下： 1）进行了前人（前无古人）的经验实证研究。 2）进行了前人（前无古人）的综合集成性研究。 3）对已有的材料进行了全新的解释。 4）进行了虽然国外已经有人做过，但是国内尚无人做过的研究。 5）将某种方法应用到一个新的领域。 6）为旧议题找到了新的重要证据。 7）从事跨学科研究或者应用多种不同的方法进行研究。 8）研究学科中前人从来没有探索过的新领域。 9）通过前人从未采用过的方式增添了新知识。 10）首次提出了某种重要的新信息。 11）沿着前人的原创性工作接续往下做。 12）开展导师提出的原创性科研思路。 13）提出了一个原创性的技术、观察发现或研究结果。 14）提出了很多原创性的思路、方法和解释，它们后来都被人接着往下做。 15）在检验前人的想法或假说或观点方面具有独创性。 如果满足其中一条或多条标准，即可认为该博士论文具有原创性。当然，博士学位论文的原创性，是高低层次之分的。 值得指出的是，即使博士论文答辩通过，也不一定能获得博士学位，它只是获得博士学位的一个绝对必要的硬杠杠。很多大学对博士论文做这样的说明： Dissertation submitted to XXX university in partial fulfillment of the requirement for the degree of Doctor of Philosophy 另外，国内外很多大学或学院或导师还要求，博士生必须发表一定数量的学术论文或其他形式的学术创新成果，才能申请答辩或取得博士学位。 相关： 破除“唯SCI”论文作为获得博士学位的硬杠杠 http://blog.sciencenet.cn/blog-71079-1176438.html 致谢：本文参考了谢LI和douban的翻译，略做校对。 补充中译本翻译：
4.0. Introduction This chapter examines the linguistic definition of the Chinese word and establishes its formal representation in CPSG95. This lays a foundation for the treatment of Chinese morpho-syntactic interface problems in later chapters. To address issues on interfacing morphology and syntax in Chinese NLP, the fundamental question is: what is a Chinese word? A proper answer to this question defines the boundaries between morphology, the study of how morphemes combine into words, and syntax, the study of how words combine into phrases. However, there is no easy answer to this question. In fact, how to define Chinese words has been a central topic among Chinese grammarians for decades (Hu and Wen 1954; L. Wang 1955; Z. Lu 1957; Lin 1983; Lü 1989; Shi 1992; Dai 1993; Zhao and Zhang 1996). In late 50's, there was a heated discussion on the definition of Chinese word in China. This discussion was induced by the campaign for the Chinese writing system reform ( wenzi gaige yundong ). At that time, the government policy was to ultimately replace the Chinese characters ( hanzi ) by a Romanized writing system. The system of pinyin , based on the Latin alphabet, was designed to represent the pronunciation of the characters in the Contemporary Mandarin. The simplest way is to use pinyin as a writing system and simply translate Chinese characters into syllables in pinyin . But it was soon found impractical due to the many-to-one correspondence from hanzi to syllable. Text in pinyin with no explicit word boundary delimiters is hardly comprehensible. Linguists agree that the key issue for the feasibility of a pinyin -based writing system is to establish a standard or definition for Chinese words (Z. Lu 1957). Once words can be identified by a common standard, the pinyin system can in principle be adopted for recording the Chinese language by using space and punctuation marks to separate words. This is because the number of homophones at the word level is dramatically reduced when compared with the number of homophones at the hanzi (morpheme or mono-syllabic) level. But the definition of a Chinese word is a very complicated issue due to the existence of a considerable amount of borderline cases. It has never been possible to reach a precise definition which can be applied to all circumstances and which can be accepted by linguists from different schools. There have been many papers addressing the Chinese wordhood issue (e.g. Z. Lu 1957; Lin 1983; Lü 1989; Dai 1993). Although there are still many problems in defining Chinese words for borderline cases and more debate will continue for many years to come, the understanding of Chinese wordhood has been deepened in the general acknowledgement of the following key aspects: (i) the distinct status of Chinese morphology; (ii) the distinction of different notions of word; and (iii) the lack of absolute definition across systems or theories. Almost all Chinese grammarians agree that unlike Classical Chinese, Contemporary Chinese is not based on single-morpheme words. In other words, the word and the morpheme are no longer co-extensive in Contemporary Chinese. In fact, that is the reason why we need to define Chinese morphology. If the word and the morpheme stand for the same linguistic object in a language, like Classical Chinese, the definition of morpheme will entail the definition of word and there is no role of morphology. As it stands, there is little debate on the definition of morpheme in Chinese. It is generally acknowledged that each syllable (or its corresponding written form hanzi ) corresponds to (at least) one morpheme. In a characteristic ‘isolating language’ - Classical Chinese is close to this, there is no or very poor morphology. However, Contemporary Chinese contains a significant number of bound morphemes in word formation (Dai 1993). In particular, it is observed that many affixes are highly productive (Lü et al 1980). It is widely acknowledged that the grammar of Contemporary Chinese is not complete without the component of morphology (Z. Lu 1957; Chao 1968; Li and Thompson 1981; Dai 1993; etc.). Based on this widely accepted assumption, one major task for this thesis is to argue for the proper place to cut the line between morphology and syntax, and to explore effective ways of interleaving the two for analysis. A significant development concerning the Chinese wordhood study is the distinction between two different notions of word: grammar word versus vocabulary word . It is now clear that in terms of grammar analysis, a vocabulary word is not an appropriate notion (Lü 1989; more discussion to come in 4.1). Decades of debate and discussion on the definition of a Chinese word have also shown that an operational definition for a grammar word precise enough to apply to all cases can hardly be established across systems or theories. But a computational grammar of Chinese cannot be developed without precise definitions. This leads to an argument in favor of the system internal wordhood definition and interface coordination within a grammar. The remaining sections of this chapter are organized like this. Section 4.1 examines two notions of word. Making sure that we use the right notion based on some appropriate guideline, some operational methods for judging a Chinese grammar word will be developed in 4.2. Section 4.3 demonstrates the formal representation of a word in CPSG95. This formalization is based on the design of expectation feature structures and the structural feature structure presented in Chapter III. 4.1. Two Notions of Word This section examines the two notions of word which have caused confusion. The first notion, namely vocabulary word , is easy to define. However, for the second notion, namely, grammar word , unfortunately, no operational definition has been available. It will be argued that a feasible alternative is to system internally define a grammar word and the labor division between Chinese morphology and syntax. A grammar word stands for the grammatical unit which fits in the hierarchy of morpheme, word and phrase in linguistic analysis. This gives the general concept of this notion but it is by no means an operational definition. Vocabulary word, on the other hand, refers to the listed entry in the lexicon. This definition is simple and unambiguous once a lexicon is given. The lexical lookup will generate vocabulary words as potential building blocks for analysis. On one hand, vocabulary words come from the lexicon; they are basic building blocks for linguistic analysis. On the other hand, as the ‘resulting’ unit for morphological analysis as well as the ‘starting’ or ‘atomic’ unit for syntactic analysis, the grammar word is the notion for linguistic generalization. But it is observed that a vocabulary word is not necessarily a grammar word and vice versa. It is this possible mismatch between vocabulary word and grammar word that has caused a problem in both Chinese grammar research and Chinese NLP system development. Lü (1989) indicates that not making a distinction between these two notions of word has caused considerable confusion on the definition of Chinese word in the literature. He further points out that only the former notion should be used in the grammar research. Di Sciullo and Williams (1987) have similar ideas on these two notions of word. They indicate that a sign listable in the lexicon corresponds to no certain grammatical unit. It can be a morpheme, a (grammar) word, or a phrase including sentence. Some examples of different kinds of Chinese vocabulary words are given below to demonstrate this insight. (4-1.) sample Chinese vocabulary words (a) 性 bound morpheme, noun suffix, ‘-ness’ (b) 洗 free morpheme or word, V: ‘wash’ (c) 澡 word (only used in idioms), N: ‘bath’ (d) 澡盆 compound word, N: ‘bath-tub’ (e) 洗澡 idiom phrase, VP: ‘take a bath’ (f) 他们 pronoun as noun phrase, NP: ‘they’ (g) 城门失火，殃及池鱼 idiomatic sentence, S: ‘When the gate of a city is on fire, the fish in the canal around the gate is also endangered.’ The above signs are all Chinese vocabulary words. But grammatically, they do not necessarily function as a grammar word. For example, (4-1a) functions as a suffix, smaller than a word. (4-1e) behaves like a transitive VP (see 5.1 for more evidence), and (4-1g) acts as a sentence, both larger than a word. The consequence of mixing up these different units in a grammar is the loss of power for a grammar to capture the linguistic generality for each level of grammatical unit. The definition of grammar word has been a contentious issue in general linguistics (Di Sciullo and Williams 1987). Its precise definition is particularly difficult in Chinese linguistics as there is a considerable amount of phenomena marginal between Chinese morphology and syntax (Zhu 1985; L. Li 1990; Sun and Huang 1996). The morpheme-word-phrase transition is a continuous band in the linguistic reality. Different grammars may well cut the division differently. As long as there is no contradiction in coordinating these objects within the grammar, there does not seem to exist absolute judgment on which definition is right and which is wrong. It is generally agreed that a grammar word is a smallest unit in syntax (Lü 1989), as also emphasized by Di Sciullo and Williams (1987) on the 'syntactic atomicity' of word. But this statement only serves as a guideline in theory, it is not an operational definition for the following reason. It is logically circular to define word, smallest unit in syntax, and syntax, study of how words combine into phrases, one upon the other. To avoid this 'circular definition' problem, a feasible alternative is to system internally define grammar word and the labor division between Chinese morphology and syntax, as in the case of CPSG95. Of course, the system internal definition still needs to be justified based on the proposed morphological or syntactic analysis of borderline phenomena in terms of capturing the linguistic generality. More specifically, three things need to be done: (i) argue for the analysis case by case, e.g. why a certain construction should be treated as a morphological or syntactic phenomenon, what linguistic generality is captured by such a treatment, etc.; (ii) establish some operational methods for wordhood judgment to cover similar cases; (iii) use formalized data structures to represent the linguistic units after the wordhood judgment is made. Section 4.2 will handle task (ii) and Section 4.3 is devoted to the formal definition of word required by task (iii). The task in (i) will be pursued in the remaining chapters. Another important notion related to grammar word is unlisted word . Conceptually, an unlisted word is a novel construction formed via morphological rules, e.g. a derived word like ke-du-xing (-able-read-ness: readability), foolish-ness , a compound person name (given name + family name) such as John Smith, mao-ze-dong (Mao Zedong). Unlisted words are often rule based. This is where productive word formation sets in. However, unlisted word is not a crystal clear notion, just like the underlying concept grammar word . Many grammarians have observed that phrases and unlisted words in Chinese are formed under similar rules (e.g. Zhu 1985; J. Lu 1988). As both syntactic constructions and unlisted words are rule based, it can be difficult to judge a significant amount of borderline constructions as morphological or syntactic. There are fuzzy cases where a construction is regarded as a grammar word by one and judged as a syntactic construction by another. For example, while san (three) ge (CLA) is regarded as a syntactic construction, namely numeral-classifier phrase, in many grammars including CPSG95, such constructions are treated as compound words by others (e.g. Chen and Liu 1992). ‘Quasi-affixation’ presents another outstanding ‘gray area’ (see 6.2). The difficulty in handling the borderline phenomena leads back to the argument that the labor division between Chinese morphology and syntax should be pursued system-internally and argued case by case in terms of capturing the linguistic generality. To implement the required system internal definition, it is desirable to investigate practical wordhood judgment methods in addition to case-by-case arguments. Some judgment methods will be developed in 4.2. Case-by-case arguments and analysis for specific phenomena will be presented in later chapters. After the wordhood judgment is made, there is a need for the formal representation. Section 4.3 defines the formal representation of word with illustrations. 4.2. Judgment Methods This section proposes some operational wordhood judgment methods based on the notion of ‘syntactic atomicity’ (Di Sciullo and Williams 1987). These methods should be applied in combination with arguments of the associated grammatical analysis. In fact, whether a sign is judged as a morpheme, a grammar word or a phrase ultimately depends on the related grammatical analysis. However, the operationality of these methods will help facilitate the later analysis for some individual problems and avoid unnecessary repetition of similar arguments. Most methods proposed for Chinese wordhood judgment in the literature are not fully operational. For example, Chao (1968) agrees with Z. Lu (1957) that a word can fill the functional frame of a typical syntactic structure. Dai (1993) points out that this method may effectively separate bound morphemes from free words, it cannot differentiate between words and phrases, as phrases may also be positioned in a syntactic frame. In fact, whether this method can indeed separate bound morphemes from free words is still a problem. This method cannot be made operational unless the definition of ‘frame of a typical syntactic structure’ is given. The judgment methods proposed in this section try to avoid this ‘lack of operationality’ problem. Dai (1993) made a serious effort in proposing a series of methods for cutting the line between morphemes and syntactic units in Chinese. These methods have significantly advanced the study of this topic. However, Dai admits that there is limitation associated with these proposals. While each proposed method provides a sufficient (but not necessary) condition for judging whether a unit is a morpheme, none of the methods can further determine whether this unit is a word or a phrase. For example, the method of syntactic independence tests whether a unit in a question can be used as a short answer to the question. If yes, the syntactic independence is confirmed and this unit is not a morpheme inside a word. Obviously, such a method tells nothing about the syntactic rank of the tested unit because a word, a phrase or clause can all serve as an answer to a question. In order to achieve that, other methods and/or analyses need to be brought in. The first judgment method proposed below involves passivization and topicalization tests. In essence, this is to see whether a string involves syntactic processes. As an atomic unit, the internal structure of a word is transparent to syntax. It follows that no syntactic processes are allowed to exert effects on the internal structure of a word. As passivization and topicalization are generally acknowledged to be typical syntactic processes, if a potential combination A+B is subject to passivization B+ bei +A and topicalization B+…+NP+A, it can be concluded that A+B is not a word: the relation between A and B must be syntactic. The second method is to define an unambiguous pattern for the wordhood judgment, namely, judgment patterns. Judgment patterns are by no means a new concept. In particular, keyword based judgment patterns have been frequently used in the literature of Chinese linguistics as a handy way for deterministic word category detection (e.g. L. Wang 1955; Zhu 1985; Lü 1989). The following keyword (i.e. aspect markers) based patterns are proposed for judging a verb sign. (4-2.) (a) V(X)+着/过 à word(X) (b) V(X)+着/过/了+NP à word(X) The pattern (4-2a) states that if X is a sign of verb, no matter transitive or intransitive, appearing immediately before zhe / guo , then X is a word. This proposal is backed by the following argument. It is an important and widely acknowledged grammatical generalization in Chinese syntax that the aspect markers appear immediately after lexical verbs (Lü et al 1980). Note that the aspect marker le (LE) is excluded from the pattern in (4‑2a) because the same key word le corresponds to two distinctive morphemes in Chinese: the aspect le (LE) attaches to a lexical V while the sentence-final le (LEs) attaches to a VP (Lü et al 1980). Therefore, judgment cannot be reliably made when a sentence ends in X+ le , for example, when X is an intransitive verb or a transitive verb with the optional object omitted. However, le in pattern (4-2b) has no problem since le is not in the ambiguous sentence final position. This pattern says that if any of the three aspect markers appears between a sign X of verb and NP, X must be a word: in fact, it is a lexical transitive verb. There are two ways to use the judgment patterns. If a sub-string of the input sentence matches a judgment pattern, one reaches the conclusion promptly. If the input string does not match a pattern directly, one can still make indirect use of the patterns for judgment. The idiomatic combination xi (wash) zao (bath) is a representative example. Assume that the vocabulary word xi zao is a grammar word. It follows that it should be able to fill in the lexical verb position in the judgment pattern (4-2a). We then make a sentence which contains a sub-string matching the pattern to see whether it is grammatical. The result is ungrammatical: *ta (he) xi-zao (V) zhe (ZHE); *ta (he) xi-zao (V) guo (GUO). Therefore, our assumption must be wrong: xi zao is not a grammar word. We then change the assumption and try to insert aspect markers inside them (it is in fact an expansion test , to be discussed shortly). The new assumption is that the verb xi alone is a grammar word. What we get are perfectly grammatical sentences and they match the pattern (4-2b): ta (he) x i (V) zhe (ZHE) zao (bath): ‘He is taking a bath’; ta (he) xi (V) guo (GUO) zao (bath): ‘He has taken the bath’. Therefore the assumption is proven to be correct. This way, all V+X combinations can be judged based on the judgment patterns (4-2a) or (4-2b). The third method proposed below involves a more general expansion test. As an atomic unit in syntax, the internal parts of a word are in principle not separable. Lü (1989) emphasized inseparability as a criterion for judging grammar words. But he did not give instructions how this criterion should be applied. Nevertheless, many linguists (e.g. Bloomfield 1933; Z. Lu 1957; Lyons 1968; Dai 1993) have discussed expansion tests one way or another in assisting the wordhood judgment. The method of expansion to be presented below for wordhood judgment is called X-insertion . X-insertion is based on Di Sciullo and Williams’ thesis of the syntactic atomicity of word. The rationale is that the internal parts of a word cannot be separated by syntactic constituents. As a method, how to perform X-insertion is defined as follows. Suppose that one needs to judge whether the combination A+B is a word. If a sign X can be found to satisfy the following condition, then A+B is not a word, but a syntactic combination: (i) A+X+B is a grammatical string, (ii) X is not a bound morpheme, and (iii) the sub-structure is headed by A or the sub-string is headed by B. The first constraint is self-evident: a syntactic combination is necessarily a grammatical string. The second constraint aims at eliminating the danger of wrongly applying an infix here. In fact, if X is a morphological infix, the conclusion would be just opposite: A+B is a word. The last constraint states that X must be a dependant of the head A (or B). Otherwise it results in a different structure. There is no direct structural relation between A and B when A (or B) is a dependant of the head X in the structure. Therefore, the question of whether A+B is a phrase or a word does not apply in the first place. After the wordhood judgment is made on strings of signs based on the above judgment methods and/or the arguments for the analysis involved, the next step is to have them properly represented (coded) in the grammar formalism used. This is the topic to be presented in 4.3 below. 4.3. Formal Representation of Word The expectation feature structure and structural phrase structure in the mono-stratal design of CPSG95 presented in Chapter III provide means for the formal definition of the basic unit word in CPSG95. Once the wordhood judgment for a unit is made based on arguments for a structural analysis and/or using the methods presented in Section 4.2., the formal representation is required for coding it in CPSG95. This type of formalization is required to ensure its implementability in enforcing a required configurational constraint. For example, the suffix -xing expects an adjective word to form an abstract noun, such constraints and @word can be placed in the morphological expectation feature . These constraints will permit, for example, the legitimate derived word -xing] (serious-ness), but will block the following combination * -xing] (very-serious-ness). This is because violates the formal constraint as given in the word definition: it is not an atomic unit in syntax. In CPSG95, word is defined as a syntactically atomic unit without obligatory morphological expectations, formally represented in the following macro. word macro a_sign PREFIXING saturated | optional SUFFIXING saturated | optional STRUCT no_syn_dtr Note that the above formal definition uses the sorted hierarchy for the structural feature structure and the sorted hierarchy for the expectation feature structure. The definitions of these feature structures have been given in the preceding Chapter III. Based on the sorted hierarchy struct: {syn_dtr, no_syn_dtr} , the constraint ensures that the word sign do not contain any syntactic daughter. This prevents syntactic constructions from being treated as words. On the other hand, since , and are three subtypes of , the constraint prevents a bound morpheme, say a prefix or suffix which has obligatory expectation in or , from being treated as a word. This macro definition covers the representation of mono-morpheme words, e.g. e ‘goose’, du ‘read’, etc., or multi-morpheme words, e.g. xiao-kan ‘look down upon’, tian-e ‘swan’, etc., as well as unlisted words such as derived words whose internal morphological structures have already been formed. Some typical examples of word are shown below. For a derived word, note that the specification of and , or and , assigned by the corresponding PS rule is compatible with the macro word definition. The above word definition is an extension of the corresponding representation features from HPSG (Pollard and Sag 1987). HPSG uses a binary structural feature to distinguish lexical signs, , and non-lexical signs, . In addition, is divided into and . Except for the one-to-one correspondence between and in terms of rank (which stands for non-atomic syntactic constructs including phrases), neither of these HPSG binary divisions account for the distinction between a bound morpheme and a free morpheme. Such a distinction is not necessary in HPSG because bound morphemes are assumed to be processed in the preprocessing stage (e.g. lexical rules for English inflection, Pollard and Sag 1987) and do not show themselves as independent input to the parser. As CPSG95 involves both derivation morphology and syntax in an integrated general grammar, the HPSG binary divisions are no longer sufficient for formalizing the word definition. ‘Word’ in CPSG95 needs to be distinguished with proper constraints from not only syntactic constructs, but also from affixes (bound morphemes). In CPSG95, as productive derivation is designed to be an integrated component of the grammar, the word definition is both specified in the lexicon for some free morpheme words and assigned by the rules in morphological analysis. This practice in essence follows one suggestion in the original HPSG book: we might divide rules of grammar into two classes: rules of word formation, including compounding rules, which introduce the specification on the mother, and other rules, which introduce on the mother. (Pollard and Sag 1987:73). It is worth noticing that words thus defined can fill either a morphological position or a syntactic position. This reflects the interface nature of word: word is an eligible unit in both morphology and syntax. This is in contrast to bound morphemes which can only be internal parts of morphology. In morphology, derivation combines a word and an affix into a derived word. These derivatives are eligible to feed morphology again. This is shown above by the examples in (4-5) and (4-6). The adjective word ke‑du (read-able) is derived from the prefix morpheme ke- (-able) and the word du (read). Like other adjective words, this derived word can further combine with the suffix –xing (-ness) in morphology. It can also directly enter syntax, as all words do. To syntax, all words are atomic units. If a lexical position is specified, via the macro constraint @word in CPSG95, in a syntactic pattern, it makes no difference whether a filler of this position is a listed grammar word, or an unlisted word such as a derivative. Such distinction is transparent to the syntactic structure. 4.4. Summary Efforts have been made to reach a better understanding of Chinese wordhood in theory, methodology and formalization. The main spirit of the HPSG theory and Di Sciullo and Williams' ‘syntactic atomicity’ theory has been applied to the study of Chinese wordhood and its formal representation. Some effective wordhood judgment methods have also been proposed, based on theoretical guidelines. The above work in the area of Chinese wordhood study provides a sound foundation for the analysis of the specific Chinese morpho-syntactic interface problems in Chapter V and Chapter VI. ------------------------------------------------------- For Classical Chinese, word, morpheme, syllable and hanzi are presumably all co-extensive. This is the so-called Monosyllabic Myth of Chinese (DeFrancis 1984: ch.8). The development of large numbers of homophones, mainly due to the loss of coda stops, has led to the development of large quantities of bi-syllabic and poly-syllabic word-like expressions (Chen and Wang 1975). Classical Chinese arguably allows for a certain degree of compounding. In the linguistic literature, some linguists (e.g. Sapir 1921; Zhang 1957; Jensen 1990) did not strictly distinguish Contemporay/Modern Chinese from Classical Chinese and they held the general view that Chinese has little morphology except for limited compounding. But this view of Contemporary Chinese has been criticized as misconception (Dai 1993) and is no longer accepted by the community of Chinese grammarians. Di Sciullo and Williams call a sign listable in the lexicon listeme , equivalent to the notion vocabulary word . In the literature, variations of this view include the Lexicalist position (Chomsky 1970), the Lexical Integrity Hypothesis (Jackendoff 1972), the Principle of Morphology-Free Syntax (Zwicky 1987), etc. This type of ‘atomicity’ constraint (Di Sciullo and Williams 1987) is generally known as Lexical Integrity Hypothesis (LIH, Jackendoff 1972), which states that syntactic rules or operations cannot refer to part of a word. A more elaborate version of LIH is proposed by Zwicky (1987) as a Principle of Morphology-Free Syntax. This principle states that syntactic rules cannot make reference to the internal morphological composition of words. The only lexical properties accessible to syntax, according to Zwicky, are syntactic category, subcategory, and features like gender, case, person, etc. Of course, in theory a word may be separated by morphological infix . But except for the two modal signs de3 (can) and bu (cannot) (see Section 5.3 in Chapter V), there does not seem to exist infixation in Mandarin Chinese. In terms of rank, in CPSG95 corresponds to the type in HPSG (Pollard and Sag 1987). A binary division between and is enough in HPSG to distinguish the atomic unit word from syntactic construction. But, as CPSG95 incorporates derivation in the general grammar, covers for both free morphemes and bound morphemes. That is why the constraint on alone cannot define word in CPSG95; it needs to involve constraints on morphological expectation structures as well, as shown in the macro definition. Note that there are signs which are not of the type . PhD Thesis: Morpho-syntactic Interface in CPSG (cover page) PhD Thesis: Chapter I Introduction PhD Thesis: Chapter II Role of Grammar PhD Thesis: Chapter III Design of CPSG95 Overview of Natural Language Processing Dr. Wei Li’s English Blog on NLP
我这博士四年---写在博士论文后记 【引言】忙碌了三四个月终于把博士论文主体写完，昨晚写到致谢的部分，真的流泪了。啰啰嗦嗦写了几千字的致谢，要感谢的人太多了。所以我将致谢分为学生篇和导师篇，将他们贴到这里与大家共勉！ （一）学生篇 人生几度是黄粱？悄然回首，白驹过隙已四年。不经意间来南京求学已经过千日，人生能有几个1000天？突然间停下笔尖，回想四年来的点点滴滴，眼角早已湿润。回想起四年前从重庆来到南京的情景，拿起那是拍起的照片，激动、幸福与自豪衬托下的我是那么的自信与阳光。四年后的今天，当我再看到那时的照片，心中只有感慨与回忆。原来，这四年是我人生当中最美好的四年，收获最多的四年，也是老去的四年。四年里，我有了最牵挂的爱人，有了心爱的宝宝，有了一帮吹牛打诨、患难与共的朋友与同门、有了人生中最宝贵的科研经历和学术财富。 在这攻读博士学位的四年里，我体会到了学术与科研中最宝贵的经历与收获，就是坚持。借用清华大学校长陈吉宁的话说，平庸与卓越的差别不在天赋而在坚持。在这个科研看经历、出名看干爹、马桶都要去日本买的浮躁年代，自己只是山间小溪边的野草一根，不入流也不发光。自己本科来自淮阴师范学院地理系、硕士来自重庆师范大学地理与旅游学院。用现在的主流看法来讲，我从本科开始就已经注定了自己的失败学术之路。这在河海大学的求职与面试到最后的结果，整个过程让自己愈发感觉到无助与天命。有人说读博士是为了找到更好的工作、为了给自己获得更大的晋升空间铺路。在我看来，不是！攻读博士学位是我继续科研的唯一选择，因为学术研究让我感觉到了人生的价值与意义，在科研的世界里没有卑微与失败，每一个经历都是值得的。我真的爱它！爱科研是我坚持一步步走过来，不断奋斗与努力的原动力。回头来看，这应该就是当下所说的任性吧。四年的坚持后，博士在我心目中早已不是一个学位与名号，而是一个宝贵的人生经历。 在这四年的学习与科研中，我经历了太多的第一次。第一次写综述性论文。我的第一篇综述性的论文其实是课程论文。博一时，在鹿化煜教授的严格要求下我们在博士入学的第一学期需要上交一篇本专业的综述论文。我结合自己对滨海滩涂水盐的文献理解（博一是还没有到过滨海滩涂），彷徨之中勉强交了上去，意外获得了高分且顺利在国内顶级期刊上发表，这让我第一次意识到原来我也可以用论文进行品头论足与纵论天下。第一次去野外实地调研。2012年9月课题组许艳、我、张晶、李鹏、张濛、刘晓明博士师姐在朱明老师的带领下第一次到如东滩涂垦区进行野外调研与采样。这一次让我真切的体会到什么叫实在的科学研究，明白了什么是调研与采样。第一次做实验。我是个地地道道的文科生，学的是历史与地理。在来南京之前完全不知道什么叫氧化与还原、滴定与蒸馏。记得我第一次做的实验内容是盐分氯离子与碳酸根离子的滴定，长长的滴定管和五颜六色的试剂让我非常兴奋。兴奋的我可以从早上8点做实验一直做到晚上11点半，完全忘记了时间和疲劳。第一次发表SCI。我的第一篇SCI论文是《Spatial pattern of heavy metalconcentration in the soil of rapid urbanization area a case of Ehu Town, WuxiCity, Eastern China》，发表于《Environmental Earth Sciences》。虽然级别不高，但是彻底让自己扫除了对SCI论文发表的畏惧心理，让自己更加自信。发表SCI现在已经成为南京大学博士毕业的必修课。我当时只需要发表一篇SCI-E。但是细想来这一要求在当时也让我感到亚历山大。薄弱的英文基础和匮乏的英文文献阅读与撰写经历让我在博一和博二的两年里常常是深深的叹息。但是在这撰写SCI论文的过程中，由于过分拼命，不注意劳逸结合，也让自己闹下了腰椎间盘突出的毛病。第一次撰写国家自然科学基金的本子。2013年12月在导师濮励杰教授的鼓励下，我尝试着去写国家自科基金面上项目的申请书。经过多次与导师的交流与讨论，从开始的思路设想到研究内容到可行方案性逐渐清晰，并在2014年3月上交。虽然最后的结果是没有顺利申请下来，但是在这一过程中让我感觉到了写本子与写论文的差别，也让我第一次感受到申请国家自然科学基金的那种严谨与神圣，也让我有了申请国家自然科学基金的经验。第一次离境赴外开会。虽然说台湾属于一个中国，但是离开大陆去台北开会也是我第一次领略不同于大陆的风土人情。2014年9月我、许艳、王琪琪和蔡芳芳在导师濮励杰教授的的带领下赴台北参加2014GLP亚洲会议。忘不了我们白天开会晚上熬夜逛师大夜市的情景，也忘不了自己第一次聆听国外地学研究热点报告的热情，但是也忘不了第一次听到台湾人 镇定自若的说Taiwanis a small island country 时 ，带给我的不解与冲击。第一次有了妻子与孩子。人都说大姑娘上花轿头一回，女人是这样，男人也一样。虽要说自己第一次结婚不太吉利，老婆大人也会不高兴，但是我这里说的是经历的第一次。估计她也不会怪罪于我。我和妻子相识于重庆读硕士时，在我们相识的第三个年头我们结婚了。都说男人懂事的慢，确实是这样。不懂婚姻的我根本不明白爱人的唠叨与吵闹，其实那是爱，全心全意的爱。2014年12月爱人刘丽丽有了我们最爱的宝宝，虽然现在宝宝还只能在肚子里游泳与嬉闹，虽然我还真不知道你是帅气的小王子还是娇羞可爱的小公主，但是爸爸希望用他最为得意的博士论文送给你作最诚挚的祝福，希望你这个小羊人健康成长、洋洋得意。爸爸更希望你能成为国家的栋梁之才，希望你能向李小文院士一样才高八斗又有侠骨情怀，同时也为了纪念2015年1月10号离开的他，我给你起名李忆文（如果是小王子的话）。在此感谢导师四年中在我学习、工作上的帮助和谆谆教诲；感谢在科研中和我一起努力并肩战斗的同门；感谢一直督促我前进给我无私支持的爱人和宝贝。 四年如过眼云烟，但是对于自己的父母却是加速老去的四年。父亲是1961年10月26日生人，母亲是1962年10月14日生人，今年都已到了知天命的年纪。读博期间回家次数屈指可数，忙起来多会忘了给家里打个电话，即便忙完想起来也是夜里，怕打扰他们休息，一般也很难拿起电话。这四年来爸妈身体越来越差，话也越来越少。母亲在去年膝盖风湿加重并伴随半月板裂隙，严重时走路需要借助拐杖，而且之前由于腰椎间盘严重突出曾经卧床三个月。这些其实我都看在眼里，这些都是为了我读书开销以及赚取微薄收入补贴家用长期劳累和扎网闹下的病根，他们是母亲的真真切切的军功章。希望妈妈今后跟这些烦心事、累活重活告别，保养好身体。父亲身体还好，没有什么大的毛病。爸妈近两年来跟我聊天的机会越来越少，现在明显感觉爸妈的话少了，不像在我高中大学时那么多的叮嘱。“你大了，后面的路我们给不了什么建议了，你需要自己去把握了。”这是爸爸现在经常挂在嘴边的一句话。是的，他们老了，他们需要关心和保护了，我也长大了，我也将勇敢承担起家的重任。我经常不在身边这几年多是弟弟和弟妹在照顾父母和家里，弟弟弟妹都工作了，虽然工资待遇一般但是我看到了他们身上积极向上与乐观的精神，生活不算富裕，但是小侄女的出世让家里足够的充实与温馨。这几年家里让他们费心了，毕业后我会经常回家看看，让爸妈踏实，也让弟弟弟妹放心。在此，对这么对年来一路支持我读书学习的爸爸妈妈道一声谢谢，感谢您这三十年来的培养和支持，我不会辜负您的期盼和愿望。感谢弟弟弟妹对家里所做的一切，希望你们在未来的旅途中能越走越精彩，越走越幸福。 读博是艰苦的，虽然科研中充满激情，但是过程中的艰辛与乏味只有自己最明白。幸好在读博的旅途中我并不孤独，因为有一帮和我一样怀揣理想的同门和我并肩战斗，其中戴小清博士和陈新建博士是我最好的铁哥们。我们三个人几乎天天一起吃饭，从中午到晚上，除了大家有特别的事情。我们三人都有各自的外号，我叫三万（因为我拿了国家奖学金三万），陈新建叫三胖（因为他实在太胖了），戴小清叫戴三炮。在科学实验中对我帮助最大的是徐彩瑶博士，从她2014年入学以来一直在跟着我做实验。不管实验有多复杂，工作量有多大，她都毫无怨言，经常和我做实验到夜里11点以后。真的很感谢她的帮助，没有她的帮助，恐怕这篇博士论文的完成时间又要向后推迟半年甚至更久。 这篇博士论文的主题框架与结构是在2014年12月7日才真正定下的。论文共计九章，与我之前的开题报告的内容差别很大，主要是放弃了土壤酶活性的研究内容，将主要经历集中于滨海滩涂土壤的有机碳库研究。在此期间，我、徐彩瑶博士和王琪琪硕士三人花了近一个月的时间去野外采样和实验室分析，最后获得数据已经是2015年的1月底。之后就开始加速撰写论文，在寒假之前我已经写到了论文的第七章。由于爱人怀孕，行动不便，我们取消了一起回江苏老家过年的计划，转而去天津的岳父岳母家过年（离对象工作地点比较近），在过年这半个月期间，我总共休息了5天，其余时间一直在不停的处理数据和论文撰写，终于在回校前2天，即2015年2月22日的下午将论文主体内容全部写完。看着密密麻麻的十万余字的稿件，自己感慨万千，激动不已，幸福的血液在全身流淌，这是我送给关心我的老师、家人、同学和朋友最真诚的报答和感谢。 谢谢大家！@ 在这里还要感谢在生活中和学习中给我巨大帮助的博士生：张濛、张润森、许艳、吕春光、曾琳、张凌华、张军以、孙小涛、王小涵、 李开封博士、 金佳鑫博士和 郭永锐博士，硕士生： 王琪琪、韩明芳、赵珍珍、吴江月、于雪、谢天硕士、李鹏硕士和张晶硕士。 希望大家在羊年里洋洋得意、喜气洋洋，生活更美好！ PS:大家不要误会，戴博士已经开始埋怨我了，把他作为了完全的负面典型，其实都是兄弟间的调侃，这里也只是致谢的草稿。
喻海良老师最近写了置顶博文《 澳洲博士生毕业为什么不用答辩？》，文中提到的“澳洲大学博士生毕业，没有答辩环节”，这一说法可能未必确切。本人没有调查过是否所有的澳洲大学都不要求博士生参加毕业答辩，就所了解的澳洲国立大学（ ANU ）的规矩，澳洲博士生有时不得不答辩。为了不影响阅读，我把 ANU 的相关条文附于本文之后，咱人微言轻，所以言必称条文，这也是不得已。（因为发现所附条文太长 影响阅读，除了少数几行其余都删除了，哪位如果真的有兴趣要证实在澳洲博士生毕业是否要答辩，请看链接。） 根据 ANU 的规定，评审人需在一月内通知大学是否需要举行答辩， 如果所有评审人一致同意免去答辩，这是上天有好生之德；如果其中有一位提出有必要答辩，那就是命该如此在劫难逃；如果所有评审人异口同声，建议不必给学位，那么文凭没了就还你自由，就不再麻烦你参加答辩，从此一了百了。所以在澳洲博士生毕业不需要经过答辩的说法，不能说是无稽之谈，但如果较起真来，却又可以被指责为是断章取义，炒作误导，毕竟有一部分澳洲学生是经历过答辩的。 记得当年学院特别关照，如果落到需要答辩的地步，你已到了危急存亡之秋，要认真准备全力应对，务必蒙混过关。大学不希望有学生落到需要答辩的处境，毕竟耗费太大。在 ANU 没人会 主动争取答辩，没人会想借答辩的机会去展示一下敏捷才思和伶牙俐齿。澳洲学生每每被人讥笑，说博士生毕业不须答辩，学位没含金量，这可真是无可奈何，在 ANU ， 即使参加过论文答辩，日后谁敢夸耀自己的学位是通过答辩挣来的 ? 对于我辈英语不是母语的，免于答辩更必须志在必得。 事实上那时大多数学生都能逃过答辩。要问如何实现免于论文答辩，首先是入学伊始要及早了解毕业论文的要求，这可以去参考本系学长们的大作；再就是要勤奋，保证在论文中可以扬扬洒洒，把成功的和不成功的实验都写上，最好有创新，让评审人看到在读博的这些年头你有过足够的努力；然后还要显示你掌握了若干复杂的技能，显示你庶几可以不辜负博士头衔：认真写论文的文献综述部分，务必包罗万象，不可遗漏任何一篇重要文献：论文整体要条理清晰，最好是连微小的差错都没有，引用过的文献要全部包括在文献表中；立论要严谨，避免引起争议，但要体现出看问题有深度；还有就是为人不可尖酸刻薄，你尽可以披上马甲在博客留言中嬉笑怒骂，挖苦揶揄，肆意发泄，却不可以在博士论文中随意贬低他人的发现或文章，万一那厮正是你的论文评审人，这可就是现世报，即使不是冤家路窄，也难免给评审人留下浅薄张狂的不快印象，说不定为此就请你去参加答辩。 还有几点虽然和本文题目无关,却也可以在此一提： 喻海良老师在该博文中提到的“ 澳大利亚博士生培养是很有意思的。博士生招生除了英语，没有其他明确要求，本科毕业，导师同意即可。”恐怕只是特例。当年在澳洲悉尼大学有明文规定，本科毕业生有“ first class honors or second class honors (Division 1)”的方可读博，否则需要先有硕士学历。 喻老师说“ 博士生毕业也没有明确要求，没有规定必须发表几篇学术论文，完成博士大论文，导师觉得可以，即可毕业。”事实上 在 ANU 曾有条文，即使导师不认为学生可以毕业，而学生执意要交博士论文，学校可以考虑，但绝不鼓励。在这种场合，学校在给评审人的信件中将隐去导师不同意毕业这一过节。 至于 喻老师的说法“ 导师牛，博士生基本上都会不错；导师一般，博士生质量或许也很一般的。”就很奇怪了，伽利略和牛顿优秀，但又有谁知道他们的导师们有过怎样的辉煌？而且如果这个说法成立，是不是也可这样说：凡是有真才实学的全都去了牛津剑桥，能安心待在澳洲的不过是群未入流的混混？ 还有两点 喻老师的博文没有提到：在澳洲读博一般不须上课修学分；悉尼大学和 ANU 都有规定，没有硕士学位的修满 3 年才可交博士论文，而有硕士学位的只要 2 年就可以交博士论文。难道这两点不比博士生毕业不须答辩更诱人吗？ THe Higher Degree Research Guide Examination Process Yourthesis is despatched to the examiners by the quickest and most secure meanspossible. Examiners are asked to provide their written reports on the thesis within 2months. They are asked to advise within one month if they believe an oral examinationis required. .................................. OralExamination and/or Written Examination The current Research Award Rules require an oral examination on the substanceof the thesis and your knowledge of its subject background unless exempted onthe recommendation of your examiners. In practise, most candidates areexempted, but there are circumstances where it is likely to be in your bestinterests that one is held. For example, if the thesis is based on jointresearch or where an examiner is contemplating a recommendation that you berequired to revise and resubmit for re-examination or that your thesis befailed. An oral examination would not be held if examiners were unanimous in theirrecommendations that a thesis be failed. ............................... http://www.anu.edu.au/sas/hdr/examination.php
—— 真本登场！ 正式终结 法国德布罗意博士论文仅有一页多的江湖神话 —— 德布罗意眼中的美色乃“great intellectual beauty”（智慧之大美）！ —— 无奇不有！将 德布罗意波光大至完美的薛定谔倒是纵情声色的花花公子 —— 兼问德布罗意的博士论文为何不到三年就译成德文，但长期无英文版 —— 马克思博士 知 微有几分、对积几多解？-《数学手稿》的观众心语 德国的马克思在本科毕业的同时、同步完成博士论文，并将博士学位笑收囊中，并且凭借博士毕业文凭赢得泰山恩准、抱得美人归的故事堪称近代传奇。出现在博士论文题献处的唯一对象是女友的父亲，赞美之辞占据了整整一页（可点击附5中的网址欣赏）。现代新新人类往往只知赞美女友，却忘了赞美自己的未来岳丈。 以“马克思博士论文”为题的学术论文数名列世界之冠又堪称现代奇迹。详情可阅读本人的博文《博士学士双料学位获得者马克思被“博士论文”标题使用率世界第一》（ http://bbs.sciencenet.cn/blog-350729-650084.html ）。 网上一则所谓法国物理学家德布罗意仗持老爸威势、爱因斯坦留情，凭借一页纸论文，而不是一纸论文获得博士学位的消息在国内网络传为神迹。然而，据科学网王晓明博友的博文《从德布罗意的博士论文说起》及其回帖介绍，德布罗意的博士论文英文版正文达72页，而德文版有120页。 为稳妥起见，我下载并核实了德布罗意的博士论文，英文版总页码为81页，除前面的封面、目录上，正文的最后页码为第72页,第73页为参考文献页。 据英文版介绍，德布罗意博士论文原来的法文印刷本为1925年，后来译为德文版（1927年）。 德布罗意博士论文英文版.pdf 就该英文版而言，我有一些疑问。英文版的扉页仅有法文原文标题及译者A. F. Kracklauer的姓名，无翻译日期。英文版中却有德布罗意1927年专门为德文写作的序言，满满一页。后来网上检索译者A. F. Kracklauer的个人信息，发现他在个人主页中专门就德布罗意博士论文的英文翻译指出“ Although this work won him a Nobel prize, it appears that it was never completely translated into English. So, here's mine. ”（大意为，尽管此博士论文为德布罗意赢得了诺贝尔奖，但却从未全文翻译为英文，我做到了！）不过，A. F. Kracklauer只是简单地介绍翻译自德布罗意1925年的论文印刷本，是由法文直译还是 德文转译未加说明。就 A. F. Kracklauer 个人主页提供的多部译自德文的翻译作品看，可能在相当程度上依赖德文版。 德布罗意的人品也并不像中文故事传播的那样不堪。尽管身为贵胄之子，但他本人并非传说中的纨绔之徒。据弗罗里达州立大学网 页 介绍，他在量子力学方面的引路人是他的兄弟 Maurice（ 物理学家，在X射线方面做出了显著成就 ）。 在1913年大学毕业、获得科学学位后， 德布罗意 一直沉迷于科学思考，只是由于战争才耽搁了申请攻读博士学位。 http://micro.magnet.fsu.edu/optics/timeline/people/debroglie.html 将 德布罗意心目中的 great intellectual beauty译作“智慧有大美”之后，突然想到手头的一本书《天地有大美——现代科学之伟大方程》（上海世纪出版集团，格雷厄姆.法米罗主编）。该书介绍了薛定谔的波动方程、狄拉克方程、杨-米尔斯方程等。不过此书将薛定谔描绘为典型的花花公子，第四章的标题是“情欲、审美观和薛定谔的波动方程”。该章开篇写道，“埃尔温.薛定谔的一位好朋友回忆道，‘他在生命中的一次姗姗来迟的情欲大爆发中完成了他的伟大工作。’”。 副标题“德布罗意的博士论文为何不到三年就译成德文，但长期无英文版”只是我起初阅读英文版中德文版前言引发的困惑，后来看到 A. F. Kracklauer先生的网页说明才略解疑问。至于为何一直没有英文全版，可能还有更多的原因。 为了彻底消除罩在 德布罗意博士论文上的雾霾，我决定网搜德布罗意博士论文的法文原版。现将搜索结果公布如下：“法文版2”最后页码为第128页（此处未考虑 德布罗意博士论文手稿的总页数与该电子版的差异 ）。从语言角度分析，法语与英语的文字表达力相近，两种语本之间总字数通常相差不大。由本文提供的电文书籍版面看，法文版疏朗、英文版紧凑，初步判断 德布罗意博士论文手稿（手写稿或打字稿不详，但这已不影响本文的立论）至少在100页左右。为比较起见，下面附录 法文版(取自“法文版2”)、英文版中“第二德布罗意方程”的出现片断。 法文版下载网址为： 德布罗意博士论文法文原版1（封面似含德布罗意手写体）.pdf （1992年出版，根据1992年印刷本） 德布罗意博士论文法文原版2（仅正文，无封面、目录）.pdf 1. http://gsjournal.net/Science-Journals/Historical%20Papers-Quantum%20Theory%20/%20Particle%20Physics/Download/1635 2. http://tel.archives-ouvertes.fr/tel-00006807 附1：科学网的相关博文 从德布罗意的博士论文说起（hillside注:此文考证颇为详细，并附英文版提供下载） http://blog.sciencenet.cn/home.php?mod=spaceuid=2361do=blogid=259767 欧洲，1924年，一页纸的博士论文，可能吗？ http://blog.sciencenet.cn/home.php?mod=spaceuid=420554do=blogid=340591 附2：德布罗意为博士论文德文版翻译版Untersuchungen zur Quantentheorie, BECKER, W. (trans.) (Aka. Verlag., Leipzig, 1927)专门撰写的满满一页的序言（摘自英文版。“as translated to English below,”看来系英文翻译者A. F. Kracklauer添加）。 Preface to German translation In the three years between the publication of the original French version, and a German translation in 19271, the development of Physics progressed very rapidly in the way I foresaw, namely, in terms of a fusion of the methods of Dynamics and the theory of waves. M. EINSTEIN from the beginning has supported my thesis, but it was M. E. SCHR¨O EDINGER who developed the propagation equations of a new theory and who in searching for its solutions has established what has become known as “Wave Mechanics.” Independent of my work, M.W. HEISENBERG has developed a more abstract theory, “Quantum Mechanics”, for which the basic principle was foreseen actually in the atomic theory and correspondence principle of M. BOHR . M.SCHR¨ODINGER has shown that each version is a mathematical transcription of the other. The two methods and their combination have enabled theoreticians to address problems heretofore unsurmountable and have reported much success. However, difficulties persist. In particular, one has not been able to achieve the ultimate goal, namely a undulatory theory of matter within the framework of field theory. At the moment, one must be satisfied with a statistical correspondence between energy parcels and amplitude waves of the sort known in classical optics. To this point, it is interesting that, the electric density in MAXWELL-LORENTZ equations may be only an ensemble average; making these equations non applicable to single isolated particles, as is done in the theory of electrons. Moreover, they do not explain why electricity has an atomised structure. The tentative, even if interesting, ideas of MIE are thusly doomed. Nonetheless, one result is incontestable: NEWTON’s Dynamics and FRESNEL’s theory of waves have returned to combine into a grand synthesis of great intellectual beauty（智慧之大美） enabling us to fathom deeply the nature of quanta and open Physics to immense new horizons. Paris, 8 September 1927 附3：德布罗意博士论文的英文版翻译者、德国量子力学家A. F. Kracklauer。A. F. Kracklauer在他的主页提供了由他译为英文的的多篇量子力学经典著述。A. F. Kracklauer在该主页对量子力学的一些观点提出了批评，称之为“疯狂的物理学”（loco Physics）。 http://nonloco-physics.0catch.com/ 由A. F. Kracklauer译为 英文的 的多篇量子力学经典著述 The following are my translations of historic papers of particular significance for my interests for which, to my best information, there are no (or no complete) English versions. Some of these papers introduce notions that have become ensconced in physics folklore as if they were grounded on more solid foundations than these papers reveal to actually be the case, or, sometimes, visa-versa. 1. Einstein: Einstein in English , A 1250 page collection of my translations to English of 178 physics papers written by Einstein in three volumes: See : http://stores.lulu.com/kracklau . Errata: E-in-E_errata.html 2. Louis de Broglie (Thesis): On the theory of Quanta, Ann. de Phys. (1925) (Re-edited Dec. 05) Although this work won him a Nobel prize, it appears that it was never completely translated into English. So, here's mine. (340Kb); Hard copy: http://www.lulu.com/content/712243 ; e-file: ldb_the.pdf （注：此即德布罗意博士论文英文版全文下载链接） 3. Julio Palacios Martinez: Hard copy of both in one volume: http://www.lulu.com/content/772611 ---Relativity a paradox free alternative (Relatividad, una nueva teoria) JPM, on the basis of dimensional analysis came to the conclusion that asymmetric aging is untenable, so reformulated SR to exclude it from the start, eventually collecting his ideas up to 1960 in this book. (743Kb) rel_pal2.pdf , ---Antirelativistic Dynamics . Rev. Ace. Cie. (Madrid) LIX 69 (1968); published shortly before his death in 1970. A criticism of SR and a compendium of JPM's proposed fixes. (179Kb) pal_ant.pdf 4. Palacios: Relativity without Asymmetric Aging , Proc. PIRT VIX, 13 pages. An extraction from Palacios' book of just those parts pertaining to the `twin paradox.' (105 Kb) pal_pirt.pdf 5. Karl Schwarzschild, Electrodynamics I, II III (1906) . Gott. Nach.. 128 , 126-278 (1903) Apparently the first study to incorporate time-of-flight delay into action-at-a-distance mechanics. (179Kb) EM_KS.pdf 6. Hugo Tetrode, On Universal Interaction, Z. Phys. 10 , 317 (1922). Prophetic natural philosophy on the relativistic classical (action-at-a-distance on the light cone) and quantum electrodynamic interaction; but, short on red meat'' for a mathematical physicist. (53 Kb) interaction.pdf 7. A. D. Fokker: ---Relativistic point-particle mechanics, Z.. Phys. 58 , 356 (1929). A rediscovery (?) of Tetrode's direct action mechanics for systems of point particles. Noteworthy is the lack of skepticism, actual enthusiasm, for advanced interaction. This is the article most often cited, the following two are virtually unknown. (63Kb) fok_var.pdf ---Reciprocity in the Mutual Interaction of Charged Particles, Physica, IX , 33 (1929). The mother load for the above article with some additional details. (35Kb) reciprocity.pdf ---A Theory of Relativistic Interaction for Two Charged Point-masses, Physica. 145 (1932) . A follow up and further development of the the above two articles. (58Kb) deux.pdf 8. Walter Ritz: ---Critique of Maxwell-Lorentz Electrodynamics , Collected Works (1908). 13 pages. A short version of his formulation of an emission theory for electrodynamics, with emphasis on the contrast with Maxwell field theory. Gives good reasons to prefer direct interaction over field theories. (Note: Ritz wrote this paper using German syntax and sentence structure but French words---ugh! Some passages in my translation need tuning.) (79Kb) TE.pdf ---Gravity, Rivista di Scienza (1908) . An essay on the history of and prospects for a theory of gravity as of 1908, and a plaidoyer for his own proposal. Interesting and still relevant natural philosophy. (46Kb) grav.pdf ---EM: Blackbody Radiation, Phys. Z. (1908) . A turbid essay on the the cause of the ultraviolet catastrophe, and his argument that retarded interaction is essential for a solution. (36Kb) blackbody.pdf ---RelativityOptics, Collected Works (1908) . A natural philosophy essay on the differences between an aether and emission theories on the basis of optical and electrodynamical effects. Argues that in an emission theory, gravity appears naturally as a residue of electric force. (33Kb) optics.pdf 9. Werner Heisenberg: ---The Multibody Problem and Resonance in Quantum Mechanics, Z. Phys. 38 ,, 411 (1926). Evidently the first paper to introduce cat states into QM. It is particularly significant nowadays since these states are the foundation for the irreal aspect of wave functions and have come to play a very important role in EPR and Bell analysis. In this paper we see that they had a perfectly non mysterious, classical meaning in the beginning. This paper is an important reference for quant-ph/0602080 0602080_3.pdf (79 Kb) multi.pdf ---Wave Phenomena and Quantum Mechanics, Z. Phys. 40 , 501-506 (1927) . A natural philosophy essay on the implications, as he sees it, of the above article; i.e., a back-handed attack on Schroedinger's continuum wave mechanics, and the inception of Copenhagen dogma. (25Kb) waveqm.pdf ---The Multibody Problem and Resonance in Quantum Mechanics-II, Z. Phys. 40 , 551 (1927) . Follow-up and application of the principles developed in the above two papers. (119 Kb) multi2.pdf ---On the imaginable content of quantum kinematics and mechanics, Z. Phys. 43 , 172 (1927) . The paper in which Heisenberg set out 'uncertainty' as a fundamental quantum feature. This is a retranslation made to squeeze out every nuance regarding irreal wave functions and collapse at measurement. (111 Kb) anschau.pdf 10. V. A. Fock, Eigentime in Classical and Quantum Mechanics, Z. f. Phys. der Soviet-union 12 , 404 (1937) . Analysis pertaining to introducing eigentime into QM wave equations. Does not consider interacting particles, only a single particle bathed in an external wave. (87 Kb) eigentime.pdf 11. W. Slebodzinski, Cartan's Principle of Dynamics, Ann.. Soc. Math. Polonae Series I Comm. Math. XIV , 1-13 (1970) . A compact exposition of Cartan's Mechanics in classical notation. Noteworthy in that it emphasizes the independence of Cartan-Hamiltonian structure on space-time structure; it is essentially an existence proof for relativistic multiparticle dynamics with interaction. Important background for papers 6 and 16 above (60 kb) cartan.pdf 12. E. Schroedinger: ---The current situation in quantum mechanics, Die Wissenschaften. 48 , 807 (1935) . The Cat paper. This is a retranslation, as I found myself rereading sentences several times over in the other translation, and still was unsure what they meant. The problem is that the German original is itself idiosyncratic. It whipsaws among several styles of language, repeats, is larded with irony, sarcasm, journalistic focculi, etc. Nevertheless, it is an excellent catalog of issues on the foundations of QM. It actually 'obsoletes' much written after it. However, nearly half of it, including virtually all of the obscure parts, is devoted to describing 'conditional probabilities.' A reader knowing what they are (from math, where it takes 2 paragraphs) can read it with ease. (120 kb) cat.pdf ---On remarkable characteristics of quantized electron orbits, Z. f. Phys.. 42 , 13-23 (1922) . Interesting early geometric considerations largely overtaken by subsequent developments. Besides historical interest, it may contain ideas better not lost to history. (64 kb) ebahn.pdf 13. E. Madelung , Secular oscillations within singlet/triplet states, From: Math. Handbook for Physicists (Dover, 1942) p. 298 . A calculation not found in textbooks which may have deep significance for the interpretation of singlet/triplet irreal states. (19 kb) secular.pdf 14. A. Einstein, On a heuristic viewpoint of the creation and modification of light, Ann. d. Phys. 47 , 133 (1905) . A retranslation of the photon paper. It is just too important to be as difficult to get in English as it was. (61 kb) photon.pdf 15. V. Varicak, Relativity in three dimensional Lobachevsky space., (Zaklada Tiskare Norodnih, Zagrb, 1924). A translation of a mostly complete survey of Varicak's application of non Euclidean geometry to Relativity Theory; arguably the most complete treatment of this topic ever written. Hard copy: http://ww.lulu.com/content/774095 注：经比对，博文《从德布罗意的博士论文说起》中提供的德布罗意博士论文英文版应当就是 A. F. Kracklauer在其上述主页中提供的下载文档 ） 附4： 弗罗里达州立大学网 页对于德布罗意的介绍 http://micro.magnet.fsu.edu/optics/timeline/people/debroglie.html In the early twentieth century, the long standing argument about whether the character of light was particle-based or wavelike was finally coming to an end as the scientists of the day began to accept that light could assume a dual nature. The possibility that such a duality might apply to matter as well as light was first proposed by physicist Louis de Broglie. Born in Dieppe, France, de Broglie studied in Paris and was descended from members of the French nobility. In his youth, he considered a career as a diplomat, but later turned to science and pursued the study of theoretical physics. His brother, Maurice, who had also decided to become a physicist and made many advances in the study of X-rays, reportedly had a considerable influence on de Broglie and was the first to introduce him to the work of Albert Einstein and Max Planck. Louis de Broglie received a science degree in 1913, but was soon after required to enter the military. During World War I, he was stationed at the Eiffel Tower as part of the wireless telegraphy army subdivision. When not occupied by official duties, de Broglie filled many of his hours pondering scientific questions, which helped prepare him to continue his studies in 1920 after the war had ended. The focus of his research upon his return to Paris shifted to mathematical physics and his doctoral thesis consisted of research on quantum theory. Within de Broglie抯 thesis, which was completed in 1924, many of his most profound ideas were put forth, including his groundbreaking theory of electron waves. He had published some work on electron waves in scientific journals previously as well, but the articles were given little notice. It was not until Einstein read a copy of de Broglie抯 thesis that the revolutionary nature of his ideas was understood. Due to Einstein抯 attention, other physicists became familiar with de Broglie抯 wave theory and utilized it in shaping their own work. Most notably, de Broglie抯 theory served as the foundation upon which Erwin Schr鰀inger and others developed quantum mechanics. 附5：马克思博士论文 http://www.marxists.org/archive/marx/works/1841/dr-theses/ Karl Marx Internet Archive The Difference Between the Democritean and Epicurean Philosophy of Nature. with an Appendix Written: March 1841; First Published: 1902; Source: Marx-Engels Collected Works Volume 1; Publisher: Progress Publishers; Transcription/Markup: Andy Blunden; Online Version: Brian Baggins (marxists.org) 2000. Contents: According to Marx's original Table of Contents Dedication Foreword Part One: Difference between the Democritean and Epicurean Philosophy of Nature in General I. The Subject of the Treatise II. Opinions on the Relationship Between Democritean and Epicurean Physics III. Difficulties Concerning the Identity of the Democritean and Epicurean Philosophy of Nature IV. General Difference in Principle Between the Democritean and Epicurean Philosophy of Nature V. Result Part Two: Difference between the Democritean and Epicurean Philosophy of Nature in detail Chapter One : The Declination of the Atom from the Straight Line Chapter Two : The Qualities of the Atom Chapter Three : Atomoi archai and atoma stoicheia Chapter Four : Time Chapter Five : The Meteors Appendix Critique of Plutarch's Polemic against the Theology of Epicurus II. Individual Immortality 1. On Religious Feudalism. The Hell of the Populace 2. The Longing of the Multitude 3. The Pride of the Elected Notes I. On Religious Feudalism. The Hell of the Populace II. Opinions on the Relationship between Democritean and Epicurean Physics (notes) III. Difficulties concerning the Ientity of the Democritean and Epicurean Philosophy of Nature. (notes) IV. General Difference in Principle between the Democritean and Epicurean Philosophy of Nature Preliminary Note I. The Relationship of Man to God 1. Fear and the Being Beyond 2. Cult and the Individual 3. Providence and the Degraded God Draft of new Preface Marx's Notebooks on Epicurean Philosophy Editors' Footnotes and Preface , Image of Draft Preface . 附6：马克思数学手稿欣赏与科学网博客对于《数学手稿》的了解与心得 附6-1. 我自己的《数学手稿》收藏 此书文革后正式出版时曾现洛阳纸贵之势，由科学网与其他网站一些网友的回忆也可想见当年抢购盛况。该版封面仅有书名、作者，无出版社（英雄不问出处？ 。“人民出版社”字样出现于内页，出版、印刷日期（1975年7月第1版、1976年3月第二次印刷）也与现在的书籍为主张版权争先恐后地与扉页互相争宠、现在的一些姑娘们为吸引眼球以抢先暴露真相为荣不同，只是悄悄地、羞答答地藏在封底的内页。 附6-2 http://news.sciencenet.cn//zhibo/shownews.aspx?id=233319 纪念华罗庚逝世25周年大会, 时间：2010-6-12 :……到现在为止，数学家大会上提的，到目前数学家大会，现在马上就要开，包括数学家大会的主席和数学家，国际数学联盟主席和国际数学联盟的秘书长，他们都在说给数学一个定义是非常危险的，也就是对数学只能用观点去理解，我们国家基本上华老和 各个数学家都承认了马克思的定义 ，我就不重复了。 …… : 这件事我要说一下，很少人提到，73年的时候，北大的孙小宇等人，就把马克思数学手稿翻译出来了，74年在国内见了，在整个国内影响还是比较大，相当大的，北和南影响比较大，但是在科大几乎没受到影响，因为马克思的书稿有他的意义，他归结为一句话是什么呢，求导就是严格的特定的0：0，数学家羞答答干什么，就是那个零，但是我们有华老的那碗酒垫底，我们知道，0：0脱个精光上不了台演戏的，那个领域让我们在很多地方做了很多很多的事情。这是我们所有科大人都知道，但是这是华老的影响所带来的。 附6-3 http://www.alljournals.cn/view_abstract.aspx?pcid=01BA20E8BA813E1924CB483152CA50D4FC5BD3CBB47B847Fcid=585D04A2453D8AD5DDFFE8BE5B16E24Cjid=B0F48139158DAC130DCA71551C5A0F32aid=9B3CDCFF12FE0F7Eyid=D43C4A19B2EE3C0Avid=1371F55DA51B6E64iid=0B39A22176CE99FB 马克思数学手稿：宝贵的历史文献 北京大学学报(哲学社会科学版),2003,40(2):18-23. 作者姓名： 孙小礼 作者单位： 北京大学科学与社会研究中心 北京 100871 摘 要： 马克思酷爱数学，几十年坚持不渝地利用闲暇时间钻研数学，留下了近千页数学手稿。马克思数学手稿（部分）在我国翻译出后，有两种不同的看法：一是过分抬高，认为马克思运用辩证法为微积分奠定了理论基础；另一相反的看法，认为马克思不懂微积分，其数学手稿没有什么学术价值。本文说明这两种看法都太极端，马克思把数学当作经济学研究和重要工具和辩证法的重要源泉，研读数学又是马克思的独特精神休养方式。马克思数学手稿是一份有特殊价值的历史文献。 hillside注：欲阅读《马克思数学手稿：宝贵的历史文献》的更多内容，请点击： http://www.kepu.net.cn/gb/basic/szsx/4/41/4_42_1002.htm 附6-4 科学网网友回忆《数学手稿》 附6-4-1 http://blog.sciencenet.cn/home.php?mod=spaceuid=2321do=blogid=7378 http://blog.sciencenet.cn/blog-2321-21554.html 李世春博客 （hillside注：此博客中另外张贴了《数学手稿》封面、内页，有余兴者可与以上本人所贴对比） 当我上高中的时候，正是1973年到1976年，这三年间国内发生了许多大事，但是，我最感兴趣的事还是1975年马克思《数学手稿》的出版。我们的学校叫白灵淖中学，和大毛忽洞相距10公里，位于固阳阴山北30公里。如此偏僻的地方，当时在经济上又不能有任何的非分之想，根本不可能到城市的新华书店去看看。后来得知北京有个王府井书店，可以办理邮购业务，当即汇去5元钱，大约一个月后，一本崭新的马克思《数学手稿》便寄来了，余款以邮票的形式同书返回。后来再次去信询问有关数学方面的书籍，邮来的清单上除马克思《数学手稿》外，只有《运筹学》和华罗庚的《优选法》，可以想象到当时北京王府井新华书店也没有多少数学书籍。 众所周知，马克思《数学手稿》既不是一本教科书，也不是一本学术专著。当时只感觉到马克思是一个大学问家，看他的书肯定能学到些什么。后来上大学也带上了这本马克思《数学手稿》，并且一直保存到今天。 …… 数学手稿：马克思帮我对付极左派 那时，我学数学的时候，周围的人谁也不敢碰我，就连那些极左派也不敢碰我。 为什么呢？ 因为我有一本马克思《数学手稿》，而且就放在身边。 大毛忽洞还跟那些极左派开玩笑说：你们看的那些破报纸是孙子辈的，我看的是马克思的原著，是你们看的那些文章的作者的爷爷，你们有什么不服气的吗？ 当我看数学的时候，有时候极左派们还来给我（手里的马克思数学手稿）捧个场，就像花果山的猴子给孙悟空捧场一样。 如果陈景润当年手里也有一本马克思《数学手稿》就好了，或许能够击退极左派的干扰。 附6-4-2 http://blog.sciencenet.cn/home.php?mod=spaceuid=660333do=blogid=541216 程代展博客 文革前清华有许多数学教师是本校工科学生留校，以后又经历了多次政治运动，无心钻研业务，许多优秀人材，却得不到提高。我们刚去，就听说大跃进年代，数学教研组曾提出要“打倒柯家店”。不要epsilon-delta。反击右倾翻案风后，我们也被组织学习《马克思数学手稿》，还有人建议，用它当微积分教材。 附6-4-3 http://blog.sciencenet.cn/blog-539894-415631.html 肖赛君博客 我曾听到一个老师讲微积分中的极限理论是有缺陷的，他也提到爱尔兰大圣教贝克莱的批判，贝克莱称牛顿微积分体系中的“0”为“幽灵”，因为牛顿在需要“0”时，不管“0”多么小，就带了进来，在不需要的时候，也不管0多么大，一句话就给略掉了。这不符合数学严格逻辑推理的要求。马克思《数学手稿》曾经研究过这个问题，马克思认为没有必要引入极限，直接用0/0作为导数就可以， 马克思认为零是可以做分母的 。另外，好像数学家欧拉也曾说过零是可以做分母的。 附7：hillside对马克思及哲学的思辨性博文 牛顿的上帝科学观与马克思的地狱科学观—论对“地狱入口”的误读 http://blog.sciencenet.cn/blog-350729-588246.html 法典就是人民自由的圣经——自由落体定律对于马克思的启示？ http://blog.sciencenet.cn/blog-350729-555240.html 马克思论科学魅力—“高山论”与“地狱论”，兼议易中天破门而入 http://blog.sciencenet.cn/blog-350729-588220.html 凡是存在的，必有不合理之处；我在故我思——我的哲学思辨 http://blog.sciencenet.cn/home.php?mod=spaceuid=350729do=blogquickforward=1id=552274 附8：同时收获本科文凭与博士学位的天才数学家冯·诺依曼 http://hi.baidu.com/clq23/item/da3412d1bf6746b833db90c7 冯·诺依曼十几岁时曾得到一位叫L.拉兹的颇有才智的中学教师的教诲，不久以后，他成了M.法格蒂和L.法杰尔的弟子。L.法杰尔人称“许多匈牙利数学家的精神之父。”冯·诺依曼的父亲因考虑到经济上的原因，请人劝阻年方17岁的诺依曼不要成为数学家。后来父子俩达成协议，诺依曼便去攻读化学。1921～1925年，他先后在柏林和苏黎世学习化学。1926年诺依曼同时获得苏黎世化学工程文凭和布达佩斯数学博士证书。 http://www.pet2008.cn/thread-25393-5-1.html 1914年夏天，约翰进入了大学预科班学习，是年7月28日，奥匈帝国借故向塞尔维亚宣战，揭开了第一次世界大战的序幕。由于战争动乱连年不断，冯·诺依曼全家离开过匈牙利，以后再重返布达佩斯。当然他的学业也会受到影响。但是在毕业考试时，冯·诺依曼的成绩仍名列前茅。 1921年，冯·诺依曼通过“成熟”考试时，已被大家当作数学家了。他的第一篇论文是和菲克特合写的，那时他还不到18岁。麦克斯由于考虑到经济上原因，请人劝阻年方17的冯·诺依曼不要专攻数学，后来父子俩达成协议，冯·诺依曼便去攻读化学。 其后的四年间，冯·诺依曼在布达佩斯大学注册为数学方面的学生，但并不听课，只是每年按时参加考试。与此同时，冯·诺依曼入柏林大学(1921年)，1923年又进入瑞士苏黎世联邦工业大学学习化学。1926年他在苏黎世的获得化学方面的大学毕业学位，通过在每学期期末回到布达佩斯大学通过课程考试，他也获得了布达佩斯大学数学博士学位。
In this guide, Tara Brabazon gives her top ten tips for doctoral failure My teaching break between Christmas and the university’s snowy reopening in January followed in the footsteps of Goldilocks and the three bears. I examined three PhDs: one was too big; one was too small; one was just right. Put another way, one was as close to a fail as I have ever examined; one passed but required rewriting to strengthen the argument; and the last reminded me why it is such a pleasure to be an academic. Concurrently, I have been shepherding three of my PhD students through the final two months to submission. These concluding weeks are an emotional cocktail of exhaustion, frustration, fright and exhilaration. Supervisors correct errors we thought had been removed a year ago. The paragraph that seemed good enough in the first draft now seems to drag down a chapter. My postgraduates cannot understand why I am so picky. They want to submit and move on with the rest of their lives. There is a reason why supervisors are pedantic. If we are not, the postgraduates will live with the consequences of “major corrections” for months. The other alternative, besides being awarded the consolation prize of an MPhil, is managing the regret of three wasted years if a doctorate fails. Every correction, each typographical error, all inaccuracies, ambiguities or erroneous references that we find and remove in these crucial final weeks may swing an examiner from major to minor corrections, or from a full re-examination to a rethink of one chapter. Being a PhD supervisor is stressful. It is a privilege but it is frightening. We know – and individual postgraduates do not – that strange comments are offered in response to even the best theses. Yes, an examiner graded a magnificent doctorate from one of my postgraduates as “minor corrections” for one typographical error in footnote 104 in the fifth chapter of an otherwise cleanly drafted 100,000 words. It was submitted ten years ago and I still remember it with regret. Another examiner enjoyed a thesis on “cult” but wondered why there were no references to Madonna, grading it as requiring major corrections so that Madonna references could be inserted throughout the script. Examiners have entered turf wars about the disciplinary parameters separating history and cultural studies. Often they look for their favourite theorists – generally Pierre Bourdieu or Gilles Deleuze these days – and are saddened to find citations to Michel Foucault and Félix Guattari. Then there are the “let’s talk about something important – let’s talk about me” examiners. Their first task is to look for themselves in the bibliography, and they are not too interested in the research if there is no reference to their early sorties with Louis Althusser in Economy and Society from the 1970s. I understand the angst, worry and stress of supervisors, but I have experienced the other side of the doctoral divide. Examining PhDs is both a pleasure and a curse. It is a joy to nurture, support and help the academy’s next generation, but it is a dreadful moment when an examiner realises that a script is so below international standards of scholarship that there are three options: straight fail, award an MPhil or hope that the student shows enough spark in the viva voce so that it may be possible to skid through to major corrections and a full re-examination in 18 months. When confronted by these choices, I am filled with sadness for students and supervisors, but this is matched by anger and even embarrassment. What were the supervisors thinking? Who or what convinced the student that this script was acceptable? Therefore, to offer insights to postgraduates who may be in the final stages of submission, cursing their supervisors who want another draft and further references, here are my ten tips for failing a PhD. If you want failure, this is your road map to getting there. 1. Submit an incomplete, poorly formatted bibliography Doctoral students need to be told that most examiners start marking from the back of the script. Just as cooks are judged by their ingredients and implements, we judge doctoral students by the calibre of their sources. The moment examiners see incomplete references or find that key theorists in the topic are absent, they worry. This concern intensifies when in-text citations with no match in the bibliography are located. If examiners find ten errors, then students are required to perform minor corrections. If there are 20 anomalies, the doctorate will need major corrections. Any referencing issues over that number and examiners question the students’ academic abilities. If the most basic academic protocols are not in place, the credibility of a script wavers. A bibliography is not just a bibliography: it is a canary in the doctoral mine. 2. Use phrases such as “some academics” or “all the literature” without mitigating statements or references Generalisations infuriate me in first-year papers, but they are understandable. A 19-year-old student who states that “all women think that Katie Price is a great role model” is making a ridiculous point, but when the primary reading fodder is Heat magazine, the link between Jordan’s plastic surgery and empowered women seems causal. In a PhD, generalisations send me off for a long walk to Beachy Head. The best doctorates are small. They are tightly constituted and justify students’ choice of one community of scholars over others while demonstrating that they have read enough to make the decision on academic rather than time-management grounds. Invariably there is a link between a thin bibliography and a high number of generalisations. If a student has not read widely, then the scholars they have referenced become far more important and representative than they actually are. I make my postgraduates pay for such statements. If they offer a generalisation such as “scholars of the online environment argue that democracy follows participation”, I demand that they find at least 30 separate references to verify their claim. They soon stop making generalisations. Among my doctoral students, these demands have been nicknamed “Kent footnotes” after one of my great (post-) postgraduates, Mike Kent (now Dr Kent). He relished compiling these enormous footnotes, confirming the evidential base for his arguments. As he would be the first to admit, it was slightly obsessive behaviour, but it certainly confirmed the scale of his reading. In my current supervisory processes, students are punished for generalisations by being forced to assemble a “Kent footnote”. 3. Write an abstract without a sentence starting “my original contribution to knowledge is…” The way to relax an examiner is to feature a sentence in the first paragraph of a PhD abstract that begins: “My original contribution to knowledge is…” If students cannot compress their argument and research findings into a single statement, then it can signify flabbiness in their method, theory or structure. It is an awful moment for examiners when they – desperately – try to find an original contribution to knowledge through a shapeless methods chapter or loose literature review. If examiners cannot pinpoint the original contribution, they have no choice but to award the script an MPhil. The key is to make it easy for examiners. In the second sentence of the abstract, ensure that an original contribution is nailed to the page. Then we can relax and look for the scaffolding and verification of this statement. I once supervised a student investigating a very small area of “queer” theory. It is a specialist field, well worked over by outstanding researchers. I remained concerned throughout the candidature that there was too much restatement of other academics’ work. The scholarship is of high quality and does not leave much space for new interpretations. Finally, we located a clear section in one chapter that was original. He signalled it in the abstract. He highlighted it in the introduction. He stressed the importance of this insight in the chapter itself and restated it in the conclusion. Needless to say, every examiner noted the original contribution to knowledge that had been highlighted for them, based on a careful and methodical understanding of the field. He passed without corrections. 4. Fill the bibliography with references to blogs, online journalism and textbooks This is a new problem I have seen in doctorates over the past six months. Throughout the noughties, online sources were used in PhDs. However, the first cycle of PhD candidates who have studied in the web 2.0 environment are submitting their doctorates this year. The impact on the theses I have examined recently is clear to see. Students do not differentiate between refereed and non-refereed or primary and secondary sources. The Google Effect – the creation of a culture of equivalence between blogs and academic articles – is in full force. When questioned in an oral examination, the candidates do not display that they have the capacity to differentiate between the calibre and quality of references. This bibliographical flattening and reduction in quality sources unexpectedly affects candidates’ writing styles. I am not drawing a causal link here: major research would need to be undertaken to probe this relationship. But because the students are not reading difficult scholarship, they are unaware of the specificities of academic writing. The doctorates are pitched too low, filled with informalities, conversational language, generalisations, opinion and unreflexive leaps between their personal “journeys” (yes, it is like an episode of The X Factor) and research protocols. I asked one of these postgraduates in their oral examination to offer a defence of their informal writing style, hoping that the student would pull out a passable justification through the “Aca-Fan”, disintermediation, participatory culture or organic intellectual arguments. Instead, the student replied: “I am proud of how the thesis is written. It is important to write how we speak.” Actually, no. A PhD must be written to ensure that it can be examined within the regulations of a specific university and in keeping with international standards of doctoral education. A doctorate may be described in many ways, but it has no connection with everyday modes of communication. 5. Use discourse, ideology, signifier, signified, interpellation, postmodernism, structuralism, post-structuralism or deconstruction without reading the complete works of Foucault, Althusser, Saussure, Baudrillard or Derrida How to upset an examiner in under 60 seconds: throw basic semiotic phrases into a sentence as if they are punctuation. Often this problem emerges in theses where “semiotics” is cited as a/the method. When a student uses words such as “discourse” and “ideology” as if they were neutral nouns, it is often a signal for the start of a pantomime of naivety throughout the script. Instead of an “analysis”, postgraduates describe their work as “deconstruction”. It is not deconstruction. They describe their approach as “structuralist”. It is not structuralist. Simply because they study structures does not mean it is structuralist. Conversely, simply because they do not study structures does not mean it is poststructuralist. The number of students who fling names around as if they are fashion labels (“Dior”, “Derrida”, “Givenchy”, “Gramsci”) is becoming a problem. I also feel sorry for the students who are attempting a deep engagement with these theorists. I am working with a postgraduate at the moment who has spent three months mapping Michel Foucault’s Archaeology of Knowledge over media-policy theories of self-regulation. It has been frustrating and tough, creating – at this stage – only six pages of work from her efforts. Every week, I see the perspiration on the page and the strain in the footnotes. If a student is not prepared to undertake this scale of effort, they must edit the thesis and remove all these words. They leave themselves vulnerable to an examiner who knows their ideological state apparatuses from their repressive state apparatuses. 6. Assume something you are doing is new because you have not read enough to know that an academic wrote a book on it 20 years ago Again, this is another new problem I have seen in the past couple of years. Lazy students, who may be more kindly described as “inexperienced researchers”, state that they have invented the wheel because they have not looked under their car to see the rolling objects under it. After minimal reading, it is easy to find original contributions to knowledge in every idea that emerges from the jarring effect of a bitter espresso. More frequently, my problem as a supervisor has been the incredibly hardworking students who read so much that they cannot control all the scholarly balls they have thrown into the air. I supervise an inspirational scholar who is trying to map Zygmunt Bauman’s “liquid” research over neoconservative theory. This is difficult research, particularly since she is also trying to punctuate this study with Stan Aronowitz’s investigations of post-work and Henry Giroux’s research into working-class education. For such students, supervisors have to prune the students’ arguments to ensure that all the branches are necessary and rooted in their original contributions to knowledge. The over-readers present their own challenges. For our under-readers, the world is filled with their own brilliance because they do not realise that every single sentence they write has been explored, extended, tested and applied by other scholars in the past. Intriguingly, these are always the confident students, arriving at the viva voce brimming with pride in their achievements. They are the hardest ones to assess (and help) through an oral exam because they do not know enough to know how little they know. Helpful handball questions about the most significant theorists in their research area are pointless, because they have invented all the material in this field. The only way to create an often-debilitating moment of self-awareness is by directly questioning the script: “On p57, you state that the academic literature has not addressed this argument. Yet in 1974, Philippa Philistine published a book and a series of articles on that topic. Why did you decide not to cite that material?” Invariably, the answer to this question – often after much stuttering and stammering – is that the candidate had not read the analysis. I leave the question hanging at that point. We could get into why they have not read it, or the consequences of leaving out key theorists. But one moment of glimpsing into the abyss of failure is enough to summon doubt that their “originality” is original. 7. Leave spelling mistakes in the script Spelling errors among my own PhD students leave me seething. I correct spelling errors. They appear in the next draft. I correct spelling errors. They appear in the next draft. The night before they bind their theses, I stare at the ceiling, summoning the doctoral gods and praying that they have removed the spelling errors. Most examiners will accept a few spelling or typographical mistakes, but in a word-processing age, this tolerance is receding. I know plenty of examiners who gain great pleasure in constructing a table and listing all the typographical and spelling errors in a script. Occasionally I do it and then I know I need to get out more. Spelling mistakes horrify students. They render supervisors in need of oxygen. Postgraduates may not fail doctorates because of them, but such errors end any chance of passing quickly and without corrections. These simple mistakes also create doubt in the examiner’s mind. If superficial errors exist, it may be necessary to drill more deeply into the interpretation, methods or structure chosen to present the findings. 8. Make the topic of the thesis too large The best PhDs are small. They investigate a circumscribed area, rather than over-egging the originality or expertise. The most satisfying theses – and they are rare – emerge when students find small gaps in saturated research areas and offer innovative interpretations or new applications of old ideas. The nightmare PhD for examiners is the candidate who tries to compress a life’s work into 100,000 words. They take on the history of Marxism, or more commonly these days, feminism. They attempt to distil 100 years of history, theory, dissent and debate into a literature review and end up applying these complex ideas to Beyoncé’s video for Single Ladies. The best theses not only state their original contribution to knowledge but also confirm in the introduction what they do not address. I know that many supervisors disagree with me on this point. Nevertheless, the best way to protect candidates and ensure that examiners understand the boundaries and limits of the research is to state what is not being discussed. Students may be asked why they made those determinations, and there must be scholarly and strategic answers to such questions. The easiest way to trim and hem the ragged edges of a doctorate is historically or geographically. The student can base the work on Belgium, Brazil or the Bahamas, or a particular decade, governmental term or after a significant event such as 11 September 2001. Another way to contain a project is theoretically, to state there is a focus on Henry Giroux’s model of popular culture and education rather than Henry Jenkins’ configurations of new media and literacy. Such a decision can be justified through the availability of sources, or the desire to monitor one scholar’s pathway through analogue and digital media. Examiners will feel more comfortable if they know that students have made considered choices about their area of research and understand the limits of their findings. 9. Write a short, rushed, basic exegesis An unfair – but occasionally accurate – cliché of practice-led doctorates is that students take three and a half years to make a film, installation or soundscape and spend three and a half weeks writing the exegesis. Doctoral candidates seem unaware that examiners often read exegeses first and engage with the artefacts after assessing if candidates have read enough in the field. Indeed, one of my students recommended an order of reading and watching for her examiners, moving between four chapters and films. The examiner responded in her report – bristling – that she would not be told how to evaluate a thesis: she always read the full exegesis and then decided whether or not to bother seeing the films. My student – thankfully – passed with ease, but this examiner told a truth that few acknowledge. Most postgraduates I talk with assume that the examiners rush with enthusiasm to the packaged DVD or CD, or that they will not read a word of the doctorate until they have seen the exhibition. This is the same assumption that inhibits these students in viva voces. They think that they will be able to talk about “art” and “process” for two hours. I have never seen that happen. Instead, the emphasis is placed on the exegesis and how it articulates the artefact. Postgraduates entering a doctoral programme to make a film or create a sonic installation subject themselves to a time-consuming and difficult process. If the student neglects the exegesis until the end of the candidature and constructs a rushed document about “how” rather than “why” it was made, there will be problems. The best students find a way to create “bonsai” exegeses. They prepare perfectly formed engagements with theory, method and scholarship, but in miniature. They note word limits, demonstrate the precise dialogue between the exegesis and artefact, and show through a carefully edited script that they hold knowledge equivalent to the “traditional” doctoral level. 10. Submit a PhD with a short introduction or conclusion A quick way to move from a good doctoral thesis to one requiring major corrections is to write a short introduction and/or conclusion. It is frustrating for examiners. We are poised to tick the minor corrections box, and then we turn to a one- or two-page conclusion. After reading thousands of words, students must be able to present effective, convincing conclusions, restating the original contribution to knowledge, the significance of the research, the problems and flaws and further areas of scholarship. Short conclusions are created by tired doctoral students. They run out of words. Short introductions signify the start of deeper problems: candidates are unaware of the research area or the theoretical framework. In the case of introductions and conclusions in doctoral theses, size does matter. Hope washes over the start of a PhD candidature, but desperation and fear often mark its conclusion. There are (at least) ten simple indicators that prompt examiners to recommend re-examination, major corrections or – with some dismay – failure. If postgraduates utilise these guidelines, they will be able to make choices and realise the consequences of their decisions. The lessons of scholarship begin with intellectual generosity to the scholars who precede us. Ironically – although perhaps not – candidatures also conclude there.
刘清泉博士论文答辩委员会决议 刘清泉同学在攻读博士学位期间对蠕虫算法的改进进行了深入而详细的研究，并将其利用在二维及三维圈模型。这些改进蠕虫算法主要有三类：连接检查的蠕虫算法、诱导子图蠕虫算法和用于完全占据圈模型模拟的蠕虫算法。蠕虫算法的设计过程本身自动满足细致平衡条件。其所提出的蠕虫类新算法能够高效模拟晶格上 O(n) 圈模型对于非负实数 n 的所有三个临界分支，包括零温度的临界分支。对比 O(n) 圈模型之数值模拟结果和库伦气体理论，作者发现了一系列表征基本几何和动力学观测量标度指数的严格表达式。基于配位数为 3 的三维过氧化氢晶格，作者还将其新算法应用于三维圈模型相变性质探究，确定了一系列 n 值下的相变点以及一系列临界指数，包括热指数，磁指数和圈指数。通过对算法动力学的分析，作者证明了所提出的改进蠕虫算法具有很高效率。刘清泉在攻读博士期间已经以第一作者在国际重要物理学刊物 Nuclear Physics B 上发表两篇论文，另有 Chinese Physics B （第二作者）一篇。 刘清泉的博士论文表述清楚，文笔流畅，逻辑严密，计算翔实，书写格式及图表规范，论文选题属于统计物理理论学科前沿。对于统计物理相关领域的文献有很好综述，了解本领域国内外最新学术动态。在答辩过程中，刘清泉思路敏捷，回答问题正确。论文内容丰富，研究系统全面，得到了有意义的结果。经答辩委员会全体委员充分讨论，投票通过，一致认为本论文是一篇优秀的博士论文，建议授予刘清泉同学博士学位。 注：刘清泉的指导老师是邓友金教授
Dr. Hu CS’ doctoral theses: OOH Syndrome and CDC Strips HU Chun-Song, M.D. M.D. Supervisors: Prof. WU Qing-Hua, Prof. HU Da-Yi, and M.D. Supervisors Group Nanchang University , CHINA Outline Introduction Part I Obesity-Obstructive Sleep Apnea(OSA)-Hypertension(OOH) Syndrome: Discovery, Name, and Clinical Features Part II OOH and NOOH Syndrome: Preliminary Clinical Data -- Paroxysmal Atrial Fibrillation(PAF) in OOH Syndrome? Yes! -- Chronic Heart Failure(CHF) in OOH Syndrome? Yes! -- Cardiovascular, Diabetes and Cancer(CDC) strips in OOH Syndrome ? Yes! Part III Prevention and Management of Hypertension in OOH syndrome: RT-ABCDEF Strategy and Seven-Core-Principles(SeCP) Based Comprehensive Therapy Part IV Predictors Of PAF: From Electrophysiology, Echocardiography to Biomarkers Part V Treatment Of CHF in 21 st Century: the Era of Biomedical Engineering Coming? Part VI Evidences for CDC strips Part VII Mechanisms and Classifications of CDC strips Part VIII Novel Strategies to Halt CDC strips Conclusions 相关附件： I 著作： 1 《青春论语》（ 胡春松 著 胡永新 书记 审 ）（已完稿） 2 《青春诗语》（ 胡春松 著 周文斌 校长 序 ）（ 已出版 ） 3 《青春私语》（ 胡春松 著 ）（写作中） 4 其它：《心脏策略》（共十二分册） / 《围产期心肌病 (PPCM) 》（待稿中） II 科研项目： 1 主持申报 2011 “ 1M1M ”房颤卒中预防项目（全球 184 项中国 12 项入闱公投），未获资助； 2 主持申报“探索大挑战” (GCE Projects) R3 、 R4 、 R5 、 R6 、 R7 、 R8 、 R9 项目 ，均未获资助； 3 主持申报 NSFC2012 （ 58 万元），未获资助； III 科普文稿：《健康报》 、《 光明日报》 、《家庭医生报》 等，公开发表； IV 积极呼吁筹建“ 胡氏健康生活方式中国发展研究中心（ CCRDHHL ） ” ---- HU Chun-Song, M.D. （胡春松 在职临床 医学博士） Associate Professor of Medicine Associate Physician-in-chief Department of Cardiovascular Medicine Nanchang University Hospital No. 461 Bayi Ave , Nanchang 330006 P.R. China Email: chunsong_hu@yahoo.com.cn 科学网博客： http://www.sciencenet.cn/blog/hucs.htm
杨海群博士英文专著摘要 Outline of Dr. Haiqun Yang's English Book 专著题目：改革的计划经济中的银行与金融控制 Banking Financial Control in Reforming Planned Economies 出版单位：英国麦克米兰出版公司，1995年 Macmillan Press, 1995 专著摘要： 本论文第一章从审视社会主义银行体制的改革出发进行研究，说明在中央计划经济的银行模式中，银行体系发挥了某种控制经济的功能。第二章分析匈牙利和中国的银行近期遇到的经济问题，探讨银行体制改革在这些国家的金融效应。第三章介绍西方国家的主要的金融发展和银行理论，集中关注银行体系在经济中的特殊作用，并研究这些理论对计划经济模式和改革的计划经济模式的意义。 在第四章中讨论了中国在经历了激进的改革之后所体验的金融混乱。这种分析表明，通过银行控制经济，并通过货币管理当局（中央银行）控制商业银行，是非常必要的。第五章通过理论分析和对所发表的理论的批判，包括对科尔奈（Kornai）的“短缺经济学”和皮伯斯（Peebles）的理论的批判，阐明上述观点的正确性。这也为第六章的讨论开辟了道路。对中国货币供应与需求的计量分析是为了研究货币总量控制有效性。模型的建立也提供了一种解决小样本的计量经济方法。最后，第七章提出结论：通过正确的政策进行银行控制不仅是必要的，而且在转型过程中是可能的。 本文希望上述争论和结论有益于促进改革的计划经济的政策制定。 专著目录: Banking and Financial Control in Reforming Planned Economies Contents Preface Acknowledgements List of Abbreviations Introduction Background Issues Questions Structure 1. Socialist Banking Systems and Their Reforms Introduction The banking model of CPEs The partially reformed banking model Conclusions 2. Problems of Selected RCPEs Introduction The economic problems of Hungary The economic problems of China Banking decentralisation during transitioin Conclusions Appendices 3. Financial Development and Banking Control Introduction How to treat the market: a review of financial development theories Are financial liberalisation models useful to reforming CPEs? The control of banks and banking control Credit rationing and monetary control Conclusions 4. Financial Disorder and Banking Control Introductioin The changing pattern of finance: Jiangsu Province Four national financial disorders in China Interenterprise debt in China The third national financial disorder: Hengshuei The battle against the fourth national financial disorder Centralisation and the control function of the banking system Successful banking system are controlled and help to control Conclusion 5. Monetary Equilibrium and Disequilibrium Introduction Monetary equilibrium in the RCPEs Liberalisation or control? Peebles and the "Shortage School" Conclusions Appendix: the cost function 6. Modelling Money Demand and Supply in China: Notice: The abovebook entitled Banking Financial Control in Reforming Planned Economies by Macmillan Press in England in 1995 was based on my Ph.D. thesis entitled Costs and Benefits in Decentralizing a Banking System in Transition completed in Birkbeck College of the University of London in 1994. 中文说明： 以上 1995 年由英国麦克米兰出版公司出版的专著 Banking Financial Control in Reforming Planned Economies 即《改革的计划经济的银行与金融控制》 一书是基于本人在伦敦大学 BIRKBECK 学院完成的博士论文 “ 银行系统分权化管理的成本效益分析 ” 。
最近对岩芯饼化的问题比较感兴趣，搜集了一些文献来读，发现不同学者的观点存在很大分歧，其中有很多问题，值得进一步研究，对理解脆性岩石的卸载破坏具有很大的借鉴意义。 然而，很多文献是会议论文，在google学术可以搜到，但是找不到全文，进了东南大学图书馆电子资源，也是无功而返。 没有找到的论文主要是会议论文和一些比较古老的非艾斯维尔和斯普林格下属期刊。 比如，两篇JGR（journal of geophysical research）的文章： Jaeger JC, Cook NGW. Pinching off and discing of rocks, JGR, 1963, 68:1759-65. Li Y, Schmitt DR. Drilling-induced core fracture and in situ stress. JGR, 1998, 103: 5225-39. 十几篇比较重要的会议论文都没有找到全文，其中有几篇在OnePetro在线图书馆里可以下载到，但是国内似乎很少有高校买了这个数据库。 此外还有一篇重要的博士论文：Dyke CG, In situ stress indicators for rock at great depth, Ph.D Thesis, University of London,Imperical College of Science and Technology.1988. 不知道有没有朋友能找到上面列出来的三篇文献，如果能找到，可就帮我大忙了！ 另外，不知道大家在寻找会议论文的时候有没有什么好办法？能不能教我一两招？
道路交通流元胞自动机模型中的相变现象研究 孙 舵 交通输运能力是制约一个国家城市化现代化进程快慢的关键因素，对国民经济的发展起重要的支撑作用。较高的交运能力可以降低人们的出行时间，提高工作效率，促进物资和人力资源更好更便捷的流通。在现代社会，一个国家或城市的交通运输状况已是衡量此地区增长潜力的重要指标。 虽然一直以来世界各国对交通改善非常重视且投入了巨资，但是交通拥堵现象还是常有发生，从而成为困扰政府的重大难题。在世界范围内，每年因交通拥塞、事故频发和尾气过量排放污染环境等问题，都直接或间接地对当地造成了巨大的经济损失。以我国为例，“十一五”时期是我国交通运输事业发展最快、成绩最突出的五年，不论是交通设施总量、规模，还是运输能力供给等方面都取得了巨大成就。但是由于私家车保有量以爆发式的速度增长，还是造成了车多路少、道路供不应求的现状，致使在大城市上下班高峰时段，动辄几小时的堵车情形屡见不鲜，每年由于交通拥堵带来的经济损失可达数千亿人民币。 为了解决我国城市的交通问题，改善城市交通系统的性能，一方面需要通过改造路网系统、拓宽路面、增添交通设施以及道路建设等城市交通所必须的硬件建设来实现，另一方面还需要通过采用科学的管理手段，把现代高新技术引入到交通管理中来提高现有路网的交通性能，从而改善整个道路交通的管理效率，提高道路设施的利用率，实现城市交通管理的科学性和有效性。这两个方面是相辅相成、缺一不可的。而交通流作为一门先进的科学理论，就是要研究城市交通中的各种复杂现象及其成因，以求对交通问题的本质加以理解，来最优化地解决道路交通问题。归根结底，能充分地利用现有的交通设施，有计划地开发有限的交通资源，以科学的理论来管理、指导以及控制交通，才是缓解迅速增长的交通需求压力，彻底解决城市发展中的各种交通问题的根本途径。交通流理论研究作为二十世纪末一门新兴的交叉性学科便是由此而产生的，特别是近年来更是受到许多学科领域研究人员的关注，涵盖了流体力学、系统科学、非线性科学、理论物理学、应用数学、交通工程学、计算机信息科学、统计学等等。 交通流理论研究的宗旨是，利用现代科学知识正确地描述与实测数据相符的交通特性，对其建立恰当的数学模型和理论解析，依靠参数识别和计算机数值模拟揭示出各种交通流现象的本质特征，为实际的交通规划以及交通管理策略提供可靠的科学理论依据，并研制出适用的程序和软件包，最终达到能够对交通系统实时监控优化的目的。而且，交通流理论研究除了具有上述重要的工程实用价值，其还具有深远的科学意义。因为，交通系统是由大量离散的车辆在复杂的道路网络中运动而构成的，车辆与车辆及道路间存在着相互制约关系，可以将其看做一种自我演化驱动的非线性复杂非平衡系统。对这类系统的运行规律的描述目前还没有严格成熟的基本理论，所以对其研究可以提供一个角度来加深对复杂性科学的认识，并且能够促进多学科的交叉融合和发展。 本文作者充分调研了国内外交通流理论的大量文献，在前人研究的基础上，提出了一些更为符合实际交通状况的二维和一维道路交通元胞自动机模型。并进一步对改进模型做了广泛细致的计算机模拟和理论解析，最终发现和解释了一些新结果，比如新的稳定平衡态和相变现象等。这一系列工作期望可以实现从交通问题的表面现象深入到本质规律认识，而后再次从理论上升到指导实际的城市或高速道路交通管理、规划和设计的实践过程中去。 本论文的主要内容可以分如下三个方面展开。 （一） 考虑交通灯周期影响的城市交通模型。此模型在二维城市道路交通流元胞自动机经典模型的基础上，考虑了延长交通灯的周期，也即红绿灯的持续时间，对城市交通系统带来的影响。模型的模拟结果显示，除了发现以往模型中已有的平衡态，还发现了以前文献所没有报道过的一种新的中间态，此稳定平衡的中间态由自由流态和阻塞态两部分组成，对应的密度区间介于高速相和低速相的临界相变点附近。并且进一步指出，系统的临界密度与交通灯周期有非单调关系，后者存在使系统通行能力最大化所对应的最优值。最后，我们定性地解释了此自由阻塞分离相的形成和动态稳定性，并用平均场近似方法给出了不同交通灯周期下系统的平均速度与车辆密度关系的理论解，以及系统临界密度与交通灯周期关系的理论解。此解析解和计算机模拟结果符合的很好，但在较短的交通灯周期条件下显得仍不够精确，我们讨论了误差产生的原因。此工作的意义在于，通过揭示城市中交通灯周期变化对整体交通系统带来的影响，来因地制宜地根据车辆密度情况设计最优的交通灯策略，在不改变城市路网结构的前提下，使得系统中可顺利通行的车辆数目达到最大。 （二） 引入车辆间博弈行为的二维道路交通模型。此模型在经典模型的基础上，加入了实际交通中驾驶员微观心理层面的相互作用。设想现实生活中可能发生的情况，如果十字路口没有安装交通灯，两交叉方向行驶的车辆又同时试图进入路口时，结果总会有至少一辆车为避免发生相撞和冲突，而停下来让过。这一情形可以用驾驶员的博弈行为来模拟，套用博弈理论的术语，可将驾驶员分为两种状态，一种称为“合作者”，另一种称为“背叛者”。合作者是指当要与另一辆车发生抢道冲突时，此驾驶员会首先选择减速，试图进行“协商”交流而后决定何方先行。而背叛者是指当两车遇到冲突时，不管对方行为如何，自己总是选择加速试图抢先通过。此耦合了博弈行为的模型，模拟时发现了一种近自由流随机相，此相介于完全自由流和堵塞相之间，是系统车辆能达到的一种较高平均速度水平的新平衡态。并且发现系统中如果加入一部分背叛者，反而可能提高临界车辆密度，使交通总体更有效率，如果鼓励和加大背叛者向合作者转变的概率，则可以更好地促进车辆运行通畅。此工作的意义在于，将实际交通中存在的车辆间行为博弈这一微观模型引入到道路交通流建模中，并发现在一定的车辆密度和博弈策略转变概率下，系统的整体平均速度会随着合作者比例的增加而增大，给现实交通中鼓励驾驶员间多多相互谦让这一现象提供了科学依据和理论支持。 （三） 基于前车信息速度优化的混合智能交通模型。此模型的建立根植于现代智能交通系统中高新通讯技术的不断发展成熟，实践中所带来的对交通基础理论研究的需要。目前已有在汽车上获得应用的自适应巡航控制系统， 能够通过设备搜集道路中车辆的位置和速度，可以根据这一车辆信息，来设计能达到系统最大车流的速度优化模型。基于这一思想，我们提出的模型采用任意车辆前方行驶的若干辆车的车距和速度作为输入参数，以此来分析此智能车允许达到的最大即时速度。此模型的模拟结果同样发现了相变现象的存在，即随着车辆密度的增大，系统的车流量先是线性增大，而后在大于临界密度处开始线性减小至零。并且还发现在智能车和普通手动车混合行驶情况下， 道路中的车辆密度如果低于一定阈值，对应于有最优的智能车比例值，其刚好能使系统达到最大车流量，且再增大也不会有所改善。 最后，我们还对 系统相变时临界密度与智能车视野和比例之间的关系进行了精确的理论解析 。此工作意义在于，提出了一种基于道路车辆信息智能优化车速的混合交通流模型，理论上论证了增加带有智能系统的车辆从而改善道路交通状况的可行性。另外，还 指导我们在进行实际交通规划时，要准确把握系统的运行现状，针对不同情况来设计最有效的策略。 关键词 ：交通流理论，元胞自动机模型，交通灯周期，平均场理论，相变现象，博弈行为，智能交通 发表论文： 1. Duo Sun, Tao Zhou, Jian-Guo Liu, Run-Ran Liu, Chun-Xiao Jia, Bing-Hong Wang. Information filtering based on transferring similarity, Physical Review E 80, 017101, 2009. 2. Duo Sun, Rui Jiang, and Bing-Hong Wang. Timing of traffic lights and phase separation in two-dimensional traffic flow, Computer Physics Communications 181, 2010, 301-304. 3. Duo Sun, Bing-Hong Wang. Effects of traffic lights period and application of mean-field theory in two dimension traffic flow, Journal of Jilin University（吉林大学学报）39, 2009, 80-82.
复杂网络上的若干动力学研究 杨涵新 本文研究了复杂网络上的演化博弈、信息流传输和意见动力学。全文的主要工作如下： 首先我们研究了网络聚类结构、社会差异性、期望导致的迁移对于演化博弈中合作行为的影响。我们研究发现无标度网络的聚类系数越高，越能促进公共物品博弈的合作行为。我们在演化博弈中引入了社会差异性。每个个体的影响力是不一样的。在博弈演化过程中，个体选择其中一个邻居进行策略学习的概率正比于该邻居的影响力。研究表明在当大度节点的影响力适当大的时候，网络的合作水平达到最高。我们提出了一种预期迁移的博弈模型。当个体的博弈收益低于期望值的时候，它会迁移到另外一个地点。研究发现，在适中的期望值下，有效地促进背叛簇的瓦解和合作簇的扩展，从而提高系统的合作水平。 其次，我们研究了复杂网络上的信息流传输。在总资源有限的情况下，我们设计了一种节点信息包投递能力的最优分配策略，使得网络的信息处理能力达到最高。我们首次研究了移动网络上的信息流传输，发现节点的移动速度和通讯范围越大的话，越能提高网络的信息处理能力，表现为临界信息包产生率增大及平均信息包投递时间的缩短。 最后，我们研究了社会差异性和从众心理对于复杂网络意见动力学中收敛时间的影响。由于社会差异性的存在，每个个体的影响力是不一样的，影响力大的个体的意见有更大的概率被另外一个人所采纳。研究发现给大度个体赋予适当大的影响力，能最快地使整个网络的意见达成一致。我们设计了一种个体从众心理可调的意见动力学模型。在这个模型中，个体从众心理越强，它会以越大的概率追随周围邻居中占多数的意见。研究发现，当个体从众心理适中的时候，群体意见能最快达成一致。 本文工作的主要创新点有两个方面： 一是研究了社会差异性在复杂网络动力学中的作用。由于个体差异性的存在，不同个体的影响力和作用是不一样的。我们以演化博弈和意见动力学为例，阐明了社会差异性在复杂网络动力学中所起的重要作用。 二是研究了个体移动性在复杂网络动力学中的作用。以往的复杂网络动力学研究中，通常是在静态网络上进行的。在静态网络上，节点不发生移动，同时节点的邻居也是始终不变的。如果引入个体移动性，则网络的结构是动态的，节点的邻居随时间的演化会发生变化。 本人在博士就读期间共发表 SCI 论文 30 篇，其中第一作者 9 篇。论文总引用次数 160 余次。 (1) Han-Xin Yang , Zhi-Xi Wu, and Bing-Hong Wang, Role of aspiration-induced migration in cooperation, Phys. Rev. E 81, 0651019(R) (2010). (2) Han-Xin Yang , Wen-Xu Wang, Yan-Bo Xie, Ying-Cheng Lai, and Bing-Hong Wang, Transportation dynamics on networks of mobile agents, Phys. Rev. E 83, 016102 (2011). (3) Han-Xin Yang , Wen-Xu Wang, Zhi-Xi Wu, Ying-Cheng Lai, and Bing-Hong Wang, Diversity-optimized cooperation on complex networks, Phys. Rev. E 79, 056107 (2009). (4) Han-Xin Yang , Zhi-Xi Wu, Changsong Zhou, Tao Zhou, and Bing-Hong Wang , Effects of social diversity on the emergence of global consensus in opinion dynamics, Phys. Rev. E 80, 046108 (2009). (5) Han-Xin Yang , Wen-Xu Wang, and Bing-Hong Wang, Asymmetric negotiation in structured language games, Phys. Rev. E 77, 027103 (2008). (6) Han-Xin Yang , Wen-Xu Wang, Zhi-Xi Wu, and Bing-Hong Wang, Traffic dynamics in scale-free networks with limited packet-delivering capacity, Physica A 387, 6857-6862 (2008). (7) Han-Xin Yang , Bing-Hong Wang, Wen-Xu Wang, and Zhi-Hai Rong, Spatial games based on pursuing the highest average payoff, Chinese Physics Letters, 25, 3504-3506 (2008). (8) Han-Xin Yang , Bing-Hong Wang, Jian-Guo Liu, Xiao-Pu Han, and Tao Zhou, Step-by-step random walk network with power-law clique-degree distribution, Chinese Physics Letters, 25, 2718-2720 (2008). (9) Han-Xin Yang , Kun Gao, Xiao-Pu Han, and Bing-Hong Wang, Evolutionary snowdrift game on heterogeneous Newman-Watts small-world network, Chinese Physics B, 17 , 2759-2763 (2008). (10) Zhihai Rong, Han-Xin Yang , and Wen-Xu Wang, Feedback reciprocity mechanism promotes the cooperation of highly clustered scale-free networks, Phys. Rev. E 82, 047101 (2010). (11) Bao-Mei Tian, Han-Xin Yang , Wei Li, Wen-Xu Wang, Bing-Hong Wang, and Tao Zhou , Optimal view angle in collective dynamics of self-propelled agents, Phys. Rev. E 77, 027103 (2008). (12) Luo-Luo Jiang, Ming Zhao, Han-Xin Yang , Joseph Wakeling, Bing-Hong Wang, and Tao Zhou, Reducing the heterogeneity of payoffs: An effective way to promote cooperation in the prisoner's dilemma game, Phys. Rev. E 80, 031144 (2009). (13) Chun-Xiao Jia, Run-Ran Liu, Han-Xin Yang , and Bing-Hong Wang, Effects of fluctuations on the evolution of cooperation in the prisoner's dilemma game, EPL, 90, 30001 (2010). (14) Dan Peng, Han-Xin Yang , Wen-Xu Wang, Guanrong Chen, and Bing-Hong Wang, Promotion of cooperation induced by nonuniform payoff allocation in spatial public goods game , European Physical Journal B, 73, 455-459 (2010). (15) Haifeng Zhang, Michael Small, Hanxin Yang , and Bing-Hong Wang, Adjusting learning motivation to promote cooperation, Physica A, 389, 4734-4739 (2010). 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博士论文即将完成。很多材料（如执行程序、数据等）在正文中无法提供，将由本页面给出。 间接互惠、有成本惩罚和社会合作的演化 摘 要 合作对人类社会至关重要，它是人类文明的而基础。 社会合作指的是在一个由大量个体构成的社会中，个体愿意牺牲个人利益以达到更高的社会整体利益。 随着生活范围不断扩大和社会分工精细化，人们与陌生人交往的机会越来越多，在大规模社会中陌生人在一次性交互中的合作行为被称为间接互惠。 如何才能在自私个体中形成 间接互惠型社会合作 呢？ 近来对有成本惩罚——即惩罚者花费一定成本给被惩罚者带来一定损失——的研究受到广泛关注，但其在促进社会合作中的作用存在较大争议，例如 Ohtsuki 等发现在合作演化稳定状态有成本惩罚通常会降低社会整体效益。 本文综合运用种群动力学、真人互动实验和多主体仿真三种方法研究 有成本惩罚在促进间接互惠型社会合作中的作用。社会主体可能采用不同的策略，这些策略可能是合作的或者是不合作的，惩罚的或者是不惩罚的。采用不同策略的主体可以类比于生态系统中的不同种群，策略的预期收益就是种群的适应度。利用种群动力学刻画社会上策略比例的演化，而策略比例决定了社会的合作程度和惩罚倾向。真人互动实验可以基于计算机网络构建虚拟社会，招募受试者在其中彼此交互，提供真实、直接的主体行为模式和社会演化路径。多主体仿真可以针对个体建模，考察个体交互如何形成整体现象，提供社会合作演化的基层运行机制，并能分析更多影响因素对社会合作演化的影响。 首先研究了有成本惩罚在社会合作演化路径中的作用。在 Ohtsuki 等的模型基础上提出社会合作演化模型，利用种群动力学的方法具体刻画了主体策略的演化过程，探讨惩罚在社会从较少合作到完全合作演化过程中的作用。我们发现，惩罚一方面 可以扩大合作性社会状态的吸引域范围，即当社会上存在较多不合作参与者时只有惩罚才能使社会摆脱都不合作的恶性循环，另一方面可以提高社会向合作状态演化的速度，即当社会不够耐心时惩罚可以使社会更快到达更为合作的状态。基于此模型的真人互动 实验在一定程度上证实了理论分析的结论， 当初始社会状态中不合作比例较高时，在鼓励惩罚的社会中，合作比例迅速提高，而在不鼓励惩罚的社会中，不合作参与者不断增加。多主体 仿真再现了理论分析的结果，提供了社会合作演化的基层运行机制，还分析了社会人口规模、社会主体学习适应速度和历史记忆长度对社会合作演化的影响。 又研究了有成本惩罚在具有生死机制的社会中的作用。在上述模型中，惩罚的作用只体现在合作演化的路径上，在社会的演化稳定状态上惩罚会降低社会整体效益。那为什么经过如此漫长的演化后人类社会仍然需要惩罚呢？本文引入生死机制，假设社会中不断有老的个体退出、新的个体进入。退出的个体在社会中学习适应较长时间，可能将接受社会规范并采用合作策略，而新生个体天生自私并采用不合作策略。利用种群动力学对该社会的策略演化动态进行建模和分析，发现有成本惩罚在具有生死机制的社会中对促进社会合作的作用更为明显，即使在社会的演化稳定均衡状态有成本惩罚仍然能够提供最大的社会整体收益。 还研究了有成本惩罚在无信誉机制的社会中的作用。前面的模型都是基于完美信誉机制的，一个主体的行为可以被其他所有主体知晓并赋予统一的信誉评价，对不同信誉的主体的区别对待成就间接互惠型社会合作。而在无信誉机制情况下，社会能够达成间接互惠型社会合作呢？我们发现，如果有成本惩罚与权力不对称配合，在只有局域信息的情形下社会仍可以达成一定程度的合作。社会主体可以选择作为 警察或平民，警察承担遇到不合作对手时必须采用惩罚行动的责任，同时享有在自己不合作时受到的惩罚强度较小的特权。特权可以给一部人愿意承担惩罚责任的动机，而惩罚使得多数人合作并维持社会整体的合作，形成由不合作的警察和合作平民构成的腐败型社会合作状态。同时我们也发现，有成本惩罚和权利不对称的作用在社会上存在较多不合作主体时最为明显，当社会已经比较合作时，特权过大会导致腐败严重，社会整体收益降低。 关键词：有成本惩罚，间接互惠，社会规范，权利不对称，腐败型社会合作，种群动力学，真人互动实验，多主体仿真 Indirec Reciprocity, Costly Punishment and the Evolution to Social Cooperation Abstract Cooperation is of utmost importance of human society, and it is the base of our civilization. Social cooperation refers to the social state that individuals tend to incur own cost to make a higher social benefit in a society with large amount of individuals. With the expanding of the scope of everyday life and the elaboration of labor division and specialization, one has more chance to interact with strangers, and the cooperation of strangers in society with a large scale of population is referred to as indirect reciprocity. How does indirect reciprocity emerge among selfish individuals? Recently, costly punishment which means that punisher incurs a cost to make a loss to the punished draws much attention. But the role of costly punishment in promoting cooperation is ambiguous, such as Ohtsuki etc. found that costly punishment will decrease the social benefit in the cooperative evolutionary stable state. This paper studies the role of costly punishment in promote social cooperation of indirect reciprocity comprehensively using the methods of population dynamics, live interactive experiments and agent-based simulation. Individuals may adopt different kinds of strategies which may be cooperative or not cooperative and may use or do not use punishment. Individuals adopting different kinds of strategies are analogical to different populations in ecological system, and the expected revenue of a strategy is its fitness in evolution. Population dynamics is used to model the evolution of the distribution of all strategies which determines the level of social cooperation and the tendency to punish. By live interactive experiments, subjects are recruited to interact with each other in a virtual society, which can provide the direct and reliable individual behavioral pattern and social evolution route. By multi-agent simulation, we can model the behavior pattern of each individual and investigate how interaction of individual can generate high level phenomenon. Multi-agent simulation can provide the underlying mechanism for the evolution of social cooperation. Firstly, we study the role of punishment in the route of social cooperation evolution. The evolution dynamic of individuals’ strategies is explicitly modeled. We find that costly punishment can enlarge the attraction basin of cooperative social states which implies that a society can only struggle out of social dilemma by using punishment if there are too many no-cooperators and increase the converge rate to cooperative state which implies that punishment can make a society speed up to a more cooperative state if the society is not patient enough. Live interactive experiments based on this model support the theoretical results. Form a state with few cooperators, the cooperation ratio increases rapidly in a society encouraging punishment while the cooperation ratio decreases in a society not encouraging punishment. Agent-based simulation replicates the results of theoretical analysis and provides the underlying mechanism of cooperation evolution. The influence of society population size, individual learning rate and individual memory length is also analyzed. Secondly, we study the role of costly punishment in a society with birth-death mechanism. In model above, punishment only works in the route to cooperation, and it will decrease the social benefit in the stable state. Then why punishment still prevails after so long history of evolution? We introduce the birth-death mechanism which assumes that old individuals will exit and new individuals will enter. The exiting are those who adapted to the society and cooperate, while the newcomers are inherently selfish and defect. We model and analyze the evolution of strategy distribution as population dynamics. It is found that the effect of costly punishment is more significant in society with birth-death mechanism; and punishment can provide the higher social benefit even in the stable state of social evolution. Lastly, we study the role of costly punishment in a society with no reputation mechanism. The models above are based on perfect reputation mechanism and the action of each individual is observed and is assigned a reputation public to all. The discriminating treatment to different reputation leads to the indirect reciprocity. Can social cooperation be maintained in a society with no reputation mechanism? We find that a society can accomplish some extent of cooperation without reputation mechanism with the help of punishment and power asymmetry. Individuals can choose to be police or citizen. A police has a duty to punish a defector when encountering while enjoys a privilege to get less punishment when he defects to another police. The privilege provides the incentive of small part of individuals to be police and the existence of punishment deters most individuals to cooperate. This makes a corruptive social cooperation composed of cooperative citizen and nocooperative police. We also find that the effect of costly punishment and power asymmetry is more significant when there are many defectors in a society and too large power asymmetry will lead to severe corruption and decrease the social benefit when there are already many cooperators. KEY WORDS ： Indirect Reciprocity, Costly punishment, Social norm, Power Asymmetry, Corruptive Social Cooperation, Population Dynamics, Live Active Experiment, Multi-agent Simulation 目 录 间 接 互惠、有成本惩罚和社会合作的演化 . I 摘 要 . I 1 绪论 . 1 1.1 社会合作 . 1 1.2 直接互惠与间接互惠 . 2 1.2.1 直接互惠 . 2 1.2.2 间接互惠 . 3 1.3 有成本惩罚 . 8 1.3.1 有成本惩罚的含义 . 8 1.3.2 有成本惩罚的广泛存在性 . 8 1.3.3 对有成本惩罚作用的争议 . 9 1.4 本文研究的思路、方法和内容 . 11 1.4.1 本文研究思路 . 11 1.4.2 本文研究方法 . 12 1.4.3 本文研究内容 . 13 2 有成本惩罚在合作稳定状态的作用 . 16 2.1 引言 . 16 2.2 有惩罚的捐赠博 弈模型 . 16 2.2.1 基本规则 . 16 2.2.2 个体策略 . 17 2.2.3 社会规范 . 17 2.2.4 社会分辨度 . 18 2.3 合作性演化稳定策略 . 19 2.3.1 合作性 . 20 2.3.2 演化稳定性 . 23 2.4 结果分析 . 27 2.4.1 CD 型演化稳定策略 . 28 2.4.2 CP 型演化稳定策略 . 30 2.4.3 参数对最优演化稳定 策略的影响 . 33 2.5 本章小结 . 35 3 有成本惩罚在合作演化路径中的作用 . 37 3.1 问题提出 . 37 3.2 社会合作演化模型 . 37 3.2.1 模型基本设 置 . 37 3.2.2 策略分布演化动态 . 40 3.3 结果分析 . 48 3.3.1 演化稳定状态 . 48 3.3.2 合作演化稳定状态的吸引域 . 51 3.3.3 趋向合作状态的收敛速度 . 57 3.4 本章小结 . 60 4 真人互动实验 . 61 4.1 Z-Tree 实验平台介绍 . 61 4.2 社会规范与合作行为实验 . 63 4.2.1 实验背景介绍 . 63 4.2.2 社会规范的选取与顺序安排 . 64 4.2.3 实验操作步骤 . 65 4.2.4 受试者激励机制 . 66 4.2.5 实验开发与运行 . 67 4.3 实验结果分析 . 67 4.3.1 台北实验结果 . 67 4.3.2 北京实验结果 . 69 4.3.3 重庆实验结果 . 70 4.3.4 初始策略分布 . 71 4.4 本章小结 . 72 5 多主体计算机仿真 . 73 5.1 问题提出 . 73 5.2 多主体仿真模型 . 74 5.2.1 交互机制 . 74 5.2.2 学习机制 . 75 5.3 人工社会系统 . 75 5.4 结果分析 . 79 5.4.1 再现理论分析结果 . 79 5.4.2 参数对社会合作演化形态的影响 . 81 5.4.3 解释真人实验结果 . 83 5.5 本章小结 . 85 6 有成本惩罚在具有 生死机制的社会合作中的作用 . 86 6.1 问题提出 . 86 6.2 具有生死机制的捐赠博弈模型 . 86 6.2.1 基本模型 . 86 6.2.2 策略分布演化动态 . 88 6.3 结果分析 . 92 6.3.1 惩罚可选社会规范 . 92 6.3.2 惩罚鼓励社会规范 . 94 6.3.3 两种社会规范的比较 . 96 6.4 本章小结 . 101 7 有成本惩罚在无信誉机制社会中的作用 . 103 7.1 问题提出 . 103 7.2 权力不对称下的捐赠博弈模型 . 104 7.2.1 基本模型 . 104 7.2.2 策略及支付矩阵 . 104 7.2.3 策略 的预期收 益 . 105 7.2.4 策略演化动态 . 107 7.3 结果分析 . 109 7.3.1 演化稳定社会状态 . 109 7.3.2 演化稳定状态的吸引域 . 112 7.4 本章小结 . 120 8 结论和总结 . 121 参考文献 . 123 附 录 . 123 致 谢 . 123 作者致攻读博士 学位期间发表的学术论文 . 123 附属材料： 1.第2章图11和图12的matlab程序。 ch2Fig11and12.rar 2.第4章真人互动实验Z-Tree程序和实验数据（数据尚未整理有点乱） EG(Simplified).ztt Experiment data.rar 3.第5章多主体仿真Netlog程序 costly-punishment.nlogo
人类已经走过了石器时代、青铜时代和铁器时代，现在又迎来了“信息时代”（Information Age）。那么究竟什么是信息时代呢？这个问题说来话长，早在我做博士论文时就把《牛津英语词典》（OED）关于Information这个词，以及与其相关的短语做了讨论，现在OED上网了，可我却发现关于信息的词有多了起来，我只好慢慢再整理一番。据OED词条记载，首次使用“信息时代”的人勒霍恩（Richard Leghorn），年代是1960年。勒霍恩写道： Present and anticipated spectacular informational achievements will usher in public recognition of the “information age,” probably under a more symbolic title. （当下和未来的投机者的信息成就将在“信息时代”得到公认，这种公认很可能更据象征意义。） 而OED对“信息时代”的定义是： the era in which the retrieval, management, and transmission of information, esp. by using computer technology, is a principal (commercial) activity. （尤其重视用计算机技术检索、管理和传播信息的一种主要的（商业）活动的时代。） OED提到1960年似是而非的起点。但这个起点确实不正确。“信息时代”这个短语早在45年前就被另外一位叫马丁（A. H. Martin）的人抢先使用了。在一份美国出版的杂志《编辑人》（The Editor）有下列的表述（为准确起见将其用图的形式贴出来）： 1915年出现的“信息时代”贴图 （这是信息时代（Information Age）。几乎所有的人对世界上正在发生的事件表示出兴趣，每个人自然而然地都最关心反映他所处的特殊阶层的进展。） 那可是1915年啊，就有了“信息时代”的观念！马丁在说些什么？那时可没有什么检索、管理和处理信息之类的说法。那时的新技术不过就是电话和收音机传播声音和讯息而已，可人们还是没有把那些东西叫做“信息”。那时所谓的信息更类似于事实。所以，有的时候诉诸权威的著作或工具书并不一定可靠。
今天搜一篇文章的时候发现我的博士论文在中国知网已经可以检索到了： 相向行人流自组织行为机理研究 Study of the Behavioral Mechanism of Self-organized Pedestrian Counter Flow 【作者】 马剑 【导师】 廖光煊 ; 卢兆明 【作者基本信息】 中国科学技术大学 ，安全技术及工程，2010年，博士 【摘要】 拥挤人群的运动,包含单向、双向、交叉、往复等形式,可能引发诸如踩踏之类的严重事故。在这类事故中,行人可能遭受身体伤害甚至失去生命。因此,建筑设施内行人运动的舒适性及安全性问题日益引起建筑设计及管理人员的关注。已有的研究表明,影响建筑服务水平(Level of Service)的因素和行人流自组织的模式紧密相关。但是,目前尚缺乏对导致行人流自组织的行人行为机理的研究。本文中,我们首先开展可控的实验,研究通道内行人运动的微观特征。基于数字图像处理的方法,提取出实验录像中行人的运动轨迹,并对这些运动轨迹做直接线性变换得到相应的现实坐标。依据行人的现实坐标研究单个行人的运动特征、行人与走廊间的作用以及行人与行人间的相互作用。结果表明,当在通道中运动时,典型学生行人的平均弛豫时间为0.71秒,平均最大行走速度为1.51米／秒。同时,行人在运动的过程中与墙壁保持一定的距离。当与墙之间的距离太近时,行人有朝远离墙壁方向运动以避免潜在碰撞的趋势。这种运动趋势最终被量化为行人与墙壁间随距离增长指数衰减的力。当通道内一个运动的行人规避在其运动方向上其他静止行人时,他们间的作用力呈现出各向异性的特点。典型中 ...更多 国学生行人在运动过程中有显著的右行偏向。进一步定量的分析表明,当静止的行人处于运动行人的右前方,那么其对运动行人的力变化不明显；当静止行人处于运动行人的左前方,其对运动行人的力随他们间距离的增加变化显著。其次,对于环形通道内单列同向运动的行人间相互作用的分析则表明,运动个体受其直接前驱最近邻的影响显著,而几乎不受其他行人影响。基于上述实验结果,我们建立近邻模型和全近邻模型两个模型以研究相向行人流中运动个体间的基本作用。这两个模型的更新规则与随机行走元胞自动机模型(即基本模型)一致：通道内运动的个体依照其运动方向被分成左行行人和右行行人两种。不同的是,行人因不同的相互作用形式而具有不同的方向选择行为。在全近邻模型中,运动个体的方向选择行为受到距其一定距离范围内迎面.而来的所有的运动个体的影响；在近邻模型中,运动个体的方向选择则受到从对面走来的与其距离最近的近个体的分布的影响。通过研究相向行人流中自发形成的行人分层以及影响通道内行人分层数目的因素,我们发现随着通道内行人密度的变化,全近邻模型中行人分层的模式变化显著,而近邻模型中行人分层模式基本不变且与实际观测相符。这意味着近邻作用在行人集群行为涌现中起着更基本的作用。基于演化博弈理论,我们分析了模型中行人分层的涌现机制。并研究了通道内行人的平均速度,密度与边界密度间的关系,讨论了速度、流量增强的原因。通过比较模型中行人分层的模式与实际观测的相向行人流模式、模型计算得到的基本图与行人流经验基本图,我们对近邻模型进行了验证。结果表明近邻模型可以改善交通环境,进而增加自由流区域内行人的运动速度,并且能够重现高密度时的相分离及自由流向壅塞流转变的特征。考虑到实际行人流中行人相对.位置有错位的现象,我们对近邻模型进行了改进,建立了多格子近邻模型,并采用多格子近邻模型研究了相向行人流受系统尺寸、行人视野范围以及非对称边界条件等影响下的动力学行为。在深入理解相向行人流中行人行为机理的基础上,我们将近邻模型嵌入地理信息系统(GIS)平台,开发了基于GIS的行人流模拟软件。并进一步以不同的车站站台设计方案为例,讨论为改善行人交通环境采取不同拥挤人群控制措施时,地铁站台上行人运动的基本图以及实时的设施服务水平图,评估人行设施的服务水平,研究探讨拥挤人群的控制方法。 还原 【Abstract】 Pedestrian crowd movement, including single direction, bi-directional flow etc, may trigger serious crowd disasters such as trampling. People may be injured or even killed in these disasters. As a result, the effect of building facilities on the comfort and safety of people's movement becomes one of the important concerns of building designers and facility managers. Factors affecting the level of service relate closely to pedestrian flow pattern. Previous studies indicate that self-organized patterns emerging in pedestrian counter flows may affect the flow rate and velocity of crowds. However, the studies rarely discussed the inter-personal interaction in pedestrians.In this study, we first performed well-controlled experiments to capture the moving characteristics of pedestrians in a corridor. Pedestrians'moving trajectories were first extracted with digital image processing method and then mapped into real space coordinates by adopting a direct linear transformation approach. Moving ...更多 characteristics of single pedestrian, interaction between pedestrian and the corridor as well as interaction between pair pedestrians were analyzed. It was found that when walking in the corridor, the average relaxation time of typical Chinese pedestrians was about 0.71s, and the maximum mean velocity of free walking was about 1.51m/s. Meanwhile, these pedestrians also kept a suitable distance to the wall to avoid potential collisions. When walking too close to the wall, the pedestrian had a tendency to walk away. This phenomenon was then expressed as an exponential decay force function. When one pedestrian tried to evade another standing still pedestrian in the corridor, the interaction between them showed a non-isotropic feature. The experimental results indicated that the participants preferred to walk with right preference more significantly. We further quantified the interaction among pedestrians, and found that the force from those who located on the right-forward direction did not change much while from those who located on the left-forward direction did vary with the increase of distance. Interaction among pedestrians in a single file uni-directional flow show that the moving pedestrian is affected by his direct predecessor most while is barely affected by others.Based on the experimental findings, two models were established, namely a metric distance based model and a k-Nearest-Neighbor (kNN) counterflow model, which could be used to investigate the fundamental interaction ruling pedestrian counter. flow. The basic update schemes of these two models were the same with a cellular automaton (CA) random walker model, which is entitled as basic model hereafter. Pedestrians moving in a long channel will evolve into left moving pedestrians and right moving pedestrians. These pedestrians interact with each other in different forms in different models. In the metric distance based model, the direction chosen behavior of an individual is influenced by all those who are in a small metric distance and come from the opposite direction; while in the kNN counterflow model, the direction chosen behavior of an individual is influenced by the distribution of a fixed number of the k-Nearest neighbors coming from the opposite direction. The self-organized lane formation was captured and factors affecting the number of lanes formed in the channel were investigated. Results implied that with varying the density, the lane formation pattern varies substantially in the case of metric distance based model while is nearly the same in the kNN counterflow model which matches field observations. This means that the kNN interaction plays a more fundamental role in the emergence of collective pedestrian phenomena. The relations among mean velocity, occupancy and total entrance density at the boundaries of the counter flow system were also studied. Reasons for the lane formation in the CA models were theoretically investigated on the basis of game theory. Reasons for the velocity enhancement and flow improvement were also discussed.The kNN counterflow model was further validated by comparing lane formation pattern and the fundamental diagram with real pedestrian counter flow. The results indicated that the kNN interaction enhances the mean velocity in the free flow phase by providing more efficient traffic condition, and is able to quantify features such as segregation and phase transition at high density of pedestrian traffic. Considering the facts such as the pedestrians'locations are out of alignment in reality, we further modified the kNN model into multi-grid kNN model to mimic pedestrian flow. Dynamics of the multi-grid kNN model were studied to detail traffic characteristics of pedestrian counter flow.With these insights in the behavioral mechanism of pedestrian counter flow, we illustrated the present study in the area of crowd control by an example of improving traffic situation for pedestrian counter flow in a long corridor in respect of a series of layout design. To facilitate application, we further embed the kNN counterflow model into a Geographic Information System (GIS) platform and try to derive fundamental diagram, as well as real-time level-of-service map so as to evaluate levels of services of pedestrian traffic facilities and efficiencies of different crowd control methods. 还原 ReplaceFont('ChDivSummary','拥挤人群的运动,包含单向、双向、交叉、往复等形式,可能引发诸如踩踏之类的严重事故。在这类事故中,行人可能遭受身体伤害甚至失去生命。因此,建筑设施内行人运动的舒适性及安全性问题日益引起建筑设计及管理人员的关注。已有的研究表明,影响建筑服务水平(Level of Service)的因素和行人流自组织的模式紧密相关。但是,目前尚缺乏对导致行人流自组织的行人行为机理的研究。本文中,我们首先开展可控的实验,研究通道内行人运动的微观特征。基于数字图像处理的方法,提取出实验录像中行人的运动轨迹,并对这些运动轨迹做直接线性变换得到相应的现实坐标。依据行人的现实坐标研究单个行人的运动特征、行人与走廊间的作用以及行人与行人间的相互作用。结果表明,当在通道中运动时,典型学生行人的平均弛豫时间为0.71秒,平均最大行走速度为1.51米／秒。同时,行人在运动的过程中与墙壁保持一定的距离。当与墙之间的距离太近时,行人有朝远离墙壁方向运动以避免潜在碰撞的趋势。这种运动趋势最终被量化为行人与墙壁间随距离增长指数衰减的力。当通道内一个运动的行人规避在其运动方向上其他静止行人时,他们间的作用力呈现出各向异性的特点。典型中国学生行人在运动过程中有显著的右行偏向。进一步定量的分析表明,当静止的行人处于运动行人的右前方,那么其对运动行人的力变化不明显；当静止行人处于运动行人的左前方,其对运动行人的力随他们间距离的增加变化显著。其次,对于环形通道内单列同向运动的行人间相互作用的分析则表明,运动个体受其直接前驱最近邻的影响显著,而几乎不受其他行人影响。基于上述实验结果,我们建立κ近邻模型和全近邻模型两个模型以研究相向行人流中运动个体间的基本作用。这两个模型的更新规则与随机行走元胞自动机模型(即基本模型)一致：通道内运动的个体依照其运动方向被分成左行行人和右行行人两种。不同的是,行人因不同的相互作用形式而具有不同的方向选择行为。在全近邻模型中,运动个体的方向选择行为受到距其一定距离范围内迎面.而来的所有的运动个体的影响；在κ近邻模型中,运动个体的方向选择则受到从对面走来的与其距离最近的κ近个体的分布的影响。通过研究相向行人流中自发形成的行人分层以及影响通道内行人分层数目的因素,我们发现随着通道内行人密度的变化,全近邻模型中行人分层的模式变化显著,而κ近邻模型中行人分层模式基本不变且与实际观测相符。这意味着κ近邻作用在行人集群行为涌现中起着更基本的作用。基于演化博弈理论,我们分析了模型中行人分层的涌现机制。并研究了通道内行人的平均速度,密度与边界密度间的关系,讨论了速度、流量增强的原因。通过比较模型中行人分层的模式与实际观测的相向行人流模式、模型计算得到的基本图与行人流经验基本图,我们对κ近邻模型进行了验证。结果表明κ近邻模型可以改善交通环境,进而增加自由流区域内行人的运动速度,并且能够重现高密度时的相分离及自由流向壅塞流转变的特征。考虑到实际行人流中行人相对.位置有错位的现象,我们对κ近邻模型进行了改进,建立了多格子κ近邻模型,并采用多格子κ近邻模型研究了相向行人流受系统尺寸、行人视野范围以及非对称边界条件等影响下的动力学行为。在深入理解相向行人流中行人行为机理的基础上,我们将κ近邻模型嵌入地理信息系统(GIS)平台,开发了基于GIS的行人流模拟软件。并进一步以不同的车站站台设计方案为例,讨论为改善行人交通环境采取不同拥挤人群控制措施时,地铁站台上行人运动的基本图以及实时的设施服务水平图,评估人行设施的服务水平,研究探讨拥挤人群的控制方法。');ReplaceFont('EnDivSummary',' Pedestrian crowd movement, including single direction, bi-directional flow etc, may trigger serious crowd disasters such as trampling. People may be injured or even killed in these disasters. As a result, the effect of building facilities on the comfort and safety of people\'s movement becomes one of the important concerns of building designers and facility managers. Factors affecting the level of service relate closely to pedestrian flow pattern. Previous studies indicate that self-organized patterns emerging in pedestrian counter flows may affect the flow rate and velocity of crowds. However, the studies rarely discussed the inter-personal interaction in pedestrians.In this study, we first performed well-controlled experiments to capture the moving characteristics of pedestrians in a corridor. Pedestrians\'moving trajectories were first extracted with digital image processing method and then mapped into real space coordinates by adopting a direct linear transformation approach. Moving characteristics of single pedestrian, interaction between pedestrian and the corridor as well as interaction between pair pedestrians were analyzed. It was found that when walking in the corridor, the average relaxation time of typical Chinese pedestrians was about 0.71s, and the maximum mean velocity of free walking was about 1.51m/s. Meanwhile, these pedestrians also kept a suitable distance to the wall to avoid potential collisions. When walking too close to the wall, the pedestrian had a tendency to walk away. This phenomenon was then expressed as an exponential decay force function. When one pedestrian tried to evade another standing still pedestrian in the corridor, the interaction between them showed a non-isotropic feature. The experimental results indicated that the participants preferred to walk with right preference more significantly. We further quantified the interaction among pedestrians, and found that the force from those who located on the right-forward direction did not change much while from those who located on the left-forward direction did vary with the increase of distance. Interaction among pedestrians in a single file uni-directional flow show that the moving pedestrian is affected by his direct predecessor most while is barely affected by others.Based on the experimental findings, two models were established, namely a metric distance based model and a k-Nearest-Neighbor (kNN) counterflow model, which could be used to investigate the fundamental interaction ruling pedestrian counter. flow. The basic update schemes of these two models were the same with a cellular automaton (CA) random walker model, which is entitled as basic model hereafter. Pedestrians moving in a long channel will evolve into left moving pedestrians and right moving pedestrians. These pedestrians interact with each other in different forms in different models. In the metric distance based model, the direction chosen behavior of an individual is influenced by all those who are in a small metric distance and come from the opposite direction; while in the kNN counterflow model, the direction chosen behavior of an individual is influenced by the distribution of a fixed number of the k-Nearest neighbors coming from the opposite direction. The self-organized lane formation was captured and factors affecting the number of lanes formed in the channel were investigated. Results implied that with varying the density, the lane formation pattern varies substantially in the case of metric distance based model while is nearly the same in the kNN counterflow model which matches field observations. This means that the kNN interaction plays a more fundamental role in the emergence of collective pedestrian phenomena. The relations among mean velocity, occupancy and total entrance density at the boundaries of the counter flow system were also studied. Reasons for the lane formation in the CA models were theoretically investigated on the basis of game theory. Reasons for the velocity enhancement and flow improvement were also discussed.The kNN counterflow model was further validated by comparing lane formation pattern and the fundamental diagram with real pedestrian counter flow. The results indicated that the kNN interaction enhances the mean velocity in the free flow phase by providing more efficient traffic condition, and is able to quantify features such as segregation and phase transition at high density of pedestrian traffic. Considering the facts such as the pedestrians\'locations are out of alignment in reality, we further modified the kNN model into multi-grid kNN model to mimic pedestrian flow. Dynamics of the multi-grid kNN model were studied to detail traffic characteristics of pedestrian counter flow.With these insights in the behavioral mechanism of pedestrian counter flow, we illustrated the present study in the area of crowd control by an example of improving traffic situation for pedestrian counter flow in a long corridor in respect of a series of layout design. To facilitate application, we further embed the kNN counterflow model into a Geographic Information System (GIS) platform and try to derive fundamental diagram, as well as real-time level-of-service map so as to evaluate levels of services of pedestrian traffic facilities and efficiencies of different crowd control methods.');if(document.getElementById('ChDivSummary') != null && document.getElementById('ChDivSummary').innerHTML!=""){CutSpan('ChDivSummary',500);DisplaySpanDiv('ChDivSummary');ClearSummaryOnLoad('SummaryLinkChID','SummaryLinkEnID');} if(document.getElementById('EnDivSummary') != null && document.getElementById('EnDivSummary').innerHTML!=""){CutSpan('EnDivSummary',1000);DisplaySpanDiv('EnDivSummary');ClearSummaryOnLoad('SummaryLinkEnID','SummaryLinkChID');}ReplaceChar1('ChDivSummary');ReplaceChar('ChDivSummary');ReplaceChar1('EnDivSummary');ReplaceChar('EnDivSummary'); 【关键词】 行人流 ; 实验 ; 元胞自动机模型 ; 行人间相互作用 ; 运动特征 ; 行为机理 ; 拥挤人群控制 ; 优化设计 ; 地理信息系统 【Key words】 pedestrian flow ; controlled experiments ; cellular automaton model ; pedestrian interaction ; motion features ; behavioral mechanisms ; crowd control ; optimal design ; GIS 截张图：） ReplaceChar1('spanTitle');ReplaceChar('spanTitle');HanderTitle('enTitle','chTitle','enTitle');
博士论文的作者是Walter Boas，材料晶体塑性理论研究的早期奠基人。昨晚躺在床上看《走进材料科学》一书中文版，无意中阅读到书中14.4.3章节Walter Boas与澳大利亚的固体物理【截图】 这个15页博士论文的故事 。不管是该书的中文版还是英文原版，故事都可能是来自于 L.M. Clarebrough and A. K. Head 在Walter Boas去世后写的一篇传记文章 Walter Boas 1904-1982 【部分转载于文末】 Boas' first research project involved the verification of the law of critical resolved shear stress for the onset of plastic deformation using single crystals of cadmium grown from the melt. Due to the extreme softness of these crystals, the tensile tests were very sensitive to external vibrations and he had to do most of his experiments in the early morning hours between 3am and 6am. As an extension of this work, he showed that plots of shear stress vs. shear strain were independent of crystal orientation and he also studied the influence of temperature on the critical resolved shear stress and the form of the stress-strain curve. The results were submitted as a thesis for the degree of Doctor of Engineering (Dr Ing.) at the Technische Hochschule of Berlin early in 1930. In printed form, the thesis was only 15 pages long and was received with some scepticism in the faculty, as it was the shortest thesis that had ever been submitted for a higher degree. The oral examination of the thesis was conducted by all members of the faculty, but Boas 'survived the gruesome ordeal with flying colours' and was awarded his doctorate in July 1930.
作者：蒋迅 有一篇转载成灾的文章一页纸多一点的博士论文，讲的是一个法国内阁部长的花花公子儿子 路易-维克多德布罗伊 ( Louis de Broglie )， 突然浪子回头，对量子论发生了兴趣。但他读了五年仍是一事无成。1924年，德布罗伊终於提交了自己的只有一页纸多一点的博士论文。据说他的博士论文只是 提出了一个猜想，既然波可以是粒子，那么反过来粒子也可以是波。而进一步德布罗伊提出波的波矢和角频率与粒子动量和能量的关系是： 动量 ＝ 普朗克常数/波矢 能量 ＝ 普朗克常数*角频率 经过一番运作后，因为他的父亲的关系和爱因斯坦的一番客气，他的博士论文竟然得以通过。后来 维也纳大学的讲师薛定谔 (Schrodinger) 受命报告这篇论文。他找到了一个波动方程。这个方程就是薛定谔方程！再后来他在滑雪场滑雪时忽发灵感，薛定谔从他的方程中得出了玻尔的氢原子理论！最后在 哥本哈根学派的帮助下，量子力学的神殿建立了。 这篇文章很容易抓住人们的眼球。我也是一下子被它吸引住了。但是，稍微想一想就会发现，这事可能发生在20世纪的欧洲吗？还是在近代物理领域里。这怎么可能。我 Google 了一下，发现德布罗伊的毕业论文的 英文翻译 (On the Theory of Quanta) 就有73页(不算目录)。也有一些对此文的批判文章。 事实证明这篇文章传播的是错误信息。但问题是为什么会有这么多人在转载之前不思考一下，而是 把这篇表面上看非常漂亮的文章全盘接受下来。这是一个值得思索的问题。本人觉得现在博客、论坛上的一个现象就是转载他人的文章，而不加上自己的一点观点。 假如你想在转载的基础上加上自己的思考，你可能就会有一些疑问，可能就会去Google，可能就容易看出破绽来。所以，我不支持纯粹的转载。当然，我理解有时侯转载只是为了收集资料。但有些人在转载时都不属上原作者的名字，也不指出出处，表现的就是不劳而获的态度。对这样的转载，我更是反对。
在网上找到一篇澳大利亚学者做的一篇博士论文，题目是：Rapid evolution of diversity in the root nodule bacteria Biserrula plecinus L.，见这里（ paper ），供国内做根瘤菌研究的学者及有兴趣的人参考。此论文的作者是：Nandasena, Kemanthi Gayathri，年轻有为，有思想。现已是国际根瘤菌与土壤杆菌分类分委员会的成员了( member )。
标签: 博士论文
