REGULATIONS

GOVERNING PROGRAMS LEADING

TO

THE AWARD OF THE DEGREE

OF

DOCTOR OF PHILOSOPHY

UNIVERSITY OF PETROLEUM & ENERGY STUDIES

DEHRADUN

Ph. D Regulations, 2016, Ver 3.11 Page 1

 UNIVERSITY OF PETROLEUM & ENERGY STUDIES
Regulations Governing Programs
Leading to the Award of the Degree
of Doctor of Philosophy (Ph. D)

In exercise of the powers conferred by and in discharge of the duties assigned under section 21(2)
(d) of the UPES Act, Article 3.2.6(xi) and 3.3.7 (v) of the First Statute.

SHORT TITLE & COMMENCEMENT:

(i) These regulations shall be called the Regulations for the Doctoral Degree Program in
Management, Engineering/Technology, Science and Law.

(ii) These regulations shall come into force with effect from the date of their approval by the
Academic Council.

1. DEFINITIONS

(i) “Abstract” shall mean the gist of the Research findings that the Research Scholar
has to present to the FRC/CRC before he/she finally submits the Ph. D Thesis.
(ii) “Applicant” shall mean a person who is an aspirant for admission to one of the
programs of the University.
(iii) “Candidate” shall mean a person who has been granted the admission, has paid
the fees, and has been provisionally registered to the Ph. D program.
(iv) “Co-guide” “shall mean a member of the academic staff of the University/other
outside staff, other than the Guide, and approved by the Academic Council on the
recommendation of the FRC/CRC to guide, supervise, and monitor the research
work of the candidate fulfilling the eligibility criteria.
(v) “Course work” shall mean the courses of study to be undertaken by the research
scholar prior to the commencement of actual research work – comprising both credit
as well as audit courses.
(vi) “External Guide” shall mean a person who is fully responsible for providing
guidance, and executing supervision including monitoring quarterly/half yearly
progress for the continuance of Research Work of a candidate and such a person
has to be a Doctorate and from outside institution/industry/organization and not from
the University.
(vii) “FRC/CRC” shall mean a Faculty/College Research Committee.
(viii) “Full-time Research Student” shall mean a person registered for the Ph. D degree
devoting major part of study time at the University for completing the degree
requirements.
Ph. D Regulations, 2016, Ver 3.11
Page 2
 (ix) “Guide” means a person who is fully responsible for providing guidance, and
executing supervision including monitoring quarterly/half yearly progress for the
continuance of registration of a candidate.
(x) “Internal Guide” means a person who is fully responsible for providing guidance,
and executing supervision including monitoring quarterly/half yearly progress for the
continuance of Research Work of a candidate and such a person has to be a faculty
at the UPES, Campus.
(xi) “Managerial Experience” shall mean an experience that relates to planning,
organizing, leading and controlling human or organizational resources to achieve
organizational goals.
(xii) “Minimum Registration Period” shall mean the minimum period for which a
candidate must be registered, prior to the date of submission of the thesis.
(xiii) “ODC” shall mean committee conducting Oral Defense of the Research Scholar.
(xiv) “Part-time Research Student” shall mean a person who is registered for the Ph. D
degree devoting part of his time for completing the requirements of this degree while
discharging his employment obligations.
(xv) “Ph. D” shall mean the degree of the Doctor of Philosophy.
(xvi) “Ph. D Program” shall mean a the program leading to the award of the Ph. D in
Management, Engineering / Technology, Science and Law supported by funding
agencies, sponsored by Industry, R& D Institution and/or on self-financed basis.
(xvii) “Professional Experience” shall mean a work experience that relates to the
relevant area of concern.
(xviii) “Provisional Registration” shall mean the registration of a research student who
has been admitted for Ph. D Program and paid the fees but whose research plan has
yet to be approved.
(xix) “Residency” shall mean the minimum period for which a candidate must attend the
University on full-time basis.
(xx) “Registration Period” shall mean the length of period commencing with the date of
provisional registration at the University and ending on the date of submission of the
thesis, counting out any gaps.
(xxi) “Research Student” shall mean a candidate who is yet to complete his course-work
and not submitted his synopsis to the FRC/CRC for approval.
(xxii) “Research Scholar” shall mean a candidate who has completed the course-work
and the synopsis has been approved by the FRC/CRC.
(xxiii) “Sponsored Research Candidate” shall mean a full time/part time research
candidate except that he receives complete financial support from the sponsoring
organization/employer.
(xxiv) “Sponsored Ph. D Program” means the doctoral degree program supported/
financed by the Industry/R&D institution/Academic institution.
(xxv) “Self-Financed Ph. D Program” means the doctoral degree program
supported/financed by the candidate by himself/herself.
(xxvi) “SRE” shall mean UPES Student Record and Evaluation Department.
(xxvii) “Synopsis” shall mean a document submitted by a potential Research Scholar, after
having completed the course work, which defines the blue print of the proposed
Research Study.
(xxviii) “University” shall mean the University of Petroleum & Energy Studies, Dehradun.

Note: In these Regulations where-ever ‘He’ and ‘His’ occur, these shall mean to imply ‘he/she’ and
‘his/her’ respectively.

Ph. D Regulations, 2016, Ver 3.11 Page 3

2. CATEGORIES OF ADMISSION

The applicants shall be admitted to the Ph. D program of the University under one of the
following categories:

(i) Full-time Research Student

A student who is registered for the Ph. D degree devoting major part of study time at
the University for completing the degree requirements shall be a Full-time Research
Student. This category shall include:

a) Research students including foreign nationals getting financial support from

Government/Semi-government agencies;

b) Research students released from Governmental or educational institution on

study leave with salary for a period not less than 2 years for pursuing Ph. D
Program; or

c) Self-financed Research Students in any of the following categories:

i) General – A person with experience and with good track record to join the
full-time Ph. D Program on self-financed basis.
ii) Study Leave – A person released from a Government department or
educational institution or industrial organization on study leave without pay
for not less than 2 years for pursuing full-time Ph. D program.
iii) Research Fellow/Employee – Working full-time in an R&D Project at the
University provided the topic of his Ph. D topic is in conformity with that of the
project, as certified by FRC/CRC.

(ii) Part-time Research Student

A student who is registered for the Ph. D Program devoting part of his time for
completing the requirements of this degree while discharging his employment
obligations. This category shall include any of the following:

a) Regular employee (faculty or staff) of the University.

b) Research Fellow working full-time in an R&D Project at the University provided

the tenure of such project extends at least over next 2 years after the registration.

c) A candidate sponsored by and or employed in the industry / organizations /

academic institutions having access to required R&D facilities recognized by the
University.

Ph. D Regulations, 2016, Ver 3.11 Page 4

3. ADMISSION ELIGIBILITY

(i) Ph. D in Engineering / Technology

a) Applicants with Master‟s Degree in relevant area of Engineering/Technology with

at least 60% marks or an equivalent grade from class 10 and onwards,

b) Applicants with 5 years or more industry/teaching experience* may be granted

relaxation up to 5% in their Master‟s degree aggregate marks or equivalent
grades. (For instance a person having 55% marks in Master‟s Degree with 5
years or more relevant experience would be considered equivalent to a person
having Master‟s degree with 60% marks but having no work experience),

c) Applicants with Bachelor‟s degree in relevant area of Engineering/Technology

with at least 60% marks or equivalent grade from class 10 and onwards and
having at least 5 years relevant industry/teaching experience*.

(ii) Ph. D in Science

a) Applicants with Master‟s Degree in relevant area of Science/Computer

Application with at least 60% marks or an equivalent grade from class 10 and
onwards,

b) Applicants with 5 years or more industry/teaching experience* may be granted

relaxation up to 5% in their Master‟s degree aggregate marks or equivalent
grades. (For instance a person having 55% marks in Master‟s Degree with 5
years or more relevant experience would be considered equivalent to a person
with 60% marks at Master‟s level but having no work experience).

(iii) Ph. D in Management

a) Master‟s degree in Engineering / Technology / Management / Science /

Commerce / Social Sciences relevant to the research domain with at least 60%
marks or an equivalent grade from class 10 and onwards.

b) Applicants with 5 years or more relevant managerial experience may be given

relaxation of 5% in their Master‟s degree aggregate marks or equivalent grade
(for instance a person with 55% marks in Master‟s Degree with 5 years or more
experience* would be considered equivalent to a person with 60% marks at
Master‟s level but having no work experience).

c) Bachelor‟s degree in Engineering/Technology with at least 60% marks in

aggregate from class 10 onwards and 5 years or more managerial experience*
relevant to the Research Domain.

d) Applicants having professional qualification such as CA/ICWA/CFA/CS/LLB (both

5 years integrated and 3 years after graduation) with minimum 60% marks from
class 10 and onwards and 5 years or more of professional experience*.

Ph. D Regulations, 2016, Ver 3.11 Page 5

 (iv) Ph. D in Law

a) LLM degree with at least 60% marks or an equivalent grade from class 10
onwards. Practicing professionals* may, however, be granted relaxation up to 5%
in aggregate marks at LLM provided they have 5 years or more of professional
experience*. (For instance a person with 55% marks in LLM degree with 5 years
or more experience would be considered equivalent to a person with 60% marks
at LLM but having no work experience).

b) LLB with Master’s degree in any discipline with at least 60% marks or equivalent
grade from class 10 and onwards having minimum of 3 years or more para-legal
research or professional experience*.

* Work/ Professional experience should be post highest qualification

4. INTERNATIONAL APPLICANTS

(i) Foreign nationals with degrees from Indian Universities or Indian nationals residing
and working abroad shall be treated at par with Indian nationals for the purposes of
admission to Ph. D program.

(ii) Foreign nationals with degrees from foreign Universities shall obtain and submit
equivalence certificate from the Association of Indian Universities (AIU) to the effect
that their degree is equivalent to the Master‟s/Bachelor‟s degree of the Indian
University, following which their eligibility for admission shall be determined in
accordance with Para 3 of these Regulations. Alternatively, the University may
constitute an „Equivalence Committee‟ to ascertain the equivalence of the foreign
degrees of the applicants.

(iii) International candidates should have a valid GRE/GMAT score of the relevant
discipline. In addition, such candidates should have working knowledge of English
proven through appropriate TOEFL and IELTS score.

(iv) International candidates shall also obtain necessary clearances from the
Government of India. Once approved for admission to the University, such applicants
shall obtain appropriate visa and other necessary clearances prior to commencement
of the academic session. The University shall extend necessary support to receive
such clearances.

(v) International candidates shall generally be admitted as full-time research students.

They may, however, be allowed to convert as a part-time scholar provided they have
fulfilled the minimum residency requirements and have successfully completed the
course work requirement.

(vi) If however, under exceptional circumstances, a foreign research student requests for
conversion to a part-time/ external research student before completion of the course
work, the Vice Chancellor, on the recommendation of the FRC/CRC may agree to
the request for valid reasons to be recorded in writing.

Note: The Vice Chancellor shall have the discretion to relax the eligibility requirement of
60% marks or an equivalent grade from Class 10 onwards or the requirement of

Ph. D Regulations, 2016, Ver 3.11 Page 6

 experience in the case of candidates with otherwise exceptional merit, as required
under Clause 3 of these Regulations.

5. ADMISSION PROCEDURE

(i) All Applicants fulfilling minimum eligibility requirements, as specified in Para 3 above,
shall be required to appear in a „Research Aptitude Test‟ (RAT) conducted by the
University, followed by an interview.
(ii) The potential / aptitude of the applicants for conducting research and their academic
capabilities shall be tested through RAT and interview.

(iii) At the time of interview, the candidates shall be expected to discuss their research
interest/area.

(iv) Only a pre-determined number of students, depending upon available facilities, shall
be selected for admission to the Ph. D program.

6. FACULTY RESEARCH COMMITTEE (FRC)/COLLEGE RESEARCH COMMITTEE (CRC)

The Constitution of FRC/CRC shall be as follows:

(i) Dean of the Faculty/College, Chairman

(ii) Vice President (R&D), Member
(iii) Vice President (Academic Affairs), Member
(iv) 6 Senior most Professors of the Faculty/College, Members
(v) 1 Associate Professor of the Faculty/College by rotation
on seniority basis, Member
(vi) 1 Assistant Professor of the Faculty/College by rotation
on seniority basis, Member
(vii) Program Director, Member Secretary

Deans of other faculty/Colleges, proposes/approved guide(s) of the candidate and external

experts relating to the field shall be the invited members on the Committee. Quorum shall be
defined as at least 50% of the members present.

7. PROVISIONAL REGISTRATION

(i) Students selected for admission to the Ph. D Program shall be permitted for
provisional registration on payment of the prescribed University Fees.

(ii) A full time / part time candidate, who has been provisionally registered, shall be
required to complete the course work requirement as prescribed by the FRC/CRC,
and prepare and submit the synopsis of proposed research within a period of one
year from the date of provisional registration. . Candidate not meeting this time
requirement shall be liable for cancellation of his provisional registration.

(iii) Ordinarily, a candidate whose provisional registration has been cancelled shall not

Ph. D Regulations, 2016, Ver 3.11 Page 7

 be eligible for re-registration. However, the Vice Chancellor may permit provisional
re-registration based on the merits of the case, to be recorded in writing.

8. UPGRADATION OF REGISTRATION FROM M.TECH / M. E / MBA / LLM TO PH. D

(i) A meritorious student registered for M. Tech / M. E / MBA / LLM at the University
shall be eligible for up-gradation to Ph. D Program in the same discipline and same
Faculty/College provided he meets the following criteria:

a) The student has been registered for a minimum of 2 semesters in the M. Tech / M. E
/ MBA / LLM Program in the University;

b) The student has maintained a CGPA of 3.0 or above on a 4 point scale; and

c) The student undertakes to complete the course work requirements as stipulated by

the FRC/CRC.

(ii) The FRC/CRC shall consider the application of such a student and make
recommendations for admission or otherwise to the Academic Council. The student
so admitted shall be treated at par with other directly admitted applicants. He shall,
however, be awarded credits for the course work already done.

(iii) The number of such applicants shall be restricted to 10% of the total seats allocated
to the Ph. D program in that year.

9. COURSE WORK

(i) After having been provisionally admitted, a Research Student shall be required to
undertake course work at the University for a minimum period of one Semester or
one year whichever is earlier.

(ii) The FRC/CRC shall prescribe the courses required to be completed by the research
student. The prescribed courses shall be of postgraduate level from amongst the
existing courses of the University or specifically recommended courses. However,
before taking up a course, a candidate shall be required to complete any pre-
requisites as may be prescribed for the said course. The following course work
guidelines shall apply:

a) A research student with M. Tech / MBA / LLM degree shall successfully complete
a minimum of four (04) courses.

b) A research student possessing B. Tech. / Master‟s degree in science / commerce

/ economics / law, or candidates who have been upgraded from M. Tech / MBA /
LLM Program, shall be required to successfully complete a minimum of six (06)
courses.

c) Research/Teaching Assistants appointed on full-time basis by the University for

teaching/research and having registered for Ph. D Program in the same area,
may be exempted from attending classes for course work as per the discretion of
the respective Dean.

Ph. D Regulations, 2016, Ver 3.11 Page 8

 d) Faculty Members/Teaching Assistants registered for Ph. D Program, and
teaching the same course(s), may be exempted from attending classes for those
course(s) as per the discretion of the respective Dean.

e) The FRC/CRC, on the recommendations of the concerned guide, may prescribe

additional courses or give credits to the course(s) already completed by the
candidate in this University or any other University.

f) The coursework shall be credit based. To successfully complete the course

work, a research student should have obtained at least 50% marks in each
individual course and at least 60% marks in aggregate across all the courses or
an equivalent grade.

.
10. RESIDENCY REQUIREMENT FOR COURSE WORK

(i) For Full-time Research Students:

Full-time Research Students shall attend the course work of at least one semester
conducted at the University campus and spend at least 75% of their time for
study/work on the campus.

(ii) For Part-time Research Students

a) Part-time research students shall attend the course work conducted at the
University campus for a minimum period of one Semester and spend at least
75% of their time for study/work on the campus in that Semester.

b) However, in special circumstances where a part-time student is working in an

industry/research laboratory or residing in a foreign country and is not disposed
to stay on the campus for one full semester, he may be permitted to attend
course work on-line as organized by the University subject to the following
conditions:

i) He shall attend a minimum of 75% of the on-line classes organized by the

University for all the required courses.

ii) He shall spend a minimum of 7 days each semester at the University

Campus physically. However, an overseas student shall be allowed to do
this residency at an Institute which has an approval of/ collaboration with
the University.

iii) All the course evaluations of such research students shall be taken at par
with that of other students residing on the campus.

iv) For every missed Residency (fully or partially), such a semester shall be
treated as a NULL semester. The scholar will, therefore, be required to
complete the missed Residency in an additional semester on payment of
fee as prescribed by the University.

Ph. D Regulations, 2016, Ver 3.11 Page 9

11. APPROVAL OF SYNOPSIS

(i) Upon successful completion of the course work, a Research Student shall be
required to make a presentation of his synopsis before the FRC/CRC to
establish his preparedness to carry out the proposed research. The synopsis
should cover the following aspects:

a) Outline of research proposal

b) Summary of the current technology/developments
c) Proposed methodology
d) Possible applications of the proposed research
e) Name of proposed Guide(s) and Co-guide(s)

The Synopsis should reach the FRC/CRC members at least two weeks
before the date of presentation.

(ii) The FRC/CRC shall either recommend to the Academic Council the case for
approval of the synopsis and the proposed guide(s); or, if not satisfied with
the synopsis, ask the Research Student to re-submit a revised synopsis.

(iii) A Research Student shall ordinarily be allowed only two attempts for
presentation before the FRC/CRC. In case, the synopsis of a Research
Student is not approved within the limitations prescribed in this clause, his
provisional registration shall be cancelled. A third attempt may be allowed
only with the approval of the Vice-Chancellor on the recommendation of the
FRC/CRC.

12. FORMAL REGISTRATION

(i) The research student shall apply to the University for formal Registration as a
Research Scholar on a prescribed form within one month from the date of
approval of the Synopsis by the FRC/CRC, together with the names of the
proposed guide(s)/co-guide(s).

(ii) A research student shall be considered formally registered as a Research

Scholar in the University from the date on which the FRC/CRC accords its
approval; or from any other date specified by the FRC/CRC, after depositing
the requisite fees.

(iii) A research student/scholar shall be required to renew his registration or

PROGRESS every Semester in the manner prescribed, and deposit the
prescribed fees.

(iv) A research student shall apply to the VC to extend the duration validity of the
Program in case he is unable to complete the course within 6 yrs. The
extension of Registration will be valid for a period of six months. No
extension can be granted beyond 7 years of Registration. However, the
candidate may apply for Re-registration and start from presenting the
synopsis.

Ph. D Regulations, 2016, Ver 3.11 Page 10

13. THESIS GUIDE(S) / CO-GUIDE(S)/External Guides

(i) Eligibility conditions for appointment of Research Guides / Co-Guides/

External Guides

Each research scholar shall ordinarily have one guide and at the most two co-
guides. The eligibility conditions for appointment of guide(s) / co-guide(s) in the
University will be as follows:

a) Any regular teacher (Lecturer and above) or an Officer in the University

having a Ph. D degree and post Ph. D teaching/research experience of
not less than 3 years, shall be eligible to be appointed as the Internal
guide or a co-guide.

b) A person from industry who holds Ph. D Degree and has an industry experience
of at least 10 years or more shall be eligible to be appointed as an External
guide.

c) Any other person with Ph. D degree and more than 3 years of teaching / industry
/ research experience in this University / another University / an industry of
substance / reputed institution shall be eligible for appointment as a co-guide.

d) A person of eminence preferably with established record of research evidenced

through publications in standard refereed journals/ acknowledged contributions in
corporate/public life, may be appointed as a co-guide.

(ii) Appointment of Guides/Co-Guides

a) The Vice Chancellor, on the recommendation of the FRC/CRC, shall consider

approval of the names of the guide/ co-guide(s) suggested by the research
scholar. If these names are not approved, the research scholar may be asked to
suggest alternate names. In exceptional circumstances, the guide / co-guide may
be assigned by the Dean concerned with the concurrence of the research scholar
and approval of the Vice Chancellor.

b) In case a faculty member, who has been appointed as the guide, proceeds on
leave exceeding one year, an alternate faculty member may be appointed as the
co-guide for the duration of absence of the regular guide on the
recommendations of the FRC/CRC and approval of the Vice Chancellor.

c) A guide/co-guide, on account of valid reasons to be recorded in writing, may be

changed with due approval of the Vice Chancellor.

(iii) Norms for maximum number of Research Scholars registered with a Faculty
Member or an Officer of the University

A Research Supervisor/Co-supervisor who is a Professor, at any given point of time, cannot guide more than Eight (8)
Ph.D. scholars, An Associate Professor , six (6) Ph.D. scholars and an Assistant Professor and four (4) Ph.D. scholars.

Ph. D Regulations, 2016, Ver 3.11 Page 11

14. PERFORMANCE MONITORING/PROGRESS REPORT

(i) The academic progress of each research scholar shall be monitored by the
FRC/CRC as determined by Student Record and Evaluation (SRE) Department. For
this purpose, each research scholar shall submit a progress report at the end of each
semester to his guide(s).

(ii) The FRC/CRC after having considered the progress report of each research scholar,
shall recommend one of the following course:

a) Continuation of registration;

b) Continuation of registration with issuance of a warning to the research scholar

suggesting steps necessary to improve his performance in consultation with the
guide(s); or

c) Termination of registration.

15. REGISTRATION PERIOD

(i) The minimum and maximum period of registration for Ph. D program shall be not less
than 3 years (36 months) and 6 years (72 months), respectively, from the date of
provisional registration to the submission of thesis by the research scholar.

(ii) However, in case the performance of the research scholar is found to be

exceptionally good, the minimum period can be relaxed by six months on the
recommendations of the FRC/CRC and approval of the Vice Chancellor.

(iii) The women candidates and Persons with Disability (more than 40% disability) may
be allowed a relaxation of two years for Ph.D. in the maximum duration. In addition,
the women candidates may be provided Maternity Leave/Child Care Leave once in
the entire duration of M.Phil/Ph.D. for up to 240 days.

16. CANCELLATION OF REGISTRATION

(i) Registration of a research scholar shall be cancelled in any one of the following
eventualities, after due approval of the Vice Chancellor:

a) If a full time research scholar absents himself for a continuous period of six
weeks without prior intimation/sanction of leave;

b) If the research scholar discontinues Ph. D program;

c) If he fails to renew his registration in any semester subject to the provisions

contained in these Regulations;

d) If his academic progress is found to be unsatisfactory in terms of Clause 13 of

these Regulations; or

e) If he is found to be involved in an act of misconduct and/or indiscipline and

termination is recommended by the FRC/CRC or any other authority authorized
by the Academic Council.
Ph. D Regulations, 2016, Ver 3.11 Page 12
17. SUBMISSION OF ABSTRACT

(i) On completion of the research work as verified by the Guide(s), a research student
shall be eligible to submit the abstract provided he has published at least two
research papers in a refereed research journal(s) with an impact factor or indexed in
a reputed database published by the University.

(ii) For this purpose, he shall be required to submit 8 copies of the abstract of his
research work including bibliography to the FRC/CRC through his guide(s).
Thereafter, the scholar will be required to make a presentation before the FRC/CRC,
respective guide/co-guides, faculty members and other research scholars. In
addition, the Research Scholar shall also submit the plagiarism check report to SRE
who will cross-check the same as per University guidelines. Thereafter, the scholar
will be required to make a presentation before the FRC/CRC, respective guide/co-
guides, faculty members and other research scholars.

18. SUBMISSION OF THE THESIS

(i) The research scholar shall submit the thesis within six months of the acceptance of
the Abstract. However, in case he fails to submit his thesis within the stipulated time
period and has suitable justification for the same, the Academic Council may, on the
recommendations of FRC/CRC, grant an extension of not more than 6 months i.e.
he/she may be allowed to submit his/her thesis within a period of one 01 year from
the date of acceptance of the Abstract.

(ii) The thesis shall be a piece of research work characterized either by discovery of new
facts or enunciation of a new theory or theories or by fresh interpretation of known
facts. It shall bear evidence of the research scholar‟s capacity for analysis and
judgment as well as his ability to carry out independent investigation, design or
development. Further, no part of the thesis or published work shall have been
submitted for the award of any other diploma or degree.

(iii) The research scholar shall submit a certificate from his guide(s) in the prescribed
format that the work embodied in the thesis entitled “_________” is original and has
been carried out by the scholar and that it has not been submitted earlier in full or in
part for the award of any other diploma or degree of this or any other University.

(iv) The preparation of the Thesis shall be in accordance with the format prescribed by
the University.

(v) Three copies of the thesis in soft binding along with one copy on electronic media for
record shall be submitted to the SRE for organizing evaluation. In case, a research
scholar is supervised by more than one guide/co-guide, appropriate number of
additional copies shall be required to be submitted.

(vi) It will be the responsibility of the Research Scholar to run the Thesis in the presence
of the Internal/External Guide, through one of the globally acceptable „plagiarism
checking software‟ to ensure that the plagiarism levels do not exceed 10% overall,
whilst it must not be more than 1% per source.

Ph. D Regulations, 2016, Ver 3.11 Page 13

19. APPOINTMENT OF EXAMINERS

(i) The Research Guide(s) shall suggest a panel of at least six experts in the subject
area of research work with at least two experts from outside India to the FRC/CRC
for its consideration and approval. The FRC/CRC may delete/add any of the name(s)
proposed by the guide(s).

(ii) A person from the same University/Institute/Organization where the research

scholar is employed shall not be appointed as an examiner. Further, a
person from a University/Institute/Organization to which the guide/co-guide of
the research scholar belongs, shall not be appointed as an examiner.

(iii) On receipt of the title and synopsis of the thesis, the Dean shall send the panel of
examiners as accepted by the FRC/CRC to the Vice-Chancellor who shall appoint
two examiners, out of whom one may be from outside India.

(iv) In case one or more examiners so appointed decline to examine the thesis, another
examiner(s) out of the panel shall be appointed. In case the panel gets exhausted,
FRC/CRC shall recommend additional names.

20. EVALUATION OF THESIS

(i) Each examiner shall be requested to submit to the SRE, a detailed assessment
report on a prescribed proforma within 45 days of the date of receiving the thesis.

(ii) In the event of the assessment report not being received from an Indian examiner or
the foreign examiner within 60 days, the Vice-Chancellor may appoint another
examiner(s) from the panel of examiners for evaluating the thesis.

(iii) The examiners shall be required to state categorically whether in their individual
opinions, the thesis shall be:

a) Accepted for the award of Ph. D degree, or

b) Referred to the research scholar for revision and re-submission, or

c) Rejected.

(iv) The examiner while recommending re-submission / rejection of the thesis, shall state
the reasons thereof. If re-submission is recommended, the examiner shall specifically
indicate the modifications that are required to be made in the thesis.

(v) The reports from all the examiners shall be placed before VC who shall peruse the
reports and advise one of the following:

a) That the research scholar shall appear for oral defense, if all the examiners have
unanimously approved the work of the research scholar and recommended for
the award of Ph. D.

b) That the research scholar shall revise the thesis and resubmit the same, if the
examiners are of unanimous view that the thesis be re-submitted in a revised
form. The revised thesis shall be submitted within a period of one year from date

Ph. D Regulations, 2016, Ver 3.11 Page 14

 of communication by the SRE. However, in exceptional circumstances this period
may be extended by one more year by the express permission of the Vice
Chancellor on the recommendation of the FRC/CRC.

c) The revised thesis incorporating all necessary corrections/modifications as

suggested by the examiners shall be sent to the original panel of examiners for
assessment. In the event of one or more of the original external examiners not
being available, an additional external examiner out of the panel may be
appointed by the Vice Chancellor.

d) That a third examiner out of the existing panel approved by the Vice Chancellor,
shall be appointed as a special case, if there is no unanimity between the
examiners on the revised thesis and the merit of the case so demands. The
report of the third examiner shall be considered by the FRC/CRC and appropriate
action shall be taken.

e) In the event of acceptance of the thesis, the SRE shall arrange for Oral Defense.
However, in the event of rejection of the thesis, no additional opportunity shall be
given to the Research Scholar and his registration shall be cancelled.

21. ORAL DEFENSE

(i) A research scholar, whose thesis is recommended for acceptance in accordance

with the provisions of clause 19, shall be required to defend his work/thesis orally
before a duly constituted committee, hereinafter called as Oral Defense Committee
(ODC), at the University premises during working hours. Any deviation from this shall
have prior permission of the Vice-Chancellor.

(ii) The Oral Defense Committee shall consist of:

a) The Dean of the concerned Faculty

b) Research guide(s), co-guide(s) and the External Guide(s).
c) At least, one of the two examiners and a specialist either from the
Faculty/College/Industry appointed by the Vice Chancellor.
d) If none of the examiners is available to attend the oral defense, an alternative
examiner shall be appointed by the Vice-Chancellor as a member of the ODC.
Ordinarily during conduct of ODC, all faculty members and the research
scholars will be invited though they will not form the part of ODC.

(iii) The ODC shall examine the research scholar on his thesis work and evaluate his
performance and give its recommendation (on the prescribed format) which shall be
sent to the Vice Chancellor for approval.

(iv) In case the research scholar is found to be qualified for the award of Ph. D by the
ODC and its recommendation is approved by the Vice Chancellor, a provisional
degree shall be issued by the University on request.

(v) In case the research scholar is found to be „not qualified‟ for the award of Ph. D by
the ODC and such recommendation is approved by the Vice Chancellor, he shall be
advised to re-register and write a fresh thesis thus repeating the entire process.
However, such candidates shall not be required to go through the course work again.

Ph. D Regulations, 2016, Ver 3.11 Page 15

22. AWARD OF DEGREE

(i) The Degree shall be awarded by the University provided that:

a) The Academic Council has approved the award of Doctoral Degree after due
recommendations of the ODC and approval by the Vice Chancellor,

b) The research scholar produces a “No Dues Certificate‟ in the prescribed format,
and

c) The research scholar submits two hard bound copies of the accepted thesis; one
each for the Faculty/College Library and the Central Library, and another on CD
ROM.

(ii) The Degree shall be awarded at the University convocation, unless otherwise agreed
by the Vice Chancellor.

23. DEPOSITORY WITH UGC

(i) Following the successful completion of the evaluation process and announcement of
the award of Ph. D, the University shall submit a soft copy of the Ph. D thesis to the
UGC within a period of 30 days, for hosting the same in INFLIBNET accessible to all
Institutions/Universities.

(ii) Alongwith the degree, the University shall issue a Provisional Certificate certifying to
the effect that the degree has been awarded in accordance with the provisions of the
UGC Regulations, 2009.

24. Notwithstanding anything contained in these Regulations, all categories of research scholars
shall be governed by the rules and procedures framed by the Academic Council on this
behalf, and in force from time to time.

25. Notwithstanding anything stated in these Regulations, for any unforeseen issues arising and
not covered under these Regulations, or in the event of differences of interpretation, the
Vice-Chancellor may take appropriate decision after taking, if necessary, the opinion/advice
of a Committee consisting of any or all the Deans/Directors of the faculties/colleges. The
decision of the Vice-Chancellor in this regard shall be final.

Ph. D Regulations, 2016, Ver 3.11 Page 16