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DOCTOR OF PHILOSOPHY
Page 1
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)
(ii)
(iii)
(iv)
(v)
(vi)
(vii)
(viii)
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.
Applicant shall mean a person who is an aspirant for admission to one of the
programs of the University.
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.
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.
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.
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.
FRC/CRC shall mean a Faculty/College Research Committee.
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.
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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.
(ix)
Note: In these Regulations where-ever He and His occur, these shall mean to imply he/she and
his/her respectively.
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2.
CATEGORIES OF ADMISSION
The applicants shall be admitted to the Ph. D program of the University under one of the
following categories:
(i)
(ii)
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3.
ADMISSION ELIGIBILITY
(i)
(ii)
Ph. D in Science
a) Applicants with Masters 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 Masters degree aggregate marks or equivalent
grades. (For instance a person having 55% marks in Masters Degree with 5
years or more relevant experience would be considered equivalent to a person
with 60% marks at Masters level but having no work experience).
(iii)
Ph. D in Management
a) Masters 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 Masters degree aggregate marks or equivalent grade
(for instance a person with 55% marks in Masters Degree with 5 years or more
experience* would be considered equivalent to a person with 60% marks at
Masters level but having no work experience).
c) Bachelors 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*.
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(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 Masters 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*.
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 Masters/Bachelors 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)
(iv)
(v)
(vi)
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
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6.
ADMISSION PROCEDURE
(i)
(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)
Chairman
Member
Member
Members
Member
Member
Member Secretary
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 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. However, a part time candidate can avail up to a
maximum of 2 years for the purpose. Candidate not meeting this time requirement
shall be liable for cancellation of his provisional registration.
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(iii)
8.
Ordinarily, a candidate whose provisional registration has been cancelled shall not
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.
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.
9.
(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.
COURSE WORK
(i)
(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 prerequisites 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. / Masters 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.
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10.
(ii)
Page 9
11.
APPROVAL OF SYNOPSIS
(i)
The Synopsis should reach the FRC/CRC members at least two weeks before the
date of presentation.
12.
(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 ViceChancellor on the recommendation of the FRC/CRC.
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)
(iii)
13.
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.
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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)
The total number of candidates registered for Ph.D. programme including part-time
scholars at any point of time shall not exceed EIGHT (including re-registered
candidates) for a research Guide
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14.
(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.
16.
REGISTRATION PERIOD
(i)
The minimum and maximum period of registration for Ph. D program shall be not less
than 3 years (36 months) and 7 years (84 months), respectively, from the date of
provisional registration to the submission of thesis by the research scholar.
(ii)
CANCELLATION OF REGISTRATION
(i)
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17.
18.
SUBMISSION OF ABSTRACT
(i)
(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/coguides, faculty members and other research scholars.
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 scholars 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.
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19.
20.
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)
(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.
EVALUATION OF THESIS
(i)
(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)
(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
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ORAL DEFENSE
(i)
(ii)
(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.
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22.
AWARD OF DEGREE
(i)
(ii)
23.
The Degree shall be awarded at the University convocation, unless otherwise agreed
by the Vice Chancellor.
(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.
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.
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