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Dr.A.P.J.A.K. Technical University, U.P., Lucknow Ordinance Page 1 of 21

Dr. A.P.J. ABDUL KALAM TECHNICAL UNIVERSITY, U.P., LUCKNOW

Ordinances for the Degree of

DOCTOR OF PHILOSOPHY (Ph.D.) 1. ELIGIBILITY FOR ADMISSION 1.1 Academic Qualifications

A candidate seeking admission to the Doctor of Philosophy (Ph.D.) programme of the Dr. A. P. J. Abdul Kalam Technical University, U.P., Lucknow (here-in after called as University) must hold one of the following qualifications:

(a) Bachelor's and Master’s degree with first division as mentioned in

appendix-I in the field of Engineering/ Technology/ Pharmacy/ Management/Architecture of the University, or equivalent.

(b) Bachelor’s degree with first division as mentioned in appendix-I in

the field of Engineering/ Technology/ Pharmacy/ Architecture of the University, or equivalent, with two years of experience in Industry/ Research/ Teaching in reputed organization/ institution.

(c) MCA degree of the University, or equivalent and M.Tech. with first

division in Computer Science & Engineering field only and MCA degree of the University, or equivalent with first division in Computer Application field only.

(d) Master’s degree with first division in the field of Physics/ Chemistry/

Mathematics of a University.

(f) Notwithstanding anything contained in above-mentioned rules (a) to (e), the eligibility criteria will be as decided by the Academic Council/ Executive Council of the University from time to time.

1.2 Faculty, Fields and Eligibility

A candidate shall be admitted to any one of the faculties of the University for which the admission announcements have been made for a given semester. Presently, as per the First Regulations 2010, there are eight (8) faculties of the University. (See Appendix - I for details). A faculty may have one or more fields of specialization for the purpose of research. The number of fields may vary from time to time.


1.3 Transfers from Other Universities

(a) A candidate who has been admitted in (or has registered for) Ph.D. degree programme in any other recognized university and meets the requisite qualifications for admission to Ph.D. programme of the University as prescribed in clause (1.1) may be allowed to transfer his/her admission to the University provided

(i) he/she provides a no objection certificate from the previous university,

(ii) the concerned Selection Committee and the RDC recommend, and

(iii) the Academic Council of the University approves the transfer.

(b) Further, the extent of transfer of credits earned towards pre-Ph.D. courses, publications and progress of research etc. by the candidate at the previous university to the University shall be decided by the respective RDC of the University.

(c) In such cases of transfer, the date of admission in the University shall be decided by the RDC in view of the date of admission/registration in the previous university and the extent of academic achievements. The candidate shall be required to fulfill the remaining requirements as decided by the respective RDC of the University.

(d) The candidate shall deposit the requisite application and other fees to the University.

2. ADMISSION PROCESS 2.1 Announcements and Application

(a) (Announcements) The University shall inviteapplications for admission to Ph.D. programmes of its various faculties/fields through national level advertisement and also through announcements at its website,.The admission process will generally be carried out once a year (in the First semester beginning July/August). However, the University depending upon its academic goals and needs, may decide to carry out the admission process twice a year (once in each semester) with due advertisements and web announcements.

(b) (Application) A candidate seeking admission to Ph.D. programme must download the prescribed application form from the website of the University and send the completed application form along with documents to the University at the address mentioned in the announcement and/or application form. The application form may also be filled in on-line if and when so announced and/or advised by the University. The candidate must indicate the faculty and field(s) of research to which the admission is being sought.


(c) Relaxation 5% of marks or an equivalent relaxation of grade may be allowed to SC/ST/OBC (Non creamy layer)/ differently able candidates.

(d) (Scrutiny of Application Forms) The application forms received may be scrutinized by a Screening Committee constituted by the Vice Chancellor.

2.2 Written Test, Interviews and Registration

(a) (Written Test and Interview) The selection of candidates for registration shall be made based on written test followed by interview / presentation. There shall be a committee constituted by the Vice Chancellor to organize and conduct the written test, evaluate the test results and to decide the cutoff scores for short listing the candidates for interview / presentation for each field and faculty of the University. The dates of written test for respective fields will be announced through the websiteof the University. The shortlisted candidates eligible for interviews will be informed through website of the university

(b) (Interview) The shortlisted candidates shall appear for interview and

presentation before a Selection Committee constituted for respective fields on the date(s) announced through the websiteof the University. The Selection Committee shall be constituted by the Vice-Chancellor for each field as given in clause 2.2(c). The candidates based on their overall performance will be categorized as selected or not selected for registration. The list will be submitted to the Vice Chancellor for approval. After Approval the list of candidates selected for registration will be announced through the website of the University. The date of registration shall be the date of declaration of result after Selection Committee meeting. The acceptance of the Ph.D. topic and synopsis, however, shall be as per recommendations of the RDC. The shortlisted candidates shall submit dully filled registration form with all enclosures prescribed in the registration form at the time of interview. Some of the major requirements are listed below:

No. Particulars 1* A prescribed non-refundable application fee (See Appendix – II). 2* High School (class X) Certificate with Date of Birth. 3 SC/ST/OBC/PH certificate (if applicable). 4* Copies of degrees, marks/grade sheets of all the examinations

passed (not the originals). 5 No Objection Certificate (NOC) from the employer (for

employed applicants). 6 Certificate of Financial Assistance (if applicable). 7 Copies of publications (if applicable).


8* Synopsis of proposed research work (maximum 200 words on one A4 sheet) in the format as given in Appendix – III.

9* Certificates (3 Nos.) – (i) from the proposed Thesis Supervisors, (ii) Head(s) of the Organization(s) of the proposed Thesis Supervisor(s), and (iii) Head of organization of the Research Place

10* Two copies of detailed Curriculum Vitae of the Supervisor(s). 11* Two letters of reference. No. of Enclosures: …………. No. of Sheets: …………

Note: (*) means these documents are compulsorily required by all the applicants.

(c) (Selection Committee) The Selection Committee for each field shall

consist of the following members :

(i) Dean,Post Graduate Studies and Research (PGSR)[In absence of Dean, Associate Dean PGSR/Professor nominated by Vice-Chancellor]

Chairman

(ii) Convener/member of RDC of the concerned field

Member

(iii) One expert of the concerned field not below the rank of professor belonging to the affiliated institution/ college of the University to be nominated by the Vice-Chancellor

Member

(iv) One expert of the concerned field not below the rank of professor but not belonging to the University, to be nominated by the Vice-Chancellor

Member

(d) (Registration) The candidates recommended by the Selection Committee based on interview and/or presentation shall deposit registration formand other fees as prescribed by the university (Appendix-IV) within the date announced by the university failing which their admission may be cancelled.

(e) (Cancellation of Registration): If Ph.D. topic /synopsis of a candidate is rejected thrice by the RDC and RDC is of the opinion that the candidate cannot complete Ph.D. work within the stipulated time, then on recommendation of RDC, the Vice-Chancellor may cancel the registration.


2.3 Enrollment (a) (Research Proposal before RDC) A candidate selected by the Selection

Committee for registration is required to present his/her plan of research in the format as given in Appendix - V (Format for Research Proposal) before the concerned RDC on the date announced by the University through its home page. RDC will examine the scope and topic of research, potential of the candidate and appropriateness of the proposed plan of research supervision and work place. The RDC may recommend candidate for enrollment or suggest suitable changes in the research plan proposed by the candidate.

(b) (Enrollment) A candidate recommended by the RDC shall be allowed

for enrollment to the Ph.D.programme of the University. He/she shall be required to submit Ph.D. Enrollment Form along with the necessary documents (see Appendix - VI). Upon due processing, the candidate will receive the University enrolment number/Ph.D. roll number.

3. PRE-Ph.D. COURSES 3.1 Scope and Objectives

In order to strengthen the background in the chosen faculty/field of research and to develop a sound research temperament, the University requires the candidate admitted to the Ph.D.programme to undertake and successfully complete some post graduate (M.Tech.) level courses. The candidate will be required to pay the required course fee as prescribed/approved by the University from time to time. The fee may, in general, vary from course to course depending upon its nature and required resources.

3.2 Number and Nature of Courses

(a) (Number of Courses) Candidate(s) admitted under clause (1.1)(a) shall have to complete at least two pre-Ph.D. courses, and candidate(s) admitted under clause (1.1)(b), (1.1)(c) and (1.1)(d) shall have to complete at least six pre-Ph.D. courses of M. Tech. level within two years as may be prescribed by the concerned RDC in addition to a course on ‘Research Methodology’. The RDC will be empowered to increase the pre-Ph.D. courses for any candidate. The RDC shall also prepare a database of the courses to be audited by candidate(s).

(b) (Nature and Type of Courses) The courses to be taken shall be

suggested by the supervisor(s). The candidate in this regard will submit prescribed proforma (Appendix-VII)duly recommended by the supervisor(s) in the first meeting of RDC. The RDC, sometimes, depending upon the research interest of the candidate, may recommend


the thesis supervisor(s) to suggest one or more course(s). The nature and type of courses shall be based on background and research plan of individual candidate. The pre-Ph.D. courses shall be full credit courses equivalent to one-semester PG courses with regular contact sessions, home assignments, practical sessions wherever applicable, and mid-term tests and end semester theory/practical examination. Courses through NPTEL and MOOCS (e.g. EdX, Coursera, Udacity or equivalent) with certification may also be considered These courses cannot be substituted by aggregating short-term workshops/symposia etc. attended in piecemeal.

3.3 Conduct of Courses

(a) (Regular Course / Short Course/ Online Course) A candidate, in consultation with his/her supervisor(s), is required to seek the admission to the suggested courses being offered at some institutions offering post graduate courses and recognized by the competent authority. However, short term/crash courses of requisite course contents and full required contact hours with required assignments, practical sessions and evaluations can be considered towards completion of a course. In both the cases, regular course or short term course, the candidate is required to seek, on the prescribed Proforma (Appendix - VII), the permission of the University for its approval of the proposed course as a pre-Ph.D. course. The University some times, depending upon the resources and requirements of the candidate, may arrange for some special courses at some institute. The announcements of such courses are made through the University web site. The candidate for such courses will register at the beginning of the term/semester and will not be allowed to join in between the term/semester. As mentioned in clause 3.1, the candidate shall have to deposit the required course fee as prescribed by the competent authority offering the course.

(b) (Through Mentor(s)) In case, it is not conveniently possible for a candidate to take a course in the manner described above in clause 3.3(a), the pre-Ph.D. course, as a special case, can be completed with the help of a mentor. The coverage of contents, the number of contact hours, assignments, evaluations etc, however, remain the same as in a course being offered on a regular/short-term basis mentioned in clause 3.3(a). For completing the course through mentorship, the candidate providing the complete details about the proposed mentor(s) and with the endorsement of the supervisor(s), is required to seek the permission of the Vice Chancellor on the Proforma as given in Appendix - VIII. A sample of course proposal through mentorship is given in Appendix –


VIII(a). The mentor(s) will be requested to submit the progress and evaluation results about the course on a prescribed Proforma as given in Appendix - IX.

3.4 Monitoring and Completion of the Course (a) (Criteria for Completion of the Course) For having successfully

completed the course(s), a candidate has to fulfill the same criterion as in case of a regular post graduate course i.e. a candidate should fulfill minimum requirement of attendance, assignments, tests for sessional and end semester theory/practical examinations as prescribed for a particular course. The mode of evaluation will be approved by the University after receiving the proposal for regular / short courses on the Proforma as given in Appendix – VII, and/or for courses through mentors on the Proforma as given in Appendix – VIII.

(b) (Progress Monitoring and Completion) A candidate is required to

submit, through his/her supervisor(s), the progress about the course(s) on the Proforma given in Appendix – IX, at the time of RDC meetings convened to review the progress. The progress of Pre-PhD course(s) will generally be reviewed in parallel to other aspects of the doctoral programme viz. research, publications, etc that will be submitted, through the supervisor(s), by the candidate on the Proforma given in Appendix – X. The completion of Pre-PhD courses shall be reviewed by the concerned RDC.

4. THESIS SUPERVISOR(S) 4.1 Eligibility for Ph.D. Thesis Supervision /Co-Supervision

(a) (Eligibility) A person shall be eligible to act as supervisor provided he/ she holds a Ph.D. degree in the concerned or related field, has good publications in reputed scientific / technical journals, and who is one of the following:

(i) Principal/Director, Professor, Associate Professor of affiliated/associated/autonomous/constituent college/ institution of the university.

(ii) Assistant Professor with at least five years teaching/ research industrial experience in an affiliated/associated/ autonomous/constituentcollege/ institution of the University.

(iii) In case of topics which are of interdisciplinary in nature co-supervisor from reputed institutions, like IITs, IISc, IIITs, NITs, state funded institutions or research establishments, private


research establishments of repute, CSIR laboratories or University departments may be recommended by RDC.

(b) (Exception) In case a Professor in a particular field has no Ph.D. degree but possesses reputed research publications and belongs to a reputed research institute, he/she may be nominated as a supervisor by the RDC with the approval of Vice-Chancellor relaxing the requirements mentioned in clause 4.1(a).

(c) (Non- eligibility) A person, who is registered for a Ph.D. degree shall not be eligible to act as a supervisor in any faculty/field of the University.

(d) (University Database of Ph.D. Thesis Supervisors) For the purpose of evolving a long term research and development policy, the University shall constitute a University Research Committee. The University shall prepare a database of eminent researchers in various fields by inviting/collecting detailed bio-data of experts from the affiliated colleges/institutions, IITs, IISc, IIITs, NITs, State funded Institutions and Universities, which shall be approved by the University Research Committee on the recommendations of the concerned RDC. A candidate may take help from such a database available on the website of the University in deciding his/her supervisor(s).

(e) (Inclusion of a New Person as Thesis Supervisor) A person duly approved by the Dean PGSR on the recommendation of RDC shall be eligible to act as a supervisor. A person already approved as a Ph.D. thesis supervisor by the University, or a candidate enrolled in the Ph.D.programme of the University may suggest the name of a new person to act as Ph.D. thesis supervisor. The suggestion should be accompanied with two copies of the curriculum vitae of the person proposed, along with his/her consent and the consent of the head of organization and duration of availability, for approval of the RDC.

(f) (Maximum Number of Ph.D. Thesis Supervision) The maximum

number of enrolled candidates that can be supervised by a supervisor at any particular time, singly or jointly with some other person, shall be two(2) for Assistant Professor, five (5) for Associate Professor and eight (8) for Professor. In special situations, up to a maximum two additional candidates can be permitted on the specific recommendations of the concerned RDC and subsequent approval by the Vice-Chancellor.

4.2 Change of Ph.D. Thesis Supervisor - Substitution and Inclusion

(a) (Maximum Number of Ph.D. Thesis Supervisor) A candidate shall normally not have more than two supervisors. Moreover, the two supervisors should not generally be from the same department/


organization. In exceptional cases, one additional supervisor may be permitted on the specific recommendations of the concerned RDC and subsequent approval by the Vice-Chancellor.

(b) (Substitution of a Supervisor) In case a duly approved supervisor later on ceases to act as the supervisor by virtue of his/her retirement or transfer or otherwise, the candidate may be permitted to choose another supervisor provided the relevant criteria in clause 4.1 are satisfied. The application by the candidate is made on the prescribed Proforma as given in Appendix - XI with the specific recommendations/consents of the present supervisor and consent of the proposed supervisor. Such change can be permitted on the specific recommendations of the concerned RDC and subsequent approval by the Vice-Chancellor.

(c) (Induction of an Additional Supervisor) In case during the course of research, it is felt by the candidate or by the existing supervisor(s) or by the RDC, that a particular expertise is additionally needed for the ongoing research, then a new supervisor can be inducted with the requisite expertise, and the eligibility criteria mentioned in clause 4.1. The application by the candidate is made on the prescribed Proforma as given in Appendix - XII with the specific recommendations of the present supervisor(s) and the consent of the proposed supervisor. Such change can be permitted on the specific recommendations of the concerned RDC and subsequent approval by the Vice-Chancellor.

(d) (Minimum Duration of Supervision) A supervisor substituted or

inducted at a later date should be associated with research of the candidate for a period of at least one year prior to the thesis submission.

5. RESEARCH DEGREE COMMITTEE (RDC) 5.1 Constitution and Functioning of RDC

(a) (Constitution) There shall be a separate Research Degree Committee (RDC) for each of the fields of research falling under different existing Faculties of the University with the following constitution.

(i) Dean,Post Graduate Studies and Research (PGSR)[In absence of Dean, Associate Dean PGSR]

Chairman

(ii) Convenerof RDC Member (iii) Two experts of the subject in the

concerned area not below the rank of Professor belonging to the University, to be nominated by the Vice-Chancellor

Member


(iv) Three experts of the subject in the concerned area of which two should be of the Professor rank and one may be the Associate Professor and not belonging to the University, to be nominated by the Vice-Chancellor

Member

(v) Up to the extent of five experts of the professor or equivalent rank of relevant area to be nominated by the Vice- Chancellor looking into the need of a particular RDC

Invited Member

(vi) Dy. Registrar (Academic) Secretary

(b) The RDC of a subject will normally meet twice in each academic session at regular intervals.

(c) Half of the members of the RDC shall form the quorum for the meeting.

However, presence of one external expert is essential in the meeting. (d) The minutes/reports of the RDC meetings shall be placed before the

Vice Chancellor for approval. (e) If the Chairman is unable to attend a meeting, the convener shall act as

the chairman. If convener is also not present than and member nominated by the members present in the meeting shall act as chairman.

5.2 Functions of RDC Each RDC shall perform the following functions:

(a) (Enrollment) Examine the research summary and research plan of the proposed Ph.D. work of registered candidates and provide its recommendations for enrollment. The committee shall satisfy itself that the proposed topic is one on which the Ph.D. work can be pursued under the guidance of the proposed supervisor(s), and that the adequate facilities and equipments for the work do exist at the proposed place of work. If Ph.D. topic /synopsis of a candidate is rejected thrice by the RDC and RDC is of the opinion that the candidate cannot complete Ph.D. work within the stipulated time, then RDC may recommend for cancellation of registration.

(b) (Monitoring Pre-Ph.D. Courses) Depending upon the background of candidates and scope of the proposed research, the RDC will consider the topics of pre Ph.D. courses proposed by supervisor(s). If it appears that a particular course is not relevant or helpful for conducting Ph.D.


work, the RDC may direct supervisor(s) to propose another course. A candidate is required to present the Pre-Ph.D. course progress as per format given in Appendix - IX endorsed by the supervisor(s), in the RDC meetings scheduled for such reviews. The RDC will review and monitor the progress of courses as per provisions given in clauses 3.3(a) and 3.3(b), and clauses 3.4(a) and 3.4(b).

(c) (Review and Monitoring of the Research Progress) The RDC will progressively review the research progress of each candidate and advise on general/specific directions to be followed to meet the research objectives of the University as per provisions of clause 8.1. Accordingly, the RDC may suggest at the initial stage or even at later stages, change(s) in the topic of research, contents of research, and finally in the title of the thesis topic, etc. A candidate is required to present the research progress along with the progress of other components of Ph.D.programme such as Pre-Ph.D. courses, publications etc, as per format given in Appendix – X, endorsed by the supervisor(s), in the RDC meetings scheduled for such reviews. If a candidate could not present his/her research progress in the scheduled RDC meeting due to some genuine reasons, but the progress report sent by the supervisor is satisfactory, he / she may be permitted to continue. In case a candidate does not turn up for presentation in the RDC meeting on two consecutive reviews, his / her registration may be cancelled.

(d) (Recommendation for Change and/or Inclusion of Supervisor(s)) The RDC, upon receiving request for change or inclusion of a thesis supervisor by a candidate as per format given in Appendix – XI and/or Appendix - XII, endorsed by the supervisor(s), shall make its recommendations to the Vice Chancellor as per provisions of the clauses 4.1 and 4.2.

(e) (Recommendation for Extension of Duration) The RDC, upon receiving request for extension of duration of Ph.D.programme by a candidate as per format given in Appendix – XIII, endorsed by the supervisor(s), shall make its recommendations to the Vice Chancellor as per provisions of the clause 6.

(f) (Recommendation for Acceptance/Change of Place of Work) The RDC, upon receiving request by a candidate for acceptance of a workplace of research or for a change of already accepted workplace as per format given in Appendix – XIV, endorsed by the supervisor(s) and the head of research place, shall make its recommendations to the Dean Post Graduate Studies and Research as per provisions of the clause 7.

(g) (Recommendation for Thesis Submission) The RDC, in one of its


review meetings, after ascertaining satisfactory course and research performance and fulfillment of the necessary requirements such as publications, etc. by the candidate, and upon receiving the certificate from the thesis supervisor(s) as per format given in Appendix – XV, will recommend along with the necessary suggestions/instructions as per format given in Appendix – XVI, for the preparation and submission of Research Summary and writing of the thesis, as per provisions of clause 8.

(h) (Building up Research and Development Efforts at the University) The RDC will periodically summarize its experiences and provide the inputs and feedback to the Vice Chancellor for modifications and inducting new research directions and also about the procedures of Ph.D. governance to enrich and strengthen the research efforts of the University. It will also give its suggestions to create the databases about the subject experts for thesis supervision and evaluation, research centers, journals for publication by the candidates.

6. DURATION OF Ph.D. PROGRAMME (a) (Minimum Period) The minimum period for submission of Ph.D. thesis

for a candidate with M. Tech. / M. Phil./ MS degrees and enrolled as full time shall be three years, and for those enrolled as part-time shall be four years from the date of registration.

(b) (Minimum Period) The minimum period for submission of Ph.D. thesis for a candidate with M. Sc. / MBA / MCA / B. Tech. / B. E. degrees and enrolled as full time shall be four years, and for those enrolled as part-time shall be five years from the date of registration.

(c) (Resetting of the Duration) A candidate may be allowed to modify the scheme of his/her research work with the approval of the concerned RDC, but in that case he/she shall not submit his/her Ph.D. thesis before the expiry of at least six months from the date of approval for such a change.

(d) (Extension of Duration and Maximum Period)The maximum period permitted for submission of Ph.D. thesis for a candidate shall normally be five (5) years from the date of registration. In special circumstances, a maximum extension of two years in installments of six months can be granted by the Vice-Chancellor on the recommendations of the RDC after making careful scrutiny of the candidate’s progress. The candidate shall apply for the extension of period on the Proforma as given in Appendix - XIII. It shall be essential for a candidate to submit thesis within the stipulated time period from the date of registration, otherwise, the registration shall automatically be cancelled after the expiry of the due date. Exceptional cases of more than 7 years shall be


placed before the Academic Council for appropriate action. No more extension shall be provided in any circumstances after the due date.

7. PLACE OF Ph.D. WORK (a) (Recognized Research Centres) A candidate shall ordinarily be

permitted to pursue his / her research at any one of the autonomous, constituent or affiliated colleges / institutions of the University which has been recognized as the Research Center by the University.

(i) The autonomous/constituent colleges / institutions affiliated to the University who run AICTE recognized M. Tech./ M. Arch. Programmes of the University for M. Tech./ M.Arch. Programmes qualify to be the Research Center for that area.

(ii) Any college / institution affiliated to the University and not covered under the abovementioned clause 7(a)(i) may be recognized as a Research Center in a particular area provided the Committee of the University recommends on the basis of adequate infrastructure, equipments and facilities available and the Vice- Chancellor accords the approval.

(b) (Reputed Research Establishments) A candidate may also be allowed to pursue his / her research at any other R & D Organization of repute or at any other University with the approval of the Vice Chancellor based on the recommendations of the concerned RDC. The RDC will continuously prepare and update a database of such places where adequate research facilities are available and also of IITs and other national level institutions / organizations.

(c) (Change of Place of Work) A candidate may request for change of place of work due to certain genuine reasons such as decreased availability of facilities, dislocation of supervisor(s), etc. on the prescribed Proforma as given in Appendix - XIV with proper endorsement of supervisor(s) and head of the organization of new place and no objection from the head of previous organization.

8. THESIS PREPARATION AND SUBMISSION 8.1 Scope and Objective of Ph.D. Thesis

The Ph.D. thesis is an important academic document that reflects the research aspirations and objectives of the University, and has an infinite life time. It is expected, therefore, to comply with the following general conditions:

(a) It must be a piece of research work characterized by the discovery of facts or by fresh approach towards interpretation of theories. In either case it should exhibit the candidate’s capability for critical examination and sound judgment.

(b) It should aim at providing the solutions for the problems related to


wellbeing of society and mankind at large. (c ) It should be accepted and respected nationally as well as internationally

for its quality work. (d) It should also be satisfactory as far as its literary presentation is

concerned. (e) The thesis shall be prepared in the prescribed format and specifications

as given in the latest “Guidelines for Preparation of Ph.D. Thesis” of the University applicable at the time of submission of the thesis.

8.2 Pre-Submission Requirements (a) (Publications in International Journals) It is presumed that a candidate

would endeavor to present quality work in the thesis leading to get the results published at least in two journals of international repute(SCI/SCOPUS indexed journals). The RDC will give due consideration on this point before recommending for submission of the thesis. For the purpose of publications not covered in above mentioned and indexed journals, the RDC may suggest a set of journals of international repute related to the field of research. It may also not accept the publications appearing in the journals of low relevance to the field of research or in the journals of poor standard.

(b) (Pre-Submission Presentation) A RDC may advise a candidate to deliver a full presentation of the total work in one of the RDC meetings before submission of Ph.D. thesis. The supervisor(s) may be requested to be present during pre-submission presentation. The RDC (i) may recommend for submission (ii) may suggest revisions to be carried out to the satisfaction of supervisors(s) and submit, or (iii) may suggest revisions to be carried out and re-deliver the presentation in its subsequent meeting.

(c) (Certificates from the Supervisor(s)) The thesis shall be accompanied with a certificate issued by the supervisor (s) stating the following (see also the latest "Guidelines for Preparation of Ph.D. Thesis" of the University) on the format as given in Appendix – XV. (i) That the thesis embodies the original work of the candidate.

Thesis has been checked for originality and an originality report generated from anti plagiarism software (e.g. Turnitin) is enclosed. The thesis has not been earlier submitted for any Degree or Diploma.

(ii) That the candidate worked under him/them for the period prescribed by the RDC.

(iii) That he/she has put in not less than 200 days of attendance for full time at the designated place of work with at least one of the


supervisor (s).

(iv) That the thesis fulfils the requirements of the clause 8.1. (d) (Permission for Submission) The RDC, in one of its review meetings,

after ascertaining satisfactory course and research performance and fulfillment of the necessary requirements such as publications, etc. by the candidate, and upon receiving the certificate from the thesis supervisor(s) as per format given in Appendix – XV, will recommend along with the necessary suggestions/instructions as per format given in Appendix – XVI, the preparation and submission of Research Summary and writing of the thesis. On recommendation of RDC, the Dean Post Graduate Studies and Research will permit the candidate for the submission of Research Summary and the thesis.

8.3 Thesis Preparation (a) (Ph.D. Thesis Preparation Guidelines) After recommendations of the

concerned RDC and subsequent approval of the Dean Post Graduate Studies and Research, the candidate shall start writing the thesis in consultation with the supervisor(s). The University shall issue the “Guidelines for Preparation of Ph.D. Thesis” from time to time. The candidate is required to follow the latest guidelines.

(b) (Language) The medium of expression for the thesis shall be English

language. The use of Hindi language as a medium of expression, if desirable, shall be permitted after the specific permission of the Vice- Chancellor.

(c) (Research Summary) Based on the research and the draft thesis, a

Research Summary should be prepared in consultation with the supervisor(s). (See the latest "Guidelines for Preparation of Ph.D. Thesis" of the University.)

8.4 Thesis Submission

The Ph.D. Thesis submission at the University is in two phases : one for the purpose of evaluation and the second (final) after incorporation of the revisions and suggestions, if any, suggested by examiner(s) after successfulviva-voce examination (see the latest "Guidelines for Preparation of Ph.D. Thesis" of the University).

8.4.1 Submission for Evaluation

(a) The thesis and research summary duly prepared as per guidelines provided in “Guidelines for Preparation of Ph.D. Thesis” of the University in consultation with supervisor(s) will be allowed for submission.

(b) The candidate should fill the checklist and sign the Certificate of Thesis


Submission for Evaluation according to “Guidelines for Preparation of Ph.D. Thesis” of the University. No part of the thesis should be copied from any other source. Due credit to other researchers should be given in the thesis. The Certificate, as given in Appendix – XVII, should be signed by the candidate and countersigned by the supervisor(s), and submitted to the University in duplicate. One copy after stamping by the concerned University official with due entries will be returned to the candidate.

(c) For evaluation purposes, a candidate for Ph.D. degree is required to

submit (i) four copies of Research Summary preferably one month in

advance of thesis submission.

(ii) four hard copies of the thesis printed on both sides and spiral bound using flexible cover of thick white art paper.

(iii) a CD with exactly identical contents in pdf format. The candidate

should ensure that the CD can be opened on any system. The contents of the CD should also be e-mailed to the University at the address [email protected] or any other e-mail address specified by the University.

8.4.2 Final Submission

After the successful completion of viva voce examination and with approval of the Viva Voce Board, the candidate should finalize the thesis incorporating all the suggestions made during the evaluation process by the internal and external examiners and the suggestions emerging during viva voce examinations including modifications, if any, in the title of the thesis. Following should then be submitted (see “Guidelines for Preparation of Ph.D. Thesis” of the University):

(a) (Certificate and Undertaking) Certificate of Final Thesis Submission, as given in Appendix – XVIII, signed by the candidate and the supervisor(s) certifying that all the corrections suggested by the examiners have been incorporated. The thesis has been prepared as per Guidelines for preparation of Ph.D. thesis.

(b) (Printing and Binding) The final thesis should be printed and bound as

per specifications given in the “Guidelines for Preparation of Ph.D. Thesis” of the University.

(c) (Number of Copies) Incorporating all corrections including suggestions during viva-voce examination, two copies printed on both sides and hard bound as per the specifications given in the “Guidelines for Preparation of Ph.D. Thesis” of the University.

(d) (Electronic Copy) For electronic repository of the University, a CD with


exactly the identical contents as in the final thesis in pdf format should also be submitted. The candidate should ensure that the CD can be opened on any system. The CD should carry the name, enrollment number and programme of the candidate. The contents of the CD should also be e-mailed to the University at the address [email protected] or any other e-mail address specified by the university

9. THESIS EXAMINATION 9.1 Thesis Evaluation by External Examiners

(a) (Appointment of Examiners) The appointment of thesis examiners shall be made in the following manner:

(i) The supervisor(s) will prepare a panel of eight (8) experts (four (4)

each from India and abroad) qualified to examine the thesis. Similarly, the convener RDC will also prepare to a panel of eight (8) experts (four (4) each from India and abroad). The proposed thesis examiners should be from reputed institutions and should actively be involved in research. Both the panels will be sent to the Dean/Associate Dean Post Graduate Studies & Research of the University. Out of both panels of examiners, the Vice-Chancellor, at his discretion, will appoint two examiners other than the supervisor(s), one from India and one from abroad to whom the thesis will be sent for evaluation.

(ii) If the convener RDC is the supervisor or one of the supervisors,

the chairman of the RDC shall request another RDC member to provide the panel of thesis examiners.

(iii) If the Vice-Chancellor is the supervisor or one of the supervisors, the appointment of examiners shall be made by the Pro Vice-Chancellor. In the absence of Pro Vice-Chancellor, or Pro Vice-Chancellor and Vice-Chancellor happen to be the supervisors, the Dean Post Graduate Studies & Research will appoint the examiners and monitor the evaluation process.

(b) (Process of Evaluation of the Thesis) A copy of the Research Summary

shall be sent to both the external examiners for their consent. In case any examiner expresses his/her inability to evaluate, the Vice Chancellor will appoint alternate examiner from any of the two panels. In the event of several examiners declining to evaluate the thesis, a set of fresh panels will be obtained from the supervisor(s) and the convener RDC. On receiving the consent, the thesis shall be sent to both the examiners. Normally, two months time shall be given to the examiners for submitting the evaluation report. The maximum extension given to any examiner shall be one month, failing which the Vice-Chancellor


may appoint alternate examiner(s). (c) (Evaluation Report) The examiners shall specifically report on the

prescribed Proforma (as given in the Appendix - XIX) whether the thesis fulfils the requirements of the clause 8.1. They shall clearly recommend one of the following : [A] (Acceptable) The thesis is acceptable as it is. [B] (Acceptable after Minor Technical Revisions/Language

Corrections) The thesis is acceptable after minor revisions as specified in the evaluation report, to the satisfaction of the Viva-Voce examination board.

[C] (Major Technical Modifications and Re-evaluation) The thesis needs major technical improvements/modifications which must be carried out to the satisfaction of examiner before it is recommended for acceptance.

[D] (Rejected). The thesis is rejected as it does not meet the minimum standards.

(d) (Processing of Evaluation Reports)

(i) If both the external examiners approve the thesis (clause 9.1 (c)[A]), the Viva-Voce examination will be conducted as per provisions of clause 9.2.

(ii) If one external examiner approves the thesis as submitted (clause 9.1(c)[A]) and the other external examiner recommends minor revisions (clause 9.1(c)[B]), or both the external examiners recommend minor revisions (clause 9.1(c)[B]); the comments of the examiner recommending revisions shall be sent to the supervisor(s) and to the candidate without disclosing identity of the thesis examiners for the necessary clarifications / comments and revisions. The candidate is required to incorporate the suggested revisions and submit the revised thesis and a response sheet to the University indicating point by point how the suggested revisions have been responded/incorporated. The revisions and response sheet are required to have the endorsements of the supervisor(s). Upon receipt of the response and revised thesis, the Viva-Voce examination will be conducted. The examiner’s comments, candidate’s response sheet and the revised thesis shall be placed before the Viva Voce examination board.

(iii) If one external examiner recommends minor revisions (clause 9.1(c)[B]), and the other external examiner recommends major revisions (clause 9.1(c)[C]), or both the external examiners recommend major revision (clause 9.1(c)[C]); comments of both the examiners shall be sent to the supervisor(s) and to the candidate without disclosing identity of the thesis examiners for


the necessary clarifications/comments and revisions. The candidate is required to incorporate the suggested revisions and submit the revised thesis and a response sheet to the University indicating point by point how the suggested revisions have been responded to and incorporated into the thesis. The revisions and response sheets are required to have the endorsements of the supervisor(s). Upon receipt of the responses related to both minor and major revisions and the revised thesis from the candidate, both the comments related to minor and major revisions and the corresponding response sheets and the revised thesis will be sent to the examiner recommending for re-evaluation. The subsequent processing will be done after receiving the comments from the examiner. In the event of acceptance of the revised thesis by the external examiner, the Viva-Voce examination will be conducted. Comments of both the examiners, candidate’s response sheets and the revised thesis shall be placed before the Viva Voce examination board.

(iv) If any one of the two examiners reject the thesis (clause 9.1(c)[D]), and the other recommends (clause 9.1(c)([A], [B] or [C])), then the thesis shall be sent to a third examiner for re-evaluation. If the report of the third examiner is any one of the 9.1(c)([A], [B], or [C] , then the thesis with the recommendations of both examiners is processed as given in clauses 9.1(d)(i),(ii),(iii),(iv). However, if the third examiner also rejects the thesis (clause 9.1(c)[D]), the thesis shall be rejected.

(v) If both the external examiners reject the thesis (clause 9.1(c)[D]), the thesis shall be rejected.

(e) (Major Revision of the Thesis) If a candidate is required to revise the thesis under clause 9.1(c)[C], the Vice Chancellor may permit the candidate to revise his/her thesis and submit to the University in a period not earlier than six months from the date of communication to the candidate. The candidate shall have to pay an additional examination fee as prescribed by the University for re-submission of his/her thesis.

(f) (Evaluation of Revised Thesis) The revised thesis shall normally be examined by the old set of examiners provided they agree for re-evaluation. If any one of the examinersreject the thesis, or an examiner does not agree for re-evaluation of the revised thesis, another examiner will be appointed according to the clause 9.1(a) from the panels. The consent of the examiner shall be obtained by sending a copy of the detailed Research Summary. The examiners shall be requested to clearly recommend whether the thesis is approved or rejected.


(g) (Re-submission of Thesis after Rejection) The candidate shall be informed about the rejection of thesis. In case, the candidate is further interested to continue research work. He/she will submit an application to the Dean Post Graduate Studies and Research for granting permission. On getting permission from the university the candidate will continue research work taking into consideration of comments and suggestions of all the examiners. The candidate will be allowed to submit his/her thesis following ordinance clause 8.4.1 after one year from the date of permission granted (with satisfaction to ordinance clause 6 (d)).

9.2 Viva-Voce Examination (a) (Announcement) Once a the thesis is accepted (clause 9.1(c)[A] and/or

[B]), a Viva-Voce examination for the candidate shall be arranged and corresponding announcements will be made.

(b) (Viva-Voce Examination Board) The Board for viva-voce shall comprise

of: (i) One Indian examiner who approved the thesis. If the Indian

examiner is not available, the Vice-Chancellor may nominate another Indian examiner from the panel.

(ii) One/two members shall be nominated by the Vice-Chancellor from institutions/research establishments of repute.

(iii) The supervisor(s) (Internal Examiner).

(c) (Recommendations) The Viva-Voce Board shall make the final and a clear recommendation (see the Proforma as given in Appendix – XX) whether the candidate (i) be awarded Ph.D. degree, or (ii) be asked to re-appear for a Viva-Voce examination, or (iii) the thesis is rejected.

(d) (Re-examination) In case of recommendation of re-examination (clause 9.2 (c)(ii)), the candidate shall be required to re-appear for a Viva-Voce examination before the same Board but not earlier than three months from the date of Viva-Voce examination.

10. AWARD OF Ph.D. DEGREE (a) The candidate shall be awarded Ph.D. degree with recommendations of

the Academic Council on the report of the Board of Viva-Voce examination and the approval of the Executive Council. However, the candidate may be issued a Provisional Degree Certificate (see the format as given in Appendix - XXI) if the Academic Council recommends the candidate for the award of Ph.D. degree.


(b) The award of Ph.D. degree can be withdrawn in case the thesis submitted by the candidate is found to contain false or pirated results, or the candidate has been found to be involved in plagiarism. The procedures of withdrawal of the degree shall be in accordance with the policy of the University in these matters as in force from time to time.

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2. FACULTY OF COMPUTER APPLICATIONS

S.No. Subject/ Specialization Code Eligibility

1 Computer Application CA MCA (First Division or Equivalent CGPA)

3. FACULTY OF PHARMACY


1 Pharmacy PHAR B.Pharma&M.Pharma (First Division or Equivalent CGPA in either of one)

4. FACULTY OF ARCHITECTURE, PLANNING AND DEVELOPMENT


1 Architecture ARCH B.Arch&M.Arch (First Division or Equivalent CGPA in either of one)

5. FACULTY OF MANAGEMENT


1 Management MGMT MBA(First Division or Equivalent CGPA)

6. FACULTY OF APPLIED SCIENCES


1 Physics PHY M.Sc.( First Division or Equivalent CGPA) in Physics

2 Chemistry CHY M.Sc.( First Division or Equivalent CGPA) in Physics

3 Mathematics MATH M.Sc.( First Division or Equivalent CGPA) in Physics

7. FACULTY OF ARTS AND VISUAL COMMUNICATION

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Kalam Technical University ? (If not, kindly enclose a copy of your detailed curriculum vitae)

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(Thesis Supervisor(Outgoing)(Thesis Supervisor(Incoming)(Thesis Supervisor (other, if any))

Recommendation of RDC:

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