Ph.D. REGULATIONS. 1. Preamble IKGPTU, Jalandhar offers academic programme leading to the award of Ph.D. degree through its Departments, Constituent Campuses and approved research affiliated colleges and approved collaborative units. The award of Ph.D. degree shall be in recognition of high academic achievements, independent and original research, characterized either by the discovery of facts, or by fresh approach towards the interpretation and application of existing theories and facts, or development of innovative products, techniques, centres installed in it ideas, and technologies for its applications to the solution of technical and scientific problems in the subjects of Engineering Technologies, Sciences, Management, Humanities, Pharmacy, Social Sciences and Architecture and such other subjects as may be deemed fit by the University / State Government from time to time; and. ‘The degree of doctor of philosophy (Ph.D.) of the IK Gujral Punjab Technical University Jalandhar, Jalandhar shall be governed by UGC (Minimum Standards and procedure for Award of M.Phil / Ph.D Degrees) Ph.D Regulations as amended from time to time. 2. Outline The academic programme leading to the Ph.D. degree is broad-based that involves successful completion of a mandatory Course work, research work presentations, and a research thesis, To streamline this program, Ph.D. regulations are framed with an aim to produce quality research work from the University. Two major committees are proposed and their role and purpose outlined. (a) University Research Board (URB) shall be the highest research body of the University for monitoring, modifying, interpreting and arbitrating on any kind of dispute pertaining to these Ph.D. regulations. In addition, this body shall be competent to propose and issue amendments / addendum to these regulations as per the need and to comply with UGC guidelines from time to time. (b) Research Advisory Committee (RAC) shall be constituted for every PhD student to review and guide various research activities. It shall perform fimctions as defined as per PhD Regulations and comply with UGC regulations as amended from time to time. 3. Eligibility (a) Candidates for admission to the Ph.D programme shall have a Master's degree in the relevantallied subject or a professional degree declared equivalent to the — Master’s degree by the corresponding statutory regulatory body, with at least 55% marks in aggregate or its equivalent grade 'B' in the UGC 7-point scale (or an equivalent grade in a point(b) (©) (dy (e) o scale wherever grading system is followed) or an equivalent degree from a foreign educational Institution _aceredited. by an Assessment and Accreditation Agency which is approved, recognized or authorized by an authority, established or incorporated under a law in its home country or any other statutory authority in that country for the purpose of assessing, accrediting or assuring quality and standards of educational institutions A relaxation of 5% of marks, from 55% to 50%, or an equivalent relaxation of grade, shall be allowed for those belonging to SC / ST / OBC (non-creamy layer) / Differently- abled and other categories of candidates as per the decision of the Commission from time to time, or for those who had obtained their Master's degree prior to 19th September, 1991. The eligibility marks of 35% (or an equivalent grade in a point scale wherever grading system is followed) and the relaxation of 5% to the categories mentioned above are permissible based only on the qualifying marks without including the grace mark procedures. Candidates who have cleared the M.Phil course work in regular mode with at least55% marks in aggregate or its equivalent grade 'B in the UGC T-point scale (or an equivalent grade in a point scale wherever grading system is followed) and successfully completing the M.Phil, Degree shall be eligible to proceed to do research work leading to the Ph. D. Degree in the same Institution in an integrated programme. A relaxation of 5% of marks, from $5% to 50%, or an. equivalent relaxation of grade, shall be allowed for those belonging to SC / ST / OBC (non-creamy layer) / differently- abled and other categories of candidates as per the decision of the Commission from time to time. A person whose M.Phil. dissertation has been evaluated and the viva voce is pending shall be admitted to the Ph.D. programme of the same Institution; Candidates possessing a Degree considered equivalent to M.Phil Degree of an Indian Institution, from a Foreign Educational Institution aceredited by an Assessment and Accreditation Agency which is approved, recognized or authorized by an authority, established or incorporated under a law in its home country or any other statutory authority in that country for the purpose of assessing, accrediting or assuring quality and standards of educational in: eligible for admission to Ph.D. programme. tutions, shall be Candidates, who have already cleared UGC / CSIR / SLET / GATE GPAT/ Rajiv Gandhi Fellowship awardees / _teacher-fellowship holders / INSPIRE / or candidates who are awarded Fellowships directly or by other funding agencies (JCAR/ICHR/ICMR/DBT/DST), MPhil candidates (who have admitted through entrance test and completed M.Phil degree in regular mode) for the purpose of pursuing@) h) PhD will be exempted from entrance test. Candidates, who have qualified UGC / CSIR / SLET / GATE/ GPAT/ Rajiv Gandhi Fellowship awardees / teacher-fellowship holders / INSPIRE / or candidates who are awarded Fellowships directly or by other funding agencies (ICAR/ICHR/ICMR/DBT/DST), M.Phil candidates (who have admitted through entrance test and completed M.Phil degree in regular mode) can join Ph.D program any time throughout the year subject to availability of the Ph.D. vacancy and approval of the Supervisor. However, course work allotment will be as per existing Ph.D norms. ‘No Candidate shall be eligible to register for the Ph.D. programme if he / she is already registered for any full time programme of study in any University / Institution. 4, Admission ©) @) a) The admission in Ph. D programme will be done through entrance test and interview. The admission for the session June/July will be done on the basis of entrance test and interview. Test exempted candidates ie UGC/CSIR Exam/SLET/GATE/GPAT Rajiv Gandhi Fellowship awardees/ teacher- {fellowship holders/INSPIRE/ or candidates who are awarded Fellowships directly or by other funding agencies (ICAR/ICHR/ICMR/DBT/DST), M.Phil candidates (who have admitted through entrance test and completed M.Phil degree in regular mode) may also apply for admission in JunelJuly session. Only valid score card of all exempted categories will be considered for admission. The admission in the session Dec/Jan will be done on the basis of interview only. In this session only test exempted candidates ie UGCICSIR Exam/SLET/GATE/ GPAT/ Rajiv Gandhi Fellowship awardees/ teacher- fellowship holders/INSPIRE/ or candidates who are awarded Fellowships directly or by other funding agencies (ICAR/ICHR/ICMR/DBT/DST), M.Phil candidates (who have admitted through entrance test and completed M.Phil degree in regular mode) may also apply for admission. Only vatid score card of all exempted categories will be considered for admission. The exact date of the examination will be notified through IKG PTU's website and advertisement in atleast two (2) _ national newspapers, out of which at least one (1) shall be in the regional language. The number of seats for admission, subject / discipline-wise distribution will be displayed on University website / advertisement. ‘An Entrance Test shall be qualified with qualifying marks as 50%, The©) question paper will be objective type and of 120 minutes duration, The syllabus of the Entrance Test shall consist of 50% of research methodology and 50% shall be subject specific. The merit list of the candidate belonging to Scheduled caste (SC) / Scheduled Tribe (ST) / Physically handicapped (PH) / Visually Handicapped (VH) shall be shall prepared separately. The qualifying marks for reserved categories be 45% in entrance. The entrance test will be based on the fundamental and subjective aspects of each subject whose content will be as defined by University Grants Commission for NET (UGC) examination. For subjects (Engineering) for which UGC do not conduct the NET, the GATE / GPAT syllabus will be followed. 5. Selection Criteria (a) ) © (d) ©) The numbers of candidates who will be called for interview will be double the number of seats available for admission. The inter-se merit of candidates appeared in test will be made on the basis of merit calculated as per the following criteria: ()— Weightage to marks in Master's / M.Phil programme : 40% (ii) Weightage to marks in entrance test: 40% (ii) Weightage to interview : 20% The interview shall also consider the following aspects, viz. whether: (i) the candidate possesses the competence for the proposed research; (ii) the research work can be suitably undertaken at the Institution / College; (iii) the proposed area of research can contribute to new / additional knowledge, Only the predetermined number of students, based upon the available recognized research supervisors (with concerned specialization / research interest) will be selected for admission to Ph.D. The result will be communicated to the student. The candidate who has been selected for Ph.D programme after qualifying the test i.e. written and interview may take admission in June- July or Dec-Jan, If the candidate has been selected in the session Dec- Jan then he can take admission in the session Dec-Jan and June-July. If the student fails to take admission in the said two consecutive sessions then his/her candidature will stand cancelled. Sponsored / Fellowship Awardees The UGC / CSIR / INSPIRE AICTE fellowship awardees or thosesponsored by Government (State / Union / UT) / Public Enterprises / CSIR / DRDO research labs or candidates who are awarded fellowships directly by their or any funding agencies for the purpose of pursuing PhD., can be registered any time during the session. NET / GATE / GPAT qualified project fellows appointed against financed projects of at least two years’ duration can also be registered for Ph.D. at any time during the session. (0) Reservation National / State reservation policy shall be paid due attention in the process of Ph.D. admission. Candidates who have qualified UGC / CSIR JRF / INSPIRE / Fellowship awardees / and those sponsored by Government (State / Union / UT) / Public Enterprises / recognized research labs will be admitted irrespective of reservation category. The guidelines of the UGC and directions of the MHRD as applicable from time to time in regard to reservation for SC / ST / OBC / PWD in Ph.D. admissions shall be applicable automatically. 6. Guidelines for enrolment of foreign students in PhD. A) Programmes of Study PHD for foreign students Engineering, Ci Engineering, Mechanical Engineering, Textile Engineering, Pharmacy, Physics, Chemistry, Mathematics, Bio-Technology, Planning & Architecture, Human Values, Computer Science and Engineering, Business can be offered in following subjects: Chemical il Engineering, Electrical Engineering, Electronics Administration, Computer Application, Punjabi, English and Bio-Energy or any other discipline which will be introduced in future. B). Eligibility Conditions (i) Only those candidates shall be considered for direct admission to the Ph.D Programme who have (a) obtained M.Phil degree of a recognized University/Research Institution with minimum Final Grade Point Average (FGPA) of 6.00 in 10 point scale/comparable standard where the grading is based on system other than 10 point scale. The candidates who have obtained M.Phil/M.Tech. degree from a University/Institution where dissertation is not graded or grading is not on 10 point s dissertation along with the Application Form for the purpose of assessment of their credentials; le , are required to forward a copy of their M.Phil. OR (b) at least 2 years research experience in reputed institutions with research publication(s) comparable to M.Phil. standard. In addition, they shouldhave obtained Master's Degree with FGPA of 6.00 in the 10 Point scale/comparable standard or equivalent percentage. (ii) The applications of the candidates whose M.Phil/M.Tech./Pre- Ph.D/MPH result are not available will not be considered under any circumstances, Hence, the applications of only those candidates can be considered whose results are indicated/available in the application form. (iii) Candidates enjoying employed status and selected for admission shall be required to produce LEAVE SANCTION ORDER for a period of two years at the time of admission/registration, (vi) Eligibility shall remain same as approved for Indian students. The equivalence of master degree shall be determined as per equivalence defined by AIU. C, DIRECT ADMISSION TO PH.D PROGRAMME ‘The University admits a limited number of candidates directly to Ph.D programme either on the basis of viva-voce or written examination and viva-voce both as may be decided by each Centre/School both in Monsoon and Winter Semesters in various areas of research in the disciplines listed above, Every year foreign nationals are admitted to various programmes of study under the following categories (a) Self-finaneing Students i) through Entrance Examination and/or viva voce ii) through ‘In Absentia" (b) Under the Cultural Exchange Fellowship Programme of Govt. of India. (a) Self Financing Students (@ Through entrance examination and/or viva-voce: (For those foreign national who are in India/Nepal) All Foreign students present in India will be required to appear in the entrance examination and/or viva voce subject to their fulfilling minimum eligibility requirement as prescribed for Indian students subject to equivalence of their qualification and production of Student Visa/Research Visa, as the case may be. (i Through "In Absentia’ 7 Candidates already in India during entrance examination and for viva voce will not be considered for admission under in absentia/under Cultural Exchange programme of Government of India and they will have to gothrough the process of entrance examination and/or viva voce for admission to various programmes of study. Foreign Nationals who are applying from their respective countries will be considered ‘In Absentia’ and there is a separate Application Form for them. They are required to mail Application Form(along with the copies of the certificates ete, in tural Exchange Programme Of Government Of Ine The students secking admission under the Cultural Exchange Fellowship Programme of Government of India are required to approach the Indian Council for Cultural Relations, Azad Bhavan, LP State, New Delhi- 110001, Indis about their selection. In the event of their selection, the Council will be informed D. Selection In the event of their selection, candidates will be informed about their selection and their admission will be subject to the following conditions:- 1, Equivalence of their qualification as prescribed by the University for Various Programmes of study. 2, Production of Student- Visa/Research Visa (as the case may be) in accordance with the revised visa policy of Government of India as also a Xerox copy of their Passport together with the original documents for verification, E._ Certificates And Documents Required to Be Submitted By Candi , ication Form F ission To Vari Programmes Of Study (a) Duly attested copies of Senior School Cettificate/ Bachelor's Degree, Master Degree ete. (b) Candidate who have passed the qualifying examination from a foreign university should submit all the relevant information/documents which may justify the equivalence of their qualifications. (©) Mark-sheets/Degree in a language other than English should be got translated into English language and a copy of the same duly attested be attached. (d) A Character Certificate from the Head of the Institution last attended, (©) Detail of Bank account,(0) A Certificate from the Bank of the applicant to the effect that sufficient funds are available in the account of the applicant to sustain his/her studies in India for the duration of the programme. (g) Copy of passport (h) Medical Insurance document(s) . Candidate is required to submit medical insurance documents for the duration of the programme at the time of admission/registration. F. TUITION FEE Foreign students admitted to various programmes of study including casual students are required to pay fees and incidental charges as per following rates in US Dollars in Indian currency as per prevalent exchange rates: 1, Tuition Fee and Other Fees per Semester for courses in Science/Engineering Disciplines USS750 2. Tuition Fee and Other Fees per Semester for courses in Humanities & Social Sciences USS500 3. Incidental charges per semester US $ 100 Note: (i) Foreign Nationals applying for admission as self financing students are required to provide detail of the Bank account ete. with their application forms and a certificate from their respective bankers to the effect that they have sufficient funds available in their bank account to sustain their studies in India for the duration of the programme. For needy students whose financial statement indicates lack of sufficient funds, a limited number of fee waivers are available from Second Semester onwards. 7. Fellowship / Scholarship PhD. research scholars will be provided fellowship / scholarship as per the guidelines of the funding agencies / University from time to time. 8. Supervisor and Co-supervisor (a) Eligibility criteria to be a Research Supervisor and Co- $ pervisor, (i) Any regular Professor of the IKG PTU and its affiliated colleges h at least five research publications and any regular Associate / Assistant Professor of the University / institution deemed to be a University / college with a Ph.D. degree and at least two research publications in journals as notified by UGC from time to time shall be recognized as Research Supervisor. (ii) Provided that in areas / disciplines where there is no journals notified by UGC, the University may notify the list of journals through Research Advisory Committee (RAC).(b) (iii) i) ) wi) (vii) Only a full time regular teacher of the IKG PTU / Constituent Campuses of its affiliated colleges can act as a supervisor. The external supervisors are not allowed. However, Co- Supervisor can be allowed in inter-disciplinary areas from other Departments of the same institute or from other related institutions with the approval of the Research Advisory Committee. The supervisor fiom the affiliated colleges should have Master Programme in the college and they should have adequate infrastructure for research or have access to the required facilities of the neighbouring institute. Scientists / faculties of goverment funded research organizations of national importance with which IKG PTU has signed specific MoU for collaboration in research and development activities may be approved as Ph.D supervisor provided their names are duly forwarded by the Director or equivalent of their parent institutions. Recognition of the scientists / faculties as Supervisors would be granted by the concerned RAC, IKG PTU. In case of topics which are of inter-disciplinary nature where the Department concemed feels that the expertise in the Department has to be supplemented from outside, the Department may appoint a Research Supervisor from the Department itself, who shall be known as the Research Supervisor, and a Co-Supervisor from outside the Department / Faculty / College / Institution on such terms and conditions as may be specified and agreed upon by the consenting Institutions / Colleges. Regular faculty having minimum two publications in refereed journals can be co- supervisor. Supervisor / Co-supervisor shall not be a relative such as wife / husband, father / mother, son / daughter, sister / brother, wife’s / husband’s brother and sister, brother's / sister's son and daughter, first cousins, grand-son, grand-daughter, or such person as might be deemed a close relation of the candidate by the Vice-chancellor. Change of Supervisor / Co-Supervisor Normally change of supervisor / co-supervisor shall not be permitted, except under the circumstances mentioned below- @ (i) In case the supervisor has left his affiliation with the University or by the mutual consent of the supervisor and the candidate. The earlier date of the Registration shall stand. RAC shall have to recommend the same with justification, In case of extreme hardship, where it becomes almost impossible for a candidate to work with the existing Supervisor and the VC has satisfied himself / herself, This clause is to be used sparinglyunder abnormal circumstances only. (iii) In case a supervisor / co-supervisor retires or expires or leaves the affiliation of the University, during the Course of the work, then as per the case need RAC can recommend appointment of a full supervisor / co-supervisor / caretaker cum administrative supervisor (to look after the administrative needs of the candidate’s research work) depending upon the amount of work completed including publications. (© Supervisor Allocation The allocation of Research Supervisor for a selected research scholar shall be decided by the Research and Development Department concerned depending on the number of scholars per Research Supervisor, the available specialization among the Supervisors and research interests of the scholars as indicated by them at the time of interview / viva voce. (a) Number of Seats Under a Supervisor ‘A Research Supervisor / Co-supervisor who is a Professor, al any given point of time, cannot guide more than Eight (8) Ph.D. scholars. An Associate Professor as Research Supervisor can guide up to a maximum of six (6) Ph.D. scholars and an Assistant Professor as Re Supervisor can guide up to a maximum of four (4) Ph.D. scholars. eh, 9, Admission Categoi Candidates shall be admitted under the following categories to this programme: (a) Full-Time (i) A person with scholarship / fellowship / study leave from an organization / or without fellowship who is neither employed nor is pursuing any other Course of studies (shall submit a declaration in this concern) and whose supervisor is working in the jurisdiction of this University. (ii) Candidates registered for full time programme in the University or in the approved centres of research in the jurisdiction of the University shall be available during the working hours for curricular, co-curricular and related activities. (iii) Part-time candidates in employment, who want to pursue full-time studies may be allowed to convert as full time candidates during their research work subject. to. approval provided they are sponsored by their employer and should avail leave for the research period and should get formally relieved from their duty to join the research programme. (iv) The full-time programme shall be undertaken in the departments ofb) © ) (wi) this University or in the approved University research centres, Full time Ph.D. scholars shall be required to be present in the University / centre. Candidates shall be marking their attendance daily and their presence shall be duly recorded and maintained in the concerned department / centre except on the days when s(he) is away from campus on duty / sanctioned lea ‘The full-time candidate shall not involve in any kind of remunerative academic work / duty outside the University premises without written permission from the supervisor and HoD concemed, Full-time to Part-Time (External) conversion shall not be allowed mally and will be considered only on merit by RAC for onward recommendation, but not before 15 months after confirmed registration. ne Part-Time (Internal) @ (ii) i) Full time teachers of this University, shall be called ‘Part time (Intemnal)’candidates under the guidance of supervisor in the University. Candidates working in this University in projects undertaken from State / Central / Quasi Government and totally funded through the projects shall also be called ‘Part time (Internal)’ candidates. The place of research for teachers of this University shall be the concemed Departments of this University. Part-Time (External) @ Gi) ii) (iy Candidates working in Colleges / R&D Departments / Research laboratories in Units of Government / Quasi: Industrial units, and sponsored by the respective employer / Organization, shall be called ‘Part time (External)'candidates. Government / The place of research for the extemal candidates shall be the respective institution or unit or organization as the case may be and institutions where the Supervisor is working and also the Department concemed in the University. All part-time registered candidates shall spend minimum forty-five days (minimum 15-days per visit) per year for consultations and research in the department and to be certified by the concerned Supervisor. Full-Time candidates shall be given preference over Part-Time candidates by the University: Both Full-time / Part-time candidates need to undertake mandatory pre-Ph.D. registration Course work as mentioned in clause 6.0 in a REGULAR manner.10. Course Work All candidates admitted to the Ph.D programme shall be required to complete the Ph.D course work, proposed by the Supervisor keeping in view the candidate’s areas of research in the University Teaching Department, Pre Ph.D course work will be of 15 credits and shall be offered on regular basis at IKGPTU campus. Structure of course work is as under:~ Sr. Nature of Name of course | Cre Remarks No. Course dits 1. | Core 1 Research 4 |The syllabus of RM Methodology should be formulate faculty wise such a Engineering, Sciences| Management / Humanitie: and Life sciences 2. Subject related | ~4 | Discipline specific related theory paper to Advancements i theoretical methods fo research. 3. Presentation 3. | Discipline specific 2. | Interdisciplinary | 4. Elective 4 | From list of subjects from| allied fields Total Minimum credits 15 (a) The candidate will have to clear Courses within the first two semesters as per the programme of the Department. (b) Direct fellowship awardees or candidates registered for Ph.D. during the middle of the semester will take up Course work in the following semester. (©) The syllabus for Pre-Ph.D. Course work, not covered in the ongoing PG curriculum, will be drawn by the Board of Studies or RAC subject to the approval by BoS and highest academic body of the University. (d) An attendance less than the mandatory 75% (including 10% attendance benefit on medical grounds) in the Course work shall attract cut in the scholarship / fellowship. 11, Course Completion Criterion (@) APh.D. scholar has to obtain a minimum of 55% of marks or its equivalent grade in the UGC 7-point scale (or an equivalent grade!12, 13. (by © CGPA in a point scale) in the course work in order to be eligible to continue in the programme. After successful completion of course work, a letter of confirmed registration will be issued by Dean (Research & Development) The prescribed Course work shall be completed within twelve months from the date of enrolment / pre-registration. In case a candidate fails, he J she may request another chance recommended by supervisor to complete the Course work within six months with extra fee as applicable, After this any further chance may be granted by VC with extra fees as applicable, Monitoring and Evaluation of Ph.D work @) (b) After the confirmed registration a research scholar shall appear before the Research Advisory Committee once in six months to make a presentation of the progress of his / her work for evaluation and further guidance till the pre-Ph.D. thesis presentation, The six monthly progress reports shall be submitted by the Research Advisory Committee to the Dean R & D with a copy to the research scholar. In case the progress of the research scholar is unsatisfactory, the Research Advisory Committee shall record the reasons for the same and suggest come these corrective measures, the Research Advisory Committee may recommend to the Dean (R&D) with specific reasons for cancellation of the registration of the research scholar. tive measures. If the research scholar fails to implement After admission to Ph.D Programme the student in consultation with the Supervisor may propose research proposal / Title for Ph.D. thesis within one year to RAC. However, the final title for the Ph.D thesis shall be decided at the time of the pre-thesis / submission presentation by RAC. Cancellation of Enrollment / Registration The enrolment / registration of the student will be cancelled, if, (a) (b) ©) @) The candidate does not enroll for Course work in the ongoing / immediately following semester (if admitted mid-semester) on her / his admission to Ph.D. without specifying any reason, The candidate fails to obtain the required CGPA / marks in Course work as per rules The progress of the candidate is found Unsatisfactory by the Supervisor and the RAC as per clause 11(b). The candidate does not pay the fee / dues in time and even in extended period with late fee, as applicable. The candidate commits to plagiarism or unethical practices in research. The candidate indulges in activities of indiscipline, and remains absentfrom the Department without permission of the competent authority. Re-registration: Ifa candidate withdraws from Ph.D program or his registration is terminated on account of un-satisfactory progress report by Research advisory committee and non submission of his/her PhD thesis in stipulated time. Such candidate shall be given one opportinuity to re-register for PhD program and be exempted from appearing in the PhD entrance test and credits camed by him/her during previous registration may be transferred on the recommendation of RAC, (g) If candidate’s registration has been terminated on account of disciplinary action, he/she will not be allowed for re-registration. 14, Duration of the Ph.D Programme: @) Ph.D programme shall be for a minimum duration of three years, including course work and a maximum of six years. The duration of PhD Programme will be counted from the date of provisional registration, Extension will be given for 7" year and for the 8" year with payment prescribed extension fee. The women candidates and Persons with Disability (more than 40% disability) shall be allowed a relaxation of two years for Ph.D. in the maximum duration. In addition, the women candidates shall be provided Maternity Leave / Child Care Leave once in the entire duration of MPhil / Ph.D for up to 240 days. These extensions will be without any extension fee. 15, Attendance and Leave (a) b) © Full time Ph.D. scholars shall be required to be present in the University. Their presence shall be duly recorded and maintained in the Department / Centre concerned, except on the days when s(he) is away from campus on duty / sanctioned leave. A Ph.D. scholar cannot avail more than one month leave in a year (15 on incidental accounts +15 on medical grounds). Leave not availed shall not be accumulated at the lapse of the year (315' Dec.) except on medical grounds. In case of relocation of an Ph.D, woman scholar due to marriage or otherwise, the research data shall be allowed to be transferred to the University to which the scholar intends to relocate provided all the other conditions in these regulations are followed in letter and spirit and the research work does not pertain to the project secured by the parent institution / supervisor from any funding agency. The scholar will however give due credit to the parent guide and the University for thepart of research already done. The scholar shall follow the due procedure as notified by University for seeking any such relocation. 16, Pre-Thesis Synopsis When the Supervisor(s) is of the opinion that thesis is in the final stage of completion, including mandatory publication requirement as in clause 16, the candidate shall apply on prescribed performa for the pre-thesis synopsis seminar on his research findings, at- least three-months before the intended period of submission of thesis to the office of HoD through Supervisor, along with 10-copies of the final synopsis of the research work. The candidate shall be allowed to submit her / his thesis for the Ph.D. degree only when the RAC is satisfied about the work (a) Pre Thesis Seminar (b) @ (i) ii) The pre-thesis synopsis seminar shall be conducted in the Department before RAC which shall be open to all faculty members and other research scholars. The seminar presentation will examine the candidate’s research contribution and accomplishment of proposed research objectives. In case, RAC makes certain comments / suggestions for improvement, the candidate needs to incorporate these suggestions in the thesis under the advice of the supervisor(s). The publications required as per clause 17 from the candidate shall be put before the RAC for scrutiny. Topic of the Thesis, if need be, can be fine-tuned and recorded formally within the broader perspective of the initially approved title and / or research proposal at this stage. In submit separately a panel of six reputed examinei 18 from India (preferably from widely covered geographical areas / different states) and six from outside India from reputed Indian Institutes and Foreign Universities respectively, Examiners’ particulars in regards to research interests and experience shall also se of successful pre-thesis seminar, Supervisor(s) shall also , as per clause be put before the RAC for consideration and recommendation keeping in view the thorough, impartial and unbiased evaluation of the work. ‘A formal report on a prescribed performa in this regard, along- with extended abstract of Thesis (soft copy (pdf format) + 04 hard copies), proof of research publications / acceptance, and recommended panel of examiners shall be submitted to the office of Dean R&D in confidential. The gist of the extended abstract should match with the approved research proposal, Unsatisfactory Seminar In case, RAC is not satisfied with the contributions made towards approved research objectives, the candidate will have to appear again,with applicable re-submission fee, if any, for the pre-thesis synopsis seminar within a period of twelve months at the most though keeping in view the maximum Ph.D. duration. 17, Mandatory Publication Before the submission of thesis, candidate shall have to publish at least two research papers in referred Journals as notified by UGC from time to time and make two paper presentation in conferences/seminars and produce evidence for the same in the form of presentation certificate and / or the reprint of the papers before the RAC for adjudication at the time of pre-thesis Seminar presentation. It is mandatory for the research scholar/guide to mention the name of IK Gujral Punjab Technical University, Kapurthala as their one of the institutional affiliation (ic. they have to mention theit name as Research scholar of IK Gujral Punjab Technical University, Kapurthala) in the author detail during any kind of communication/publication related to the work of his/her Ph.D. Also the research scholars must acknowledged IK Gujral Punjab Technical University, Kapurthala in their publications. 18. Examiner's Eligibility Examiners need to be from the broad area of candidate’s research work, and preferably whose work is referred by the candidate in her / his thesis. Researcher working in the laboratory(s) / Institution(s) where the research candidate or supervisor(s) from outside the institution, if any, is employed, cannot, however, appear in the panel of examiners. Any person related to the candidate or supervisor(s) should not appear in the panel of examiners (to be declared by the Supervisor(s) while submitting the panel before RAC). (a) Board of Examiners On receipt of the recommendation of RAC for successful pre-Thesis seminar along with extended abstract and panel of examiners, Dean R&D will get approval from VC to appoint two external examiners (one from within India and one from abroad) out of which one must be from the panel submitted. VC shall be free to select the other examiners either from the list of the subject experts of the UGC or on her / his own initiative guided by the references or from the submitted panel. The Ph.D. thesis submitted by the candidate shall be examined by the two external examiners while the Supervisor(s) shall be the intemal examiner(s). The consent of appointed extemal examiners shall be sought electronically by the office of Dean R&D on the basis of extended abstract submitted by the candidate. 19, Submission of Soft-Bound Thesis for Evaluation Following the successful pre-thesis Seminar presentation as per clause 16, copies of the thesis along with its abstract of 4-5 pages (with both sides of a page printed). The thesis should be in a spiral bound form or with a soft cover, as per the within three- months, the research candidate shall submit fouUniversity guidelines in regards to thesis format, and also a soft copy (pdf file) on a CD. One copy each is for office record, for foreign examiner, for Indian examiners and for Supervisor(s). Additional copies may be submitted depending upon the number of co-supervisors. fa) (b) Thesis Requirements (i) The Ph.D. thesis submitted by the candidate shall satisfy the requirement that it is a research work characterized by either the discovery of new facts or by fresh interpretation of facts or theories, or development of innovative technique, product, idea or technologies. It should reveal the candidate's capacity for critical examination, original thinking and critical judgment. Its literary presentation should also be satisfactory. (ii) The thesis shall include a certificate from the Supervisor(s) and a declaration from the candidate that it incorporates the candidate's bona fide research work and it has not been submitted for award of any other degree to this or to any other University or any institute of leaming. In addition, the work of other researchers wherever referred is properly cited and fully acknowledged. (iii) Before submission of the Thesis, it shall have to pass through the anti-plagiarism software test available with the University at that time. (iv) The application for the submission of the thesis shall be forwarded by the HoD to the office of Dean R&D, only after the satisfactory anti-plagiarism test report recommended by Supervisor is enclosed with it Thesis Evaluation Examiners in the approved board of examiners will examine the thesis individually with a view to judge the suitability of the thesis as a piece of research work worth awarding Ph.D. Each examiner will send detailed comments on the research work to the office of Dean R&D, along with a clear recommendation on the prescribed Performa stating ‘one of the following: (i) The thesis is Satisfactory and recommended for the award of Ph.D., or (ii) The thesis is Recommended for the award of Ph.D. Degree subject to Satisfactory Oral Defence if the candidate gives satisfactory answers to queries specifically mentioned in the report, or (iii) The thesis is recommended for the award of Ph.D. Degree subject to the candidate makes Revisions in the thesis as per suggestions made and these are Satisfactorily Presented During Oral Defence, or©) (iv) The thesis needs Resubmission in the Revised Form, as per suggestions made and the thesis be sent for Re-Evaluation, or (v) The thesis is Rejected. Decision on Evaluation Reports Reports received from all the examiners (Internal & External) shall be opened simultaneously by Dean R&D, and on the basis of the recommendations of the examiners will take one of the following ns: (i) Im case, examiners are unanimous in recommending the award of the degree on the basis of the thesis without any modification (as per clause 19 (b), their recommendation shall be accepted and the process for oral defence shall be initiated as per clause 22. (ii) Incase, reports received from the extemal examiners are contradictory, a Decision Proposing Committee (hereafter called DPC) comprising of Dean R&D, Supervisor(s), two senior Professor level faculties from allied areas (may or may not be from RAC) shall be constituted by the VC to recommend the further Course of action, (iii) In case DPC observes any ambiguity in recommendations made by the examiner(s), Dean R&D will approach the examiner(s) for a clear recommendation. In case, clear recommendation is not forthcoming, the matter may be referred to VC by the DPC proposing further Course of action for decision. The decision of VC shall be final and binding. (iv) In the event of any examiner making recommendation for the revision of the thesis (clause /9 b), then on the recommendation of DPC, student shall be free to defend her / his point of view forwarded by Supervisor, through Dean R&D within one-month from the date the communication, However, if the examiner is not satisfied with the student's defence, the student shall be required to arry out necessary revisions as finally suggested by the examiner within one year from date of communication to the candidate. (1) In case, examiner suggesting revision also states that the revised thesis need not be sent again /9 (b)(fii), the revised thesis will not be sent to the examiner. However, the Supervisor(s) shall certify that the comments have been incorporated, before the viva-voce examination. (2) In case, examiner suggesting revision states that the revised thesis be sent again (clause 19(b)(iv)), the re-submitted thesis shall be sent again, on an additional payment of prescribed thesis resubmission fee, and will be examined by the sameexaminer who has recommended re-submission unless examiner is unable to do so or declines to do so. (v) In the event of one / two of the examiners recommending award of the degree (clause 19(b) (Jor (ii)) and the other examiner / s recommending rejection (clause 19(b)(v)) of the thesis- then, on the recommendation of DPC, student shall be free to defend her / his point of view (forwarded by Supervisor) through Dean R&D within one-month from the date of communication. In case the deadlock continues to prevail, the DPC may propose further action to VC based upon its observations on the reports received. The recommendations of the VC shall be final. This procedure shall also be followed if the examiner who has suggested revision / modification rejects the revised thesis. (vi) In the case, all the external examiners reject the thesis, then on the recommendation of the DPC, the VC may permit submission of a revised thesis on an additional payment of the prescribed thesis resubmission fee, after a suitable time frame to be fixed by DPC (subjected to clause 14 of maximum Ph.D. duration). The observations and comments of the examiners, if any, may be copied and given to the candidate through supervisor on request. In no-case should a resubmission of the thesis without modification along the lines of criticism made by the earlier examiners will be allowed. The revised thesis shall be referred for assessment to the examiners selected from a new panel of experts recommended by the RAC. In case, the majority of experts reject revised thesis again, the thesis will stand rejected. 20. Dispute Redressal Any doubt arising out of following the procedure laid down in this clause and otherwise shall be referred to VC for a decision. The decision of VC shall be final and binding. 21. Time Period for Resubmission The candidate, who is required to re-submit the thesis, must do so within one- year from the date of receipt of the examiner's comments by the University. Under no circumstances the total time period shall exceed the Ph.D. duration as per clause 14, Candidate shall have to pay the Thesis Re-submission fee as applicable, 22. Oral Thesis Defence The candidate is required to appear in an open house viva-voce examination, which shall be compulsory for all the candidates. This will normally be conducted at PTU by one of the two extemal examiners, who have evaluated the thesis. The Dean Research/Nominee and the Supervisor of the candidate will be associatedwith the conduct of the viva-voce to be arranged by the university. There will be a presentation by the candidate before the following committee: 1, Dean Research or Nominee 2. Supervisor/supervisors of the candidate 3. One external examiner, who has evaluated the thesis, ‘The quorum for holding the viva-voce examination will be three members. (a) In case of clause 19(b)(iii) of thesis evaluation, the Supervisor(s) shall certify that the comments have been incorporated in the thesis, before the viva-voce examination, (b) In case an external examiner communicates that he/she is unable to conduct a vivaevoce, the Vice-Chancellor will appoint an examiner and a copy of the thesis will be sent to the 3rd Examiner 23, Non-Satisfactory Defence: If the ODC is not satisfied with the defence, the candidate has to appear again before the board within the next three months. Further, if the ODC suggest certain modifications / alterations to be done in final thesis submission, it shall be duly recorded in the report and supervisor shall certify their incorporation before final thesis submission, 24. Thesis Defence Report: The report about the performance of the student in the viva-voce shall be recorded in the Performa by the Supervisor(s) and the external examiner only. Further, if the thesis is suitable for publication by the University in the form of a book, it will be ex modifications, if any. ily mentioned in the report with suggested 25. xaminers’ Remuneration Remuneration to examiners for Thesis evaluation and re-evaluation and viva- voce examination shall be paid as approved by BOG from time to time. 26. Final Hard-Bound Thesis Submission After the successful completion of oral defence, the candidate is required to make all the changes suggested by the examiners of ODC, if any. (a) The final submission of thesis shall be in hard bound form with colour and format as specified by the University, with both sides of a page printed, incorporating all the changes in the thesis. The number of copies submitted shall be two more than the number of supervisor(s). One copy each is for University Central Library, Departmental Library and for Supervisor(s). (b) The candidate's declaration page as prescribed by University in the final thesis will have the signature of the candidate, Supervisor(s), Indianexternal examiner and HoD. The Supervisor will take the signature of all the members of Oral Defence Committee on required number of sheets at the time of viva-voce examination to be placed in the final thesis. (©) _ Before signing the thesis in the hard bound form, the Supervisor(s) will certify that the candidate has made all the changes as suggested by the examiner(s). (@ The candidate shall submit one copy of final thesis meant for Central Library, synopsis of the thesis, ‘No Dues' certificate and a soft copy of final thesis (pdf file) on a CD through Supervisor(s) to HoD, who shall forward the same along with the ODC report recommending award of the Ph.D. degree to the office of Dean R&D for approval by the VC and to grant provisional degree and certification in regards to- Degree being awarded is as per the UGC (Minimum Standards and Procedure for Award of MPhil / Ph.D Degree) Regulation, amended from time to time, -by the concemed academic section. 27. Award of Ph.D. Degree The Degree of Ph.D. shall be awarded by the Highest Academic Body of the IKGPTU, provided that: (a) The Oral Defence Committee so recommends; (b) The candidate produc ‘No dues Certificate’ in the prescribed form. (©) The candidate has submitted one soft and two hard cover copies of the thesis; one for the Library of the Department / Centre and the other for the Central Library. The thesis should incorporate all necessary / comections / modifications listed by the Oral Defence Committee (ODC). 28. Depository with UGC Following the successful completion of the evaluation process and announcements 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 thirty days, for hosting the same in INFLIBNET, accessible to all Institutions / Universities. This shall be mandatory for all research students.29, Interpretation Any doubt or dispute about the interpretation of these Regulations shall be referred to the University Research Board (URB) with VC as Chairperson, whose decisions shall be final. Note:This incorporates all the provisions contained in UGC (Minimum Standards and Procedure for Award of M.Phil. / PhD. Degree) Regulation, as amended from time to time. Students admitted under the UGC (Minimum Standards and Procedure for Award of Ph.D. degree) regulations, 2016, shall be treated to be registered as per the amended rules as applicable from time to time and as adopted by the Board of Governors of the University.Annexure-A 1. Composition and Responsibilities of Ph.D. Related Committees Research Board (URB) (University Research Board (URB) shall be the highest research body of the University for Monitoring, Modifying, Interpreting and. Arbitrating on any kind of dispute pertaining to University Ph.D. regulations. In addition, this body shall be competent to propose and issue amendments / addendum to these regulations as per the need and to comply with UGC guidelines from time to time, (a) Universi Gi) URB shall be the final decision making body- (2) For any doubt or dispute about the interpretation of these Regulations (2) For any other Research related issue referred to it by the competent authority. (3) To modify / clarify / issue addendum to th required at any time. regulations, if Composition of University Research Board (URB) is as under Composition of University Research Board (URB) (@) | Vice-Chancellor Chairperson (b) | Dean R&D Member- Secretary (©) | Dean of various Faculties Member (4) | Dean Academics Member (©) | Allother Professors from various Departments of | Member University (8) | Two Associate professors and two Assistant Member professors of the University by rotation according to seniority, provided they hold a Ph.D. degree (g) | Two experts holding Ph.D. degree from the Member affiliated colleges of the University to be nominated by the Vice-Chancellor. (b) Research Advisory Committee (RAC) ‘There shall be a Research Advisory Committee for each Ph.D. scholar. TheResearch Supervisor of the scholar shall be the Convener of this Committee. ‘This committee shall have following structure Composition of Research Advisory Committee (i) [Head of Concemed Department- IKGPTU Main) Chairperson campus as Chairman if the concemed teaching, department does not exist in the University Campus, Dean (R&D) or his nominee shall act as Chairman, of the Research Advisory Committee. One subject expert nominated by the Vice Chancellor through Dean (Research & Development) from the list of experts with specialization submitted by the supervisor. (i) ‘Member (iii) | One external expert if required shall be co-opted on) Member recommendation of Dean (R&D) by Vice- Chancellor. (iv) | Supervisor and Co-supervisor of the PhD student Member- Secretary 2, This Committee shall have the following responsibilities: @ (b) () To review the research proposal and finalize the topic of research; To guide the research scholar to develop the study design and methodology of research and identify the course(s) that he / she may have to do. To periodically review and assist in the progress of the res research scholar. eh work of the (A research scholar shall appear before the Research Advisory Committee once in six months to make a presentation of the progress of his / her work for evaluation and further guidance. The six monthly progress reports shall be submitted by the Research Advisory Committee to the University with a copy to the research scholar. (ii) In case the progress of the research scholar is unsatisfactory, the Research Advisory Committee shall record the reasons for the same and suggest corrective measures. If the research scholar fails to implement these corrective measures, the Research Advisory Committee may recommend to the University with specific reasons for cancellation of the registration of the research scholar.Annexure-B 3. Ph.D. Course Work The Ph.D. Course work will follow credit based system, the details of which are given below: While undertaking the Course work, the following terms are defined: (a) ‘Course’ means a semester Course (6) ‘Credit’ means weightage assigned to a Course in terms of contact hours (1 Credit theory = 1 contact hour per week / 1 Credit practical or seminar or field work = 2 contact hours per week.) (©) ‘Grade’ means a letter grade assigned to a student on a 10-point scale. (d) ‘Semester Grade Point Average’ (SGPA) means weighted average of grades in a semester = ({Gi*Cj) / LCi, where Gi is the grade in the i” Course, and Cj are the credits in the i" Course. (©) ‘Cumulative Grade Point Average’ (CGPA) means total weighted average of grades in all semesters = (XGi*Ci) / Cis 4, The grades shall be awarded as per the following table Credit Courses ‘Academic Grade | Grade Points |% score in absolute performance marking system Outstanding Ay 10 >80 to 100 Excellent A 9 >75 to 80 Very Good Bi 8 >10 to 75 Good B 7 360 10 70 ‘Average Cc 6 >50 to 60 Fair c 5 >40 to 50 Marginal D 4 330 10 40 Deficient E 2 >20 to 30 ‘Very Poor F 0 Oto 20 5. A Ph.D. student will be required to obtain at least “ grade in each Course, A student getting “C” or lower grade in any Course will have to opt another Course in lieu of such a Course with the approval of his / her supervisor, and will have to obtain at least “C+” grade in this Course within one year of first taking up of that Course, failing which his / her pre-registration to the Ph.D. programme will be cancelled,7. 9. 10. A student will have to obtain a CGPA of 6.75 or above, in order to be eligible to confirm Ph.D. registration. The back conversion from SGPA / CGPA to Percent score will be multiplication of SGPA or CGPA by a factor of 8.9 Seminar: Fach student registered for Ph.D. will have to undertake at least one credit of seminar based on her research area after his / her enrolment / pri registration. The Grade awarded for Seminar will be ‘S’ (Satisfactory) or ‘U (Unsatisfactory), Thesis: A student registered for Ph.D. will have to undertake thesis work spread over the entire period of registration of the Ph.D. The grade awarded for thesis work will be ‘S* or ‘U’. A student will start working on the topic of his / her research right from the date of enrolment / pre-registration. Fees: The students registered for Ph.D. shall pay fees for Course work as per the rules of the University. Anti-Plagiarism Policy for Ethical Conduct in Research (a) Objective: In pursuance of the vision and mission of IKGPTU in regard to attaining excellen (ion and research and to provide quality human resources having high professional and ethical conduct, provisions are made for upholding and practicing research ethics by all the researchers. In addition, all students shall abide by Honor code of the University. in technical edu (b) Unethical Research Practices Plagiarism: (1) Claiming the work, research data, text phrase(s), paragraph(s), or idea(s) of someone else- from published or unpublished work including as available on Internet or in any other media, orally presented at any platform or personally discussed- as the candidate's own, be it researcher or faculty member or employee, cither in publication or presentation or in any other form for any academic purpose, including attainment of a degree eg. in thesis, project reports, sponsored research projects / proposals, books etc., without proper citation, acknowledgement or reference, shall be termed as plagiarism. (2) Presenting or reproducing one’s own published work- partially or in whole-without giving proper reference of the work shall also be treated as a form of self-plagiarism. (ii) Forgery and Misinterpretation of Research Data: Presentation of fabricated results, forged data, false statements, reporting or claiming results for which experiments have not been performed, deliberately withholding the results that do not conform to