Phone No.: 0824-2477456
||Ph.D. (Approved subject)
||Pass in Master Degree in Commerce / related areas with minimum 55% marks
||3 – 5 years
REGULATIONS GOVERNING THE DOCTOR OF PHILOSOPHY (Ph.D.)
1. Organisation of the Ph.D. Programme:
- Programmes leading to the Degree of Doctor of Philosophy will be offered at the Colleges/ Constituent Units of Srinivas University.
- Subject to the general guidance of the Academic Council, research studies in the University leading to the Degree of Doctor of Philosophy (Ph.D.) shall be overseen by the University Research Council (URC).
- The Ph.D. Programme shall be organized on full time and part time basis.
2. Classification of Applicants:
An applicant for admission to the Ph.D. programme shall be classified under any one of the following categories:
- Corporate Research Scholar: Candidates working with reputed organizations in India and abroad having at least three years experience and possessing minimum prescribed academic qualifications;
- Regular Academic Staff of the University: Regular academic staff of Departments/ Constituent Units who are allowed to register for Ph.D. on part time basis;
- Working Teachers: Faculty members on regular strength of other Universities and recognized/ approved institutions in India and abroad, possessing minimum prescribed academic qualifications;
- Non-academic Staff of University/Constituent Units : A regular member of non-academic staff of the University and its Departments/Constituent Units who satisfies eligibility qualifications and is allowed to be registered for a part-time Ph.D. programme;
- Sponsored Candidates: Sponsored candidate getting Government/Semi Govt. or other Scholarships/ Fellowships/stipends, who applies for admission through the sponsoring organization;
- Self-financed Indian Candidates satisfying eligibility qualifications
- Self financed Foreign Candidates satisfying eligibility qualifications
3. Minimum qualifications for admission:
- The required minimum qualification for admission to a Ph.D. programme shall normally be a Master’s Degree in the relevant field with a minimum of 55% marks or equivalent grade (50 % for SC, ST or those who have minimum five years relevant experience).
- If considered necessary, DRC may propose other qualifications/ requirements in specific areas, consistent with the norms of UGC, AICTE and other statutory bodies, to URC for its recommendation to the Academic Council for approval*.
*Provided that where the minimum eligibility criteria for admission laid down by various Statutory/Regulatory bodies is higher than the minimum eligibility criteria as prescribed above, the criteria laid down by such Statutory Bodies will be followed.
Eligibility conditions for admission:
- It is desirable that the applicants who possess minimum prescribed qualifications for admission to Ph.D. programme, should also have an excellent academic/ professional attainment in the relevant discipline.
- The applicant for Part-time Ph.D. should:
- prove to the satisfaction of DRC that his official duties permit him to devote sufficient time to research.
- ensure that facilities for pursuing research are available at his place of work in the chosen field of research, where required.
- An applicant who was initially registered for the M.Phil. Programme of the University and whose CGPA is at least 7 in Course Work of M.Phil. programme, may be considered for admission to the Ph.D. programme without completing M.Phil. programme on the specific recommendations of DRC and approval by the University Research Council. In such cases, a relaxation in the minimum period hereinafter prescribed for pursuing Ph.D. Degree programme, may be granted by the University Research Council to the extent necessary on merits of the individual case.
- Candidates already registered for Ph.D. with other Universities approved by UGC can transfer the registration on producing No objection certificate from that university, and subject to the approval of the Vice chancellor. Once admitted the existing rules and regulations shall be applicable however, the date of registration will be considered to be the original date of registration with the previous university.
5. Application for Admissions:
- Applications for admission to Ph.D. programmes shall be invited through an open advertisement, twice a year in July and January for pre-determined intake for each programme in the prescribed form as laid down by the University.
- Applications shall be screened by DRC and the candidates shall be shortlisted based on the entrance/screening test to be conducted by the Department/Constituent Unit.
- (c) Non Resident Indian (NRI), Persons of Indian Origin (PIO) and Foreign Nationals may be admitted to the programme in accordance with the policy guidelines laid down by the Government of India.
- DRC shall prepare a tentative list of guides depending on the specific areas of research indicated by the shortlisted applicants.
- DRC shall for each applicant, constitute a Student Research Committee (SRC).
- HOD shall invite each selected candidate to submit the synopsis of his proposed research in consultation with a teacher from the tentative list of guides. The synopsis shall be scrutinized by the Student Research Committee.
- The HOD after considering the recommendations of the Student Research Committee and the Departmental Research Committee shall recommend to the University for approval of the applicant for registration to the Ph.D. programme.
Constitution & Functions of Student Research Committee:
- The Student Research Committee shall comprise Guide(s), two other teachers in the related area and HOD as the Chairman.
- SRC shall perform the following functions:
- invite the candidate for scrutinizing his research proposal to ensure that the proposal is suitable
- ascertain the availability of facilities required for the proposed research
- prescribe the Course Units to be taken by the candidate, subject to a minimum of two or in exceptional cases, recommend exemption from the requirement with justification
- recommend to DRC about the suitability or otherwise of the candidate and his proposal along with relevant details and documents
- periodically monitor the performance of the work of the candidate and provide advice to candidate, where necessary
- approve the long abstract of the thesis on its completion and the final title of the thesis.
- recommend the panel of examiners.
- The University Examination section after considering the recommendations of DRC and SRC shall approve the registration of the candidate communicates it to the candidate through concerned departmental Head.
- A summary report of the candidates registered for Ph.D. shall be duly sent to the Registrar of the University for enrolment of the candidate.
8. Registration Period:
The date of regular registration of the candidates shall be the date of payment of fee.
9. Renewal of Registration:
Candidates have to submit progress report of their work for every six months after registration failing which their registration stand cancelled.
10. Time Period Requirement for submission of the Ph.D Thesis
- Minimum Time Period:
- The minimum period of registration for full time Ph.D. candidate shall be two years.
- The minimum period of registration for part-time Ph.D. candidate shall be three years.
- The minimum period of three years for Part-time Corporate Research Scholars having rich experience while working with reputed organizations in India and abroad may, on the recommendations of DRC, be reduced to two years.
- Maximum Period:
The candidate registered for full time Ph.D Programme shall be allowed to submit their thesis within five years of the date of their registration and part-time candidates within seven years. Thereafter, the registration shall stand cancelled automatically unless, for valid reasons, an extension is granted by the Vice-Chancellor.
After the expiry of the maximum period of Ph.D. registration, a candidate will be allowed to re-register only if an extension of registration is approved by the Vice-Chancellor
12. Residency Period:
The minimum Residency Period for full-time Ph.D. candidates in the Department/Constituent Unit shall ordinarily be one year. This period, in exceptional circumstances, can be reduced to not less than six months by URC on the recommendations of DRC.
13. Change of Registration:
- A candidate may be allowed for valid reasons to change his status from part-time to full-time or vice-versa on the recommendations of DRC and with the approval of the University.
- If a full time candidate changes his status to a part-time candidate, the minimum period requirement shall be three years and maximum will be seven years. However, one and a half time of the period spent as a full-time candidate shall be counted.
- In case a candidate is registered as a part-time candidate and applies for registration as a full time candidate, the minimum period requirement shall be two years and maximum will be five years. However, only two-third of the period already spent as a part-time candidate shall be counted.
14. Course Work Credit Requirements and Registration for Courses:
- Departments/Constituent Units shall draw a list of post graduate Course Units which can be offered to Ph.D. candidates.
- Each candidate will be required to take Course Units as prescribed by SRC and approved by the DRC.
- A candidate will earn credits for a Course Unit only if he obtains a minimum of Grade B+. Further, if a candidate fails to get qualifying Grade B+ i.e., he will be given second opportunity to improve his minimum qualifying Grade B+, failing which his registration will be liable to be terminated.
- The candidates registered for Ph.D. Programmes in Departments/ Constituent Units can be allowed to complete the Course Unit requirements, if considered necessary, through outside department courses.
- Those who have M.Phil. from this or any recognized university is exempted from course work for the Ph.D.
15. Comprehensive Examination:
- Each candidate, normally after one semester, shall be required to take a comprehensive examination which will test his comprehension or knowledge in his broad field of research and his academic preparation and potentials to carry out the research work. The comprehensive examination shall be a combination of both written and oral examination and shall be conducted by the Department/Constituent Unit. The candidate should secure at least Grade B i.e. 60% marks in comprehensive examination.
- Unsuccessful candidates shall be allowed a second opportunity to clear the comprehensive examination. If a candidate is unsuccessful again, his Ph.D. registration shall be cancelled.
16. Thesis Guide(s)
- The Guide(s) can be
- Any full-time faculty member of the University/Constituent Unit with a Ph.D. degree and with at least two years of teaching experience.
- An external person with proven merit and experience in the subject area may be appointed as Co-Guide.
- No person who himself is registered for Ph.D. degree at the University or any other Institution would be eligible to act as a Guide.
- The maximum number of Ph.D. students who can be supervised by a faculty member at any time in the University will be eight. However, in special circumstances, the Vice Chancellor may allow relaxation in the ceiling limit.
- A faculty member who is due to retire within the next two years can be appointed as a Guide and can continue to be the Guide even after his retirement provided the DRC is convinced of his availability for continued guidance to the candidate. In other cases, a faculty member on retirement may continue as a Guide, if re-employed or appointed Emeritus Fellow; or, if the long abstract of the thesis has been submitted by the candidate. Appointment of another Guide, if necessary, will be as per provisions made in these regulations.
- In case the Guide proceeds on leave for twelve months or more, resigns or expires, an arrangement shall be made as provided in the Guidelines of the Research Degree Programmes.
- Once registered, the change of Guide will not allowed.
17. Appointment of Guide(s) / Co-Guide(s):
- The DRC with the approval of URC may appoint more than one Guide(s) not exceeding a total of three to guide a candidate. Normally, there should not be more than two Guides from within the Department/Constituent Unit. Appointment of any other Guide(s) shall not be made after the lapse of 18 calendar months from the date of registration of the candidate.
- A faculty member appointed as a Ph.D. Guide is normally expected to be available to a research candidate in the University Department/ Constituent Unit till the thesis is submitted.
18. Performance Monitoring:
The academic/research progress of each candidate shall be monitored by DRC. For this purpose each candidate shall submit a progress report at the end of each Semester to the Chairman, DRC through his Guide(s). DRC shall evaluate the work of the candidate and award S (Satisfactory) or U (Unsatisfactory) grade.
- If the progress is “unsatisfactory”, on the first appearance of “U” grade, a warning would be issued to the candidate.
- If a candidate gets three “U’s” or two successive “U’s”, his registration will be liable to be terminated.
19. Seminar & Publications :
The student before submitting the long abstract of his/her Ph.D. thesis must have published minimum of three research papers of which two papers must be published in refereed journals and the third paper in refereed / renowned Journal for adjudication and produce evidence in the form of acceptance letter or print. Such students have to give a seminar on their overall results for Doctorial Committee constituted by DRC to get approval for submission.
20. Long Abstract (Synopsis):
- On completion of research work, the candidate shall submit to DRC through Guide(s), eight copies of the long abstract of his thesis.
- The long abstract will be submitted by the candidate normally within two months after the presentation in Seminar.
- DRC shall, in a meeting in which the candidate shall be required to be present, scrutinize the long abstract for approval and approve the title of the thesis after its revision, if necessary. The candidate shall then be excused and DRC shall prepare panel(s) of examiners as specified in the Guidelines for Research Degree Programmes.
- The DRC will forward the long abstract with its recommendations to the University Research Council for appointment of the thesis examiners.
- If a candidate fails to submit his thesis within four months of the approval of long abstract, he shall be required to submit a fresh abstract. However, in case a candidate fails to submit his thesis within the stipulated time and has proper justification for the delay, the Head of Department/ Constituent Unit may, on the recommendations made by the DRC and on individual merits of each case, grant him an extension of not more than two months.
21. Panel of Examiners for Ph.D.:
- A Ph.D. thesis shall be evaluated by three examiners, two of whom shall be external and the third shall be guide or guides (to be counted as one examiner). DRC shall decide for each discipline if (i) both the external examiners should be Indian or (ii) one of the external examiners be Indian and the other a foreigner/Indian working in foreign university. In the first case, DRC shall prepare a panel of at least five Indian examiners and in the second case DRC shall prepare two panels one of at least three Indian examiners and the other of at least three foreign examiners.
- The HOD shall submit the panel(s) of examiners to Controller of Examinations for seeking approval by the Vice Chancellor.
22. Thesis Preparation and Submission:
- The thesis shall be written in English or in any other language as approved by DRC in the format and style in accordance with the guidelines for Research Degree Programmes.
- No part of thesis shall have been submitted for the award of any other degree or diploma.
- The thesis shall involve in depth study and critical review of the area of his topic and creation of new knowledge in the area. It should bear evidence of the candidate’s capacity for analysis and judgment as well as his ability to carry out independent investigation, design or development. It should be characterized by discovery of facts or fresh approach towards interpretation of facts and theories or significant contribution to knowledge or development or a combination of these.
- After clearing the viva-voce examination, two copies of the thesis in maroon colour hard cover binding must be submitted. These hard bound copies shall include supplements if required in viva-voce examination, with a covering certificate of guides in prescribed proforma. Additional copies of the supplement shall be provided by the candidate for the external examiners and guides.
- The format of the thesis document shall be in the format prescribed in the guidelines for Research Degree Programmes.
23. Thesis Evaluation:
Detailed procedure for evaluation of thesis shall be prescribed in the Guidelines for Research Degree Programmes.
- Each examiner shall be requested to send a detailed evaluation report and his recommendations on the prescribed proforma within six weeks of the date of receiving the thesis.
- If the thesis report is not received from an examiner in six weeks, a reminder will be sent to the examiner. If no response is received from the examiner in two weeks thereafter, another examiner shall be appointed from the approved panel.
- Each Examiner will examine the thesis to judge that the thesis is a piece of research work characterized by:
- the discovery of facts, or
- a fresh approach towards interpretation and application of facts or theories, and creation of new knowledge, and give his opinion on the candidate’s capacity for critical examination and sound judgment.
- All examiners will submit the reports on the prescribed form clearly stating one of the following:
- The thesis is recommended for the award of Ph.D., or
- The thesis is recommended for the award of Ph.D. Degree subject to the candidate giving satisfactory answers to queries specifically mentioned in the report, at the time of Viva Voce examination, or
- The candidate be allowed to resubmit his thesis in a revised form, or
- The thesis be rejected.
- The examiners reports shall be forwarded to the Guide(s) who will inform the candidate eligible for oral defense only those comments and queries in the reports which require explanation and answers without disclosing the identities of the examiners.
- The reports of all internal examiners shall be counted as one report.
- If all the three reports recommend acceptance of the thesis, the candidate shall be eligible for oral defence.
- In case one of the reports recommends revision of the thesis, Sub-Clause (d)(iii) of Clause 4.23 shall be applicable, and the candidate will have the option to revise the thesis within one year. The revised version of the thesis would be sent to all the examiners for their recommendations. If the candidate does not agree for revision, he may ask for appointment of a fresh examiner, under the provision (j) below.
- If two of the three reports recommend revision of the thesis, the candidate will be given opportunity to revise the thesis accordingly and resubmit it normally within a period of one year for the evaluation by the same set of examiners.
- If one of the reports recommends rejection, the comments and queries in the report, shall be communicated to the candidate, and the candidate shall be given an opportunity to give replies to the comments made in the report. Such reply of the candidate and his thesis shall be sent to the next examiner on the panel for evaluation. If the report of the next examiner also recommends rejection, the thesis shall be rejected.
- If two of the three reports recommend rejection, the thesis shall be rejected. The candidate may, however, be allowed to re-submit the thesis normally after one year, provided the title of the thesis remains unchanged. Normal procedure will be followed for the evaluation of the resubmitted thesis.
- The new examiner, when appointed, shall be Indian or Foreign depending on whether the thesis was rejected by the Indian or the foreign examiner in the first instance. The reports of all the examiners will be sent to him without revealing the identity of the examiners along with the response of the candidate, if any, to these. The thesis shall be deemed to be acceptable if three out of four examiners recommend acceptance.
- If the fourth examiner recommends revision, the thesis would be suitably revised and resubmitted normally after three months and sent for examination to all the examiners except to the one in whose place the fourth examiner was appointed. In case the fourth examiner recommends rejection or his recommendation for revision is not accepted by the candidate, the thesis shall be rejected.
- Any doubt arising out of the procedure laid down in these regulations shall be referred to the Vice Chancellor for a decision.
- In case of ambiguous recommendations by the examiner, the HOD will approach the examiner for a clear recommendation. In case, a clear recommendation is not forthcoming, the matter may be referred to the Vice Chancellor for his decision.
24. Re-submission of Thesis:
- In case of resubmission of a thesis after revision, an additional fee for the re-evaluation of the thesis shall be payable by the candidate;
- The revised thesis may be submitted normally in one year from the date of intimation for resubmission.
25. Oral Defence Examination (Viva-Voce):
- If the thesis is recommended for award of degree, the candidate shall be required to defend his work/thesis orally (viva-voce examination) before a duly constituted Committee hereinafter referred to as the Oral Defence Committee (ODC). The date and time of the viva-voce shall be duly notified by HOD to enable the interested faculty members, staff members and students to attend it.
- Composition of ODC:
- For the candidates who get unanimous recommendations of acceptance in three reports in the first instance, the composition of the ODC shall be
- HOD – Chairman
- Two faculty members with specialization in the related area to be appointed by HOD with the approval of the Vice Chancellor.
- For candidates who do not get unanimous recommendations of acceptance in three reports in the first instance, the composition of the ODC shall be
- HOD – Chairman
- Indian External Examiner
- In case of non-availability of the Indian External Examiner for conducting the Viva voce examination, the next person on the approved panel of examiners shall be appointed to be on ODC.
HOD shall convene a meeting of ODC on an appropriate date. The date of viva-voce shall be communicated to the candidate at least fifteen days in advance.
- In the viva-voce examination, the candidate shall be required to give his response to comments and questions arising out of the examiners reports apart from the queries and questions raised by members of ODC and, with permission of HOD, questions asked by others who are present.
- The ODC shall give its recommendations in the prescribed proforma. The ODC shall have the following options for its recommendations:
- (i) Ph.D. degree be awarded for the reasons to be recorded
- Ph.D. degree be awarded. However, the candidate should prepare a supplement to be added to the thesis document as specified in the report of ODC and or textural corrections, if needed.
- Ph.D. degree be not awarded for the reasons to be recorded in the report.
- In case of difference of opinion among the members of ODC, separate reports shall be submitted.
- HOD shall forward the report(s) of ODC to CoE in a folder which shall also contain,
- A copy of the thesis along with the Supplement, if required, in the report of ODC and
- All the reports of the examiners of the thesis.
- COE shall obtain the recommendations of the Standing Committee of URC on the report of ODC and its accompanying documents.
- The recommendations of the Standing Committee shall be submitted to the Vice- Chancellor for final decision, which shall be reported to URC and the Academic Council.
- If any other matter not explicitly provided herein or of an exceptional nature arises, it may be referred to the Vice Chancellor for his decision.
For Ph.D. students, the minimum requirement of attendance for completing the Course Units, prescribed by Student Research Committee, shall be the same as laid down in the Attendance Regulations for other students.
27. Passing Grades:
For Ph.D. students, the minimum passing grade in each Course Units on ten point scale is B + i.e. Point 7.
28. Cancellation of Registration:
Registration of a candidate shall be cancelled in any one of the following eventualities, after due approval of the Vice-Chancellor:
- If his academic progress is found unsatisfactory in three consecutive monitoring reports.
- If he absents himself for a continuous period of six weeks without sanction of leave.
- If he withdraws from the Ph.D. programme and his request is duly forwarded by HOD
29. Disciplinary Regulations:
If a Ph.D. candidate is found to be involved in an act of misconduct, misbehaviour and/or indiscipline, disciplinary action will be taken by the University as per Regulations relating to maintenance of Discipline by students.
29. Award of Ph.D. Degree:
- A Ph.D candidate shall be eligible for award of Ph.D. degree at a Convocation, after the Vice Chancellor has, on the recommendations of the Standing Committee of URC, approved that the degree be awarded and the approval has been subsequently endorsed by the Academic Council.
- On successful completion of the evaluation process announcements of the award of the Ph.D., the Head of the Institution shall submit a soft copy of the Ph.D. thesis to the University within a period of 30 days for onwards transmission to UGC for hosting the same in INFLIBNET, accessible to all authorities / University. Hard copy of the same will be placed in Central Library.