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Visveswaraiah Technological University, Belgaum
Ordinances governing

The Degree of Doctor of Philosophy (Ph.D)
(With effect from 30.01.2003)

PHD 1.0 Short and Commencement

PHD 1.1 These Regulations shall be called “Visveswaraiah Technological University Degree of Doctor of Philosophy (Ph.D.) Regulations of Engineering and Basic Science Faculty, 2003”.

PHD 1.2 These shall come into force from the date of their notification by the University and be applicable for the students who seek registration for Ph.D.

PHD 2.0 Definitions

In these regulations unless the context otherwise requires or it is specifically defined:

1) Ph.D. registration committee means the specialist body appointed by the Vice-Chancellor in the disciplines/subjects concerned.

2) Degree means the Degree of Doctor of Philosophy (abbreviated as Ph.D.)

3) University/VTU means Visveswaraiah Technological University.

PHD 3.0 Eligibility for registration

PHD 3.1 There shall be provision for two categories of registration to the candidates willing to register for Ph.D.:

•Full time: Students who pursue research studies on full time basis.
•Part time: In-service candidates, either faculty members working in any Engineering College duly approved by competent authority namely AICTE/UGC or candidates working in any public/private sector organizations who are willing to pursue research on part time basis

PHD 3.2

i) Ph.D. in Engineering Faculty

The candidates shall possess Master's Degree in Engineering/Technology of VTU or any other University, recognized by VTU or any other Degree, which is equivalent to the Master's Degree in Engineering. However, candidates possessing Bachelor's Degree in Engineering subject to the provisions of these regulations, working in National Laboratories, R&D laboratories attached to Industries and such other Research Institutions or Industries can directly register for Ph.D. programmes provided he/she has published work of outstanding merit or work recognized for Patent rights.

ii) Ph.D. in General Science Faculty

The candidates with M.Sc. Degree in Science, Mathematics, and such other allied subjects are also eligible for registration, provided their degrees are from recognized universities and are either working in colleges affiliated to VTU or desirous of working under the guidance of recognized faculty of VTU.

PHD 3.3 The Candidate shall have obtained minimum of 60% marks in either Bachelor's or Master's Degree examinations as considered for the declaration of Class/Grade by the concerned University. However, a relaxation to the extent of 10% is allowed for -
a. Candidates belonging to SC/ST and any other category as notified by Government of Karnataka from time to time.

b. Candidate with Five years experience either in teaching or research, subject to provisions of these regulations.

PHD 3.4 The candidate shall submit his/her application for registration to the University in the prescribed format along with other necessary documents; viz, degree certificate, marks cards of all examinations, employers certificate if employed, consent of the guide, and such other documents prescribed, through the Head of the Institution where candidate intends to do research. In case of employed candidates, no objection certificate from the employers for pursuing research is necessary.

PHD 3.5 At the time of registration the candidate shall indicate the topic of research, scope of research and the related branch of Engineering or Allied Fields.

PHD 3.6 There shall be Ph.D. Registration Committee constituted by the Vice-Chancellor for each Faculty of Engineering and Sciences, namely, Mechanical Engineering Sciences, Electrical Engineering Sciences, Civil Engineering Sciences, General Sciences, and Architecture etc., consisting of:

i. Chairmen of Boards of Studies in the concerned faculty/faculties.
ii. Two subject experts.
iii. Registrar (Evaluation) as Member and Convener

The Vice-Chancellor shall nominate one of the Chairmen of Boards of Studies in the faculty as Chairman of the Committee.

PHD 3.7 The University will call for Applications for registration during January and July every year. The Ph.D. registration committee shall meet in February and August and consider -

a. Applications for Registration by the candidates.
b. Eligibility and recognition of the guide/s.

The committee can invite the guide/s for the meeting if required. In special cases, subject to the approval of the Vice-Chancellor, it is open for the Chairman of the committee to invite other specialists, if required, by justifying in writing for such an invitation. The committee shall send its recommendations regarding the registration to the University immediately after the meeting. The Process shall normally be completed by March and September respectively and soon after, the University shall communicate the decision to the candidate, the guide and the concerned Head of the Institution.

PHD 4.0 Course work

PHD 4.1 The guide shall prescribe four courses of study with detailed syllabus relating to the area of research proposed by the candidate along with the candidate's application for registration.

The candidates with only Bachelor's Degree qualification from R&D Lab/Industry applying for registration shall have four additional foundation courses designed by the guide and approved by the Ph.D registration committee besides four core courses.

Further, the candidates with M.Sc. qualification have to study additional two courses besides FOUR core courses proposed by the Guide and approved by the Ph.D Registration Committee. However, the candidates with M.Phil qualification need not study these additional courses.

The Ph.D. registration committee shall scrutinize and approve the courses proposed by the guide and modify, if necessary.

PHD 4.2 All candidates whose registration has been approved shall submit the application for the examination in the subjects of course work (Part-I) in response to the notification issued by the University in this respect along with prescribed fees, with a certificate from the guide for having completed the course work.

The written examinations for the subjects of the course work (part-I) shall be arranged to be conducted normally along with the M.Tech. Examinations of VTU.

PHD 4.3 The candidates are permitted to apply and appear for one or more subjects at a time in a given examination.

PHD 4.4 The question paper shall be set jointly by the examiners appointed for the purpose by the University from the panel recommended by the Board of Studies of the concerned PG branches, with the guide being one of the members on the panel of examiners. In the event of the guide expressing his inability to be an examiner in any subject, the University may appoint any other person from the panel as examiner. In the case of General Sciences, Ph.D. registration committee will recommend the examiners.

PHD 4.5 The two examiners shall independently value the answer papers.

PHD 4.6 If the difference between the marks awarded by the two examiners is not more than 15% of the maximum marks, the marks awarded to the candidate shall be the average of two evaluations.

PHD 4.7 If the difference between the marks awarded by the two examiners is more than 15% of the maximum marks, the third examiner appointed by the University shall evaluate the answer script. Average of the higher two marks out of three shall be taken as marks secured by the candidate.

PHD 4.8 For Part-I courses the candidate shall obtain a minimum of 50% of the maximum marks in the University Examination for each subject.

PHD 4.9 A candidate can take a maximum of two attempts to pass in a subject of Part-I. However, the course shall be completed within two years of registration. In case he/she does not fulfill this, the registration gets cancelled and the candidate may apply for fresh registration.

PHD 5.0 Part-II Comprehensive viva-voce

PHD 5.1 Such of the candidates who have successfully completed Part-I will have to take a comprehensive viva-voce within one year of completing Part-I. However, the University may allow a further period of six months.

PHD 5.2 Comprehensive viva-voce will consist of a presentation by the candidate on the topic of his/her research, which includes the work done by him/ her till date and work proposed. Viva voce will be conducted by a committee consisting of Guide/s and two experts in the field appointed by the University from amongst a panel of six examiners recommended by the Chairman of concerned BOS in consultation with the Guide.

PHD 5.3 The date of comprehensive viva-voce will be fixed by the University normally with 8 weeks of intimation from the Guide of readiness of the candidate.

PHD 5.4 The Committee shall send a recommendation regarding the outcome of the viva-voce. The recommended candidates will continue their research. In case a candidate is not recommended, the committee will indicate the specific areas in which the candidate needs strengthening of his/her knowledge and he/she will appear for comprehensive viva­voce once again within six months of his/her taking the first viva-voce. In the event of the committee not recommending even at the second attempt, the registration of the candidate stands cancelled.

PHD 6 Eligibility for submission of thesis

PHD 6.1 A full time candidate shall be eligible for submission of thesis after a minimum period of three years after registration, subject to completion of all other prescribed requirements.

PHD 6.2 The maximum period for submission of thesis for full time students shall be five years from the date of registration.

PHD 6.3 A part time candidate shall put in a minimum of six months of residential requirements in not more than 3 phases at the Institute through which he/she has registered before submitting the thesis.

PHD 6.4 A part time candidate shall be eligible for submission of thesis after a minimum period of four years after the registration at the University.

PHD 6.5 The maximum period for the submission of thesis for part time candidates shall be six years.

PHD 6.6 The maximum period may be extended by a period of one year, in both cases, on the specific recommendations of the guide/s, Head of the Department and Head of the Institution, by the Vice-Chancellor whose decision on this is final. The candidate shall submit a request for such extension to the University at least one month prior to the completion of the stipulated maximum period, through the Institution.

PHD 6.7 Candidates shall submit the progress report of their work to the University through the concerned guide/s and the Head of the Institution at the end of every six months which shall be reviewed by the Ph.D. registration committee and if two consecutive reports are not satisfactory or the candidate has failed to submit two consecutive progress reports, the registration shall stand cancelled. However, the candidate can appeal to the Vice-Chancellor for revoking the cancellation order through the guide and the Head of the Institution with valid reasons. The decision of the Vice-Chancellor on this shall be final.

PHD 6.8 A candidate may apply for a change in the topic of Research for consideration to the Ph.D. Registration Committee at least nine months before the submission of the synopsis as per regulation PHD 7.1, through the guide/s and Head of the Institution.

PHD 6.9 Change of the guide/s under exceptional Circumstances shall be permitted on the recommendation of Ph.D. registration committee in consultation with -

i. Candidate
ii. Present guide
iii. The proposed guide/s

The decision of the Ph.D. registration committee shall be final.

PHD 6.10 No candidate shall be permitted to keep terms simultaneously for any other examination of any University.

PHD 7.0 Part III Evaluation of thesis

PHD 7.1 Prior to the submission of thesis, the candidate shall submit a synopsis of the thesis.

The candidate shall submit six copies of the synopsis in the approved format to the Head of the Institution along With:

•  Application for the adjudication of the thesis.
•  Certificate from guide/s stating that there is prima-facie case for consideration of thesis and the thesis does not contain any work, which has been previously, submitted for the award of any degree any where.
•  Certificate from the Head of the Institution that there are no arrears of dues up to the date of submission of synopsis.

The Head of the Institution shall arrange to send five copies of the synopsis to the Registrar (Evaluation).

PHD 7.2 A copy of the synopsis shall be sent to the concerned Chairman of the Board of Studies and he in turn shall purpose a panel of twelve names of experts for the adjudication of the thesis, in consolation with a guide, which includes six from abroad, to the Registrar (Evaluation).

PHD 7.3 The candidate shall submit six copies of the thesis of the research work along with a soft copy to the Head of the Institution within six months from submission of the synopsis. The Head of the institution shall make arrangements to send five of these copies to the Registrar (Evaluation). In case the candidate fails to submit his/her thesis within six months from the date of submission of synopsis, he/she may seek extension of term accordingly from the Registrar (Evaluation).

PHD 7.4 The university shall arrange for the thesis to be evaluated by three referees, namely, the guide, and two other experts (one of the examiners from abroad) appointed by the Registrar (Evaluation) as per the direction of the Vice-Chancellor.

PHD 7.5 The University for evaluation shall send a copy of the thesis to each referee.

PHD 7.6 All the referees shall evaluate and send reports independently to the Registrar (Evaluation). The report shall include -

a) A critical survey of the work of the candidate as embodied in the thesis.

b) Details of questions to be asked or points to be clarified at the viva-­ voce.

c) A definite recommendation as to whether the thesis attains the standard for the award of Ph.D. or not.

The examiner shall indicate one of the following recommendations :

1) Recommended for the award of Ph.D. degree.

2) Recommended for the award of Ph.D. degree with clarification at the time of viva-voce.

3) Recommended for the award of Ph.D degree with modification/additional work (to be clearly specified by the examiner) and re­ submission of the thesis.

4) Not recommended for the award of Ph.D degree (reasons to be clearly mentioned).

PHD 7.7 All the referees shall evaluate the thesis normally within a period of not more than three months from the date of receipt of the thesis. When positive recommendations are received from all the referees, the Registrar (Evaluation) will convey the same to the guide along with copies of, the ,adjudication report of the thesis; with a request to conduct of final viva-voce examination of the candidate. The committee for the final viva voce will consist of the Guide as the Chairman, Co-guide, if any and the Indian examiner. In case the Indian examiner informs in writing his/her inability to be present at viva-voce examination, the guide will intimate the same to the Registrar (Evaluation), who in turn will appoint another Indian examiner from the panel of examiners. The candidate shall provide suitable clarification for all the queries, if any, at the time of viva voce.

The thesis shall not be accepted for awarding the degree if anyone of the referees finds that the research work is not up to the expected standard. The referee shall give reasons for the same and make suggestions for improvement of the thesis for resubmission if it deserves resubmission. After incorporating the suggestions, the thesis shall be resubmitted and sent to the same referee. If he/she does not approve it for the second time also, it shall be sent to a fourth referee appointed by the University from the panel. If the fourth referee also does not approve, then it is open for the candidate to registrar afresh with the University.

PHD 7.9 The final viva-voce shall be conducted at a centre approved by the University, which shall, normally be the institution in which the research work was carried out/ the regional centre of V.T.U/the institution where the guide is working. The procedure for the conduct of the final viva voce will be as follows:

The guide shall fix the date of viva-voce in consultation with Indian referee and shall inform the date to the candidate and the Registrar (Evaluation).

The guide will invite the Registrar (Evaluation), the Head of the institution, members of the teaching staff and research scholars to attend the viva-voce as observers.

The candidate may make the. presentation of the research work carried out, highlighting the important findings/conclusions in about 30 to 45 minutes. After the presentation, the referees would examine the candidate to test the understanding of the candidate on the subject matter of the thesis. The candidate shall produce all supporting documents, data and analysis in support of the research work presented in the thesis. After the completion of the viva-voce the guide will give opportunity to the invitees to seek clarifications from the candidate.

On completing the viva-voce examination, the members of the board shall submit a report to the Registrar (Evaluation) indicating clearly whether the performance of the candidate was satisfactory and if so, giving specific recommendation for the award of Ph.D. degree by the University.

In case the performance of the candidate is not satisfactory the Committee of Examiners may report accordingly, recommending another viva-voce to be conducted after three months. The University will arrange another viva-voce with the same Committee of Examiners.

After successful completion of the viva-voce, the guide shall send the consolidated report to the University and the University with the approval of the Executive Council of VTU shall award the candidate the Ph.D degree.

PHD 8.0 Research centre

PHD 8.1 A department of a teaching institution affiliated to Visveswaraiah Technological University, R&D laboratories attached to Industries and such other Research Institutions or Industries may be recognized as research centers if the following conditions are fulfilled:

a) The department/institution shall have qualified personnel to act as guides.

b) The department shall have facilities to conduct the research in the relevant field.

c) Sufficient technical literature shall be available in relevant field in the form of national/international journals and back volumes in the library.

PHD 8.2 The Institute shall apply for recognition of its department as research centre in the prescribed format to the Visveswaraiah Technological University by paying the prescribed fee.

PHD 8.3 The department/laboratory shall be recognized as research centre on the satisfactory recommendation of the committee appointed by the Vice-Chancellor for the purpose.

PHD 8.4 Such of the affiliated colleges/Institutions of VTU which were approved as research centers by the Universities to which they were affiliated earlier, will be continued as research centers under VTU on application from the Head of Institution / Principal by notification.

PHD 9.0 Recognition of guides

PHD 9.1 Eligible persons shall apply in the prescribed format to Visveswaraiah Technological University for their recognition as guides through the Head of the Institution, along with the application for Ph.D. registration of the first candidate.

PHD 9.2 Minimum qualification for recognition of a personas guide shall be Ph.D. or a person of outstanding excellence and having published Research papers in reputed National/International Technical Journals.

PHD 9.3 Any person seeking recognition as guide shall be a full time staff member of an Institution, which is recognized by the Visveswaraiah Technological University as a research center.

PHD 9.4 The person shall have at least five years of teaching / research experience.

PHD 9.5 The person, who has applied for recognition, shall be recognized as guide on the recommendation of the Ph.D. registration Committee.

PHD 9.6. No guide shall have more than three candidates working under him/her for M.Sc. (Engg.) and/or Ph.D programme taken together of V.T.U. or any other University.

PHD 9.7 In the case of the guide not being available for a period of more than six months (going abroad, ill health, retirement) the candidate can choose a new guide after obtaining consent of the previous guide, proposed guide and the University.

PHD 9.8 If the guide is transferred, retired or has resigned before the candidate submits his/her thesis, the Ph.D. registration committee may permit the candidate to continue to work under the same guide or permit an alternative arrangement with the consent of the concerned. In case of death of the guide the Ph.D. registration committee shall permit alternative arrangements.

PHD 9.9 A candidate registered in a subject where inter-disciplinary/inter institutional research is feasible may opt for a co-guide in related or cognate subject. The Ph.D. degree, however shall be awarded in the subject, which forms a major part of his/her research.

PHD 10.0 Modalities

Prescribing fee for registration, course work under part I, Part II & Part III examinations, time of submission of periodic progress reports, change of topic and or guide, submission of thesis, Calendar of events and such other matters relating to any of the above shall be governed by the administrative orders issued by the University from time to time.

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