Dr.APJ Abdul Kalam Technical University

56 Pages·2016·1.56 MB·English

ORDIINANCCES
for thee Degree of

DDOCTOOR OFF PHILLOSOOPHY
(PPh.D.)

[Appproved bby the Acaademic Council meeeting datted 23rd JJuly, 20166]

Dr. AA.P.J. AABDUL KKALAMM TECHHNICALL UNIVVERSITY,
U.P., LLUCKNNOW
(Forrmerly UUttar Praddesh Techhnical Universityy)
Luucknoww, Uttaar Praddesh (INNDIA)
Dr. A.P.J. ABBDUL KAALAM TECHNICAAL UNIVEERSITY, UU.P.,
  LUCKKNOW
OOrdinancces for thhe Degreee of

DOOCTOR OOF PHILOOSOPHY (Ph.D.)

CONTEENTS

Pagees
1. ELLIGIBILITYY FOR ADMIISSION 1--2
1..1 Acadeemic Qualifications 1
1..2 Facultty, Fields annd Eligibilityy 1
1..3 Transsfers from OOther Univerrsities 2
2. AADMISSIONN PROCESS 2-55
2..1 Announcements and Applicaation 2
2..2 Writteen Test, Inteerviews andd Registratioon 3
2..3 Enrolllment 5
3. PRRE-Ph.D. COOURSES 5-77
3..1 Scopee and Objecttives 5
3..2 Numbber and Natuure of Courses 5
3..3 Conduuct of Coursses 6
3..4 Monittoring and CCompletion of the Courrse 7
4. THHESIS SUPEERVISOR(S)) 7-88
4..1 Eligibbility for Ph.D. Thesis SSupervision//Co-Superviision 7
4..2 Changge of Thesiss Supervisorr-Substitutioon and Incluusion 8
5. REESEARCH DDEGREE COOMMITTEE (RDC) 9-100
5..1 Consttitution and Functioninng of RDC 9
5..2 Functions of RDCC 10
6. DURATION OOF Ph.D. PRROGRAMMEE 12
7. PLLACE OF PPh.D. WORRK 13
8. THHESIS PREPPARATION AND SUBMMISSION 13-16
8..1 Scopee and Objecttive of Ph.DD. Thesis 13
8..2 Pre-Suubmission RRequiremennts 14
8..3 Thesis Preparatioon 15
8..4 Thesis Submissioon 15
8.4.1 Submission for Evalluation 15
8.4.2 Final Subbmission 16
9. THHESIS EXAMMINATIONN 17-220
9..1 Thesis Evaluationn by Externaal Examinerrs 17
9..2 Viva-VVoce Examiination 20
10. AWWARD OF PPh.D. DEGRREE 20-221

           pg. i 
Dr.A.P.J.AA.K. Technical UUniversity, U.P., Lucknow Ordinance Contents-AAppendices
Dr. A.P.J. ABBDUL KAALAM TECHNICAAL UNIVEERSITY, UU.P.,

LUCKKNOW

APPENNDICES
APPEENDIX TTITLE CLLAUSE(S) PAGES
II List of Facultiees, Fields of SSpecializationand Eligibility 1.2 AP-1
III Deetails of Fees for the Ph.D.. Programme 2.1(b) AP-3
IIII Foormat for Synnopsis of Propposed Researcch 2.2(b) AP-4
IVV Prroforma for Phh.D. Registraation Form 2.2(d) AP-5
VV Foormat for Research Proposal 2.3(a) AP-9
VVI Prroforma for Phh.D. Enrolmeent Form 2.3(b) AP-10
VVII Prroforma for Prroposal of Coonduct of a Prre-Ph.D. Courrse 3.2(b), 3.3(a) AP-14
Prroforma for Prroposal of Coonduct of a Prre-Ph.D.
VIIII 3.3(b) AP-15
Coourse throughh Mentor
A Sample Propposal of a Pre--Ph.D. Coursee through
VIII(a) 3.3(b) AP-16
Mentor
Prroforma for Prrogress / Commpletion Repoort of a 3.3(b), 3.4(b)
IXX AP-18
Prre-Ph.D. Courrse && 5.2(b)
XX Foormat for Ph.DD. Progress RReview and MMonitoring Report 3.4(b), 5.2(c) AP-19
Prroforma for CChange and Suubstitution off Ph.D.
XXI 5.2(d) AP-20
Thhesis Supervissor
Prroforma for Innduction of ann Additional PPh.D.
XXII 4.22(c), 5.2(d) AP-22
Thhesis Supervissor
XIIII Prroforma for RRequest for Exxtension of Phh.D. Durationn 5.22(e), 6(d) AP-24
Prroforma for CChange and Appproval of Plaace of
XIIV 5.2(f), 7(c) AP-25
Phh.D. Researchh
Prroforma of Ceertificate fromm Thesis Supeervisors 5.22(g),8.2(c),
XXV AP-26
forr Ph.D. Thesiis Submissionn 8.2(d)
Prroforma for Peermission of RRDC to Submmit the
XVVI 5.2(g), 8.2(d) AP-27
Phh.D. Researchh Summary annd Thesis forEvaluation
Prroforma for AApplication forr Ph.D. Thesiis
XVVII 88.4.1(b) AP-28
Suubmission Forr Evaluation
XVVIII Prroforma for AApplication forr Final Ph.D. Thesis Submmission 88.4.2(a) AP-29
Prroforma for Phh.D. Thesis EEvaluation Reeport by
XIIX 9.1 (c) AP-30
Exxternal Examiiners
XXX Prroforma of Reeport of Ph.D.. Viva-Voce EExamination Board 9.2(c) AP-31
XXXI Prroforma for Prrovisional Phh.D. Degree 10(a) AP-32
Notes 1 :: The candiddates shouldd refer to thee admissionn announcemments and thhe admission
applicatioon form for tthe details oof related proforma andd the documeents.
2 : The candidates should refer to thhe Guides foor Thesis Preeparation foor the details of
related prooforma and the documeents.
3:: The candidates should refer to “AAKTU-PhD--FORMS Doownloads” mmenu for
downloadding the appropriate reqquired formss and schedules. 
           pg. ii
Dr.A.P.J.AA.K. Technical UUniversity, U.P., Lucknow Ordinance Contents-AAppendices
Dr. A.P.J. ABDUL KALAM TECHNICAL UNIVERSITY, U.P., LUCKNOW

Ordinances for the Degree of

DOCTOR OF PHILOSOPHY (Ph.D.)

1. ELIGIBILITY FOR ADMISSION

1.1 Academic Qualifications

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

(a) Bachelor's and Master’s degree with first division as mentioned in
appendix-I in the field of Engineering/ Technology/ Pharmacy/
Management/Architecture of the University, or equivalent.

(b) Bachelor’s degree with first division as mentioned in appendix-I in
the field of Engineering/ Technology/ Pharmacy/ Architecture of the
University, or equivalent, with two years of experience in Industry/
Research/ Teaching in reputed organization/ institution.

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

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

Mathematics of a University.

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

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

Dr.A.P.J.A.K. Technical University, U.P., Lucknow Ordinance Page 1 of 21
1.3 Transfers from Other Universities

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

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

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

(iii) the Academic Council of the University approves the transfer.
(b) Further, the extent of transfer of credits earned towards pre-Ph.D.
courses, publications and progress of research etc. by the candidate at
the previous university to the University shall be decided by the
respective RDC of the University.
(c) In such cases of transfer, the date of admission in the University shall
be decided by the RDC in view of the date of admission/registration in
the previous university and the extent of academic achievements. The
candidate shall be required to fulfill the remaining requirements as
decided by the respective RDC of the University.
(d) The candidate shall deposit the requisite application and other fees to
the University.
2. ADMISSION PROCESS
2.1 Announcements and Application
(a) (Announcements) The University shall inviteapplications for admission
to Ph.D. programmes of its various faculties/fields through national
level advertisement and also through announcements at its website,.The
admission process will generally be carried out once a year (in the First
semester beginning July/August). However, the University depending
upon its academic goals and needs, may decide to carry out the
admission process twice a year (once in each semester) with due
advertisements and web announcements.
(b) (Application) A candidate seeking admission to Ph.D. programme must
download the prescribed application form from the website of the
University and send the completed application form along with
documents to the University at the address mentioned in the
announcement and/or application form. The application form may also
be filled in on-line if and when so announced and/or advised by the
University. The candidate must indicate the faculty and field(s) of
research to which the admission is being sought.

Dr.A.P.J.A.K. Technical University, U.P., Lucknow Ordinance Page 2 of 21
(c) Relaxation 5% of marks or an equivalent relaxation of grade may be
allowed to SC/ST/OBC (Non creamy layer)/ differently able candidates.
(d) (Scrutiny of Application Forms) The application forms received may be
scrutinized by a Screening Committee constituted by the Vice
Chancellor.
2.2 Written Test, Interviews and Registration

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

(b) (Interview) The shortlisted candidates shall appear for interview and
presentation before a Selection Committee constituted for respective
fields on the date(s) announced through the websiteof the University.
The Selection Committee shall be constituted by the Vice-Chancellor for
each field as given in clause 2.2(c). The candidates based on their overall
performance will be categorized as selected or not selected for
registration. The list will be submitted to the Vice Chancellor for
approval. After Approval the list of candidates selected for registration
will be announced through the website of the University. The date of
registration shall be the date of declaration of result after Selection
Committee meeting. The acceptance of the Ph.D. topic and synopsis,
however, shall be as per recommendations of the RDC. The shortlisted
candidates shall submit dully filled registration form with all
enclosures prescribed in the registration form at the time of interview.
Some of the major requirements are listed below:
No. Particulars
1* A prescribed non-refundable application fee (See Appendix – II).
2* High School (class X) Certificate with Date of Birth.
3 SC/ST/OBC/PH certificate (if applicable).
4* Copies of degrees, marks/grade sheets of all the examinations
passed (not the originals).
5 No Objection Certificate (NOC) from the employer (for
employed applicants).
6 Certificate of Financial Assistance (if applicable).
7 Copies of publications (if applicable).

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8* Synopsis of proposed research work (maximum 200 words on
one A4 sheet) in the format as given in Appendix – III.
9* Certificates (3 Nos.) – (i) from the proposed Thesis Supervisors,
(ii) Head(s) of the Organization(s) of the proposed Thesis
Supervisor(s), and (iii) Head of organization of the Research
Place
10* Two copies of detailed Curriculum Vitae of the Supervisor(s).
11* Two letters of reference.
No. of Enclosures: …………. No. of Sheets: …………

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

(c) (Selection Committee) The Selection Committee for each field shall
consist of the following members :

(i) Dean,Post Graduate Studies and Chairman
Research (PGSR)[In absence of
Dean, Associate Dean
PGSR/Professor nominated by
Vice-Chancellor]
(ii) Convener/member of RDC of the Member
concerned field
(iii) One expert of the concerned field Member
not below the rank of professor
belonging to the affiliated
institution/ college of the
University to be nominated by
the Vice-Chancellor
(iv) One expert of the concerned field Member
not below the rank of professor
but not belonging to the
University, to be nominated by
the Vice-Chancellor

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

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

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

(b) (Enrollment) A candidate recommended by the RDC shall be allowed
for enrollment to the Ph.D.programme of the University. He/she shall be
required to submit Ph.D. Enrollment Form along with the necessary
documents (see Appendix - VI). Upon due processing, the candidate will
receive the University enrolment number/Ph.D. roll number.
3. PRE-Ph.D. COURSES
3.1 Scope and Objectives
In order to strengthen the background in the chosen faculty/field of research
and to develop a sound research temperament, the University requires the
candidate admitted to the Ph.D.programme to undertake and successfully
complete some post graduate (M.Tech.) level courses.
The candidate will be required to pay the required course fee as
prescribed/approved by the University from time to time. The fee may, in
general, vary from course to course depending upon its nature and required
resources.
3.2 Number and Nature of Courses

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

(b) (Nature and Type of Courses) The courses to be taken shall be
suggested by the supervisor(s). The candidate in this regard will submit
prescribed proforma (Appendix-VII)duly recommended by the
supervisor(s) in the first meeting of RDC. The RDC, sometimes,
depending upon the research interest of the candidate, may recommend

Dr.A.P.J.A.K. Technical University, U.P., Lucknow Ordinance Page 5 of 21
the thesis supervisor(s) to suggest one or more course(s). The nature and
type of courses shall be based on background and research plan of
individual candidate. The pre-Ph.D. courses shall be full credit courses
equivalent to one-semester PG courses with regular contact sessions,
home assignments, practical sessions wherever applicable, and mid-
term tests and end semester theory/practical examination. Courses
through NPTEL and MOOCS (e.g. EdX, Coursera, Udacity or
equivalent) with certification may also be considered These courses
cannot be substituted by aggregating short-term workshops/symposia
etc. attended in piecemeal.

3.3 Conduct of Courses

(a) (Regular Course / Short Course/ Online Course) A candidate, in
consultation with his/her supervisor(s), is required to seek the
admission to the suggested courses being offered at some institutions
offering post graduate courses and recognized by the competent
authority. However, short term/crash courses of requisite course
contents and full required contact hours with required assignments,
practical sessions and evaluations can be considered towards
completion of a course. In both the cases, regular course or short term
course, the candidate is required to seek, on the prescribed Proforma
(Appendix - VII), the permission of the University for its approval of
the proposed course as a pre-Ph.D. course. The University some times,
depending upon the resources and requirements of the candidate, may
arrange for some special courses at some institute. The announcements
of such courses are made through the University web site. The
candidate for such courses will register at the beginning of the
term/semester and will not be allowed to join in between the
term/semester. As mentioned in clause 3.1, the candidate shall have to
deposit the required course fee as prescribed by the competent authority
offering the course.
(b) (Through Mentor(s)) In case, it is not conveniently possible for a
candidate to take a course in the manner described above in clause
3.3(a), the pre-Ph.D. course, as a special case, can be completed with the
help of a mentor. The coverage of contents, the number of contact hours,
assignments, evaluations etc, however, remain the same as in a course
being offered on a regular/short-term basis mentioned in clause 3.3(a).
For completing the course through mentorship, the candidate providing
the complete details about the proposed mentor(s) and with the
endorsement of the supervisor(s), is required to seek the permission of
the Vice Chancellor on the Proforma as given in Appendix - VIII. A
sample of course proposal through mentorship is given in Appendix –

Dr.A.P.J.A.K. Technical University, U.P., Lucknow Ordinance Page 6 of 21
VIII(a). The mentor(s) will be requested to submit the progress and
evaluation results about the course on a prescribed Proforma as given in
Appendix - IX.
3.4 Monitoring and Completion of the Course

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

(b) (Progress Monitoring and Completion) A candidate is required to
submit, through his/her supervisor(s), the progress about the course(s)
on the Proforma given in Appendix – IX, at the time of RDC meetings
convened to review the progress. The progress of Pre-PhD course(s) will
generally be reviewed in parallel to other aspects of the doctoral
programme viz. research, publications, etc that will be submitted,
through the supervisor(s), by the candidate on the Proforma given in
Appendix – X. The completion of Pre-PhD courses shall be reviewed by
the concerned RDC.
4. THESIS SUPERVISOR(S)
4.1 Eligibility for Ph.D. Thesis Supervision /Co-Supervision

(a) (Eligibility) A person shall be eligible to act as supervisor provided he/
she holds a Ph.D. degree in the concerned or related field, has good
publications in reputed scientific / technical journals, and who is one of
the following:
(i) Principal/Director, Professor, Associate Professor of
affiliated/associated/autonomous/constituent college/ institution
of the university.
(ii) Assistant Professor with at least five years teaching/ research
industrial experience in an affiliated/associated/
autonomous/constituentcollege/ institution of the University.
(iii) In case of topics which are of interdisciplinary in nature co-
supervisor from reputed institutions, like IITs, IISc, IIITs, NITs,
state funded institutions or research establishments, private

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