MU/ACC/CR.

32/2005-06/A2
23.08.2007

NOTIFICATION

Sub: Revised regulations governing the degree of

Doctor of Philosophy (Ph.D.).
Ref: Government letter No. ED 116 UDV 2007
dt: 21.08.2007

The revised regulations governing the degree of Doctor of Philosophy (Ph.D.)

assented by His Excellency the Chancellor on 10.08.2007 as communicated in
above referred letter is hereby notified for implementation with effect from the
academic year 2007-08.

Sd/-
REGISTRAR

Copy to:
1. The Chairmen / Co-ordinators of all PG Departments / PG courses, Mangalore
University, Mangalagangothri / Madikeri.
2. The Principals of all affiliated / constituent / autonomous colleges of Mangalore
University.
3. The Directors, Recognised institutions for Ph.D., Mangalore University.
4. The Registrar (Evaluation), Mangalore University.
5. The Principal Secretary to Governor, Rajabhavan, Bangalore.
6. The Principal Secretary to the Government, Education Department (Higher
Education), M.S. Building, Bangalore 560 001.
7. The Deputy Registrar, Mangalore University.
8. The Asst. Registrar (ACC) / Superintendent (ACC), Mangalore University.
9. P.S. to the Vice-Chancellor / P.A. to the Registrar, Mangalore University.
10. A3 Case Worker, Academic Section, Mangalore University.

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 MANGALORE UNIVERSITY

REVISED REGULATIONS GOVERNING THE DEGREE OF DOCTOR

OF PHILOSOPHY (Ph. D.)
(Framed under Section 44 read with section 31 (ii) of the KSU Act 2000)

1. Title and Commencement:

i) These regulations shall be called “Revised Regulations Governing the Degree of

Doctor of Philosophy (Ph. D.)”.
ii) These regulations shall come into effect from the date of assent of the Chancellor.

2. Eligibility:

2.1 Masters degree in a subject or any other degree/diploma of the University or any
other University considered as equivalent thereto with a minimum of 55% marks or
equivalent grade. However, this condition may be relaxed to 50% marks or
equivalent grade, in the case of SC/ST, Cat.-I or physically challenged candidates
and in-service candidates having at least five years of continuous teaching/research
experience and others on valid grounds.

2.2. The candidate shall work for Ph. D. degree in a subject studied at the Master’s
Degree or related subject under a recognized guide. However, he/she may be
permitted with the approval of the concerned Board of Studies, to conduct research
in a subject other than the one chosen for the Master’s Degree, provided it is of an
interdisciplinary nature.

2.3. If the research topic is of interdisciplinary nature, the candidate with the consent of
his guide may opt for a co-guide, who shall also be the recognized guide of the
University. However, the main responsibility of supervising the research work shall
vest with the guide and the candidate shall finalize and submit the thesis through the
guide.

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3. Enrolment:

3.1. The university shall invite applications to enroll for Ph.D. Programme twice a year
ordinarily in January / July.

3.2. The candidates having fellowships or getting financial assistance may enroll at any
time of the year.

3.3. The candidates who wish to enroll for Ph.D. programme in the university
departments/ recognized institutions/colleges shall do so by submitting applications
in the prescribed form along with stipulated fee to the Registrar through the guide
and the Chairperson of the department / Head of the recognized institution /college
as the case may be.

3.4. The applications of candidates who wish to enroll in the University departments shall
be scrutinized by the Departmental Council before forwarding them to the Registrar
for granting permission and enrolment. The applications of those who wish to enroll
in the recognized Research Institutes/Colleges shall be scrutinized by a Committee
consisting of the Director of the Institute / Principal of the College and two other
senior scientists/senior faculty in the relevant subject or field of specialization
before forwarding them to the Registrar.

4. Registration:

4.1 All those candidates who have enrolled for Ph.D. programme shall apply for
registration within six months after enrollment by paying the prescribed registration
fee failing which he/she shall enroll again.

4.2 The registration shall be either on full time or on part time basis. The candidates
working in the university departments / recognized institutions / colleges may be
permitted to register on part time basis provided they produce NOC from their
employers. A full time employee of any organization shall be eligible to work on
part time basis only.

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4.3 The application for registration in the prescribed form along with ten copies of the
synopsis of the proposed work shall be submitted to the Registrar through the guide
and Chairperson of the concerned University department or the Head of the
recognized Institution/College. The synopsis shall define clearly the objectives,
methodology, expected results, the importance of the work, its contribution to the
advancement of knowledge in the area and its social/scientific relevance. It shall
also include a brief technical report comprising literature survey/work plan of the
proposed research.

4.4 The Registrar shall refer the application to the respective Board of Studies for
opinion. The Board of Studies shall consider the synopsis and approve it as such or
approve with suggestions or modifications, if any or ask for a fresh synopsis. The
Chairperson of the Board of Studies shall communicate the opinion of the Board to
the Registrar within two months.

4.5 A candidate who has registered on full time basis shall carry out the research for a
minimum period of three years from the date of enrolment. The candidate registered
on part time basis shall work for a minimum period of four years from the date of
enrolment. However, a part time candidate may be permitted to work on full time
basis on valid grounds. In such a case, the period of registration shall be three years
from the date of change over or four years from the date of enrollment, whichever is
early. A full time candidate may also be permitted to work on part time basis, but
the period of such registration shall be four years from the date of original
enrolment.

4.6 A full time candidate shall complete the research work and submit the thesis to the
University within a maximum period of five years from the date of enrolment while
in the case of part time candidates the maximum period for submission shall be six
years. In exceptional cases extension of time beyond the maximum permissible
period may be allowed on sufficient justification and on the recommendation of the
guide along with payment of the prescribed fee.

4.7 If a candidate fails to submit the thesis even after extension, he/she shall re-register
and submit it within two years.

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4.8 Change of guide / co-guide may be permitted on valid grounds by the
Vice-Chancellor after obtaining the opinion of the concerned guide if necessary,
after consulting the Doctoral Committee.

4.9 If a candidate who has registered for Ph.D. degree in a University registers afresh in
another University consequent upon his/her guide taking up a faculty position in that
University, the period of candidate’s work in the previous University shall be
subject to the conditions under para 4.5 provided the candidate continues to work
on the same topic and under the same guide for atleast one year.

5. Progress of Work:

5.1 After registration, every candidate shall submit two half yearly progress reports (one
in the month of June and the second in the month of December) through the guide
who shall assess the level of progress achieved by the candidate and forward it
through the Chairperson of the Department / Head of the Institution / College to the
Registrar (Evaluation). The Registrar (Evaluation) in turn shall forward the reports
to the Chairperson of the doctoral committee for evaluation by the Committee.

5.2 The progress report may contain review of literature / new data generated or
techniques / concepts developed / progress / standardization in research
methodology / discussion of the work done including new findings, if any as the
case may be.

5.3 If a candidate fails to submit two consecutive half yearly progress reports or the
progress reports submitted by the candidate were found to be unsatisfactory by the
Doctoral Committee, the University may cancel the registration. or take any further
decision. However, in all such cases the candidate must be heard.

5.4 Doctoral Committee, Constitution, powers and functions:

The composition of the Doctoral Committee shall be as follows:

a. Chairperson of Board of Studies in the concerned subject Chairperson

b. Chairperson, Department of Studies of the respective Department/ Member

Head of the recognized Institution/Principal of the College or
his/her nominee

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 c. The Senior most faculty member of the Department other than the Member
Chairperson of the Department of Studies. If there is no PG
Department of Studies in the subject, a faculty member of the related
department nominated by the Registrar (Evaluation)

d. A faculty member from the concerned area of specialization Member

nominated by the Registrar (Evaluation)

e. One outside expert during pre-thesis submission colloquium only Member

f. Concerned research supervisor (Guide)* Member

* Where the Guide is also the Chairperson of Board of Studies/Department of

Studies/Senior faculty, one more senior faculty member shall be included in the
doctoral committee.

The committee shall meet as and when needed. The quorum for the meeting shall be
three.

The Doctoral committee shall (a) monitor the progress of the work of the candidate
and (b) evaluate pre-thesis submission colloquium of the candidate, undertake any
function, exercise any powers entrusted in this statute or any work assigned to it.

6. Submission of the Thesis:

6.1 Prior to the submission of thesis a candidate shall submit an application along with
six copies of synopsis of the research work carried out through the Guide and the
Chairperson of Department / Head of the Institution to the Registrar (Evaluation) for
the pre-submission colloquium. The Registrar (Evaluation) shall forward the same
to the Doctoral Committee for arranging the pre-submission colloquium and appear
before the Doctoral Committee and present the work including methodology and
data collected in the pre-submission colloquium. He / She shall have published a
minimum of two research papers (published or accepted in journals of repute) / shall
have presented a minimum of two research papers at the national level seminars or
hold patents (accepted or granted) on the basis of his/her research which shall be
verified by the Doctoral Committee.

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6.2 The Chairperson of the Doctoral Committee shall communicate the decision of the
pre-thesis submission colloquium to the Registrar (Evaluation) as well as to the
candidate within a week of conducting the colloquium as to whether the Doctoral
Committee has permitted the submission of final synopsis as such or with some
suggestions. If the performance of the candidate at the colloquium is not satisfactory
and the work carried out is not up to the mark, the Doctoral Committee may offer
suitable suggestions and direct him/her to reappear before the pre-submission
colloquium after a lapse of six months.

6.3. The candidate who gets approval of the Doctoral Committee to submit the thesis
shall submit twelve copies of the final synopsis of the thesis through the Guide and
the Chairperson of Department / Head of the Institution to the Registrar
(Evaluation). The Registrar (Evaluation) shall forward the copies of the synopsis to
the Chairperson of the concerned Board of Studies for preparing the panel
containing names of atleast ten examiners. The panel may also include the names of
experts from outside the country.

6.4 Within three months after the submission of final synopsis the candidate shall submit
four copies of the thesis along with the application and the prescribed fee through
the Guide and the Chairperson of the Department/Head of the Institution/College
concerned to the Registrar (Evaluation) failing which the candidate may be
permitted to submit the thesis within a prescribed period with a penal fee fixed by
the University but not later than the maximum period allowed to submit the thesis.

6.5. The thesis shall contain a certificate from the Guide that the thesis submitted is the
record of the research work done by the candidate during the period of the study,
and that it has not previously formed the basis for the award of any
Degree/Diploma/Associateship/Fellowship or other similar titles to any candidate.

7. Adjudication of the Thesis:

7.1 There shall be a Board of Examiners constituted by the Vice-Chancellor from a

panel of examiners submitted by the Board of Studies as per para 6.3 including two

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 external examiners one of whom may be a foreign examiner for adjudication of the
thesis The Guide shall be the Chairperson of the Board.

7.2 The Examiners shall send detailed evaluation reports to the Registrar (Evaluation)
which shall include :

a) A critical account of the work of the candidate as embodied in the thesis and an
evaluation of the work in terms of its contribution to the advancement of
knowledge.
b) Questions to be asked or points to be clarified at the Viva-Voce Examination if
any.
c) A definite recommendation in the prescribed proforma as to whether the thesis
be accepted in the present form, or accepted with minor revision or accepted
subject to major revision or be rejected.

7.3. If both the examiners recommend for award of the degree, the candidate shall be
permitted to take the viva-voce examination. If both the examiners do not
recommend for award of the degree, the thesis shall be rejected. If one of the
examiners rejects the thesis, it shall be referred to a third examiner from out of the
approved panel. If the third examiner also rejects the thesis, it shall be deemed to
have been rejected.

7.4. The revised thesis shall be resubmitted within six months. If the suggestions or
reasons given for revising the thesis are not acceptable to the candidate, the thesis
shall be referred to a third examiner.

7.5. No candidate shall, however, be permitted to revise and resubmit the thesis more
than twice.

8. Viva-Voce Examination and Award of Ph.D. Degree:

8.1 An open Viva-Voce Examination shall be conducted for those who fulfill the
conditions stated in para 7.3 by the Board consisting of the Guide who shall be the
Chairperson and one of the external examiners.

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 However, under extraordinary circumstances where the examiner chosen to conduct
the viva voce examination cannot be present at the Viva, the Vice-Chancellor may
appoint a substitute examiner out of the approved panel for the purpose. If the Guide
also cannot be present, the Vice-Chancellor may appoint the Chairperson of the
concerned Board of Studies or the Department or a suitable person to act as
Chairperson to conduct the Viva.

8.2 The Viva-Voce examination shall primarily be designed to test the understanding of
the candidate on the subject matter of the thesis, including methodology employed,
results, conclusions and competence in the field of study. The candidate shall also
clarify the points raised by the examiners if any, in their reports.

8.3 After completion of the Viva-Voce examination, the Chairperson of the BOE shall
consolidate the recommendations for the award of Ph.D. Degree.

8.4 The Chairperson of Board of Examiners shall submit the report of the viva and
consolidated report to the Registrar (Evaluation). Based on these reports provisional
notification of award of Ph. D. degree be issued with the approval of the Vice-
Chancellor and the matter be reported to the Syndicate.

8.5 After the award of Ph.D. degree, the thesis may be published in any form under
intimation to the University and atleast one copy of the published work must be
submitted to the University Library for the purpose of record.

9. Recognition of Guide:

9.1 (a) Professors in the Post-Graduate departments of the University, who have
Doctoral degree in the concerned subject / related subject shall be deemed to
be the recognized guides in their subjects.

(b) Readers in the Post-Graduate departments of the University, who have Doctoral
degree in the relevant subject and have at least one year of independent
research experience after the Ph. D. degree as evidenced by publications in

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 refereed / reputed journals are eligible to be recognized as guides in their
subjects.

(c) Lecturers in the Post-Graduate departments of the University who have doctoral
degree in the relevant subject and at least three years of independent research
experience after the Ph. D. degree as evidenced by publications in refereed /
reputed journals are eligible to be recognized as guides in their subjects.

(d) Teachers / Scientists / Professionals working in recognized institutions and

teachers of constituent / affiliated colleges, recognized as Research Centres by
the University, who have doctoral degree in the concerned / related discipline
and at least three years of independent research experience after the Ph. D.
degree as evidenced by publications in refereed / reputed journals are eligible
to be recognized as guides.

(e) The academic staff working in the central facilities of the University such as
Library, USIC, Microtone Centre etc. with five years of research experience
and who have doctoral degree in the relevant subject and at least three years of
independent research experience after the Ph. D. degree as evidenced by
publications in referred / reputed journals shall also be eligible to be
recognized as guides in their subjects.

9.2 (a) The application for recognition as guide shall be referred to the concerned P.G./
composite Board of Studies for recommendation and the Chairperson of the
B.O.S. shall communicate the Boards decision to the Registrar within three
months.

(b) The recognized guide may be allowed to register up to a maximum of 5

candidates for Ph.D. at a time. However, registration of one additional SC/ST
candidate may be allowed if required. In case a person is recognized as guide
by more than one University and or in more than one subject, the total number
of registered candidates under such a guide shall not exceed 5 + 1 (SC / ST) at
any given time. In exceptional cases additional supernumerary registration

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 may be permitted which shall be adjusted against future vacancies as and when
they arise.

(c) Registration under a guide who has retired may be allowed up to two years after
retirement provided he/she has been given assignment by the University /
recognized institution / college.

(d) If a recognized guide joins any organization not recognized as a research centre
by the University, then he/she automatically ceases to be a guide for further
registration.

10. The repeal of existing regulations:

The existing regulations governing the degree of Doctor of Philosophy (Ph.D.)

shall stand repealed.

11. Removal of Difficulties:

The University may from time to time frame suitable guidelines to remove
practical difficulties which arise at the time of implementation of this regulation.

(Assented by the Chancellor on 10.08.2007 as communicated in Government letter

No. ED 116 UDV 2007 dt: 21.08.2007).

Sd/-
REGISTRAR

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