Research and Development Cell

Doon University Research Policy 

[1] Preamble

The Doon University Research Policy (DU-RP) 2021 envisages the promotion of quality research within the University. In order to enhance the quality in higher education, the University considers the research and innovation to be very important aspects. Our country can succeed to address the societal challenges if higher education institutions have an emphasis on research, innovation, and technology development. The foundation of Self-reliant India (Atma-Nirbhar Bharat) may be very strong if there is an integration of Research, Innovation and Technology Development. The establishment of Research and Innovation Cell will enable the University to attain the targets of Atma-Nirbhar Bharat. The implementation of the research policy is likely to catalyze the multidisciplinary/ transdisciplinary and translational research culture in the University.

[2] Scope

This policy will be applicable on all the faculty members, students or other personnels of Doon University, involved in independent or collaborative research involving different departments, institutions or organizations funded either through university or any other source.

[3] Vision 

To put in place a robust mechanism for developing and strengthening the research ecosystem within the University 

[4] Mission 

(4.1) To create a conducive environment for enhanced research productivity. 

(4.2) To encourage and enhance the collaboration of the University with the industry, government, community- based organizations, and agencies at the local, national, and international levels. 

(4.3) To facilitate the mobilization of resources and funding for improving research infrastructure, brand image and productivity. 

[5] Objectives 

(5.1) To create an organizational structure having the components/committees with role-based functions

(5.2) To encourage researchers to identify thrust areas of research, and form related cluster groups/ frontline teams/consortia of researchers. 

(5.3) To encourage the appropriate bodies of the University for having the provisions for establishing the research infrastructure and research equipments, the recruitment of research personnel(s), and financial management with adequate autonomy to the Principal Investigator(s) and disseminate research outcomes to stakeholders. 

(5.4) To encourage and ensure that the researchers and innovators of the University establish a specific mechanism for promoting, identifying potential collaborators from industry, research organizations, academic institutions & other stakeholders for cooperation and synergistic partnerships. 

(5.5) To encourage and ensure that the University has some nodal center or cell to sensitize the researchers and create awareness among them about funding opportunities with various research funding agencies, extend guidance and support to them in preparation & submission of project proposals and resolve the issues which they face after receiving the grants. 

(5.6) To ensure that there are standard operating procedures and formats for different tasks related to research work

(5.7) To ensure that there are hassle-free and expedited procedures for smooth file movements of (a) research related projects or task, (b) payment of fellowships to research personnels (c) the selection procedure of research personnels in sanctioned projects, (d) matters related to procurement in line with the university rules.

(5.8) To ensure that the University is providing adequate support and guidance to the researchers for timely completion of projects and sending Project Completion Report and Utilization Certificates/Statement of Expenditure (UC/SE).

(5.9) To ensure that there are mechanisms in the University to resolve the issues of the researchers (including faculty members, post-doctoral fellows and research students.

(5.10) To ensure that the researchers as well as administrative bodies of the University are in working in compliance with the terms and conditions of sponsored research projects.

(5.11) To encourage and ensure that there is a specific mechanism to put efforts for enhancing the University-Industry Inter Linkage, Incubation, Innovation and Entrepreneurship Development and generation of Intellectual Properties (IP). 

(5.12) To encourage and ensure that there is a coordination among different cells/centers

(5.13) To encourage and ensure that the University has an Institutional Research Information System for sharing the status of ongoing/ completed research projects/programmes, expertise & resources, and preparing the database (using ICT) of in-house experts to provide industrial consultancy and services. 

(5.14) To encourage the departments and schools of the university for engaging & utilizing the services of superannuated active faculty/scientists in research capacity building of talented young minds and promote mobility of researchers across institutions and R&D Labs. 

(5.15) To encourage the researchers and relevant committees to enable and use the nodal center for ideation and conceptualization of research topics/themes by organizing workshops and training programs.

(5.16) To encourage and ensure that the researchers within the University are adhered to the integrity and ethical practices in research activities including clearance of bioethical committee.

(5.17) To ensure that the researchers are involved in creating an interactive research environment and providing platforms such as conferences, seminars, workshops, invited lectures from eminent personalities from all fields including science, engineering, management, social sciences, law, literature, art and culture etc.

(5.18) To encourage the researchers for their active participation in the national / international conferences, seminars, workshops.

(5.19) To encourage and facilitate the Departments and Schools to organize research internship/training programmes/workshops for scholars, young faculties and professionals.

(5.20) To encourage and ensure that the researchers are securing and protecting the intellectual property rights.

(5.21) To ensure that the issues such as academic misconduct, disputes between researchers over data or access, and conflict of interest are resolved at the earliest.

(5.22) To develop the mechanisms for incentivizing the researchers on the quality, productivity and innovative nature of their research works. 

(5.23) To develop mechanism for maintaining the record of each and every research project of university and publications/awards by faculty and students.

(5.24) Any other activity as advised by Hon’ble Vice Chancellor.

[6] Research Framework and Strategy

[6.1] Research in Doon University will be conducted by application of knowledge for overall improvement of quality of life and development of the nation at large.

[6.2] The Research Policy will be implemented by Research Cell for specific purpose of governance, administrative and financial facilitation and promotion of research activities.

[6.3] The functions of Research Cell will be integrated with all academic bodies of the university (AAC, SRAC, Academic Council, Faculty Committees, Executive Council etc.) as required.

[6.4] The Research Cell will make appropriate recommendations to the University authorities on research related issues for final decision and execution. This system will enable collection and compilation of all the data and information related to research in the university. Books.

[6.5] All stakeholders will be sensitized to route all research related documents to administrative authorities through the Research Cell for processing.

[6.6] The researchers will be encouraged to attract the funding from government agencies as well as industry.

[7] Governance

The university will have efficient governance mechanism for ensuring autonomy, transparency, accountability, and adaptability. Such a mechanism will ensure strengthening interlinkages to create a conducive research environment. The University can foster the human elements (faculty, staff, scholars, and students), logistics (research infrastructure and facilities), knowledge resources (research equipment, project utilities, and consumables), fund flow, etc. through a steady, proficient, effective governance (Rules, Norms, and Policies) and financial (Grants and Funds) management. Experienced researchers will constitute the leadership and administrative structure of the research cell for establishing an effective and robust governance. The apex body in the governance may be a council (e.g., Research Governance Council or Research Advisory Council) in which the head or convener will be Hon’ble Vice-Chancellor or his/her nominee. This council will be the decision-making body in context of constituting the committees under the research cell, appointing the director(s)/convener(s), authorizing the Vice-Chancellor for deciding routine matters, accepting the recommendation(s) of the committees on various matters. 

[8] Administration 

Doon University will create an organizational structure which will include research cell, bodies, authorities, and committees for facilitating the planning, implementation, and monitoring of research activities, formulating rules, regulations, and policy frameworks for utilization of facilities and resources at the University. The university will develop some specific mechanism or strategy to bring a single-window operational system into existence and function. The activities of research cell will be mentored and monitored by various committees. Such committees will work for devising research models, technology, appraisal, foresight and review functions, mediating sectoral R&D progress, and IPR protection. The research cell will have a close contact with Ministry Innovation Cell so that various innovative plans may be used for facilitating the researchers. 

[9] Research Ecosystem/Collaboration 

It is well known that a vibrant research ecosystem in the universities aims to provide meaningful thrust for sustainable research and innovation and promote collaboration between government, universities, research institutes and industries. Doon University will work to build a sustainable research ecosystem in which the researchers will be facilitated for quality outcomes and improved productivity. The University will be connected (through its research cell) with the research cells of already well-known/established higher education or research institutions. The research cell of the University will work to facilitate the collaborative research with other national and international institutions in inter- disciplinary, trans-disciplinary, and multidisciplinary research areas. University through its research cell will work to develop strategic partnerships with key industry players, research organizations, institutions, associations, NGOs, and government bodies. The cell will also work to develop collaborations, partnerships, consortia, and combined ventures for joint research activities to facilitate the exchange of researchers. The University will work to strengthen resource sharing within the university and among universities, funding agencies, industries, corporate and government.

[10] Information Management System

The University will work to develop and improve Research Information Management System (RIMS). This system will be helpful in the advancement of both research and innovation. It will be beneficial for the researchers and the stakeholders. This system will be used to collect and manage research-oriented information, databases, publications, research projects, fellowships, collaborations, patents, thrust areas, innovations etc. It would also be used as a platform for accessing resource-centric information pertaining to human capital (expertise), physical capital (state-of-art laboratories and high-end instrumental facilities), and knowledge capital (digital library & information, intellectual property facilitation). In accordance with the requirements (laid down by various regulatory agencies), the researchers can use this system to submit, modify, or update their research compliances such as protocols, formats, approvals, documentary records, equipment lists, etc. This system can also be used to obtain a centralized and integrated database to manage issues related to and radioactive-safety approval clearances for use and disposal of biological, chemical and radioactive hazardous materials, protective equipment measures, surveillance of staff, appropriate trainings/workshops, etc. 

[11] Research Promotion & Guidance 

The research activities at the University will be aligned with the mandates of various National Missions in order to contribute to achieving the national goal of Self-Reliant India (Atma-Nirbhar Bharat). Research Cell will work to encourage faculties to conceive ideas through enhanced industry-academia interactions and prepare research proposals for funding from various agencies. In order to motivate the end-users (students, scholars, and faculties) to participate actively in the process of ideation and innovative research in emerging areas, the research cell of the university will organize capacity-building programs (Research Methodology and Research Techniques). In addition, emphasis will also be laid down on conducting specific research theme-based workshops and research internships. 

[11.1] Research Thrust and Clustered Areas 

The research cell will work to identify the thrust areas for research. It must also work to have the information and knowledge about the availability of key resources, including in-house human resources, faculty research competencies, and support systems. The cell will also underpin the societal needs. The cell will work to form research clusters and/or regional research consortia so that the researchers may connect with each other for joint high value (interdisciplinary and trans-disciplinary) research projects to avail national and international funding opportunities. Such consortia will focus on finding solutions in inter-disciplinary, trans-disciplinary, and multidisciplinary areas. The incubation center of the University will put efforts to transform innovative ideas (administered and monitored by the research cell) into processes and products. 

[11.2] Research Incentives and Recognition 

Research cell will work to trigger and catalyze the research interest among scholars and faculties by institutionalizing the awards and incentives. Incentivizing the researchers for their quality publications and patents will have an enduring positive impact. Research cell will institutionalize a variety of awards for accomplishments/achievements of researchers in the form of impactful quality research and/ or research-based teaching to stimulate and invigorate the research and innovation activities in the university. Research cell will also develop some specific mechanism and policy for identifying and recognizing high-performing research faculty and develop a unique Research Career ladder for them. 

[11.3] Technology Development and Business Centered Facility 

The research cell (in collaboration with incubation center and other related cells) will work to establish a facility centered on technology and business development. Such a facility will be a hub for strategic partnerships/ collaborations, industry-institute interface, sponsored or contract research, new knowledge generation, IPR, and patent services, technology transfer, and commercialization of research to facilitate innovation, incubation, entrepreneurship and start-up ventures. 

[11.4] Finance 

The research cell will work to facilitate resource mobilization from government, industry, and other funding agencies so that a corpus may be created for research activities. The corpus created for research could also support the seed funding for freshly recruited faculty for developing research facilities, publications and patenting. Efforts will also be made to obtain Corporate Social Responsibility (CSR) funds for research activities. The university will make provision for research in the annual budget subject to the availability of funds. 

[12] Integrity and Ethics

The research cell will work to sensitize the researchers to understand the importance of integrity and ethics and comply with ethical codes of research and publishing practices at institutional, national, and global levels. The university will provide access of a standard and internationally reputed software to all researchers for implementing the mechanism to avoid any kind of plagiarism. In addition, the cell will sensitize the research community about dubious research and publishing practices and predatory journals.

[12.1] The researcher will have the right and responsibility to (i) ensure that research is accurately reported to scientific and academic community and (ii) choose the appropriate mode of publication or presentation of data and results.

[12.2] Researchers can take due credit and publish the research outcome or method/process/technology developed, file patent or claim its intellectual property right in any other form, but affiliation with university for carrying out research has to be prominently mentioned/exhibited and acknowledged at appropriate place(s).

[12.3] Under special conditions, the university may restrict a researcher from putting anything related to research in public domain.

[12.4] Any transfer of copyright having a financial implication will have to be executed only upon permission from the university.

[12.5] Both the researcher and university will hold the right in the intellectual property generated from research. However, the decisions of university will be the binding in all cases of transfer of IPR for any productive purpose.

[12.6] If any financial income arises out of a research, the income distribution will be  in accordance with the Consultancy Policy of Doon University.

[13] Capacity Building 

Research Cell will work to build the capacity of faculty and students to undertake research problems in line with the latest advances and emerging fields. The competence, thus acquired by the researchers, will be reflected in the publications and contributions to technological developments. Such researchers will also pave the way for the university to attract more research grants under norm-based funding, improve its accreditation ranking and enhance its brand image. The research cell will organize regular events such as refresher courses, workshops, trainings/internships, and seminars/conferences for this purpose i.e., capacity building. 

[14] Research Monitoring 

[14.1] The research cell will work to ensure that the researchers are involved in research development and innovation activities through the creation of infrastructure, generation of resources, promotion of business, and facilitation of policy framework while adhering to ethical practices. The culture of such research and innovation activities which are in line with policy environment in India will be nurtured. 

[14.2] The research cell will monitor the research progress, coordinate program, manage and facilitate optimizing resources, timely review of research activities for completion of the projects as per schedule. The research cell will also formulate and recommend the quality benchmarks for research to meet the global/international standards. 

[14.3] The research cell will undertake an internal evaluation of the research papers and suggest Scopus Indexed, Web of Science (WoS), or UGC-CARE recognized journals for appropriate publications. 

[14.4] The cell will also work to ensure that all the research labs in the institution fulfill the norms of Good Laboratory Practices (GLP) and Safety (Bio and Chemical) measures, recognized as QIP center and by the National Accreditation Board of Laboratories (NABL). 

[14.5] In addition, research cell will also define the research data, that would mean facts, materials or physical items or articles, artefacts, observations, experiences, responses to questionnaires etc collected by researcher which are used for making inferences or drawing conclusions and on which an argument, theory or test is based. Data may be numeric, descriptive, visual or virtual. Data may also be raw or processed, experimental or observational. Data will also include all kinds of laboratory and/or field notebooks, maps, photographs, audio-video recordings or any other thing collected or generated by researcher. Research material in addition to hardware and equipment would include books, consumables, apparatus, computer, digital media etc. Provenance information such as how, when, where the data were collected and the means of collection, the software code and license used to generate, annotate or analyze the data are also included in research material and property. All these will always belong to the university.

[14.6] Research cell will also ensure the security and confidentiality of the research data that incorporates confidential information such as, personally identifiable human participant data, and trade secrets.

[15] Dispute Redressal and Resolution

These are broad policy guidelines and principles, which shall evolve in due course of time. The spirit holds greater importance than words and sentences. All cases of lack of clarity on any issue, or any ambiguity, or subjectivity in interpretation, must be reported to the university, whose decision will be final and binding. The Vice Chancellor may, at any point of time, call for its amendment or revision as deemed appropriate.

Doon University Ph.D. Degree Regulations

{In supersession of the former Ph.D. Regulations}

In exercise of the powers conferred by Section 24 and Section 25 of Doon University Act, and Section 42 and 43 of the Statutes enacted under the said Act and in supersession of the former Ph.D. regulations, the Academic Council of Doon University hereby approves the following Regulations [which are in conformity with UGC (Minimum Standards and Procedure for Award of Ph.D. Degrees) Regulations, 2022, and amendments/clarifications made therein], namely:-

[1] Definitions: 

1.1.    "Applicant" shall mean an individual who applies for admission to the Ph.D. programme of Doon University Dehradun on a prescribed Application Form.

1.2.    "University" shall mean the Doon University Dehradun.

1.3.    "AAC" shall mean Academic Advisory Committee of the concerned Department or School. 

1.4.    "AC" shall mean Academic Council of Doon University

1.5.    "VC" shall mean the Vice-Chancellor of Doon University

1.6.    "Student" shall mean a person registered for the Ph.D. Degree and who has successfully completed the pre-Ph.D. course requirement, and submitted an approved research plan.

1.7.    "Candidate" shall mean a person registered for the Ph.D. degree prior to becoming a student.

1.8.    "Guide/Research Supervisor" shall mean a member of the academic staff of the University approved by AAC or Department/School to guide/supervise the research/academic work of the student/candidate.

1.9.    "Caretaker Supervisor" shall mean a member of the academic staff appointed to look after the candidate's/student’s research interests in the absence of the Supervisor or under extraordinary circumstances mentioned under Clause 6 of these regulations.

1.10.   “Programme” means a higher education programme pursued for a degree

1.11.   “Course” means one of the specified units which go to comprise a programme of study; 

1.12.   "Course Work" shall mean courses of study prescribed by the Department/School to be undertaken by a candidate registered for the Ph.D. Degree.

1.13.   "SRAC" shall mean Student’s Research Advisory Committee. The ‘DRCs’ constituted for the Ph.D. students enrolled before the date of notification of these regulations will be treated as ‘SRAC’. The term DRC, used in any matter under the previous regulations will be considered as SRAC. 

1.14.   "Degree" shall mean the Degree of Doctor of Philosophy (Ph.D.) of the Doon University Dehradun.

1.15.   "Registration Period" shall mean the length of time span commencing with the date of initial registration/enrollment (i.e., the date of fee-deposition) at the University.

1.16.   "Residency" shall mean the minimum period for which a student/candidate must attend the University on full-time basis.

1.17.   "Educational Institution" shall mean those colleges which offer Bachelor's Degree or higher.

1.18.   "Full-time Research Student/Candidate" shall mean a person registered for the Ph.D. Degree devoting full time for completing the degree requirements.

1.19.   "Joint Supervisor" shall mean an additional supervisor approved by the authorized body of the University under extraordinary circumstances (mentioned under Clause 6 of these regulations) to help the student/candidate in the accomplishment of the research work.

1.20.   “Adjunct Faculty” means a part-time or contingent instructor, but not full-time faculty member hired to teach by the University; 

1.21. “Cumulative Grade Point Average (CGPA)” means a measure of the overall cumulative performance of a student over all semesters. The CGPA is the ratio of total credit points secured by a student in various courses in all semesters and the sum of the total credits of all courses in all semesters. It is expressed up to two decimal places; 

1.22.   “Credit” means the number of hours of instruction required per week over the duration of a semester. A three-credit course in a semester means three one-hour lectures per week, with each one-hour lecture counted as one credit; 

1.23.   “External examiner” means an academician/researcher with published research work who is not part of Doon University where the Ph.D. scholar has registered for the Ph.D. programme; 

1.24.   “Foreign Educational Institution” means–(i) an institution duly established or incorporated in its home country and offering educational programmes at the undergraduate, postgraduate and higher levels in its home country and (ii) which offers programme(s) of study leading to the award of a degree through conventional face-to-face mode, but excluding distance, online, ODL mode; 

1.25.   “Grade Point” means a numerical weight allotted to each letter grade on a 10-point scale; 

1.26.   “Higher Educational Institution” means a university or institution specified under clause 2 of Regulation 1 of UGC (Minimum Standards and Procedures for Award of Ph.D. Degree) Regulations, 2022.

1.27.   “Interdisciplinary Research” means research conducted by a Ph.D. scholar in two or more academic disciplines; 

1.28.   “Open and Distance Learning Mode” shall have the same meaning as defined under the UGC (Open and Distance Learning Programmes and Online Programmes) Regulations 2020; 

1.29.   “Online Mode” shall have the same meaning as defined under the UGC (Open and Distance Learning Programmes and Online Programmes) Regulations 2020; 

1.30.   “Plagiarism” means the practice of taking someone else’s work or idea and passing them as one’s own; 

1.31.   “Prospectus” means any document, whether in print or otherwise, issued for providing fair and transparent information relating to Doon University and programmes, to the general public (including to those seeking admission); 

1.32.   “Research Proposal” means a brief write-up giving an outline of the proposed research work which the Ph.D. scholar shall submit along with the application for confirmation of registration in Ph.D. programme; 

[2]     Eligibility Criteria for Admission to Ph.D. Programme: 

The following are eligible to seek admission to the Ph.D. programme:

2.1.    Candidates who have completed a 1-year/2-semester master's degree programme after a 4-year/8-semester bachelor’s degree programme or a 2-year/4-semester master’s degree programme after a 3-year bachelor’s degree programme or qualifications declared equivalent to the master’s degree by the corresponding statutory regulatory body, with at least 55% marks in aggregate or its equivalent grade in a point scale wherever grading system is followed.

A relaxation of 5% marks or its equivalent grade may be allowed for those belonging to SC/ST/OBC (non-creamy layer)/Differently-Abled, Economically Weaker Section (EWS) and other categories of candidates as per the decision of the Commission from time to time. 

2.2.    Candidates who have completed an equivalent qualification (as mentioned in clause 2.1) from a foreign educational institution accredited 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 to assess, accredit or assure quality and standards of the educational institution. 

A relaxation of 5% marks or its equivalent grade may be allowed for those belonging to SC/ST/OBC (non-creamy layer)/Differently-Abled, Economically Weaker Section (EWS) and other categories of candidates as per the decision of the Commission from time to time. 

2.3.    Candidates who have completed a 4-year/8-semester bachelor’s degree programme with a minimum of 75% marks in aggregate or its equivalent grade on a point scale wherever the grading system is followed. 

A relaxation of 5% marks or its equivalent grade may be allowed for those belonging to SC/ST/OBC (non-creamy layer)/Differently-Abled, Economically Weaker Section (EWS) and other categories of candidates as per the decision of the Commission from time to time. 

2.4.    Candidates who have completed the M.Phil. programme with at least 55% marks in aggregate or its equivalent grade in a point scale wherever grading system is followed or equivalent qualification from a foreign educational institution accredited 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 to assess, accredit or assure quality and standards of educational institutions, shall be eligible for admission to the Ph.D. programme. 

A relaxation of 5% marks or its equivalent grade may be allowed for those belonging to SC/ST/OBC (non-creamy layer)/Differently-Abled, Economically Weaker Section (EWS) and other categories of candidates as per the decision of the Commission from time to time.

[3]     Duration of the Programme: 

3.1.    Ph.D. programme shall be for a minimum duration of three years (including course work) and a maximum of six years from the date of admission to the Ph.D. program.

3.2.    A maximum of an additional two (2) years can be given through a process of re-registration as per the Statute/Ordinance of the University; provided, however, that the total period for completion of a Ph.D. programme will not exceed eight (8) years from the date of admission in the Ph.D. programme. 

3.3.    In case of female Ph.D. scholars and Persons with Disabilities (having more than 40% disability), an additional relaxation of two (2) years may be granted on the recommendation of SRAC (Student Research Advisory Committee) if it appears that the candidate is having genuine ground for extension and has expressed dedication and commitment to research activities during the preceding 06 years. However, the total period for completion of a Ph.D. programme in such cases will not exceed ten (10) years from the date of admission in the Ph.D. programme. For the period of extension and leaves, the student will pay the fee. 

3.4.    Female Ph.D. Scholars may be provided Maternity Leave/Child Care Leave for up to 240 days in the entire duration of the Ph.D. programme. For the period of extension and leaves, the student will pay the fee.

3.5.    Extension beyond the aforementioned limits will be governed by the relevant clauses as stipulated in the amendments or notifications (issued by the UGC from time to time) and/or the resolutions of the Academic Council of the university in this context.

3.6.    All Ph.D. scholars, irrespective of discipline, shall be required to train in teaching /education /pedagogy/writing related to their chosen Ph.D. subject during their doctoral period. Ph.D. scholars may also be assigned 4-6 hours per week of teaching/research assistantship for conducting tutorial or laboratory work and evaluations. 

[4]     Procedure for Admission

4.1.    The University shall decide on an annual basis through its departments and schools the number of candidates to be admitted depending on the number of available Research Supervisors for every department and school, keeping in mind the norms regarding the scholar- teacher ratio (as prescribed by UGC in its regulations).

4.2.    The University will notify well in advance on the website and/or through advertisement in newspapers, and/or through the mode prescribed by UGC in its regulations (issued or amended from time to time) the number of seats for admission, subject/discipline-wise distribution of available seats, criteria for admission, procedure for admission, examination centre(s) where entrance test(s) shall be conducted and all other relevant information for the ease of the candidates.

4.3.    The admission shall be based on the criteria notified by the University, keeping in view the guidelines/norms in this regard issued by the UGC and/or Academic Council of the university, and taking into account the reservation policy of the Central/State Government from time to time. The university will adhere to the State-level reservation policy, as applicable. 

4.4.    The University will admit the students through an Entrance Test conducted once in a year at the university level. 

4.5.    University will invite the applications from the interested individuals either offline (duly signed original copy) or online in a prescribed format (approved by the Academic Council or the concerned body such as admission committee) for the entrance test as notified. 

4.6.    The University will have separate mode for Ph.D. Entrance Test for the following categories of candidates:

(4.6.1.) Those who have qualified UGC-NET (including JRF)

(4.6.2.) Those who have qualified UGC-CSIR NET (including JRF)

(4.6.3.) Those who have qualified SLET

(4.6.4.) Those who have qualified GATE

(4.6.5.) Those who are teacher fellowship holders

(4.6.6.) Those who are regular appointed teachers of the university.

(4.6.7.) Those who are international students.

For the candidates of such categories, it will not be necessary to appear in written component of entrance examination. They will be called upon for the interview directly along with those, who will qualify the written entrance examination as elaborated in the succeeding paragraphs. 

4.7.    As mentioned under UGC Regulations 2022, the university will admit candidates by a two-stage process through: 

4.7.1.  Students who have secured minimum 50 % marks in the written entrance test will be eligible to be called for the interview. A relaxation of 5 % marks will be allowed in the entrance examination for the candidates belonging to SC/ST/OBC/differently-abled category, Economically Weaker Section (EWS), and other categories of candidates as per the decision of the Commission from time to time.

4.7.2.   The syllabus of this Entrance Test shall consist of two components: (A) 50% of research methodology and (B) 50% shall be subject specific. Part A will have 35 questions and part B will also have the same number of questions. All the questions will be multiple choice questions (MCQ). Each question will carry one (01) marks. There shall not be any negative marking for wrong answer of any question. Duration of the entrance test shall be two hours. The research methodology component may be common or uncommon for all the disciplines or subjects. If research methodology component is common for all the subjects, Vice-chancellor will constitute a committee having experts (internal and/or external) from all the disciplines (in which students will be admitted in Ph.D. programme) to moderate the question paper of research methodology. For setting-up the question paper for remaining 50% subject specific component, Vice Chancellor or the admission committee on the approval of the Vice-Chancellor, may invite external experts to submit the questions in a completely confidential manner.

4.7.3.   The Entrance Test shall be conducted at the Centre(s) notified in advance (changes of Centres, if any, also to be notified well in advance) at the level of the University.  

4.7.4.  An interview/viva-voce will be organized at the concerned schools or departments for both categories of candidates (i) who have qualified written component of entrance examination (ii) those who are exempted. During this interview/viva-voce, the candidates will be required to discuss their research interest/area through a presentation before the ‘Interview/Viva-Voce Committee’ of the Department. Constitution of this committee including chairperson and/or convenor and members will be finalized and/or approved by the AAC. AAC will ensure that all such Assistant Professors, Associate Professors or Professors of the Department/School, who are eligible to supervise Ph.D. students and/or will be appointed/designated as supervisors for the newly admitted students will be the member of this interview committee by default. 

4.8.    The university may decide the number of eligible students to be called for an interview based on the number of Ph.D. seats available. 

4.9.    The interview/viva voce shall also consider the following aspects, viz. whether: 

4.9.1.   the candidate possesses the competence for the proposed research; 

4.9.2.  the research work can be suitably undertaken at the department/school; 

4.9.3.  the proposed area of research can contribute to new/additional knowledge.

          The following format will be used to assess the performance of each candidate:

4.10.   For the selection of candidates based on the entrance test conducted by the university, a weightage of 70 % for the entrance test and 30 % for the performance in the interview/viva- voce shall be given. However, while preparing the final merit list of the candidates, belonging to the categories mentioned under clause 4.6 i.e., exempted from appearing in the written test, 30% of the percentage secured at UG, 40% of the percentage secured at PG, and the marks secured in the interview/viva-voce out of maximum 30 will contribute to the final merit of such candidates. 

4.11.   The University shall maintain and update the list of all the Ph.D. registered students on its website on year-wise basis. The list shall include the name of the registered candidate, topic of his/her research, name of his/her supervisor/co-supervisor, date of enrolment/registration.

4.12.   Admission of International students in Ph.D. programme:

For the admission of international students in Ph.D. programme, the University will adopt the procedure which is reported for the individuals described under section 4.6. However, the Academic Council may revise the selection procedure for such individuals keeping in view the guidelines/norms in this regard issued by statutory/regulatory bodies concerned from time to time. Each supervisor can guide up to two international research scholars on a supernumerary basis over and above the permitted number of Ph.D. scholars.

[5]     Appointment of Research Supervisor

5.1.    Only a full-time regular teacher of the University can act as a supervisor. 

5.2.    Permanent faculty members working as Professor/Associate Professor of the University with a Ph.D., and at least five research publications in the journals (prescribed by the UGC) will be recognized as eligible to be the Research Supervisor in the university. However, in the areas/disciplines where there is no or only a limited number of journals (prescribed by the UGC), the Academic Council may relax the aforementioned condition for recognition of a person as Research Supervisor with reasons recorded in writing.

5.3.    Permanent faculty members working as Assistant Professors in the University with a Ph.D., and at least three research publications in in the journals (prescribed by the UGC) will be recognized as eligible to be the Research Supervisor in the university. However, in the areas/disciplines where there is no or only a limited number of journals (prescribed by the UGC), the Academic Council may relax the aforementioned condition for recognition of a person as Research Supervisor with reasons recorded in writing. It is provided further that no teacher of a Department serving as an Assistant Professor shall be appointed as Supervisor, until and unless (s)he holds a doctoral degree and an experience of teaching at Graduate and Post- graduate level of not less than three years, including experience of not less than two years of teaching and research at the Post-Graduate level. 

5.4.    Such recognized research supervisors cannot supervise research scholars in other institutions, where they can only act as co-supervisors. Ph.D. degree will not be awarded by the university under the supervision of a faculty member who is not an employee of the university.

5.5.    In case of teachers, appointed under UGC-Faculty Recharge Programme (FRP), Vice Chancellor will consider and provide the approval for their appointment as Ph.D. supervisors preferably before the advertisement of vacancies in the Ph.D. program. Vice Chancellor may not allow such a teacher if his/her post-doctoral research and/or teaching experience is less than three years and (s)he has not published a minimum 08 publications in international journals of high repute or the journals listed in UGC’s CARE list. In addition, such a teacher shall also give an undertaking that (s)he would complete his tenure at Doon University.

5.6.    No supervisor shall be a relative of the candidate.

5.7.    The appointment of Research Supervisor for a selected Ph.D. student shall be decided by the Academic Advisory Committee (AAC) depending on the number of Ph.D. students per Research Supervisor, the available specialization among the supervisors and research interests of the candidate. 

5.8.    The external supervisors shall not be allowed. However, in case of topics which are of inter-disciplinary nature where the AAC feels that the expertise in the field is to be supplemented from outside, the AAC 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/ School/University on such terms and conditions as may be specified and agreed upon by the consenting Institution/University/Research Laboratory of national repute. Co supervisor will not be appointed within the same department. Co-supervisor will not be in blood relation or close relation with the supervisor and/or Ph.D. student. Appointment of co-supervisor shall take place with the mandatory approval of the Academic Advisory Committee (AAC). The Registrar or the office authorized by the Vice-Chancellor will be informed immediately after the appointment of the co-supervisor. No person shall be recommended for appointment as Co-Supervisor, except if (s)he is a serving Professor, Associate or Assistant Professor thereof Emeritus Professor/Scientist of National Laboratories/ National Institute not below the rank of Scientist E or teacher appointed under FRP (UGC). In case of teachers, appointed under UGC-Faculty Recharge Programme (FRP), Vice Chancellor will consider and provide the approval for their appointment as co-supervisors. Vice Chancellor may not allow such a teacher if his/her post-doctoral research and/or teaching experience is less than three years and (s)he has not published a minimum 05 publications in international journals of high repute or the journals (prescribed by the UGC). In addition, such a teacher shall also give an undertaking that (s)he would complete his tenure at Doon University.

5.9.    Adjunct Faculty members shall not act as Research Supervisors. They can only act as co-supervisors.

5.10.   Appointment of any Co-supervisor(s) would not be made after a lapse of 18 calendar months from the date of initial registration of the Ph.D. student/candidate except when none of the supervisors is in the university for a period of a year or more at a stretch.

5.11.   A Research Supervisor/Co-supervisor who is a Professor, at any given point of time, cannot guide more than Eight (08) Ph.D. students. An Associate Professor as Research Supervisor can guide up to a maximum of six (06) Ph.D. students and an Assistant Professor as Research Supervisor can guide up to a maximum of four (4) Ph.D. students. Each supervisor can guide up to two international research scholars on a supernumerary basis over and above the permitted number of Ph.D. scholars. After submission of thesis by a particular Ph.D. student, his/her seat would be considered to be vacant.

5.12.   In case of relocation of a woman Ph.D. student due to marriage or otherwise, the research data shall be allowed to be transferred to the University to which the student 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 student will however give due credit to the parent guide and the institution for the part of research already done.

5.13.   Faculty members with less than three years of service before superannuation shall not be allowed to take new research scholars under their supervision. However, such faculty members can continue to supervise Ph.D. scholars who are already registered until superannuation and as a co-supervisor after superannuation, but not after attaining the age of 70 years.

[6]     Appointment of Joint-Supervisors and/or Caretaker-Supervisor for Ph.D. Students in Extraordinary Circumstances

A faculty member, appointed as a Ph.D. supervisor, is normally expected to be available to a Ph.D. student in the University till the final viva-voce examination of thesis. However, under unavoidable circumstances (such as long leave of more than 12 months, resignation, retirement, or death), a supervisor may not be available to the Ph.D. student. In such special cases, appointment of supervisor(s) will be regulated as under:

6.1. A supervisor proceeding on long leave of more than 12 months

(a)      (i) Where Co-supervisor exists and the supervisor proceeds on long leave for more than 12 months, the co-supervisor can continue to be a supervisor provided the Student’s Research Advisory Committee (SRAC) / Academic Advisory Committee (AAC) is convinced of effective supervision by the Co-Supervisor.

(ii) Where a co-Supervisor does not exist, a Joint-Supervisor may be appointed by the Academic Advisory Committee (AAC) in cases where a Ph.D. student has not yet made his/her pre-thesis submission seminar.

(b)      (i) Provided, if the pre-thesis submission seminar has been held before the supervisor proceeds on leave, (s)he will continue to be the supervisor and only a caretaker supervisor will be appointed.

(ii) The thesis has been submitted before the supervisor proceeds on leave, (s)he will continue to be the supervisor and only a caretaker supervisor will be appointed.

(iii) Further, if a major revision becomes necessary, and the sole supervisor is on leave, (s)he should be asked to specifically state whether he would effectively help the Ph.D. student carrying out the major revisions within a reasonable time. In case the sole supervisor expresses his/her inability due to one reason or the other, the caretaker supervisor, if he provides the required help in carrying out the major revision, will automatically be treated as Joint-Supervisor (Co-supervisor) of that candidate.

(c)      Provided further, if a supervisor proceeds on leave for a period less than 12 months initially, but later extends his leave beyond 12 months, the above procedure will be followed. The extension granting authority will inform the Academic Section, the Department or School and/or the office authorized by Hon’ble Vice Chancellor accordingly.

6.2. A Supervisor retires

A faculty member who is due to retire within the next two years can be appointed as a Co-Supervisor and can continue to be the Joint-Supervisor even after his retirement provided the Student’s Research Advisory Committee (SRAC) and/or Academic Advisory Committee (AAC) is convinced of his availability/continued guidance to the Ph.D. student. 

In other cases, a faculty member on retirement may continue as (i) a Supervisor, if re-employed or appointed Emeritus Fellow; (ii) a Co-Supervisor, if the synopsis of the thesis has been submitted. Appointment of another Supervisor, if necessary, will be as caretaker Supervisor.

6.3. A Supervisor resigns

If the supervisor of a Ph.D. student resigns, a new Supervisor and/or a caretaker supervisor will be appointed by Academic Advisory Committee (AAC).

6.4. A Supervisor dies

In such circumstances, a new Supervisor will be appointed, if necessary, on the recommendation of Student’s Research Advisory Committee (SRAC) /Academic Advisory Committee (AAC).

[7]     Course Work: Credit Requirements, Number, Duration, Syllabus, Minimum Standards for Completion, Examination and Evaluation etc. 

7.1.    There shall be compulsory Pre Ph.D. course work of 14 credits for all the Ph.D. candidates admitted in Ph.D. programme of all the departments or schools of the University. The course work will include a “Research and Publication Ethics” course as notified by UGC vide D.O. No. F.1- 1/2018(Journal/CARE) in 2019 and a research methodology course. The Department or Research Advisory Committee can also recommend UGC recognized online courses as part of the credit requirements for the Ph.D. programme. 

7.2.    The duration of the course work will be six months. It shall be treated as pre-requisite for Ph.D. preparation. It will include the following types of courses:

7.3.    In the 6th month, Registrar will issue the notification mentioning about the dates upto which the end semester examinations must be conducted and the date on/or before which the award sheets must be submitted to the examination section. 

7.4.    All courses, prescribed for Pre Ph.D. course work, shall be in conformity with the credit hour instructional requirement and shall specify content, instructional and assessment methods. These shall be duly approved by the Academic Council.

7.5.    All candidates admitted to the Ph.D. Programmes shall be required to complete the course work prescribed by the Department during the initial 06 months beginning within a week after the last date of the deposition of the fee. 

7.6.    Evaluation shall be done on a continuous basis. For the purpose of uniformity in assessment and evaluation, there will be one mid semester examination (30 Marks, 02 hours), one end-semester examination (50 Marks, 03 hours) and internal assessment (20 Marks) for all the courses. Course coordinator may employ one or more assessment tools such as objective tests, assignments, presentations, laboratory work, depending on the nature of the course for the purpose of internal assessment.

7.7.    For the purpose of end semester examination, Department will provide the details of course codes, course title, syllabi of all the courses, names of the faculty members who have been assigned to undertake the courses, format of the question paper, and the names of minimum (but not limited to) three faculty members outside the university (who are able to set the question paper(s) and evaluate the answer booklets for each course) to the Coordinator of Examination or Registrar or the office authorized by the Vice-Chancellor. 

7.8.    Ph.D. candidates shall compulsorily appear in the mid semester examination, failing which they will not be allowed to appear in the end semester examination. In case of those who could not attend any of the mid semester examination due to medical reason or under extraordinary circumstances defined by examination section of Doon University, a make-up examination will be conducted in accordance with the rules of examination section. In the science or related disciplines, the end-semester examination may also include a component on laboratory-based examination. 

7.9.    A candidate, who has less than 75% attendance, will not be permitted to sit in examination. However, Vice-Chancellor in consultation with exam section may grant exemption to a candidate after becoming satisfied with the reasons/grounds presented by the one who has failed to record the prescribed 75% attendance. Such exemptions shall not be granted under any circumstances if record of attendance percentage is less than 60%. 

7.10.   A Ph.D. candidate has to obtain a minimum of 55% of marks or its equivalent grade in the UGC 7-point scale (or an equivalent grade/CGPA in a point scale wherever grading system is followed) in the course work in order to be eligible to continue in the programme and submit the thesis. 

7.11.   A candidate who has not secured a minimum of 55 percent marks in a pre-Ph.D. course will be considered to be failed. A failed candidate or the candidate, who has not completed or qualified the course work in the first semester, shall be allowed to repeat the semester examinations for a maximum of two times. 

7.12.   The percentage of marks obtained by a candidate in a course will be converted into a grade point (SGPA/CGPA) using the same criteria, existent in the university without violating UGC regulations/guidelines in the matter.

7.13.   All Ph.D. scholars, irrespective of discipline, shall be required to train in teaching /education /pedagogy/writing related to their chosen Ph.D. subject during their doctoral period. Ph.D. scholars may also be assigned 4-6 hours per week of teaching/research assistantship for conducting tutorial or laboratory work and evaluations.

[8]     Student’s Research Advisory Committee (SRAC) and Its Functions

8.1.    There shall be a Student’s Research Advisory Committee (SRAC) for each Ph.D. student. Having considered the proposal/recommendation of supervisor and the nature/field of the research problem, the Academic Advisory Committee (AAC) of the Department or the School will constitute such a committee within a period of 02 months after the enrolment of the candidates in the department. The committee will be made up of minimum (but not limited to) three members: (i) Research Supervisor, the convenor (ii) Head or the nominee of the Head belonging to the same department, and (iii) One external member outside the department or school belonging to the same/similar subject. The Research Supervisor of the student shall be the Convener of this Committee. 

8.2.    The constitution of SRAC members shall be forwarded to the Vice Chancellor through Registrar for perusal and record. 

8.3.    This Committee shall have the following responsibilities:

8.3.1.  To review the research proposal and finalize the topic of research; 

8.3.2.  To guide the Ph.D. student to develop the study design and methodology of research and identify the course(s) that (s)he may have to do. 

8.3.3.  To periodically review at least once in a every semester and assist in the progress of the research work of the Ph.D. students. 

8.3.4.   To ensure that Ph.D. scholar, irrespective of discipline, is being trained in teaching / education / pedagogy / writing related to his/her chosen Ph.D. subject during the doctoral period with his/her involvement (4-6 hours per week) in teaching/research assistantship for conducting tutorial or laboratory work and evaluations.

8.3.5.   To make minor modifications in the research proposal, if necessary, depending upon the progression of work and results of the studies.

8.3.6.   To finalize (i) the Summary of Thesis and (ii) the Title of the Thesis, before the date of pre thesis-submission presentation and communicating, if required, such changes (or the final title along with Summary of Thesis) to the appropriate authority of the university for record and/or necessary approval/notification.

8.4.    Department shall hold the meetings of Student’s Research Advisory Committees (SRAC) of all the Ph.D. students on a single day and a particular venue in the month of June for the even semester and in the month of December for the odd semester. The date will be finalized and notified by the Head or In-Charge of the Department or School. Head or In-Charge will be the coordinator for all the SRAC meetings and monitor the same carefully. At least two weeks prior to the date of SRAC meetings, Head or In-Charge will also intimate the office of the Registrar or the office authorized by the Vice-Chancellor about the date for the purpose of record/notification and other necessary action, if any. Hon’ble Vice Chancellor may also nominate a member in such meetings. 

8.5.    If it is required at the completion stage of the thesis, the supervisor may also call upon additional meeting(s) (i.e., more than once) of SRAC in a particular semester to avoid unnecessary delays. 

8.6.    The Ph.D. student shall appear before his/her SRAC in every meeting (to be held in the month of June for the even semester and in the month of December for the odd semester) to make a presentation of the progress of his/her work for evaluation and further guidance. During the presentation, the student, irrespective of discipline, shall also highlight about the mode and status of his/her training in teaching /education /pedagogy/writing (related to the chosen Ph.D. subject) through his/her involvement (4-6 hours per week) in teaching/research assistantship for conducting tutorial or laboratory work and evaluations.

8.7.    In extraordinary circumstances when it is not feasible to hold the SRAC meeting due to some unavoidable circumstance, the supervisor would seek the approval of Vice Chancellor for holding the meeting jointly with the meeting for the next semester. During such a meeting, SRAC will submit two different progress reports for different semesters.

8.8.    The six-monthly progress reports along with the recommendations of the Student’s Research Advisory Committee (SRAC) shall be submitted by the supervisor to the University’s Academic Section or Registrar Office (or some other office authorized by the Vice Chancellor) with a copy to the Ph.D. student. 

8.9.    In case the progress of the research student is unsatisfactory, the Student’s Research Advisory Committee (SRAC) shall record the reasons for the same and suggest corrective measures. If the Ph.D. student fails to implement these corrective measures, the SRAC may recommend to the University with specific reasons for cancellation of the registration of the Ph.D. student. 

[9]     Confirmation of the Registration 

9.1.    During the course work or immediately after the successful completion of the course work, the candidate will formulate a research proposal/synopsis (preferably in the prescribed proforma) in consultation with the supervisor. The said research proposal shall ordinarily be in not more than 5000 words, and shall present (i) Tentative Title, (ii) Broad Research Area, (iii) Review of the Literature, (iv) Current State of Knowledge on the Proposed Tentative Title of Research, (v) Objectives and (vi) Plan of Research, (vii) the Sources, (viii) Methodology proposed to be employed in the investigation, (ix) References and (x) such other information as may be relevant in that regard. Research supervisor will convene a meeting of Student’s Research Advisory Committee (SRAC) in which the student will make presentation about his/her topic and research proposal. The SRAC shall examine the research proposal, the application form of the student for confirmation of registration and the list of all necessary documents in the light of the provisions of these Regulations. The Student’s Research Advisory Committee (SRAC) shall consider making recommendation for granting admission to such an applicant who is, in its judgment, suitable for Registration, and also finalize the research proposal of the candidate. The recommendations of SRAC shall be forwarded to the Vice Chancellor/authorized section through Registrar for perusal and record. 

9.2.    In furtherance of the decision of the Vice Chancellor to grant admission to a candidate, the Registrar shall issue a letter of Confirmation of Registration to him/her specifying the (i) Name of his/her Supervisor, (ii) Broad Research Area (if required) and (iii) the Tentative Title of Proposed Research and (iv) Date of Confirmation of Registration. The registrar will issue such a letter in a period, ordinarily of not more than one month, within which (s)he is required to get himself/herself enrolled for the Ph.D. programme after paying the prescribed fees and completing other requisite formalities.

9.3.    For a candidate/student, his/her enrolment shall be with effect from the date of taking admission (date of deposition of fees) for the pre-Ph.D. course.

[10] Registration at the Time of Commencement of Every Semester  

10.1.   Every student/candidate will be required to renew the registration every semester till the submission of the thesis. The renewal of registration at the commencement of every new semester shall be subject to the completion of specified number of credits/courses and/or satisfactory progress in the research work in the preceding semester. Whether progress is satisfactory or unsatisfactory, it would be recommended by Student’s Research Advisory Committee (SRAC).

10.2.   Provision will be made in the software of examination section or academic section (or the office authorized by Vice-Chancellor) for registration/entry of the course entitled “Doctoral Thesis”. The title of this course will be uniform throughout all the disciplines of the university. However, different departments or schools may decide a different Course Code for this course. Every student, who has completed his course work successfully, will be registered in this course at the time of commencement of every new semester on the production of copy of satisfactory progress report of the preceding semester, signed by members of Student’s Research Advisory Committee (SRAC). For every semester, SRAC will review the progress and, in addition to mentioning whether the progress is satisfactory or unsatisfactory, may also assign the grade (Satisfactory “S” or Unsatisfactory “U”) to be given to the Ph.D. student. 

10.3.   If a student/candidate fails to register or renew due to any reason within the time frame notified by the university, his registration, as the case may be, will be cancelled with immediate effect.

[11]   Residency Period and Practices during Progression of the Research Work 

11.1.   Subject to the provisions of these Regulations/Ordinance, each student shall, upon admission and enrolment to the Ph. D. program, pursue a course of research of a duration of minimum three years. The maximum duration can be decided on the basis of Clause 3 of this Ph.D. ordinance and/or notifications or regulations issued by the UGC from time to time. For such a period, the candidate (except those who are registered in part-time mode) will be in residence at the University campus. All the registered candidates shall regularly pay the prescribed semester and other fees up to the time (s)he withdraws from his/her enrolment, or such enrolment is terminated, or (s)he duly submits his/her thesis to the University. 

11.2.   The schedule of the fees and other dues, including fees for the examination of the thesis and the viva voce examination, etc. the payment thereof, shall be laid down, from time to time, by the executive council and/or other competent authority of the university. It shall be notified by the registrar. The provisions in respect of the consequences of failure to pay such fees and other dues within the time specified for the purpose, and other conditions for the continuation or termination of the admission of the student shall be prescribed by the Academic Council.

11.3.   The registered students shall have to apply in the department and hostel (if applicable) for renewal of admission in every academic session and pay the requisite fees

11.4.   The student shall not be entitled, or permitted, to secure admission to, or continue his earlier admission in, any other degree granting courses of study or whole-time academic programme, whether in the University or in any other institution. His/her admission to the Ph. D. programme shall stand terminated at whatever stage (s)he is discovered to have been in violation of this requirement.

11.5.   The student shall, report and record his/her attendance at the concerned academic entity on all working days which shall be supervised by the research supervisor and the Head of the department. At the time of submission of the thesis, the monthly record of the attendance for the residency period would be submitted in the office, authorized by the Vice-Chancellor.

11.6.   All Ph.D. scholars, irrespective of discipline, shall be required to train in teaching /education /pedagogy/writing related to their chosen Ph.D. subject during their doctoral period. Ph.D. scholars may also be assigned 4-6 hours per week of teaching/research assistantship for conducting tutorial or laboratory work and evaluations. However, for the student holding a Fellowship/Scholarship (awarded by of the University Grants Commission, or the Council of Scientific and Industrial Research, or Department of Science and Technology, or any other national/international funding agency), their assistantship in the teaching and/or other academic work may also be the part of his/her assessment of every six-month’s progress.

11.7.   The student shall appear before his/her SRAC in every meeting (to be held in the month of June for the even semester and in the month of December for the odd semester) to make a presentation of the progress of his/her work for evaluation and further guidance. In addition to making presentations, the student shall also submit half yearly reports to the SRAC, through the supervisor, on the work done by him/her and the work (s)he proposes to do in the next semester.

11.8.   In extraordinary circumstances when it is not feasible to hold the SRAC meeting due to some unavoidable circumstance, the supervisor would seek the approval of Vice Chancellor for holding the meeting jointly with the meeting for the next semester. During such a meeting, SRAC will submit two different progress reports for different semesters.

11.9.   The six-monthly progress reports shall be submitted by the Student’s Research Advisory Committee (SRAC) along with its recommendation to the University’s Academic Section or Registrar Office (or some other office authorized by the Vice Chancellor) with a copy to the Ph.D. student. 

11.10. In case the progress of the Ph.D. student is unsatisfactory, the Student’s Research Advisory Committee (SRAC) shall record the reasons for the same and suggest corrective measures. If the Ph.D. student fails to implement these corrective measures, the SRAC may recommend to the University with specific reasons for cancellation of the registration of the Ph.D. student. 

11.11. In case the student is in default of any of the requirements specified in this clause and other provisions of these Regulations, or in case the SRAC is not satisfied with any aspect of his/her work and progress and conduct, it may, after considering such explanation as (s)he may submit through his/her supervisor in that regard, take such action as it may deem proper including a recommendation to the AC that the admission of the student be terminated.

11.12. Along with 6th progress report of the student, student’s research advisory committee (SRAC) will submit the finalized title of the thesis as well as the objectives and research plan in specific, well defined and categorical manner on the basis of (i) progress made and results achieved by the student in the preceding 06 semesters and (ii) doablity/feasibility of the remaining research work to be done by the student in the succeeding semester(s). It shall ordinarily be in not more than 5000 words, and shall present (i) Title, (ii) Specific Research Area, (iii) Review of the Relevant Literature, (iv) Current State of Knowledge on the Title of Research (v) specific and well-defined Objectives and (vi) Plan of Research, (vii) the Sources, (viii) Methodology proposed to be employed in the investigation, (ix) References and (x) such other information as may be relevant in that regard. 

11.13. The student shall be required to complete his/her research work and submit the thesis within the period (prescribed by UGC in its Regulations and/or Clause 3 of this Ph.D. ordinance) reckoned from the date of his/her enrolment in the Ph.D. programme. However, if Student’s Research Advisory Committee (SRAC) certifies that 90% research work has been completed in the maximum duration (prescribed under Clause 3 of this Ph.D. ordinance or in the period prescribed by UGC), the academic council may, after considering the recommendation of the SRAC, in a very special case and for reasons to be recorded, grant further extension of not more than 06 months. For the extended period, the student will submit the application for re-registration to the Vice-Chancellor through the Head/Dean of the School or Department. After getting the permission of re-registration, the student shall have to pay admission and other fees as determined by the University.

11.14. It is provided further that in case the student fails to submit the thesis within the period permitted for the submission of the thesis, including the periods of the extension thereof his/her admission to the Ph.D. programme shall be liable to be terminated and (s)he shall, upon such termination, forfeit all the fees and other dues paid by him/her for and during such admission. The name of a student will be removed from the rolls of the University.

11.15. Ph.D. students will aim at publishing the research articles in journals (national/international) of high repute during their Ph.D. program before the submission of the thesis for adjudication. The students who publish the research articles/papers, will be incentivized in the following manner: 

For Science Discipline:

For Social Sciences, Humanities and Other Discipline:

The student, who will publish the research articles / research papers, will produce the evidence for the same in the form of the reprints before SRAC.

[12]   Pre-Thesis-Submission Seminar       

12.1.   When the Student’s Research Advisory Committee (SRAC) has the opinion that the research work has been accomplished, and the draft of the thesis is at the final stage of writing-process, the SRAC would ascertain that the title (mentioned in the finalized research proposal) is the most appropriate title of the thesis. If SRAC members have the opinion that there is still a need for modification in the title, the modification will be made before this seminar and the modified title will be communicated to the office of the Registrar or Academic Section or the office authorized by the Vice-Chancellor for record and/or notification. At a later stage, no change in the title would be allowed. 

12.2.   Student’s Research Advisory Committee (SRAC) will recommend a particular date and time for holding pre-thesis-submission seminar of the student. This seminar would be held at least one month prior to the pre-submission of the thesis. After the recommendation of the SRAC, the supervisor shall issue the notice of the seminar (countersigned by the Head or Dean or endorsed through email) with intimation to the Registrar or Academic Section or the office authorized by the Vice-Chancellor. During this seminar, the student shall give a preliminary presentation on his/her research findings. 

12.3.   This presentation will be made in the Department before the Student’s Research Advisory Committee (SRAC). This presentation will also be open to all faculty members and other Ph.D. students. In this meeting and presentation, SRAC would do the following:

12.3.1. SRAC will assess the magnitude of the research-work done and objectives achieved.

12.3.2. SRAC would ensure that the Ph.D. student, who is submitting his/her thesis before the stage of 06 months before the completion of the maximum period recommended by UGC for the Ph.D. program, have published a minimum of 02 research articles in accordance with preceding clause 11.15 of these regulations. 

12.3.3. SRAC will go through the official records to ensure that Ph.D. scholar, irrespective of discipline, has been trained in teaching /education /pedagogy/writing related to their chosen Ph.D. subject during the doctoral period. 

12.3.4. SRAC will peruse the official records produced by the Supervisor and or the student/scholar, if (s)he has also been assigned 4-6 hours per week of teaching/research assistantship for conducting tutorial or laboratory work and evaluations. 

12.3.5. SRAC would also ensure that the Ph.D. student meets all the criteria for submission of the thesis. 

12.3.6. All the SRAC members will make a unanimous recommendation in a clear, categorical and specific manner on a standard and prescribed format in triplicate. All the three copies will be signed by all the members of SRAC. If some member(s) are connected in online mode, they will send their recommendation and comments, if any, via E-Mail to research supervisor (convener of SRAC). One copy of such report/recommendation, signed by all the members, shall be forwarded to the Academic Section, one copy to the Registrar’s office or the office authorized by the Vice Chancellor and the third copy to AAC (Academic Advisory Committee) for the record and/or perusal.

12.3.7. SRAC shall also finalize and approve the Summary of Thesis. The said summary may also be termed as Synopsis of Thesis, only if it is required for some essential and specific purpose. The SRAC would also ensure that the Summary of Thesis includes (but not limited to) the final as well as the most appropriate title of the thesis, a very brief introduction, objectives, chapter-wise results in the shortest form, conclusions and list of publications. A minimum of five duly signed copies of Summary of Thesis will be prepared. If some member(s) are connected in online mode, they will send their approval on the finalized Summary of Thesis via E-Mail to research supervisor.

12.4.   The feedback and comments obtained from those who attend pre-thesis-submission seminar will be suitably incorporated into the draft of the thesis in consultation with the Student’s Research Advisory Committee (SRAC).

[13]   Submission of Thesis     

13.1.   A Ph.D. student shall submit four soft-bound copies and electronic version (PDF) of the thesis, typed in the format prescribed by the academic council of the university. 

13.2.   The Ph.D. student shall enclose the documents (in the form of presentation certificates and/or reprints of published articles) in the form of the last pages of the thesis.

13.3.   While submitting for evaluation, the thesis shall have an undertaking from the Ph.D. student and a certificate from the Research Supervisor attesting to the originality of the work, vouching that there is no plagiarism and that the work has not been submitted for the award of any other degree/diploma of the same university where the work was carried out, or to any other Institution/university. The certificate or statement on the certificate, vouching that there is no plagiarism and no violation of copyright regulation, must be based on the report generated using well-developed software and gadgets (prescribed by the academic council and/or UGC for detection of plagiarism and other forms of academic dishonesty). 

13.4    The thesis shall include a certificate from the supervisor to the effect, inter alia, that the recommendation made by the committee have suitably been incorporated and a declaration that the thesis incorporates the students’ bonafide research and that the findings have not been submitted for the award of any degree/diploma in this or any other university or institute.

13.5    The application for submission of thesis shall be countersigned by the Dean/Head of the Department or School. The SRAC will then forward the Thesis along with Summary of Thesis to the Academic Section or the Registrar office or the office authorized by the vice chancellor, through the Dean/Head of the concerned School/Department for further action.

ENCOMIUM: Doon University Incentivization Policy

Doon University supports and promotes the research activities of the faculty members who continuously strive to elevate the research credentials and achievements of the University. There may be some or many faculty members whose academic credentials and achievements are recognized (in the form of awards/rewards/medals/certificates) at the state, national and international forums. For the official appreciation of such faculty members, Doon University, in addition to its other research promotion schemes, has the policy entitled “Encomium”. Encomium has the provision to honor such awardees with the following at a some of the official university functions/programmes: 

[1] Announcement in the Newsletter and Website

[2] Certificate of Honor and Commendation

[3] Monetary Incentive of Rs. 5000/−

[4] Medal

Eligibility Criteria:

[1] The awardee should be a permanent faculty of Doon University.

[2] Award must belong to the category of study leave awards for visiting some foreign country, research leave award for visiting some foreign country, fellowships, research awards with monetary and promotional benefits.

[3] The forum which has declared the faculty member as the awardee must be recognized at state level, national level and/or international level. 

OR

The forum (which has declared the faculty member to be the awardee) must be some Government or Government- recognized body with a track record of at least 5 years.

[4] The Award or recommendation for the award should be competitive and result of assessment of merits of all those who have applied or been nominated in some open-to-all call or open advertisement.

[5] Awards that are local in nature (e.g., awards granted by some urban local bodies/Panchayat or intra and inter university / institution awards etc.) will not be considered under “Encomium”. 

[6] Participation / presentation certificates – during paper presentation will not be considered under “Encomium” until and unless there is something extraordinary factor is involved in such awards.

[7] Awards (given by someone in his/her individual capacity) will not be considered under “Encomium”.

Selection Procedure: 

[1] Awardees will apply on the prescribed format for Application for “Encomium”. This format is given below. 

[2] The last date for filing the application will be 30th June of every year. 

[3] Hon’ble Vice Chancellor will constitute a committee which will have the following members:

[a] Director, Internal Quality Assurance Cell (IQAC)

[b] Director/Convener/Coordinator, Research Cell

[c] Dean, Academics (if any)

[d] One Senior and Renowned Academician (nominated by Hon’ble Vice-Chancellor and not belonging to the University)

[e] One Vice Chancellor’s Nominee

[4] The committee will scrutinize all the applications and make its recommendation to the Hon’ble Vice Chancellor by 10th of August of every year. 

[5] If the committee rejects some applications, the members will cite/mention the reason in the light of guidelines of ‘Encomium’. The committee will avoid to reject some application arbitrarily. 

[6] Hon’ble Vice-Chancellor may also reject some of the recommendations of the committee on the basis of the reasons to be cited specifically in the light of guidelines of ‘Encomium’.

Format for Application for ENCOMIUM

[1] Name of the Faculty Member:

[2] Name of the Award/ Fellowship/ Recognition:

[3] Name of Agency (provide website details or authentic documents):

[4] Details of the Nature of the Award/Fellowship/ Recognition:

[5] Details of Citation/Certificate:

[6] Details of Monetary Value:

[7] Other Related Details (if any): 

Signature of Faculty member                                         Signature and Seal of HOD

Note: Please attach copy of certificate with details of advertisement.

Doon University Consultancy Policy 2021

[1] Preamble

Academicians and researchers of the universities share their knowledge and expertise with business houses, corporate and other external agencies through the channel of consultancy. The contribution of consultancy to the growth, development and productive relationships with such organizations is unambiguous. Consultancy activities in Doon University may be associated with contractual relationships, including research, service contracts etc. with government non-government organizations in lieu of a fee. The university, therefore, encourages its faculty and staff to engage in consultancy wherever appropriate, and in a manner that is in conformity with their service agreement with the university.

[2] Purpose

This policy document is intended to lay down the norms for undertaking consultancy work by the faculty and staff and its facilitation in accordance with the University's rules and procedures.

[3] Definitions and Scope

Consultancy is a work of a professional nature, undertaken by members of university in their field of expertise, for clients/agencies outside the institution, for which some financial return is obtained. Consultancy will produce some form of contracted output which may be partly or wholly owned by the client. It will be governed by short-term contracts while making minimal use of university’s resources. It would be an additional management responsibility for the university, and would involve extra work for the university’s staff. Therefore, the university will charge a part of the consultancy fee from the member of the university who is engaged in consultancy.

Consultancy for organizations owned by a faculty or staff or an organization in which a faculty or staff may have interest or stake are also included within the scope of this policy document.

[4] Exclusions

This consultancy policy does not apply to the activities intended for furtherance of scholarship or general dissemination of knowledge or general enhancement of intellectual level of the society at large. Such activities, among others, would be:

[4.1] External examinership

[4.2] Lectures and conference presentations

[4.3] Editorship of academic journals or the publication of academic articles

[4.4] Royalties from authorship and publication of books

[4.5] Professional arts performances

[4.6] Charitable services

[4.7] Any other as decided by the Vice Chancellor

[5] Duration of Consultancy

[5.1] The total time invested by some faculty member in consultancy activity must not be higher than the maximum number of duty leaves which Hon’ble Vice-Chancellor or the competent authority can sanction as per rules. At present, this number is 30 days. In special cases, the Competent authority can sanction the number of consultancy days upto a maximum period of 60 days. The days, invested by the faculty member in consultancy activities, will be considered and counted as the duty leaves. For special cases, a prior permission has to be taken from the Vice Chancellor.

[5.2] The duration of any consultancy activity will be limited to that mentioned in the approved agreement.

[5.3] Any extension of consultancy work would require prior permission of the Vice Chancellor.

[5.4]. A financial budget of the consultancy (offered/provided by the funding agency/client) shall be approved by the Vice Chancellor.

[6] Approval of Consultancy Activity

All consultancy proposals have to be submitted to the Vice Chancellor, through proper channel for prior approval, who will have the sole right to make the decision to accept or decline the proposal.

[7] Conflict of Interest

[7.1] Engagement in consultancies must not create any perceived or actual conflict of interest.

[7.2] Conflict of interest, if any, must be immediately reported to the Vice Chancellor.

[7.3] A conflict of interest shall be considered as a case where an employee engages in consultancy at the expense of the interests of university as defined by the Vice Chancellor. It should also not affect the University’s work of the person who is engaged in consultancy work.

[7.4] Conflict of interest will be there if faculty member/staff is engaged in any such kind of consultancy which is against state, university, or nation in any manner. In such cases, the interpretation made by the office of the competent authority will prevail. 

[8] Income Distribution

[8.1] If the university incurs a cost for allowing the consultancy, it will be deducted by the university from gross income from consultancy before splitting the net income between the consultancy provider and the university.

[8.2] The member/department of university providing consultancy would be entitled to retain 70% share of the amount of the consultancy fee, while the university will retain 30% of the net income.  

[8.3] If the gross income from a consultancy work is below a certain amount in  any financial year, then the university may lower/forego its part and residual income will be retained by the consultancy provider. This amount will be notified by the university and may be revised from time to time.

[8.4] The income earned by any individual from consultancy will be taxable as per the rules of Government of India.

[8.5] All financial transactions related to consultancy will be cashless through bank transfer to/from appropriate university account. The university will make the appropriate payment to the consultancy provider as per rules.

[9] Code of Conduct

[9.1] The conduct of the employee during the consultancy work must conform to the prestige and reputation of the university. The university will be entitled to take disciplinary action against its employee for any misconduct during the consultancy.

[9.2] Original copies of all documents related to all consultancy services undertaken by its employee must be in possession of the university for allowing appropriate processing for financial accounting and audit purposes.

[9.3] The clients receiving consultancy services would not be entitled to use the university name, logo etc. in any form without prior permission of the Vice Chancellor.

[10] Dispute Redressal and Resolution

All cases of lack of clarity on any issue, or any ambiguity, or subjectivity in interpretation, must be reported to the Vice Chancellor, whose decision will be final and binding. The Vice Chancellor may, at any point of time, call for amendment or revision of this policy document as deemed appropriate. Any violation of the above policy shall be dealt with as per university rules.

STIMULUS

(Scheme for Seed Money)

Research and Development (R&D) is an integral and important part of Doon University. As an initiative of promoting quality research and encouraging potential researchers, the university will have the scheme entitled ‘STIMULUS’. 

Under the scheme entitled “STIMULUS”, seed money will be provided to the faculty members. Availability of the funds will be made either by utilizing a part of overhead grants of sanctioned projects or by utilizing the University funds. The university will provide the ‘STIMULUS’ grant in the following two forms:

As “Stimulus”, seed money will be for the young faculty-members of the university. Faculty members will be eligible to apply for this grant when their age is less than 48 years. The seed money will be a small amount of funds with which the young researcher can start/ conceptualize a new project. Faculty member will utilize this grant for initiating a project under following categories:

Category I :

To initiate a future project from an already sanctioned and funded project by some government/ non-government agency

In this case, the University will provide 60% of the overhead amount sanctioned under the current project to the Principal Investigator (PI). The PI can utilize this amount for creating required infrastructure facility in lab or procure other required facilities/items (permanent/consumables/ services) necessary for smooth start and running of a pilot study. 

Category II:

To conceptualize a project to be applied for funding from some government/ non-government agency

If some of the faculty members require small funds for executing some experiment/ survey/ other activity, which they feel necessary before finalizing their future project, regardless of whether they currently have funded projects or not, will be covered under this category. The maximum amount of seed money sanctioned under this category will be Rs. 30,000/- (Rupees Thirty Thousand Only). In this category a faculty member has to apply on the format provided in the following prescribed format for Application for Stimulus. If required Hon’ble Vice-Chancellor may direct the research cell to use different formats for different subject.

Eligibility Criteria: 

[1] For applying under category I, the faculty member must have or completed a sanctioned project with overhead amount.

[2] For applying under Category II, the eligibility criteria will be as follows:

(2.1) Only Associate professors/ Assistant Professors can apply for the seed money under category II.

(2.2) Out of total slots of seed money available, only 25% slots will be available to Associate Professors in an academic year.

(2.3) Such applicants (among those who belong to Science or Technology) will be given preference who have published minimum 05 research publications in SCI indexed journals.

(2.4) Such applicants (among those who belong to the subjects/fields other than Science or Technology) will be given preference who have published minimum 03 research publications in SCOPUS/WoS indexed or UGC CARE List journals. 

(2.5) If the number of stimulus grants to be given are limited, the applicants who has smaller service length will be given preference.

Release of ‘STIMULUS’ grant:

[1] 75% of the grant will be released after getting assessment report of an expert committee constituted by Hon’ble Vice Chancellor or Research Advisory Council (RAC).

[2] Remaining 25% of the grant will be released after submission of the final report and deliverables to Research Cell.

Selection Procedure: 

[1] A committee of following members will be there:

[1.1] Director, IQAC

[1.2] Director/Convener/Coordinator, Research Cell

[1.3] Head/In-Charge of the concerned Department

[1.4] One external expert of concerned subject (Professor, Scientist F or G or Equivalent) of reputed academic or research institution

[2] The aforementioned committee will scrutinize the projects and send recommendation to Hon’ble Vice Chancellor, after a presentation made by all the applicants on tri-monthly basis (i.e., on last Saturday of July, October, January, and April month).

[3] Hon’ble Vice Chancellor may accept or reject the recommendation. However, in case, Hon’ble Vice-Chancellor decides to reject the recommendation, he / she will mention the tenable reason in the light of the policy.

Format for Application for STIMULUS

[1] Name & Designation of the Faculty Member:

[2] Name of the collaborating Agency/ Institution/ organization:

[3] Private/Govt. sector:

[4] No.of Hours involved:

[5] Remunerative/Non-Remunerative:

[6] Origin of the problem

[7] Objectives

[8] Methodology

[9] Break up of funds

[10] Expected outcome

[11] Deliverables

Signature of Faculty Member                                                   Signature and Seal of the HoD