SAVITRIBAI PHULE PUNE UNIVERSITY

SAVITRIBAI PHULE PUNE

UNIVERSITY

(Formerly

University

of Pune)

CIRCULAR

NO.

,+I2OI7

ORDER

WHEREAS the University Grants

Commission has

prescribed

UGC

(Minimum

Standards and Procedure for

Award of M.Phil./Ph.D.

Degrees)

Regulations,2016

in supersession of the UGC

(Minimum

Standards

and Procedure

for Award of

M.Phil/Ph.D. Degrees) Regulations,2009;

AND WHEREAS

the conditions under

which

students

are

be admitted to

courses/programmes

are required to

prescribed

the Ordinance

and therefore,

is expedient

prescribe

minimum standards

and

procedure

for award

M.Phil./Ph.D.

degrees

by Ordinance;

AND WHEREAS

the

Academic

Council

of the

University, in

its meeting

held

on 29th

November, 2016

has

approved the

draft

of the

Ordinance

prescribing

minimum standards

and

procedure

for

award of M.Phil./Ph.D.

degrees

for

University

Departments,

Research

Centres at affiliated colleges

and recognised

institutions

and

recognized

research

institutions, as

per

the UGC

(Minimum

Standards

and

Procedure

for Award of M.Phil./Ph.D.

Degrees)

Regulations, 2016;

AND

WHEREAS

it will take considerable

time

to make the

Ordinance in this

regard as

per

the

provisions

Section

54 of the

Maharashtra

Universities

Act,

1994;

THEREFORE, I,

Dr.

Wasudeo N.

Gade,

Vice-Chancellor

the

Savitribai

Phule

Pune

University, by and under the

power

vested

in me

under

Sub-section

8 of

Section 14

of the Maharashtra

Universities Act,

1994,

hereby issue

the following

directives:

l. The

minimum

standards and

procedure

for award

of M. Phil./Ph.D.

degrees

prescribed

in the

Annexure shall

applicable

from

the academic

year

!016-17

and

onwards;

This

Order

shall

be applicable

to the University

Departments,

Research

Centres at

affiliated colleges

and

recognized institutions

and recognized

research

institutions

the University.

This Order

shall

remain

foroe

till the

Ordinance in

force.

Ref. No.: PGS/144

Date: 0910112017

this

regard

-comes

(Dr.

Vice-Chancellor

Page 1

ANNEXURE

STANDARDS AND PROCEDURE FOR AWARD OF M.PHIL. AND

PH.D. DEGREES

1. Eligibility criteria for admission to the M.Phil. programme:

1.1. Candidates for admission to the M.Phil. programme shall have a Master's

degree or a professional degree declared equivalent to the Master’s degree

by the corresponding statutory regulatory body, with at least 55% marks in

aggregate or its equivalent grade 'B' in the UGC 7-point scale (or an

equivalent grade in a point scale wherever grading system is followed) or

an equivalent degree 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 for the

purpose of assessing, accrediting or assuring quality and standards of

educational institutions.

1.2. A relaxation of 5% of marks, from 55% to 50%, or an equivalent relaxation

of grade, shall be allowed for those belonging to reserved

categories/Differently-Abled and other categories of candidates as per

policies of the Government of Maharashtra prescribed from time to time, or

for those who had obtained their Master's degree prior to 19

September,

1991. The eligibility marks of 55% (or an equivalent grade in a point scale

wherever grading system is followed) and the relaxation of 5% to the

categories mentioned above are permissible based only on the qualifying

marks without including the grace mark procedures.

2. Eligibility criteria for admission to Ph.D. programme:

Subject to the conditions stipulated in this Annexure, the following persons are eligible

to seek admission to the Ph.D. programme:

2.1. Master’s Degree holders satisfying the criteria stipulated under Clause 1

above.

2.2. Candidates who have cleared the M.Phil. course work with at least 55%

marks in aggregate or its equivalent grade 'B' in the UGC 7-point scale (or

an equivalent grade in a point scale wherever grading system is followed)

and successfully completing the M.Phil. Degree shall be eligible to proceed

to do research work leading to the Ph. D. Degree in the same institution in

an integrated programme. A relaxation of 5% of marks, from 55% to 50%,

or an equivalent relaxation of grade, shall be allowed for those belonging to

reserved categories/Differently-Abled and other categories of candidates as

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per policies of the Government of Maharashtra prescribed from time to

time.

2.3. A person whose M.Phil. dissertation has been evaluated and the viva voce

is pending may be admitted to the Ph.D. programme of the same institution.

2.4. Candidates possessing a Degree considered equivalent to M.Phil. Degree of

an Indian institution, 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 for the

purpose of assessing, accrediting or assuring quality and standards of

educational institutions.

3. Duration of the Programme:

3.1. M.Phil. programme shall be of a minimum duration of two consecutive

semesters/ one year and a maximum of four consecutive semesters / two

years.

3.2. Ph.D. programme shall be of a minimum duration of three years, including

course work and a maximum of six years.

3.3. Extension up to a maximum period of two semesters/one year for M. Phil.

and a maximum period of four semesters/two years for Ph.D. shall be given

by the Research and Recognition Committee concerned on the

recommendation of the Research Advisory Committee. The candidate

concerned shall submit the application in prescribed format for extension

through his Research Supervisor and Head of the Place of Research (Head

of the University Department/Principal or Director of the recognized

research centre at affiliated college or recognized institution or recognized

research institution) three months before the expiry of the registration

period.

3.4. The women candidates and persons with disability (more than 40%

disability) may be allowed an additional relaxation of one year for M.Phil.

and two years for Ph.D. in the maximum duration. In addition, the women

candidates may be provided Maternity Leave once in the entire duration of

M. Phil. /Ph.D. for up to 180 days.

4. Procedure for admission to M.Phil./Ph.D. Programmes:

4.1. All admissions for M.Phil./Ph.D. programmes shall be through an Entrance

Test conducted by the SPPU.

Candidates qualified in UGC-NET (Including JRF)/UGC-CSIR NET

(Including JRF)/SLET/GATE (valid score) or teacher fellowship holders

Page 3

will be exempted from the Entrance Test for M.Phil./Ph.D. programmes.

Candidates who have passed M. Phil. Programme of the SPPU will be

exempted from the Entrance Test for Ph.D. programme.

4.2. P. G. Admission Section of the SPPU shall notify on an annual basis a

predetermined and manageable number of M.Phil. and/or Ph.D. scholars to

be admitted depending on the number of available Research Supervisors

and other academic and physical facilities available, keeping in mind the

norms regarding the scholar-teacher ratio, laboratory, library and such other

facilities.

4.3. The SPPU shall notify well in advance on its website and through

advertisement in at least two national newspapers, of which at least one

shall be a Marathi newspaper. The details notified shall include 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 benefit of the candidates.

4.4. The admission to M.Phil./Ph.D. programme shall be based on the criteria

notified by the SPPU, keeping in view the guidelines/norms in this regard

issued by the University Grants Commission and other statutory bodies

concerned, and taking into account the reservation policy of the

Central/State Government prescribed from time to time.

4.5. The SPPU shall admit candidates by a two stage process through-

4.5.1. An Entrance Test, which shall be a qualifying test. The Entrance Test

will be of 100 marks (100 questions of one mark each with multiple

choice) with 50% marks as qualifying marks. The syllabus of the

Entrance Test shall consist of questions, 50% based on research

methodology and 50% shall be subject specific. The Entrance Test shall

be conducted at the centre(s) to be notified in advance. Changes of

centres, if any, shall also be notified well in advance.

4.5.2. An interview organized by the SPPU when the candidates are required to

discuss their research interest/area through a presentation before a duly

constituted Department Research Committee.

4.6. The Department Research Committees shall be as under:

4.6.1. Admission at University Departments :

(i) Head of the Department concerned (Chairman);

(ii) Two subject Experts (One from the Department concerned and One

from outside);

(iii)Two nominees of the Vice-Chancellor – One General and One

Reservation.

Page 4

4.6.2. Admission at Research Centres at Affiliated Colleges and Recognized

Institutions:

(i) Principal / Director of the Affiliated Colleges and Recognized

Institutions concerned (Chairman);

(ii) Two subject Experts (One Head of the Department of the affiliated

college/recognized institution concerned, and one from University

Departments/affiliated college/recognized institution concerned);

(iii)Two nominees of the Vice-Chancellor – One General and One

Reservation.

4.6.3. Admission at Recognized Research Institution:

(i) Director (Chairman);

(ii) Academic co-ordinator of the institution;

(iii)One Professor from the University Department concerned,

nominated by the Vice-Chancellor;

(iv) Reservation nominee appointed by the Vice-Chancellor.

4.7. The University departments/research centres at affiliated colleges and

recognized institutions/recognized research institutions shall obtain the

approval of the Vice Chancellor for the committee.

4.8. The interview shall be conducted at the respective research centres, within a

period of not more than thirty days from the date of declaration of result of

the entrance test.

4.9. The following aspects shall be considered during the interview, namely:-

4.9.1. whether the candidate possesses the competence for the proposed

research;

4.9.2. whether the research work can be suitably undertaken at the

Institution/College;

4.9.3. whether the proposed area of research can contribute to

new/additional knowledge.

4.10. The research centre shall submit the report of the committee with regard to

the interviews to PG Admission Section of the SPPU within a period of not

more than two days from the date of completion of the interview process.

PG Admission Section of the SPPU shall publish the list of candidates

selected for admission, within a period of not more than seven days of

completion of the interview process in the Faculty concerned.

4.11. The SPPU shall maintain the list of all the M.Phil. / 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.

Page 5

5. Allocation of Research Supervisor:

Eligibility criteria to be a Research Supervisor, Co- Supervisor, Number of

M.Phil./Ph.D. scholars permissible per Supervisor, etc. shall be as under:

5.1. Any regular Professor/scientist/a person from industry holding an

equivalent post in the SPPU/ the recognized research centre at affiliated

college or recognized institution/ recognized research institution, with at

least five research publications in refereed journals and any regular

Associate/Assistant Professor /a person from industry holding an equivalent

post in the SPPU/ the recognized research centre at affiliated college or

recognized institution/ recognized research institution, with a Ph.D. degree

and at least two research publications in refereed journals may be

recognized as Research Supervisor. However, in areas/disciplines where

there is no or only a limited number of refereed journals, the SPPU may

relax the above condition for recognition of a person as Research

Supervisor for reasons to be recorded in writing.

Guidelines for research publications issued by the SPPU, from time to time

and displayed on the official website of the SPPU, will be followed.

5.2. Only a full time regular teacher/scientist/a person from industry holding an

equivalent post in the SPPU/ the recognized research centre at affiliated

college or recognized institution/ recognized research institution, can act as

a Research Supervisor. The external supervisors are not allowed. However,

Co-Supervisor can be allowed in inter-disciplinary areas from other

departments of the SPPU/ the recognized research centre at affiliated

college or recognized institution/ recognized research institution or from

other related institutions/Universities, with the approval of the Research

Advisory Committee.

5.3. The allocation of Research Supervisor for a selected research scholar shall

be decided by the University Department/ the recognized research centre at

affiliated college or recognized institution/ recognized research institution

concerned (Place of Research), depending on the number of scholars per

Research Supervisor, the available specialization among the Supervisors

and research interests of the scholars as indicated by them at the time of

interview with due regard to the reservation policy.

5.4. In case of topics which are of inter-disciplinary nature where the Head of

the Place of Research feels that the expertise in the Place of Research has to

be supplemented from outside, Head of the Place of Research may appoint

a Research Supervisor from the Place of Research itself, who shall be

known as the Research Supervisor, and a Co-Supervisor from outside the

Place of Research, on such terms and conditions as may be specified and

agreed upon by the consenting institutions/colleges.

Page 6

5.5. A Research Supervisor/Co-supervisor who is a Professor scientist/a person

from industry holding an equivalent post, at any given point of time, cannot

guide more than three M.Phil. and eight Ph.D. scholars. An Associate

Professor/a person from industry holding an equivalent post, as Research

Supervisor can guide up to a maximum of two M.Phil. and six Ph.D.

scholars and an Assistant Professor/a person from industry holding an

equivalent post, as Research Supervisor can guide up to a maximum of one

M.Phil. and four Ph.D. scholars.

5.6. In case of relocation of an M.Phil./Ph.D. woman scholar due to marriage or

otherwise, the research data shall be allowed to be transferred to the

University to which the scholar 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 SPPU /

Research Supervisor from any funding agency. The scholar will however

give due credit to the parent Research Supervisor and the SPPU for the part

of research already done.

6. Process of Admission/Registration after the interview:

6.1. A selected applicant seeking admission to the Ph.D. programme shall apply

to the Registrar, SPPU in the prescribed format(Appendix – A) along with

the registration fee as may be prescribed from time to time, within a period

of two months from the date of allotment of the Research Supervisor.

6.2. The applicant shall submit along with the application eight copies of his

Ph.D. proposal as per the Guidelines (Appendix – B) to the place of

research.

6.3. A selected applicant shall be required to make a brief presentation at the

place of research before the Research Advisory Committee.

6.4. The presentation will be arranged by the Head of the Place of Research, on

a date suggested by the Research Supervisor.

6.5. In case of any suggestions given by the Research Advisory Committee for

improvement of the topic, the candidate shall make changes accordingly

and present the topic again before the said Committee within a period of not

more than fifteen days from the date of the earlier presentation.

6.6. After successful presentation, the Research Advisory Committee shall

prepare a report on the basis of the presentation. The Head of the Place of

Research shall send the report of the Research Advisory Committee along

with the proposal, within period of not more than seven days, from the date

of presentation to the P.G. Admission Section of the SPPU, to be placed

before the Research and Recognition Committee. The date of the successful

presentation shall be treated as the date of provisional admission of the

candidate and the candidate shall be given provisional

Page 7

admission/registration letter as per proforma given in Appendix – C.

6.7. The Research and Recognition Committee shall consider approval of the

topic of research and appointment of Co-Supervisor, if necessary, from

other departments of the SPPU/ recognized research centres at affiliated

colleges or recognized institutions or recognized research institutions or

from other related institutions/Universities, with the approval of the

Research Advisory Committee.

6.8. If the candidate desires to modify the title and / or the proposed plan of the

research, he shall apply at least one year before the date of submission of

synopsis. Research and Recognition Committee concerned may approve

such changes on the recommendation of the Research Supervisor and the

Head of the Place of Research.

6.9. As per provisions of Ordinance 116, registered candidates shall not be

allowed to register simultaneously for any other degree course.

6.10. The admission will be confirmed (Appendix – ‘D’) after the Research and

Recognition Committee approves the topic. The decision of the Research

and Recognition Committee shall be communicated to the Head of the

Place of Research within seven days from the date of decision of the

Research and Recognition Committee. The Head of the Place of Research

shall communicate the same to the candidate concerned within three days

from the date of receipt of the decision.

7. Course Work:

Credit Requirements, number, duration, syllabus, minimum standards for completion,

etc. for M.Phil./Ph.D. programme shall be as under:

7.1. M.Phil. or Ph.D. course work shall be of 16 credits.

7.2. The course work shall be treated as prerequisite for M.Phil./Ph.D.

programme.

7.3. The M.Phil./Ph. D. Course work shall consist of the following components,

namely:-

Course 1 : Research Methodology : 4 credits

(Including Quantitative methods, Computer

applications, research ethics and review of

published research in the relevant field,

training, field work, etc)

Course 2 : Writing of Research Proposal for obtaining : 1 credit

Financial assistance from national funding agencies

Writing of Review : 1 credit

Seminars :2 credits

Course3 : Subject specific advanced level courses :8 credits

Page 8

7.4. Contents of Course 1 and Course 3 above shall be prescribed by the Board

of Studies concerned.

7.5. All courses prescribed for M.Phil. and Ph.D. course work shall be in

conformity with the credit hour instructional requirement and shall specify

content, instructional and assessment methods. They shall be duly approved

by the Academic Council of the SPPU.

7.6. The University Department/ recognized research centre at affiliated college

or recognized institution/ recognized research institution where the scholar

pursues his research shall prescribe the course(s) to him based on the

recommendations of the Research Advisory Committee of the research

scholar.

7.7. All candidates admitted to the M.Phil. and Ph.D. programmes shall be

required to complete the course work, as approved by the Academic

Council of the SPPU, during the initial one or two semesters.

7.8. Candidates already holding M. Phil. degree and admitted to the Ph.D.

programme, or those who have already completed the course work in

M.Phil. and have been permitted to proceed to the Ph.D. in integrated

course, shall be exempted from the Ph.D. course work. All other candidates

admitted to the Ph.D. programme shall be required to complete the Ph.D.

course work approved by the Academic Council of the SPPU.

7.9. Grades in the course work, including research methodology courses shall be

finalized after a combined assessment by the Research Advisory Committee

and the Place of Research and the final grades shall be communicated to the

P. G. Admission Section of the SPPU.

7.10. M.Phil./Ph.D. scholar 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

dissertation/thesis.

8. Research Advisory Committee and its functions:

8.1. There shall be a Research Advisory Committee for each M.Phil. and Ph.D.

scholar. Research Advisory Committee shall consist of Research Supervisor

of the scholar and two subject experts of which at least one should be from

outside the department. Research Supervisor shall be the Convener of this

Committee. The Research Advisory Committee shall have the following

responsibilities, namely:-

8.1.1. to review the research proposal and finalize the topic of research;

8.1.2. to guide the research scholar to develop the study design and

Page 9

methodology of research and identify the course(s) that he may

have to do;

8.1.3. to periodically review and assist in the progress of the research work

of the research scholar.

8.2. A research scholar shall appear before the Research Advisory Committee

once in six months to make a presentation of the progress of his work for

evaluation and further guidance. The six monthly progress reports shall be

submitted by the Research Advisory Committee to the Place of Research,

with a copy to the research scholar. The Head of the Place of Research shall

submit these six monthly progress reports [Appendix–‘E’] to P. G.

Admission Section of the SPPU within a week from the date of such

presentation.

8.3. In case the progress of the research scholar is unsatisfactory, the Research

Advisory Committee shall record the reasons for the same and suggest

corrective measures. If the research scholar fails to implement these

corrective measures, the Research Advisory Committee may recommend to

the Place of Research with specific reasons for cancellation of the

registration of the research scholar.

9. Evaluation and Assessment Methods, minimum standards/credits for award of the

degree, etc.:

9.1. The overall credit requirement, including credit for the course work, for the

award of M.Phil. degree shall be 28 credits, of which the course work shall

be of 16 credits and M. Phil. dissertation shall be of 10 credits and viva

voce shall be of 2 credits.

9.2. Upon satisfactory completion of course work, and an obtaining a minimum

of 55% of marks or its equivalent grade in the UGC 7-point scale the

M.Phil. scholar shall be required to undertake research work and produce a

thesis before completion of two years and Ph.D. Scholar before completion

of six years from the date of registration. The women candidates and

persons with disability (more than 40 % disability) may be allowed a

relaxation of one year for M.Phil. and two years for Ph.D. in the maximum

duration.

9.3. At least three months prior to the submission of the dissertation/thesis, the

scholar shall make a presentation before the Research Advisory Committee

of the Place of Research concerned, which shall also be open to all faculty

members and other research scholars. The feedback and comments obtained

from them may be suitably incorporated into the draft dissertation/thesis in

consultation with the Research Advisory Committee.

9.4. In the light of the discussion during the presentation, the candidate shall

Page 10

submit to P.G. Admission Section of the SPPU fifteen copies of the

synopsis of his thesis through his Research Supervisor within thirty days

from the date of presentation [Appendix – ‘F’].

9.5. The Board of Studies concerned shall recommend a list of nine examiners

for evaluation of Ph.D. thesis. For Faculty of Science/Pharmacy/

Engineering/ Technology, three shall be from the outside countries and six

shall be from within the country, out of which not more than two shall be

from within the State of Maharashtra. For other Faculties, three shall be

from the outside the State of Maharashtra and six shall be from within the

State of Maharashtra.

9.6. The Board of Studies concerned shall recommend a list of three examiners

for evaluation of M.Phil. dissertation, who are not in the employment of the

SPPU/ recognized research centre at affiliated college or recognized

institution/ recognized research institution..

9.7. Before submission of M. Phil. / Ph. D. Dissertation/thesis, every candidate

shall fulfil the requirements prescribed by the Academic Council of the

SPPU with respect to detection of plagiarism and any other forms of

academic dishonesty. While submitting for evaluation, the

dissertation/thesis shall be accompanied with original report of the anti-

plagiarism software approved by the SPPU, an undertaking from the

research scholar and a certificate from the Research Supervisor attesting to

the originality of the work, vouching that there is no plagiarism and any

other academic dishonesty and that the work has not been submitted for the

award of any other degree/diploma of the same Institution where the work

was carried out, or to any other institution.

9.8. M.Phil. scholars shall present at least one research paper in a

conference/seminar and Ph.D. scholars shall publish at least one research

paper in refereed journal and make two paper presentations in

conferences/seminars before the submission of the dissertation/thesis for

adjudication, and produce evidence for the same in the form of presentation

certificates and/or reprints/ acceptance letter from the publisher / editor.

Guidelines for research publications issued by the SPPU, from time to time

and displayed on the official website of the SPPU, will be followed.

9.9. The thesis / dissertation shall be submitted in compact bound form along

with a soft copy (CD) in the format and as per the details mentioned in

Appendix ‘G’. Along with the thesis/dissertation, five copies of the abstract

shall be submitted in prescribed format to the P. G. Admission Section. P.

G. Admission Section of the SPPU shall verify and ensure that the contents

of the CD are in the format and as per the details mentioned in Appendix

‘G’.

Page 11

9.10. The final Ph.D. thesis / M.Phil. dissertation shall be presented in accordance

with the following specifications:

(a) The paper used for printing shall be of A4 size.

(b) Printing shall be in a standardized form on both sides of the paper and

in1.5 line spacing.

(d) The card for cover shall not be more than 330 GSM.

(e) The title of the thesis/dissertation name of the candidate, degree, name

of the Research Supervisor, place of research and the month and year

of submission shall be printed on the title page and the front cover.

(f) The hard-bound a cover of thesis/dissertation shall be of black colour.

Spine of the binding [side cover] should mention ‘Ph.D. thesis’ on the

top, name of the candidate and month and year. The specifications are

shown in Appendix – ‘H’.

9.11. The candidate shall submit to the P.G. Admission Section of the SPPU

three copies of his thesis and produce an acknowledgement of the receipt of

thesis by the Research Supervisor and the Head of the Place of Research.

9.12. The thesis/dissertation shall include a Certificate of the Research Supervisor

[Appendix ‘I’] and a Declaration by the candidate [Appendix ‘J’] that the

work reported in the thesis/dissertation has been carried out by the

candidate himself and that the material from other sources, if any, is duly

acknowledged.

9.13. The M.Phil. dissertation submitted by a research scholar shall be evaluated

by his Research Supervisor and one external examiner who is not in the

employment of the SPPU/ recognized research centre at affiliated college or

recognized institution/ recognized research institution.

The viva-voce examination, based among other things, on the critiques

given in the evaluation report, shall be conducted by both of them together,

and shall be open to be attended by the members of the Research Advisory

Committee, all faculty members of the Place of Research, other research

scholars and other interested experts/ researchers.

9.14. The Ph.D. thesis submitted by a research scholar shall be evaluated by his

Research Supervisor and three external examiners, who are not in

employment of the SPPU/ recognized research centre at affiliated college or

recognized institution/ recognized research institution, of whom one

examiner may be from outside the country.

The viva-voce examination, based among other things, on the critiques

given in the evaluation report, shall be conducted by the Research

Supervisor and at least one of the two external examiners, and shall be open

to be attended by the members of the Research Advisory Committee, all

faculty members of the Place of Research, other research scholars and other

Page 12

interested experts/researchers.

9.15. The public viva-voce of the research scholar to defend the Ph.D. thesis shall

be conducted only if the evaluation reports of at least two external

examiners are satisfactory and include a specific recommendation for

conducting the viva-voce examination. The public viva-voce of the research

scholar to defend the M.Phil. dissertation shall be conducted only if the

evaluation report of the external examiner is satisfactory and includes a

specific recommendation for conducting the viva-voce examination. If the

evaluation report of the external examiner in case of M.Phil. dissertation or

one of the evaluation reports of the external examiners in case of Ph.D.

thesis, is unsatisfactory and does not recommend viva-voce, the Place of

Research shall send the dissertation/ thesis to another external examiner out

of the approved panel of examiners and the viva-voce examination shall be

held only if the report of the latest examiner is satisfactory. If the report of

the latest examiner is also unsatisfactory, the dissertation/ thesis shall be

rejected and the research scholar shall be declared ineligible for the award

of the degree.

10. Viva Voce And Defence of the Thesis

10.1. The day, date, time and the place for the viva voce and the defence of thesis

shall be notified by the Head of the Place of Research, at least eight days in

advance. Normally, the viva voce and the defence of the thesis shall be

arranged in the University Department. In exceptional cases, the Vice-

Chancellor may allow the viva to be conducted at a Place of Research

outside the campus of SPPU. In such a case, the procedure and norms for

the conduct of viva, payments, etc. shall be as laid down by the SPPU.

10.2. The defence of the thesis shall take place in the presence of the Research

Supervisor (Internal Examiner), one External Examiner and the

Chairperson, who shall jointly evaluate the performance of the candidate.

In case of dispute, the Dean of the Faculty concerned shall take an

appropriate decision.

10.3. The Chairman for the Viva-Voce and the Panel for defence of the thesis

shall be appointed by the Head of the Place of Research or by the Dean of

the Faculty concerned when the Head is the Research Supervisor, from a

panel of three experts suggested by the Research Supervisor.

10.4. If neither of the external examiners is able to be present at the time of the

defence, the Vice-Chancellor, on the recommendation of the Research

Supervisor and the Dean of the Faculty concerned, shall appoint a senior

Research Supervisor to act as an external examiner for the defence of the

thesis. In case the Internal Examiner is not available, the Vice-Chancellor

shall appoint one of the senior Research Supervisors on the

Page 13

recommendation of the Dean of the Faculty concerned and the Head of the

Place of Research.

10.5. The examiners present for the viva-voce and the defence of the thesis shall

submit to the P. G. Admission Section, SPPU, their final consolidated

report along with the reply given to the queries raised by the external

examiners in the written form, signed and accepted by the members of the

Viva-Voce Panel. [Appendix ‘K’] and a list of the persons attending the

open defence [Appendix – ‘L’], in respect of the award of the Ph.D. degree

immediately after the defence is over.

10.6. In case the defence is not satisfactory, the examiners may unanimously

recommend with reasons that a fresh viva-voce and defence of the thesis be

organized within a period of not less than one month. If the defence is still

not satisfactory, the panel would record the reasons for the same. The

Committee may recommend the resubmission of the thesis with suggested

changes or recommend the rejection of the thesis.

10.7. The entire process of evaluation of M.Phil. dissertation / Ph.D. thesis shall

be completed within a period of six months from the date of submission of

the dissertation/thesis.

11. Academic, administrative and infrastructure requirement to be fulfilled by

Colleges for getting recognition for offering M.Phil./Ph.D. programmes:

11.1. Colleges may be considered eligible to offer M.Phil./Ph .D programmes

only if they satisfy the availability of eligible Research Supervisors,

required infrastructure and supporting administrative and research

promotion facilities as per these Regulations.

11.2. Post-graduate Departments of Colleges, Research laboratories of

Government of India/State Government with at least two Ph.D. qualified

teachers/scientists/other academic staff in the Department concerned along

with required infrastructure, supporting administrative and research

promotion facilities as per these Regulations, stipulated under sub-clause -

11.3 shall be considered eligible to offer M.Phil./Ph.D. programmes.

Colleges should additionally have the necessary recognition by the

Institution under which they operate to offer M.Phil./Ph.D. programme.

11.3. Colleges with adequate facilities for research as mentioned below alone

shall offer M.Phil./Ph. D. programmes:

11.3.1. In case of science and technology disciplines, exclusive research

laboratories with sophisticated equipment as specified by the

Institution concerned with provision for adequate space per research

scholar along with computer facilities and essential software, and

uninterrupted power and water supply.

Page 14

11.3.2. Earmarked library resources including latest books, Indian and

International journals, e-journals, extended working hours for all

disciplines, adequate space for research scholars in the Department/

library for reading, writing and storing study and research materials.

11.3.3. Colleges may also access the required facilities of the neighbouring

Institutions/Colleges, or of those Institutions/ Colleges/ R&D

laboratories /Organizations which have the required facilities.

12. Treatment of Ph.D. / M.Phil. through Distance Mode/Part-time:

12.1. Part-time Ph. D. will be allowed provided all the conditions mentioned in

the University Grants Commission (Minimum Standards and Procedure

for Award of M.Phil./ Ph.D. Degrees) Regulations, 2016 are complied

with.

12.2. M.Phil. and Ph.D. Programme through distance education mode shall not be

allowed in any case.

13. Award of M.Phil./Ph.D. degrees prior to Notification of these Regulations, or

degrees awarded by foreign Universities:

13.1. Award of degrees to candidates registered for the M.Phil./Ph.D. programme

on or after July 11, 2009 till the date of Notification of these Regulations

shall be governed by the provisions of the UGC (Minimum Standards and

Procedure for Awards of M.Phil./Ph.D. Degree) Regulation, 2009.

13.2. If the M.Phil./Ph.D. degree is awarded by a Foreign University, the SPPU

shall refer the issue to a Standing Committee constituted for the purpose of

determining the equivalence of the degree awarded by the foreign

University.

14. Redressal of Grievance

14.1. In case of any dispute between a candidate and his Research Supervisor, the

Committee consisting of the following shall examine the matter and report

to the Vice Chancellor of the SPPU, whose decision shall be final.

(a) Dean of the Faculty concerned (Chairman);

(b) Nominee of the Vice Chancellor;

he shall not participate in the proceedings of the meeting. In that case,

additional member/s may be appointed by the Vice Chancellor to

replace them.)

14.2. The report shall include, among other things, specific recommendations.

The report shall be submitted to the Vice Chancellor of SPPU.

15. Depository

with INFLIBNET:

15.1.

Following

the successful completion

of the

evaluation

process

and before

the announcement

the award of

the M.Phil./Ph.D.

degrees, the Deputy

Registrar,

P. G. Admission Section,

SPPU shall

send the CD

of M.Phil.

dissertation/

Ph. D.

thesis along with

the hard copy

of the dissertation/thesis

and the notification

regarding

declaration

result

M.Phil./Ph.D.

programme

to the Jayakar Library of the SPPU. After

receiving

the CD

the

thesis in

the

format suggested abovo,

the Jayakar Library

shall

prepare

metadata

of the

dissertation/thesis

and shall then submit

an electronic

copy

of the M.Phil.

dissertation

/Ph.

thesis

the

INFLIBNET,

for

hosting

the

suune

so as

to mhke it accessible to

all

institutions/colleges.

Prior to

the actual award of the degree, the

SPPU

shall issue

provisional

Certificate to the effect that the Degree

has

been awarded

in accordance

with

the

provisions

of University Grants

Commission

(Minimum

Standards

and Procedure for Award of

M.Phil./

Ph. D.

Degrees) Regulations,2016.

15.2.

Ref. No.: PGS/144

Date: 0910112017

,rrffi",

Page 15

Page 16

Appendix ‘A’

SAVITRIBAI PHULE PUNE UNIVERSITY

Application for Admission for the degree of Doctor of Philosophy (Ph.D.)

(To be forwarded through the Head, Place of Research)

1. Faculty:

_________________________

2. Subject :

______________________________

3. Research Topic :

____________________________________________________________

_________________________________________________________________________

To,

The Registrar Tel./Mobile No.:

____________________

Savitribai Phule Pune University

Pune-411007 (INDIA) E-mail :

__________________________

Dear Sir

I hereby apply for admission to the Ph.D. Degree. I state that I have not been admitted as a

student for this or any other Degree in this or any other University. The required details about myself

are as follows :

1.Name in full (in Capital Letters) :

________________________________________________

(Beginning with Surname)

(Surname) (Name) (Father/Husband) (Mother’s Name)

2.Date of Birth

3.Gender : Male/Female/Transgender

(Strike out whichever is not applicable)

4.Nationality :

_______________________________________________

5.Permanent Address :

_______________________________________________

6.Present (Local) Address :

_______________________________________________

7.I belong to the category mentioned below

(Please Tick the appropriate box & attach attested caste certificate)

Open

Category

DT(A)

NT(B)

NT(C)

NT(D)

OBC

SBC

Page 17

8.Present Occupation/Employment :

_______________________________________________

(Give Name and Address of

the Employer)

________________________________________________

9.Particulars of Degrees previously obtained

(attach attested copies of statement of marks and certificates)

Degree University Year of

Passing

Subjects

Offered

Class

Grade

Percentage

Grade Points

Bachelor’s Degree

Master’s Degree

M. Phil. Degree

Any other Degree/

Diploma

10. Particulars of Publications :

Title of the Paper/Book Name of the Journal/ Publisher Place and Year of Publication

11.Details of Teaching Experience :

Name of the College Subject(s) Taught Year(s)

12.Details of professional experience, if any (Attach necessary Certificates) :

(i) Nature of Professional Experience :

___________________________________________

(ii) The Institute where Professional experience was gained :

___________________________

(iii) Period of Professional experience :

__________________________________________

13. (i) Title of M. Phil. Dissertation, if applicable :

_____________________________________

(ii) Is the Proposed topic of Doctoral Research related to or an expansion of the M. Phil.

Dissertation? : Yes / No

Page 18

14. Name of the Research Guide :

____________________________________________

(under whom I propose to work

for my Ph.D.)

15. Name of Co-Guide, if any :

____________________________________________

16.Name and address of the approved :

____________________________________________

place of research (where I desire to

do Doctoral Research)

____________________________________________

All the particulars given above are true to the best of my knowledge .I have read the Rules for the

Degree of Doctor of Philosophy (Ph.D.) and I undertake to abide by them. I also undertake to

regularly report at the Place of Research unless otherwise permitted by the Head, Place of Research

on the recommendation of the Research Guide.

Eight copies of the research outline (as per appendix ‘B’ of the Rules) and a Xerox copy of the

registration fee receipt are enclosed.

Thanking you

Yours Sincerely,

Name of applicant

Date :

Place :

___________________________________________________________________________

Recommendation of the Guide

________________________________________________

am willing to supervise there

search work of Mr./ Ms.

___________________________________________________

and I

recommend that he/she be given provisional admission.

Ref. No. of Recognition letter:

______________________________________

Presently

_______

students are pursuing their research work under my supervision.

Date : Research Guide

___________________________________________________________________________

N.B.: The Research Guide is expected to communicate separately to the Head, Place of Research

two names of Research Guides as per Rule 6 (6.3) and time and date for the presentation.

Page 19

Decision of the Head, Place of Research

On verifying the relevant documents I found the student eligible/ not eligible for admission to the

degree of Doctor of Philosophy (Ph. D.) of the Savitribai Phule Pune University. He/She has been

provisionally admitted/ not admitted to the Ph. D. Programme as a student of the University

Department/Research Institute/ Centre (a copy of the letter has been attached).

The presentation has been scheduled at

________

am /pm on

__________

(Day)

______________

(Date). The Report of the presentation will be forwarded to the

University office immediately after the scheduled date.

Date: Head, Place of Research

Seal of the Place of Research

___________________________________________________________________________

Decision of the Research and Recognition Committee

On the basis of the merit of the proposal and the report of the presentation, the Committee

(a) Approve/s the topic of Research/ recommends the following change in the topic :

_____________________________________________________________________

(b) Appoint/s the following Co-Guide :

__________________________________________

Chairman

Date : Research and Recognition Committee

_________________________

______________________________________

Page 20

Appendix ‘B’

Submission of Research Proposal

Along with the application form (for Registration) the researcher has to submit eight copies of his/her

research proposal. This is a brief description of the research plan which should include:

a) rationale and significance of the study,

b) a survey of work done in the research area and the need for more research,

c) a statement of aims and objectives,

d) methodologies and techniques to be used,

e) the kinds of conclusions expected and their possible value,

f) plan of research, and

g) bibliography.

The expected length of the research proposal is six to eight double-spaced A-4 size pages.

The names of the researcher and the proposed guide and the topic of research should be printed at

the top. Both the guide and the researcher should sign the proposal.

Page 21

Appendix ‘C’

Provisional Admission / Registration

Ref : Date :

_________________________

Subject : Your application for Registration for Ph. D. dated

____________________

Dear Mr /Ms

_______________________________________

I am happy to inform you that you have been provisionally admitted to the Ph.D. Programme in

______________

(subject)

___________________

(Faculty) of the Savitribai Phule Pune

University with effect from

______________.

Your place of research will

____________________________________________________________

Your proposal is being forwarded to the University office for approval of the research topic. Your

admission/ registration will be confirmed after the University authorities approve the research

topic.

Your presentation is scheduled at

___________

am/pm on

______________

(day),

______

_________(date).

Yours faithfully,

Director / Head

Place of Research

Copy to:

1. The Dy. Registrar (Ph.D Unit), Savitribai Phule Pune University, Pune 411 007.

2. The Guide : Prof./Dr.

___________________________________________

________________________________________________________

3.The Co-Guide : Prof./Dr.

________________________________________

________________________________________________________

Page 22

Appendix ‘D’

Confirmation of Admission/ Registration

Ref. : Date :

To,

_________________________

Subject: Confirmation of admission to the Ph.D. in (subject) _________________.

Dear Mr. / Ms. ________________________________________________

I am happy to inform you that the Research and Recognition Committee in

_______________________________(Subject) _________________ (Faculty) has approved

your research topic as it is/with the modification/s as follows:

______________________________________________________________________________

Your admission is now confirmed as per Ph.D. Rules 6 (6.10). The details of your admission are:

1. Subject : _____________________________________

2. Faculty : _____________________________________

3. Guide : _____________________________________

4. Co-Guide : ___________________________________

5. Date of Registration : ___________________________

6. Period of Registration : from ___________________ to______________.

Please note that your admission will be governed by the Savitribai Phule Pune University rules

for the Degree of Doctor of Philosophy (Ph.D.) with effect from 05

July, 2016.

Please also note you will have to pay the fees prescribed as per the following schedule:

The first instalment will have to be paid within a month

from the date on which your admission is

confirmed. The successive instalments will have to be paid within a month from the date of

completion of each year. In case of failure to pay the prescribed fees as per the schedule

mentioned, a late fee of Rs. 100/- for Indian students & Rs.500/-for foreign students per month

from the due date of payment shall be charged.

Thanking you

Yours faithfully

Head, Place of Research

Copy to:

1. The Dy. Registrar (Ph.D Unit), Savitribai Phule Pune University, Pune 411 007.

2. The Guide : Prof./Dr. ___________________________________________

________________________________________________________

3.The Co-Guide : Prof./Dr. ________________________________________

________________________________________________________

Page 23

Appendix ‘E’

Submission of Progress Report

The registered research students have to submit progress reports after every six months. The

report should include an elaborate description of the reading, writing, data collection or any other

work done in relation to the research. The researcher can also mention difficulties encountered, if

any.

The guide is expected to certify the report and mention in unambiguous terms whether the

progress is satisfactory or not and whether the work done during the period under consideration is

relevant and adequate or not.

Page 24

Appendix ‘F’

Submission of Synopsis

After the pre-submission seminar, the researcher has to submit fifteen copies of the Synopsis of

his/her thesis through the guide .A synopsis is viewed as a mini version of the thesis. It should

provide a clear idea about what the thesis is. It should (a) state the objectives, nature and scope of

the work done, (b) state the principle conclusions, and (c) state the contribution made to the body

of knowledge on the subject.

The expected length of the synopsis is ten double-spaced A-4 size pages. The synopsis will be put

on the University website.

Page 25

Appendix ‘G’

Rules for submission of CD of M. Phil. dissertation/Ph. D. thesis

1. The candidate shall store in a CD each chapter of his thesis in a separate pdf file using

file naming format as prescribed by “Shodhganga”. The file naming format is given

below:

File naming format:

1.1 As per this format, each component of the thesis/dissertation shall be stored in

separate pdf file as listed above.

1.2 All files shall be stored in the single CD.

1.3 Each file shall be given the name as given in the above format.

1.4

Candidate shall not protect the files in the CD with password.

Page 26

Appendix - H

Cover page for Ph. D. Thesis

PH.D THESIS

“Write here title of the thesis in all upper-case

(capital letters) with a ‘centre’ alignment. Place

this title on the upper central part of the cover

with sufficient margin from top and both sides.

Use font size suitable to length of the title.”

A THESIS SUBMITTED TO

SAVITRIBAI PHULE PUNE UNIVERSITY

FOR AWARD OF DEGREE OF

DOCTOR OF PHILOSOPHY (PH.D.)

IN THE FACULTY OF ………

SUBMITTED BY

………………………………….

UNDER THE GUIDANCE OF

………………………..

………………………….

RESEARCH CENTRE

……………………….

……………………………

……………………….

WRITE HERE MONTH & YEAR OF SUBMISSION

Cover Page Spine

MONTH &

YEAR

WRITE HERE NAME OF THE CANDIDATE

Page 27

Cover page for M. Phil Dissertation

“Write here title of the dissertation in all upper-

case (capital letters) with a ‘centre’ alignment.

Place this title on the upper central part of the

cover with sufficient margin from top and both

sides. Use font size suitable to length of the

title.”

A DISSERTATION SUBMITTED TO

SAVITRIBAI PHULE PUNE UNIVERSITY

FOR AWARD OF DEGREE OF

MASTER OF PHILOSOPHY (M.PHIL)

IN THE FACULTY OF ………

SUBMITTED BY

………………………………….

UNDER THE GUIDANCE OF

………………………..

………………………….

RESEARCH CENTRE

……………………….

……………………………

……………………….

WRITE HERE MONTH & YEAR OF SUBMISSION

M. Phil.

Dissertation

WRITE HERE NAME OF THE CANDIDATE

MONTH &

YEAR

Spine

Cover Page

Page 28

Appendix ‘I’

Certificate of the Guide

CERTIFIED that the work incorporated in the dissertation/thesis

_______________

(Title)

submitted by Mr./Ms

_______________________________

was carried out by the candidate

under my supervision/ guidance. Such material has been obtained from other sources has been

duly acknowledged in the dissertation /thesis.

Date: (Supervisor/ Research Guide)

Appendix ‘J’

Declaration by the Candidate

I declare that the dissertation /thesis entitled

___________________________________

submitted

by me for the degree of Master of Philosophy/Doctor of Philosophy is the record of work carried out

by me during the period from ___________ to ______________ under the guidance of

________________________________

and has not formed the basis for the award of any degree,

diploma, associateship, fellowship, titles in this or any other University or other institution of Higher

learning.

I further declare that the material obtained from other sources has been duly acknowledged in the

dissertation /thesis.

Date : Signature of the Candidate

Page 29

Appendix ‘K’

Consolidated Report of the Referees on the Viva Voce

The viva-voce of Mr. /Ms. ___________________________________________was conducted on

________________(day and date). The performance of the candidate was satisfactory/unsatisfactory.

We have conducted the open defence of the Ph.D. thesis entitled :____________________________

__________________________________________________________________________________

_____________________________in the Savitribai Phule Pune University_____________________

on_____________________________

The performance of the candidate was satisfactory / unsatisfactory. We recommend that he/she be

awarded the Ph.D. Degree / should not be awarded the Ph.D. Degree/ the viva voce be arranged again

on ___________________.

______________________ ______________________

(Guide) (External Referee)

___________________________

(Chairman)

Page 30

Appendix ‘L’

SAVITRIBAI PHULE PUNE UNIVERSITY

(Attendance Sheet)

Ph. D. Viva Voce of _____________________________________________________________

Subject _______________________________________________________________________

Date of Viva ____________________ Time ________________ Venue ___________________

List of the persons attending the Open Defence.

Name of the person Signature

1. _______________________________________________________________________.

2. _______________________________________________________________________.

3. _______________________________________________________________________.

4. _______________________________________________________________________.

5. _______________________________________________________________________.

6. _______________________________________________________________________.

7. _______________________________________________________________________.

8. _______________________________________________________________________.

9. _______________________________________________________________________.

10. _______________________________________________________________________.

11. _______________________________________________________________________.

12. _______________________________________________________________________.

13. _______________________________________________________________________.

14. _______________________________________________________________________.

15. _______________________________________________________________________.