Ordinances

Rules and Regulations

for
Ph.D.

May, 2023

NATIONAL INSTITUTE OF TECHNOLOGY,

UTTARAKHAND

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1. INTRODUCTION

1.1 PREAMBLE

These rules and regulations govern all the Ph.D. Programme in NITUK. The Institute offers
Ph.D. Programme in a wide range of areas in Engineering, Science, Humanities and Social
Sciences. The broad objective of the Ph.D. Programme is not only to keep pace with the
expanding frontiers of knowledge but also to provide research training relevant to the
present social and economic objectives of the country. The Institute also encourages
research in interdisciplinary areas through a system of joint supervision and
interdepartmental group activities. The presence of a strong research oriented faculty
provides excellent opportunities for such Programme. The Institute undertakes sponsored
research and development projects from industrial and other organizations in public as well
as private sector. Facilities for research work leading to the Ph.D. degree are available in the
Departments of Computer Science & Engineering, Electronics Engineering, Electrical
Engineering, Mechanical Engineering, Civil Engineering, Physics, Chemistry, Mathematics,
Humanities & Social Sciences. The medium of instruction in the Institute is English.

1.2 DEPARTMENTS

The Institute has following Academic Units, each one acting as a Department. The
various Departments and their two-letter codes are given below.

S. N. Name of Department Code

1 Civil Engineering CE
2 Computer Science and Engineering CS
3 Electrical Engineering EE
4 Electronics Engineering EC
5 Mechanical Engineering ME
6 Physics PH
7 Chemistry CY
8 Mathematics MA
9 Humanities & Social Sciences HS

1.3 PROGRAMMES OFFERED

Institute offers Academic Programmes in Engineering at Undergraduate & Postgraduate

levels. Only research based Programmes are included in this ordinance. Course based
Programmes are covered by Ordinances for Undergraduate and Postgraduate Programmes.

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Each Department offers a Ph.D. Programme. Types of Ph.D. Programme offered are as
under.

Full Time Part Time

With With Sponsored Self- Sponsored Self-

Fellowship Assistantship Sponsored Sponsored
PhD + +
* #

Yes Yes Yes Yes Yes

* Number of fellowships offered shall be declared in the beginning of every year.

The number of fellowships and amount of fellowship shall be as per directives of MHRD.
# Assistantships availability shall depend upon ongoing projects. Assistantships shall be
declared by the Project’s Investigator with approval from NITUK and sponsoring agency.
+ Sponsorships offered by the employer of the candidate.

1.3.1 Conversion of status from part time to full time or from full time to part time
The conversion of status from Part time to Full time or From Full Time to Part Time is
permitted. However, in either case minimum period of submission of the thesis shall be
governed by Part Time regulation. Other regulations shall be applicable as per the changed
status. Change of status shall be permitted on formal application submitted to Dean
(Academic Affairs) through supervisor and HoD. Such change shall be permitted only once
during the registration period of 6 years.

1.3.2 Provision to offer full time Ph.D. Programme to the project staff of the institute
1.3.2.1 The Project staff or JRF/SRF who satisfies the eligibility criteria as per institute
norms may be considered for admission to the Ph.D. Programme as full time scholar.
1.3.2.2 There shall be no special treatment/preference/concessions given to Project Staff
appointed in various Research Projects in the Institute, and who are aspiring to enroll in the
Institute for pursuing Ph.D. They will have to compete with all other applicants against an
Open Advertisement.
1.3.2.3 The other rules and regulations regarding fees, course work, degree requirement etc.
shall be same as applicable to full time Ph.D. scholars as mentioned in Ordinances, Rules
and Regulations for Ph.D.

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1.3.2.4 The fellowship to such Project staff who has been offered admission in full time
Ph.D. Programme, shall continue to draw fellowship from the project throughout the
duration of the project.
1.3.2.5 In case of termination/completion of the project before five years, the scholarship
then shall be paid to the scholars as per MHRD norms for the remaining period.

1.4 ADMISSION PROCEDURE (Full Time & Part Time)

1.4.1 Minimum Qualifications for Admission

A candidate is eligible for registration for Ph.D. if he/she satisfies the following conditions:
st
A Master’s degree in the concerned or an allied subject with a minimum of 1 Class (C.P.I.
or C.G.P.A. should be 6.5 on a 10 point scale or 60% for General/OBC) and C.P.I. or
st
C.G.P.A. 6.0 on a 10 point scale or 55% for SC/ST/PWD or a minimum of 1 class (C.P.I.
or C.G.P.A. greater than 6.75 on a 10 point scale) at Bachelors level with at least 55%
marks at Master’s level.

1.4.1.1 For full time Ph.D. Programme

Candidates should have qualified GATE / NET.

1.4.1.2 For part time Ph.D. Programme

Candidates should have qualified GATE / NET. However, relaxation from the requirement of
GATE/NET will be given only for admission into part time Ph.D. Program, for candidates
with two years of service experience in reputed Academic/Industrial Organizations or Govt.
funded Research Projects. However, at the time of application against Institute
advertisement, the candidate should be in service. NOC in case of serving candidate is
mandatory. Essential qualifications, other terms & conditions will be same as per Ordinances
of the Institute. All the UGC/AICTE approved institutions may be considered as the reputed
Academic Institutes. The selection procedure shall be same as for full time Ph.D.
Programme. Other guidelines regarding Fees, Registration, Enrollment, Course work,
Attendance, Registration seminar, Thesis submission etc. shall be same as per Ph.D.
Ordinances of the institute.

1.4.2 Application Procedure and other guidelines of Ph.D. Programme

1.4.2.1 The prospective PhD admission shall be offered provisionally in both the semesters
through advertisements (prominent Newspapers & Institute Website)
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1.4.2.2 The application forms for Ph.D. registration will be available on the Institute
website: www.nituk.ac.in. It is to be downloaded and to be properly filled.
1.4.2.3 The form, duly filled in by the candidate, should be submitted by published last date
to the Institute. Incomplete applications and those received late will not be processed. The
application form (downloaded from website) must be accompanied with a DD of Rs. 500/-
and drawn in favor of Director NITUK, and attested copies of marksheets / degree
certificates and other certificates to substantiate the information provided in the application
form.
1.4.2.4 Candidates applying for full time or part time Programme will be required to appear
for written test to be conducted in the respective departments. Further, the scholars
shortlisted on the basis of performance in the written test shall be interviewed. The
schedule of written test and interview shall be available in admission notification. The
candidates will be required to appear for written test / interview at their own cost.
1.4.2.5 Selected candidates shall be intimated about their selection and allotted a
supervisor. Candidates will be given provisional admission at the Institute. The PhD
candidates are required to register for the PhD course work immediately after joining.
Therefore the admission process shall be completed in July/December so that PhD
candidates can register along with Academic registration. Candidates, in consultation with
the supervisor shall identify the broad area of research within three months of their
Registration.
1.4.2.6 The date of joining of a candidate at the Institute will be considered the date of
registration in Ph.D. Programme. However for the payment of fee and for all Academic
activities scheduled in a semester, the date shall be 1st January / 1st July which is preceding
the date of provisional admission.
1.4.2.7 The Ph.D. candidates are required to register for Ph.D. Course work immediately
after joining the Institute. The student is required to complete the course work within three
semesters (including the duration of failure in course work) from the date of joining in Ph.D
Program.
1.4.2.8 The Ph.D students who join in Ph.D Program in the middle of Semester, their
duration for completion of course work will be counted from the beginning of next Semester.
The fellowship of the candidate will start from his/her initial date of admission.
1.4.2.9 A Ph.D scholar sponsored by the Institute will be awarded fellowship by the Institute
for maximum 5 years from the date of joining the Ph.D Program or until the submission of
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his or her Ph.D. thesis, whichever is earlier, subject to the satisfactory performance of the
student as recommended by RPC from time to time.
1.4.2.10 A student who is admitted in full-time Ph.D. Program as institute fellow can
surrender his/her Institute fellowship and can join in NET-JRF (CSIR/UGC) fellowship on
the recommendation of his/her supervisor(s) and approval of Dean (Acad.) through proper
channel. However, the date of Ph.D. Registration and validity period of Ph.D. registration
will remain same i.e. the initial date of joining in Ph.D. program. The student will be
governed by the Ph.D. Ordinances of the institute in all aspects. Once the student joins in
NET-JRF, he/she further can’t revert in Institute fellowship.

1.4.2.11 The supervisor will propose a Research Progress Committee, (RPC) for that Ph.D.
candidate. The RPC shall monitor the progress of Ph.D. work of the candidate. Following
shall be the composition of RPC.

i) Convener: Respective Supervisor.

ii) Two Experts from Department (to be nominated by supervisor)
iii) One Expert from allied Department (to be nominated by supervisor & approved by
Chairman, SPGB)
1.4.2.12 The Ph.D. candidates have to defend the explicit research proposal before the RPC
members within 18 months from the date of their Ph.D. registration. An extension of 6
months may be given to the candidate on recommendation of his/her RPC members, subject
to the approval of Asso. Dean (Academic Affairs)/ Dean (Academic Affairs). The research
proposal shall be submitted only after completion of the Course work. The candidate shall
submit, at least three days in advance, a copy of synopsis duly approved by the supervisor to
all RPC members. The synopsis shall include outline of the work with reference to problem
identification, objective, scope of work, methodology and results till date.
1.4.2.13 The Registration of the candidate for the Ph.D. Program will be confirmed on
successful completion of the course work (with minimum 7.0 CGPA) followed by
recommendation of the RPC members on his/her research proposal which shall be
approved finally by Asso. Dean (Academic Affairs)/Dean (Academic Affairs). The
supervisor and HOD will forward the report of Registration seminar to Academic Section.
The report shall include RPC recommendation and synopsis. If the performance of
candidate is not satisfactory in Registration seminar, then the RPC may not recommend the
case for Registration.

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1.4.2.14 Dean (Academic Affairs) will issue a notice indicating list of candidates
confirming their Registration in Ph.D. Program.
1.4.2.15 RPC shall recommend the courses to be undertaken by the candidate as per the
norms.
1.4.2.16 The Registration will be valid for a period of 6 years from the date of Registration
and no further extension will be granted under normal circumstances.
1.4.2.17 After 6 years, if the candidate wishes to continue research, the candidate will be
required to register again. The candidate should apply for re-registration before completion
st
of 6 years of registration period. If the re-registration application is received after 1
st
January / 1 July, the candidate will be required to register again following the procedure
for fresh candidates.
1.4.2.18 Guidelines for the disbursement of Institute Fellowship to Ph.D. research
scholar:
1. The fellowship of the candidate will start from his/her initial date of admission.
2. A Ph.D. scholar sponsored by the Institute will be granted fellowship for a maximum of
5 years from the date of joining the Ph.D. programme or until the submission of his or her
Ph.D. thesis, whichever is earlier, subject to the satisfactory performance of the student as
recommended by RPC from time to time.
3. If the student fails to maintain the CGPA 7.00 or above during course work, his/her
scholarship shall be stopped from the next month of the declaration of the results.
4. In case of any indiscipline created by Ph.D./M.Tech./JRF/SRF Student, his/her
scholarship will be stopped.
5. Up to the 3rd year of Ph.D. program (before completion of 4 Year from date of joining),
the student must publish at least one paper in a SCI/SCIE/Scopus indexed journal, failing
which the student's scholarship will be stopped in the fourth year.
6. Furthermore, up to the 4th year of Ph.D. program (before completion of 5 Year from date
of joining), the student must publish at least two papers in a SCI/SCIE/Scopus indexed
journal, failing which the student's scholarship will be stopped in the fifth year.
7. The disbursement of the scholarship will be resumed when the student will fulfil the
required criteria.
8. The above rules will be applicable for the newly admitted Ph.D. student (Academic Year
2022-23 onwards) who will receive institute scholarship.
9. The above rules (except rule at Pt. 4) are not applicable for the student’s availing
scholarship in Ph.D. programme from other funding agencies (CSIR, UGC, DST, etc.)

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1.5 SUPERVISOR FOR Ph.D.

1.5.1 A staff member of NITUK possessing Ph.D. will be recognized as a supervisor for the
Ph.D. Programmes at NITUK in their subject.
1.5.2 A supervisor can guide maximum four candidates for PhD Programme at a time in
NITUK, out of which maximum two candidates will be offered MHRD scholarship by the
Institute. Accordingly, annual intake of Ph.D. students will be decided by SPGB.
1.5.3 Faculty member of NIT Uttarakhand can act as Ph.D. Thesis Co-Supervisor of
student outside NIT Uttarakhand provided the student is studying in Government
Institution or any Private Institution (within NIRF 100 ranking).
1.5.4 Outside researchers can guide Ph.D. thesis as additional supervisors only. Principal
supervisor should be essentially from NITUK.
1.5.5 The co-supervisor of a Ph.D student from inside and outside the institute can be
added before confirmation of Ph.D registration. This is applicable for the serving faculty
members of the Institute.
1.5.6 The addition of co-supervisor from the institute and outside the Institute may be
allowed on the recommendation of RPC followed by DPGC and SPGB. The
recommendation will be implemented upon the approval of the Chairman Senate and the
same will be ratified in the upcoming senate.
For outside Co-Supervisor, following guidelines must be followed: -
Sl. No. Co-Supervisor is Resolution
from:
A. Academic Technical The Co-Supervisor must be from CFTIs,
Institute Government Institute, and Private Institutes within
NIRF 100 Ranking.
B. Medical Institute The Co-Supervisor must be at least MD/MS with 4
SCI/SCIE publications as first author and has
produced/supervised at least one Ph.D. student.
C. Industry/R&D Lab The Co-Supervisor must be at least
M.Tech./ME/MS/M.Sc. with at least five year
experience and have at least 4 SCI/SCIE
publications as first author and total ten publications.

1.5.7 If any faculty of the Institute leaves the Institute due to any reason, the main
supervisor/ co-supervisor of the Ph.D. students registered under him/her will be decided
based on the following conditions:

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 S. No. Status of the Guidelines
student
1. The Student has 1. A new supervisor will be allotted by a duly
not completed the constituted committee under the chairmanship
coursework. of Dean (Acad). The recommendation of the
committee will be implemented upon the
approval of the Chairman, Senate.
2. The student has 1. Main supervisor will become co-supervisor and
completed the co-supervisor (if any) will become main
coursework but supervisor automatically. An office order will be
he/she is not in a issued in this regard.
position to submit 2. Main supervisor will become co-supervisor and
his/her thesis the main supervisor (in case of no co-supervisor)
within the next will be allotted by a duly constituted committee
six months from under the chairmanship of Dean (Acad). The
the date, the main recommendation of the committee will be
supervisor leaves implemented upon the approval of the
the institute. Chairman, Senate.
3. The student is in a 1. Main supervisor will be allowed to continue as
position to submit the main supervisor for next six months.
his/her thesis 2. If the student doesn’t submit his/her thesis
within the next within the next six months, main supervisor will
six months from become co-supervisor and co-supervisor will
the date, the main become main supervisor automatically. In case
supervisor leaves of no co-supervisor, main supervisor will be
the institute. allotted by a duly constituted committee under
the chairmanship of Dean (Acad). The
recommendation of the committee will be
implemented upon the approval of the
Chairman, Senate.

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 4. Otherwise 1. A new supervisor will be allotted by a duly
constituted committee under the chairmanship of
Dean (Acad). The recommendation of the
committee will be implemented upon the
approval of the Chairman, Senate.

1.5.8 An additional supervisor / external supervisor can have maximum 3 candidates

registered under him/her at a time in NITUK.
1.5.9 In the subjects for which there are no recognized supervisors in NITUK, the external
supervisor alone can guide the Ph.D. work at NITUK.
1.5.10 The practice of change of Supervisor should be discouraged under the normal
circumstances. Candidate’s current supervisor and co-supervisor(s) shall sign the
application for change of supervisor jointly. Such applications if recommended by HoD
shall be considered by Asso. Dean (Academic Affairs) as Chairman, SPGB.
1.5.11 However, any application from the candidate or the Supervisor requesting for a
change may be considered and decided by a Committee comprising Dean (R&D), Dean
(Academic Affairs) and HoD of the concerned Department. In case, any of the above
committee members happens to be the Supervisor, the Director shall nominate a member in
lieu of the above Supervisor.

1.6 PLACE OF WORK

1.6.1 Normally the place of work will be NITUK.

1.6.2 The place of work other than NITUK, if approved by RPC, shall be mentioned in the
report of Registration or six monthly seminar.

1.7 PAYMENT OF FEES AND DEPOSITS

a) Application fee for Ph.D. registration: Rs. 500/-

b) Other fees:
(I) Registration Rs. 5,000/- (one time)
Tution fee Rs. 15,000/- (Annual)
Caution money Rs. 3,000/- (refundable)
Library fee Rs. 2,000/- (one time)
Development fee Rs. 10,000/- (annual)
------------------------------------------------------------------
TOTAL Rs. 35,000/-
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 ------------------------------------------------------------------
Rs. 35,000/- is to be paid before 31st January / 31st July.

(II) Subsequent years: Annual fees

Tution fee Rs. 15,000/-
Development fee Rs. 10,000/-
------------------------------------------------------------------
TOTAL Rs. 25,000/-
------------------------------------------------------------------
Rs. 25,000/- is to be paid before six monthly seminars of June / December.
(III) Examination fee:
The examination fee of Rs. 5000/- shall be paid by the candidate prior to the
submission of the thesis.

Note:
1. The delay in payment of annual fees may invite cancellation of registration. Payment of
fees is annual. Six-monthly seminar shall not be conducted without payment of fees.
2. All the staff members of NITUK will be exempted from the payment of annual fees.
However, they will have to pay a registration fee of Rs. 5000/- and examination fee of Rs.
5000/-.
3. Students who are staying in Quarters are required to pay license fees, water &
Electricity Charges, etc. as applicable for occupation of these quarters as per the Estate
Office Rules
4. If the thesis is submitted after 31st December /30th June, candidates are required to
pay the fees for next Academic session.

1.8 SCHOLAR’S ROLL NUMBER

1.8.1 Each Scholar shall be allotted an Identification Number during first registration and
which will be a permanent identification number.
1.8.2 The roll number of a Scholar shall consist of ten alpha-numerals (XXnnYYZmmm),
e.g. DT08EEJ001.

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 ‘XX’ Indicates Programme Code
Code Programme
DS Doctor of Philosophy in Science
DT Doctor of Philosophy in Technology
DH Doctor of Philosophy in Humanities, Social Sciences & Other
Areas
DB Doctor of Philosophy in Business Management

‘nn’ indicates year of admission

YY indicates department code
Z indicates code for area of research.

(2008 is indicated as 08)

(EE is for Electrical Engineering)
J for areas related to departments I for
Interdisciplinary area

mmm indicates Sr. No. in Programme

DT13EEJ001 indicates roll number 001 of
Ph.D scholar admitted in 2013 in
Electrical Engineering Department.

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2. ENROLLMENT AND ATTENDANCE

2.1. ENROLLMENT
Enrollment is a very important procedural part of the academic system. The enrollment
procedure ensures that the scholar’s name is on the roll list of each course that he/she wants
to study. No credit is given if the scholar attends a course for which he/she has not
registered. Registration for courses to be taken in a particular semester will be done
according to a specified schedule at the beginning of semester commencing from Aug/Jan.
Scholar’s Supervisor must approve the choice of courses. The Scholar must also take steps
to pay his/her dues before delivery of the seminar. Scholars should enroll themselves on a
stipulated date. Enrollment after the specified date will be allowed only once in duration of
completion of Programme. A scholar must meet his/her supervisor within the first week of
the new semester for confirmation of his/her registration. The relevant dates are included in
the Academic Calendar that is available before the start of the semester.

Part time Ph.D. scholars shall register within one month of declared date of registration.
These scholars note that this is a special favor and under no circumstances, further
extension shall be allowed. If a scholar is likely to be outstation during registration, he/she
shall seek prior permission from Dean (Academic Affairs). However enrollment dates shall
not be extended.

2.2 ENROLLMENT AND SCHOLAR STATUS

Enrollment by a scholar confirms his/her status as scholar at the Institute. Failure to enroll
before the last date for late enrollment will imply that the scholar has discontinued studies
and his/her name will be struck-off the rolls.
Every registered scholar, except part-time doctoral scholars, is considered as a full-time
scholar at the institute. They are expected to be present at the Institute and devote full time
to academics.
Scholars who have completed all course works are not required to register for the courses
any further. They should enroll themselves for next semester after delivering the six-
monthly seminars. Registration and enrollment procedures are required till submission of
Ph.D. thesis.

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2.3 ADVICE ON COURSES

At the time of Registration, each scholar must consult his/her Supervisor to finalize the
Academic Programme.

2.4 REGISTRATION VALIDATION

Before the first day of classes, every scholar is required to be present on campus and
validate his/her registration. Scholars who do not do registration validation (enrollment of
courses) will not be permitted to add/drop courses.

2.5 MINIMUM SCHOLAR REGISTRATION IN A COURSE

Ph.D. scholars can register / enroll for only 500 or 600 level courses. There is no
requirement of minimum number of enrolled students to run a course where these Ph.D.
scholars are registered.

2.6 LATE REGISTRATION / ENROLLMENT

Late registration is permitted under the following conditions:

A scholar, who was not in the campus during the period of registration in the previous
semester needs to complete the registration process on or before the first day of the semester
before Late Enrollment. For reasons beyond his/her control, if a scholar is not able to enroll,
late enrollment is permitted until one week after the start of the semester. However, this
facility can be availed only once in the duration of program.

2.7 ADDITION, DELETION, AUDIT AND WITHDRAWAL FROM COURSES

(a) Add/Drop: A scholar has the option to add a course(s) that he/she has not registered for,
or drop a course(s) for which he/she has already registered for. This facility is restricted to
the first week of the semester.
(b) Audit: A scholar may apply for changing a credit course to an audit one within one
week of the end of the first sessional examination.
(c) Withdrawal: A scholar who wants to withdraw from a course should apply within one
week of the end of first sessional examination. A withdrawal grade (XX) will be awarded
in such cases. A course withdrawal will not be permitted if the number of students in that
course drops to less than 6 on account of course withdrawal by the students and in such, a
case no student will be allowed to withdraw from that course.

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2.8 SEMESTER WITHDRAWAL

If a scholar is absent for more than 20 teaching days in a semester on medical grounds, then
he/she may apply for withdrawal from that semester, i.e. withdrawal from all courses
registered in that semester. Application for semester withdrawal must be made as early as
possible and latest one week before the start of the End Semester Examination. Partial
withdrawal from courses registered in a semester is not allowed.
Scholars registered under Research Programme can not withdraw the main Project
XXD601 (For PhD). Semester withdrawal for these scholars shall exclude subjects
XXD601.

2.9 REGISTRATION IN SPECIAL MODULE COURSES

Special module courses, i.e. V-category courses, can be offered at the beginning of the
semester in which case the regular registration procedure will be followed. A V-category
course may also be offered during the semester. In such a case, scholars will be allowed to
add this course before classes for the course begin.

2.10 REGISTRATION FOR ACADEMIC WORK AT OTHER INSTITUTIONS

Scholars planning to do academic work, i.e. take courses or do part of project work, at
another institution in India or abroad, need to register prior to proceeding for such work.
This includes scholars going out on exchange Programmes arranged through the institute
and scholars intending to do project work at other institutions. Prior approval of the
Supervisor, RPC, HoD and Dean (Academic Affairs) is required before proceeding on such
studies for full time scholars. Prior approval of the Supervisor, RPC is required before
proceeding on such studies for part time scholars.

2.11 PRE-REQUISITE REQUIREMENT FOR REGISTRATION

Ph.D. scholars are exempted from prerequisite requirements for all courses.

2.12 FEES PAYMENT

Every registered scholar must pay the stipulated fees (including Hostel Dues) in full before
the six monthly seminar. In the event that a scholar does not make these payments, he/she
will be de-registered from all courses and his/her name will be struck-off the rolls.

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2.13 REGISTRATION RECORD

The scholar should ensure that all the relevant information is entered in the Registration
Record. Queries related to registration will be considered only when accompanied by the
original Registration Record. This record must be preserved until the semester grade card is
received by the scholar.

2.14 CONTINUOUS ABSENCE AND REGISTRATION STATUS

If a full time scholar is absent from the Institute for more than four weeks without notifying
the Supervisor or Head of Department or Dean (Academic Affairs), his/her registration will
be terminated and name will be removed from the Institute rolls.

2.15 ATTENDANCE RULE

2.15.1 All scholars must attend every lecture, tutorial and practical class. However, to
account for late registration, sickness or other such contingencies, the attendance
requirement will be a minimum of 75 % of the classes actually held.
2.15.2 A scholar with less than 75% attendance in a course during the semester, in lectures,
tutorials and practicals taken together (as applicable), will be awarded ‘W’ attendance in
that course irrespective of his/her performance in the tests. The course coordinator will
award ‘W’ grade to the scholar who is deficient in attendance taking into account the
consolidated attendance record for the whole semester for the course concerned. For the
purpose of attendance calculation, every scheduled practical class will count as one unit
irrespective of the number of contact hours.
2.15.3 Attendance record will be maintained based upon roll calls (or any equivalent
operation) in every scheduled lecture, tutorial and practical class. The course coordinator
will maintain and consolidate attendance record for the course (lectures, tutorials and
practicals together, as applicable).
2.15.4 To account for circumstances beyond control, scholars shall be permitted in only
one semester (only once in the duration of Programme) the attendance below 75%,
provided it is at least 65%. Attendance grade of L shall be awarded in such cases.
2.15.5 The attendance grade shall be awarded as per following table.

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 Sr. No. Attendance Grade Remark
1  65% but  75% L If L grade is not awarded earlier
2  65% but  75% W If L grade is awarded earlier
3  65% W -

2.16 LEAVE REGULATIONS FOR FULL TIME Ph.D. CANDIDATE

Ph.D. research scholars will get Casual Leave (CL) of 8 days, Restricted Holiday (RH) of 2
days and Medical Leave of 15 days in a calendar year, excluding Institute's holidays. The
Ph.D. research scholars will also be eligible for Special Duty Leave of 10 days in a
calendar year to present research papers in conference/symposium/Sample analysis from
other institutes/Workshop/STTP/STC, etc. Such leaves should be approved by the Head of
Department concerned on the recommendation of the Supervisor and a proper leave
account of each scholar shall be maintained by the Department. Further, if Ph.D. research
scholars need extra leave for field survey and experimental studies, Research Progress
Committee (RPC) of the student will look into the matter and will give their
recommendation for number of leaves as requested by the student for approval of the
Chairman, Senate. Women research scholars will be eligible for Maternity Leave with
assistantship for a period not exceeding 135 days once during the tenure of their award.

2.17 ATTENDANCE REQUIREMENTS FOR ASSISTANTSHIP

A Ph.D. scholar irrespective of the source of research assistantship while pursuing course
work, must attend at least 75 % of classes in each course in which he/she is registered. In
case his/her attendance falls below 75 % in any course during a month, he/she will not be
paid Assistantship for that month. Further, if his/her attendance again falls short of 75 % in
any course in any subsequent month in that semester, his/her scholarship and Assistantship
will be terminated. A research scholar after having completed the course work must attend
to his/her research work on all the working days and mark attendance except when he/she
is on duly sanctioned leave.
All scholars who are offered assistantship are required to register for a special course
(XXD603) with Satisfactory/Unsatisfactory grade. They are expected to put in 8 hours per
week towards the work assigned by the Institute. Continuation of assistantship in a
subsequent semester would be conditional to obtaining a satisfactory grade in this course.

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3. DEGREE REQUIREMENTS, REGULATIONS AND PROCEDURES

3.1 COURSE REQUIREMENTS

The award of Ph.D. degree is in recognition of high achievements, independent research

and application of scientific knowledge to the solution of technical and scientific problems.
Creative and productive enquiry is the basic concept underlying the research work. In order
to overcome any deficiency in the breadth of fundamental training or proper foundation for
advanced work, special preliminary or pre-doctoral courses are given by each
department/centre. These courses are given either by faculty members or by guest-speakers
and specialists in the profession.
Candidates registered for Ph.D. Programme shall be required to Audit two three-credit
courses XXL601 (Communication Skills) and XXL602 (Research Methodology) offered
by any department (departments shall offer the course every year in rotation) in addition to
the minimum course work specified by the RPC.
Candidates having a M.Sc./M.A. or equivalent degree are required to complete a minimum
of 12 credits. Relaxation up to 6 credits in the course work can be considered for those with
M.Phil. degree. M.Tech. or equivalent degree holders are required to complete a minimum
of 6 credits. The departments may require a larger number of credits in general or in
specific cases. The additional course requirement will be determined by the RPC on the
recommendations of the supervisor after due consideration of the background of the scholar
in relation to the proposed topic of research. These courses can be prescribed from existing
M.Tech. courses, special pre-Ph.D. courses including laboratory, seminar, foreign
language, etc. Normally, no independent study course will be allowed for Ph.D. scholars.
However, self-study courses can be permitted if the recommended courses are not offered
in the first calendar year.
The Ph.D. student has to maintain minimum 7.00 CGPA in the course work for
confirmation of Ph.D. registration. If the CGPA at the end of 1st/2nd Semester is less than
7.00, he/she will be required to register for more courses on the recommendation of his/her
RPC in order to make up the required CGPA. If the CGPA of the student at the end of 3rd
Semester is below 7.00, his/her doctoral Programme will be automatically terminated. The
student cannot repeat the same course if he/she has passed the course. All the earned credits
will be considered in CGPA calculation. The course work must be completed within the
first three semesters of joining the Ph.D. programme.

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3.1.1 ADDITIONAL RULE FOR THE SPECIAL EXAMINATION

3.1.1.1 In case a student is absent in MTE on legitimate grounds such as serious medical
problem, death of first blood relative etc., Special MTE shall be conducted normally within
10-15 days from the last date of corresponding MTE. Such requests, for Special MTE, by
students shall be approved by the respective HoDs on the recommendations of the concerned
course coordinator.

3.1.1.2 In case a student is absent in ETE on legitimate grounds such as serious medical
problem, death of first blood relative etc., the student may apply for Special ETE which shall
be conducted normally within 10 days from the last date of corresponding ETE. Such
requests, for Special ETE, by students shall be approved by the Dean Academic/Associate
Dean Academic on the recommendation of the concerned HoD.

3.2 SEMINARS DURING Ph.D. WORK

3.2.1 The candidate is required to give a seminar on the progress of his / her project work
every 6 months in respective departments after the confirmation of Ph.D Registration till
pre-submission of the thesis. This will be done during the Ph.D. seminar weeks indicated in
the Academic calendar. In case, the pre-registration seminar of a student is being conducted
in between the running semester, his/her six-monthly evaluation will be conducted from the
next semester. In such case, supervisor will submit the recommendation form on the six
monthly progress of the student for that semester as submitted in each semester before
confirmation of PhD registration. The details of confirmation of Ph.D Registration of a
students is mentioned in para 1.4.2.12 & 1.4.2.13.
3.2.2 The time-table for the 6 monthly seminars shall be displayed by HoD at least 15 days
prior to it. Also, a brief write-up outlining the work previously done, the current status and
the future plans should be submitted to the RPC members at least 3 days prior to the date of
seminar.
3.2.3 The report of the RPC after each 6 monthly progress seminar shall be duly forwarded
to the Office of Dean (Academic) by the concerned department in an appropriate format.
KK grade will be awarded if the progress is ‘satisfactory’ in that semester. If the progress is
‘unsatisfactory’, UU grade will be awarded.
3.2.4 If the report of 2 consecutive review seminars is unsatisfactory, RPC may recommend
discontinuation of registration. If 3 consecutive seminar reports are unsatisfactory or if 4

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seminar reports are unsatisfactory, the registration shall be automatically cancelled. If
seminar is not given, it shall be considered as unsatisfactory.
3.2.5 Six monthly seminar shall be conducted only if annual fees are paid. No further
seminar shall be conducted without payment of fees. Six monthly reports shall be
considered as unsatisfactory if the six monthly seminar is not permitted.
3.2.6 A student is required to work as JRF for minimum of two years from the date of
joining in Ph.D program and he/she should complete the course work as per Ordinances to
become eligible for application for up-gradation to SRF. An External member & the
research progress committee (RPC), under the chairmanship of Dean (Academic Affairs) or
Asso. Dean (Academic Affairs) will review the performance of the student for
recommendation his/her upgradation from JRF to SRF. An external assessment is
compulsory for enhancement of fellowship from JRF to SRF. The External Examiner can
be a Professor or an Associate Professor (with five year experience). This should be
approved by Chairman (Senate). Only GATE/NET/DST-Inspire candidates are eligible for
the same. Annual Satisfactory Assessment is mandatory to continue the benefit of
fellowship during SRF period.
3.2.7 The assessment for upgradation from JRF to SRF will be conducted based on the
recommendation of the Supervisor and approval from Dean (Academics) after fulfilling all
the requirements as per Ordinances. The student has to submit the two years completion
form one month before completion of two years. The supervisor has to either forward the
application to Academic section through proper channel or return to the student for
improvement with a copy to Dean (Academics). The supervisor can further initiate the
process for nomination of expert from Competent Authority. The date of recommendation
for enhancement of fellowship of PhD scholars from JRF to SRF shall be considered
accordingly with the approval of Chairman (Senate).

3.3 ABSENCE DURING THE SEMESTER FOR COURSES REGISTERED

a. A scholar must inform the Supervisor or HoD or Dean (Acad) immediately of any
instance of continuous absence from classes.
b. A scholar who is absent due to illness or any other emergency, up to a maximum of
two weeks, should approach the course coordinator for make-up quizzes,
assignments and laboratory work.
c. A scholar who has been absent from Mid Term Examination of a course work,
regulations of UG and PG programme shall be applicable.

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 d. In case the period of absence on medical grounds is more than 20 working days
during the semester, a scholar may apply for withdrawal from the semester, i.e.
withdrawal from all courses registered in that semester. Such application must be
made as early as possible and latest one week before the start of the End Sem
Examination. No applications for semester withdrawal will be considered after that.
Dean (Academic Affairs), depending on the merit of the case, will approve such
applications. Partial withdrawal from courses registered in a semester is not
allowed.
e. If a scholar is continuously absent from the institute for more than four weeks
without notifying the Supervisor / HoD / Dean (Academic Affairs), his/her name
will be removed from Institute rolls.

4. REGULATIONS GOVERNING PH.D. SCHOLARS

4.1 THESIS WRITING

The thesis shall normally be written in English in the specific format and shall contain a
critical account of the candidate’s research. It should be characterized by discovery of facts,
of fresh approach towards interpretation of facts and theories or significant contribution to
knowledge of design or development, or a combination of them. It should bear evidence of
the candidate’s capacity for analysis and judgment and also his / her ability to carry out
independent investigation, design or development. A thesis should normally be
supplemented by published work. No part of the thesis or supplementary published work
shall have been submitted for the award of any other degree/ Diploma. The format of thesis
cover page, and other inner pages including declarations are uploaded on Institute website.
The thesis should be bounded in the same sequence. The list of publications along with the
front pages of each publication should be attached at the end of the thesis. Following
criteria should be followed for the thesis:

Sr. No. Item Specification

1. Colour of the Ph.D. thesis Sky Blue, Colour code
#87CEEB
2. Margin setting of inside pages Orientation Portrait
Top 0.98”
Inside 1.38”
Bottom 0.49”
Outside 0.49”
Multiple Mirror Margin
Pages

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 3. Line spacing 1.5
4. Size of Ph.D. thesis A4 size
5. Papers to be used for printing A4 size bond papers with 80
gsm or above

Initially, four soft-bound copies of the thesis along with one CD should be submitted for
review which should be submitted in the form of hard bound after final revision of the
thesis.

4.1.1 FORMS FOR SUBMISSION OF PHD THESIS

The various forms in respect of submission of Ph.D. thesis are available in Academic
Section or it may be downloaded from Institute website.

4.2 SUBMISSION OF THESIS

4.2.1 A scholar can submit his / her Ph.D. thesis only after a period of 3 years from the date
of initial Ph.D. Registration for full-time or part-time Programme provided that he/she has
completed required course work with minimum 7.0 CGPA.
4.2.2 Candidate who has re-Registered under the supervisor and with the topic identical to
earlier registration will not have minimum time restriction for submission of thesis.
4.2.3 A candidate must have:
(i) One paper accepted/published in SCI/SCIE indexed journals and at least one paper
accepted/published in non-paid SCI/SCIE/Scopus indexed journals or
International/National conference from his/her Ph.D. thesis for the award of degree in
Engineering and Science stream.
(ii) One paper accepted/ published in Scopus Indexed UGC approved journals and at least
one paper accepted/published in an International/National conference, from his/her Ph.D.
thesis before the submission of Ph.D. Thesis for Humanities stream. However, the other
journal “The Indian journal of English Studies” will be considered for submission of thesis
for Humanities.
However, the students admitted from 2023 onwards must have two papers
accepted/published in SCI/SCIE/Scopus indexed journals from his/her Ph.D. thesis for
submission of thesis and award of PhD degree in Engineering and Science stream.
4.2.4 Pre-submission seminar will be delivered by the candidate on completion of work. The
thesis can be submitted if pre-submission seminar report by RPC is satisfactory.
4.2.5 Thesis should be submitted within 3 months of pre-submission seminar.

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4.2.6 The student is supposed to have completed the work when the thesis is submitted.
The student remains registered with the Supervisor till the successful defence.
4.2.7 A student is required to submit 4 copies of the synopsis (soft bound) along with the
soft copy in PDF format in a CD to the Academic Section.
4.2.8 A student is required to submit 4 copies of the Ph.D. thesis (soft bound) along with
the soft copy in PDF format in a CD to the Academic Section.
4.2.9 Color specification of the Thesis cover page: Sky blue, Colour code #87CEEB.
4.2.10 The Limit of confidence for the plagiarism report of Ph.D. thesis:
10% similarity index shall be the threshold for Ph.D. thesis after excluding the self-
publications, references, quoted text and matches upto 10 words. The limit may be relaxed
upto 20% with proper justification of the supervisor and approval of the Dean (Academic
Affairs). The supervisor shall be responsible for the plagiarism Check and a record of
which will be maintained in the office of Dean (Academics).

4.3 EVALUATION OF THE THESIS

4.3.1 The Supervisor(s) will submit a list of five Examiners within India & five Examiners
from abroad who are Professors and Associate Professors, directly to Dean (Academic
Affairs) in a sealed envelope. Any Professor and at most maximum two Associate Professors
(with five years experience) can be a possible external examiner for evaluation of Ph.D.
thesis. H-index of faculty must be mentioned while submitting the list of examiners. Dean
(Academic Affairs) will submit the same list before Chairman, Senate for his consideration
and approval. The Chairman, Senate will select two examiners for evaluation of the thesis
from this list.
4.3.2 The Thesis should be evaluated by one Indian and one Foreign Examiners or two
Indian examiners nominated by Chairman (Senate) from the panel of five Examiners within
India & five Examiners from abroad.
4.3.3 After the synopsis has been submitted and the thesis examiners have been selected by
Chairman Senate, the Dean Academics will send a confidential letter/E-Mail to each
approved member of the thesis board enclosing a copy of the synopsis and requesting
him/her to serve as an examiner for the thesis. If, either of the examiner refuses or no
response is received within four weeks (with a reminder being sent after two weeks), then
steps will be taken to appoint another Examiner(s).

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4.3.4 On receipt of the acceptance from the examiner, a hard copy of the thesis along with a
copy of Ph.D examiner’s recommendation form will be sent to each examiner. The soft copy
of the thesis can be sent via e-mail also.
4.3.5 The names of the Examiners of the thesis shall be kept confidential till successful
completion of the Ph.D. viva. However, on completion of Ph.D. thesis evaluation, Dean,
Academic will send the copy of thesis evaluation report to the thesis supervisor(s) along with
the details of the Indian examiner so that the name can be included in the proposed list of the
members of Ph.D viva.
4.3.6 In case Dean Academics is the supervisor of the student concerned, above processing
will be done by the Chairperson, SPGB.
4.3.7 If both the Examiners give favorable reports, the candidate will be eligible for Ph.D.
degree on successfully defending the open defence and viva-voce and after the
recommendation of the Senate.
4.3.8 If the Examiner(s) recommends acceptance of the thesis subject to major
modifications, the thesis can be resubmitted only once after incorporating the
modifications, within a period of one year. The thesis so resubmitted shall be examined by
the same Examiner(s).
4.3.9 If Examiner(s) recommend acceptance of the types with minor modifications only,
the thesis is to be corrected before open defence and viva-voce. External Examiner shall be
confirmed regarding corrections suggested by both Examiners are included. Candidate shall
be provided a copy of detailed reports of both Examiners.
4.3.10 In case the report of one of the Examiners is not favorable then the thesis will be
sent to the third Examiner. If the report of third Examiner is favorable then only the
candidate will be considered eligible for Ph.D. degree.
4.3.11 If reports of two examiners are favorable then the candidate shall be required to
defend his / her Ph.D. thesis (open defence and viva-voce) before the committee consisting
of the following members.
i) One of the External Examiners of the Ph.D. thesis (Indian Examiner)
ii) Supervisor & Co-Supervisor (If any).

The final Ph.D. Defense will be an Open House event. However, only the above members
will sign the certificate. In case, the Examiner is unable to attend the viva-voce for any
reason, the Director is empowered to nominate one expert in the field from the local area.
The candidate should submit 3 hardbound copies of thesis incorporating all suggestions of

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Examiners. After successful defence, out of three copies, one copy each will be issued for
record, library and department.
4.3.12 A thesis rejected by two examiner(s) may be resubmitted after revision, not earlier
than one year and not later than three years from the date of such intimation to the scholar
by the Academic Section. The thesis so resubmitted may be examined by the same referees
or by new referees.
4.3.13 Rejection of the thesis so resubmitted will disqualify the scholar from further
consideration for the award of the Ph.D. degree, in the topic of research chosen by him /
her.
4.3.14 Remuneration for Ph.D. Thesis evaluation
The following remuneration is payable for the PhD thesis evaluation
Indian Examiner Rs. 5000/- for Thesis evaluation and
Rs. 5000/- for viva voce examination
Foreign examiner USD 400/-

4.4 CANCELLATION OF REGISTRATION

4.4.1 Candidate alone or candidate & supervisor(s) jointly can apply for cancellation HoD,
Dean (Academic Affairs) shall consider these cancellations.
4.4.2 Supervisor can apply cancellation of registration of scholar without consent of scholar
giving reasons. However, such applications shall be considered by SPGB.

4.5 SENATE POST GRADUATE BOARD (SPGB)

The annual intake of Ph.D. students at Institute shall be decided by SPGB. All issues
related to Ph.D. curriculum and its conduct shall be framed and approved by SPGB.
Accordingly, the Ph.D. Ordinances be updated from time to time after due approval of the
same by Senate.

4.6 BOARD OF STUDIES IN INTERDISCIPLINARY RESEARCH

a) The board of studies in interdisciplinary research shall comprise the following :
Chairman : Dean (R&C)
Members : All HoDs
b) The faculty (Engineering / Science) in which the candidate shall be registered for
interdisciplinary research would be based on his/her qualification and eligibility.
c) For monitoring the progress of Research, a Research Progress Committee (RPC)

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 may be constituted as per the regulations (item 1.4.2.11) already in force.

4.7 FINAL SUBMISSION OF THESIS AND AWARD OF DEGREE

(a) After the viva-voce examination, the viva-voce recommendation form should be
submitted in the Academic Section through proper channel for approval of the Competent
Authority.
(b) The candidate has to submit three hard bound copies of the thesis [excluding
supervisor(s) and student copies] along with soft copies in CDs after incorporating all
necessary corrections after viva-voce (if any) for the award of degree. All three copies of
thesis along with CDs should be submitted in the Academic Section.
(c) The student has to submit the degree award form in the Academic section for the award
of the degree.

4.8 IPR NOTICE

The relevant IPR notice to be incorporated in the soft/hard bound thesis, reports etc. shall
be chosen from the following:
a) The thesis/report etc. for which formal copyright application has NOT been filed should
carry the copyright notice as:
© National Institute of Technology Uttarakhand (NITUK), 200 ... [year of
submission of the thesis/ report].
b) The thesis/report etc. for which formal copyright application has been filed with the
copyright office. Should carry the copyright notice as:
© National Institute of Technology Uttarakhand (NITUK), 200 ... [year of
submission of the thesis/ report]. All right reserved. Copyright Registration
Pending.
c) The thesis/report etc. and for which in-addition to a formal copyright application with
the Copyright Office, patent/design application has also been filed with the patent office,
should carry the “IPR Notice” as:

Intellectual Property Right

Notice
Part of this thesis may be protected by one or more of Indian Copyright Registrations (Pending)
and/or Indian Patent/ Design (Pending) by Dean, Research & Consultancy, National Institute of
Technology Uttarakhand (NITUK), 200 ...[year of submission of the thesis/ report]. India. NITUK

26
 restricts the use, in any form, of the information, in part or full, contained in this thesis ONLY on
written permission of the Competent Authority: Dean, R&C, NITUK.

The notices at b and ‘c’ should ONLY be, repeat ONLY be inserted after the formal
application(s) has (have) been filed with the appropriate office(s) as the case may be and
the same has been confirmed by Dean R&C office.

4.9 ADDITIONAL RULES FOR STAFF OF THE INSTITUTE

4.9.1 If a member of the academic staff, who is registered for the degree, leaves the
Institute before the minimum period of registration is completed, he/she will be permitted
to submit his thesis in due course, provided RPC recommends that:
(a) A substantial part of the research has been completed at the Institute; and
(b) Any additional work required can be adequately supervised.

4.9.2 A member of the academic staff who has commenced his research before joining the
Institute may, at the discretion of the RPC and on the recommendation of the Supervisor
through the RPC concerned, be permitted to include in his period of registration, part or all
of the time spent on research before joining the Institute, up to a maximum of one year.

4.9.3 A member of the non-academic staff of the Institute who satisfies eligibility
qualifications may be considered for admission to the degree as a part-time candidate
provided the Director of the Institute duly approves his/her application.

4.10 MULTIPLE ENTRY MULTIPLE EXIT AND ACADEMIC BANK

CREDIT AS PER NEP 2020

Flexible Academic Program (FAP) in Academic Curriculum of NIT Uttarakhand is proposed

through Multiple Entry Multiple Exit and Academic Bank Credit as per NEP 2020. The details
are as follows:
(a) Multiple Exit Policy
After successful achievement of the target, Ph.D. student may opt for exit as under:
Certificate/
Degree Year Entry Exit Diploma
Degree/
Ph.D. Must have successfully
As per entrance Post Research
(Total number - completed the course work (with
requirement of NITUK Diploma
of students to minimum 7.0 CGPA) and

27
be admitted obtained satisfactory in
will be 10% of Registration seminar and
Ph.D Intake) Accepted/Published one Journal
Paper/Conference Paper/Book
Chapter

(b) Multiple Entry Policy: A PhD student, who leaves the programme mid-way due to some
unforeseen circumstances, shall be allowed re-entry into that programme in the year in
which he/she would have otherwise continued, on the production of a valid reason.
(c) Academic Bank of Credits: In order to implement Multiple Exit and Multiple Entry
policies, Academic Bank of Credits shall be established for all the students.

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