There shall be three categories of Ph.D. candidates.

2.1 Full-time Research Scholar: A candidate who have been admitted to the Ph. D. programme through Research Eligibility Test (RET)/UGC-NET or by direct admission based on the eligibility criteria mentioned in Clause 2 and shall be referred to as a full-time research scholar. Full time candidates will fulfil all the required standards of the university norms applicable to regular students.

2.2 Part Time candidates: Candidates working in Industrial units, Colleges, Government departments, Research organizations or other Institutions, sponsored for pursuing Ph.D. Programmes in this University while continuing to serve in their respective Institutions/organizations recognized as Research Centre by The ICFAI University Sikkim, shall belong to this category. They shall pursue research in their place of employment and/or in this University.

• Ph.D. Programme shall be for a minimum duration of three (3) years, including course work, and a maximum duration of six (6) years from the date of admission to the Ph.D. programme.
• (2) A maximum of an additional two (2) years can be given through a process of re- registration as per the Statute of the University, however, that the total period for completion of a Ph.D. programme should not exceed eight (8) years from the date of admission in the Ph.D. programme. Provided further that, female Ph.D. scholars and Persons with Disabilities (having more than 40% disability) may be allowed an additional relaxation of two (2) years; however, the total period for completion of a Ph.D. programme in such cases should not exceed ten (10) years from the date of admission in the Ph.D. programme.
• (3) Female Ph.D. Scholars may be provided Maternity Leave/Child Care Leave for up to 240 days in the entire duration of the Ph.D. programme.

• The University shall decide and notify well in advance in the University website subject/discipline-wise number of seats available and schedule for tests and interviews for admission.
• University Departments shall admit Ph.D. students through an entrance exam called the RET followed by personal Viva-Voce interview which will be conducted at the level of the University Departments.
• Candidates who have qualified for fellowship/scholarship in UGC-NET/UGC-CSIR NET/GATE/CEED and similar National level tests shall be exempted from appearing in the written entrance test. Such candidates shall, however, have to appear in the Personal Interview.
• The RET Examination syllabus shall consist of 50% of research methodology, and 50% shall be subject specific.
• The merit list for admission shall be drawn up taking into consideration both the marks obtained in written test and Viva-voce.
• Only those candidates who would qualify in the written test shall be considered eligible to appear for Personal Interview Viva-Voce given the condition that the candidate should at least score the qualifying marks of 50% in the RET Examination.
• The University may decide the number of eligible students to be called for an interview based on the number of Ph.D. seats available.
• A relaxation of 5% marks will be allowed in the entrance examination for the candidates belonging to SC/ST/OBC, differently-abled category, Economically Weaker Section (EWS), and other categories of candidates as per the decision of the Commission from time to time.
• Candidates applying for inter-disciplinary research study shall apply only in the Department of a discipline/subject in which he/she has been awarded the PG degree. The co-supervisor is not mandatory and it is based on the recommendation of the Research Advisory Committee.

• All full time and part time Ph.D. scholars are required to work under the guidance of a recognized supervisor allotted from the University.
• The part time (external) candidates shall be required to have, in addition to a research supervisor from the respective department of this University, a recognized Co- Supervisor/Research coordinator from the institution/organization/department where he/she is employed, who is responsible to provide all necessary resources and help to complete the research work in a time bound manner. The institution/organization/department where the candidate will pursue his/her research work should be recognized as a research centre by the university.
• When a supervisor of a candidate happens to be away from the University, for more than one year, he/she may continue to guide the candidate, but a supervisor belonging to the same department of the university shall be officially nominated as a co-supervisor by the University Research Council and forwarded to the Vice Chancellor through the office of the Registrar for approval.
• If the supervisor leaves the University, he/she may be permitted to continue as a supervisor for his/her students depending upon the availability of the individual, subject to the approval of the Vice Chancellor. Otherwise a new supervisor belonging to the same department of the university officially nominated by the University Research Council will be appointed as the supervisor after obtaining necessary approval from the Vice Chancellor through the office of the Registrar for approval.

Subject to the general superintendence of the Academic Council, the following Committees shall deal with all matters connected with the Ph.D. programme of the University in accordance with these guidelines:

6.1 University Research Council (URC)

6.2 Departmental Research Committee (DRC)

6.3 Research Advisory Committee (RAC)

6.1 University Research Council (Urc)

6.1.1 The role of URC is to formulate and lay down policy guidelines for the conduct of Ph.D Degree programmes, to ensure high standards of research work in such programmes and as the policies framed by the UGC from time to time.

6.1.2 The composition of the University Research Council shall be as follows:

1. The Vice Chancellor - Chairperson
2. Two external experts nominated by Vice Chancellor - Members
3. Dean Academics
4. One faculty member from each Department to be nominated by the Vice Chancellor
5. Registrar- Member Secretary

6.1.3 The term of the office of the members (other than ex-officio members) will be three years from the date of nomination;

6.1.4 The University Research Council shall meet at least twice in a year;

6.1.5 Two third majority of the total membership shall form the quorum for any meeting;

6.1.6 Subject to the provisions of the Act and Statutes, the University Research Council shall perform the following functions:

• Policies relating to and oversee research for Ph.D Degree programmes.
• Guidelines for registration of students, thesis supervision, programme design and thesis evaluation;
• Research indicators for such evaluation;
• Review and recommend thrust areas for research;
• Delegation of any of its functions to the concerned DRC;
• Preparation of the consolidated reports on research efforts of the University;
• Any other work related to research development and coordination.

6.2 Departmental Research Committee (Drc)

6.2.1 The composition of the Departmental Research Committee will be as under:

1. Registrar: Chairperson
2. Head of the Department: Member
3. Two Faculty Members (including Associate and Assistant Professors) one from the Department and one from allied Department within School.
4. Dean : Member Secretary

6.2.2 Provided, however, the total number of internal and external members shall not exceed six.

6.2.3 The functions of Departmental Research Committee shall be as under:

• Appoint Supervisor and constitute RAC for each student;
• Scrutinize applications and make admissions in Ph.D programmes including migration cases;
• Consider the recommendation of RAC for action as required;
• Perform such functions as are required for operationalization of the doctoral programmes;
• In exceptional cases, recommend exemption from course work within the framework of UGC regulation.

6.2.4 The Departmental Research Committee (DRC) shall meet as and when necessary;

6.2.5 Two third of the total membership shall form the quorum for the meeting;

6.2.6 The tenure of members of the DRC shall be three years. A member can be re-nominated for another term.

6.3 Research Advisory Committee (Rac)

6.3.1 The composition of RAC shall be as follows:

1. Ph. D Supervisor (Chairperson);
2. Co-Supervisor, if any
3. One University faculty expert preferably in the concerned area from within the Department, recommended by DRC;
4. One University faculty expert from outside the Department recommended by the DRC.

6.3.2 RAC shall perform the following functions:

• The RAC shall approve the syllabi for the course work,
• Scrutinize the research proposal/synopsis and finalize the thesis topic,
• Ascertain the availability of facilities required for the proposed research,
• Periodically monitor the progress of the candidate’s work and advice the candidate,
• Approve the Synopsis of the thesis prior to send it to DRC,
• Recommend to DRC the panel of examiners,
• To meet once in six months and review the progress of research of the candidate,
• The biannual meeting of RAC shall continue till the candidate submits the thesis for evaluation,
• The RAC shall also recommend cancellation of the Ph.D. registration and enrollment if the candidate does not show perceptible progress in research work as directed by the RAC.
• Before recommending the cancellation of Ph.D. registration and enrollment, the RAC may record its recommendation to the candidates and failure of the candidate in implementing the recommendation with regard to the research work.

(1) Permanent faculty members working as Professor/Associate Professor in the ICFAI University Sikkim with a Ph.D., with at least five research publications in peer-reviewed or refereed journals and permanent faculty members working as Assistant Professors in the ICFAI University with a Ph.D., with at least three research publications in peer- reviewed or refereed journals is considered to be recognized as a Research Supervisor.

(2) For Ph.D. scholars working in Central government/State government research institutions whose degrees are given by Higher Educational Institutions, the scientists in such research institutions who are equivalent to Professor/Associate Professor/Assistant Professor can be recognized as supervisors if they fulfill the above requirements.

Provided that in areas/disciplines where there is no, or only a limited number of peer- reviewed or refereed journals, the University may relax the above condition for recognition of a person as Research Supervisor with reasons recorded in writing.

Co-Supervisors from within the same department or other departments of the University or other University may be permitted with the approval of the Vice Chancellor.

(3) In case of interdisciplinary/multidisciplinary research work, if required, a Co- Supervisor from outside the University shall be appointed on approval of the Vice Chancellor.

(4) An eligible Professor/Associate Professor/Assistant Professor can guide up to eight (8)/six (6)/four (4) Ph.D. scholars, respectively, at any given time.

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

(1) Each Supervisor can guide upto 2 International research Scholars on a supernumerary basis over and above the permitted number of Ph.D. Scholars as specified in point 8 (3).

(2) The University may decide its own selection procedure for Ph.D. admission of International students keeping in view the guidelines/norms in this regard issued by Statutory/Regulatory bodies concerned from time to time.

(1) At the time of admission a candidate is given provisional registration.

(2) After submission of the required fees, a Roll Number will be assigned to the applicant by the Admission Office.

(3) Applicants provisionally admitted to the Ph.D. program will be required to contact the Head of the concerned Department to get acquainted with research facilities & faculty members of the Department.

(4) The concerned Department shall call the meeting of the Departmental Research Council (DRC) to finalize the field of interest of the candidate, Supervisor(s) for the candidate and course work required for his enrolment to the Ph.D. program.

(5) To obtain permanent registration, the University should ensure that the candidate has successfully completed the PhD coursework and defended his/her Research Proposal before concerned Research Committees.

(6) However, each scholar shall require to register in the beginning of every semester. The renewal of registration shall be subject to satisfactory progress in his/her research work as recommended by the DRC. Candidates who fail to fulfill the above conditions shall not be re-registered and would cease to be a student.

(7) In case, a scholar fails to register for two successive semesters his/her admission and registration ought to be cancelled automatically.

(8) Under exceptional cases, a candidate may be allowed to temporarily withdraw from Ph.D. Program, only after a period of two semesters since admission, provided the scholar has passed in all qualifying Pre-PhD. However, such withdrawals shall be allowed only for a maximum of two semesters. The period of temporary withdrawal will not be counted, when counting the number of semesters of Ph.D. duration.

(9) After the expiry of the maximum period of Ph.D. registration, a candidate will be allowed to re-register only if an extension of registration is approved by the Vice- Chancellor.

(10) The conversion from Full Time to Part Time Ph.D program given the course work of the candidate is completed and the Supervisor also should be satisfied that the remaining work can be completed in a part time mode.

(1) The Credit requirement for the Ph.D. coursework is a minimum of 12 credits, including a “Research and Publication Ethics” course and a research methodology course. The RAC/DRC shall advise to the University with regard to syllabi of the Course Work.

(2) All full time Ph.D. scholars, irrespective of discipline, shall be given training in teaching/education/pedagogy/writing related to their chosen Ph.D. subject during their doctoral period. Ph.D. scholars will also be assigned 4-6 hours per week of teaching/research assistantship for conducting tutorial or laboratory work and evaluations.

(1) The Research Guide shall closely monitor the progress of research work undertaken by each of the candidates pursuing their degree under her/his supervision.

(2) The Academic Research progress of each candidate shall be monitored by the DRC. For this purpose each registered candidate shall be required to submit to the Head of Department an elaborate progress report of their work duly endorsed by the Supervisor and make a presentation for 10-15 minutes at the end of each Semester to the Chairman, DRC through his/her Supervisor(s).

(3) DRC shall evaluate the work of the candidate and award S (Satisfactory) or U (Unsatisfactory) grade. At the end of the research work, a minimum of 75% of satisfactory remark from the DRC shall be mandatory for sending the thesis for evaluation.

If a Ph.D. candidate is found to be involved in an act of misconduct, misbehavior and/or indiscipline, disciplinary action will be taken by the University as per Regulations relating to maintenance of Discipline by students.

(1) Ph.D. candidate shall represent any grievance to the Dean Academics/Dean Research. Depending upon the nature of grievance, the Dean shall refer the complaint to the RAC and resolve the issue within 30 days from the date of receipt of the complaint from the student.

(2) If the Supervisor of a Ph.D. candidate has to be changed, based on the recommendation of the RAC or grievance redressal committee or transfer of Supervisor outside the University jurisdiction or demise of the Supervisor or by mutual consent of the present and proposed Supervisors, then the same shall be approved by the Head of the Department and shall be intimated to the University for Ratification. However, the final decision shall be of the Vice Chancellor.

(1) Upon satisfactory completion of the research, scholar must publish at least one research paper in a referred journal, approved by the URC and make two paper presentations in external national conferences/seminars organised by reputed institutions. Before the submission of thesis for adjudication, candidates are supposed to produce evidence for the same in the form of presentation certificates and/or reprints. After that research scholar is permitted to submit the synopsis of the Ph.D. work to the Controller of Examinations with the recommendation of the Research Advisory Committee for consideration.

(2) Prior to submission of the synopsis, the student shall make a pre-Ph.D. presentation in the Department that may be open to all faculty members and research students, for getting feedback and comments, which may be suitably incorporated into the synopsis and thesis under the advice of the supervisor.

(3) After the recommendation of the research work reported in the synopsis by the Research Advisory Committee, the Supervisor shall forward six hard copies of the synopsis of the proposed thesis, with a soft copy on CD to the Controller of Examinations along with a panel of at least six names of external examiners, who are not in employment of the University and should be outside the State of the University campus for adjudication of the Ph.D. thesis.

The research scholar shall, within six months of submission of the synopsis, prepare thesis in accordance with the format and specification prescribed by the RAC. The thesis shall report, in an organized and scholarly fashion, highlighting the original contribution made in the research work of the candidate. The scholar shall submit four hard copies of the thesis along with a soft copy on CD to the Controller of Examinations through proper channel under the intimation to the Chairperson. Under no circumstances, the submission of thesis shall be delayed except under special circumstances, where an extension of three months may be granted with the recommendation of the Research Advisory Committee and approved by the Vice-Chancellor.

(1) The Ph.D. thesis submitted by a research scholar shall be evaluated by at least two external examiners, of whom one examiner may be from outside the country. The Vice Chancellor selects and refers two examiners from the panel of examiners recommended by the supervisor. 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 members of the Research Advisory Committee, all faculty members of the Department, other research scholars and other interested experts/researchers.

(2) The Controller of Examination shall take such steps as deemed necessary to enable the reports of the examiners to be received as quickly as possible.

(3) In the case of undue delay in receiving the report from the examiner three monthly reminders may be sent. If the delay prevails the Controller of examination shall refer the thesis to the second examiner selected by the Vice Chancellor, after waiting for three months and ensuring that the first examiner is not going to respond within a reasonable period of time.

The examiner shall include in his report an overall assessment placing the thesis in one of the following categories:

1. Recommended for the award of the degree of Doctor of Philosophy: Commended/highly commended.
2. Recommended that the candidate revises the thesis as suggested in the report and the revised thesis be referred to the guide for verification.
3. Recommended that the candidate revises the thesis as suggested in the report and the revised thesis be sent to the same examiner or as per the recommendation of Vice Chancellor for revaluation.
4. Not recommended. The examiner shall enclose a report of 200 to 300 words, indicating the standard attained in case(a), the nature of revision in case (b) or (c) and the reasons for rejection in case.

(4) On receipt of the reports from the examiners, the following procedure shall be adopted:

1. If both the examiners recommend the award of the degree, the thesis shall be provisionally accepted. Any minor revision, modification, etc., suggested by the examiners shall be carried out before the viva-voce examination.
2. If any examiner recommends revision of the thesis, the candidate shall be permitted to revise and resubmit the thesis within 6 months. The revised thesis shall be referred to the same examiner, if the examiner has insisted the University to send the thesis back to him/her after revision for offering his/her final recommendation on the thesis. In such a case the examiner should offer his/her comments for the second time either as recommended for the award or rejection. In case, the examiner did not insist on sending the thesis back to him, then the University may refer the revised thesis to the supervisor for verification.
3. If one examiner recommends the award of the degree while the other recommends rejection, then the thesis shall be referred to a third examiner to be nominated by the Vice Chancellor. If the third examiner recommends the award, the thesis shall be provisionally accepted. Otherwise, the thesis shall be rejected and the registration of the candidate stands cancelled.
4. If both examiners recommend rejection, the thesis shall be rejected and the registration of the candidate will be cancelled.
5. When the commendation of the examiner on the revised thesis is not as stipulated in Clause 15 (iv) (b) above or in the case of any dispute, the Vice Chancellor, if he deems it necessary, shall refer the thesis and the comments to a committee constituted by the Vice Chancellor for this purpose.
6. Individual cases not covered by the above guidelines shall be referred to the Vice Chancellor for his final decision.

(1) After the thesis is recommended for the award of the degree by the examiners, viva examination shall be conducted by a viva-voce examination board to be constituted by the Vice Chancellor. The viva-voce examination shall be conducted only if the evaluation report(s) of the external examiners on the thesis is/are satisfactory and include a specific recommendation for conducting the viva-voce examination.

(2) The viva examination board shall include:

1. The examiner of the thesis from India or if the Indian examiner of the thesis is not available, a member from the panel of Indian examiners already recommended by the supervisor.
2. Supervisor of the candidate.

(3) The Convener/Chairperson of the Research Advisory Committee will be the Convener of viva examination board and the viva examination shall be conducted as “Open defence type” examination.

(4) The viva examination shall be open to be attended by the members of the Research Advisory Committee, all faculty members of the department, other research scholars and other interested experts/researchers.

(5) If the performance of the candidate in the viva-voce examination as reported by the thesis viva examination board found not to be satisfactory, the candidate may opt to reappear for the viva examination at a later date (not later than six months from the date of the first viva Examination). On the second occasion, the thesis viva examination board shall include one more examiner nominated by the Vice Chancellor. If the performance of the candidate in the viva examination on the second occasion also is reported to be not satisfactory, the Vice Chancellor, if he deems it necessary, shall refer the remarks of the viva examination board, along with the thesis and comments of the examiners, to a committee constituted by the Vice Chancellor which shall be final.

If the performance of the research scholar in the viva examination is satisfactory, he/she will be awarded Ph.D. degree on the recommendation of the Academic Council.

(1) After the viva voce examination the candidate shall submit a copy of the thesis in CD ROM duly certified by the guide that all the corrections have been duly carried out as suggested by the examiners, if any, for UNIVERSITY ARCHIVES.

(2) Papers arising out of the thesis may be published by the candidate. However, the thesis as whole shall not be published by the candidate without the specific approval of the University.

In the case of research scholars who have copied or plagiarised as confirmed by a committee, his/her Ph.D thesis shall be rejected and his/her research registration shall be terminated and also he/she shall be debarred from registering for any other programme in the ICFAI University, Sikkim. Research scholar will submit a declaration vouching that there is no plagiarism as stipulated in the plagiarism rules as specified by the UGC and that the work has not been submitted for the award of any other degree/diploma of any University.

After the announcement of the award of PhD degree, The University shall submit an electronic copy (soft copy) of the Ph.D thesis to the INFLIBNET, for hosting the same so as to make it accessible to all institutions/colleges.

Nonetheless anything stated in the guidelines, for any unforeseen issues arising and not covered by Act and Statutes or in the event of differences of interpretation, the Vice-Chancellor shall take a decision. The decision of the Vice-Chancellor shall be final.