Pre-Ph.D. Course Work - Asian International University

(i) Qualified candidates shall be admitted to the Pre-Ph.D. Course Work through an interview/counselling process conducted at centers designated by Asian International University.

(ii) The credit requirement for the Ph.D. coursework shall be a minimum of 12 credits, which must compulsorily include the “Research and Publication Ethics” course as per UGC guidelines (D.O. No. F1-1/2018, Journal CARE, 2019), along with a Research Methodology course. The Research Advisory Committee (RAC) may also recommend UGC-recognized online courses to fulfill the credit requirements. Additionally, Ph.D. scholars may undertake pre-Ph.D. coursework at institutions or universities with a valid Memorandum of Understanding (MoU) with Asian International University, subject to prior approval from both their designated coursework center at the University and the host institution.

(iii) All Ph.D. scholars, irrespective of their academic discipline, are required to undergo training in teaching, pedagogy, academic writing, or similar areas related to their doctoral subject. Scholars may also be assigned 4–6 hours per week of teaching or research assistantship duties, which may include conducting tutorials, supervising labs, or supporting academic evaluations.

(iv) A Ph.D. scholar must obtain a minimum of 55% marks or the equivalent grade on the UGC 10-point scale in the coursework in order to continue in the Ph.D. programme and be eligible to submit their thesis.

(v) Scholars shall be allowed only two attempts to pass the Pre-Ph.D. coursework examinations: first in the year of admission, and second in the following academic year. Failure in both attempts shall result in the termination of the Ph.D. programme.

(vi) Permanent teaching staff may opt for online Pre-Ph.D. coursework in Research Methodology offered by Asian International University, provided prior approval is obtained from both the University and their employing institution. A customized fee structure will apply to such online courses. These candidates may also complete required credits via online courses approved by the University's Research Advisory Committee.

(vii) All Ph.D. scholars must attend the lectures and seminars organized during the Pre-Ph.D. coursework. A minimum of 75% attendance is mandatory in each course/paper individually.

(viii) Employed candidates (whether permanent, contractual, or of any other status), excluding the regular faculty of Asian International University, must obtain prior permission and a “No Objection Certificate” (NOC) from the head of their parent organization. They are also required to avail leave for the full duration of the Pre-Ph.D. coursework. The NOC must be submitted at the time of admission at the designated Research Centre.

(ix) Regular faculty members of Asian International University, who have completed at least one year of service, and are enrolling in the Ph.D. programme with the University for the first time, are exempted from taking leave during the Pre-Ph.D. coursework. However, they must still obtain prior permission and an NOC from the competent University authority before their admission.

Ph.D. Program at Asian International University: Nurturing the Leaders of Tomorrow

Asian International University presents an innovative Ph.D. program crafted to cultivate the next generation of visionary leaders. This unique offering blends the disciplines of personal development, psychology, and strategic research methodologies. The program strongly emphasizes transformational research, encouraging scholars to explore their inner strengths and develop competencies that support both personal advancement and professional excellence.

Research Supervisor

1. Permanent faculty members serving as Professors or Associate Professors at higher educational institutions with a Ph.D. and a minimum of five research publications in peer-reviewed or refereed journals, as well as permanent faculty members working as Assistant Professors with a Ph.D. and at least three research publications in peer-reviewed or refereed journals, may be recognized as Research Supervisors at the University.

2. Permanent faculty members serving as Professors or Associate Professors at higher educational institutions with a Ph.D. and a minimum of five research publications in peer-reviewed or refereed journals, as well as permanent faculty members working as Assistant Professors with a Ph.D. and at least three research publications in peer-reviewed or refereed journals, may be recognized as Research Supervisors at the University.

3. Ph.D. scholars working in central government, state government, and research institutions may take a Ph.D. guide from the same institute. Faculty or scientists in such research institutions who hold positions equivalent to Professor, Associate Professor, or Assistant Professor may be recognized as supervisors, provided they fulfill the aforementioned requirements.

4. In areas or disciplines where there are no, or only a limited number of peer-reviewed or refereed journals, the higher educational institution may relax the above condition to recognize a person as a Research Supervisor, with reasons documented in writing. Co-supervisors from within the same department, other departments of the same institution, or other institutions may be permitted with the approval of the competent authority. Adjunct faculty members shall not serve as Research Supervisors but may act as co-supervisors.

5. In the case of interdisciplinary or multidisciplinary research work, a Co-Supervisor or Joint Supervisor from outside the Department, School, Centre, College, University, industry, or foreign universities may be appointed if required. This appointment will be contingent upon the establishment of a legal Memorandum of Understanding (MoU) with the concerned Department, Centre, College, University, or Industry.

6. An eligible Professor, Associate Professor, or Assistant Professor may guide up to eight (8), six (6), and four (4) Ph.D. scholars, respectively, at any given time. However, if there are no vacant seats, each supervisor may accommodate one RDET-exempted candidate (such as UGC-CSIR-IRF, GATE, INSPIRE Fellowship holders, or teachers) on a supernumerary basis, with special permission from the Research Degree Committee (RDC) or the Hon'ble Vice Chancellor. The additional supervision for research scholars will be permissible only for faculty serving at university campuses who have published in high-impact journals (SCL, ESCI, Scopus, Web of Science) during the last five years.

7. In case of relocation of a female PhD scholar due to marriage or otherwise, the research data shall be allowed to be transferred to the Higher Educational Institution to which the scholar intends to relocate, provided all the other conditions in these Regulations are followed, and the research work does not pertain to a project sanctioned to the parent Institution/Supervisor by any funding agency. The scholar is required to duly credit the parent institution and the supervisor for the research that has already been accomplished.

8. Faculty members with less than three years of service before superannuation shall not be permitted to take on new research scholars under their supervision. However, these faculty members are allowed to maintain their roles in supervising Ph.D. program scholars who are already registered until their superannuation and may act as co-supervisors after superannuation, but not beyond the age of 70 years.

9. Relatives of the candidate for the Ph.D. degree shall not act as supervisors. Relations will include father, mother, husband, wife, son, daughter, brother, sister, uncle, nephew, father-in-law, mother-in-law, or such other relations, as may he have determined by the Executive Council.

10. If unforeseen circumstances necessitate a change of supervisor, the Research Degree Committee shall appoint a new supervisor as a supervisory allotment.

Viva-Voce Examination

(i) In case, both the original examiners approve the thesis (and in the event of divergence of opinion between the two, the third examiner approves the thesis), the candidate shall be called upon to appear for a visa-voce test before a board of two examiners comprising the supervisor and one of the two external examiners (approved by the Vice-Chancellor) and may be conducted online.

(ii) The Head of the University Department/convener of RDC of the University shall be the Chairman of the viva-voce examination of a candidate.

(iii) The viva-voce exam of a candidate shall be held at the University Headquarters (unless specialty allowed by the Vice-Chancellor). The viva voce shall he open to the members of the Research Advisory Committee, faculty members/research scholars, and students.

(iv) Not satisfied with the viva-voce examination, the candidate shall be asked to reappear (after paying a fee of Rs. 2000/-) at a second viva-voce examination within one year but not earlier than six months. If the candidate fails to satisfy the viva-voce examiners the second time, his/her thesis shall be finally rejected.

(v) Following the successful completion of the evaluation process and before the announcement of the award of Ph.D. the University shall submit an electronic copy of the Ph. D. thesis to the UGC for hosting the same in INFLIBNET to make it accessible wall Institutions/Colleges.

(vi) Before the actual award of the degree, the University shall issue a Provisional Certificate certifying to the effect that the Degree has been awarded in accordance with the provisions of these UGC Regulations, 2022.

(vii) The University shall complete the entire process of evaluating a Ph.D. thesis, including the declaration of the viva-voce result, within a period of six months from the date of submission of the thesis.

(viii) The University reserves the right to revoke or annul any awarded Degree if it is determined at any point that the thesis lacks originality or authenticity, or if there are other significant issues that warrant the conclusion that the degree should not have been conferred upon the candidate. The supervisor of such a candidate shall also be held responsible for such work.

(ix) Other terms and conditions shall be decided by the office of the Research and Development Cell (RDC) with the permission of the Vice-Chancellor Ordinance and changes, therein, if any, shall be admissible only when passed by the Academic Council of the University.

(x) The University shall provide an annual list of all Ph.D. students on its website. This list will encompass the names of registered candidates, their respective research topics, the names of their supervisors or co-supervisors, as well as the dates on which they registered.

Award of Ph.D., D.Litt., and D.Sc. Degrees – Asian International University

1. Ph.D. Degrees Awarded Prior to Notification of These Regulations / Foreign Degrees

(i) Candidates enrolled in a Ph.D. programme on or after July 11, 2009 and before the implementation of these regulations shall be governed by the provisions of the UGC (Minimum Standards and Procedure for Award of Ph.D. Degree) Regulations, 2016.

(ii) In cases where the Ph.D. degree is awarded by a foreign university, Asian International University shall refer the matter to a Standing Committee constituted by the University to assess the equivalence of the degree before recognition.

Doctor of Letters (D.Litt.) / Doctor of Science (D.Sc.)

(a) Eligibility
To apply for the D.Litt. or D.Sc. degree at Asian International University, the candidate must:

• Be a Ph.D. degree holder of this University with a minimum of two years’ standing, or
• Hold a Ph.D. from a recognized university, accepted by Asian International University, also with at least two years of standing.

(b) Research Centre Affiliation
The candidate must join a recognized research centre of the University for a minimum of 200 days, during which they must:

• Participate in academic activities such as delivering lectures,
• Undertake instructional duties, and
• Remain under the academic and administrative oversight of the respective Head of Department (HoD) and Dean/Principal.

(c) Application Process
Candidates must submit:

• The prescribed application form,
• 10 copies of the synopsis, and
• Supporting documents related to:
  • Academic qualifications and experience,
  • Proposed subject area,
  • Synopsis outlining original contribution to knowledge, including material not yet published or a novel reinterpretation of known facts.
• A recommendation from two senior faculty members from the concerned department or professors of any university with a minimum of 10 years postgraduate teaching experience.
• The prescribed application fee. If approved, the remaining fee shall be paid upon thesis submission.

(d) Approval and Registration
Applications are reviewed by the Research Degree Committee (RDC) and the candidate must attend a pre-registration interview. Upon Academic Council approval, the candidate can submit the thesis after 2 years and within 5 years (inclusive of one possible extension of 1 year). Failure to submit within this period will result in cancellation unless extended by the Vice-Chancellor.

(e) Pre-Submission Seminar
Candidates must present their thesis in a pre-submission seminar at the University department.

• The Convener shall chair the session.
• The presentation is open to all faculty and research scholars.
• Approval by at least two-thirds of the faculty in the department is mandatory.
• Final clearance must be granted by the HoD/Convener and forwarded to the RDC.

(f) Publication Requirement
Before the pre-submission seminar, the candidate must have at least three research papers from the thesis work published in referred journals, approved by the HOD/Convener.

(g) Panel of Examiners
The Convener of the RDC shall propose 10 names of potential examiners. The Vice-Chancellor will appoint three examiners (including two from outside the state) from this list.

(h) Thesis Restrictions
No part of a thesis submitted for a previously conferred degree (at any university) shall be accepted. However, prior work may be incorporated if clearly specified. The thesis must:

• Be original,
• Demonstrate a discovery of facts or new interpretations, and
• Be suitable for publication in English or Hindi (Devanagari script), or in another relevant language.

(i) Submission of Thesis
Candidates must submit:

• Four copies (printed or typewritten),
• A statement detailing the original contribution and references used,
• Copies of independent or joint publications,
• Prescribed fee,
• The thesis should exhibit critical analysis and sound scholarly judgment.

(j) Evaluation Process
The thesis will be sent to three examiners chosen by the Vice-Chancellor. If two or more reject the thesis, it will be rejected. If only one rejects, it is sent to a fourth examiner, whose decision will be final.

(k) Viva-Voce Examination
If the thesis is approved:

• A viva-voce shall be held with two external examiners.
• Approval from both is required for the final award.
• Upon approval, the case is forwarded to the Executive Council for formal degree conferment.

(l) Viva-Voce Discrepancies
If the viva-voce result is unsatisfactory or differs from the thesis evaluation:

• The candidate may reappear once, after six months and within a year, upon payment of the required fee.
• A second failure leads to rejection of the thesis.

(m) Thesis Re-Submission
If improvement is recommended:

• Re-submission is allowed after 6 months and within 1 year, upon Executive Council approval.
• A re-submission fee of ₹5000/- (or as prescribed) must be paid.

(n) Viva-Voce Oversight
The HoD/Convener of RDC will chair both the viva-voce and the pre-submission seminar. The viva-voce board will remain as per regulations.

(o) Applicability of Ph.D. Ordinances
For matters such as attendance, registration cancellation, degree withdrawal, and research centre conduct, the relevant clauses of the Ph.D. Ordinance (with necessary substitutions, e.g., HoD in place of Supervisor) shall be applicable.

Special Instructions:

(i) The final thesis must be submitted in PDF format (on a CD or pen drive) to the University Library. The file must match the printed version exactly.

(ii) Thesis language: English or Hindi, unless it pertains to a different language.

(iii) Each thesis file must include:

• Abstract / Summary (200–300 words)
• Keywords (up to 9)
• Author's name and address
• Supervisor's name
• Project title (if applicable)
• Funding agency or fellowship details
• Digital copy on a pen drive (PDF file), to be deposited at:

Office of the Dean, Research and Development Cell
Asian International University
Email: [Insert R&D Cell Email Here]

Allotment of Supervisor

The Supervisor shall be provisionally allotted within a month from the date of enrolment of Research Scholar. RAC which include Dean of Faculty concerned or Dean, Research and Development or Dean, Academic Affairs or their nominee shall finalize the name of Research Supervisor(s) allotted to the applicant and the area/topic of research.

The presence of the Dean/Head of Faculty concerned or Dean, Research and Development or Dean, Academic Affairs or their nominee shall be necessary when a pre-registration seminar is conducted.

If a candidate is fail to qualify the course exam then he/she will not be eligible for next step.

Change of Supervisor

AThe change of Research Supervisor of a Research Scholar shall be allowed before the completion of his/her research work:

IncasetheSupervisorhasexpiredorhaslefttheservicesoftheUniversity.
OR
By mutual consent of both the Supervisor and the Research Scholar.
OR

In case of extreme hardship where it becomes almost impossible for a candidate to work/continue his/her research work with the Supervisor or in case the Supervisor or the candidate requests for the change of Supervisor on valid/genuine grounds. The candidate/Supervisor will put the matter before the RAC for decision. However, the change in such cases will be allowed only after the approval of the Academic Council.

Pre-Submission Seminar and Thesis Submission

(i) Upon acceptance of Ph.D. synopsis by RDC, the Ph.D., and scholar shall be required to undertake research work and produce a draft dissertation/thesis.

(ii) Before submitting the dissertation/thesis, the Ph.D. scholar shall make a presentation before the Departmental Research Advisory Committee (DRAC) during a pre-submission seminar, which shall be open to all faculty members and other research scholars/students. Feedback and comments obtained during this seminar may be suitably incorporated into the draft thesis in consultation with the DRAC. The thesis must be approved for submission by the DRAC after the pre-submission seminar is completed, with the university Head of Department (HOD) serving as the chairman of the committee. The thesis must then be forwarded to the university by the convener of the DRAC.

(iii) The Ph.D. scholar shall get the final thesis checked by the software provided by the University to detect Plagiarism in research work. The thesis can be accepted for further processing only with a report stating the similarity index within UGC norms.

(iv) The language of the thesis will be the language in which the Research Degree Committee of the concerned subject accepted the synopsis.

(v) In case some research scholar wants to change the language of his/her accepted synopsis and thesis, it can be done through the supervisor by obtaining the consent of the respective Research Degree Committee.

(vi) The Ph.D. scholar shall publish at least two research papers in SCI/SCIE/ Scopus/UGC CARE listed and make one paper presentation in conferences/seminars before the submission of the thesis for evaluation and produce evidence in the form of certificates and reprints.

(vii) Ph.D. candidate must submit thesis within 60 days of Pre-submission Seminar. The candidate may be permitted to submit a thesis after 60 days in specific circumstances with the permission of the Hon’ble Vice-Chancellor.

(viii) The following documents shall be submitted by the candidate to the office of Dean, Research and Development Cell, Mind Power University Nainital at the time of submission of thesis:

• 1. Thesis : 04 copies
• 2. Summary : 04 copies
• 3. Synopsis: 04 copies
• 4. No-dues Certificate (Fee Receipt, Departmental, Campus and Central Library)
• 5. CD of the Thesis (PDF File)
• 6. Pre-submission Certificate
• 6. Pre-submission Certificate

(ix) However, regular faculty members of Mind Power University who have completed a minimum of one year of service with the University and want to pursue a Ph.D. with the University for the first time, are exempted from availing of leave for the minimum duration of coursework hut all such candidates must take prior permission to pursue PhD programme and get a "No Objection Certificate” is thus effect before their admission from the competent authority.

• 1. that the thesis embodies the work of the candidate himself/herself
• 2. that (unless he/she is a teacher in the University/an affiliated college) he/she has put in the required attendance in his/her research centre during that period.

(x) The thesis shall comply with the following conditions

• 1. It must be a piece of research work characterized either by the discovery of facts or by a fresh approach toward the interpretation of facts or theories. In either case, it should show the seeker's capacity for critical examination and sound judgment. The candidate shall communicate how far the thesis embodies the result of his/her advanced knowledge in the subject.
• 2. It shall be satisfactory concerning language and presentation of subject matter. The observers will also indicate whether the thesis is suitable for publication in its present form with or without emendations.

(xi) A Ph.D. scholar shall submit the thesis for evaluation, along with (a) an undertaking from the Ph.D. scholar that there is no plagiarism and (b) a certificate from the Research Supervisor attesting to the originality of the thesis and that the thesis has not been submitted for the granting of any other degree or diploma by any alternative higher educational institution.

Evaluation of the Thesis:

I. Examiners for the thesis shall be appointed only after pre-submission seminar submission of the thesis. The Convener of the Board of Studies, along with the relevant supervisor, will be asked to propose panels comprising six names of examiners each for the Vice-Chancellor's consideration. If the Convener also serves as the supervisor, a total of ten names should be submitted. The thesis shall be sent to three examiners selected for the purpose by the Vice-Chancellor out of a panel suggested by the convener and supervisor.

II. The thesis submitted by a Ph.D. candidate will be reviewed by their Research Supervisor and at least two external examiners who are recognized experts in the field and do not hold positions at the Higher Educational Institution involved. Such examiner(s) should be academics with a good record of scholarly publications in the field. Whenever feasible, it is recommended that one of the external examiners be appointed from outside the borders of India.

III. The Ph.D. examiner shall be required to submit his/her report normally in two months, however, some more time may be permitted with the permission of the Vice-Chancellor Thereafter, a fresh examiner may be appointed.

IV. If the examiners recommends that the candidate be asked to improve his/her thesis, the Executive Council may permit the candidate to re-submit his/her thesis, not earlier than six months and not later than one year, and Under exceptional circumstances, the timeframe shall not exceed one and a half years, with the duration commencing from the date the Executive Council's decision to grant permission is communicated. If the candidate is granted permission to re-submit their thesis, they must pay a new fee of Rs. 2500 or any other fee determined at the time of re-submission. It is important to note that the candidate will not be required to present a certificate of further attendance at the institution where their work was completed.

V. If one of the external examiners recommends rejection, the University shall send the thesis to an alternate external examiner from the approved panel of examiners, and The viva voce examination will take place solely upon the recommendation of the alternate examiner for the acceptance of the thesis, the thesis shall be rejected, and the Ph.D. scholar shall be declared ineligible for the award of a Ph.D.

Panel of Experts/Examiners (External)

a. A Panel of the Ten (10) external examiners along with their designation, contact number and email address shall be made by the Dean/Coordinator R&D for each Ph.D. course and out of which two will be appointed as thesis report examiner.

b. On receiving application/request along-with an abstract of the thesis from the research scholar duly certified by the Supervisor that his/her research work is complete and ready for submission, the Dean/Coordinator R& D shall sent the thesis to two selected examiner for their report.

However, the Dean R&D while approving the panel of examiners may ensure that the proposed examiners are from the area of specialization of the Ph.D. thesis.

The Thesis shall be finally referred to two examiners selected by the Vice-Chancellor from the panel drawn by Dean (R&D) out of which one shall be out of state.

The examiner(s) will state categorically in their reports whether inhis/her opinion:

Thesis should be accepted for the award of Ph.D. Degree;
OR
It should be referred back to Research Scholar for presenting it again in revised form; It should be rejected.
OR

The examiner(s) shall state reasons for approval or resubmission of the Thesis. If he/ she recommend resubmission, he/she shall specifically indicate what modifications he/she wants from Research Scholar to effect and incorporate in the Thesis.

The examiner for a Thesis shall indicate in his/her report whether the Thesis is fit for publication in its original or modified form. In the later case, examiner shall make definite suggestions for improvement.

If the examiners recommend the award of Degree, they may also give in their report a set of questions, which they would like to put to the Research Scholar at the time of viva-voce.

If the examiner(s) recommends resubmission with some modifications in the Ph.D. Thesis, the Research Scholar shall be asked to modify the Ph.D. Thesis and resubmit the same only once within 6 months, after having carried out all the modifications with a certificate from the Research Supervisor that all the modifications have been carried out.

A resubmitted Thesis shall be examined by the examiner(s) who evaluated the original Thesis unless any of them is unable or unwilling to do so. In such case substitute(s) shall be appointed from the panel by the Vice- Chancellor. The examiner(s) for the revised Thesis will only see whether the objections raised have been met or not.

If one out of two examiners recommend the Thesis as rejected, the Thesis shall be sent to third examiner for evaluation. The decision of the two examiners out of three shall be considered. A Research Scholar whose Thesis is rejected by two examiners shall not be awarded Ph.D. degree. However, the Research Scholar may apply afresh for admission to Ph.D. course.

The entire process of evaluation of Ph.D. Thesis shall be completed within a period of 6 months from the date of submission of Ph.D. Thesis by the Research Scholar.