Regulations for the Research leading to Doctor of Philosophy (Ph.D)

{All cases registered before the date effectiveness of this rules will be governed by earlier rules.

However the mandatory requirements laid down by the UGC Regulation 2009 shall be fulfilled

for obtaining the required endorsements in the Degree}

Rules for the Degree of Doctor of Philosophy (Ph.D) are framed as per the University Grants

Commission’s minimum standards and procedure for the awards of Ph.D Degree Regulation

2016.

The Ph.D. Programme of Jharkhand Rai University, Ranchi, offers research programmes in

different subjects and in inter-disciplinary areas leading to a degree of Doctor of Philosophy.

Jharkhand Rai University aims at providing high quality training to the Research Scholars to

become distinguished academicians, consultants and researchers.

1. Definitions

1.1 “Research” means systematic study or investigations in order to discover new knowledge in the form of facts/ patterns or new interpretation of ideas or

inventions of new ideas.

1.2 “Doctor of Philosophy (Ph.D)” signifies that the awardee of the degree has undertaken a substantial piece of original research, which has been conducted

and reported by the holder under proper academic supervision, and in research

environment for a prescribed period.

1.3 “Research Scholar” means a candidate who is admitted to Ph.D programme of Jharkhand Rai University, Ranchi, through the procedures adopted by the

University.

1.4 “Supervisor/ Research Guide” means a member of the faculty(Full time) of Jharkhand Rai University or associated as Part time faculty on a temporary

basis, who Supervises the research work carried out by the Research Scholar for

Ph.D. Eligibility of the Research Guide/Supervisor is as below:

1.4.1 Research Guide / Supervisor having minimum of two years of teaching/industrial experience, with Ph.D. degree in the relevant

subject/discipline with at least one paper published in standard

research journal or presented atleast two papers in National seminar

may be recognized as Guide/Supervisor with the approval of RC.

1.4.2 Research Guide / Supervisor should give his / her consent for the guide-ship in writing along with his / her bio data.

1.5 “Co-Supervisor” means a person who may or may not be a member of the faculty of Jharkhand Rai University, but is recognized by RC to Supervise the

research work of the scholar.

1.6 “Research Council” is the apex body that administers the research programmes of the University. The Vice Chancellor of the University constitutes the

committee and shall be the Chairperson of this committee The committee

constitutes of the Vice Chancellor, Registrar Nominee in the relevant subject,

Board of Studies in the concerned subject, HOD/Dean of the concerned faculty,

Research Guide of the Scholar.

1.7 “Admission Committee” is constituted for the selection of Ph.D. Scholars.

1.8 “Allocation Committee” This Committee constitutes of all the faculty members eligible to guide in that Department, Head of the Department of the

concerned Faculty, Dean, Vice Chancellor or Vice Chancellor’s nominee in the

relevant faculty.

2. Duration of the Ph.D Programme:

2.1 Ph.D. programme shall be for a minimum duration of three years, including course work and a maximum of six years.

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

extant Ph.D. Regulations are met.

3. Fee of the Ph.D Programme:

The fee structure for the Ph.D will be as prescribed by the University authorities from

time to time. Fees once paid will not be refunded.

4. Admission and Registration for the Ph.D Programme:

4.1 Eligibility for Admission for Ph.D

For admission to the Ph.D programme in a related subject in the faculty,

applicants fulfilling the following criteria shall be treated as eligible :

4.1.1 Research Scholars (Indian / Foreigner) having Post Graduate Degree (Masters Degree or equivalent) in the appropriate field with at least 55%

marks or equivalent Grade Point Average (GPA) from any UGC

recognized University, (relaxation for SC/ST/OBC/PH students as per

Central Govt. rules)Further relaxation in special cases is subject to

discretion of the Vice-Chancellor.

4.1.2 Bachelor’s Degree in Engineering/ Technology or any other discipline of at least four years after 10+2 with 60% and above marks in aggregate

and a minimum of 10 years experience in an Institution/ University/

Industry/Government organization.

4.1.3 The members of the Institute of Chartered Accountant/ or Institute of Cost and works Accountants and / or having qualification of Institute of

Company Secretaries of India shall be considered eligible for

registration for Ph.D in any subject in the faculty of Commerce and

Management provided that they possess a Bachelor’s Degree from any

UGC recognized University.

4.1.4 Research Scholars with exceptional abilities who have passed Graduate Degree Examination with 55% of Marks and with 15 years experience

after graduation in related field.

4.1.5 Research Scholars for research in inter-disciplinary areas/ allied subject, satisfying point 4.1.1 above and from applicants belonging to a faculty

or subject other than the faculty or subject in which the research is

proposed to be done and from international Scholars (those who have

not obtained the Master’s degree or equivalent from Indian Universities)

shall be considered on the basis of the proven ability and aptitude of the

researcher for such kind of research. The decisions in this regard shall

be taken by the concerned Research Council after presentation by the

Research Scholar. In such cases, the guide should be from the subject in

which the Research Scholar has completed his/her Master Degree and

the Co-guide from the allied subject. The guide and co-guide for one

particular thesis may or may not be from same subject.

4.1.6 Research Scholars who has atleast 7 Years experience of research or teaching experience of 5 Years may be permitted to get registered for

Ph.D degree, even if he / she does not possess 55% marks at the

Postgraduate degree. (Subject to discretion of the Vice-Chancellor)

4. 2 Exemptions for Entrance Examination:

The Research Scholars fulfilling one of the following conditions will be

exempted from Entrance Examination:

4.2.1 Qualified in SLET/NET/JRF/CSIR/GATE examinations.

4.2.2 Persons with exceptional abilities/Senior Citizens as mentioned

in 4.1.4 (Subject to discretion of Vice-Chancellor).

4.2.3 Passed M.Phil, M.Tech from statutory University. However they have to qualify in the interview conducted by the University for

admission to Ph.D programmes.

4.2.4 Teachers having 5 years regular (unconditional approval) teaching experience at Secondary, Senior Secondary, U.G. and P.G. level.

(subject to discretion of Vice-Chancellor.)

4.3 Admission and Registration Procedure:

4.3.1 A Research Scholar fulfilling the minimum eligibility criteria as specified in point (4.1), can fill and submit the application form along

with the admission fee in cash/DD in favor of the University and the

required testimonials.

4.3.2 The Admission Committee, as mentioned in (1.7) shall scrutinize the academic, professional and research potential of the Research Scholars.

The Research Scholars who are eligible as per the above criteria

mentioned in point (4) will have to appear for an Entrance Examination

devised and conducted by the University. Refer Annexure 2- Guidelines

for the Entrance Examination. Merely qualifying the entrance test will

not post-facto entitle a candidate to get him / her registered for Ph. D in

the department concerned, if he/she does not fulfill the minimum marks

criteria.

4.3.3 The Scholars who qualify through the Entrance Examination or who are exempted under provision (4.2), shall have to appear for an interview

before the Allocation Committee, as mentioned in (1.8), constituted for

the allocation of the Research Guide/ Supervisor as mentioned in

Annexure 1.Once the allocation of the research Guide is done to the

Research Scholar by the University the validity of the allocation of that

respective Guide will be six (6) months from the date of allocation, If

the Research scholar fails to appear before the RC for synopsis

presentation within stipulated period the University reserves the right to

cancel the allocation .Reallocation of guide will be done only after the

Research Scholar deposits the processing fee to the university.

4.3.4 After allocation of the Research Guide, an eligible Scholar seeking admission to the Ph.D programme shall submit 6 copies of his/her Ph.D

research proposal (outline) through his/her allocated Research Guide.

4.3.5 The Research scholar shall be required to make a brief presentation of his/her research proposal before the Research Council (RC) as

mentioned in (1.6). During the Presentation, the Research Scholar is

expected to discuss his / her research interest/ area.

4.3.6 The date of meeting of the committee for the presentation shall be communicated at least 15 days in advance by letter / fax/ email to the

selected scholars.

4.3.7 The Research Council (RC) will evaluate and prepare a report on the basis of the presentation. In case of any suggestions given by the

committee for improvement in the topic of the research, the research

scholar shall make changes accordingly in the research proposal

(research outline) within one month from the presentation. On the

recommendation of the Head of the concerned University Department,

& Dean of the concerned faculty will approve the revised research

outline before confirming the registration for the Ph.D programme.

4.3.8 Once the registration is confirmed, it is valid for 6 years. Extension up to a maximum period of 2 years shall be given only if considerable

work has been

done by the Research Scholar. The Research Scholar concerned must

submit the application to RC for extension through his/her guide and the

Head of the Department of the concerned faculty, at least 2 months

before the expiry of the registration period. On the basis of the

recommendation of the Dean of the concerned faculty, Vice-Chancellor

will grant the extension up to 2 years.

4.3.9 No Research Scholar shall be allowed to simultaneously register for the Ph.D or for any other degree course in the same or different University.

5. Part-time/Full-time Research

5.1.1 Registration may be granted to all resident scholars on full-time basis and to

employed persons on part-time basis.

5.2.2 Teachers of Colleges and Schools and permanent employees of

government/Private/business firms who are eligible for Ph.D. admission may be

granted part-time registration.

5.3.3 A fulltime registration may be converted into part time, after the completion of

one year or when the candidate is declared to have successfully completed the

course work.

6. Pre-Ph.D Theory Course Work:

6.1 The Pre-Ph.D. Theory Course Work is compulsory for all the Research Scholars registered for Ph.D. For details refer Annexure 3.

6.2 A scholar admitted to the Ph.D programme shall be required to undertake and complete specified course work for a minimum period of one semester i.e.,

six months.

6.3 Any scholar with an M.Phil degree may be exempted from course work which he / she has completed during the M. Phil study.

7. Change in the Topic of Research of Ph.D Programme:

7.1 A Research Scholar may be allowed to change the title of his/her research work subject to approval of Research Council and provided he/she applied for

the change at least six months before the anticipated date of submission of

his/her thesis or earlier. The Research Scholar shall submit his/her application

duly recommended by the Research Guide.

7.2 If the change in the title of the topic of research involves an altogether different topic from what he/she was registered, the Research Scholar shall not

be allowed to submit his/her thesis unless he/she works for a period of two years

i.e. for the minimum period prescribed for Ph.D. study from the date of approval

of the new topic by Research Council (RC).

7.3 The title of the topic of research for the experimental science subjects (i.e. Science, Engineering and Technology, Pharmacy) may not be the title of the

thesis. If the title

of thesis does not match with the title of topic of research, then the Research

Scholar shall have to submit his/her application, duly recommended by

Research Guide for the approval of the Vice-Chancellor.

8. Additional Ph.D Degree:

8.1 A Research Scholar seeking admission for the additional Ph.D degree within the same subject, need not appear for the Entrance Test and Pre –

Ph.D theory course work.

8.2 A Research Scholar seeking admission for the additional Ph.D degree other than the subject in which the Research Scholar has been previously awarded,

the Research Scholar shall have to appear the for entrance test and complete the

Pre – Ph.D theory course work in the subject for which the Research Scholar

wish to register for the Ph.D degree.

9. Independent Research without Guide:

9.1 If the research guide in the concerned subject is not available in the

jurisdiction of University and / or the Research Scholar wish to work

independently, he/she may not be allowed to register for Ph.D without Research

guide/ Supervisor provided that the Research Scholar should fulfill the

following conditions :

9.1.1 The Research Scholar should satisfy the eligibility criteria

mentioned in 4.1.

9.1.2 The Research Scholar should qualify the Entrance Examination for admission to Ph.D. degree devised and conducted by the University.

9.1.3 In case of eminent persons exemption may be granted by the Vice Chancellor.

9.1.4 The Research Scholar should successfully complete the Pre – Ph.D theory course work. In case of eminent person, exemption may be

granted by the Vice Chancellor.

10. Place of work:

10.1 Normally a Research Scholar has to work under the guidance of recognized

guide at the place recognized by the University.

10.2 In case a Research Scholar works at some other place than the guide’s place,

then on the recommendations of the Guide(s), the University may allow the

research work for the Ph.D. degree to be partially or wholly carried out at another

organization / institute, under the guidance of a recognized guide from the same

institute approved by the RC.

11. Monitoring the Progress:

11.1 All the registered Research Scholar shall be required to submit a progress report

of the work through their Research Guide and Co – Guide at least once in a Year

before the RC and adhere to the remarks of the Committee to show further

progress before the submission of the synopsis and thesis.

11.2 The Research Council (RC) shall evaluate the progress of Ph.D. work of the

Research Scholar and upon their satisfaction shall recommend continuation of

his/ her work. If RC is not satisfied with the progress of research work may

recommend termination of registration. {ANNEXURE 5}

12. Leave Rules:

A Research Scholar may avail himself / herself of a maximum period of one year leave during his / her research period within the maximum period fixed for

the submission of his / her thesis. But he / she is not eligible for leave during the

period of extension.

However a Research Scholar may avail himself / herself of leave in any extraordinary circumstances such as maternity. Medical leave may be granted

with the prior approval of the Registrar on the recommendation of the Research

Supervisor and the HOD.

13. Publications Every research scholar should publish at least two research paper in refereed

journal and make two presentations in conferences/seminars in the area of

his/her research before the date of submission of his or her thesis to the

university and produce evidence for the same in the form of presentation

certificates and/or reprints.

14. Submission and Evaluation of Thesis:

14.1 Submission of Synopsis:

14.1.1 Guidelines for preparation of the synopsis is given in Annexure 4.

14.2 Submission of Thesis:

14.2.1 The thesis can be submitted after three years from the date of Registration and not later than six years.

14.2.2 If a Research Scholar fails to submit the thesis within six years from the date of Registration, maximum of two extensions of one year each may

be given with approval from the RC after which the registration will

stand cancelled. Then, he / she shall submit the synopsis again based on

the recommendations of the Research Council.

14.2.3 Prior to submission of thesis, the Research Scholar shall make a pre-submission presentation before the RC.

14.2.4 The Pre-Ph.D presentation may be open to all faculty members and Research Scholar, for getting feedback and comments which may be

suitably incorporated under the advice of the research guide.

14.2.5 A Research Scholar shall submit six copies of his / her thesis along with a certificate from the supervisor that the work done by the Research

Scholar is original and is consistent with the approved synopsis.

14.2.6 Two copies of the thesis shall be placed, one in the University Library and another with the Research Department. An e-copy will be sent to

National Library. One copy of the thesis will be placed in the inflibnet

after the award of the Ph.D. degree.

14.2.7 Every Research Scholar shall submit with his/her thesis a Certificate from the Supervisor and a Declaration form by the Research Scholar that

the work reported in the thesis has been carried out by the Research

Scholar himself/ herself and that the material from the other sources, in

any, is duly acknowledged.

14.2.8 At the time of submission of the thesis, every scholar shall pay a Ph.D thesis examination fee at the prescribed rate. The fee once paid shall not

be refunded.

14.2.9 The Research Scholar shall be allowed to submit his / her thesis after the completion of a period of three years from the date of Registration of the

synopsis, and in case of expiry of six years, the Research Scholar will

have to pay the prescribed fine for the late submission. Late submission

of thesis shall be allowed with fine up to the completion of one year from

the date of expiration of six years from the date of Registration.

14.2.10 Guidelines for the preparation of the thesis are given in Annexure 7.

14.3 Appointment of the Examiners :

14.3.1 The procedure for the appointment of examiners shall be undertaken

soon after the Research Scholar submits his/ her Thesis.

14.3.1 The Guide will prepare a panel of eight persons qualified to examine the thesis and send the list to Dean (Academics) of the University. From this

panel, the Vice Chancellor will appoint two examiners (one from outside

the state and the other from within the state of Jharkhand), to whom the

thesis will be sent for evaluation.

14.3.2 The Guide of the Research Scholar shall be the Internal examiner. In case of a Research Scholar working independently, the Vice Chancellor

shall recommend the name of recognized research Guide who shall be

the Internal examiner.

14.4 Evaluation of the Ph.D Thesis

14.4.1 The thesis shall be sent for evaluation to the external and the internal

examiners. A maximum of three months time shall be given to the

examiners for sending the report, failing which the Vice-Chancellor

may appoint alternate examiner(s).

14.4.2 The examiners shall clearly recommend whether the thesis should be:

(a)

approved/ (b) resubmitted after revision/extension of work/(c) Rejected.

14.4.3 If all three examiner(s) including supervisor, approve the thesis, the

viva-voce examination will be conducted.

14.4.4 If one examiner approves the thesis and other examiner recommended

for

revision, the viva-voce examination may not be held. However, the

comments of the examiner recommending revision shall be sent to the

supervisor and the clarifications of the Research Scholar will be

submitted before the examiner who have recommended corrections.

Only then viva voce will be held.

14.4.5 If one examiner approves the thesis and other examiner rejects the thesis,

the thesis shall be sent to the third examiner to be appointed by the Vice

Chancellor. If third examiner approves the thesis, the viva-voice

examination will be held.

14.4.6 If both the examiners recommend revision, the Research Scholar shall

be asked to revise the thesis.

14.4.7 If both the examiners reject the thesis, the thesis shall be rejected.

14.4.8 Registration of the Research Scholar will be automatically cancelled if

he /she fails to submit yearly progress reports or fails to submit Ph.D.

thesis within six years from the date of registration.

15. Viva voice and Defense of Thesis:

15.1 After the thesis has been recommended by both the examiners for award

of Ph.D degree, the report of the examiners will be made available to the

guide (s) by the Academic Dean and the scholar shall be asked to appear

at a Viva-Voce examination.

15.2 The Viva-Voce will be conducted by at least two examiners, one

external examiner and Guide. (In case of Joint Guides, one will be

ordinarily present).

15.3 The day, date, time and the place for the Viva-Voce and the defense of

thesis shall be notified by the Research Department atleast Fifteen days

in advance.

15.4 Normally the Viva-Voce and the defense of the thesis shall be arranged

in the University. In exceptional cases, the Vice Chancellor may allow

the Viva-Voce to be conducted at a place of research outside the

University. In such a case the procedure and norms for the conduct of

Viva-Voce, payments, etc. shall be as laid down by the University.

15.5 The defense of the thesis shall take place in the presence of one panel

examiner and the RC, who shall jointly evaluate the performance of

the Research Scholar. In case of dispute, Dean (Academics),

shall take an appropriate decision in favor of the Research Scholar.

15.6 If the external referee is not able to be present at the time of the defense,

the Vice Chancellor on the recommendation of the guide and the Dean

(Academics) shall appoint a senior research guide to act as an examiner

for the Viva-Voce.

15.7 The examiner present for the Viva-Voce and the defense of the thesis

shall submit their final consolidated report about the award of the Ph.D.

degree immediately after the defense is over.

15.8 In case of Research Scholar doing an independent research without any

Guide, the Viva -Voce will be organized by the recommendation of

Research Department and will be conducted by two external experts

recommended by Dean (Academics).

15.9 In case the defense is not satisfactory, the examiners can unanimously

recommend that a fresh viva-voce and defense of the thesis be organized

within period of not less than one month.

15.10 Research Scholar shall be required to pay a Ph.D Viva -Voce Fee for

Re-appearing in the Viva Voce and / or practical examination at the

prescribed rate on or before the date of the said examination. The fees

for re-appearing at the Vive-Voce and / or Practical Examination shall

be the prescribed Viva-Voce fees.

15.11 Video Conferencing facilities may be permitted for special cases.

15.12 If the thesis is recommended for the Award of the Ph.D degree to the

Research Scholar, the first copy of the thesis will be deposited in the

University library, the second copy will be kept in the RC, and the third

copy will be returned to the Research Scholar.

16. Award of the Doctorate (Ph.D.) Degree

16.1 The recommendation of the Viva – Voce Board shall be placed before

the RC for approval.

16.2 The final result shall be officially declared by the Controller of

examination within 8 working days from the date of the receipt of the

favorable report on the defense of the thesis.

16.3 The degree shall be awarded by the RC of the

University on the recommendation of the Academic Council. The

announcement of the award shall be made by the Vice Chancellor.

17. Confidentiality and the copyright of thesis :

17.1 The confidentiality of the content and the copyright of the thesis shall lie

with the University as per the Copyright Act, 1968.

17.2 Should the author of the thesis or the Supervisor wish to publish the

matter in the form of a book the author and the supervisor shall obtain

clearance from the RC of the University.

18. Depository with UGC

18.1 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 INFLIBNET, for hosting the same

so as to make it accessible to all Institutions / Colleges.

18.2 The University shall issue a Provisional certificate, certifying that the

Degree has been awarded in accordance with Regulations issued by UGC

as per the Notification dated 5th May 2016 and subsequent the Gazette of

India published on 5th July 2016.

19. Collaboration for Research

19.1.1 Any teaching department can enter into an agreement with an outside

research institution or an approved research center for carrying out

collaborative research.

19.1.2 A Memorandum of Understanding (MOU) shall be signed between the

University and the proposed research institution for the purpose.

19.1.3 The teaching department shall take the initiative for such strategic

alliances with research institutions with the permission of University.

19.1.4 Such collaboration shall be entered into only with institutions of high

reputation which will enhance the image of the University and gives the

researchers of the University access to resources and facilities that are

not adequately available on the University campus.

20. Any other item significant to research in this university and has not appeared

under the above clauses, may be ruled by the decision of the vice-chancellor.

Jharkhand Rai University, Ranchi

Annexure 1.

Allocation of the Research Guide/Supervisor or Co-Guide:

a) The allocation of Research Guide shall not be left to the individual Research Scholar or Guide. This allocation shall be done by the Research Council depending on

the availability of seats with Research Guide and willingness of the Research

Guides to accept the Research Scholar.

b) A Research Supervisor/co-supervisor who is Professor, at any given point of time, cannot guide more than Eight (8) Ph.D. scholars. An Associate Professor as

Research Supervisor can guide up to a maximum of six (6) Ph.D. scholars and an

Assistant Professor as Research Supervisor can guide up to a maximum of four (4)

Ph.D. scholar.

c) Relative of the research scholar will not be permissible to be a Guide/ Supervisor or Co-Guide.

d) Only a full time regular faculty of the University can act a supervisor, the external supervisors are not allowed. However, Co-supervisor can be allowed in

interdisciplinary areas from other departments of the same institute or from other

related institutions with the approval of the RC.

Jharkhand Rai University, Ranchi

Annexure 2

Guidelines for the Entrance Examination:

a) The Entrance Examination for Ph.D will be compulsory and will be conducted by the University.

b) An Entrance Test shall be qualifying with qualifying marks as 50%. The syllabus of the

Entrance Test shall consist of 50% of Research Methodology and 50% shall be

Subject specific.

c) Question Papers will be set and evaluated by a board to be constituted by RC or the HOD / Dean.

d) An interview shall be organized by the University to discuss the research interest/ area of the candidate.

Jharkhand Rai University, Ranchi

Annexure 3

Pre-Ph.D. Theory Course Work and Evaluation:

1. Pre – Ph.D Course Work

a. There will be three papers. Each paper shall be of 04 credits which imply that there will be total of 12 credits. Total marks in each paper shall be 100

marks .

Paper 1 - Research Methodology (as per UGC recommendation)

Paper 2 – Basics and Fundamentals of the Subject at

Master Level/Relevant Subject..

Paper 3 - (A) Basics of computers and scientific communication.

(B) Review writing and presentation/Publications/

Seminars.

The bifurcation of these credits is as under :

Course

No.

Contents Credits

01

Paper I - Research Methodology. (100 Marks) 04

02 Paper II -Basics and Fundamentals of the

subject at Master Level.

(100Marks)

04

03

Paper III –

(A) Basics of computers and scientific communication.-(60 Marks)

(B) Review writing and presentation /Publications/ Seminars.- (40 Marks)

04

b) The subject-wise syllabi for Pre-Ph.D.\Theory Course Work shall be decided by

Board of Studies and Faculties and same shall be notified.

c) If found necessary, course work may be carried out by the Research Scholars in sister department/ Institutes, either within or outside the University, for which due credit

will be given to them (as per UGC Regulation 2016).

d) A Research Scholar will have to complete Pre Ph.D theory course work within

one year in the respective / Department of the University only.

e) Preparation of question paper and evaluation of the scripts/ dissertation/ projects

etc will be done by the Faculty members appointed by the RC.

f) The final result of the Pre-Ph.D. theory course work shall be submitted to the

RC for the Evaluation.

2. Evaluation of the Pre-Ph.D Course work :

a) The evaluation of the Pre- Ph.D course work shall be divided into two parts viz Internal Assessment and University Examination with a weightage ratio of

50:50.

b) Minimum marks for passing in the Internal Assessment and University

Examination for pre Ph.D theory course work shall be 55% .

c) The Evaluation of the Pre-Ph.D course work is done by Research Council

(RC).

Annexure 4 Jharkhand Rai University,Ranchi

MANUAL FOR PREPARATION OF Ph.D. SYNOPSIS (Prescribed Format and Specification)

1. GENERAL:

The synopsis is to be considered as proposed summary of the work with important results highlighting the original contributions in the research work to be submitted 2. NUMBER OF COPIES TO BE SUBMITTED: Seven hard copies and one soft copy in a properly labeled CD are to be submitted to the University. 3. SIZE OF SYNOPSIS: The size of synopsis should be 7-15 pages of 1 ½ spacing on A4 size good quality white paper preferably not lower than 80 gsm.

4. LAY OUT OF SYNOPSIS:

Cover Page & Title page with details of the Research Scholar and Supervisor. Introduction Statement of Problem Review of Literature Objectives the study Significance of the Research Hypotheses of the study (if required) Research Methodology Tentative Chapterization of Research work Bibliography Signature of the Research Scholar and Supervisor.

5. TYPING INSTRUCTIONS: • The font of the synopsis should Times New Roman in size 12 and should have the margins of 2.54 cm on each side.

17

Jharkhand Rai University, Ranchi

DECLARATION

I hereby declare that the synopsis

entitled”…………………………………………………………………………………………

…………………………………………………………………………………………………………………

…………………………………………

…………………………………………………………………………………………………………………

………………………………………..”

to be submitted for Registration into the Doctor of Philosophy Program of Jharkhand Rai University is my

original work and the same has not formed the basis for the award of any degree, diploma, associate ship or

fellowship of similar other titles. It has not been submitted to any other University or Institution for

registration and award of any degree or diploma.

Place: Date:

18

Jharkhand Rai University, Ranchi

Annexure 5

Progress Report for PhD scholars

1. Name of the Research

Scholar:

2. Registration number:

3. Date of Registration:

4. Subject:

5. Name of the Supervisor:

6. Title of Thesis:

7. Progress report for the session:

8.Research activities performed in the last one year ( Mark a tick in the box provided)

1. Course work Classes Attended 2. Appeared in Course-work

Examination

3. Pre-Submission Seminar defended 4. Thesis Submitted/Defended

9.Brief summary of the research work carried out in last one year (Attach as Annexure if

required)

10.Research Papers Published in the refereed/national/international journals in last one year

1.

2.

3.

19

11. Research Papers Published in Conference Proceedings / Seminars / Symposium in last one year

1.

2.

3.

12. Conferences/Seminars/workshops attended in the last one year

1.

2.

3.

13. Any other achievements (Please attach separate sheets if required.)

It is certified that all information mentioned in the Annual progress report is correct to best of

my knowledge.

Date: Full Signature of the Applicant

Full Signature of the Supervisor

Note: 1. The Annual Progress reports will be placed before the RC of concerned discipline for

approval. The report and further recommendation will be kept in the personal file of the candidate.

In the case candidate who does not submit the progress report within the stipulated time, the RC may

recommend suitable action.

2. Scholars are required to make sure that all their outstanding dues are cleared before submission

of the progress report.

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Annexure 6

Fee Break-up: Note: University reserves the right to revise the fee structure without any prior notification.

Effective from January 2017.

Fee Component Total Amount (in Rs.)

Ph.D Application Form Fee 1,000

Processing Fee 3,000

Addmission Fee 20,000

Research Fee Payable into Four Equal Instalments Payable at begining of each semester. 1

50,000

2 50,000

3 50,000

4 50,000

Thesis Evaluation Fee (Payable on 22nd month from the date of approval of the Topic)

50,000

Late Fine (If Applicable)

Grand Total 2,74,000

Other Fees Components Amt (in Rs.)

Guide Reallocation Processing Fee 3,000

Late fees ( per month) 2,000

Note: Extension beyond the maximum period of six years will be granted for one year at the first instance for which Semester Fee will be chargeable. During the second year of extension same provision will be applicable.

21

Annexure 7

Thesis Guidelines

Guidelines for the Thesis:

1. The final thesis shall be presented in accordance with the following specifications:

a) Each thesis should be typed on white bond paper of Standard A4 size.

Margin of at least 3.5 cm on left side, 2.0 cm on right side, 3.0 cm on the top and 2.5

cm on the bottom should be kept. Font New Times Roman and font size of 12 should

be used with double spacing on both sides of the sheet. Thesis should have minimum of

150 pages and should not exceed 350 pages.

b) Five copies of the thesis are to be submitted to the University.

c) Pages should be numbered consecutively and clearly.

d) The thesis should be in compact bound form along with two soft copies in the PDF

format.

e) All bounded copies must have the title of the thesis, name of the University, degree,

name of the Research Scholar, place of the research work, and the month and the year of

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

f) Bibliography and references must be given at the end of the chapters. The bibliography

shall contain the details of the books, magazines excerpts from the journals and

magazines which have accreditation at the national and International levels. The

references shall contain exclusively, the details from the research papers published in

reputed journals of national and international standards.

g) The reprints of the research articles published by the candidate should be annexured at

the end.

h) The thesis shall be written in English/Hindi. In the faculty of Science, Engineering and

Technology the thesis should be preferably in English language. Where the research

work is undertaken in language & literature, the thesis shall be written in the respective

language.

i) Page Numbering

(i) Beginning with the first page of the text in the thesis (chapter 1), all pages

should be numbered consecutively and consistently in Arabic numerals through

the appendices.

(ii) Page numbers prior to Chapter 1 should be in lower case Roman numerals.

The title page is considered to be page (i) but the number is not printed.

(iii) All page numbers should be placed without punctuation in the upper right

hand corner, 12 mm from the top edge and with the last digit even with the

right hand margin.

j) Tables, Figures and Equations

(i) All the tables (tabulated data) and figures (charts, graphs, maps, images,

diagrams, etc.) should be prepared, wherever possible, on the same paper being

used to type the text. They should be inserted as close to the textual reference as

possible.

(ii) Tables, figures and equations should be numbered sequentially either throughout

the thesis or chapter-wise using Arabic numerals. They should be referred to in

the body of the text capitalizing the first letter of the word and number, as for

22

instance, Table 17, Figure 24, Equation (33), or Table 5.3, Figure 3.11, Equation

(4.16), etc.

(iii) If tables and figures are of only half a page or less, they may appear on the same

page as text but separated above and below by triple line spacing. Font size for

text should be the same as for the general text.

(iv) Good quality Line Drawings/figures must be drawn using standard software that

provides vector rather than bit-map graphics. Figures must be scalable.

(v) Images, Photographs, etc. must be scanned in resolution exceeding 200d pi with

256 gray scales for the monochrome images and 24 bit per pixel for the color

images.

k) The thesis should be free from typographical errors.

2. Organisation of the thesis :

The thesis may be organized in the following manner;

a) Title page

b) Abstract should be submitted separately in bounded form

c) Declaration by the Research Scholar

d) Certificate of the Supervisor in the prescribed format

e) Preface (if applicable )

f) Acknowledgments

g) Table of contents

h) List of tables, figures and illustrations, abbreviations, symbols

3. Title page

The thesis must be preceded by a title page. The title page of the thesis should show:

a) Title of the thesis at the top and centered

b) Degree for which it is submitted: “Thesis submitted to Jharkhand Rai University for the

award of the degree of Doctor of Philosophy in < Subject>”

i.e.

“Thesis submitted to Jharkhand Rai University for the award of the degree of

Doctor of Philosophy in < Subject>”

c) Full name of the Supervisor

d) Full name of the Research Scholar and his/her affiliation (Deptt./ centre / lab)

e) Logo of Jharkhand Rai University

f) Month and year.

(See Specimen – 1)

4. The thesis should generally consist of the following chapters mentioned in a precise

manner. The Research scholar may adopt the following pattern.

a) Introduction

b) Background // Review of literature

c) Procedure (Experimental / methods and materials etc.)

d) Analysis / Result (whichever is applicable)

e) Results &Discussion

f) Limitations and Future scope of the Study

g) References/Bibliography

h) Annexures

5. Literature Citation

The references should appear as a consolidated list at the end of the chapters with proper

23

indexing.with references listed either alphabetically or sequentially as they appear in the

text of the thesis.

Reference Format

Referencing should contain the following information: authors, title, name of journal,

volume number, page numbers and year.

Referencing an article published in a book, should contain, authors, the title of the book,

editors, publisher, year, page number of the article in the book being referred to.

Samples:

Journals

H.E. Exner, “Physical and Chemical Nature of Cemented Carbides,” International Metals

Review, 1979, v. 24, pp. 149-173.

Conference Proceedings

H.F. Fischmeister, “Development and Present Status of the Science and Technology of

Hard Materials,” Science of Hard Materials, R.K. Viswanadham, D.J. Rowcliffe, and J.

Gurland (eds.), Plenum Press, New York, NY, USA, 1982, pp. 1-45.

Books

R.M. German, Powder Injection Molding, Metal PowderIndustries Federation, Princeton,

NJ, USA, 1990.

Thesis

J.L. Johnson, “Densification, Microstructural Evolution, and Thermal Properties of

Liquid Phase Sintered Composites,” Ph.D. Thesis, The Pennsylvania State University,

University Park, PA, USA, 1994.

Technical Reports

E.G. Zukas, P.S.Z. Rogers, and R.S. Rogers, “Experimental Evidence for Spheroid

Growth Mechanisms in the Liquid Phase Sintered Tungsten Based Composites,”

Informal Report: Los Alamos Scientific laboratory, USA, 1976, pp. 1-35.

Patents

V. Oenning and I. S. R. Clark, U. S. Patent No. 4988386, 1991.

Appendix or Appendices

a) Supplementary illustrative material, original data, and quotations too lengthy for

inclusion in the text or which is not immediately essential to an understanding of the

subject can be presented in Appendix or Appendices (as Appendix A , Appendix

B,etc.)

b) Each appendix with its title should be listed separately in the table of contents.

Likewise, tables and figures contained in the Appendices are to be included in the

lists of tables and figures, respectively.

24

Jharkhand Rai University, Ranchi

SPECIMEN – 1

Impact of E-commerce on Business Values in Service

Organizations

Thesis Submitted to

Jharkhand Rai University

For the award of the degree of

DOCTOR OF PHILOSOPHY

IN

Under the Supervision of

Research Supervisor Research Supervisor

Prof. Prof.

Submitted by

JHARKHAND RAI UNIVERSITY JULY, 2015

25

Jharkhand Rai University, Ranchi

SPECIMEN – 2

CERTIFICATE – I

This is to certify that the thesis entitled“……………………………………………

…......……………………………………………………………………………...”

submitted in partial fulfillment of the requirements for the degree of Doctor of

Philosophy is a genuine and bona fide research work carried out by

Mr./Ms.…………………………… under my supervision and no part of the thesis

has been submitted for any other degree.

All assistance and help received during the course of this Research work have been

acknowledged.

Signature of Research Supervisor

Jharkhand Rai University, Ranchi

Month , Year

Guidelines for

PROMOTION OF ACADEMIC INTEGRITY AND PREVENTION OF PLAGIARISM :

1. Purpose

University Grants Commission (UGC), as per UGC Act, 1956, is mandated to coordinate and

determine the standards of higher education.

And whereas, assessment of academic and research work done by a student or a faculty or a

researcher or a staff, in the form of essays, assignments, term papers, project reports,

coursework, thesis and dissertation leading to the award of degrees, research papers, policy

papers, chapters in books, full-fledged books and any other work including computer programs is

instrumental in identifying and certifying the academic standards accomplished by such

student(s) or faculty or researcher(s) or staff and projecting them far and wide as an objective

and impartial indicator of the performance of individual(s);

And whereas, any academic and research work undertaken in any form by a student or a faculty

or a researcher or a staff, reflects the extent to which elements of academic integrity, originality

and innovation have been injected in various processes of education adopted by

In pursuance of the provision contained in the Section 08 of Jharkhand Rai University

Act 2011 (Jharkhand Act03, 2012), these guidelines are made for improvement of research

works.

2. Scope

These guidelines known as “Jharkhand Rai University, Ranchi PROMOTION OF ACADEMIC

INTEGRITY AND PREVENTION OF PLAGIARISM”. This Guidelines shall apply to all

students / Scholars / Teachers of Jharkhand Rai University, Ranchi. This guidelines shall come in

to force from the date of notification duly approved by Research Council of the University.

Jharkhand Rai University strives to promote research-oriented culture in the campus. University

has a separate research department mandated to promote best standards & practices in the area of

research. University intend for research environment where academic staffs and postgraduate

research students carry out their research. Research includes work of direct consequences &

importance to the specific needs of communities, government, industry and continued growth of

academic surface.

3. Definitions

University Means Jharkhand Rai University, Ranchi.

Research Means systematic study or investigations in order to discover new

knowledge in the form of facts/ patterns or new interpretation of ideas or

inventions of new ideas.

Research Council Research Council of Jharkhand Rai University, Ranchi.

Faculty Faculty means Faculty of University. “Faculty” refers to a person who is teaching and / or guiding students enrolled in University in any capacity

whatsoever i.e. regular, ad-hoc, guest, temporary, visiting etc;

Research Scholar Candidate admitted to M.Tech. (by research) / Ph.D. programme of

Jharkhand Rai University, Ranchi, through the procedures adopted by the

University.

Supervisor The Faculty of Jharkhand Rai University who supervises the research

work carried out by the research scholar.

Plagiarism

Programmes

Information

Plagiarism means Guidelines for prevention of academic dishonesty and

a breach of ethics. It involves using someone else’s work as one’s own. It

also includes data plagiarism and self-plagiarism.

“Programme” means a course or programme of study leading to the

award of a degree or a diploma in the University.

"Information" includes data, message, text, images, sound, voice, codes,

computer programs, software and databases or micro film or computer

generated micro fiche.

Script

Author

Intellectual

Script includes research paper, thesis, study, project report, assignment,

dissertation and any other such work submitted for assessment / opinion

leading to the award of degree or publication in print or electronic media by students or faculty or staff.

Author includes a student or a faculty or a researcher or staff of Higher

Educational Institution (HEI) who claims to be the creator of the work

under consideration.

Intangible property that is the result of creativity, such as patents,

property copyrights, penitent inventions, designs, technical know-how, etc.

4. Research:

In different faculties or inter- disciplinary, research may be embodied in the form of artistic

nature of works, performances or designs that facilitates new and creative insights. Research may

include contributions to the intellectual underpinning of subjects and disciplines, the use of

existing knowledge in experimental development to produce new or substantially improved,

materials, devices, products, and communications or processes or even the synthesis and analysis

of previous research. Research findings must be open to scrutiny or formal evaluation by experts

within the field.

To promote quality research, the university pursues an attitude of encouragement to all its

Academic staff as well as students by way of providing not only leave for attending and

presenting their research papers & related works in various platforms like national &

international seminars, conferences & symposiums, field work but also by providing financial

assistance towards the achievement of the same.

4.3. The Quality of supervision and conditions of work

In the pursuance of quality of supervision and conditions of work the following suggestion shall

be considered:

a). Course work is necessary for the conduct of research programme. The course should also provide the broad- based understanding of the research related works, so that a scholar

does not end up with knowing less other than his narrow specialization. The department

is required to maintain the publication related documents.

b). Wherever a research problem of inter-disciplinary nature is taken up, there should be co- supervisors representing the areas or joint supervision may be allowed whenever found

necessary.

c). Every scholar may write a subsidiary thesis or submit a project in a field different from his specialization. This would compel a scholar to look beyond the area in which he has

carried out of his research work.

d). The supervisor should pay more attention and maintain better records of their interaction with research scholar.

e). Research Scholar’s experimental report of field work shall be analysed with the utmost integrity. The scholar as well as Supervisor should exercise great care of this, for

safeguard against charges of plagiarism.

f). The result of research strive to publish only in well known Indian and foreign journals.

g). Research work evaluation must be done by end of the year.

5. Ethical and fair practices and Prevention of Plagiarism

Academic staff and students are required to carry out their Research in compliance with all the

University’s obligations under ethical and fair practices & obligations. In pursuance of the UGC

(Promotion of Academic Integrity and Prevention of Plagiarism in Higher Education Institutions)

Regulations, 2017, the university endeavors to foster and maintain a culture of honesty and

academic integrity in the university in order to ensure promotion of Academic originality &

prevention of plagiarism. All staff and students have an obligation to act in an ethical manner,

consistent with the principle of academic integrity.

The policy prevention of plagiarism applies to all registered research scholars of the university and to all academic work (i.e. assignments, theses, projects, presentations,

products, assessments, examinations, etc.) undertaken in any of the disciplines in the

university.

Whether plagiarism is intentional i.e. deliberate lack of acknowledgement of someone else's work or unintentional i.e. genuine lack of understanding of paraphrasing and

referencing requirements, it is a breach of policy and will be treated as an academic

offence.

Sources of plagiarism include books, journals, reports, websites, work of another person etc.

Plagiarism includes unacknowledged paraphrasing or use of other people's words or ideas to be their own, non-acknowledgement of sources, unauthorized copying of another

person's work, submitting one's own work without declaration of sources and references,

and the falsification of references.

The university is committed to a proactive approach towards the prevention of plagiarism through the development of good academic practice.

University shall conduct sensitization seminars/ awareness programmes every semester on responsible conduct of research, project work, assignment, thesis, dissertation,

promotion of academic integrity and ethics in education for students, faculty and other

members of academic staff.

Preventive actions by the university include referral to the policy in the assessment instructions to be provided to researchers, faculty & students.

The university endeavors to create awareness by way of training in the practices of referencing and citation and in the use of source material(s), and the use of plagiarism

detection software, to be provided to all the staff & students.

All the students & researchers are required to include a plagiarism disclaimer declaring that the work has been completed in accordance with the university’s policy on

plagiarism, in respect of all work submitted to the university.

The research supervisors are also required to furnish a certificate stating that the research work conducted under his/her supervision is free from plagiarism.

Faculty, research scholar should be provided plagiarism detection tools for checking the content of their scripts, Shall encourage student, faculty, staff and researcher to register

on international researcher's Registry systems.

University Shall establish facility equipped with modern technologies for detection of plagiarism. Each supervisor shall submit a certificate indicating that the work done by the

researcher under him / her is plagiarism free.

University shall submit to INFLIBNET soft copies of all Ph.D. dissertations and theses carried out in its various departments after the award of degrees for hosting in the digital

repository under the “Shodh Ganga e-repository” programme.

6. Publications & Seminars

The research carried out in the university should be of good quality adhering to highest standards

of ethics. In order to recognize the research contribution, & in pursuance of University Grants

Commission (Minimum Standards and Procedure for Award of M.PHIL./PH.D Degrees)

Regulations, 2016 (as amended time to time), the researcher scholars must publish at least 2

research papers in refereed journal and make one paper presentation in conferences/seminars

before the submission of the dissertation/thesis and produce evidence for the same in the form of

presentation certificates and/or reprints. University encourages publications in journals indexed

in Scopus/Web of Science & journals with good impact factor. Each Faculty, and its constituent

members, is encouraged to develop and implement its own research plan that is consistent with

and contributes to the University’s overall strategy.

7. Intellectual Property Rights Policy

Intellectual property plays an important role in providing a competitive edge to any research &

development driven organization. It includes the intangible assets of an organization such as

technical know-how, inventions, brands, designs and other creative and innovative products

which are often more valuable than the physical assets. Keeping this in mind, this Intellectual

Property Rights Policy endeavors to create a conducive environment for acquiring new

knowledge through innovation and research, leading to development of intellectual property. The

university also endeavours to promote academic freedom and safeguard in creation of intellectual

property at the university &to provide legal support, wherever necessary, to defend and protect

the intellectual property rights of the creator against any unauthorized use.

According to section 24 of Jharkhand Rai University Act, 2012, the Research Council which is

the principal Research Committee shall be responsible to all the issues related with infringement

of Intellectual Property Rights of the creator / researcher, if any complaint to that effect is

brought to its notice. All Intellectual Property related with academic research shall include

patents, copyrights, designs, trademarks, technical know-how and any other undisclosed

information. If the creators assert that they have developed any patentable or commercialized

Intellectual Property, with or without using the university’s resources, equipments & laboratories

facilities, they must report it promptly in writing with relevant proof in the form of documents,

data or any other information. The information shall comprise a thorough and detailed disclosure

of type, particulars & other necessary details.

8. Zero Tolerance Policy in core area:

The research core work carried out by the scholars, shall be based on original ideas and shall be

covered by Zero Tolerance Policy on Plagiarism. In case Plagiarism is established in the core

work claimed then Research Council of the University shall impose maximum penalty. The core

work shall include abstract, summary, hypothesis, observations, results, conclusions and

recommendations.

9. Plagiarism level for non-core areas

For all other (non-core) cases, plagiarism would be quantified into following levels in ascending

order of severity for the purpose of its definition:

i. Similarities upto 10% excluded ii. Level 1: Similarities above 10% to 40% iii. Level 2: Similarities above 40% to 60% iv. Level 3: Similarities above 60%

10. Detection/Reporting/Handling of Plagiarism

If any member of the academic community suspects with appropriate proof that a case of

plagiarism has happened in any document, he or she shall report it to the competent/designated

authority of the university. Upon receipt of such a complaint or allegation the university

authority shall refer the case to the Research Council of the University, who shall take proper

action. The Research Council may also take suomoto notice of plagiarism and initiate

proceedings under these guidelines.

11. Penalties Penalties in the cases of plagiarism shall be imposed on students pursuing studies at the level of

UG / PG / M. Phil. / Ph.D. and faculty & staff of the University only after academic misconduct

on the part of the offender has been established without doubt, when all avenues of appeal have

been exhausted and individual in question has been provided enough opportunity to defend

himself or herself in a fair or transparent manner. Act of plagiarism, witting or unwitting, is

potentially detrimental to the academic credibility and social reputation of the individual

concerned, all proceedings of investigations and imposition of penalties shall be conducted in

camera so as to prevent encrustation of stigma and slur upon individual concerned:

12. Penalties for Students

Research Council of the University shall impose penalty considering the severity of the Plagiarism.

i. Level 1: Similarities above 10% to 40% -

Such student shall not be given any mark and /or credit for the plagiarized script and shall be

asked to submit a revised script within a stipulated time period not exceeding 6 months.

ii. Level 2: Similarities above 40% to 60% -

Such student shall not be given any mark and/or credit for the plagiarized script and shall be

asked to submit a revised script after a time period of one year but not exceeding eighteen

months.

iii. Level 3: Similarities above 60% -

Such student shall not be given any mark and/or credit for the plagiarized script and his/her

registration for that course to be suspended or cancelled.

Note 1: Penalty on repeated plagiarism- Such student shall be punished for the plagiarism of one level higher than the previous level committed by him/her. In case where plagiarism of highest level is committed then the punishment for the same shall be operative.

Note 2: Penalty in ease where the degree / credit has already been obtained –

If Plagiarism is proved on a date later than the date of award of degree or credit as the case may

be then his/her degree or credit shall be put in abeyance for a period decided by the Research

Council of the University.

(b) Penalties for faculty, staff, researcher of University-

(i) Level 1: Similarities above 10% to 40% - Shall be asked to withdraw manuscript submitted for publication and shall not be allowed to publish any work for a minimum period of one year.

(ii) Level 2: Similarities above 40% to 60% - shall be asked to withdraw manuscript submitted for publication and shall not be allowed to publish any work for a minimum period of two years and shall be denied a right to one annual increment and shall not be allowed to be a supervisor to any UG, PG, Master’s, M.Phil., Ph.D. student/scholar for a period of two years.

(iii) Level 3: Similarities above 60% - shall be asked to withdraw manuscript submitted for publication and shall not be allowed to publish any work for a minimum period of three years and shall be denied a right to two successive annual increments and shall not be allowed to be a supervisor to any UG, PG, Masters, M.Phil., Ph.D. student/scholar for a period of three years.

Note l: Enhanced penalty on repeated plagiarism - Shall be punished for the plagiarism of one level higher than the lower level committed by him/her. In case where plagiarism of highest level is committed then the punishment for the same shall be operative. In case level 3 offence is repeated then the concerned person shall be dismissed.

Note 2: Penalty in case where the benefit or credit has already been obtained -

If plagiarism is proved on a date later than the date of benefit or credit obtained as the case may be then his/her benefit or credit shall be put in abeyance for a period decided by the Research Council of University.

Note 3: If there is any complaint of plagiarism against the Head, a suitable action, in line with these guidelines, will be taken by the Competent Authority/Governing Board as the title may be.

13. Role of the University Grant Commission (UGC), New Delhi:

UGC rules or regulations (as amended time to time) related to plagiarism prevention and

promotion of research work may supersede.

14. Approving Agency

As per deliberation and due suggestion of the Academic Council of the University, the Research

Council of the Jharkhand Rai University shall be responsible for examination and execution of

the same.

Intellectual Property Rights and India

Introduction

Various International Treaties

Various subject matters of Intellectual Property in India

1. Copyrights 2. Patents 3. Trademarks 4. Designs 5. Geographical Indications 6. Plant Varieties 7. Superconductor Chips and Integrated Circuits 8. Traditional Knowledge 9. Biological Diversity

Indo-US IPR problem

Conclusion

Modern world’s economic order which runs on capitalistic line has power to commodify almost

anything. Clean air has been commodified by Kyoto protocol. Water is chargeable at most

locations. One can also get Himalayan glacial water by paying much more. Electromagnetic

waves are auctioned by government. In similar fashion, it is possible to buy and sell intellect,

thanks to IPR regime.

While it may be true that knowledge blossoms when shared, yet in certain circumstances such

benevolent sharing is not desirable. When one invests lot of time, energy, money and other

resources on cultivation of his knowledge towards a specific goal, he has legitimate right to fruits

of his labor. Any creation of someone’s mind should be used under his authorization. This, apart

from moral, also makes socio-economic sense.

Upto couple of years back, any Hepatitis C patient had to undergo a harrowing ordeal of

intoxicating drugs for years. This however has changed now, thanks to invention Sofosbuvir by

Gilead. This drug is taken orally and much easy for body to tolerate. It’s unlikely that without

IPR protection this drug would have been invented.

IPR provides a secure environment for investors, scientists, artists, designers, traders etc. to foster

innovation and scientific temper. This innovation often has potential to yield astronomical returns

and rewards to creators and users. Obviously, original inventors shall have rights to such profits.

However it is imperative that society at large should also be benefited by such outcomes. Thus,

IPR regime aims to strike balance between public and private rights.Patents are granted for 20

years on any new product or process to original creator. After expiry of 20 years such patents

expire and generic industry can exploit what was once patented. When we say Indian

pharmaceutical industry is world leader in generic drugs, it means that they manufacture mostly

those drugs whose patents have been expired. In other words, for 20 years law guards private rights

and then they make sure that innovation is thrown open to public, hence striking a balance.

Intervention of state in guarding tangible property of citizens like immovable property, cash,

jewelry etc seems more obvious. These things can be enclosed in a limited space and protected.

In these things title of ownership can be made clear by invoices and payments. State’s law and

order machineries have been protecting citizens’ right to these properties from the times

immemorial. However, ideas, intellect, art, programming codes and designs etc. have only

recently come under definition of property. As article 300A provides right to own property to

citizens, it becomes duty of state to protect intellectual property too.

If these things are to be stolen, physical custody is not required. It means that state can’t prevent

proliferation of an innovative idea. Hence, it shall strive to provide exclusive right to creator to

exploit its creation. Even when everyone knows the idea, secret or key, all except inventor are

forbidden by law to exploit it. These things can only be used after due authorization from creator

or on expiry of protection.

Not everyone is in favor of this IPR protection provided by state. Some people claim that no

innovation is done in isolation. They are result of incremental innovations which are on from

times immemorial. So any innovation, rather than individual asset is a social asset. Further, it is

argued that most new patents are result of serendipity. There is no co-relation between effort,

outcomes and rewards.

Notwithstanding strength of these criticisms, it should be realised that over the years IPR

protections have encouraged tremendous investments and efforts in areas of applied science. We

have overcome numerous challenges in various fields of medicine, communication, agriculture,

communication, transport etc.

As already said, knowledge knows no boundaries. It is hence not enough to provide protection to

a creation in domestic laws. In globalized world economy it is imperative that a universal

protection is accorded. For this we have robust international system of treaty instruments and

enforcement organizations.

Various International Treaties

There are different subject matters of intellectual property like Patents, Copyright, Trademarks,

Industrial design, Plant Varieties etc. Need for protection in these different subjects arose in

different periods. These are reflected in different treaties. Agreement on TRIPS, under aegis of

WTO, remains most influential, comprehensive and inclusive of all. Other treaties are covered

here for background information.

There are two main bodies – World Intellectual Property Organization (WIPO) under UN which

administers 1-7 treaties mentioned below. 8th treaty is independent of any organization. Another

relevant body is World Trading Organization. 9th (or TRIPS) is administered by WTO. 10th treaty

comes under UNESCO.

1. Paris Convention for Industrial Property, 1883 – Since it deals only with Industrial property, it covered only Patents and Trademarks. It was among first treaties to recognize

various principles of international trade like National Treatment, Right of Priority,

Common rules etc.

2. Bern convention for literary and artistic works, 1886 – It provided for copyright system. It doesn’t provide for any formality to claim protection. Protection is

automatically accorded to any creation, provided work is original and other conditions

under the treaty are fulfilled. It means that your work, if original, is already protected.

You can claim that you have copyright.

3. Madrid Agreement, 1881 – Governs the international recognition of trademarks. Made international fillings easy and cheap.

4. Patent co-operation treaty, 1970 – It was earlier not possible for an entity to claim protection in different countries by single application. This was made possible as it aimed

for co-operation and it was open for all parties to Paris convention.

5. Budapest Treaty of 1980 – It made possible patenting for micro-organisms. Claimant is required to deposit his invention on micro-organisms with an Authority – ‘International

depository of Micro-Organisms’ under WIPO. He shall make all the adequate

disclosures.

6. Trademark Law Treaty, 1994 – Harmonized administrative procedures and introduced ‘service marks’ in ambit of trade marks. Earlier trademarks were accorded only to goods.

7. The Hague agreement concerning the International Deposit of ‘Industrial Design’ 1925 – It created International Design Bureau of WIPO.

8. International Union for protection of new varieties of plants, 1961 – This provides breeders and farmers right to new plant varieties.

9. Agreement on Trade Related Aspects of Intellectual Property – It is a landmark and most comprehensive treaty on Intellectual property. While earlier treaties’ subject matters

were specific, TRIPS deal with 8 kinds of property rights – Patents, Trademarks, trade

dress, Copyrights, Industrial Designs, Plant Varieties, Integrated Circuits and layouts, and

Geographical Indication. Further, almost all countries are party to TRIP. In earlier treaties

only limited countries participated. It also provides enforcement mechanism which was

not available in WIPO treaties. It mandated all member countries to make their domestic

laws complaint to TRIPS. India passed certain laws and amended others. India’s IPR

regime now stands fully complaint to TRIPS. For E.g. India amended patent law in 2005

to provide ‘product’ patent protection. Earlier protection was available only to

‘processes’.

TRIPS was results of discussions held in Uruguay round which led to formation of WTO. This

treaty is an offshoot of General Agreement on Trade in Goods (GATT). This treaty provided a

robust Dispute Resolution Mechanism and stringent penal provisions under auspices of WTO.

Further, every treaty under WTO is based some principle which are –

1. National Treatment – No foreign products, once they enter domestic territories, shall be discriminated in any manner. This also applies to intellectual property. Members must

accord similar treatment to foreign creations, as they do to domestic ones.

2. Most Favored Nation – If a member provides some privilege, favorable treatment or exemption to another country or group, then other members must get similar favorable

treatment.

3. Right to priority treatment – If a similar patent application has been filed in two different countries, then prior applicant has right to the patent.

4. Concept of Minimum Standards – This treaty provides for minimum level of protection that every member should provide to intellectual property. Members have discretion to

provide more protection than minimum standards.

5. Universal Copyright Convention, 1952 – This convention is administered by UNESCO. This exists simultaneously with Bern Convention. This treaty provides for

procedural formalities for filing and recognition of copyright. As Bern convention

provides for automatic route to copyright, this treaty has lost its relevance.

Various subject matters of Intellectual Property in India

1. Copyrights

Law – Copyrights Act 1957, amended in 2012

Ministry – Copyright Office, Ministry of Human Recourse Development

Copyright is a bundle of rights given by the law to the creators of literary, dramatic, musical and

artistic works and the producers of cinematograph films and sound recordings. The rights

provided under Copyright law include the rights of reproduction of the work, communication of

the work to the public, adaptation of the work and translation of the work.

Copyrights of works of the countries mentioned in the International Copyright Order are

protected in India, as if such works are Indian works. The term of copyright in a work shall not

exceed that which is enjoyed by it in its country of origin.

Acquisition of copyright is automatic and it does not require any formality. Copyright comes into

existence as soon as a work is created and no formality is required to be completed for acquiring

copyright. However, certificate of registration of copyright and the entries made therein serve as

prima facie evidence in a court of law with reference to dispute relating to ownership of

copyright. Application for copyright can be filed in Copyright office.

Computer Software or programme can also be registered as a ‘literary work’. As per Copyright

Act, 1957 “literary work” includes computer programmes, tables and compilations, including

computer databases. ‘Source Code’ has also to be supplied along with the application for

registration of copyright for software products.

The 2012 amendments make Indian Copyright Law compliant with the Internet Treaties – the

WIPO Copyright Treaty (WCT) and WIPO Performances and Phonograms Treaty (WPPT).

Literary

dramatic,

musical and

artistic works

Lifetime of the author + sixty years from the beginning of the

calendar year next following the year in which the author

dies.

Anonymous and

pseudonymous works

Posthumous work

Cinematograph films

Sound records

Government work

Public undertakings

International Agencies

photographs

Until sixty years from the beginning of the calendar years

next following the year in which the work is first publish

India has a very large copyright-based creative industry. The Copyright Act is comprehensive

and with the recent amendments, the rights of creators have been strengthened. India was the

first country to ratify the Marrakesh Treaty 2013 for Access to copyright works for visually

impaired persons. Enforcement in copyright has been significant and will be further reinforced.

Judgments of Indian courts have adequately balanced the rights of copyright owners with the

rights of public. Moral rights are fully recognized.

The challenge in the future is the enforcement of copyright in digital platforms for which the

statute has adequate provisions. Indian copyright owners are also victims of copyright violations

and piracy. Apart from Copyrights Act, Information Technology Act, 2000 too has certain

relevant provisions for copyright in electronics and digital field.

There have been disagreements over the question whether Softwares are eligible for copyrights

or for patents. Copyright Office recently held that softwares, if are not in conjuncture with novel

hardware should be protected by copyright. This is relief for software industry as Copyrights are

cheap, automatically recognised and protects for 60 years while patents are only for 20 years.

2. Patents

Law – Patents Act, 1970, amended in 2006

Ministry – DIPP, Ministry of Commerce and industry

The object of patent law is to encourage scientific research, new technology and industrial

progress. The price of the grant of the monopoly is the disclosure of the invention at the Patent

Office, which, after the expiry of the fixed period (20 years) of the monopoly, passes into the

public domain. The fundamental principle of Patent law is that a patent is granted only for an

invention which must have novelty and utility. It is essential for the validity of a patent that it

must be the inventor’s own discovery as opposed to mere verification of what was, already

known before the date of the patent. A patentable invention, apart from being a new

manufacture, must also be useful.

Evergreening of patent is not allowed: In order to be patentable, an improvement on something

known before or a combination of different matters already known, should be something more

than a mere workshop improvement, and must independently satisfy the test of invention or an

inventive step. It must produce a new result, or a new article or a better or cheaper article than

before. The new subject matter must involve “invention” over what is old.

It allows Compulsory Licensing: This strikes balance between two objectives – Rewarding

patentees for innovation and to make sure that patented products, particularly Pharmaceutical

ones, are available to public in developing and underdeveloped countries at affordable prices.

In March 2012, India granted its first compulsory license ever. The license was granted to Indian

generic drug manufacturer Natco Pharma Ltd for Sorafenib tosylate, a cancer drug patented by

Bayer. Non-governmental groups reportedly welcomed the decision.

TRIPS also allows for compulsory licensing under certain circumstances. The principal

requirement for the issue of a compulsory license is that attempts to obtain a license under

reasonable commercial terms must have failed over a reasonable period of time. Specific

situations in which compulsory licenses may be issued are set out in the legislation of each patent

system and vary between systems. Some examples are – Unaffordable prices of particular drug

for masses or inability of patentee to fulfill demand in markets. Further, TRIPs also provides that

the requirements for a compulsory license may be waived in certain situations, in particular cases

of national emergency or extreme urgency or in cases of public non-commercial use.

It allows both Product and Process patent: Prior to 2006 amendment, only process was

allowed to be patented. It means that if same product is manufactured using some process

different than that was patented, there shall be no infringement.

System of pre-grant and post-grant oppositions: Introduced in 2005, ensures that only

deserving patents are granted. It is now possible to raise objection both before and after the

patent has been granted.

Data exclusivity: Indian Patent Act doesn’t specifically provide for data exclusivity.

Companies spend significant time, energy and money on research and clinical trials. During all

this they gather large amount of useful data. While obtaining permission for launch of product in

markets or while applying for patents, these companies have to provide data to authorities. By

provision of data exclusivity, companies want authorities to not to share such data with any third

party for certain period.

https://en.wikipedia.org/wiki/Sorafenib_tosylatehttps://en.wikipedia.org/wiki/Bayer

Article 39(3) of the TRIPS states that that “Members when requiring, as a condition of

approving the marketing of pharmaceutical or of agricultural chemical products which utilize

new chemical entities, the submission of undisclosed test or data, the origination of which

involves a considerable effort, shall protect such data against unfair commercial use. In addition,

Members shall protect such data against disclosure, except where necessary to protect the public,

or unless steps are taken to ensure that data are protected against unfair commercial use“

But it should be remembered that Article 39(3) does not talk about “Data Exclusivity” but only

about “unfair commercial use” and it is this phrase that is interpreted by Multi-national

companies as containing “Data Exclusivity” provision and thus demanding data exclusivity law.

Data exclusivity however, is opposed on following grounds –

1. If generic drugs manufacturers are denied access to such data then they will have to do separate clinical trials which will increase costs.

2. Further, there are ethical issues with clinical trials as it involves experimentation on animals or humans.

3. TRIPS agreement not at all mentions ‘data exclusivity’. It is just creative interpretation of MNCs.

4. It can become an alternative to patentability and can be used for evergreening. Data exclusivity concept is different from patent. If a company manages to protect data, then it

may continue to maintain its monopoly by incremental improvement in products and

generation of new data.

There is no need of a “further protection” to pharmaceuticals in the form of “Data Exclusivity”

as the protection under the Patents Act, 1970 is not only sufficient but also in conformity with

the TRIPS Agreement. The protection in the form of “Data Exclusivity” is a “TRIPS plus”

provision to which Indian does not owe any obligation.

The Health Ministry has said that India already has necessary legal provisions to protect data an