ANNA UNIVERSITY

COIMBATORE 641 013

DEGREE OF DOCTOR OF PHILOSOPHY (Ph.D) and MASTER OF TECHNOLOGY (M. Tech) By Research

REGULATIONS
2008-09
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ANNA UNIVERSITY
COIMBATORE 641 013 Format for Details / Particulars to be furnished by the Departments in the Affiliated Engineering Colleges / Industrial Units / R&D Organisations / Labs of Government / Quasi Government Or any other Research Laboratories / Research Centres / Society Seeking Recognition for Collaborative Research or the status of Approved Research Centre located any where in India/Abroad. 1. Brief History of the Institution/Engineering College/ : Organistation with a standing of minimum of 5 years or Society / Research Centres with a standing of Minimum of 3 years Nature of Activity : Staff members with Ph.D. qualification and : publications/journals/patent(s) in the relevant area of research within a period of 3 years preceding the date of application Network/Association with PhD Qualified Supervisors form Industry/Institutions/R&D Laboratories/ whose services can be availed Department/Organisation for which, recognition is now applied for Infrastructure facilities available a) Major Equipments b) Special Equipments if any c) Library : No. of Books : : : : No. of Journals : d) Computer & Internet Facilities No. of Terminals and Band Width : :

CONTENTS
1 2 2.1 2.2 2.3 2.4 2.5 3 3.1 3.2 3.3 3.4 4 5 5.1 6 7. 8. 8.1 8.2 8.3 9 10 11 Introduction Eligibility for Admission Ph.D M.Tech (By Research) Lateral Entry Second / Additional Ph.D Integrated Ph.D Registration for M.Tech (By Resarch) / Ph.D Degree and Duration of Research Course Work Duration of Research Attendance Certificate Application for Provisional Registration Institutions for Conducting Research Supervisor for Research Change of Supervisor Number of Candidates under a Supervisor Research Committee / Doctoral Committee (RC / DC) Examinations Course Work, Comprehensive Examination and Seminars Synopsis and Thesis Submission Adjudication of M.Tech (By Research) / Ph.D Thesis Cancellation of Registration The Act of Plagiarism General Provisions

Page 5 5 5 6 6 6 7 8 8 8 8 9 9 9 10 11 11 12 12 13 14 17 17 17 17 17 18

2. 3.

4.

5. 6.

e) Association with various Professional Bodies/ : Research Organisations 7. 8. Seminar / Symposia / Workshop Organised and/or Collaborated :

Details of remittance towards Processing : fee of Rs. 10,000/- (Renewal Fee Rs. 5,000/for every 5 years) for recognition of the Department/Organisation as an Approved Research Centre General Remarks if any Enclose all the supporting documents
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11.1 Alternative Awards 11.2 Special Awards 12 Removal of Difficulties APPENDICES

9. 10.

APPENDIX X
[REF: REGULATIONS : 8.3.4]

FORMAT OF DEGREE CERTIFICATE

ANNA UNIVERSITY
COIMBATORE 641 013

Faculty of ______________________________________________________ the Syndicate of Anna University hereby makes known that (Name of the candidate) has been admitted to the Degree of Master of Technology (By Research)/Doctor of Philosophy, he/she having been certified by duly appointed examiners to be qualified to receive the same in the year ________________________ for the thesis entitled ________________________________________________________ (Title of the Thesis) (Name of the Discipline)

Given under the seal of Anna University, Coimbatore this _______________________ day of _____________________

Registrar

Vice-Chancellor

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APPENDIX IX
[REF: REGULATIONS : 8.3.1]

ANNA UNIVERSITY
COIMBATORE 641 013 DEGREE OF DOCTOR OF PHILOSOPHY AND MASTER OF TECHNOLOGY (By Research) Ph.D & M.Tech (By Research)

PROFORMA FOR ADJUDICATION OF THE M.TECH (By Research) / PhD Thesis

1. 2. 3. 4. 5. Name of the Candidate Title of the Thesis Discipline and Subject Name & Address of the Examiner Recommendation of the Examiner [Please strike out whichever are NOT applicable] a) Thesis is Highly Commended b) Thesis is Commended : : : : : 1

REGULATIONS
2008 - 09 INTRODUCTION The Degree of Doctor of Philosophy (Ph.D) is awarded to a candidate who as per these regulations, has submitted a thesis on the basis of original and independent research in any particular discipline or inter-disciplinary work involving more than one discipline, that makes a contribution to the advancement of knowledge, which is approved by suitably constituted set of examiners as required. M.Tech Degree by research is awarded to a candidate who as per these regulations has sucessfully completed the course work as presescribed by the Research Committee and submitted a thesis which is approved by a panel of examiner(s) constituted for the said purpose. 2 2.1 ELIGIBILITY FOR ADMISSION Ph.D For the purpose of admission to the Ph.D. programme, a candidate should have obtained a Master's Degree and/or M.Phil. in any branch of Science/Humantites/ Management / Computer Applications / Education, or Masters Degree in Engineering / Technology / Architecture with not less than a Second Class or equivalent CGPA. In the case of examinations, where such a classification does not exist, a minimum of 50% marks is needed in the qualifying examination. If the candidate has already passed the GATE and/or the CSIR-UGC-NET/SLET they become automatically eligible for admision into the Ph.D. program in the respective discipline. 2.1.1 Independent Research

OR OR

c) Thesis is Commended and Degree may be awarded subject to the candidate furnishing satisfactory clarification to my queries during the Public Vica-Voce Examination. d) Thesis is Commended and Degree may be awarded subject to the condition that the corrections/modifications suggested by me are carried out in the thesis and duly certified by the Supervisor before the Public Viva-Voce Examination. OR e) Thesis is Not Commended and the Degree may not be awarded NOTE : 6. Please enclose your detailed report on the thesis. Please also enclose a list of questions, if any, to be asked at the Public Viva-Voce Examination. :

Any other remarks (if any)

Place : Date :

.. [Signature of the Examiner] with Designation

Faculty Members with M.Phil or equivalent qualification working in the University Departments / Affiliated Colleges / Industry / R&D Labs with atleast five years of teaching / research experience may register for Ph.D without a Guide / Supervisor as scholars. However, those registered under this category of independent registration, can opt to work under a recognised Supervisor at any stage after registration, with the prior permission of the Univesity and on payment of a status change fee.
36 5

Address :

The candidates may register at this University, or through other Research Institutions / Affiliated Colleges / Approved Research Centres by the University for this purpose satisfying all regulations. 2.1.2 Interdisciplinary / Multidisciplinary Research A candidate with a Masters Degree in any discipline qualified as mentioned under section 2.1 is eligible to register for the Degree of Doctor of Philosophy in an interdisciplinary areas / research. Such candidate will be awarded the interdisciplinary/multidisciplinary degree in the faculty in which he/she has registered. For any interdisciplinary/multidisciplinary candidate there should be a research supervisor from one discipline and a joint supervisor(s) from the other discipline(s). 2.2 M.Tech (By Research) A candidate who has qualified for the award of the Bachelors Degree in Engineering/ Technology/ Architecture or Masters Degree in Science (M.Sc.) / Masters Degree in Computer Applications (MCA) of any recognised (Indian and Foreign) University as approved by the UGC / AIU or any other qualification recognized as equivalent thereto in the field of study notified from time to time by this University with not less than a Second Class or equivalent CGPA. In the case of examinations, where such a classification does not exist, a minimum of 50% marks is needed in the qualifying examination is eligible to apply for the Master of Technology (By Research) Programme. 2.3 Lateral Entry Those who have pursued PhD Programme for not less than one year with this university or any other University approved by UGC/MHRD and discontinued for various reasons can apply under this category. If there is no change of topic of research with or without the change of Original Supervisor (if the Supervisor fullfil the norms of our university) he/she can register with this University. If the candidate have already completed his/her course work / Pre-Ph.D Examination will be exempted from to do course work again. Those candidates also can get one year / proportionate period (based on their earlier registration) of excemption in the minimum period prescribed before the submission of thesis. 2.4 Second / Additional PhD Those who wish to have an additional PhD after earned a PhD Degree from a recognised University (approved by UGC/MHRD) can apply for a second/additional PhD in the related/interdisciplinary/ multidisciplinary area. The minimum period to submit the Thesis will be one year. The number of Course Work to be done (if required, based on the proposed research work and the area of the candiates specialisation) will be decided by the Doctoral Committee as under 2.1.1 Independent
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APPENDIX VIII
[REF: REGULATIONS : 8.2.1]

CERTIFICATE FROM THE SUPERVISOR

I declare that the thesis entitled ________________________________ _______________________________________________________________ _______________________________________________________________ submitted for the degree of Master of Technology (By Research) / Doctor of Philosophy by Mr./Ms. _____________________________________ is the record of research work carried out by him/her during the period from __________________ to __________________ under my guidance and supervision, and that this work has not formed the basis for the award of any degree, diploma, associateship, fellowship or other titles in this University or any other University or Institution of Higher Learning.

Signature of the Supervisor with Designation

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APPENDIX VII
[REF: REGULATIONS : 8.2.1]

Research. If a candidate seeking admission for the second/additional PhD degree other than the specialisation / faculty in which the candidate has been previously awarded, the candidate will have to appear for course work as suggested by the DC. Course work will be suggested from the field of specialisation/faculty for which, the candidate wishes to register for PhD. However, it will be decided by the Doctoral Committee as under 2.1.1 Independent Research. 2.5 Integrated PhD Anna University, Coimbatore offers an exciting opportunities to motivated and talented Bachelors degree holders in Engineering/Technology or B.Sc / M.Sc Graduates with relavant specialization in science with a keen sense of scientific enquiry for pursuing advanced research in emerging areas of Science and Technology leading to the Ph D degree of the University. This programme has Two Phases. In Phase I, the candidate will follow all the procedures as laid down in section 2.2 and 3. After the successful completion of the Phase I, the candidate will be awarded with an M.Tech (By Research) Degree in the respective specialization. However, after that in Phase II, the candidate will continue to work in the chosen research area as laid down in section 2.1 and 3. 2.5.1 Candidates with Bachelors degree in Science / Engineering / Technology / Architecture under 10+2+3/4/5 system or Masters Degree in Science / Computer Applications under 10+2+3+2/3 with not less than a First Class or equivalent CGPA are eligible to apply for admission to Integrated Ph D program. In case of examinations, where such a classification does not exist, a minimum of 60% marks is needed in the qualifying examinations. 2.5.2 The minimum requirement of FIRST CLASS in the qualifying examination is relaxed to PASS CLASS for SC/ST candidates. 2.5.3 Those who are in the final year of their qualifying examination and awaiting results are also eligible to apply. But they should have completed all the requirements for the award of the qualifying degree, including all examinations, dissertation projects, viva-voce, etc., by the time of joining in the respective session (January, April, July, and October). 2.6 Notwithstanding anything contained in these regulations, candidates possessing any one of the qualifications prescribed under Regulation 2 supra, and employed as a teacher, scientist or in any other related capacity in National/State level Institutions, Universities, and Research and Development institutions/Approved Research Centres of this University approved for this purpose, outside the geographical jurisdiction of this University, located anywhere in India/ abroad and who are sponsored / permitted by the respective organizations for pursuing
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DECLARATION

I declare that the thesis entitled _______________________________ _________________________________________________________________________________________ ________________________________________________________________________________________ __________________________________________________________ __________________________________________________________ submitted by me for the degree of Master of Technology (By Research)/ Doctor of Philosophy is the record of work carried out by me during the period from __________________ to __________________ under the guidance of ___________________________ and has not formed the basis for the award of any degree, diploma, associateship, fellowship, titles in this or any other University or other similar institution of Higher Learning.

Signature of the Candidate

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research leading to the M.Tech (By Resarch) / Ph.D Degree of this University, while continuing to hold the employment, may be permitted to register for the M.Tech (By Resarch) / Ph.D. Degree as external candidates (those who are employed in this university/affiliated colleges within the jurisdiction of the university are come under the internal category of candidates), provided and the organization should have the facility and no objection to it. These candidates are expected to do research in their place of employment and in addition they should undergo such course(s) and research work as may be prescribed by the Research Committee (RC) in case of M.Tech (By Resarch) / Doctoral Committee (DC) in case of Ph.D, under the Supervisor. 3 REGISTRATION FOR M.Tech (BY RESARCH) / Ph.D DEGREE AND DURATION OF RESEARCH Admissions to the M.Tech (By Resarch) / Ph.D programme can be made at any time of the year but registrations for M.Tech (By Resarch) / Ph.D shall be done in four times a year (January, April, July and October) accordingly. However, there will be an examination (written/on-line / oral) to get the admission. 3.1 Course Work It is mandatory that all those admitted to the Ph.D / M.Tech (By Research) programs shall undergo course work either through regular class work or through directed study/on-line/hybrid mode amounting to a minimum of 18 credits / as suggested by RC not exceeding 36 credits [in case of M.Tech (By Research)] and 12 credits (in case of Ph.D) as prescribed by the DC vide infra. Courses will be suggested / designed by the respective Supervisor /any member of Doctoral Committee / Research Committee. 3.1.1 Candidates registered under the category of Integrated Ph.D during their Phase II, will undergo a additional course work(s), if suggested by the DC. Otherwise, there is no need for course work, if the candidate extends the research area choosen during the Phase I (M.Tech - By Research). 3.2 Duration of Research In all cases, the minimum and maximum period for completing the programmes shall be two years and five years, respectively from the date of registration in the programme. However, under exceptional circumstances the Vice Chancellor may allow curtailment or extension of the period. 3.3 Attendance Certificate

APPENDIX VI
[REF: REGULATIONS : 8.2.1]

Format of M.Tech (By Research)/PhD Title Page of Thesis

TITLE OF THE THESIS

A Thesis Submitted by

Name of the Candidate

In partial fulfillment of the degree of

Doctor of Philosophy or (Master of Technology (By Research))

in

MECHANICAL ENGINEERING
(Relevant Department)

Under the Faculty of Engineering/Technology (Relevant Faculty)

LOGO OF UNIVERSITY

ANNA UNIVERSITY
COIMBATORE 641 013
MONTH AND YEAR OF SUBMISSION 33

3.3.1 A candidate registered shall work for the minimum period of research prescribed supra after the date of provisional registration and before submission of thesis in the department of this University/Affiliated Colleges of this University/their
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APPENDIX V
[REF: REGULATIONS : 8.1]

COURSE WORK EXAMINATION & EVALUATION

Every candidate provisionally registered for the M.Tech (By Research) / PhD Programme shall undergo Course Work in the first year. The number of Course Work and their total credits will be suggested by the RC/DC respectively. It is mandatory that all those admitted to the Ph.D / M.Tech (By Research) programs shall undergo course work either through regular class work or through directed study / on-line / hybrid mode amounting to a minimum of 18 Credits / as suggested by RC not exceeding 36 Credits [in case of M.Tech (By Research)] and 12 credits (in case of PhD) as prescribed by the DC vide infra. Courses will be suggested / designed by the respective Supervisor / Members of Doctoral Committee / Research Committee. Scheme of Examinations The Question Paper for the Course Work examination will be set/and/or evaluated by the Supervisor/Joint Supervisor/DC/RC Members/External Members. The Course Work Examination will be conducted either as regular written examination / on-line examination. On the basis of these examinations and comprehensive written / on-line and oral examination in person or through video conferencing at the end of the first year after provisional registration of the candidate will be confirmed by the University. He/She shall be permitted to proceed with his /her research work and submit the thesis at the expiry of minimum total period of research prescribed after provisional registration. The candidate should give one seminar after the confirmation of registration in a general field connected with his/her research work and a second seminar on the topic of his/her research work before the submission of Thesis. The M.Tech (By Research) thesis will have 36 credits. The total minimum credits to be earned to become eligible to get M.Tech (By Research) degree is 54 credits. The Research/Doctoral Committee will periodically monitor the progress of the work of the scholar at least once in a year and the report shall be sent to the University.

place of employment or approved research centres / institution approved for the purpose under continuous supervision. The Supervisor has to issue the attendance certificate to the Controller of Examinations and the Director (Research) [Vide, Appendix I]. 3.3.2 Provided, in all the above cases mentioned in 3.3.1, the research work shall be monitored by the Research Committee / Doctoral Committee i.e. RC / DC hereinafter prescribed, through periodical progress reports, submitted by the candidate. [Vide, Appendix I] 3.4 Application for Provisional Registration A candidate applying for provisional registration shall furnish all the information needed in the form prescribed together with the fees prescribed. Every applicant who satisfies all the conditions and procedures prescribed shall, after approval by the University, be provisionally registered for the Degree [Vide, Appendix II]. 4 INSTITUTIONS FOR CONDUCTING RESEARCH A candidate may be permitted to pursue research leading to M.Tech(By Research) / Ph.D., in any one of the following institutions subject to satisfying conditions of eligibility (vide supra), availability of supervisor and necessary facilities. 4.1 4.2 The departments of the University. All India Research Institutions and Regional Research Institutions/Collaborative Research Institutions duly recognized by the University or UGC / Approved Research Centres of this University (located anywhere in India/Abroad) for conducting research. Well equipped Research and Development departments of public and private sector undertakings recognized from time to time by this University as having necessary facilities for prosecuting research at an advanced level. All Approved Institutions of Statutory bodies of Govt. of India or a registered Societies involved in the process of disseminating advanced knowledge and Research / Professional bodies etc. The research scholars of the University Departments may also be permitted to conduct their research in foreign universities and institutions / industries for a maximum of upto one year if there is a proper memorandum of understanding between such institutions and this university. Any industry / institution / corporate entity / MNCs having sufficient infrastructure to conduct research within India or Abroad. SUPERVISOR FOR RESEARCH Every candidate for the M.Tech (By Research) / Ph.D degree shall work under the continuous supervision of a recognized supervisor in a given department
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4.3

4.4

4.5

4.6 5

of this universtiy or recognised supervisor in category 4.2, 4.3, 4.4, 4.5, 4.6 or at the place of employment that for inter-disciplinary research alone, a candidate may have a co-guide or joint supervisor in yet another department of approved institution if the supervisor so desires. Those candidates, coming from Industries and other organisation, other than those stipulated in 4.1 and 4.2 shall have a research coordinator from their respective organization, in addition to the supervisor from the University if it is decided so by RC/DC. Such a research co-ordinator can, however, act as a supervisor, if he/she has the same qualification needed for supervisor (vide infra) and if a prior approval for research guidance has already been accorded to him/her by this university. No immediate or close relative of the candidate shall act as a supervisor. A person may be recognized as a supervisor for M.Tech (By Research) / Ph.D. research in any faculty including Engineering, Technology, Management, Education, Computer Applications, Humanities and Sciences and Architecture, if he/she possesses a Ph.D. degree of this University or of any other University recognized by the Academic Council as equivalent thereto or by the UGC and sufficient teaching and/or research experience with a minimum of two research publications (or patent(s) filed / obtained) in refereed National / International journals / conferences to his/her credit or the Professors approved by Anna Unviersity, Coimbatore for the purpose. The panel of supervisors may be located in one of the following places (including institutions / organisations mentioned in 4.1 to 4.6); a) this University Departments b) other approved Universities/Colleges and Affiliated Colleges and other Research Institutions / School of Advanced Studies / Approved Research Centres / Registered Societies involved in Research etc. c) Industries subject to having the qualification stipulated above [vide, Appendix III]. 5.1 Change of Supervisor

thesis for approval before the submission of synopsis of the thesis to the University and to give a certificate to this effect to be submitted along with the synopsis. 5. To suggest a panel of FIVE names [from India] to be considered for appointment as examiners by the University, for evaluating the thesis and for the public viva-voce examination, taking special care to see that none of the names so suggested is an immediate relative of the candidate/supervisor. Provided that persons suggested for appointment as examiners should hold Ph.D degree with teaching at the post-graduate level/industrial/professional experience and/or research experience for at least 5 years with patent(s) filed / obtained / research publications in standard refreed research journals/ conferences (national and/or international) to their credit.

5.1.4 When a supervisor of a research scholar happens to be away from the university, for more than 6 months and up to one year, he/she shall continue to guide the research scholar, but a supervisor-in-charge shall be nominated (normaly from the RC/DC) by the Director (Research). The supervisor-in-charge shall function till the supervisor returns. 5.1.4 When a supervisor of a research scholar happens to be away from the University for more than one year, an alternate supervisor shall be nominated (normaly from the RC/DC) by the Director (Research), if the supervisor has left before the completion of one year research period.
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APPENDIX IV
[REF: REGULATIONS : 7]

FUNCTIONS OF THE RESEARCH COMMITTEE / DOCTORAL COMMITTEE

1. To discuss, advise and recommend on all matters connected with the candidate's research from provisional registration till the submission of the thesis either in person / through on-line meetings (Video Conferencing/Web based meetings). To suggest courses to be undertaken by the candidate during the first year of his/her provisional registration, in the light of his/her attainment and with a view to fulfilling the requirements of the research. Such courses of instruction may be given as short-term courses lasting from three to four months in such subjects as may be chosen by the Research/ Doctoral Committee and through seminars, discussions, occasional lectures, laboratory techniques, field work, etc. Course Work study may be in the hybrid mode may be with or without class work / directed study / on-line / modular based credit banking system etc. 3. To conduct the course work and examination for the candidate by written / online and oral examinations (in person / through video conferencing / on-line), on the completion of such courses, at the end of the first year of provisional registration and to report to the University on the fitness or otherwise of the candidate to proceed with his/her research work for the M.Tech (By Research)/ Ph.D and recommending the confirmation of the provisional registration. In case where a candidate is not approved at the end of the first year by the Research/Doctoral Committee/University, it may recommend that the candidate should undertake additional course work/examination after a further period of not exceeding SIX MONTHS, at the end of which he/she shall be examined again; and if found fit, his/her provisional registration will be confirmed and he/she will be permitted to proceed with his/her research work. A candidate who is not found fit even after the additional course and re-examination, shall not be permitted to continue research and his/her provisional registration shall be cancelled. 4. To monitor the candidate's work periodically by directing him/her to give periodical seminars on his/her work (in person / through video conferencing / on-line); to submit reports once in a year positively to the University on the candidate's progress in research work in the prescribed format (Appendix - I); to conduct and supervise a presentation by the candidate of the final draft of his/her proposed
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5.1.3 When a supervisor happens to be away from the University for more than one year after completion of one year research period of the research scholar, the nomination of alternate supervisor, supervisor-in-charge shall be decided by the Director (Research), taking into account the status of the research scholar. 5.1.4 When a supervisor retires form service on superannuation or leaves service, he/she shall make arragements for alternative supervisor for his/her research scholar. However, the supervisor who retired from the service shall continue to guide a research scholar, on his/her written request, provided he/she has guided the research scholar continuously for three years or the research scholar has submitted the synopsis. However a Joint Supervisor shall be nominated by Director (Research) to take care of the administrative and to some extent the research responsibilities of the scholar. 5.1.5 Generally change of Supervisor is not permissible. It may be permitted only under extreme conditions such as death of the Supervisor or disability or other medical conditions or any other legal actions on the Supervisor by the administration. However, if there is any conflict between the Supervisor and the Research Scholar, it has to be immediately referred to the Research Committee / Doctoral Committee / Director (Research), whose decision has to be placed before Vice-Chancellor for final decision. 6 NUMBER OF CANDIDATES UNDER A SUPERVISOR The total number of candidates registered for the M.Tech (By Research) / Ph.D Degree, at any point of time shall not exceed 10 scholars. Additional candidates, if any under extraordinary circumstances, shall be decided on the merit of the cases. 7. RESEARCH COMMITTEE / DOCTORAL COMMITTEE (RC / DC) For every candidate including Independent Research Scholars registered for the Ph.D degree, a Doctoral Committee (DC) of not less than three members of the faculty, who are also recognized supervisors/experts shall be constituted by the Director (Research) as follows: In respect of candidates registered for the Ph.D degree under a supervisor, either Internal or External and Independent Research Scholar the Doctoral Committee shall be constituted by the Drector (Research) based on the panel submitted by the Supervisor. Provided that in respect of interdisciplinary/multidisciplinary research, the co-guide or joint supervisor(s) shall also be included as a member, in addition to those constituted by the Director (Research). At least minimum three member of the DC/RC should attend (form the corum) the DC/RC meeting.
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2.

The corresponding committee for the M.Tech (By Research) degree shall be called the Research Committee (RC), the constitution of which will along the same line as prescribed above for the Doctoral Committee. The constitution of the Doctoral / Research Committee is shall be approved by the Vice-Chancellor who will be assisted by the concerned faculty Chairman and Supervisor (if required). The Research / Doctoral Committee shall meet at least once in a year and based on the need regularly. [Vide, Appendix IV] 8. 8.1 EXAMINATIONS Course Work, Comprehensive Examination and Seminars [Vide, Appendix V] Every candidate provisionally registered for the M.Tech (By Research) / Ph.D Degree, shall, after undergoing the courses prescribed by the Research / Doctoral Committee, submit himself/herself to a comprehensive written/on-line and oral examination in person or through video conferencing at the end of the first year after provisional registration, in addition to passing the credited course(s). A candidate who is approved by the Research / Doctoral Committee, on the basis of these examinations will be issued a letter of confirmation as a candidate for the M.Tech (By Research) / Ph.D degree thereafter confirming his / her provisional registration with retrospective effect from the date of joining the research programme (provisional registration). Then, he/she shall be permitted to proceed with his/her research work and submit the thesis, after the expiry of the required minimum period stipulated by clause 3.2. The candidate should give one seminar (in person or on-line/video conferencing) after registration in a general field connected with his/her research, and a second seminar based on the results of his/her research work nearabout the time of completing the research work. Provided that where a candidate is not approved for confirmed registration by the Research / Doctoral Committee, as per provisions supra, it may recommend that the candidate shall undergo additional course work for a further period not exceeding six months, at the end of which he/she shall be examined again, and if found fit, his/her provisional registration will be confirmed and he/she will be permitted to proceed with his/her research work and submit his/her thesis. A candidate who is not found fit even after the additional course work and re-examination at the end of six months, shall not be permitted to continue research and his/her provisional registration shall be cancelled.

11.

Publications (Please attach list of publications and reprints of at least two publications published during last 3 years in National/International Journals/ Refereed Conference Proceedings) (a) Number of Papers in Refereed Journals i) National Journals ii) International Journals (b) Number of Papers published in Refereed Conference Proceedings : : :

(c) Number of Patent(s) filed / obtained : 12. Details of recognition of your : Organization by Anna University / any other University for Conducting Research 13. Any other information Date : Place : Applicant Signature Recommended/Forwarded Date :

Signature Head of the Institution/ Approved Research Centre/ Affiliated Colleges (with seal) Place : Encl. : List of Publications/Reprints/Details of Patent(s) filed or obtained. Other Information & Xerox copy of Ph.D. Degree Certificate (Office Use) Approved / Not Approved Authorised Signatory / Director (Research)
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APPENDIX III
[REF: REGULATIONS : 5]

8.2

Synopsis and Thesis Submission

8.2.1 Submission of Synopsis Not less than three months before the submission of the thesis, every candidate shall submit to the University, through the Supervisor or the Convener of the Research / Doctoral Committee wherever pertinent, a Synopsis (5 copies) of the proposed thesis together with certificate of the RC / DC and the title of the thesis, to be presented in the prescribed application form and fee. The candidate shall inform the probable date of submission of his/her thesis in the application. The synopsis, shall not exceed 25 typewritten or printed page (one side only of A4 size). The most important prerequisite for submission of the synopsis is that the candidate should have completed the delivery of both the seminars vide section 8.1 and the Research / Doctoral Committee should send a report of the same while forwarding the synopsis. A candidate can change the title of the research based on the recommendation of the Supervisor and Doctoral Committee.

ANNA UNIVERSITY
COIMBATORE 641 013

FORM OF APPLICATION FOR RECOGNITION AS Ph.D SUPERVISOR

1. 2. Name (in Block Letters) Designation/Official Address Date of Birth Mobile / Phone No. & E-Mail 3. 4. 5. Qualifications Area of Specialization i) Experience (No. of Years) (a) As Lecturer (b) As Assistant Professor (c) As Professor (d) Total Teaching ii) Practical/Industrial Experience 6. 7. Membership in Professional Societies : : : : : : : : : : : : : (From To ) (From (From (From To To To ) ) )

Not later than six months after the submission of the Synopsis and after the expiry of the minimum period of research prescribed, the candidate shall submit five copies of the thesis embodying the results of the research carried out by him/her, along with the prescribed application and fee. Simultaneously, the candidate should satisfy the RC / DC with a record of publications of his/her research findings in refereed journals and / or proceedings of National /International Conferences with at least one paper for the M.Tech (By Research) candidate and two for the doctoral scholars or patent(s) filed / obtained. The title page of thesis cover format, etc., should strictly conform in presentation as prescribed and the thesis (all Copies) should carry a declaration by the candidate and a certificate duly signed and issued by the Supervisor. [Vide, Appendices VI, VII & VIII] No candidate shall ordinarily be permitted to submit his/her thesis after a period of five years; Provided that the University may for valid reasons and on the recommendations of his/her supervisor, and then the RC or the DC as the case may be, with the approval of Vice Chancellor can grant extension of time for not more than two years in all, to the candidate. A candidate, who is not able to submit his/her thesis even after the grant of extension of two years, shall have his/her registration cancelled. Such extensions shall be granted on six monthly installments after monitoring the progress by the RC/ DC which can in its jugement decide to cancel the registration if the progress is found unsatisfactory. The M.Tech (By Research) / Ph.D Thesis / Synopsis may generally be written in English [for subjects other than languages].

Number of Sponsored Research Projects : (as Principal Investigator give details separately) Research Guidance (No. of Thesis guided) (a) Master's/M.Phil. Thesis (b) Ph.D Thesis : : : :

8.

9. Examiner for PhD Thesis (a) Number of the Thesis Evaluated

(b) Name of the University / Universities : 10. Are you an approved Supervisor for PhD Programme of any other University/Universities :

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13

For re-registration of candidates with change of supervisor and/or topic of thesis, the required period would be similar to the freshly registered candidates. However, when there is only change of supervisor without any change on the topic of the thesis, the same registration shall hold good. 8.2.2 Submission of Thesis before the Minimum Period Prescribed Notwithstanding anything contained in these regulations regarding the minimum period of research to be put in by candidates before becoming eligible to submit their thesis for the degree, in exceptional circumstances it shall be competent for the Research Board/Vice-Chancellor, on recommendation by the RC / DC to permit candidates to submit their theses earlier by a period of not exceeding six months (one year, in case of lateral entry / second / additional Ph.D candidates as in 2.3 & 2.4) provided such request for earlier submission from the candidates are accompanied by (a) the recommendation of the supervisor for relaxation based on the satisfactory completion of research work for the thesis topic with evidence that the candidate has been working consistently even prior to his/her provisional registration for the M.Tech (By Research) / Ph.D degree, on the topic of his/her research; and (b) evidence of having completed the required work for the thesis by way of at least one / two publications in the proposed topic of M.Tech (By Research) / Ph.D. research in refereed journals and/or evidence of having at least one / two papers from the proposed M.Tech (By Research) / Ph.D thesis work in refereed National / International Conferences or filed / obtained patent(s). 8.3 Adjudication of M.Tech (By Research) / Ph.D Thesis The Vice-Chancellor (if required with the help of the Director / Chairman of the concerned faculty) may appoint a Board of Examiners for valuation of thesis consisting of two examiners, from within India, from the panel of Five submitted by the supervisor and later recommended by the Research / Doctoral Committees in the RC/DC meeting specially convened to forward the thesis for examination. Provided further that no close or immediate relative of the candidate be appointed to act as examiner. The Board of Examiners so appointed shall evaluate the thesis and report on the merit of the candidate for the award of the M.Tech (By Research) / Ph.D Degree. Each examiner is expected to give a detailed report on the thesis apart from a Proforma for adjudication in the format prescribed. The Board of Examiners shall report on the merit of the candidate as "Highly Commended", "Commended" or "Not Commended" on the prescribed form or
14

ANNA UNIVERSITY
COIMBATORE 641 013 To be filled in by the Supervisor concerned Particulars required with regards to the candidates of PhD/M.Tech (By Research) Degree currently registered under the Supervision of __________________________ ____________________________________________________________________________ Name of the Candidate : __________________________________________ [Note : Candidates who have been permitted recently to register for PhD degree should also be indicated]
Whether Stependiary or Non-Stependiary if Stependiary mention the source Whether Full Time or Part Time When likely to complete the MINIMUM Period

Sl. No.

Name of the Candidate

When Registered

1. 2. 3. 4. 5. 6. 7. 8. 9. 10.

8.3.1 Examiners / Examinations

Note :

Please indicate the number of Non-Teaching candidates already registered under your guidance.

Whether the Supervisor is recognized If so, state the No. and date of this University Communication through which he/she is recognized as a Supervisor for Ph.D / M.Tech (By Research) Programme. No. ______________ Dated : ________________ Signature Name of the proposed Supervisor : :

27

All the categories may register at the recognized departments, Affiliated Colleges or Research Institutions / Approved Research Centres / Industries etc., coming under these regulations. Instructions: 1. 2. 3. 4. The filled in application should be sent to the Director - Research of the University. Column Nos. 15 and 16 are to be filled in by the respective authorities. The testimonials as required in the application form should be enclosed. External candidates should enclose the following certificates along with application. a) A service certificate from the Head of the Institution where the candidate is employed indicating the date of appointment, nature of appointment [ie., whether permanent or temporary or leave vacancy etc.,] should be furnished. b) If there is any break in service OR if it is a continuous services, the details should be furnished.

format to be received by the examiner along with a copy of the thesis [Vide, Appendix IX]. The two external examiners shall send the individual reports together with the Proforma to the competent authority responsible for forwarding the thesis. The same be perused by the DC and if both the examiners unanimously recommend the award of the degree, the candidate will be asked to appear for a public viva-voce examination. However, if both the examiners do not recommend the award of the degree the Registration of the candidate is automatically cancelled after due perusal by the RC/DC. If one of the external examiners recommends the award and the other does not , the Vice-Chancellor may refer the thesis to a third examiner from the same panel for valuation; the third examiner will not be provided with the report of the other examiners. If the third examiner also does not recommended the award, the candidate becomes ineligible for any consideration for the award of the said degree. If the third examiner, however, recommends the award the candidate will be asked to appear for a public viva-voce examination as prescribed earlier. The viva voce board will comprise any one of the external examiner (as decided by the VC), supervisor and two other members of the faculty as approved by the VC of the University. 8.3.2 Public Viva-Voce Examination A candidate whose thesis has been recommended for the award of the degree by the Board of External Examiners who valued the thesis, shall submit himself/ herself to a public viva-voce examination. The viva voce board will be composed of the any one of the external examiner (as decided by the VC), supervisor and two other members of the faculty in the concerned area of research as approved by the VC of the University. Members of the department in the subject concerned where the candidate conducted research and an outside specialist, if any, may also be suggested as the third and fourth members in the public viva-voce examination. The thus approved viva-voce board shall be convened by the supervisor to conduct the public viva-voce examination for the candidate. In case of the inability of the External Examiner to participate in the viva-voce board, a suitable person from an external Institution shall be appointed by the Vice Chancellor. The supervisor shall convey to the University the result of such public viva-voce examination duly endorsed by the entire viva-voce board. A candidate who is successful at the public viva-voce examination shall be declared to have qualified for the M.Tech (By Research) / Ph.D degree by the Vice-Chancellor and the ratification of the syndicate be obtained for the same in due course.

26

15

If for any reason, the supervisor is unable to conduct the Public viva-voce examination within two months after the approval of the consolidated report on the M.Tech (By Research) / Ph.D thesis by the University and after the appointment of the examiners, the Vice-Chancellor may make alternate arrangements for the conduct of the viva-voce examination in time and the Vice Chancellor may appoint a suitable alternate examiner(s). A candidate who is not successful at the public viva-voce examination, may be permitted to take the same on a second occasion, after the expiry of three months. If he/she is unsuccessful even on the second occasion at the public viva-voce examination, the degree will not be awarded to him/her. 8.3.3 Finalized Thesis If the candidate passes the viva-voce examination he/she shall carry out, corrections to the thesis if such suggestions have come either from the thesis examiners or from the viva voce board. Only then, he/she shall become eligible for the award of the degree. Such a certification on corrections is the responsibility of the supervisor who will forward the corrected thesis to the examination wing of the University. 8.3.4 Format of Degree Certificate The M.Tech (By Research) / Ph.D degree certificate shall incorporate the title of the thesis along with the name(s) of the faculty/faculties and discipline(s) or interdisciplinary / multidisciplinary [Vide, Appendix X]. 8.3.5 Publication of the Thesis and Intellectual Property Rights A thesis, whether approved or not, shall not be published without permission of the VC/Syndicate and it may grant permission for the publication under such conditions as it may impose; Provided that a candidate may, during the course of his/her research, publish papers in standard research journals, as advised by his/her supervisor, but the thesis as a whole shall not be published without obtaining permission of the Syndicate/VC mentioned supra. Permission for publication of the thesis should be made within five years of the award of the degree. If during the period of research or after its completion the patents or IPR arising out of any of the results/conclusions of the said thesis shall be the property of the University/research scholar/ supervisor/industry where the scholar was employed / any sponsoring agency aiding this work as per the rules and regulations to be designed from time to time by the University.
16

The above particulars given are correct to the best of my knowledge.

Place : Date :

.. Signature of the Applicant

(Office use only)

Administrative Approval Departmental Approval Date: Designation Authorized Signatory

Date:

Designation

Authorized

Signatory

ELGIBILITY For purposes of admission to PhD/M.Tech (By Research) Programme, a candidate should have obtained a Master's Degree with not less than Second Class or equivalent grade. In the case of Examinations, where classification does not exist, a minimum 50% marks is needed in the qualifying examination. Candidates should submit/send their application to The Director Research of Anna University, Coimbatore. Registration for PhD may be done throughout the year in four times (January, April, July and October). A candidate will be registered as a internal or external or independent research candidate subject to the provisions of the regulations and subject to the following; Faculty Members / Research Fellows / Research Assistants / Technical Assistants / Project Assistants / Training Officers in extension departments of affiliated Colleges / Collaborative Research Centres approved by the University, appointed in the research projects funded by recognized agencies / Government / any Institutions / Industry / Orgnaisations within India or Abroad are also eligible to register for PhD in the same department / organisation provided they satisfy the eligibility criteria laid in. There shall be following categories of candidates registered for PhD degree: a) Internal [with or without stipend or fellowship] b) External [teacher, or non-teacher] c) Independent Research d) Integrated PhD Programme e) Interdisciplinary / Multidisciplinary Research
25

06

Details of Research experience already gained [include details of themes of study, research work carried out, technical aspects of the work, etc.] [Attach a separate sheet, If necessary] Whether he/she has been awarded fellowship like UGC, CSIR, etc. If so, an attested Xerox copy of the award letter to be enclosed. In case of persons working in this University, indicate [a] Name of the Department : [b] Years of Service :

9 9.1

CANCELLATION OF REGISTRATION The registration of a research scholar who has exceeded the maximum period stipulated for the PhD programme (Five years subject to maximum grace period of Two years if recommended by DC/RC with the approval of the Vice Chancellor) shall stand cancelled automatically. The registration is liable for cancellation administratively by the Director (Research) if a) the research scholar has not paid the semester fees within the stipulated time with the necessary fine (if it is a permissable delayed payment). b) the two consecutive progress reports are not submitted or not satisfactory. c) the performance is not satisfactory to the DC/RC and accordingly recommended for cancellation. d) the research scholar wishes to withdraw the course and wishes to cancel his/her registration

07

9.2

08 09 10

Awards, Medals, Prizes and Honours achieved in his/her career. Any other particulars he/she would like to present for the consideration of the Authorities. Whether he / she has already registered or discontinued the Ph.D / M.Sc (Engineering) / MS (By Research) Programme, etc. in any other institution. If so, give details. Whether he/she has any publication/articles-to his/her credlt. If so, give details. [Attach a separate sheet, if necessary] Name of the Faculty/Department in which research arrangement is required. [Tick ONE] [a] Engineerlng/Technology [c] Management Studies [e] Architecture Department : [ [ [ ] ] ] [b] Humanities & Science [d] Computer Applications [ [ ] ] 10 9.3

11 12

In all the above cancellation cases the fees paid by the research scholar shall not be refunded. Also the candidates will not receive any separate intimation in this regard. THE ACT OF PLAGIARISM In the case of research scholars who have copied a dissertation/thesis/book for M.Phil/ M.Tech (By Research) or PhD degree his/her thesis shall be forfeited and his/her research registration shall be terminated in this university and also he/she shall be debarred to register for any other programme in this University.

13

Name & address of the Institution, where the proposed research supervisor is located. [Office] Contact Phone/FAX Contact E-MAIL : : [Residence]

11 11.1

GENERAL PROVISIONS Alternative Awards In case, a student, registered for the PhD programme, is unable to complete that programme, he/she may at his/her request be considered for the award of M.Phil degree provided he/she satisfies the requirements prescribed for the award of M.Phil degree.

14 15

Number of candidates currently registered under him/her with this/any other Universities. If with other universities, mention the name of the universities. Consent of the Head of Institution/Industrial Laboratory for permission to do research and to provide necessary facilities, with Signature and Seal. [Attach a separate sheet, if necessary] Consent of the Head of the Department/Institution where the candidate is employed for permission to do Research with Signature and Seal. [Attach a separate sheet, if necessary]
24

11.2

Special Awards The Univesity may consider cases for the award of M.Phil/PhD degree for any original or creative work or a patent or a product or such other extraordinaty work on having received an application for a proposal from the claimant himself / herself or from anybody on his / her behalf. In such a case, the Research Board, on preliminary screening by the Director (Research) / Chairman of respective Faculty or the Expert Committee constituted for this purpose by the Vice Chancellor,
17

16

may refer the work to the experts for evaluation in accordance with the procedures laid down under Clause 8.3 and / or to examine the suitability or otherwise of the claimed work for the award. The Research Board, in case it is satisfied that the work merits the award, may make an appropriate recommendation to the Academic Council for approval. 12 REMOVAL OF DIFFICULTIES Notwithstanding anything in the above document, the Vice-Chancellor may take such measures as may be necessary in respect of candidates registered with the University. The University reserves the right to change the rules from time to time and only the latest rules will be applicable to all the candidates irrespective of the year of registration.

APPENDIX II
[REF: REGULATIONS : 3.4]

ANNA UNIVERSITY
COIMBATORE 641 013 APPLICATION FORM FOR ADMISSION TO Ph.D/M.Tech (By Research) PROGRAMME
NOTE : Candidates should submit their application to the Director - Research

INTERNAL / EXTERNAL / INDEPENDENT / INTEGRATED RESEARCH / ADDITIONAL DEGREE

DEPARTMENT 01 02

______________________________________ : _____________________________ Age : Yrs

Photo

Name of the Applicant [in BLOCK Letters] Sex : M/F Marital Status :

Date of Birth : Nationality :

Religion : Caste :

Do you belongs to SC/ST? : YES/NO 03

Address to which communication should be sent : [Office] Contact Phone/FAX Contact E-MAIL : :
University Year Specialization % Marks of Study Class/ Ranks

[Residence]

04
Academic Qualification Plus Two/ Pre Degree Bachelors Degree Masters Degree Any Other Institution

05

Professional experience [Start from the present employment giving full details of duration of each employment]. [Attach a separate sheet, If necessary]
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18

LETTER OF CONSENT FROM THE ORGANIZATION WHERE THE RESEARCH FACILITY IS EXTENDED TO THE RESEARCH SCHOLAR
1. Name and Address of the M.Tech (By Research) / Ph.D Research Scholar : Phone : (R) 2. 3. 4. 5. 6. 7. Register Number : (O) Mobile : E-mail :

APPENDIX I
[REF: REGULATIONS : 3.3.1 / 3.3.2] PROGRESS REPORT OF THE M.TECH (By Research) / Ph.D PROGRAMME
[To be submitted once in a year by all the candidates]

i . The progress reports shall be submitted by the candidate in duplicate, to the Supervisor
accompanied by a report by the candidate about the work carried out during the period of this report, (in about 300 words) duly signed by the candidate and countersigned by the Supervisor. ii. The Supervisor shall fill his/her part, sign it and get it countersigned, by the Head of the Department/ Institution/Approved Research Centre / HoD of the place of employment. iii. The first copy to be retained by the Supervisor for placing before the Research/Doctoral Committee and subsequent office record, second copy shall be sent to the Director (Research). iv. The Attendance Certificate for the period during the course work shall be submitted at the end of first year. Consent letter from the organisation where the candidate is employed shall be submitted at the beginning of the research.

Name, Designation and Address of the Organization where the candidate is employed : Name of the Guide and Place of employment & Address Title of the Proposed Research work : :

Nature of physical research facility required to carry out the research work : Whether the above required facility is available at your organization / institution where you have employed? If yes, give details and get the consent from the Head of Department / Organisation / Institute. Access to Research Facility (Laboratory/Equipment) available outside than your place of employment. a) Name and Address of Organization where the Research Facility is available : b) Nature of the Facility c) Approved /Affiliated to any Govt agency: YES/NO If yes, give details, d) Whether the Facility is available at free of cost/on payment DECLARATION : 2.

1.

Particulars about the Candidate a. Name b. Designation (Where applicable) C. Institution where employed (if applicable) d. Period of the Report Registration Details a. Category of Registration Independent Internal : External Lateral Integrated : : : :

8.

We

would

like

to

provide

/extend

the

above

research

facility

to

b. Date of Provisional Registration : with University reference c. Has the Provisional Registration : been confirmed? If yes, give Reference : 3. Particulars of the Supervisor(s) i. Supervisor/Guide a. Name b. Designation : : Yes No

Shri/Smt/Kum. . M.Tech (By Research)/ Ph.D (Internal / External) Scholar of Anna University, Coimbatore for the purpose of his/her research study. Herewith we are giving our consent for the same. Date : Place : Signature :

Name and Designation : Office Seal

c. Institution(s) where employed:

Page 1 of 4

Page 3 of 4

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ii. Joint-Supervisor(s) / Co-guide(s) (if any) a. Name b. Designation 4. Name of Department/Institution/ Approved Research Centre where research is conducted Area of work and tentative title of the proposed thesis Details of progress : : :

ANNA UNIVERSITY
COIMBATORE 641 013

c. Institution(s) where employed:

ATTENDANCE CERTIFICATE

5. 6.

: : Yes______ Yes______ No______ No______

This is to certify that, ------------------------------------------------------M.Tech (By Research) / Ph.D (Internal/External) candidate has been working under my supervision since ---------------- to ---------------. He / She is regularly working under my supervision. He / She is periodically updating me about the progress of his / her research work.

a. Whether the candidate's report : in duplicate is enclosed? b. Whether papers have been published? or any patent(s) filed? (If yes, furnish details) :

c. Whether Seminars/Conferences : attended? (If yes, furnish details) d. Whether completed the : prescribed course work? If Yes, how many & their credits? 7. 8. Has the tuition fee been paid for the year(s)? Has the semester fee been paid? : :

Yes______ Yes______

No______ No______

Place : Date :

Yes______ Yes______

No______ No______

Signature of the Joint Supervisor (if applicable)(Co-Guide) Name and Designation Office Seal Forwarded by Name and Designation

Signature of the Supervisor Name and Designation

Date : 9. Remarks of the Supervisor a. Attendance b. Progress c. Expected time of completion : : : : :

Signature of the Candidate Satisfactory/Not Satisfactory Satisfactory/Not Satisfactory

10. Comments of the Supervisor on the Progress of Research Work done by the Candidate Date : Place : Seal :
Page 2 of 4

Office Seal University/Department/Affiliated College/ Approved Research Centre -------------------------------------------------------------------------------------------------Submitted to The Controller of Examinations, Anna University, Coimbatore Copy to The Director (Research), Anna University, Coimbatore
Page 3 of 4

Signature of the Supervisor Signature of the Head of the Department/ Institution/Approved Research Centre
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