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CHAPTER - VI

ADMISSION TO PH.D. DEGREE IN LAW & ALLIED SUBJECTS

In view of the UGC's revised Regulations dealing with the Minimum Standards and
Procedure for the Awards of Ph.D. Degree, 2016, the existing University Regulations
Governing Admission to Ph.D. Degree in Law and Allied Subjects are superseded by
the present University Regulations Governing Admission and other related matters for
the Ph.D. Degree in Law and Allied Subjects, 2016. These University Regulations are
framed in conformity with the UGC's Regulations, 2016. The University Regulations
shall come into force with immediate effect.

1. ELIGIBILITY FOR REGISTRATION:

The admission to Ph.D. Degree in Law & Allied subjects shall be open to the
following candidates:
(i) Eligibility for admission to Ph.D. Degree in Law:
He/She has obtained the LL.M. degree of Dr. R.M.L. National Law
University, Lucknow or its equivalent degree of any other university
recognized by the UGC with at least 55% marks in the aggregate or an
equivalent grade B in the UGC 7 point scale.
However, there shall be a relaxation of 5% in the aforesaid
minimum 55% marks for the candidates belonging to SC/ST/OBC
(Non-creamy layer) of U.P./differently-able categories.
(ii) Eligibility requirement for admission to Ph.D. Degree in Allied
Subjects:-
(a) A Master's Degree of any university recognized by UGC having at
least 55% marks in the aggregate or an equivalent grade B in the
UGC 7 point scale in any subject relevant to the proposed research
work with a Bachelor's Degree in Law; or
(b) A Master's Degree of any university recognized by UGC having at
least 55% marks in aggregate or an equivalent grade B in the UGC 7
point scale in any subject relevant to the proposed research work
with established research credentials by way of publications; or
(c) A Master's Degree of any University recognized by UGC having at
least 55% marks in aggregate or an equivalent grade B in the UGC 7
point scale in any subject relevant to the proposed research work
with long term in-depth practical experience in the area to be
researched.
However, there shall be a relaxation of 5% in the aforesaid
minimum 55% marks for the candidates belonging to SC/ST/OBC
(Non-creamy layer) of U.P./differently-able categories.
Provided that a candidate with the aforesaid qualifications in
Social Sciences or Humanities shall be admitted to the Programme,
if the research he/she intends to pursue, interfaces with the
discipline of law.
(iii) A candidate whose result is awaited may also apply, however he/she
must possess the requisite eligibility requirement on the date of
Interview.
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amended vide the resolution passed by the Academic Council in its meeting held on 17.12.2016
under agenda item no. 3 and ratified in the Executive Council on 17.12.2016

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2. DURATION OF PH.D. PROGRAMME:
The following shall be duration of Ph.D. programme:
(i) the minimum duration shall be three years including course work and a
maximum of six years.
(ii) the woman or person with disability (more than 40% disability) research
scholar may be allowed two years in the aforesaid maximum duration. In
addition, the woman research scholar may be provided with maternity
leave/child care leave once in entire duration of Ph.D. programme for up to
240 days.
However, the Vice-Chancellor, on the recommendation of the
Research Degree Committee, may in exceptional individual case make
relaxation in the aforesaid prescribed maximum duration.
3. GENERAL CONDITIONS:
The general conditions for the research scholars shall include:
(i) The Ph.D. programme shall be full time.
(ii) The research scholars shall be required to be present in the University during
working hours and their presence shall be duly recorded in the University
library. This will not be less than 75% of the entire working days of the
University in an Academic Year.
(iii) The research scholar may be required to take teaching assignments and
render help as may be required in the academic and co-curricular activities of
the University.
(iv) The course work and other required work in the Ph.D. programme, including
the Ph.D. thesis, shall be in the English language.
(v) All the research scholars registered for the Ph.D. programme shall abide by
the regulations and rules framed by the University from time to time.
4. CONSTITUTION AND FUNCTIONS OF THE RESEARCH ADVISORY
COMMITTEE85:
(i) There shall be a Research Advisory Committee for each Ph.D. scholar. The Research
Supervisor of the scholar shall be the Convener of this Committee which will also
consist of (a) Co-supervisor (if any), and (b) One subject expert nominated by the
Vice-Chancellor.
(ii) This Committee shall have the following responsibilities:
(a) To review the research proposal and finalize the topic of research;
(b) To guide the research scholar to develop the study design and methodology of research
and identify the course(s) that he/ she may have to do.
(c) To periodically review and assist in the progress of the research work of the research
scholar.
(iii) A research scholar shall appear before the Research Advisory Committee once in six
months to make a presentation of the progress of his/her work for evaluation and
further guidance. The six monthly progress reports shall be submitted by the Research
Advisory Committee to the Research Degree Committee with a copy to the research
scholar.
(iv) In case the progress of the research scholar is unsatisfactory, the Research Advisory
Committee shall record the reasons for the same and suggest corrective measures. If
the research scholar fails to implement these corrective measures, the Research
Advisory Committee may recommend to the Research Degree Committee with
specific reasons for cancellation of the registration of the research scholar.

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Substituted vide resolution of the Academic Council under Agenda Item No. 8 in its meeting held on
15.02.2021 and subsequently ratified by the Executive Council on 27.02.2021.

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5. CONSTITUTION AND FUNCTIONS OF THE RESEARCH DEGREE
COMMITTEE:
All the matter related to Ph.D. programme shall be supervised by the Research
Degree Committee.
(i) The Research Degree Committee shall comprise of:
The Vice Chancellor Chairperson
The Head of Department Member
All Professors Member
One Senior Most Associate Professor by rotation every Member
three years
Concerned Supervisor(s) Member
The Ph.D. Programme Coordinator appointed by the Vice Member
Chancellor Secretary
(ii) The Research Degree Committee shall perform the following functions:
(a) Examine cases of eligibility of the candidates and recommend their
cases to the Vice Chancellor for their enrolment as Ph.D. scholar in
the University.
(b) Recommend to the Vice Chancellor appointment of Research
Supervisor and Co-supervisor, if any.
(c) Examine six monthly progress reports of the Ph.D. Scholars
submitted by the Research Advisory Committee.
(d) Recommend the list of examiners to the Vice Chancellor.
(e) Arrange for the Viva Voce Examination.
(f) Recommend to the Vice Chancellor cancellation of registration on
the recommendation of the Research Advisory Committee.
(g) Recommend to the Vice Chancellor to extend duration of
registration.
(h) Recommend to the Vice Chancellor to allow submission of thesis.
(i) Issue any directions to the Research Advisory Committee.
(j) Any other function assigned to it by the Academic Council from
time to time.
6. PROCEDURE FOR ADMISSION:
The selection process for admission to the Ph.D. programme shall include:
(i) All eligible candidates shall apply in the prescribed admission form
within the date prescribed by the University.
(ii) The candidate shall prepare and submit a detailed scheme of his/her
proposed research work along with the application form on the
following lines:
(a) Specification of broad field of study
(b) Importance and rationale of the study
(c) Available Literature
(d) Method and scope of the study
(e) Justification of the Study and its interface with the Discipline of
Law
(iii) The selection shall be made on the basis of inter-se-merit based on the
written test and interview:

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 86
(a) The Written Test shall consist of 70 marks. The Question
Paper will consist of objective type questions 50% on Research
Methodology and 50% shall be on main subject specific. The
interview shall carry 30 marks. The qualifying marks shall be
50% for the written test and the interview taken together.
Provided that a relaxation of 5% of marks (from 50% to
45%) shall be allowed for the candidates belonging to
SC/ST/OBC (Non-Creamy layers) of U.P./Differently-abled
category in the written entrance examination.
Provided further that, if in spite of the above relaxation,
the seats allotted for SCT/ST/OBC (Non Creamy
layer)/Differently-abled categories reamin unfilled, the
University shall launch a special admission drive as per rules.
(b) Syllabus, date, time and duration of Written Test, schedule of
Interview and other related matters about the process of
admission will be decided by the Admission Committee for the
Ph.D. programme with the approval of the Vice-Chancellor.
(c) The Examiners for the paper(s) of the Written Test shall be
appointed by the Vice-Chancellor.
(d) The Interview Board for Interview for admissions to the Ph.D.
Degree of the University shall consist of the following:-
(i) The Vice-Chancellor or his nominee. Chairman
(ii) The Head of Department Member
(iii) One external expert from Law Member
stream and/or one external expert
from the concerned subjects covered
under the stream of Social Sciences
& Humanities, if required to be
nominated by the Vice-Chancellor.
(iv) Ph.D. Programme Coordinator Member
Secretary
(e) The Written Test and Interview shall be exclusively in English
Language.
(f) The Syllabus for the Written Test shall as may be prescribed
by the University.
(g) The duration of the Written Test will be one and half hours.
There will be no negative marking.
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(h) The candidates obtaining 50% or above marks in the written
test will be called for interview.

7. FINAL SELECTION:
(a) The eligible candidates will be selected for Admission on the basis of
their inter se merit taken together in the Written Test and Interview.
(b) In event of tie between two or more candidates in their inter se merit,
the tie will be broken by the following procedure and order:

86
Substituted vide resolution of the Academic Council under Agenda Item No. 20(6) in its meeting
held on 03.08.2019 and subsequently ratified by the Executive Council on 09.11.2019.
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Substituted vide the resolution of the Academic Council under Agenda Item No. 20(5) in its meeting
held on 03.08.2019 and subsequently ratified by the Executive Council on 09.11.2019.

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 i. Higher marks in the Master‘s Degree
ii. Higher marks in the Undergraduate Degree
iii. Higher in age
(c) Mere fact that the name of a candidate appears in the Merit List, he/she
will not get any right to claim admission to the Ph.D. Programme.

8. NUMBER OF SEATS & ENROLMENT:

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(i) The maximum number of seats may be decided by the Academic
Council on the recommendation of the Research Degree Committee
from time to time. Those candidates, who have been declared qualified
for admission to the Ph.D. programme and have paid the requisite fee
for the admission, may be enrolled with the University as a Ph.D.
scholar.
(ii) There shall be reservation of seats as per the orders of the Government
of Uttar Pradesh issued from time to time.

9. FEES AND OTHER CHARGES:

Candidates selected for admission to the Ph.D. Degree programme will be
enrolled by the University after the remission of the following fees:
Head of Fees Amount (Rs.)
Registration Fee (One time payment) 5,000.00
Tuition Fee (Annually) 30,000.00
Utility Charges (Annually) 20,000.00
Caution Money (One time) 5,000.00
Total 60,000.00
*Note:
1. Payment towards mess facility shall be payable separately as may be
decided by the University from time to time.

10. COURSE WORK89:

(i) The Course Curriculum shall consist of 12 credit points. Additionally,
there will be 02 credit course entitled "Research and Publication Ethics
(RPE)" as per 10(A) below.
(ii) That the first component of 6 credits is allocated to the Research
Methodology class room teaching (Max. 100 Marks).
(iii) The second component shall comprise of 3 credits and will consist of
(Max. 50 Marks)
(i) University Seminar/Conference/Presentation : Max. 15 Marks
(ii) Book Review : Max. 10 Marks
(iii) Article writing under guidance of respective : Max. 25 Marks
supervisors
This component shall be supervised and evaluated by the concerned
supervisor.

88
Substituted vide the resolution of the Academic Council under Agenda Item No. 20(6) in its meeting
held on 03.08.2019 and subsequently ratified by the Executive Council on 09.11.2019.
89
Substituted vide the resolution of the Academic Council under Agenda Item No. 11(A) in its meeting
held on 03.08.2019 and subsequently ratified by the Executive Council on 09.11.2019.

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 (iv) The third component shall comprise of a pilot tentative work plan and
its presentation. This will carry a credit score of 3 to be evaluated by
an external expert nominated by the Vice-Chancellor (Max. 50 Marks).
(i) Work Plan Report : Max. 25 Marks
(ii) Presentation and Viva-Voce : Max. 25 Marks

10 -A. PRE-REGISTRATION COURSE WORK90:

There shall be a two credit courses of 30 hours duration entitled "Research and
Publication Ethics (RPE)" for awareness about publication ethics and publication
misconducts which will be compulsory for all Ph.D. Scholars for pre-registration
course work.

Course structure:
The course comprises of six modules listed in table below: Each module has 4-5 units.
Modules Unit title Teaching hours
Theory
RPE 01 Philosophy and Ethics 4
RPE 02 Scientific conduct 4
RPE 03 Publication of Ethics 7
Practice
RPE 04 Open Access Publishing 4
RPE 05 Publication Misconduct 4
RPE 06 Databases and Research Metrics 7
Total 30 hrs.
Detailed syllabus will be provided later.

11. ALLOCATION OF RESEARCH SUPERVISOR/CO-SUPERVISOR:

The requirements for the allocation of the Research Supervisor/Co-Supervisor
shall include:
(i) The Vice-Chancellor may appoint the Research Supervisor or Co-
supervisor, if necessary, on the recommendation of the Research
Degree Committee.
(ii) Only a full time regular teacher of the University shall be appointed as
the Research Supervisor.
(iii) In case of topics which are inter-disciplinary nature, a co-supervisor
may be appointed from within or outside the University with the
approval of the Research Degree Committee.
(iv) A full time regular Professor of the University may be appointed as
Research Supervisor provided that he/she has at least five research
publications in the referred journals. A full time regular Associate
Professor and Assistant Professor with Ph.D. degree may be appointed
as Research Supervisor provided he/she has at least two research
publications in referred journal.
Provided that in the area/discipline where there is no or only
limited number of referred journals, the Research Degree Committee
may relax the aforesaid conditions of research publications with the
reasons recorded in writing.

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Inserted vide the resolution of the Academic Council under Agenda Item No. 3 in its meeting held on
20.10.2020 and subsequently ratified by the Executive Council on 27.02.2021.

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 (v) The allocation of Research Supervisor for the research scholar shall be
decided by Research Degree Committee depending on the availability
of specialization among the Research Supervisors, the research
interests of the research scholars as indivated in the Admission
Application Form and also the number of scholars per research
supervisor.
(vi) A Professor shall guide not more than 8 research scholars, the
Associate Professor not more than 6 research scholars and the
Assistant Professor may guide not more than 4 research scholars.
(vii) No teacher of the University who is registered for Ph.D. shall be
eligible to be appointed as the Research Supervisor or Co-Supervisor.
(viii) In case the teacher has only less than three years to retire, he/she shall
not be appointed as Research Supervisor.
(ix) In case the Research Supervisor leaves the University, retires from the
University, is unable to continue due to any reason, or the Research
Degree Committee recommends that it is not in the interest of the
research scholar to continue with concerned Research Supervisor, the
Vice-Chancellor, on the recommendation of the Research Degree
Committee, may appoint another Research Supervisor with due
consideration of the interest of the research scholar.
(x) In case of relocation of a woman Ph.D. scholar, either due to marriage
or otherwise, the research data shall be allowed to be transferred to the
other University or institution to which the scholar intends to relocate
provided all the other conditions in these Regulations are followed in
letter and spirit. However the woman research scholar will give due
credit to his/her previous Research Supervisor and the University.
(xi) The eligible teacher of the University may be permitted to guide the
Ph.D. scholar in other University provided that:
(a) there exist vacancy with the teacher in the University; and
(b) the University has given its consent in this regard.

12. MONITORING OF THE Ph.D. SCHOLAR:

(i) The Research Supervisor shall keep the record of programme of every
Ph.D. scholar registered under him. He shall be required to submit a
duly prescribed six monthly progress report in March/September as the
case may be to the Research Degree Committee. The Committee shall
give its written comments and forward the same to the Vice Chancellor
for the necessary action. The subsequent six monthly reports shall be
sent in the similar manner.
(ii) The overall responsibility to monitor the progress of the research
scholar(s) shall be with the concerned Research Advisory Committee.

13. CANCELLATION OF REGISTRATION:

The Ph.D. registration of a research scholar shall be liable to be cancelled at
any time by the Vice Chancellor on the recommendation of the Research
Degree Committee if,
(a) the research scholar is not able to get the prescribed marks even in the
repeat course work;
(b) the research scholar has not submitted his/her two consecutive reports or
they are not satisfactory;

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 (c) the candidate's attendance is less than 75% in any term;
(d) the candidate has been found guilty for any act of indiscipline in the
University;
(e) the candidate has been found engaged in any unauthorized paid full
time assignment;
(f) the candidate has been found pursuing any other Degree course
without the prior proper permission of the University.
(g) the candidate has been found to be engaged in plagiarism.
(g) the candidate has not submitted his thesis at the expiry of six years
from the date of his admission.

14. SUBMISSION OF THESIS:

The following shall be the conditions for the submission of thesis:
(i) Prior to submission of the thesis, the research scholar shall publish at
least one research paper in a refereed journal and make two paper
presentations in conferences/seminars before the submission of the
thesis with the supporting documents.
(ii) The Ph.D. scholar will make at least one presentation during the entire
period of his Ph.D. Programme before the Research Degree
Committee, Faculty Members and the Ph.D. research scholars wherein
the research scholar shall apprise of the work done by the concerned
Ph.D. scholar and receive suggestions for the improvement of the
research work.
(iii) After the necessary improvement in the research work, if required, the
Research Supervisor shall forward the application of the Ph.D. scholar
for submission of the thesis with a certificate of the Research
Supervisor about the completion of the work.
(iv) In case, the Research Supervisor does not forward the application of
the Ph.D. scholar for submission of the thesis, the Vice Chancellor
shall, on the recommendation of the Research Degree Committee, take
necessary action in the matter.
(v) A Ph.D. scholar shall submit his thesis along with the following
documents:
(a) five printed, computerized or type written copies of the thesis
and a soft copy
(b) a certificate of the Research Supervisor to the effect that the
research scholar has completed within the stipulated period of
research task and the thesis embodies the results of his/her own
investigation during the above period; and that is an original
work and involves no plagiarism.
(c) ten copies of abstract of the Ph.D. thesis.
(vi) No Ph.D. scholar shall submit as his thesis any work which has been
accepted or rejected for the Ph.D. Degree of this University or any
other University.

15. EVALUATION AND ASSESSMENT METHOD:

The following processes shall be followed for the evaluation of the Ph.D.
thesis:
(i) Once the Ph.D. Scholar has submitted his thesis to the examination
section of the University, the Research Degree Committee, in

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 consultation with the Research Supervisor, will recommend to the
Vice-Chancellor for the appointment of the examiners to evaluate the
Ph.D. thesis.
(ii) There shall be at least three external examiners out of which two shall
be external examiners one of whom may be from outside the Country
and the concerned Research Supervisor.
(iii) After the examiners have examined the thesis they shall recommend
one of the following:
(a) that the thesis is satisfactory and vica-voce examination may be
conducted
(b) that the thesis is unsatisfactory and no need to conduct viva-
voce.
The report of each examiner shall specify detailed grounds on which
the recommendation is based.
(iv) The examiners shall be required to submit their reports to the Vice-
Chancellor within a reasonable period but not later than three months
from the receipt of the thesis. However, in case the report is not
available within three months, the Vice Chancellor on the
recommendation of the Research Degree Committee shall be free to
appoint another examiner out of the Panel of examiners.
(v) Where the external examiners unequivocally recommend that the thesis
is satisfactory and viva-voce examination may be conducted, the Vice-
Chancellor for an open viva-voce examination of the candidate,
conducted by one of the two external examiners along with the
concerned Research Supervisor.
(vi) Where a thesis fails to obtain the unanimous recommendation of all the
external examiners and one of the evaluation report of the external
examiner is unsatisfactory and does not recommend viva-voce, the
University shall send the thesis to another external examiner out of the
approved panel of examiners and the viva-voce examination shall be
held only if the report of the latest examiner is satisfactory. If the
report of the latest examiner is also unsatisfactory, the thesis shall be
rejected and the research scholar shall be declared ineligible for the
award of the degree.
(vii) Where both the evaluation reports of the external examiners are
unsatisfactory and do not recommend viva-voce the thesis shall be
rejected and the research scholar shall be declared ineligible for the
award of the degree.
(viii) Where after the viva-voce examination, the viva-voce examiners do
not recommend the award of Degree, the Research Degree Committee
may recommend to the Vice-Chancellor:-
(a) that the Degree be not awarded to the research scholar; or
(b) that the research scholar undertakes additional work on the
thesis and submit a revised thesis within a specified period.
(ix) After successful completion of viva-voce examination, the award of
Degree shall be recommended by the Research Degree Committee to
the Vice-Chancellor and a notification of the result shall be issued by
the office of the Registrar. After notification of the result a provisional
certificate shall be issued to the candidate.

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 (x) The notification of result shall be placed before the Academic Council
for the approval of the Award of Ph.D. Degree in Law or Allied
Subject.

16. AWARD OF Ph.D. DEGREE

(i) Once the Academic Council approves the notification of result of the
candidate, the candidate will be declared as eligible for the award of
the Ph.D. Degree in Law/Allied Subject and the award of Degree shall
be made at the Convocation of the University. Specific mention of the
subject of Law or Allied Subject, as the case may be, shall be made in
the format of the Ph.D. Degree.
(ii) The award of Ph.D. Degree to research scholar registered for the Ph.D.
programme on or after July 11, 2009 shall be governed by the UGC
Regulations for the 'Minimum Standards and Procedure for the Award
of Ph.D., 2009 and those research scholars registered after July 5, 2016
shall be governed by the UGC Regulations in this regard of 2016.
(iii) If the Ph.D. degree is awarded by a Foreign University, the Indian
Institution considering such a degree shall refer the issue to a Standing
Committee constituted by the Vice-Chancellor for the purpose of
determining the equivalence of the degree awarded by the foreign
University.

17. DEPOSITORY WITH UGC'S INFLIBNET:

(i) Following the successful completion of the evaluation process and
before the announcement of the award of the Ph.D. Degree, 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
Universities/Institutions/Colleges.
(ii) Prior to the actual award of the Degree, the University shall issue a
provisional certificate to the effect that the Ph.D. Degree has been
awarded in accordance with the provisions of the UGC's Regulations
of 2016.

18. REMOVAL OF DIFFICULTIES:

The Vice-Chancellor, on the recommendations of the Research Degree
Committee, shall have power to make any modifications, alterations or
amendments in these Regulations as may be necessary to remove any
difficulties arising in implementing these Regulations during a period of two
years from the commencement of these Regulations. The amendment so made
will be reported to the Academic Council in its next meeting.

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