phd regulation ugc 2016

13 Sep, 2024 | 9:43 AM IST

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Minimum standards and procedures for award of Ph.D. degree regulations, 2022

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UGC notifies new regulations on PhD degrees, here's what has changed

The ugc has announced new norms for phd degrees that include significant modifications to the qualifications for admission, the application process, and the evaluation procedures.

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UGC asks VCs, principals to roll out revised PhD regulations

NEW DELHI: The University Grants Commission (UGC) on Tuesday asked vice-chancellors and college principals to initiate necessary steps to implement the revised minimum standard and procedure for the award of PhD.

In the letter to higher educational institutions (HEIs), the UGC said that the new regulations are framed “to encourage research scholars to become well-trained researchers and inquisitive explorers.”

“All HEIs are requested to initiate necessary steps to implement the new regulations for the award of PhD,” the letter said.

The UGC replaced its rules notified in 2016 and brought the UGC (Minimum Standards and Procedures for Award of PhD Degree) Regulations, 2022. The revised guidelines have changed the eligibility, admission and evaluation process. It has also done away with the mandatory requirement of publishing research papers in refereed journals.

The UGC notified the new regulations on November 7. As per the new regulations, students who have completed a four-year undergraduate course will also be eligible for direct admission to a doctorate programme.

The new rule said a candidate should have a minimum of 75 per cent marks in “aggregate or its equivalent grade on a point scale wherever the grading system is followed”, and in case the candidate does not have 75 per cent marks in a four-year undergraduate program, they have to pursue a one-year master’s programme and score at least 55 per cent.

PhD regulations of 2016 said that PhD scholars “must publish at least one (1) research paper in a refereed journal and make two paper presentations in conferences/seminars before the submission of the dissertation/thesis for adjudication.”

UGC Chairperson Professor M Jagadesh Kumar said that publishing research papers in peer-reviewed journals might not be mandatory anymore, but it does not mean PhD scholars should stop doing that altogether.

“Focussing on high-quality research will lead to publications in good journals, even if it is not mandatory. It will add value when they apply for employment or post-doctoral opportunities,” he said.

The regulations are applicable with immediate effect from the date of notification. Any PhD registered after 1 July 2009 shall be governed by the rules of 2009 or 2016, the notification said.

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UGC Regulations, 2016: UGC To Amend M.Phil, Ph.D Admission Norms

Ugc's decision to implement interview or oral test as the sole criterion for mphil, phd admission had received strong criticism last year from students and teachers..

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UGC Regulations-2016 exempting PhD holders from NET apply retrospectively, rules SC

Tribune News Service

Satya Prakash

New Delhi, August 19

The UGC (Minimum Qualifications for Appointment and Career Advancement of Teachers in Universities and Institutions Affiliated to It) Regulations, 2016, which exempted PhD holders from National Eligibility Test (NET), would operate retrospectively, the Supreme Court has ruled.

“When an enactment or an amendment is declaratory, curative or clarificatory, impelled by a felt need to make clear what was always intended, such amendment is usually meant to operate from an antecedent date, or to cover antecedent events,” a Bench of Justice UU Lalit, Justice S Ravindra Bhat and Justice Sudhanshu Dhulia said in its August 17 verdict.

Writing the judgment for the Bench, Justice Bhat sought to emphasise that the University Grants Commission (UGC), which regulates higher education in India, has the power to give retrospective effect to the UGCR 2016 under Section 26(3) of the UGC Act.

The top court took note of the fact that the UGC Rules were subsequently amended in 2016 and 2018 to clarify that both pre- and post-2009 PhD holders would be exempted from qualifying NET.

Allowing the appeals filed by the University of Kerala and one Dr MS Jayakumar, the top court set aside a Kerala High Court verdict that had quashed his appointment as a Lecturer in Sociology. It said if the UGC Rules 2018 were interpreted to be prospective in nature then pre-2009 PhD holder’s appointment would be rendered illegal and after teaching for several years they would now be forced to take the NET in order to continue as a Lecturer, which was ‘clearly unwarranted’.

The University of Kerala had notified vacancies for some academic posts in June 2011. One of the mandatory conditions was that the candidate must have qualified NET. However, the advertisement categorically exempted candidates having PhD in the subject concerned from qualifying NET.

Dr Jayakumar – who was not NET qualified – got selected and  appointed. The candidate who came second challenged his appointment before the Kerala High Court on the ground that he had not obtained his PhD prior to coming into force of the PhD Regulations, 2009. The High Court set aside his appointment, forcing the Kerala University and Dr Jayakumar to move the top court.

The Kerala University and Jayakumar – the appellants—contended that UGCR 2009 was adopted by the University in 2013 and when the petitioner was appointed in 2012, he was fully qualified as Lecturer. The PhD Regulations 2009 and UGCR 2009 were prospective in nature, they submitted.

Terming NET as an essential criteria under the relevant Rules, the respondent contended that Jayakumar could not have been exempted from the requirement as the 2009 UGC Rules exempted only those having obtained PhD in terms of the PhD Regulations 2009 and that he would not be eligible for the benefit as he was awarded his PhD before the PhD Regulations 2009 came into force.

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Explained | New regulations for awarding PhDs 

Will the university grants commission’s move to remove the mandatory requirement to publish a research paper reduce pressure on doctoral scholars what led to the need to introduce new rules how have the latest regulations been received.

November 13, 2022 10:52 pm | Updated November 14, 2022 07:05 pm IST

PhD awards | Photo Credit: Getty Images/iStockphoto

The story so far: The University Grants Commission (UGC) has made sweeping changes in its latest regulations governing the award of PhDs. Important changes such as abolishing of MPhils, relaxing course work for obtaining PhDs and allowing candidates to register for a PhD after finishing four years of a graduation programme, have been seen as steps that could lead to diminishing academic rigour as well as impediments to inclusivity in higher education.

What are the key changes?

The UGC on November 7, 2022 notified the University Grants Commission (Minimum Standards and Procedures for Award of PhD Degree) Regulations, 2022. One of the notable changes it made was to the evaluation and assessment criteria for the award of the degree, where it has waived the need to mandatorily publish a research paper in a peer-reviewed journal. This is accompanied by completely abolishing MPhil, which has been a gateway for PhD programmes, in line with the recommendation in the National Education Policy 2020. The eligibility criteria for admissions too have been revised, and a candidate can register after completing a one-year (or two semester) master’s degree programme after a four-year (or 8-semester) bachelor’s degree programme or a two-year (or four-semester) master’s degree programme after a three-year bachelor’s degree programme with at least 55% marks or its equivalent grade.

There are also important changes to course work. Earlier, the description of course work candidates needed to finish was more detailed, with at least four credits assigned to courses on research methodology. Candidates were also required to finish this either in the first semester, or by the second semester. Only candidates who were awarded MPhil or had completed their MPhil were exempted. But the new regulations leave it more open ended and says that all PhD scholars “shall be required to train in teaching/ education/ pedagogy/ writing related to their chosen PhD subject.” They can also now be assigned 4-6 hours per week of teaching/research assistantship for conducting tutorial, or laboratory work and evaluations.

The UGC now also allows part-time PhDs, a practice that was disallowed under the 2009 and 2016 regulations.

How will research scholars be evaluated under the new regulations?

PhD scholars will be required to undertake research work after completing their course work, make a presentation and produce a draft dissertation or thesis. If the evaluation of the submission is satisfactory, the candidate will have to defend the thesis in a public viva voce. They will not have to publish a research paper in refereed journal and make two paper presentations in conferences or seminars before submitting the thesis. The Chairman of UGC M. Jagadesh Kumar says that while publishing a paper in a peer-reviewed journal is not mandatory anymore in order to curb unethical practices such as pay-to-publish or plagiarism, students should be motivated and trained to publish in peer-reviewed journals and present at conferences. He says that a one-size-fits-all approach is not desirable as doctorals in computer science prefer presenting their papers at conferences rather than publishing them in journals. Former UGC Chairman and Ambedkarite, Sukhdaeo Thorat, welcomed the move to discontinue publishing papers in journals as it would often lead poor candidates to pay to get published like their peers, as well as put them at a disadvantage as they wouldn’t have contacts to get published. However, Jamia Milia Islamia Professor Furqan Qamar says that while these concerns are valid, there is a need to provide enhanced and cost-effective opportunities to the researcher to publish as there is a limited availability of quality journals but far more researchers. He cites from the Scopus database of scientific publications for 2020 to point out that India accounted for only 4.52% of total research papers in the world though it accounts for 12% of the global faculty pool.

Are there other concerns?

Experts like Professor Thorat say that discontinuing MPhils, along with the introduction of four-year BA course and 2-year MA course with multiple exits will hurt socially disadvantaged groups who may not be able to pay for longer-duration courses and may have to exit earlier, which will put them at a disadvantage in the job market. He adds that while a four-year Bachelors course will allow some students to pursue Masters abroad without studying for one more year, others will be discriminated against. Though UGC says the move is intended to attract younger students for research.

There are also concerns over diminishing scholarships and fellowships to support PhD scholars as well as severe shortage of teachers, impacting the number of research supervisors available.

“Until the 2009 regulations were notified, the award of PhDs, their evaluation, course-work was not regulated. Part-time PhDs were also widely prevalent. In 2016, these were strengthened and publishing a paper in peer-reviewed journals was made mandatory. However, the changes being brought in the latest regulations take us back to the pre-2009 era,” says Professor Qamar.

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UGC Regulations 2016 Exempting PhD Holders From NET Qualification Will Apply Retrospectively : Supreme Court

Sohini chowdhury.

18 Aug 2022 4:43 AM GMT

The Supreme Court, on Wednesday, held that the UGC (Minimum Qualifications for Appointment and Career Advancement of Teachers in Universities and Institutions Affiliated to It) Regulations, 2016 would be applied retrospectively. Relying on a catena of judgments, a Bench comprising Justices U.U. Lalit, S. Ravindra Bhat and Sudhanshu Dhulia reiterated that when an amendment is...

The Supreme Court, on Wednesday, held that the UGC (Minimum Qualifications for Appointment and Career Advancement of Teachers in Universities and Institutions Affiliated to It) Regulations, 2016 would be applied retrospectively.

Relying on a catena of judgments, a Bench comprising Justices U.U. Lalit, S. Ravindra Bhat and Sudhanshu Dhulia reiterated that when an amendment is merely clarificatory in nature it ought to have retrospective application (University of Kerala And Ors. Etc. v. Merlin J.N. And Etc. Et c).

"When an enactment or an amendment is declaratory, curative or clarificatory, impelled by a felt need to make clear what was always intended, such amendment is usually meant to operate from an antecedent date, or to cover antecedent events."

As per the UGC (Minimum Qualifications for Appointment and Career Advancement of Teachers in Universities and Institutions Affiliated to It) Regulations, 2000 (UGCR 2000) to be appointed as Lecturer in an university passing National Eligibility Test (NET) was mandatory. However it exempted candidates who had acquired M.Phil or submitted PhD thesis by 31.12.1993 from taking NET. The UGCR 2000 was amended a couple of times, but retained such exemption. By way of the UGCR 2009, NET was made the minimum stipulation for appointment of Lecturer. The candidates who acquired PhD in compliance with UGC (Minimum Standards and Procedure for Award of M. Phil / Ph.D. Degree) Regulations 2009 (PhD Regulations, 2009) were exempted from qualifying NET. The UGCR 2009 was again amended in 2010, but the exemption with respect to the PhD Regulations, 2009 was still in place. This gave way to a lot of confusion, as it was being interpreted to mean that PhD holders who were awarded PhD prior to the coming into force of the UGCR 2009 were disentitled to claim exemption from qualifying NET. In this backdrop, UGCR was subsequently amended in 2016 and 2018 with the intention to clarify that both pre-2009 and post-2009 PhD holders would be exempted from qualifying NET.

Factual Background

On 13.06.2011, the University of Kerala notified vacancies for some posts. One mandatory condition was to qualify NET. But, the advertisement categorically exempted candidates having PhD in the concerned subject from qualifying NET. Pursuant to the advertisement the petitioner(Dr.Jayakumar) had applied; he was assessed and assigned first position. The candidate who came second filed a writ petition before the Kerala High Court challenging petitioner's appointment on the ground that he had not obtained his PhD prior to coming into force of the PhD Regulations, 2009. The Single Judge of the High Court set aside the appointment, which was later confirmed by the Division Bench.

Contentions raised by the parties

Both the petitioner and the University defended the appointment and argued that UGCR 2009 was adopted by the University in 2013 and when the petitioner was appointed in 2012, he was fully qualified as Lecturer. It was also contended that as clarified by UGC the PhD Regulations 2009 and UGCR 2009 were prospective in nature.

The respondent averred that the petitioner could not have been granted exemption from NET which was an essential criteria under the extant Rules. It was asserted that since the 2009 UGCR only exempts those who have obtained PhD in terms of the PhD Regulations 2009, petitioner would not be eligible for the same benefit as he had received his PhD much prior to coming into force of the PhD Regulations 2009.

Analysis by the Supreme Court

The Bench observed that, noting that a large group of PhD holders who were awarded doctoral degrees prior to the coming into force of the UGCR 2009 suddenly became disentitled to claim exemption and were forced to appear and qualify NET, UGC by resolution clarified that the regulations are prospective in nature, i.e. all candidates having Ph.D. degree on or before 31.12.2009 and had registered themselves for the Ph.D. before this date, but would be awarded such degree subsequently, shall remain exempted from the requirement of NET for the purpose of appointment as Lecturer/Assistant Professor. The Central Government did not agree with UGC on this issue and that paved the way for litigation. Subsequently, UGC amended the UGCR in 2016 to protect the pre-2009 PhD holders who were appointed in various institutions and were working as Lecturers for several years. To clarify its stand further, UGC amended UGCR 2016 in 2018 to bifurcate pre and post-2009 PhD holders and exempted both from qualifying the NET. The Bench was of the view that the language in the subsequent amendments made it evident that they were to have retrospective application. Reference was made to the judgment in Darshan Singh v. Ram Pal Singh wherein the Apex Court had held that Courts will construe a provision to act retroactively when clear words are used to indicate the same. Moreover, the Bench noted that the UGC had the power to give retrospective effect to the UGCR 2016 under Section 26(3) of the UGC Act. It observed -

"In situations such as these, a retrospective restoration of rights which had earlier been taken away, will certainly affect pending proceedings - however, it is the duty of the courts, whether trying original proceedings or hearing an appeal, to take notice of the change in law affecting pending actions and to give effect to the same."

The Bench was of the opinion that if the UGCR 2018 is interpreted to be prospective in nature then pre-2009 PhD holder's appointment would be rendered illegal and after teaching for several years they would now be forced to take the NET in order to continue as a Lecturer, which, it reckoned, was 'clearly unwarranted'.

Holding so, the bench allowed the appels of the University of Kerala and set aside the judgments of the High Court.

Case Name: University of Kerala And Ors. Etc. v. Merlin J.N. And Etc. Etc.

Citation: 2022 LiveLaw (SC) 680

Case No. and Date: SLP(C) No. 12591-12596 of 2020 | 17 Aug 2022

Corum: Justices U.U. Lalit, S. Ravindra Bhat and Sudhanshu Dhulia

Counsel:  Sr. Adv V. Giri for appellant- Dr. MS Jayakumar, AOR Lakshmeesh S. Kamath appeared for the appellant - University of Kerala, Sr. Adv Raj Panjwani, AOR Purnima Bhat and Adv Kaleeswaram Raj for respondents

Summary - UGC Regulations 2016 exempting PhD holders from NET Qualification will apply retrospectively

UGC (Minimum Qualifications for Appointment and Career Advancement of Teachers in Universities and Institutions Affiliated to It) Regulations, 2009 - National Eligibility Test (NET) as minimum stipulation for appointment as Lecturer in any university - candidates who had acquired their Ph.D. in compliance with the UGC (Minimum Standards and Procedure for Award of M. Phil / Ph.D. Degree) Regulations 2009 introduced on 01.06.2009, were exempt from qualifying in the NET. [Paragraph No. 4]

UGC (Minimum Qualifications for Appointment and Career Advancement of Teachers in Universities and Institutions Affiliated to It) Regulations, 2010 - NET exemption for candidates who had acquired their Ph.D. degrees in accordance with the 2009 Ph.D. Regulations continued - batches of PhD holders who had been awarded their doctoral degrees prior to the cut-off date under the 2009 UGCR, suddenly became disentitled to claim exemption and were forced to appear and qualify in the NET to continue with employment - UGC decided to extend NET exemption to both pre-2019 and post 2009 PhD holders - Central Government did not agree - array of litigation followed - UGC amended Regulation in 2016 and 2018 to clarify both pre and post 2009 PhD holders are exempted from taking NET - intention to protect the pre-2009 Ph.D. holders, who may have been appointed in various universities and taught for many years, is abundantly clear from the language used in the amendments. [Paragraph Nos. 6, 14, 17, 18]

UGC (Minimum Qualifications for Appointment and Career Advancement of Teachers in Universities and Institutions Affiliated to It) Regulations, 2016 - being a clarificatory amendment is retrospective in nature - language of the amended provisions also spells out retrospective application. [Paragraph Nos. 18, 19, 23, 24]

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