TEMPORARY REQUIREMENTS TO DOCTOR DISSERTATION (PhD)

Ministry of Education and Science of the Kyrgyz Republic

Approved by the Decree of the Ministry of Education and Science of the Kyrgyz Republic

 TEMPORARY REQUIREMENTS TO DOCTOR DISSERTATION (PhD)

Bishkek 2013


  1. General Provisions.

 

1.1 In its content, the doctoral dissertation (PhD) is an independent research (scientific work), which presents scientifically justified theoretical developments, technical, economic or technological solutions to problems, the introduction of which makes a significant contribution to the development of the country’s economy.

1.2 Doctoral dissertation (PhD) determines the level of professional qualification of the doctoral student and the degree he/she masters the modern methodology of scientific cognition.

1.3 Doctoral dissertation (PhD) is carried out under the guidance of 2 research advisers appointed from among doctors and candidates of sciences, PhD doctors, actively engaged in scientific research in the relevant  field of science and  experienced in scientific management, one of which, as a rule, a leading scientist from a foreign university.

1.4. The theme of the doctoral thesis with the justification and structure,  a plan for the completion of  doctoral dissertation with the date of completion of  dissertation,  plan for scientific publications, internships (if necessary) are reflected in the individual work plan of  doctoral student. The composition of the scientific advisers of doctoral students, the topic and the individual plan of the doctoral thesis are reviewed  by the Academic Council of the university to be afterwards approved by the order of  head of university in the first year of studies during the first three months after enrollment.

1.5 The doctoral dissertation (PhD) has to meet the following requirements:

  • contain new scientifically grounded theoretical and (or) experimental finings, which allow to solve a theoretical or applied problem;
  • correspond to the main problems of the specialty, on which the doctoral dissertation is defended;

be relevant, have scientific originality  and practical significance;

  • be based on modern theoretical, methodological and technological achievements in science, technology and practical application to contain specific practical recommendations, independent solutions to management problems of a complex, inter-functional nature;
  • be carried out with the use of modern methods of scientific research and advanced information technologies;
  • embrace scientific research / experimental research (methodological, practical) sections of the main defended positions.
  • The doctoral thesis is the basis for awarding the doctoral degree of the doctor of philosophy (PhD) in the corresponding direction.
  • At the graduate year of studies a month before the expert councils start, it is allowed to adjust the topic of doctoral thesis on the basis of a reasoned expert opinion by a research consultants.
  • Research consultants for  doctoral dissertations (PhD):

give tasks for  performing  doctoral dissertations;

Assist in the development of a calendar work schedule for the   entire period of the doctoral dissertation;

form the program of scientific research/ experimental research of the doctoral candidate;

  • recommend the doctoral candidate the necessary basic written sources , reference and archival materials, standard projects and other sources on the topic;

establish  schedules of consultations (advisories), during which they run the ongoing monitoring of doctorate’s compliance with the calendar schedule for the implementation of  doctoral dissertations;

  • establish the volume of all sections of the doctoral dissertation and coordinate doctoral candidate’s work;
  • plan researching training tours (including those abroad) for doctoral candidates.
  • The main findings incorporated in  doctoral dissertations (PhD) submitted for defense have to be published in at least 10 (ten) research editions, magazines, including not less than in 2 (two) research editions issued  in foreign countries. Research  articles should be tested at 3 (three) international conferences. Publications can be equated with review research articles, analytical reviews; information sheets as big as at least  3 p.s. and pre-patents (patents). Research publications should cover the main provisions submitted to  defense of the thesis.

 

  1. Structure, content and rules of doctoral dissertation’s design

2.1 The volume of the doctoral dissertation (PhD) is to be at least 150 pages. For individual groups of specialties, the volume of  dissertation can reach up to 200 pages. Attachments to the specified volume of doctoral dissertation are not included.

2.2 The thesis (PhD) is carried out on the state language or Russian.

2.3 The structural elements of the doctoral dissertation (PhD) are:

  • title pages;
  • table of content;
  • normative references;
  • definitions;
  • designations and reductions;
  • introduction;
  • main part;
  • conclusion;
  • the list of the used sources;
  • attachments;
  • gratitude;

 

2.4 The title page of the dissertation is the first page of the dissertation and serves as a source of information necessary for processing and search for the document.

The title page gives the following information (See Attachment 1):

  • the name of the organization where the thesis is performed;
  • restricted signature stamp (as needed);
  • surname, name, middle name of the doctoral candidate;
  • name of work (occupation);
  • code and the name of the area of research concentration (according to the Classifier of specialties of the higher and postgraduate education);
  • required academic degree;
  • surnames, initials, academic degrees and ranks of research consultants;
  • place of implementation of the thesis and year of its completion.

 

2.5 The title page is included in the overall page numbering of the theses. The page number does not appear on the title page.
In preparing  a doctoral dissertation (PhD), which may consistof two or more parts, each part must have its title page corresponding to the title page of the first part and containing information relating to this part. On the title page there should be a personal signature of the doctoral student, made in black ink or black China ink.

2.6. The content of the thesis includes the introduction, ordinal  numbers and names of all sections, subsections, paragraphs (if they have titles), conclusion, list of used sources and names of attachments , indicating the page numbers from which these elements of the dissertation begin with.When preparing a dissertation consisting of two or more parts, each of them must have its own content.At that , the content of the entire thesis is placed in the first part, with the number of parts indicated, while in the following  parts have to contain only the content of the corresponding part. It is allowed in the first part, instead of the content of the following parts, to indicate only their names.

  • The structural element of “Normative references” contains a list of standards, on which in the text of the thesis the reference is given.
    The list of reference standards should begin with the words: “This dissertation provides references  to the following standards”.
    The list includes denotation  of standards and their names in the order of increasing registration numbers of denotations.

2.8 The structural element of the “Definitions” contains definitions needed to clarify or establish terms used in the thesis.

The list of definitions should begin with the words: “The present dissertation used the following terms with the corresponding definitions.” The list of definitions  should be arranged in the table form: where on its left side the used terms provided  in alphabetical, while the right side should give their its detailed interpretation.

2.9. The structural element of the “Denotations and Abbreviations ” contains a list of denotations and abbreviations used in the thesis.
The list of denotations and abbreviations should be arranged as a table  where on its left side the denotations  and abbreviations are given in the alphabetical order, with its  right side giving their detailed interpretation.
It is allowed to provide definitions, notations and abbreviations in one structural element “Definitions, denotations and abbreviations”.

2.10 The introduction should contain evaluation of current situation relative to scientific, scientific-technological or technological  challenge confronted , which have a scientific and/or innovative character, the basis and the initial data for the development of the topic, justification necessitates the accomplishment scientific (experimental   research, information on the planned scientific and technological level of elaboration, on patent research and conclusions from them, information on metrological support of the dissertation. The introduction should show the novelty and relevance of the topic, relations of this work with other research / experimental works, as well as the goals, object and subject, research objectives , their place in the implementation of the research (experimental and research) work as a whole, reflects the methodological basis, the provisions put forth for defense.

2.11  In the main part of the thesis some data is given to reflect the essence, methodology and main results of the work.

2.12. The main part should contain:

– selected line of research implementation, including justification of such a line of  research , problems solution methods and their comparative evaluation, description of the chosen general methodology for carrying out research work;

– The process of theoretical and (or) experimental research, including the determination of the nature and content of theoretical studies, research methods, calculation methods, the rationale for the need of experimental work, the principles of the operation of the developed facilities, their characteristics;

– generalization and evaluation of research results, including  assessment of the completeness of solution of the task and proposals for further line of work,  assessment of the reliability of the results gained and their comparison with similar results of domestic and foreign work.

2.13 The conclusion part should contain:

  • short conclusions on the results of the dissertation research;
  • assessment of the completeness of the solutions to the tasks;
  • development of recommendations and initial data on the use of the results;
  • assessment of technical and economic efficiency of their implementation;
  • assessment of the scientific level of the work performed in comparison with the best achievements in this field.

2.14. The list of sources used should contain information about the sources used to write the dissertation. The list must be arranged in alphabetical order. The list of used sources is numbered in Arabic digits . When registering the list of sources used, it should be guided by SST 7.1-2003 (Interstate Standard, Bibliographic Record, Bibliographic Description, General Requirements and Rules of drawing up the dissertation).

2.15. In the attachment it is recommended to include materials related to the completed thesis, which for some reason can not be included in the main part.

Attachment can include:

  • intermediate mathematical proofs, formulas and calculations;
  • tables of auxiliary digital data;
  • test reports;
  • description of equipment and instruments used in the conduct of experiments, measurements and tests;
  • instructions, methods, descriptions of algorithms and programs of problems solved with the help of computer technology developed in the process of carrying out the dissertation work;
  • illustrations (photographs) of ancillary nature;
  • the protocol for review of the dissertation work (or any part thereof) at the research and technical council or at the extended meeting of the department;
  • statements of dissertational work introduction outcomes, etc.

2.16. The pages of the  dissertation work narrative with  the illustrations and tables included in the thesis must correspond to the A4 format.

2.17. The thesis should be printed on  a computer and printer on one side of a white A4 paper sheet  with one line spacing . Font – TimesNewRoman, size 14.
The dissertation should be printed,  with the following sizes of margins : right – 10mm, upper – 20mm, left – 30mm, lower – 20mm. It is allowed to use computer features to focus on certain terms, formulas, theorems, and to applyfonts of different headsets.

2.18. Regardless of the way the dissertation is performed, the quality of the printed text and the design of illustrations, tables must meet the requirement of their clear reproduction.

2.19. When carrying out the thesis, it is necessary to observe uniform density, contrast and clarity of the image throughout the thesis. The dissertation should have clear, not blurred lines, letters, numbers and signs. Damaging the text sheets, blots and traces of not completely deleted old text (graphics) are not allowed.

2.20. The name, organization name, product name and other proper names in the thesis are given in the original language. It is allowed to translate the proper names and give the names of organizations translated into the language of the dissertation with the addition (at the first mention) of the original title.

2.21. The names of the structural elements of the dissertation “Table of contents”, “Normative references”, “Definitions”, “Notations and abbreviations”, “Introduction”, “Main part”, “Conclusion”, “List of used sources” serve as headings of the structural elements of the dissertation.

2.22. When preparing the thesis (construction, numbering of pages, numbering of sections, subsections, paragraphs and subparagraphs, illustration, tables, footnotes, formulas and equations, references, definitions, notations and abbreviations, list of sources used and annexes), it essential to stick to the relevant sections of SST 7.32 -2001 (Interstate Standard, System of Standards for Information, Library and Publishing, Report on Research Work, Structure and Design Rules).

 

3. Classification signs of the doctoral dissertation (PhD)

3.1 The dissertation should be written solely, contain a set of new and reliable research results and provisions put forward by the author for public defense, have an internal unity, determined by the existence of a connection between the results obtained in the work as part of the theoretical or applied problem developed or investigated, to testify to the author’s personal contribution to science.

The new solutions offered by the doctoral candidate must be strictly reasoned and critically evaluated in comparison with the known solutions.

3.2 The dissertation, which has its applied value, should give the information on the practical use of research results received by the doctoral candidate, confirmed by author’s certificates, patents and other official documents, whereas  the thesis having theoretical value should provide recommendations on the use of research conclusions .

3.3  Dissertations may be admitted to the defense procedure if they comply with  one of the following requirements:

– the results of the dissertation are theoretical propositions, the totality of which can be qualified as a new major achievement in the development of an appropriate line of science ;

– the thesis proposes the solution of a scientific problem having an important socio-cultural, economic or political significance;

– the thesis has  scientifically justified technical, economic or technological solutions, the introduction of which makes a significant contribution to the acceleration of scientific and technical progress.

3.4. The doctoral thesis should be carried out in accordance with the program of planned research of the university, be a part of  international, public or regional scientific, scientific, technical and sectoral programs, in fundamental or applied research programs.

3.5. The results of the doctoral dissertation should be implemented at one of the following levels:

– on the international level (licenses sold, international grants received);

– on inter-sectoral  level;

– within the sector ;

– within  the organization.

 

4. Presentation and procedure for the defense of a doctoral dissertation

4.1. A doctoral dissertation (PhD), drawn up in accordance with the established requirements, shall be  submitted to the head of the Professional research and educational Program (PSEP) no later than three months before the proposed date of protection.

4.2. The Expert Council shall be formed for review of the thesis. The composition of the expert council is approved by the order of the head of the university not later than two months before the defense of the thesis.
The expert council should include at least three specialists with knowledge in the field of the subject matter and the object of the research submitted, substantiated  by two or more publications on the profile of the defended dissertation in the last 5 years in domestic and foreign scientific editions, including those with a nonzero impact factor.

4.3. The doctoral candidate presents to Expert council:

·      completed thesis work, as well as its summary, not less than 10 000 characters (original + 3 copies);

·     a document confirming the topic of the dissertation and two scientific advisers;

· transcript / individual doctoral plan for the implementation of the curriculum;

·        List of  research publications and their copies certified in the established order ;

· protocol of the discussion as to the dissertationat the meeting of PSEP;

·        a conclusion about the thesis for plagiarism.

4.4. The Expert Council conducts  review of the thesis within 10 days and gives an informed written opinion according to the format  established in the university, which should reflect:

·        specific personal participation of the doctoral student in gaining the results outlined in the dissertation;

·        the degree of validity of the results of the studies, their novelty and practical importance;

·        correspondence of the contents of the dissertation of the specialty in the Classifier for the areas of higher and postgraduate education;

·        completeness of the presentation of the thesis in works published by the doctoral student.

4.5 In the summary part of the conclusion of the Expert Council there is proposed one of the following solutions:

·        to recommend a thesis for public defense;

·        to recommend a thesis for public defense, provided that comments are eliminated within the established time limits;

·        not to recommend a thesis for defense.

4.6 For any doctoral dissertation (PhD) two official opponents are appointed, whose qualification (academic degree) has to correspond to the line of the work being defended. Official opponents must be employees of different organizations and not be employees of the staff in which the thesis was carried out.

4.7 Candidatures or nominees of official opponents are approved by the order of the head of the university no later than 1.5 (one and a half) months before the defense as recommended  by the head of the PSEP, including the justification for the appointment of official opponents, personal data indicating the place of work, position, academic degree, academic title and the list of the main publications on the line  of the doctoral dissertation being defended (at least 3 works) and the written consent of the alleged opponents.

4.8. Each of the official opponents after reviewing  the doctoral dissertation (PhD) and published works on the topic of the thesis within 10 (ten) days from the date the order is issued  on the appointment of official opponents in writing, shall prepare a review in which he/she gives a comprehensive description of the dissertation, objectively assesses the relevance of the selected topic, the degree of validity of scientific provisions, conclusions and recommendations formulated in the dissertation, their novelty and reasoned conclusion, indicating the possibility of awarding a scientific degree of philosophy.

4.9. Copies of reviews of official opponents are presented to the doctoral candidate not later than 10 days before the defense of the thesis.

4.10. The doctoral candidate is allowed to be defended if there are:

·        positive feedback from research advisors;

·        not less than ten publications on the topic of the dissertation in scientific publications;

·        a written opinion of the Expert Council on the recommendation for public defense of the thesis;

·        reviews  from two official opponents, which provide a comprehensive description of the dissertation and reasoned conclusion and the possibility of awarding the academic degree of a doctor of philosophy or on the profile of the relevant specialty.

4.11. In the case that the members of the expert council give a negative conclusion “not recommended for protection,” the doctoral candidate can not defend his doctoral dissertation.

4.12. The admission to the defense of the thesis is formalized by the order of the head of the university not later than a month before the defense of the thesis.

4.13. Defense of the doctoral thesis PhD is held at an open meeting of the Dissertation Commission (DC).

4.14. The composition of the Dissertation Commisssion is approved by the Ministry of Education and Science of the Kyrgyz Republic. The composition should include: the total number of members of the DC must be at least 5 people, not less than 1 member of the Dissertation Commission from the European University, also mandatory for the membership of the DC 2 official opponents are included.

4.15. All members of the DC must attend the public defense of the thesis. Absence of commission members is not allowed, except in special circumstances.

4.16. In addition to the documents submitted to the Expert Council,  the head of the PSEP and the doctoral candidate submitthe following documents tothe DC

·        a transcript about the completion of the individual curriculum by the doctoral candidate, the evaluations received by him for all disciplines, their scope, course papers and types of practices;

·        the opinion of the Expert Council;

·        reviews of official opponents of the doctoral dissertation (PhD).

4.17. Other materials can be submitted to the DC that characterize the scientific and practical value of the completed doctoral dissertation (PhD:
informal reviews, written opinions from organizations that carry out practical work in the direction of their doctoral dissertation, certificates or acts of implementing the results of scientific research, mock-ups, samples of materials, products, agricultural products, a collection of minerals, herbariums and etc.

4.18. The order of the defense. Before the defense, the dissertation committee must appoint its chairman. The decision is made by a majority of the voting members of the commission. The Chairman has the right to a decisive vote.
Official opponents must attend the defense of the thesis. As an exception, it is allowed to defend the doctoral dissertation (PhD) in absence for a good reason of only one of the official opponents, who gave a positive opinion of the thesis before the defense. In this case, the review of the absent opponent is announced at the meeting of the DC.

Defense should last no more than three hours, and includes:

– presentation of the thesis of the candidate lasting about 30 minutes;

– performance of official opponents

– remarks and questions of the members of the examination committee, which should be limited of the topic of the candidate’s research;

– a general discussion in which all members of the DC can take part .

4.19. The public defense of the thesis should be of the nature of a scientific discussion and take place in an environment of high demands, adherence to principles and observance of scientific ethics, while the novelty, validity of the results, conclusions and recommendations of the scientific and practical nature contained in the dissertation should be subjected to a thorough analysis.

4.20. The entire procedure for defending of the dissertation is shorthanded. Shorthand of the defense of the thesis is filed in the personal file of the doctoral student.

4.21. The decision on the results of defense of the doctoral dissertational work is made by the DC at a private meeting by secret ballot by a simple majority of the members of the commission who participated in the meeting and is registered in a protocol.

4.22. The protocol is signed by the chairman and members of the DC, who participated in the meeting.

4.23. In a positive case of results of the vote on awarding an academic degree, the DC takes an open vote on the thesis, which reflects the most significant scientific results received personally by the dissertator, an assessment of their validity and novelty, their significance for theory and practice, and recommendations for using the results of the dissertation research.

4.24. The thesis, based on the results of the defense  on which the DC made a negative decision, can be submitted to re-defense  in a revised form not earlier than a year after the negative decision was taken. In case of re-defense, the whole procedure for admission to protection is repeated, the composition of the Expert Council and official opponents must be completely changed.

4.25. The results of defending dissertational works are announced on the day they are held.

4.26. A doctorate who has publicly defended his doctoral thesis is awarded the highest academic degree of Doctor of Philosophy PhD on the basis of the transcript of the meeting of the dissertational council.

Attachment 1

Title page of the dissertation

The name of the university, where the thesis was carried out

As a manuscript

Name

Title of doctoral dissertation

Code and name of direction (on the classifier of specialties of higher and postgraduate education)

Dissertation for the degree of Doctor of Science (PhD) in the direction(code and name of direction)

Scientific consultants:

Academic degree, academic title, surname, name