UNIVERSITY OF PETROLEUM & ENERGY STUDIES

DEHRADUN

GUIDELINES FOR PREPARATION AND SUBMISSION OF

PhD THESIS
1. Number of copies to be submitted to academic section

Three Spiral bound copies of the thesis are to be submitted to SRE (Student Records and
Evaluation ) alongwith a soft copy on CD . Prior to ODC, One Hard bound copy (maroon color hard
cover binding) along with a soft copy on CD is to be submitted to SRE.

The corrections, if any, suggested by the thesis examiners and oral examination board will have to be
incorporated in the thesis before final submission

2. Structure of the thesis

Cover page: The title of the thesis, author, department, month and year of submission along with the
emblem of the University will be included on the first cover. This may be made in special quality paper
like plastic coated paper. (Attached as Appendix A).

Inner cover: contents can be same as that of the front cover, but on ordinary A4 size paper. Three
main parts of the thesis can be easily identified. These include the preliminary part, body of the thesis,
and reference and appendices (if any) as the concluding or final part. The order of these items is as
given below.

Preliminary Part

Acknowledgements, if any
Declaration by the author
Certificate from supervisor
Contents
Executive Summary(Max 10 Pages)
List of symbols, if any
List of abbreviations, if any
List of figures, if any
List of tables, if any
Body of the Thesis (Attached as sample Appendix B)

Chapter I

Introduction

Motivation/need and overview

Objectives
Research methodology
Chapter scheme

Chapter 2

Literature survey

Chapter 3

(Same as above, fill details)

Chapter N

Conclusions and suggestions for further work

Concluding Part

References Bibliography
(if any) Appendix or
Appendices Index

Title Page

This may be like: Title/Author/A thesis submitted for the degree of Doctor of Philosophy in the
COMES/COE (Full) along with the year and month of submission.

Acknowledgements

The author of the thesis can acknowledge the help and guidance received from different persons in
this section. Any financial support received from funding /Co-operating agencies for the research
should definitely state here.
Declaration (by the scholar submitting the thesis) see specimen

The wording required is of a standard form.

"I hereby declare that this submission is my own work and that, to the best of my knowledge and belief,
it contains no material previously published or written by another person nor material which has been
accepted for the award of any other degree or diploma of the university or other institute of higher
learning, except where due acknowledgment has been made in the text.

(Signature/name/date)

Certificate (standard form by the thesis supervisor(s)) see specimen

This is to certify that the thesis entitled <name> submitted by <name> to UPES (Full) for the award of
the degree of Doctor of Philosophy is a bona fide record of the research work carried out by her/him
under my(our) supervision and guidance. The content of the thesis, in full or parts have not been
submitted to any other Institute or University for the award of any other degree or diploma.

Signed by Research Supervisor(s) with Name(s) and Date

Place:
Date:

Contents

The contents should list the chapter headings, sections and subsections of the different chapters
along with page numbers of each. It should be possible to get a complete picture of the thesis by
looking at the contents. While the contents cannot be as brief as listing only the chapter headings, it
need not be as elaborate as to list all paragraph titles within subsections. It is preferable to include the
chapter, section and subsection headings only in the contents with appropriate page numbers.

List of Symbols

List the Greek symbols first English letters next, lower case letters and upper case letters in this order.
Each group should be arranged in alphabetic order.

List of Figures

List the number and captions of the figures with page numbers.

List of Tables

List the number and titles of the tables with page numbers
Page Numbering

The preliminary parts are numbered in roman numerals (i, ii, etc). The first page of the first
chapter (Introduction) onwards will be numbered in Arabic numerals 1 2 3 etc.

Numbering Sections, Subsections, Equations, Figures, etc.

A word on numbering scheme used in the thesis is in order. It is common practice to use decimal
numbering in the thesis. If the chapter number is 2, the section numbers will be 2.1, 2.2, 2.3 etc. The
subsections in section 2.2 will be numbered as 2.2.1, 2.2.2 etc. Unless essential, it is not necessary to
use numbers to lower levels than three stages. Headings of paragraphs below the subsections may
be bold faced and in sentence case.

Similarly, it is useful and convenient to number the figures also chapter-wise. The figures in chapter 4
will be numbered Fig. 4.1, Fig 4.2 etc. This helps you in assembling the figures and putting it in proper
order. Similarly, the tables also numbered as Table 4.1 Table 4.2 etc. Usually the figure captions are
written below the figure and table captions on top of the table. All figures should have proper
description by legends, title of the axes and any other information to make the figures self-
explanatory. Figures in color are not essential, but if it is essential, can be given. If used, all copies
submitted should have figures in color.

The same numbering scheme can be used for equations also. Only thing to be remembered is that
references to the figures are made like Fig 4.2 and equations as Eqn. (5.8) and tables as Table 3.8.
If there are some appendices, these can be numbered as A1, A2, and A3 etc. The equations in
these appendices can be numbered as (A1.1), (A2.3) etc.

References can be numbered as 1, 2, 3 etc in the order in which they are referred to in the body of
the thesis. A typical reference in the body of the thesis will appear as as stated in [3] or in [3] [5]
etc. An alternate way as mentioned in some journals is to arrange the references in the alphabetical
order of the names of authors in which case the reference in the body of the thesis looks like as
mentioned in (Adam and Eve 1946). However, for uniformity and brevity, the first method (like the
one followed in IEEE journals) is to be used.

Bibliography contains materials that were useful for the preparation of the thesis in a general way and
is not directly referred to in the thesis. IT is not essential, but will be of immense help for a student
who tries to read and understand the contents of the thesis.

References to journal papers should contain the name of the author(s), title of the paper, name of
the journal, volume number, issue number, particular pages (pp) and year of publication.

Example:

American Psychological Association (APA) Citation Style Should follow as it is the standard across the
Researcher Community across world.

e.g. Yurog, X., Yen, D.C., Lin, B. and Chou, D.C. (2002), Adopting Customer Relationship Management
Technology. Industrial Management & Data Systems, Vol. 102. No. 8, pp. 442-52.
Similarly conference papers should mention the name of author(s), title of the paper, name
of the conference, place in which the conference was held and date, month and year of the
conference along with the page numbers of the paper in the proceedings of the conference.

Appendices

If there is material that if included in the body of the thesis would break up the flow of reading or bore
the reader unbearably, it is better to include it as an appendix. Some items which are typically included
in appendices are: major derivations or theoretical developments, important and original computer
programs, data files that are too large to be represented simply in the results chapters, pictures or
diagrams of results which are not important enough to keep in the main text etc.

Curriculum Vitae with List of Publications

Briefly indicate your relevant background. You can list your publications. Only publications
published or accepted for publication need be listed. If communicated and under review, the
date of submission should be indicated.

Suggested font sizes

Font type Font size Spacing
Details

Facing page (cover and

Centered (Adjustable
first page) see sample Times New Roman 14 pt. bold capitals
spacing)
page for details

Chapter headings with

Times New Roman 14 pt. bold capitals Centered
chapter number on top

Section headings Times New Roman 12 pt bold capitals Left adjusted

Subsection headings Times New Roman 12 pt bold capitals Left adjusted

Paragraph headings Times New Roman 12 pt. bold sentence case Left adjusted

Adjusted on both left

and right and with 1.5
Body of thesis Times New Roman 12 pt. spacing for text and
double spacing for
equations

To accommodate
Left Margin 1.5 inch
binding area

Right Margin 1.5 inch

Margins On pages on which

Top 2.0 inch
chapter begins

1.0 inch Other pages

Bottom 1.25 inch

 (Appendix A)

COVER PAGE

THESIS TITLE
By

<NAME OF THE STUDENT>

COLLEGE OF MANAGEMENT AND ECONOMIC STUDIES/ENGINEERING/

LEGAL STUDIES
(DEPARTMENT OF ..)
Submitted

IN PARTIAL FULFILLMENT OF THE REQUIREMENT OF THE DEGREE OF DOCTOR OF

PHILOSOPHY

TO

UNIVERSITY OF PETROLEUM AND ENERGY STUDIES

DEHRADUN
Month, Year

Under the Guidance of

Name:
Designation :
Organisation/ Institution :
 THESIS COMPLETION CERTIFICATE

This is to certify that the thesis on <name of the thesis> by <name of the student> in Partial
completion of the requirements for the award of the Degree of Doctor of Philosophy (Management) is an
original work carried out by him under our joint supervision and guidance.

It is certified that the work has not been submitted anywhere else for the award of any other diploma or
degree of this or any other University.

External Guide

<Name & signatures>

Internal Guide

<Name & signatures>

ACKNOWLEDGEMENTS

<Fill details>
 CONTENTS

List of Diagrams
List of Tables
List of Exhibits

Chapter 1 <Name of the chapter>

1.1 <Name of sub-chapter>

<Fill details>
 (Appendix B)

EXAMPLE BODY OF THE THESIS

Chapter I

Introduction

Overview
Definitions
Research motivation

- Research question

Overview of research model

Overview of research approach
Contribution of research
Outline of thesis chapters

Chapter 2

Chapter overview
Literature survey
Chronological order of research done and researcher(s) and contribution (tabular
form) Chapter summary

Chapter 3 (Based on research problem, for instance)

Chapter overview
Introduction to research problem (e.g. Information system management)

- Information system elements (for instance)

- Evolution of management information system (for instance)

Implications of research problem

Influence of research problem on systems performance
Chapter summary

Chapter 4: Research outline

Chapter overview
Instrument development
Statistical test to test the research problems competency(on the basis of attributes/factors selected
(for instance)

- Data collection
- Sample generalizability
- Assessment of scale reliability and validity
 - Analysis of research models fitness

Exploratory analysis of contingency effects

Chapter summary

Chapter 5: Scale development

Chapter overview
Operationalization of research models competence

- On Attribute 1
- On Attribute 2
- On Attribute 3
- On Attribute 4
- On Attribute N

Scale refinement using judge-based manual sorting

- Construct domain specification

- Measure purification
- Pretest results of item purification sorting process

Empirical validation of constructs

- Survey methods
- Content validity analysis (for instance)
- Unidimensionality analysis (for instance)
- Reliability analysis (for instance)
- Convergent validity analysis (for instance)
- Discriminant validity analysis (for instance)

Interrelationship between attributes selected

Chapter summary

Chapter 6: Models for research pro bl ems c o m pete nce

Chapter overview
Competing model for research problem

- (For instance) formative path model

- Coalignment model (for instance)
- Mediating coalignment model (for instance)

Methodology

- Construct measurement scales

 Analysis and empirical results

- Results of formative path model

- Results of coalignment model
- Results for mediating coalignment model

Discussions and conclusions

- Components of research problems competence

- Conclusions

Summary
Chapter 7: Conclusion and future research

Introduction
Summary of research findings
Contributions of this research

- Theoretical contributions (if any)

- Implications for practice

Limitations and future research

- Limitations of the sample

- Analysis using structural equations modeling (if any)
- Evolution of research area

Chapter 8: Reference

Reference

Appendix (including questionnaires/interviews/other survey and feedback forms and instruments)

Appendix A
Appendix B
Appendix N
CHECK LIST FOR SUBMITTING THE THESIS:

The contents of the thesis shall have the following format:

a) Inner cover page,

b) Certificate of
the guide(s), c)
Acknowledgements,
d) Executive summary (max 10 pages)
e) Table of contents,
f) List of
figures/tables, g)
Body of the thesis,
h) References,
i) Appendices,
and j) Index
k) Brief bio-data of the author.

**You are required to submit the thesis to SRE as per the as per the address given below:

Assistant Registrar
University of Petroleum & Energy
Studies Bidholi Campus: Energy Acres,
P.O. Bidholi Via-Prem Nagar
DEHRADUN 248 007