Regulations on the Procedure for Awarding the Degree of Doctor of Philosophy and Completing the Dissertation Defense Procedure for Obtaining the Degree of Doctor of Philosophy at the National Aerospace University «Kharkiv Aviation Institute»
Approved by:
Academic Council of the National Aerospace University «Kharkiv Aviation Institute»
Protocol No. 1 dated September 27, 2025
Put into effect by order No. 391 dated September 28, 2025
SUYA HAI-VAD-P/001:2024
Date of introduction September 1, 2025
Revision No. 3
1. General Provisions
1.1. These Regulations on the procedure for awarding the degree of Doctor of Philosophy and completing the dissertation defense procedure for obtaining the degree of Doctor of Philosophy at the National Aerospace University «Kharkiv Aviation Institute» (hereinafter referred to as the Regulations) have been developed on the basis of the Law of Ukraine «On Higher Education» dated July 1, 2014, No. 1556-VII, the Procedure for Preparing Higher Education Applicants for the Degrees of Doctor of Philosophy and Doctor of Sciences in Higher Education Institutions (Scientific Institutions), approved by the Resolution of the Cabinet of Ministers of Ukraine dated March 23, 2016, No. 261, as amended by the Resolution of the Cabinet of Ministers of Ukraine dated May 19, 2023, No. 502, the Procedure for Awarding the Degree of Doctor of Philosophy and Canceling the Decision of a Single Specialized Academic Council of a Higher Education Institution or Scientific Institution on Awarding the Degree of Doctor of Philosophy, approved by the Resolution of the Cabinet of Ministers of Ukraine dated January 12, 2022, No. 44, as amended on May 8, 2024 (hereinafter referred to as the Procedure), the Procedure for the Functioning of the Information System of the National Agency for Higher Education Quality Assurance (hereinafter NAQA) «NAQA.Svr», approved by NAQA, protocol dated August 30, 2022, No. 13 (18) with amendments (protocol dated November 19, 2024, No. 19 (69), protocol dated April 22, 2025, No. 6 (78)), the «Procedure for State Registration of R&D and Dissertations. Explanations on State Registration and Accounting of Open Research and Development Works / State Scientific Institution «Ukrainian Institute of Scientific Expertise and Information»», the resolution of the Cabinet of Ministers of Ukraine «On Amendments to Certain Resolutions of the Cabinet of Ministers of Ukraine on Issues of Training and Certification of Applicants for Scientific Degrees» dated May 19, 2023, No. 502, the resolution of the Cabinet of Ministers of Ukraine «On Amendments to Certain Resolutions of the Cabinet of Ministers of Ukraine on Issues of Training and Certification of Scientific-Pedagogical and Scientific Personnel» No. 507 dated May 3, 2024, and the explanatory letter on the application of qualified electronic signatures when creating single councils of the National Agency for Higher Education Quality Assurance dated July 7, 2023, No. 918.
1.2. These Regulations are compiled in order to streamline the certification procedure for applicants of the third (educational and scientific) level of higher education and to ensure the timely defense of dissertations submitted for the degree of Doctor of Philosophy in single specialized academic councils of the National Aerospace University «Kharkiv Aviation Institute» (hereinafter referred to as the University).
1.3. In these Regulations, terms are used in the meaning according to clause 2 of the Procedure.
1.4. The Applicant's certification takes place in the following stages (the list of documents for each stage is given in Appendix 1 of these Regulations):
1) public presentation of the scientific results of the dissertation and its discussion at an expanded meeting of the department that implements the relevant educational and scientific program and provides training for the Applicant (no later than nine months before the date of completion of the postgraduate study period);
2) submission of documents for the establishment of a single council to the Academic Council of the University for review (no later than two weeks after receiving the conclusion on the scientific novelty, theoretical and practical significance of the dissertation results and within the period defined by the Regulations and the Work Regulations of the Academic Council of the University);
3) establishment of a single council by a decision of the Academic Council of the University (no later than two months from the day of receiving the Applicant's application);
4) publication on the official website of the University of the dissertation, the conclusion on the scientific novelty, theoretical and practical significance of the scientific results of the dissertation, information on the composition of the single council, a link to the broadcast of the defense, entering information into the information system of the National Agency for Higher Education Quality Assurance (hereinafter NAQA IS), online registration of the dissertation at UkrISTI (within five working days from the date of the order on the establishment of the single council);
5) verification by the MES of Ukraine of the compliance of the composition of the single council (within 30 days from the date of publication of information on the establishment of the single council in the NAQA IS);
6) submission by the applicant of printed and electronic copies of the dissertation and the certificate of plagiarism check to the single council;
7) submission of reviews by reviewers and feedback by official opponents to the head of the single council (within 45 calendar days from the day of publication of information on the establishment of the single council in the NAQA IS);
8) placement of reviews (feedback) in PDF/A format with a text layer and the imposition of an electronic digital signature of the reviewer (official opponent) based on a qualified electronic signature certificate (using a qualified electronic timestamp) on the official website of the University (their copies are provided to the Applicant for review);
9) setting the date, time, and location of the defense (no earlier than two weeks and no later than four weeks from the day the last review (feedback) is received by the single council, taking into account the period of verification by the MES of Ukraine of the compliance of the composition of the single council) and posting information about the date, time, and location of the defense on the official website of the University and in the NAQA IS (within three working days from the day the last review (feedback) is received by the single council);
10) public defense of the dissertation;
11) publication of the decision of the single council on awarding (refusing to award) the degree of Doctor of Philosophy and the video recording of the dissertation defense broadcast on the official website of the University (within three working days from the date of the defense), as well as transfer of the dissertation in electronic and printed form to the University library along with a copy of the decision ofنده the single council, certified by the signature of its head (within ten working days from the date of the defense);
12) submission of information on the results of the dissertation defense to the NAQA IS (within five working days from the date of the defense);
13) formation of the Applicant's certification file;
14) issuance of the rector's order on issuing the Doctor of Philosophy diploma and its European-style diploma supplement to the Applicant (no earlier than 15 and no later than 30 calendar days from the day of the dissertation defense).
1.5. The degree of Doctor of Philosophy is awarded to the Applicant by the single council of the University as a result of the Applicant's successful completion of the relevant educational and scientific program and based on the results of the public defense of scientific achievements in the form of a dissertation.
1.6. The single council is established by the University in accordance with the Procedure.
1.7. An applicant who is pursuing an unaccredited educational and scientific program has the right, in the manner established by legislation, to transfer to another institution that has an accredited educational and scientific program in the relevant specialty (specialties).
If the applicant has completed an accredited educational and scientific program, certain elements of which are provided by another institution, the single council is established in the institution where it was completed, with the possible involvement as a reviewer of a person whose primary place of work is as a scientific-pedagogical or scientific employee of the institution that provided certain elements of the educational and scientific program, subject to compliance with other requirements for a reviewer established by the Procedure.
In the event that the applicant's training was carried out under an accredited educational and scientific program in accordance with an agreement between the University and foreign institutions, the single council may be established on the basis of either of the specified institutions. In the event that the single council is established on the basis of the University, the establishment of such a council is carried out in accordance with the Procedure. An employee of a foreign institution that was a party to the specified agreement may be a reviewer subject to compliance with other requirements for a reviewer established by the Procedure. In the case of conducting the applicant's certification in a foreign institution, the single council is established in accordance with the legislation of the foreign state.
1.8. The document certifying the awarding of the degree of Doctor of Philosophy is the state-issued Doctor of Philosophy diploma, issued by the University on the basis of the decision of the single council on awarding the degree of Doctor of Philosophy to the Applicant and the corresponding order of the rector.
2. Requirements for the Dissertation and the Applicant's Scientific Publications
2.1. The Applicant must acquire the theoretical knowledge, skills, abilities, and competencies defined by the higher education standard of the third (educational and scientific) level in the relevant specialty, conduct their own scientific research presented in the form of a dissertation, and publish its main scientific results.
In the absence of the corresponding higher education standard, the requirements for the level of knowledge, skills, and abilities are determined in accordance with the eighth level of the National Qualifications Framework, approved by the Resolution of the Cabinet of Ministers of Ukraine dated November 23, 2011, No. 1341 (Official Bulletin of Ukraine, 2011, No. 101, Art. 3700; 2020, No. 54, Art. 1670).
2.2. The dissertation must contain new scientifically grounded results of the research conducted by the applicant, which accomplish a specific scientific task of significant importance for a particular field of knowledge.
2.3. The dissertation is executed in the state language or in English.
2.4. Requirements for the formatting of the dissertation are established by the MES. The maximum and/or minimum volume of the main text of the dissertation is established by the educational and scientific program of the University in accordance with the specifics of the relevant field of knowledge and/or specialty.
2.5. The dissertation is submitted for defense in the form of a specially prepared manuscript.
2.6. The scientific results of the dissertation must be covered in at least three scientific publications of the applicant, which include:
1) articles in scientific publications included as of the date of publication in the list of scientific professional publications of Ukraine. If such an article is published in co-authorship, the personal contribution of each author is indicated in the dissertation. If the number of co-authors in such an article (including the applicant) is more than two persons, such an article is equivalent to 0.5 of a publication (except for publications defined by subparagraph 2 of this paragraph);
2) articles in periodic scientific publications indexed in the Web of Science Core Collection and/or Scopus databases (except for publications of a state recognized by the Verkhovna Rada of Ukraine as an aggressor state);
3) no more than one patent for an invention that has passed qualification expertise and directly relates to the scientific results of the dissertation, which is equivalent to one scientific publication;
4) single-author monographs recommended for printing by academic councils of educational institutions and peer-reviewed, except for single-author monographs published in a state recognized by the Verkhovna Rada of Ukraine as an aggressor state. Single-author sections in collective monographs under the same conditions are equivalent to single-author monographs.
2.7. An article in a publication classified in the first to third quartiles (Q1–Q3) according to the SCImago Journal and Country Rank or Journal Citation Reports classification, or a single-author monograph meeting the specified requirements, is equivalent to two scientific publications. The affiliation of a scientific publication to the first to third quartiles (Q1–Q3) according to the SCImago Journal and Country Rank or Journal Citation Reports classification is determined according to the ranking in the year in which the applicant's respective publication was published or, in the case when the ranking for the respective year is not published on the date of establishment of the single council, according to the latest published ranking.
2.8. The applicant's scientific publications issued in Ukraine are published in the state language, in English, and/or in other official languages of the European Union. A publication promulgated in Ukraine in English and/or other official languages of the European Union must be accompanied by an abstract and a list of keywords in the state language.
For articles published in international professional publications in languages other than English, the single council may, by its decision, mandate the provision of a translation or a short abstract of the article in the state language.
2.9. The authenticity of bibliographic data, including the indexing of foreign publications in Scopus or WoS, is verified by the Scientific and Technical Library of the University, which provides the Applicant with a corresponding certificate.
2.10. Articles are credited for the topic of the dissertation provided that the obtained scientific results are substantiated in accordance with the purpose of the article (the set task) and conclusions, and no more than one article is published in a single issue (number) of the scientific publication.
2.11. Articles published after the entry into force of the Procedure are credited for the topic of the dissertation only if they have an active DOI (Digital Object Identifier) identifier, except for publications containing information classified as state secrets or information for official use.
2.12. It is not considered self-plagiarism for the applicant to use their own scientific works in the text of the dissertation without referencing these works, if they were previously published for the purpose of highlighting the main scientific results of the dissertation and are indicated by the applicant in the abstract of the dissertation.
3. Organizing the Public Presentation of the Scientific Results of the Applicant's Dissertation and Its Discussion
3.1 No later than nine months before the completion of the normative period of study under the accredited educational and scientific program, the applicant:
1) receives a certificate of completion of the educational and scientific program and the conclusion of the scientific supervisor(s) evaluating the applicant's work in the process of preparing the dissertation and fulfilling the individual plan of scientific work and the individual curriculum;
2) applies to the head of the department implementing the relevant educational and scientific program and providing training for the Applicant, with a written application to obtain a conclusion on the scientific novelty, theoretical, and practical significance of the dissertation results (Appendix 2. Form 1).
The application is accompanied by: the dissertation in printed and electronic form, scientific publications (or their copies) in which the scientific results of the dissertation are highlighted, the certificate of completion of the educational and scientific program, and the conclusion of the scientific supervisor(s).
3.2. In order to provide a conclusion on the scientific novelty, theoretical, and practical significance of the dissertation results, no later than one month from the day of receiving the application from the Applicant, a public presentation by the Applicant of the scientific results of the dissertation and its discussion are held at a meeting of the department implementing the relevant educational and scientific program and providing training for the Applicant.
3.3. The results of the presentation and discussion are reflected in the conclusion on the scientific novelty, theoretical, and practical significance of the dissertation results, which is signed by the presiding officer at the department meeting and provided to the Applicant no later than within two weeks from the day of the presentation.
3.4. In the event of receiving a negative conclusion on the scientific novelty, theoretical, and practical significance of the dissertation results, the Applicant may reapply to the head of the department where the training is conducted, no later than within six months before the completion of the normative period of study under the accredited educational and scientific program, with a written application to obtain such a conclusion after finalizing the dissertation or for reinstatement at the University to complete the execution of the relevant educational and scientific program in case of expulsion.
4. Establishment of a Single Specialized Academic Council
4.1. In the presence of a positive conclusion on the scientific novelty, theoretical, and practical significance of the dissertation results, the Applicant applies to the Academic Council of the University with a written application for the establishment of a single council no later than within two weeks from the day of receiving the specified conclusion (Appendix 2. Form 2).
4.2. In the application, the applicant certifies that the dissertation was completed independently with compliance with academic integrity, confirms that the final text of the dissertation is submitted for defense, and indicates the language of the dissertation defense (state language or, at the applicant's request, English).
The application is accompanied by:
- the dissertation in printed and electronic form in PDF/A format with a text layer with the application of a qualified electronic signature (using a qualified electronic time stamp);
- scientific publications (or copies thereof) in which the scientific results of the dissertation are highlighted, and a certificate/certificates from the University library regarding the scientific publications of the Applicant based on the results of the dissertation (Appendix 2. Form 4);
- a certificate of completion of the educational and scientific program;
- a receipt by the Applicant regarding compliance with the requirements of the legislation of Ukraine on issues of state secrets and official information;
- the conclusion of the scientific supervisor(s) (Appendix 2. Form 5);
- the conclusion on the scientific novelty, theoretical, and practical significance of the dissertation results;
- consolidated information about the dissertation, scientific publications, and the composition of the single council formed in accordance with paragraph 4.4 of this Regulation, for entering data into the NAQA IS and UkrISTEI (Appendix 2. Form 8).
4.3. The Applicant's qualified electronic signature is applied to the dissertation prior to the submission of the application, the dissertation, and other documents defined by the Procedure for consideration by the Academic Council of the University.
Applicants who are not residents of Ukraine may also apply a qualified electronic signature (using a qualified electronic time stamp) in accordance with the legislation of the state whose residents they are, in accordance with the clarifications of the Ministry of Digital Transformation (appendix to the letter of the NAQA regarding the application of qualified electronic signatures when creating single councils dated 27.06.23).
4.4. The department at whose meeting the public presentation of the scientific results of the dissertation by the Applicant took place shall submit in the established manner to the Academic Council of the University proposals for candidates for the composition of the single council, as well as:
- consents of the prospective official opponents to participate in the work of the single council and information about them and their scientific publications confirming the scientist's competence in the topic of the dissertation;
- information about the head and reviewers in the composition of the single council;
- a certificate from the University library regarding scientific publications (in the scientific direction in which the dissertation was prepared) of the head, reviewers, and official opponents.
In the event of the impossibility of appointing two reviewers at the University taking into account the requirements of the Procedure, the single council is established with the composition of the head of the council, one reviewer, and three official opponents.
Official opponents cannot work in the same institution, have joint publications over the past five years with the head, reviewers, and scientific supervisor, and are included in the composition of the single council with their written consent.
4.5. The competence of the members of the single council on the subject matter of the applicant's research is determined by the presence of at least three scientific publications on the subject matter of the applicant's research, provided they were published during the last five years prior to the date of establishment of the single council and after the awarding of the academic degree of Doctor of Philosophy (Candidate of Sciences), which include:
- single-author monographs recommended for printing by academic councils of institutions and peer-reviewed, except for single-author monographs published in a state recognized by the Verkhovna Rada of Ukraine as an aggressor state. Single-author sections in collective monographs under the same conditions are equivalent to single-author monographs (for foreign publications - in accordance with the requirements for scientific publications of the respective state);
- scientific articles published in scientific publications included as of the date of publication in the list of scientific professional publications of Ukraine;
- scientific articles published in periodic scientific publications indexed in the Web of Science Core Collection and/or Scopus databases, except for publications of a state recognized by the Verkhovna Rada of Ukraine as an aggressor state.
A single-author monograph with a total volume of at least five author's sheets or a scientific publication in a periodic scientific publication classified in the first to third quartiles (Q1–Q3) according to the SCImago Journal and Country Rank or Journal Citation Reports classification is equivalent to two scientific publications. The affiliation of a scientific publication to the first to third quartiles (Q1–Q3) according to the SCImago Journal and Country Rank or Journal Citation Reports classification is determined according to the ranking in the year in which the respective publication of the member of the single council was published or, in the case when the ranking for the respective year is not published on the date of establishment of the single council, according to the latest published ranking.
The authenticity of bibliographic data, including the indexing of foreign publications in Scopus or WoS, is verified by the Scientific and Technical Library of the University, which provides a corresponding certificate.
4.6. A person cannot be included in the composition of the single council if they:
1) is the applicant's scientific supervisor;
2) is the head of the University;
3) is a co-author of the applicant's scientific publications;
4) has a real or potential conflict of interest regarding the applicant (in particular, is a close person to them) and/or their scientific supervisor, and/or another member of the single council;
5) was brought to academic responsibility for violation of academic integrity, in particular regarding the deprivation of the right to participate in the work of specialized academic councils in accordance with the Laws of Ukraine "On Higher Education", "On Scientific and Scientific-Technical Activities";
6) works (worked) in leadership positions in institutions, establishments, and organizations that illegally carry out (carried out) their activities in the temporarily occupied territories of Ukraine;
7) does not command the language of the dissertation defense in an amount sufficient for the qualified conduct of the applicant's certification;
8) received the diploma of Doctor of Philosophy (Candidate of Sciences) less than three years prior to the date of establishment of the single council.
One person may participate as a member of a single council in no more than eight dissertation defenses during a calendar year.
4.7. The Academic Council, no later than within two months from the day of receiving the Applicant's application, establishes a single council consisting of five persons: the head of the single council, reviewers (reviewer), and official opponents, whose data are entered into the Unified State Electronic Database on Education (except for scientific and scientific-pedagogical employees of higher military educational institutions, higher educational institutions with specific training conditions, military educational units of higher educational institutions/scientific institutions, scientific institutions of the Ministry of Defense system).
The decision of the Academic Council on the establishment of榴 the single council is enacted by the rector's order within five working days.
4.8. Within five working days from the date of issuance of the order on the establishment of the single council, the University:
1) publishes, taking into account the requirements of legislation on state secrets and official information, on its official website an electronic copy of the dissertation in PDF/A format with a text layer with the application of the applicant's electronic signature based on a qualified electronic signature certificate (using a qualified electronic time stamp), the conclusion on the scientific novelty, theoretical, and practical significance of the dissertation results, and information on the composition of the single council, with a link to the website where the dissertation defense broadcast will take place;
2) enters information on the establishment of the single council into the information system;
3) transfers a printed copy of the dissertation signed by the applicant and an electronic version of the dissertation to the University library;
4) submits an electronic copy of the dissertation to the state scientific institution "Ukrainian Institute of Scientific and Technical Expertise and Information".
4.9. Information on the establishment of the single council is considered published from the day it is entered into the information system. Any person who is a subject of scientific and scientific-technical activity may submit a notification to the MES regarding the non-compliance of the composition of the single council with legislative requirements within 15 days from the day the National Agency publishes information on the establishment of the single council (making changes to the composition of the single council).
The MES conducts a check on the compliance of the composition of the single council with the requirements of paragraphs 14–16 of the Procedure and considers notifications regarding the non-compliance of the composition of the single council (in case of receipt) within one month from the day the National Agency publishes information on the establishment of the single council (making changes to the composition of the single council).
In case of detecting violations, the MES suspends the work of the single council by entering relevant information into the information system with an indication of the grounds for eliminating the detected violations.
4.10. In order to eliminate detected violations, as well as in the event of the impossibility for a member (members) of the single council to perform their duties, the University issues an order to make changes to the composition of the single council, information about which is entered into the information system.
4.11. Information on changes in the composition of the single council is published in the information system.
5. Organizing the Procedure for Defending a Dissertation for the Doctor of Philosophy Degree in a Single Specialized Academic Council of the University
5.1. Based on the review of the dissertation and the applicant's scientific publications credited toward the dissertation topic, within 45 calendar days from the date of publishing information on the establishment of the single council, each reviewer submits a review, and each official opponent submits feedback to the council. These documents reflect their assessment of the scientific level of the dissertation and publications, including the novelty of the theoretical and/or experimental results, their scientific validity and relevance to the topic, the degree of completion of the scientific task, and the applicant's mastery of research methodology.
5.2. Reviewers and official opponents must ensure the objectivity of their evaluations. The review (feedback) is signed with the qualified electronic signature of the reviewer or official opponent, incorporating a qualified electronic timestamp. Reviewers or official opponents who are non-residents of Ukraine sign the document personally, and the signature is authenticated with the official seal of their primary institution of employment.
If a review or feedback fails to meet established requirements, the head of the single council sets a timeframe for its revision. If the document is not submitted on time or is submitted past the deadline, the head initiates replacement of the respective council member through the academic council of the institution.
5.3. The University provides the necessary conditions for the single council to verify the applicant's compliance with academic integrity standards.
The dissertation text is checked using the TURNITIN system for matching sources on the Internet (following the approval of the council's composition by the University's Academic Council), which is subsequently noted in the reviews and feedback. The official verification certificate is provided by the applicant to the council members for review along with the dissertation and publications.
If council members detect academic plagiarism, fabrication, or falsification in the dissertation or publications, the reviewer or official opponent must state this explicitly in their review or feedback.
5.4. Within three working days after the single council receives the final review or feedback, but no earlier than the expiration of the notification period specified in clause 4.9 of this Regulation:
- the single council sets the date, time, and venue for the public defense. The defense date must be scheduled between two and four weeks from the date the final review or feedback is received. Information regarding the defense is published on the official University website and entered into the information system;
- electronic copies of the reviews and feedback in PDF/A format with a text layer, bearing the qualified electronic signatures and timestamps of the authors, are published on the official University website, subject to state secret and restricted information laws, and are made available to the applicant upon request.
5.5. The public defense takes place during a meeting of the single council, which requires the full participation of all council members to be quorate. Council members and/or the applicant may participate via real-time video conferencing.
In the absence of a quorum, the council reschedules the defense for a new date between two and four weeks from the original date.
Within three working days of rescheduling, the updated defense details are published on the official website and entered into the information system.
5.6. The University provides a real-time online broadcast of the defense on its official website, along with a full video recording, complying with state security regulations.
The quality and length of the recording must capture the entire proceeding without cuts or editing, including speeches by the applicant and council members, the scientific discussion, and individual voting records.
5.7. The defense meeting is conducted in accordance with the procedure outlined in subclause 5.9 of this Regulation.
5.8. During certification, council members evaluate the scientific level of the dissertation and publications, adherence to academic integrity, and the depth of the applicant's acquired theoretical knowledge and competencies.
Any external evaluations or appeals received by the University are read aloud during the public defense and addressed by the council, provided they are submitted at least three working days prior to the defense date.
5.9. The single council meeting proceeds as follows:
- the head of the council verifies the presence of a quorum and opens the meeting;
- the head of the council informs its members about the language agreed upon with the Applicant in which they will present the main provisions of the dissertation and answer questions;
- the head of the single council announces the agenda, the title of the dissertation, information about the Applicant, information about the reviewers and official opponents, and provides information on the documents submitted by the Applicant and their compliance with the requirements established by legislation;
- the Applicant presents the main provisions of the dissertation;
- the Applicant answers questions submitted orally or in writing by council members during the discussion;
- the head of the single council announces the conclusion on the scientific novelty, theoretical, and practical significance of the dissertation results, as well as any appeals from other persons containing an evaluation of the dissertation;
- the Applicant answers the remarks contained in the appeals;
- the speech of the applicant's scientific supervisor;
- speeches by the reviewers;
- the Applicant answers the remarks contained in the reviewers' reviews;
- speeches by the opponents;
- after each opponent's speech, the Applicant is given the floor to respond;
- after each of the Applicant's responses to the opponents' remarks, the presiding officer verifies whether the opponent is satisfied with this response;
- public discussion of the dissertation, in which all scientists present at the meeting have the right to participate; each member of the single council openly expresses their position for awarding or denying the Doctor of Philosophy degree;
- the final word of the Applicant (the Applicant has the right, by a written application, to withdraw the dissertation from defense before the start of voting on the award of the Doctor of Philosophy degree);
- the council makes a decision by open voting: positive - on awarding the Doctor of Philosophy degree, if it is supported by at least four members of the single council, or on denying the Doctor of Philosophy degree, if it is supported by two or more members of the single council.
A member of the single council has the right to set out a separate opinion in writing, in which they indicate remarks regarding the dissertation, in particular - regarding the Applicant's compliance with academic integrity and/or regarding the dissertation defense procedure.
5.10. Based on the voting results, a decision of the single council on awarding (denying the award of) the Doctor of Philosophy degree is drawn up in the form approved by the Ministry of Education and Science. The decision, which is signed by the head of the single council and sealed with the institution's stamp, must indicate the voting results of the members of the single council.
The separate opinion is attached to the decision of the single council on awarding (denying the award of) the Doctor of Philosophy degree and is its integral part.
An integral part of the decision is also the video recording of the dissertation defense broadcast, to which the electronic seal of the University is applied, based on a qualified electronic seal certificate.
5.11. The Applicant has the right, prior to the start of voting on the award of the Doctor of Philosophy degree, by a written application addressed to the head of the single council, to withdraw the dissertation from defense, except in cases where the single council detects a violation of academic integrity in the dissertation and/or scientific publications in which the main scientific results of the dissertation are highlighted. The Applicant can exercise this right only once.
5.12. If the single council detects facts of academic plagiarism, fabrication, or falsification in the dissertation and/or scientific publications in which the main scientific results of the dissertation are highlighted, the application for withdrawing the dissertation from defense is not accepted. In this case, the single council makes a decision to deny the award of the Doctor of Philosophy degree without the right to resubmit the dissertation for defense.
5.13. After the single council makes a decision on awarding (denying the award of) the Doctor of Philosophy degree, the University:
1) within three working days publishes the decision of the single council on awarding (denying the award of) the Doctor of Philosophy degree and the video recording of the dissertation defense broadcast on its official website, taking into account the requirements of legislation on state secrets and official information. In the event of the impossibility of publishing the video recording of the dissertation defense broadcast on the official website of the institution, the video recording is published by the University within the same period on another website that provides the possibility of free viewing via a link published on the official website of the University;
2) within five working days publishes the results of the dissertation defense in the information system and posts a link to the video recording of the dissertation defense broadcast.
In the event of withdrawing the dissertation from defense, the University, within three working days from the date of the dissertation defense, publishes information about this on its official website and submits it to the information system.
5.14. In the event of the Applicant withdrawing the dissertation from defense or the single council denying the award of the Doctor of Philosophy degree, the Applicant has the right, subject to revision, to resubmit the dissertation for defense no earlier than one year later, except for the case provided for in the second paragraph of clause 30 of the Procedure.
A re-defense of the dissertation after its revision is possible provided that the Applicant re-obtains the conclusion on the scientific novelty, theoretical, and practical significance of the dissertation results.
5.15. Based on the decision of the single council on awarding the Doctor of Philosophy degree, the University, no earlier than 15 and no later than 30 calendar days from the date of the dissertation defense, issues an order on issuing a Doctor of Philosophy diploma and its European-style diploma supplement to the Applicant.
5.16. If within 15 calendar days from the date of the dissertation defense the University has detected a violation of the dissertation defense procedure established by Procedure 44 or the University has received a notification of such a violation, the institution's order on issuing a Doctor of Philosophy diploma to the Applicant is issued in the event that the academic council makes a decision to keep the decision of the single council in force.
5.17. The decision of the single council on awarding the Doctor of Philosophy degree enters into force from the date of entry into force of the order of the University rector on issuing the Doctor of Philosophy diploma.
5.18. The Doctor of Philosophy diploma is drawn up in the form approved by the Ministry of Education and Science and is issued to the Applicant at a meeting of the University's Academic Council.
To an applicant whose training was carried out in accordance with an agreement between the University and a foreign institution and who has been awarded the Doctor of Philosophy degree in accordance with this Regulation, the Doctor of Philosophy diploma may also be issued by a foreign institution in accordance with the legislation of the state of location of such an institution.
5.19. Within ten working days from the date of issuing the Doctor of Philosophy diploma, the person responsible for supporting PhD defenses adds a copy of the single council's decision on awarding the Doctor of Philosophy degree, certified by the head of the single council, to the copy of the dissertation stored in the University library.
The provisions of this clause are applied taking into account the requirements of legislation on state secrets and official information.
5.20. The conclusion on the scientific novelty, theoretical, and practical significance of the dissertation results, reviews, feedback, the decision of the single council on awarding the Doctor of Philosophy degree, and the video recording of the dissertation defense broadcast are added to the Applicant's personal file, which is stored in accordance with the legislation. The dissertation (along with an active link to it in the information system), the conclusion on the scientific novelty, theoretical, and practical significance of the dissertation results, reviews, feedback, the decision of the single council on awarding the Doctor of Philosophy degree, and the video recording of the dissertation defense broadcast, published by the University taking into account the requirements of legislation on state secrets and official information, must be available for free viewing for at least six months from the date of entry into force of the single council's decision on awarding the Doctor of Philosophy degree.
6. List of the Applicant's Attestation Documents
The attestation file of the applicant for the scientific degree of Doctor of Philosophy contains the following documents:
1. The dissertation in printed and electronic (with the Applicant's qualified electronic signature) form
2. Copies of scientific publications highlighting the scientific results of the dissertation research.
3. Summary bibliographic information on the Applicant's scientific publications
4. Certificate of completion of the educational and scientific program.
5. Conclusion of the scientific supervisor(s)
6. Conclusion on the scientific novelty, theoretical, and practical significance of the dissertation results.
7. Consents (statements) of official opponents to participate in the work of the single council, as well as copies of their documents confirming their scientific degree and academic title.
8. Information about the members of the single specialized academic council and their publications.
9. Certificate from the University library on the Applicant's scientific publications highlighting the scientific results of the dissertation.
10. Certificate from the University library on scientific publications (in the scientific field in which the dissertation was prepared) of the members of the single specialized academic council.
11. Certificate of the results of the technical check for academic plagiarism of the dissertation manuscript.
12. Written undertaking by the Applicant regarding compliance with the requirements of the legislation of Ukraine on issues of state secrets and official information.
13. Summary information about the dissertation, scientific publications, and the composition of the single council for entering data into the information system of the National Agency for Higher Education Quality Assurance (NAQA) and the Ukrainian Institute of Scientific and Technical Information (UkrISTI).
14. Dissertation registration card in UkrISTI.
15. Certificate confirming the fact of transferring the printed copy of the dissertation, signed by the Applicant, to the University library.
16. Reviews from reviewers (electronic document saved in PDF format with the reviewer's qualified electronic signature and printed files of the review and the electronic signature protocol).
17. Feedback from official opponents (electronic document saved in PDF format with the opponent's qualified electronic signature and printed files of the feedback and the electronic signature protocol).
18. Appeals from other persons with an evaluation of the dissertation received by the University (if received).
19. Decision of the single council on awarding/denying the award of the Doctor of Philosophy degree in two copies (Appendix 2, Sample 16).
20. Copy of the rector's order on issuing the Doctor of Philosophy diploma.
21. Copies of the Doctor of Philosophy diploma and its supplement.
22. Certificate confirming the fact of transferring a copy of the single council's decision on awarding the Doctor of Philosophy degree, certified by the head of the single council, or an original copy, to the University library.
23. Copy of the certificate of change of name/surname (if necessary).
24. Video recording of the dissertation defense broadcast (with the University's electronic digital signature).
7. Cancellation of the decision of the single council on awarding the Doctor of Philosophy degree in connection with a violation of the dissertation defense procedure
7.1. Prior to issuing the Doctor of Philosophy diploma to the Applicant, the University has the right to cancel the decision of the single council on awarding the Doctor of Philosophy degree in connection with a violation of the dissertation defense procedure established by the Procedure.
Violation of the requirements regarding the composition of the single council cannot be grounds for canceling the decision of the single council if the work of such a council has not been suspended by the Ministry of Education and Science.
7.2. A notification regarding a violation of the dissertation defense procedure established by the Procedure may be submitted to the University by any person who is a subject of scientific and scientific-technical activity within 15 calendar days from the date of the dissertation defense. The notification shall indicate the surname and proper name (for individuals) or the full name (for legal entities) and address of the person, justification, and links to evidence confirming the circumstances set forth therein.
The notification regarding a violation of the dissertation defense procedure is sent:
- in electronic form with the application of an electronic signature based on a qualified electronic signature certificate – to the official email address of the University;
- in paper form signed by the person submitting it (the head of the legal entity) – to the address of the University.
The date of submission of the notification regarding a violation of the dissertation defense procedure is the date of its receipt by the University.
7.3. In order to consider the issue of canceling the decision of the single council on awarding the Doctor of Philosophy degree in connection with a violation of the dissertation defense procedure established by the Procedure, the Academic Council of the University at its nearest meeting shall form a commission consisting of three scientific (scientific-pedagogical) employees of the institution. Members of the single council cannot be included in the composition of such a commission.
The commission considers the notification regarding a violation of the dissertation defense procedure within two weeks from the date of its formation.
The results of the consideration are submitted to a meeting of the commission, which is held openly, with the participation of the person who submitted the notification and/or their representative, the Applicant, and, if necessary, members of the relevant single council. Said persons are informed about the date, time, and place of the meeting five calendar days prior to the date of its holding. The absence of said persons from the meeting does not prevent the consideration of the notification regarding a violation of the dissertation defense procedure.
7.4. Within five working days from the date of the meeting, the commission prepares a conclusion, which is signed by all members of the commission.
The conclusion of the commission sets forth the grounds for its decision and proposes:
- to cancel the decision of the single council on awarding the Doctor of Philosophy degree in connection with a violation of the dissertation defense procedure established by the Procedure;
- to deny the person in satisfying the notification regarding a violation of the dissertation defense procedure.
7.5. The conclusion of the commission is submitted in the established manner to the Academic Council of the University.
The Academic Council of the University at its nearest meeting considers the conclusion of the commission and, based on the results of its consideration, makes a decision to cancel the decision of the single council on awarding the Doctor of Philosophy degree or to keep the decision of the single council in force, concerning which an order of the University is issued.
Within three working days from the date of issuance of the specified order, the decision of the academic council together with the commission's conclusion shall be published on the official website of the institution.
7.6. The actions of the National Agency regarding the cancellation of the decision of the single council on awarding the Doctor of Philosophy degree in connection with a violation of the dissertation defense procedure established by the Procedure are regulated by the Procedure.
8. Cancellation of the decision of the single council on awarding the Doctor of Philosophy degree in connection with the establishment of facts of academic plagiarism, fabrication, falsification
8.1. The University or its legal successor has the right to cancel the decision of the single council on awarding the Doctor of Philosophy degree in connection with the detection in the dissertation and/or scientific publications in which the scientific results of the dissertation are highlighted of facts of academic plagiarism, fabrication, or falsification, regardless of the period that has passed since the single council awarded the Doctor of Philosophy degree.
8.2. The University, within three months from the moment it detects facts of academic plagiarism, fabrication, or falsification in the defended dissertation and/or scientific publications in which the scientific results of the dissertation are highlighted, or from the date of receipt of a notification of the specified facts by the institution, shall consider the issue of canceling the decision of the single council on awarding the Doctor of Philosophy degree.
8.3. A notification regarding the presence of facts of academic plagiarism, fabrication, or falsification in the dissertation and/or scientific publications in which the scientific results of the dissertation are highlighted may be submitted to the institution by any person who is a subject of scientific and scientific-technical activity. The notification shall indicate the surname and proper name (for individuals) or the full name (for legal entities) and address of the person, justification, and links to evidence confirming the circumstances set forth therein.
The notification regarding the presence of facts of academic plagiarism, fabrication, or falsification in the dissertation and/or scientific publications in which the scientific results of the dissertation are highlighted is sent:
- in electronic form with the application of an electronic signature based on a qualified electronic signature certificate – to the official email address of the University;
- in paper form signed by the person submitting it (the head of the legal entity) – to the address of the University.
The date of submission of the notification regarding the presence of facts of academic plagiarism, fabrication, or falsification in the dissertation and/or scientific publications in which the scientific results of the dissertation are highlighted is the date of its receipt by the institution.
8.4. The procedure for establishing facts of violation of academic integrity and cancellation of the decision of the single council is determined by the Academic Council of the University taking into account the requirements of the Law of Ukraine "On Education", special laws, and the Procedure.
8.5. The issue of canceling the decision of the single council on awarding the Doctor of Philosophy degree in connection with the detection of facts of academic plagiarism, fabrication, or falsification in the dissertation and/or scientific publications in which the scientific results of the dissertation are highlighted is submitted to a meeting of the Academic Council of the University. The person who submitted the notification, the person whose decision to award the Doctor of Philosophy degree is being appealed, and, if necessary, members of the relevant single council are informed about the date, time, and place of the academic council meeting five working days prior to the meeting. The Academic Council at its meeting makes a decision to cancel the decision of the single council on awarding the Doctor of Philosophy degree or to keep the decision of the single council in force.
8.6. The actions of the National Agency regarding the cancellation of the decision of the single council on awarding the Doctor of Philosophy degree in connection with the detection of facts of academic plagiarism, fabrication, or falsification in the dissertation and/or scientific publications in which the scientific results of the dissertation are highlighted are regulated by the Procedure.
9. Legal Consequences of Cancellation of the Decision of the Single Council
9.1. In the event of cancellation of the decision of the single council on awarding the Doctor of Philosophy degree after the issuance of the Doctor of Philosophy diploma to the applicant, such a diploma shall be considered invalid from the date of adoption of the relevant decision.
Within three working days from the date of adoption of the decision by the University/National Agency regarding the cancellation of the decision of the single council on awarding the Doctor of Philosophy degree, information about the invalidity of the Doctor of Philosophy diploma shall be entered by them into the Unified State Electronic Database on Education.
In the event that the National Agency detects facts of academic plagiarism, fabrication, or falsification in the dissertation or scientific publications credited for its topic by persons for whom the decision of the council on awarding the Doctor of Philosophy degree has been approved by the decision of the Ministry of Education and Science, a copy of the adopted decision shall be sent within three working days to the Ministry of Education and Science. Based on the decision of the National Agency, the Ministry of Education and Science considers the issue of canceling its decision to approve the council's decision on awarding the Doctor of Philosophy degree and depriving the person of the scientific degree of Doctor of Philosophy.
9.2. In the event of cancellation of the decision of the single council in connection with a violation of the dissertation defense procedure established by the Procedure and this Regulation, the applicant has the right to resubmit the dissertation on the same topic for defense. In the event of cancellation of the decision of the single council in connection with the detection of facts of academic plagiarism, fabrication, or falsification in the dissertation and/or scientific publications in which the scientific results of the dissertation are highlighted, the dissertation shall not be resubmitted for defense.
10. Financial Support for the Procedure of Attestation of the Applicant for the Degree of Doctor of Philosophy
10.1. Expenditures related to the attestation of the applicant, including the payment for the work of official opponents, shall be carried out by the University at the expense of the sources from which the applicant's training is financed. In the event of resubmitting the dissertation for defense and undergoing attestation, expenditures related to the applicant's attestation shall be carried out by the applicant at the expense of their own funds or the funds of individuals or legal entities.
10.2. The University shall credit the head of the single council and reviewers with at least 32 hours for the performance of their functions during a single dissertation defense within the limits of the norms of scientific work time established by the University for scientific and pedagogical staff (within the main workload for scientific staff).
10.3. The University shall pay for the work of official opponents for performing functions related to the applicant's attestation during a single dissertation defense in accordance with the norms of hourly remuneration for persons who have the scientific degree of Doctor of Sciences, Doctor of Philosophy (Candidate of Sciences) and conduct educational classes with postgraduate students, provided for by Resolution of the Cabinet of Ministers of Ukraine No. 1298 dated August 30, 2002 "On remuneration of workers based on the Unified Tariff Scale of grades and coefficients for remuneration of workers of institutions, establishments, and organizations of certain budgetary sectors" (Official Bulletin of Ukraine, 2002, No. 36, Art. 1699), calculated for 32 hours (starting from January 1, 2024). If the institution's estimate does not provide for expenditures related to the applicant's attestation, the provisions of this paragraph shall not apply.
10.4. The applicant and their scientific supervisor(s) are prohibited before, during, and/or after the dissertation defense from providing or offering to provide members of the single council, the head, and other officials of the University with any material and/or non-material benefits, in particular funds or any other property, payment for catering, transportation, or accommodation services for such persons.
10.5. Support for the activities of single councils is carried out by a responsible person appointed by an order of the University rector.
10.5. The person responsible for supporting the activities of single councils at the University is appointed by an order of the rector upon the submission of the head of the Postgraduate and Doctoral Studies Department of the University.
10.6. The person responsible for supporting the activities of single councils:
- provides the Applicant and members of the single council with methodological assistance regarding the documentary support of all stages of preparation and passage of the procedure for dissertation defense and awarding (in case of necessity – cancellation) of the Doctor of Philosophy degree;
- is responsible for the timely placement of notifications established by the Procedure in the information system, for which they have the right to use their own electronic signature of a University official (granted by order of the head of the University);
- organizes the possibility of using real-time video communication tools for broadcasting and video recording of the dissertation defense, taking into account the requirements of legislation on state secrets and official information;
- forms the Applicant's attestation file.
10.7. The Postgraduate and Doctoral Studies Department:
- forms and provides the applicant with a certificate of successful completion of the educational and scientific program;
- forms financial and contractual documentation regarding the payment of expenditures related to the applicant's attestation in the case of studying at the expense of individuals/legal entities;
- forms and reflects in USEDE orders on establishing the date of completion of studies (if necessary), on the completion of studies, and the issuance of a diploma;
- orders and produces the Doctor of Philosophy diploma and its supplement;
- maintains a log of registration and issuance of Doctor of Philosophy diplomas and their supplements.
Responsibility for performance is assigned to the head of the Postgraduate and Doctoral Studies Department.
10.8. The University submits the information provided by the Procedure and this Regulation to the National Agency through the information system in the form of documents in electronic form generated by means of the information system, which are signed with the electronic signature of an authorized official of the institution based on a qualified electronic signature certificate.
11. Final Provisions
11.1. The Regulation on the Procedure for Awarding the Degree of Doctor of Philosophy and Passing the Procedure of Dissertation Defense for the Degree of Doctor of Philosophy at the National Aerospace University "Kharkiv Aviation Institute" is approved by the Academic Council of the University and enacted by order of the rector.
11.2. Amendments and/or additions to this Regulation are made in the manner established for its adoption.
Appendix 1
Stages of the Attestation Process for Applicants for the Degree of Doctor of Philosophy
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| Stage Title | Accompanying Documents |
| 1. | Public presentation of the research results of the dissertation and its discussion at the meeting of the department that implements the relevant educational and scientific program and/or carries out the preparation of the Applicant, provided there is a review by the scientific supervisor(s) and a certificate of completion of the educational and scientific program | 1. Applicant's application for obtaining a conclusion on the scientific novelty, theoretical, and practical significance of the dissertation results 2. Dissertation (printed and electronic copy) 3. Copies of publications based on the research results 4. Certificate of completion of the educational and scientific program 5. Conclusion of the scientific supervisor(s) |
| 2. | Submission in the established manner for consideration by the Academic Council of the University of documents regarding the establishment of a single council | 1. Applicant's application regarding the establishment of a single council 2. Memo of the head of the department where the Applicant is undergoing preparation, with proposals regarding the composition of the single council 3. Dissertation (printed and electronic copy with QES) 4. Copies of publications based on the dissertation research 5. Summary bibliographic data regarding the Applicant's publications 6. Certificate of completion of the educational and scientific program 7. Conclusion of the scientific supervisor(s) 8. Conclusion on the scientific novelty, theoretical, and practical significance of the research results 9. Applicant's written undertaking on compliance with the requirements of the legislation of Ukraine regarding state secrets and official information 10. Consent of opponents to participate in the work of the single council (application and information about themselves and their scientific publications, as well as copies of documents confirming the scientific degree and academic title) 11. Information about the head and reviewers in the composition of the single council 12. Certificate from the University library on scientific publications (in the scientific field in which the dissertation was prepared) of the head, reviewers, and official opponents 13. Certificate from the University library on the Applicant's scientific publications 14. Summary information on the dissertation, scientific publications, and the composition of the single council |
| 3. | Establishment of the single council by a decision of the Academic Council of the University (no later than two months from the date of receipt of the Applicant's application) | 1. Order of the head of the University on enacting the decisions of the Academic Council |
| 4. | Publication on the official website of the University of the dissertation, the conclusion on the scientific novelty, theoretical, and practical significance of the dissertation results, information on the composition of the single council, a link to the defense broadcast, entry of information into the NAQA information system, registration of the dissertation in UkrISTEI, transfer of the printed and electronic copy of the dissertation to the University library (within five working days from the date of the rector's order on the creation of the single council). Obtaining a certificate on the results of checking the dissertation for plagiarism (overlap with Internet sources). | 1. Dissertation registration card in UkrISTEI. 2. Certificate confirming the fact of transferring the printed and electronic copy of the dissertation, signed by the Applicant with QES, to the University library 3. Certificate on the results of checking the dissertation for plagiarism (overlap with Internet sources) 4. Link to the defense broadcast |
| 5. | Verification by the MES of Ukraine of the compliance of the composition of the single council (within 30 days from the date of publication of information about the creation of the single council in the NAQA IS) and submission by reviewers of reviews and by official opponents of feedback to the head of the council (within 45 calendar days from the date of publication of information about the creation of the single council in the NAQA IS) | Reviews and feedback in PDF/A format with a text layer with the application of the reviewer's/opponent's electronic signature based on a qualified electronic signature certificate (using a qualified electronic timestamp) |
| 8. | Placement of reviews and feedback in PDF/A format with a text layer with the application of the electronic signature of the reviewer (official opponent) based on a qualified electronic signature certificate (using a qualified electronic timestamp) on the official website of the University |
|
| 9. | Setting the date, time, and place of the defense (no earlier than two weeks and no later than four weeks from the date of receipt by the single council of the last review (feedback)) and placing information on the date, time, and place of the defense on the official website of the University and in the NAQA IS (within three working days from the date of receipt by the single council of the last review (feedback)) | 1. Notification of the time and place of the defense in the NAQA IS 2. Link to the Zoom conference for holding the defense and the YouTube channel where the defense is broadcast online 3. Notification of the time and place with relevant links on the University website |
| 10. | Public defense of the dissertation |
|
| 11. | Publication of the single council's decision on awarding (refusing to award) the Doctor of Philosophy degree and the video recording of the dissertation defense broadcast on the official website of the University (within three working days from the date of the defense) | Decision of the single council
|
| 12. | Submission of information on the results of the dissertation defense to the NAQA IS (within five working days from the date of the defense) |
|
| 13. | Formation of the Applicant's attestation file | 1. Copy of the rector's order on issuing the Doctor of Philosophy diploma 2. Decision of the single council on awarding/refusing to award the Doctor of Philosophy degree 3. Certificate confirming the fact of transferring a copy of the single council's decision on awarding the Doctor of Philosophy degree, certified by the head of the single council, to the University library 4. Copy of the name change certificate (if necessary) 5. Video recording of the defense with the applied electronic digital signature of the University |
| 14. | Rector's order on issuing the Doctor of Philosophy diploma and its European-style supplement to the Applicant (no earlier than 15 and no later than 30 calendar days from the date of the dissertation defense) and adding a copy of the single council's decision, certified by the signature of the head of the single council, to the copy of the dissertation kept in the University library (within ten working days from the date of issuance of the Doctor of Philosophy diploma) |