Appendix 2 to the order
Rector of the Academy
law enforcement
at the Prosecutor General’s Office
Republic of Kazakhstan
No. 21 dated April 26, 2022
Regulations on the Dissertation Council of the Academy of Law Enforcement Agencies under the Prosecutor General’s Office of the Republic of Kazakhstan
1. General Provisions
1. These Regulations on the Dissertation Council (hereinafter referred to as the Regulations) of the Academy of Law Enforcement Agencies under the Prosecutor General’s Office of the Republic of Kazakhstan (hereinafter referred to as the Academy) were developed in accordance with the laws of the Republic of Kazakhstan “On Science” dated February 18, 2011 No. 407-IV ZRK, “On Education ” dated July 27, 2007 No. 319-III ZRK, orders of the Minister of Education and Science of the Republic of Kazakhstan “On approval of the Standard Regulations on the Dissertation Council” dated March 31, 2011 No. 126 (hereinafter referred to as the Standard Regulations), “On approval of the Rules for the Award of Degrees” dated March 31, 2011 No. 127 (hereinafter referred to as the Rules), “On approval of the Rules for state registration of dissertations defended for the academic degree of Doctor of Philosophy (PhD), doctor in the field” dated May 19, 2011 No. 203.
2. In these Regulations the following concepts are used:
1) abstract – a brief summary of the content of the dissertation;
2) appeal commission – a commission consisting of 2 (two) representatives of the Academy and 3 (three) scientists from other universities, scientific and other organizations who are not scientific consultants, reviewers, members of the Dissertation Council, created to resolve controversial issues based on the results of dissertation defenses ;
3) certification file – a package of documents submitted for the award of the degree of Doctor of Philosophy (PhD), doctor in the profile to the Dissertation Council of the Academy;
4) the dissertation council of the Academy (hereinafter referred to as the Dissertation Council) is a collegial body at the Academy that defends dissertation works of applicants for the degree of Doctor of Philosophy (PhD) in the educational programs “Jurisprudence” and “Law Enforcement” (scientific and pedagogical direction), the degree of Doctor of Law in the educational program “Jurisprudence” (major field), the degree of Doctor of National Security and Military Affairs in the educational program “Law Enforcement” (major field);
5) Doctor of National Security and Military Affairs – a degree awarded to persons who have completed a doctoral program in the educational program “Law Enforcement” (major area) and defended a dissertation in the Republic of Kazakhstan or abroad, recognized in the manner established by the legislation of the Republic of Kazakhstan;
6) doctor by profile – a degree awarded to persons who have completed a doctoral program in the relevant field of professional activity and defended a dissertation in the Republic of Kazakhstan or abroad, recognized in the manner established by the legislation of the Republic of Kazakhstan;
7) Doctor of Law – a degree awarded to persons who have completed the doctoral program in the educational program “Jurisprudence” (major field) and defended a dissertation in the Republic of Kazakhstan or abroad, recognized in the manner established by the legislation of the Republic of Kazakhstan;
8) Doctor of Philosophy (PhD) – a degree awarded to persons who have completed a doctoral program in a scientific and pedagogical direction and defended a dissertation in the Republic of Kazakhstan or abroad, recognized in the manner established by the legislation of the Republic of Kazakhstan;
9) doctoral student – a person studying doctoral studies;
10) doctoral studies – postgraduate education, educational programs of which are aimed at training personnel for scientific, pedagogical and (or) professional activities, with the award of the degree of Doctor of Philosophy (PhD) (doctor in the field) with the mandatory completion of at least 180 academic credits;
11) doctoral dissertation – a doctoral student’s scientific work, which is an independent study, in which theoretical principles have been developed, the totality of which can be qualified as a new scientific achievement, or a scientific problem has been solved, or scientifically based technical, economic or technological solutions have been outlined, the implementation of which makes a significant contribution in the development of the country’s economy;
12) Commission of the Dissertation Council – a commission from among the members of the Dissertation Council to check the dissertation for the use of borrowed material by the doctoral student without reference to the author and source of borrowing (plagiarism);
13) reviewer – appointed by the Dissertation Council from among specialists competent in this field of science who have an academic degree (degree) and at least 5 (five) scientific articles in the field of doctoral research, authorized to provide a written review of the dissertation;
14) applicant – a person who has mastered the doctoral educational program and is submitting a dissertation for defense for the degree of Doctor of Philosophy (PhD), doctor in the field;
15) counting commission – a commission from among the members of the Dissertation Council, whose functions include counting votes and summing up the results of secret voting;
16) transcript – a document containing a list of mastered disciplines and (or) modules, and other types of academic work for the corresponding period of study, indicating credits and grades;
17) The ethical commission of a university is a collegial body created in University, carrying out the examination of a doctoral dissertation to identify violations in the process of planning, assessment, selection, conduct and dissemination of scientific research results, including the protection of the rights, safety and well-being of research objects (wildlife objects and habitats).
2. Organization of the activities of the Dissertation Council
3. The dissertation council is created by the Academy and acts on the basis of the order of the rector of the Academy. Information on the creation of the Dissertation Council is posted on the Academy’s Internet resource within 5 (five) working days from the date of issuance of the rector’s order.
4. The Dissertation Council includes at least 6 (six) people with an academic degree (Doctor of Science, Candidate of Science, Doctor of Philosophy (PhD), Doctor of Science) or an academic degree of Doctor of Philosophy (PhD), Doctor of Science or Doctorate degree Philosophy (PhD), Doctor of Science.
Of these, at least 1/3 (one third) are representatives of other universities, scientific and other organizations, the rest are full-time employees. It is allowed to appoint temporary members of the Dissertation Council for the period of doctoral defense, depending on the topic of doctoral research.
Scientific consultants, as well as persons affiliated with the doctoral student or his scientific consultant, are not appointed as temporary members of the Dissertation Council:
1) close relatives – parents, children, adoptive parents, adopted children, brothers and sisters, grandparents, grandchildren, spouse, in-laws;
2) employees of organizations with which the doctoral student or scientific consultant has an employment or other relationship that involves receiving financial or other resources from them;
3) co-authors of articles and reviews published jointly over the past 3 (three) years.
5. The Dissertation Council does not include:
1) rector of the Academy;
2) employees of the Ministry of Education and Science of the Republic of Kazakhstan;
3) specialists who were scientific consultants, supervisors of dissertations that received a negative decision from the Committee on the content of the dissertation over the past 5 (five) years.
6. Members of the Dissertation Council (at least half) must have publications in the relevant field of research in international peer-reviewed scientific journals included in the 1st (first), 2nd (second) and 3rd (third) quartile according to the Web of Science information base (Web of Science) or Scopus (Scopus); and (or) international patents; and (or) at least 10 (ten) publications in publications from the List of scientific publications recommended for publication of the main results of scientific activity (hereinafter referred to as the List of Publications), approved by the Committee for Quality Assurance in the Sphere of Education and Science of the Ministry of Education and Science of the Republic of Kazakhstan (hereinafter referred to as – Committee).
7. The permanent composition and changes in it, as well as the chairman, deputy chairman and scientific secretary of the Dissertation Council are approved by order of the rector based on the decision of the Academic Council of the Academy. The permanent composition of the Dissertation Council is approved for 3 (three) years.
8. The Academy provides:
1) necessary conditions for holding meetings of the Dissertation Council and public defense of dissertations, including through the use of information and communication technologies, software and hardware;
2) checking dissertations in licensed systems for detecting borrowings, including international databases or the presence of a Dissertation Council Commission (dissertations containing state secrets or information for official use);
3) reimbursement of expenses related to the activities of the Dissertation Council, including travel expenses of members of the Dissertation Council.
3. Functions of the Dissertation Council
9. Functions of the Dissertation Council:
1) acceptance of documents for the dissertation defense and checking them for compliance with the requirements of these Regulations and Rules;
2) appointment of temporary members of the Dissertation Council, dates of defense and official reviewers for the dissertation work;
3) creation of the Dissertation Council Commission;
4) conducting a public defense of a doctoral dissertation;
5) making a decision on the dissertation.
10. Functions of the chairman:
1) management of the activities of the Dissertation Council;
2) holding meetings of the Dissertation Council;
3) quality control of dissertations accepted for defense;
4) control of draft conclusions of the Dissertation Council;
5) summing up the results of the Dissertation Council meetings;
6) signing a diploma awarding the degree of Doctor of Philosophy (PhD), doctor in the field;
7) interaction with the leadership of the Academy, representatives of government bodies, universities, scientific and other organizations.
11. The Deputy serves as the chairman for holding a meeting of the Dissertation Council in cases where the chairman is a scientific consultant on the thesis being defended, as well as in the absence of the chairman.
12. Functions of the scientific secretary:
1) checking the compliance of the documents submitted by the applicant with the established requirements, informing the chairman about the results of the check;
2) registration of documents from applicants accepted for defense;
3) preparation of information on the acceptance of applicants’ dissertations for defense at a meeting of the Dissertation Council;
4) preparation of the agenda for the meeting of the Dissertation Council and its approval by the chairman;
5) ensuring a quorum of members of the Dissertation Council;
6) preparation of secret voting on defended works at meetings of the Dissertation Council;
7) preparation of draft conclusions of the Dissertation Council on defended dissertation works;
8) control over the defense procedure;
9) formation of the applicant’s certification file after defending his dissertation;
10) signing a diploma awarding the degree of Doctor of Philosophy (PhD), doctor in the field;
11) preparation of a quarterly and annual report on decisions made by the Dissertation Council on awarding (refusal to award) the degree of Doctor of Philosophy (PhD);
12) posting information about the activities of the council on the Academy’s Internet resource (except for materials and dissertations containing state secrets), including quarterly (Appendix 1 to these Regulations) and annual reports (Appendix 2 to these Regulations);
13) ensuring the paperwork of the Dissertation Council.
13. Members of the Dissertation Council:
1) provide objective, complete and reliable information about themselves, their scientific activities, and the dissertation works under consideration;
2) actively participate in the work of the Dissertation Council and attend its meetings;
3) when making decisions, are free from the influence of public opinion, one of the parties or third parties;
4) do not allow concealment of data that has become known to them related to the defense of the dissertation, which may affect the results of the defense, as well as facts of violation of scientific ethics, and report this to the chairman and the scientific secretary;
5) if a conflict of interest is detected, the chairman and the scientific secretary are notified to take measures to prevent and resolve it;
6) in the course of the activities of the Dissertation Council, do not use rude, offensive expressions, accusations that are detrimental to the honor and dignity of other members of the Dissertation Council, applicants, scientific consultants and official reviewers.
If facts of non-compliance with the requirements specified in this paragraph are revealed, a member of the Dissertation Council is excluded from its composition by a decision of the Academic Council of the Academy upon the proposal of the chairman.
14. The dissertation council defends the dissertation presented by the doctoral student in the form of a dissertation or a series of articles published by the doctoral student in accordance with the requirements of paragraph 5-1 of the Rules.
15. At the end of the calendar year, the Dissertation Council submits to the Committee a report on the work of the Dissertation Council in the form in accordance with Appendix 2 to these Regulations.
16. If the Dissertation Council violates the requirements established in these Regulations more than 3 (three) times, the chairman, deputy and scientific secretary are replaced.
4. The procedure for submitting doctoral dissertations to the Dissertation Council
17. Before accepting documents for defense, the university where the doctoral student studied provides a preliminary discussion of the applicant’s dissertation at an extended meeting of the department or scientific (academic) council (hereinafter referred to as the extended meeting). It is not permitted to require the doctoral student to undergo other forms of discussion of the dissertation after the extended meeting.
18. After receiving a positive conclusion from an extended meeting of the department, the applicant submits an application to the rector of the Academy to select the Dissertation Council in which he will defend himself (Appendix 3 to these Regulations). If the applicant indicates the Dissertation Council of another university, then the Academy, within 10 (ten) working days from the date of submission of the applicant’s application, sends the following documents of the applicant to the address of this university:
1) reviews of domestic and foreign scientific consultants (for the specialty “Law Enforcement” it is sufficient to have reviews of domestic consultants);
2) positive conclusion of the extended meeting of the department;
3) dissertation work in hardcover and on electronic media (if the dissertation is defended in the form of a dissertation work);
4) a list of scientific works and their copies in accordance with Appendix 4 to these Regulations;
5) the conclusion of the Academy’s Ethical Commission in accordance with Appendix 5 to these Regulations.
The dissertation work is presented in Kazakh or Russian or English.
Doctoral students of the Academy defend their dissertations in dissertation councils of other universities in the absence of a Dissertation Council for the relevant specialty (direction of personnel training) at the Academy.
19. The basis for preliminary consideration and further defense in the Dissertation Council is the submission by the applicant to the Dissertation Council of documents in accordance with Appendix 6 to these Regulations.
The registration of documents is carried out by the scientific secretary and submits them to the Dissertation Council within no more than 2 (two) working days.
20. The dissertation council appoints three independent experts in the relevant field of research from among its members to review the dissertation, reviews of scientific advisers and prepare an expert opinion.
Experts prepare an expert opinion (Appendix 7 to these Regulations) and send it to the Dissertation Council within no more than 20 (twenty) working days from the date of appointment.
The expert opinion must contain:
1) correspondence of the topic and dissertation to the specialty in which the applicant studied;
2) relevance of the research topic;
3) scientific results and their validity;
4) practical and theoretical significance of scientific results;
5) compliance of the dissertation with the requirements of paragraphs 5, 6, 7 of the Rules;
6) comments and suggestions;
7) a proposal to appoint official reviewers for the dissertation under consideration, taking into account the principle of independence of reviewers and scientific consultants from each other;
8) a recommendation to the Dissertation Council to accept the dissertation for defense or to refuse acceptance;
Based on the conclusion of the experts of the Dissertation Council, the Dissertation Council at its meeting makes a decision on acceptance or refusal to accept the dissertation.
21. At the meeting of the Dissertation Council on accepting the dissertation for defense, the permanent composition of the council appoints temporary members of the Dissertation Council in accordance with the requirements of paragraph 4 of these Regulations.
22. No later than 10 (ten) working days from the date of receipt of documents, the Dissertation Council determines the date of defense of the dissertation and appoints 2 (two) official reviewers with an academic degree (Doctor of Science, Candidate of Science, Doctor of Philosophy (PhD), Doctor of Science) or academic degree of Doctor of Philosophy (PhD), doctor in the field or degree of Doctor of Philosophy (PhD), doctor in the field and at least 5 (five) scientific articles in the field of research of the applicant.
The defense date does not exceed 3 (three) months from the date of assignment of the defense date. When setting a defense date, the order in which applicants’ documents are received is observed. If there are several applicants, priority is given to Academy applicants.
23. When appointing official reviewers, the Dissertation Council is guided by the principle of independence of reviewers and scientific consultants from each other.
The following are not appointed as official reviewers:
1) employees of the Committee;
2) co-authors of the applicant on works published on the topic of the dissertation;
3) managers and employees of structural divisions of the university and (or) scientific organization where the dissertation was carried out and (or) research work is being conducted, for which the applicant is the customer or contractor (co-executor);
4) specialists who were scientific consultants or official reviewers who provided a positive opinion on dissertations that received a negative decision from the Dissertation Content Committee over the past 3 (three) years.
24. The dissertation council posts on the Academy’s Internet resource the following materials about applicants’ defenses and the activities of the council (except for materials and dissertations containing state secrets or information for official use):
1) notice of the upcoming defense indicating information about the doctoral student, temporary members of the Dissertation Council and official reviewers, the dissertation submission form, address, date and time (1 (one) month before the set date of defense, available on an ongoing basis);
2) the dissertation (1 (one) month before the established date of defense), as well as all its revised versions based on the comments of the Dissertation Council with appropriate notes on the title page (available on an ongoing basis);
4) an abstract in Kazakh, Russian, English languages with a total volume of no more than 15 pages (1 (one) month before the established defense date). The abstract describes the topic, purpose of the dissertation research, research objectives, research methods, main provisions (proven scientific hypotheses and other conclusions that are new knowledge) submitted for defense, a description of the main results of the research, justification of the novelty and importance of the results obtained, compliance with the directions of scientific development or government programs, a description of the doctoral student’s contribution to the preparation of each publication;
4) a list of the applicant’s publications (1 (one) month before the established defense date);
5) reviews of scientific consultants (1 (one) month before the set date of defense), which are available for at least 5 (five) months after the defense;
6) reviews of official reviewers (5 (five) working days before the set defense date);
7) video recording of the defense in full, editing is not allowed (posted within 5 (five) working days after the defense and available for at least 5 (five) months after the defense);
8) the conclusion of the Dissertation Council on the direction of the dissertation work for revision, re-defense or on the refusal to award the degree of Doctor of Philosophy (PhD), doctor in the profile (Appendix 7 to these Regulations) (posted within 5 (five) working days after defense and available for at least 5 (five) months after protection);
9) decision of the appeal commission (if available, posted within 5 (five) working days after the decision is made and available for at least 5 (five) months after the decision is made);
10) a report on the work of the Dissertation Council in accordance with Appendix 2 to these Regulations (posted within 15 (fifteen) working days after the end of the calendar year);
11) a quarterly report on decisions made by the Dissertation Council on the award (refusal to award) degrees of Doctor of Philosophy (PhD), doctor in the field in accordance with Appendix 1 to these Regulations. The quarterly report is posted within 5 (five) working days after the end of the quarter and is available during the period of activity of the Dissertation Council;
12) information on the organization of the issuance of a diploma awarding the degree of Doctor of Philosophy (PhD), doctor in the field;
13) announcements about changes in the date, time, location of the defense and about the replacement of official reviewers (if any);
14) information about the composition of the Dissertation Council and the procedure for the activities of the Dissertation Council;
15) information on the availability of a licensed system for detecting borrowings, including on international databases, indicating validity periods;
16) conclusion of the Ethics Commission of the university where the doctoral student studied, on the absence of violations in the process of planning, evaluation, selection, conduct and dissemination of scientific research results, including the protection of the rights, safety and well-being of research objects (wildlife objects and habitats);
17) information on organizing a meeting of the Dissertation Council online (online) in the form of a video conference.
25. When posting a dissertation on the Academy’s Internet resource, copyright protection is ensured, technologies are used to protect against illegal copying and further use of dissertation materials. After posting the dissertation on the Academy’s Internet resource and/or accepting the dissertation (in the case of defending dissertations containing state secrets or information for official use), changes in the text of the dissertation are not allowed. In case of finalization of the dissertation work, its final version is posted on the Academy’s Internet resource after the decision is made to award the degree of Doctor of Philosophy (PhD) or Doctor of Science in the field with the mark “Final version of the dissertation work.”
The Academy’s Internet resource provides the opportunity to post unofficial reviews on the content of the dissertation with their subsequent presentation at the defense. Unofficial reviews for which it is impossible to establish authorship and where the author’s email address is missing will not be submitted for defense.
26. Notification of the upcoming defense is sent by the scientific secretary to the Committee within 5 (five) working days from the date of acceptance for defense.
27. Within 10 (ten) working days after acceptance for defense, by decision of the Dissertation Council, the academic secretary sends the dissertation with a covering letter signed by the supervising vice-rector to check for the applicant’s use of plagiarism using domestic and international databases to the Joint Stock Company “National Center for State Scientific Research” technical expertise” (hereinafter referred to as NCSSTE). The title page and list of used sources are not checked for plagiarism.
NCSSTE ensures that the text of the dissertation is posted in the public domain on its Internet resource within 10 (ten) working days from the date of receipt. The dissertation is available on an ongoing basis.
Checking of dissertations containing state secrets or information for official use, for the applicant’s use of borrowed material without reference to the author and source of borrowing, is carried out at the National Center for State Technology and Technology or by commission in military, special educational institutions and (or) scientific organizations subordinate to the national security authorities of the Republic of Kazakhstan, the Ministry of Internal Affairs Affairs of the Republic of Kazakhstan, the prosecutor’s office of the Republic of Kazakhstan and the Ministry of Defense of the Republic of Kazakhstan.
28. If there are facts of plagiarism indicated in the NCSSTE certificate, in the reviews of official reviewers and unofficial reviews on the Academy’s Internet resource, by decision of the Dissertation Council, a Dissertation Council Commission is created from 3 (three) members of the Dissertation Council who are specialists in the field of scientific research of the applicant.
The Dissertation Council Commission checks the dissertation for plagiarism.
The conclusion on the results of the plagiarism check is presented to the Dissertation Council no later than 8 (eight) working days before the defense of the dissertation.
29. The dissertation council, based on the conclusion of the Dissertation Council Commission (no later than 7 (seven) working days before the defense), makes a decision on the admission of the applicant to defense or withdraws the dissertation from defense if violations of the requirements of paragraphs 5, 6, 7 of the Rules are established. The Dissertation Council informs the applicant about the decision made within 2 (two) working days. The relevant information is posted on the Academy’s Internet resource (except for cases of defense of dissertations containing state secrets and information for official use).
The applicant has the opportunity to withdraw his dissertation from defense upon a written application submitted before the start of the secret ballot. An application to withdraw the dissertation from defense is sent to the chairman.
30. Official reviewers, based on the study of the dissertation and published works, submit written reviews to the Dissertation Council, which evaluate compliance with the directions of development of science and (or) government programs, relevance, compliance with the principles of novelty, independence, reliability, internal unity, practical value, academic integrity , and also provides an opinion on the possibility or impossibility of awarding the degree of Doctor of Philosophy (PhD) in the specialties “Jurisprudence” and “Law Enforcement” (scientific and pedagogical direction), the degree of Doctor of Law in the specialty “Jurisprudence” (profile direction), the degree of Doctor of National Security and military affairs with a specialty in “Law Enforcement” (profile direction) (Appendix 8 to these Regulations).
In the case of defending a dissertation in the form of a series of articles, official reviewers comment on the scientific level of the doctoral student’s articles on the research topic. If 2/3 (two thirds) or more of the content of the article is not related to the topic of the doctoral student’s research, the official reviewer does not take it into account.
In reviews, official reviewers indicate one of the following solutions:
1) award the degree of Doctor of Philosophy (PhD) or doctor in the field;
2) send the dissertation for revision (except for cases of defending a dissertation in the form of a series of articles);
3) refuse to award the degree of Doctor of Philosophy (PhD) or doctor in the field.
Copies of reviews from official reviewers are given to the doctoral student no later than 5 (five) working days before the defense of the dissertation.
The applicant provides feedback to the academic secretary.
Replacement of official reviewers is carried out by decision of the Dissertation Council also in case of written refusal or impossibility of reviewing. If the decision to replace the official reviewer is made in less than 5 (five) working days, the defense date is postponed.
5. The procedure for defending a doctoral dissertation and making a decision on it
31. The procedure for the meeting of the Dissertation Council for the defense of the dissertation includes the following:
1) the opening speech of the chairman about the quorum, the competence of holding the meeting, the introduction of the applicant(s), the topic of dissertations, the doctoral educational program;
2) speech by the scientific secretary to announce the compliance of the applicant’s documents with regulatory requirements, indicating the completeness and compliance of scientific publications;
3) speech of the applicant;
4) questions to the applicant, the applicant’s answers;
5) presentations by scientific consultants;
6) speeches of reviewers;
7) the applicant’s responses to the comments and recommendations of the reviewers;
8) speech by the scientific secretary to announce unofficial reviews on the content of the dissertation received by the Dissertation Council;
9) the applicant’s responses to comments and recommendations contained in informal reviews;
10) discussion of the members of the Dissertation Council and everyone from among those present at the meeting of the Dissertation Council;
11) the final word of the applicant;
12) election of a counting commission of 3 (three) people from the Dissertation Council, with the exception of the chairman;
13) holding a secret vote on the issue of awarding an academic degree;
14) speech by the chairman of the counting commission on the results of the secret ballot, approval of the protocol of the counting commission;
15) announcement of the results of the public defense;
16) adoption of a decision by the Dissertation Council on the dissertation based on the defense.
32. A meeting of the Dissertation Council is considered competent if at least 2/3 (two thirds) of its members take part in its work, with the obligatory participation in the meeting of at least 3 (three) specialists in each specialty (area of training) from among the members of the Dissertation Committee advice. The supporting document is the attendance sheet of the members of the Dissertation Council (Appendix 9 to these Regulations).
Participation in the meeting of official reviewers and temporary members of the Dissertation Council is mandatory.
Members of the Dissertation Council and official reviewers are allowed to take part in the defense in the form of a video conference. In the absence (for good reason) of one of the official reviewers, his review is read out by the scientific secretary.
Participation in the meeting by invited specialists from the practical field is allowed (if the dissertation is of an applied nature),
33. The public defense of the dissertation is carried out via live online broadcast on the Internet. In the case of defending dissertations containing state secrets or information for official use, the participation of members of the Dissertation Council and official reviewers in the form of a video conference, as well as broadcast on the Internet, is not allowed.
The Dissertation Council informs the doctoral student, members of the Dissertation Council, official reviewers about the holding of a meeting of the Dissertation Council in the form of a video conference at least 5 (five) working days before the defense of the dissertation via email and an announcement on the council’s website.
When holding a meeting of the Dissertation Council in the form of a videoconference, the following is provided:
visual identification of meeting participants;
continuous video and audio broadcast of speeches of meeting participants on the Internet;
video and audio recording of the meeting;
secret voting of members of the Dissertation Council.
34. The Chairman, Deputy and Scientific Secretary cannot perform their duties at a meeting of the Dissertation Council in the case when the dissertation of an applicant for whom they are scientific consultants is being considered. The duties of the chairman are assigned to the deputy chairman, the duties of the deputy and scientific secretary are assigned to the members by decision of the Dissertation Council.
In cases of simultaneous absence of the chairman, deputy and scientific secretary, a meeting of the Dissertation Council is not held.
The dissertation council provides video recording of the dissertation defense in full; editing is not allowed.
35. The dissertation council conducts a secret vote to make one of the following decisions:
1) award the degree of Doctor of Philosophy (PhD) (doctor in the field);
2) send the dissertation for revision (only if the dissertation is defended in the form of a dissertation work);
3) send the dissertation for re-defense;
4) refuse to award the degree of Doctor of Philosophy (PhD) (doctor in the field).
The dissertation work is sent for revision if it contains insignificant comments on the text, the correction of which does not change the essence of the work. If the dissertation does not comply with paragraphs 4 and (or) 6 of the Rules and (or) partially complies with the principles (except for the principle of academic integrity) specified in paragraph 5 of the Rules, then it is sent for re-defense. In case of violation of the principle of academic integrity or non-compliance with the principles of scientific novelty, internal unity, reliability, a decision is made to refuse to award the degree of Doctor of Philosophy (PhD) or doctor in the field.
36. Members of the Dissertation Council who are scientific consultants, immediate supervisors or are closely related to the applicant do not participate in voting.
37. Before the start of secret voting, a counting commission is formed to count votes. Members of the counting commission are elected by open voting by a simple majority of the members of the Dissertation Council participating in the meeting
38. Members of the Dissertation Council present at the meeting, with the exception of the persons specified in paragraph 36 of these Regulations, as well as official reviewers, whose votes are equivalent to the votes of the members of the Dissertation Council, take part in the secret ballot.
The counting commission issues prepared ballots to voting members of the Dissertation Council and official reviewers (Appendix 10 to these Regulations).
39. The voter crosses out unnecessary items from the “Voting Results” column and places the ballot in a sealed ballot box. Then everyone except the members of the counting commission leaves the room.
40. Members of the counting commission open the ballot box, count the ballots and draw up a protocol based on the voting results (Appendix 11 to these Regulations).
Undistributed ballots remain with the counting commission with the appropriate mark made before the start of the secret ballot, which is noted in the protocol. Ballots that do not reveal the opinion of the member of the Dissertation Council or the official reviewer who took part in the voting are considered invalid, which is also noted in the protocol of the counting commission.
After drawing up a protocol on the voting results, the counting commission attaches all ballots to its protocol.
41. The Dissertation Council, by open vote and a simple majority of the members of the Dissertation Council who participated in the secret ballot, approves the protocol of the counting commission.
42. The decision of the Dissertation Council is considered to be adopted positively if 3/4 (three quarters) or more of the people participating in the vote voted for it.
The decision of the council to refuse to award the degree of Doctor of Philosophy (PhD) or doctor in the field, to send the dissertation for revision or for re-defense is considered adopted if 2/3 (two thirds) or more of the people participating in the vote voted for it. If the specified number of votes is not obtained, then a second secret ballot is held, at which a decision is made to send the dissertation for revision or re-defense if the majority of people participating in the vote vote for it.
43. The decision to award a Doctor of Philosophy (PhD) or a doctor in the field or to send for re-defense, or to refuse to award a degree is formalized in the form of a conclusion, which reflects which requirements of these Regulations and the Rules the dissertation does or does not meet. The conclusion is signed by the chairman and the scientific secretary (Appendix 12 to these Regulations).
44. Information on the award or refusal to award the degree of Doctor of Philosophy (PhD) (doctor in the field) is posted on the Academy’s Internet resource within 3 (five) working days from the date of the decision of the Dissertation Council.
45. The Academy, based on the decision of the Dissertation Council, issues an appropriate order to award (refuse to award) the applicant the degree of Doctor of Philosophy (PhD), (doctor in the field) within 10 (ten) working days from the date of the decision.
6. The procedure for finalizing and re-defending a doctoral dissertation
46. When making a decision to send for revision, the Dissertation Council adopts a conclusion containing specific comments on the dissertation work.
The revised dissertation work is submitted to the Dissertation Council within three months, which can be extended by no more than 3 (three) months. The decision to extend the revision period is made by the Dissertation Council based on the doctoral student’s application. If the revised dissertation is not submitted within the established time frame, the applicant must undergo a second defense.
In case of complete or partial disagreement of the applicant with the comments of the Dissertation Council, he submits reasoned responses to these comments.
47. Repeated defense of the dissertation work is carried out no earlier than 6 (six) months after the previous defense in the manner established by these Regulations. The composition of temporary members of the Dissertation Council and official reviewers remains unchanged. The dissertation is sent for re-defense no more than 2 (two) times.
48. When submitting a dissertation for re-defense, the Dissertation Council appoints 3 (three) members of the Dissertation Council, who draw up a conclusion on the elimination of the violations identified earlier in the dissertation.
The conclusion is posted on the Academy’s Internet resource no less than 10 (ten) working days before the defense and is read at the thesis defense. The meeting is held in the manner established in paragraph 32 of these Regulations. In this case, a video recording of the meeting is carried out without an online broadcast on the Internet.
49. The revised dissertation work is sent to the National Center for State Science and Technology to check for plagiarism. After receiving the certificate from the NCSSTE, the Dissertation Council, together with official reviewers, holds a meeting to discuss the revised dissertation work and responses to comments (if any) with a view to eliminating the comments of the Dissertation Council. The meeting is held in the manner established in paragraph 32 of these Regulations. In this case, a video recording of the meeting is carried out without an online broadcast on the Internet.
After discussion, a decision is made by a simple majority of votes by secret ballot to award the degree or send for re-defense.
50. The dissertation, for which the Dissertation Council decided to refuse to award the degree of Doctor of Philosophy (PhD), doctor in the field, is submitted for re-defense, but not earlier than a year after the previous defense at the university, in the manner established by Chapters 4 and 5 of these Regulations.
7. Appeal procedure
51. In response to a negative decision of the Dissertation Council in awarding the degree of Doctor of Philosophy (PhD), doctor in the field, within 2 (two) months from the date of the decision, the applicant may file an appeal to the rector in any form. After the expiration of the specified period, the appeal will not be accepted for consideration.
52. For the pre-trial settlement of disputes regarding the award of degrees of Doctor of Philosophy (PhD), Doctor of Science, by order of the Rector of the Academy, within 1 (one) month from the date of filing the appeal, an appeal commission (hereinafter referred to as the Commission) is created consisting of 2 (two) representatives of the Academy and 3 (three) scientists from other universities, scientific and other organizations who are not scientific consultants, reviewers, or members of the Dissertation Council.
Members of the Commission must have an academic degree (Doctor of Science, Candidate of Sciences, Doctor of Philosophy (PhD), Doctor in the field) or an academic degree of Doctor of Philosophy (PhD), Doctor in the field or Doctor of Philosophy (PhD), Doctor in the field and be specialists in relevant educational doctoral program.
53. Commission:
1) elects the chairman of the Commission;
2) considers appeals against the decisions of the Dissertation Council on the refusal to award the degree of Doctor of Philosophy (PhD), doctor in the field, as well as on facts of violations committed by the Dissertation Council in the procedure for defending a doctoral dissertation, other violations of these Regulations and Rules;
3) requests and receives from the parties information necessary to perform the tasks assigned to it;
4) considers the materials of the applicant’s certification case and prepares a conclusion on the results of the appeal within 30 (thirty) calendar days from the date of its creation.
54. Chairman of the Commission:
1) manages its activities;
2) determines the place and time of meetings of the Commission;
3) convenes meetings of the Commission and presides over them.
55. The conclusion of the Commission is adopted by the members of the commission on the basis of an open vote by a majority of votes and signed by all members of the commission.
56. Based on the results of consideration of the appeal, the Commission makes one of the following decisions:
1) satisfy the appeal;
2) refuse to satisfy the appeal.
57. The Commission is guided in its activities by these Regulations and Rules.
58. The decision of the Commission within 5 (five) working days from the date of its adoption is communicated to the applicant and posted on the Academy’s Internet resource.
59. Copies of the Commission’s protocols and the conclusion are sent to the Dissertation Council within 15 (fifteen) working days from the date of their signing to make a final decision.
Information about this decision is posted on the Academy’s Internet resource within 5 (five) working days from the date of the decision of the Dissertation Council.
60. In case of disagreement with the final decision of the Dissertation Council, the applicant has the right to resolve the dispute in court.
61. Disputes not resolved by these Regulations, including issues of refusal to award the degree of Doctor of Philosophy (PhD), doctor in the field, restoration of the deadline for filing an appeal, are resolved in the manner established by the legislation of the Republic of Kazakhstan.
8. Form and procedure for issuing a diploma awarding the degree of Doctor of Philosophy (PhD), doctor in the field
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63. The diploma of Doctor of Philosophy (PhD), doctor in the profile consists of:
1) hard cover size 310 x 110 mm;
2) liner measuring 310 x 110 mm.
The cover of the document is made of burgundy-colored material. The cover contains the following in golden color:
1) on top there is an embossed inscription in the state language: “Academy of Law Enforcement Agencies under the General Prosecutor’s Office of the Republic of Kazakhstan”;
2) in the center – an image of the Academy logo;
3) under the image of the Academy logo – the embossed name “Doctor of Philosophy (PhD) Diploma”, or “Doctor of Law Diploma”, or “Doctor of National Security and Military Affairs Diploma” in the state language.
Insert forms and appendices to documents are printed in a typographical manner (without taking into account data, filled out manually or using printing devices).
Forms of inserts and applications are printed on special paper with degrees of protection (with watermarks) of pale pink color.
On the front side of the insert there are:
1) at the top – the words “Republic of Kazakhstan” in the state language;
2) in the center – an image of the State Emblem of the Republic of Kazakhstan;
3) under the image of the State Emblem of the Republic of Kazakhstan – the name “Doctor of Philosophy (PhD) Diploma”, or “Doctor of Law Diploma”, or “Doctor of National Security and Military Affairs Diploma” in the state language.
On both inner sides of the document insert, an image of the State Emblem of the Republic of Kazakhstan is printed in the center.
On the left inner side of the inserts of Doctor of Philosophy (PhD) diplomas, either “Diploma of Doctor of Law” or “Diploma of Doctor of National Security and Military Affairs”, the content in the state language is indicated, and on the right side – identical content in Russian and English.
The content may include information about scientific consultants and official reviewers, the date, and the number of the minutes of the Dissertation Council meeting.
The inserts have a series and seven-digit numbers.
The forms of the inserts are drawn up in such a way that the entries made in them can be made in calligraphic handwriting or using printing devices.
64. In accordance with paragraph 45 of these Regulations, the Academy issues an appropriate order to award the applicant the degree of Doctor of Philosophy (PhD) or Doctor of Science and issues a diploma of its own sample within 5 (five) working days from the date of issuance of the order.
9. The procedure for submitting a doctoral dissertation for state registration and to libraries
65. A copy of the dissertation, on which the Dissertation Council decided to award a degree, on paper and (or) electronic media is transferred to the Academy library.
66. Within 7 (seven) working days after defense, copies of the dissertation on electronic media are transferred by the scientific secretary to the National Academic Library of the Republic of Kazakhstan and the National Library of the Republic of Kazakhstan (except for dissertations containing state secrets and information for official use).
67. The scientific secretary, within 7 (seven) calendar days after defending a dissertation for the degree of Doctor of Philosophy (PhD), doctor in the field, sends the following documents to the National Center for State Science and Technology for state registration:
1) a covering letter on Academy letterhead, signed by the chairman, or the rector or supervising vice-rector;
2) 2 (two) copies of the dissertation record card in the state and Russian languages in the form in accordance with Appendix 14 to these Regulations;
3) 1 (one) copy of the dissertation in loose form on paper and electronic media.
NCSTE, having received the above-mentioned documents, assigns a state registration number to dissertations for the degree of Doctor of Philosophy (PhD), doctor in the field and within seven calendar days sends a notice confirming state registration to the Dissertation Council.
Documents submitted to NCSSTE cannot be returned.
10. Formation of the applicant’s certification file
68. The scientific secretary creates an attestation file for the applicant, which contains the documents listed in Appendix 6 to these Regulations.
69. Documents on the Academy’s Dissertation Council are kept by the academic secretary for 2 (two) calendar years, then, according to the established procedure, are transferred to the Academy’s archives.
11. Final provisions
70. If necessary, changes and additions to these Regulations and other documents on the activities of the Dissertation Council are introduced at a meeting of the Dissertation Council of the Academy at the proposal of at least 2/3 of the members of the Dissertation Council and approved by order of the Rector of the Academy.
71. Overall responsibility for the work of the Dissertation Council rests with the chairman.
72. Documents sent on behalf of the Dissertation Council of the Academy to other structural divisions of the Academy, government bodies, and other organizations on issues within the competence of the Dissertation Council are signed by the chairman, and in his absence – by the scientific secretary.
73. General office work of the Academy’s Dissertation Council is carried out by the scientific secretary in accordance with the Rules for documenting and managing documentation in the bodies, departments and institutions of the prosecutor’s office and organizational and administrative acts to ensure secrecy.
