Approved by
the order of the Rector of the Academy
of Law Enforcement Agencies
under the General Prosecutor’s Office of
the Republic of Kazakhstan
April 30, 2016. No 77/1

REGULATION
on the Dissertation Council of the Academy of Law Enforcement Agencies under the General Prosecutor’s Office of the Republic of Kazakhstan

I. General regulations

1. Regulation on the Dissertation Council (hereinafter – Regulation) of the Academy of Law Enforcement Agencies under the General Prosecutor’s Office (hereinafter – the Academy) is developed in accordance with paragraph 13 of Article 4 of the Law of the Republic of Kazakhstan “On Science” from February 18, 2011 No. 407, the order of the Ministry of Education and Science of the Republic of Kazakhstan “On approval of the Model Regulations on the Dissertation Council” from March 31, 2011 No. 126 (hereinafter – the Model Regulations), “On approval of the Rules for awarding academic degrees” from March 31, 2011 No. 127 (hereinafter – the Rules for awarding academic degrees).

II. The order of formation of the Dissertation Council

2. The Dissertation Council of the Academy is a collegial body which carries out the defence of dissertation works of doctoral candidates and petitions the Committee on Education and Science (hereinafter – the Committee) on awarding the degree of Doctor of Philosophy (Ph.D.) (hereinafter – the Dissertation Council).

3. The Academy has opened the Dissertation Council for the defence of doctoral dissertations for the award of Ph.D. in specialities 6D090100 “Jurisprudence”, 6D030300 “Law Enforcement” for a period of 3 (three) calendar years.

4. The Dissertation Council consists of the chairman, deputy chairman, academic secretary and council members. The Dissertation Council includes at least 5 (five) people.

The composition of the Dissertation Council for each specialty includes at least 3 (three) specialists with an academic degree (Candidate of Science, Doctor of Science) or PhD degree and at least 5 (five) scientific articles in the relevant field of research.

At the same time not less than 1/3 (one third) of the members of the Dissertation Council are representatives of other universities, scientific and other organizations and the rest are full-time employees.

The Rector of the Academy, employees and members of the Expert Council of the Committee are not included in the composition of the Dissertation Council.

5. The composition of the Dissertation Council on specialties 6D090100 “Jurisprudence”, 6D030300 “Law Enforcement activity” is approved by the protocol decision of the Academic Council of the Academy. The travel expenses of non-resident members of the Dissertation Council are refunded at the expense of the Academy.

The change of the composition of the Dissertation Council is approved by a protocol decision of the Academic Council of the Academy.

6. The Dissertation Council publishes the following information about the doctoral defence and council activities on the Academy’s internet recourse:

1) notification on the forthcoming defence with the indication of the address, date and time (1 (one) month before the date of defence);

2) dissertation (1 (one) month before the date of defence and within 5 (five) months after the defence of the dissertation);

3) an abstract in state, Russian and English languages with a total volume of at least 1 (one) printed sheet (1 (one) month before the date of defence);

4) the list of publications of the doctoral candidate (1 (one) month before the date of defence);

5) feedback from scientific advisers (1 (one) month before the date of defence), which are available within 5 (five) months after the defence;

6) feed from official reviewers (10 (ten) working days before the date of defence);

7) video recording of the defence (within 5 (five) months after the defence);

8) reports of the Dissertation Councils (after the end of the calendar year);

9) announcement about the change of date, time, address and the replacement of reviewers (if any);

Copyright protection is provided when publishing the dissertation on the Academy’s internet resources, the technologies of protection against illegal copyright and further use of dissertation are applied. Changes in the text of dissertation are not allowed after posting dissertation on the Internet resources of the Academy.

The internet resources of the Academy provide an opportunity to post unofficial reviews on the content of the dissertation with further presentation on a defence.

Notification about the forthcoming defence is also posted on the Internet resource of the Committee within 5 (five) working days from the date of defence.

7. The Dissertation Council submits a statistical data on the work done to the Committee in the form as shown in Appendix No. 1 of this Regulation.

8. The work of the Dissertation Council is coordinated by the first vice-rector of the Academy.

III. Admission of the dissertation for consideration of the Dissertation Council of the Academy

9. The Academy provides a discussion of the doctoral dissertation at the expanded meeting of the department where the dissertation was carried out.

The dissertation is sent to 2 (two) specialists with a scientific degree in the field of scientific research of the doctoral student 1 (one) month before the extended meeting.

At least 2/3 (two thirds) of the members of the department, scientific advisers, as well as representatives of related departments, scientific and other organizations take part at an enlarged meeting. The reviews of consultants on the dissertation of the doctoral candidate at the meeting can be read by the head of the department in the absence of consultants.

10. The basis for preliminary consideration and further defence in the Dissertation Council is the provision of following documents to the Dissertation Council by the doctoral candidate:

1) an application to the Chairman of the Academy for the admission to defence (Appendix No. 2 to this Regulation);

2) a dissertation in hardcopy and electronic medium (CD-ROM);

The dissertation is presented in one of the following languages: state, Russian or English;

3) reviews of national and foreign scientific advisers certified at their place of work;

4) the positive conclusion of the extended meeting of the department where the dissertation and recommendation for defence are carried out approved by the first vice-rector of the Academy;

5) list of scientific works (at least 7 (seven) scientific published works on the topic of the dissertation), including:

– at least 3 (three) in scientific publications recommended by the Committee;

– at least 1 (one) in an international scientific publication that has a non-zero impact factor according to information base of Thomson Reuters or included in the database of Scopus company;

– at least 3 (three) in materials of international conference, including 1 (one) in the materials of foreign conferences.

The list of published scientific works should be submitted in electronic and printed form with confirmation of the indexation of these journals in the Thomson Reuters and/or Scopus and formatted in the form (Appendix No. 3 of this Regulation), signed by the Academic Secretary of the Academy with copies attached.

6) an extract from the protocols of the meeting of the Academic Council of the Academy on the approval of the topic of the dissertation, an extract from the order of the Rector of the Academy on the appointment of scientific advisers;

7) notarized copies of diplomas on higher and postgraduate education and their attachments (a document confirming the change of the surname should be provided in case of change of the doctor’s last name);

8) a copy of the transcript about mastering the professional curriculum of doctoral studies signed by the Rector of the Academy;

9) a copy of employment record certified by the Academy’s personnel service at the place of study, a personal sheet for the registration of personnel with a photograph;

10) dissertation’s abstract;

11) text of announcement (in state and Russian languages) (appendix No. 4 of this Regulation);

12) information about PhD student;

The documents are accepted by the scientific secretary of the Dissertation Council who registers them in a period of not less than 2 (two) working days and submits them to the Dissertation Council of the Academy.

11. The Dissertation Council determines the date of defence of the dissertation not later than 10 (ten) working days from the day of receipt of documents and appoints two reviewers who have an academic degree and at least 5 (five) scientific articles in the field of research of PhD student, one of whom is not an employee of the Academy. At the same time, the sequence of the acceptance of documents of PhD students is observed.

The members of the Dissertation Council (no more than 1/3) are allowed to attend the meeting on the admission of the dissertation in the form of a video conference.

12. The Dissertation Council is guided by the principles of independence of reviewers and scientific advisors.

The reviewers are not:

1) the staff of the Committee;

2) co-authors of the PhD student on the works published on the topic of the dissertation;

3) heads and employees of the Academy’s subdivisions and scientific organizations (departments, laboratories, divisions) where the dissertation was carried out and/or conducted research for which a PhD student is the customer or the executor (co-executor).

It is permissible to appoint one of the reviewers from the Dissertation Council.

13. Reviewers based on the study of the dissertation and published works submit to Dissertation Council written reviews, which assess the relevance of the selected topic, the degree of validity of the scientific provisions, conclusions and recommendations and the dissertation’s practical significance, novelty, as well as give an opinion on the possibility of awarding a PhD degree.

Replacement of reviewers might be conducted no later than 10 (ten) working days before the defence. If the decision to replace reviewer is taken less than 10 (ten) working days, the date of defence will be postponed.

Copies of reviews of reviewers are given to PhD student no later than 10 (ten) working days before the defence of dissertation.

If review do not correspond to the requirements of this paragraph, the Dissertation Council returns the review to the reviewer for additional consideration no later than 7 (seven) working days or replaces the reviewer. Replacement of reviewers is also carried out in case of a written refusal or inability of implementation of reviewer.

The Dissertation Council sends a dissertation to check for the use of borrowed materials without reference to the author and the source of borrowing to the National Centre for Scientific and Technical Information (hereinafter – NCSTI) (costs to obtain this certificate are covered by the PhD student) after admission to the defence (1 (one) month before the date of defence).

If NCSTI finds that the PhD student used borrowed material without reference to the author and the source of borrowing, the Dissertation Council makes a negative decision.

14. Notification of forthcoming defence is also posted on the Internet resource of the Committee within 5 (five) working days from the date of receipt.

15. A copy of the dissertation on paper and electronic media is sent to the library of the Academy. Copies of the dissertation are sent by the Secretary of the Dissertation Council to the National Academic Library of the Republic of Kazakhstan and the National Library of the Republic of Kazakhstan on an electronic medium after the defence within 7 (seven) working days.

16. The procedure of preliminary examination and discussion of the dissertation at the expanded meeting of the department includes the following:

1) presentation of the PhD student;

2) questions of the participants of the department meeting – answers of PhD student;

3) presentation of scientific advisers or in case of their absence announcement of reviews;

4) presentation of reviewers;

5) answers of the PhD student on comments of reviewers and conclusion on their wishes and recommendations;
6) discussion of participants of the department meeting;

7) conclusion by open vote by a majority of votes.

17. The conclusion on the preliminary examination of the dissertation about recommendation or not recommendation for defence is made in the form of an extract from the protocol of the meeting of the department signed by the Chairman and Secretary of the meeting and approved by the First Vice-Rector of the Academy.

The conclusion must contain:

– relevance of the research topic;

– scientific results and their validity;

– practical and theoretical significance of scientific results;

– completeness of publication of the materials of the dissertation in the press in accordance with paragraph 7 of the Rules for awarding academic degrees;

– comments and suggestions;

– conclusion about recommendation or not recommendation for defence.

IV. The procedure of defence of doctoral dissertation

18. The defence of the dissertation is carried out in the availability of:

– positive feedback from scientific advisers;

– at least 7 (seven) scientific published works on the topic of the dissertation, including at least 3 (three) in publications recommended by the Committee, at least 1 (one) in international publication which has non-zero impact factor according to Thomson Reuters or the part of the Scopus database, 3 (three) in the materials of international conferences, including 1 (one) in the material of international conference;

– decisions issued by the department on recommendation for defence (an extract from the protocol of the meeting of the department);

– two reviews from two official reviewers whose qualification (academic degree) corresponds to the profile of the work, which give a comprehensive description of the dissertation and a reasoned conclusion indicating the assessment (“excellent”, “good”, “satisfactory”, “unsatisfactory”) and the possibility of awarding a PhD degree.

19. Scientific advisers write individual feedback for the dissertation.

20. If scientific advisers give negative feedback “not recommended for defence”, the PhD student will not defend his dissertation.

21. The Chairman, the Vice-Chairman and the Scientific Secretary of the Dissertation Council cannot perform their duties at a meeting of the Dissertation Council when the dissertation of a PhD student is considered where they are scientific advisers. The duties of the Chairman are assigned to the Deputy Chairman of the Dissertation Council, the duties of the Deputy Chairman and Scientific Advisers are assigned to one of the members of the Dissertation Council by the decision of the Dissertation Council.

The meeting of the Dissertation Council is not carried out, if the Chairman, Deputy Chairman and Scientific Secretary are absent at the same time.

The Dissertation Council provides video recording of the dissertation defence and stenographic design.

22. The meeting of the Dissertation Council is considered valid if at least 2/3 (two-thirds) of its members participate with at least 3 (three) specialists in the field of the dissertation being defended (attendance list – attachment No. 6 to this Regulation).

If one of the reviewers is absent (for a good reason), his review is read out by the Scientific Secretary. Reviewers are allowed to speak at the meeting of the dissertation defence on-line in the form of a video conference.

23. The procedure of the meeting of the dissertation defence of the Dissertation Council includes the following:

1) the Chairman’s opening speech about the quorum, the competence of the meeting, the introduction of PhD students, specialties and topics of dissertations;

2) a presentation by the secretary to announce the compliance of the PhD student’s documents with requirements and indication of completeness and consistency of scientific publications;

3) presentation of the PhD student (up to 20 minutes);

4) questions to the PhD student and his answers;

5) speeches of scientific advisers;

6) speeches of reviewers;

7) answers of PhD student to the comments of the reviewers and conclusions on their recommendations;

8) discussion of the members of the Dissertation Council;

9) the final word of PhD student;

10) election of 3 (three) people from the Dissertation Council to the Counting Commission with the exception of the Chairman;

11) holding a secret ballot on the application for award of the degree;

12) speech of the Chairman of the Counting Commission on the results of a secret ballot, the approval of the protocol of the Counting Commission;

13) announcement of results of defence;

14) making a conclusion about the dissertation on the basis of defence.

24. The Dissertation Council conducts a secret ballot to make a decision on an application for awarding a PhD degree in a relevant specialty to the PhD student or refusing to award this degree.

25. The Counting Commission is elected to count the votes of the secret ballot which is elected before the beginning of secret ballot by open ballot by a majority of the members of the Dissertation Council who participated in the meeting.

Only members of the Dissertation Council who are present at the meeting participate in a secret ballot and the Counting Commission gives them the prepared ballots for signature.

The voter crosses out the unnecessary from the column “Results of voting” and put the ballot down into a sealed ballot box. After that, all except for the members of the Counting Commission leave the room.

The members of the Counting Commission open the ballot box, count the ballots and draw up a protocol on the basis of voting results.

Unused ballots remain with the Counting Commission with the note made before the beginning of the secret ballot which is noted in the protocol. Bulletins that do not allow to identify the opinion of the member of the Dissertation Council who participated in voting are considered invalid which is also noted in the protocol of the Counting Commission.

The Counting Commission seals all the ballots and appends them to the protocol after registration of the protocol.

26. The Dissertation Council approves the protocol of the Counting Commission by open vote by a simple majority of the members of the Dissertation Council who participated in the secret ballot.

If the protocol of the Counting Commission is not confirmed, the meeting of the Dissertation Council continues and a repeated secret ballot will be held.

The issue of non-confirmation of the protocol of the Counting Commission can be considered by the Dissertation Council only when violations were found in the procedure of the dissertation defence, secret balloting, or the work of the Counting Commission.

27. According to the results of the defence of the dissertation, the Dissertation Council makes one of two decisions:

1) award a PhD degree to the PhD student in the relevant specialty and petition the Committee to conduct a final examination;

2) refuse to award a PhD degree in a relevant specialty.

28. The decision of the Dissertation Council is considered positive if 2/3 (two-thirds) or more of the members of the Dissertation Council who participated in the meeting voted for it. A negative decision is made if less than 2/3 (two-thirds) of the members of the Dissertation Council who participated in the meeting voted for a positive decision.

The Dissertation Council draws up a conclusion where reflects how the dissertation does not match the requirements of this Regulation, the Model Regulation and the Rules for awarding academic degrees when making a negative decision. Copies of reviews of reviewers, scientific consultants, video recording, transcript of the meeting and the conclusion of the Dissertation Council signed by the Chairman and Scientific Secretary are sent to the Committee within 15 (fifteen) calendar days from the date of the decision.

29. An appeal against a negative decision of the Dissertation Council is submitted by a PhD student to the Academy in an arbitrary form within 2 (two) months from the date of the decision.

The Appeal Commission is created by the order of the Rector of the Academy within 10 (ten) working days from the date an appeal. The appeal commission includes 3 (three) specialists with an academic degree in the relevant specialty. Members of the appeal commission cannot be scientific advisers, reviewers, members of the Dissertation Council or Expert Council of the Committee which function in accordance with paragraphs 12-17 of the Rules for awarding academic degrees.

The Commission is guided by this Regulation, the Model Regulation and the Rules for awarding academic degrees.
The Appeal Commission examines the appeal statement, the dissertation, the materials of the Dissertation Council on the defence of the dissertation and prepares a conclusion on the results of the appeal within 30 (thirty) calendar days from the date of its creation.

The conclusion of the Appeal Commission is made by the members of the Commission on the basis of an open vote by a majority vote and signed by all members of the Commission. If the Appeal Commission makes a positive conclusion, copies of the protocols of the Appeal Commission, conclusion and the dissertation are sent to the Committee within 15 (fifteen) calendar days for making the final decision.

The conclusion of the Appeal Commission is notified to the applicant within 15 (fifteen) calendar days from the date of its decision.

30. The Scientific Secretary of the Dissertation Council forms the attestation case of the PhD student (according to Appendix No. 7 to this Regulation), which is sent to the Committee within 30 (thirty) calendar days after the defence of the dissertation at the Dissertation Council. The attestation case is not accepted for consideration after the end of this period.

31. The Academic Council of the Academy approves the new composition of the council if there are 2 (two) negative decisions of the Committee on the dissertation works defended in the Council of the Academy.

The Council ceases its activities and does not function for 3 (three) years after the closure if there are more than 2 (two) negative decisions of the Committee on the defended dissertation in the Council of the Academy.

V. Final provisions

32. The overall responsibility for the work of the Dissertation Council rests with the Chairman of the Academy’s Dissertation Council.

33. Documents on the Academy’s Dissertation Council are kept by the Scientific Secretary of the Dissertation Council within one calendar year and then are transferred to the archives of the Academy.

34. This Regulation enters into force from the date of approval by the order of the Rector of the Academy.