INDIANINSTITUTEOFTECHNOLOGYBOMBAY

RULESANDREGULATIONS

Ph.D.Programme

AcademicOffice
20142015

INDIANINSTITUTEOFTECHNOLOGYBOMBAY
RULESANDREGULATIONS
Ph.D.Programme
As a result of the sound research base and extensive infrastructural
facilitiesavailable, the Institute offersa Ph.D. Programme in a wide range of
areasinEngineering,Science,DesignandHumanities&SocialSciences.The
broadobjectivesofthePh.D.programmeare:tokeeppacewiththeexpanding
frontiersofknowledgeandtoprovideresearchtrainingrelevanttothepresent
socialandeconomicobjectivesofthecountry.
TheacademicprogrammeleadingtothePh.D.degreeisbroadbased.It
involves a minimum course credit requirement and a research thesis. The
institutealsoencouragesresearchininterdisciplinaryareasthroughasystemof
jointsupervisionandinterdepartmentalgroupactivities.Thepresenceofastrong
researchorientedfacultyprovidesexcellentopportunitiesforsuchprogrammes.
The Institute undertakes sponsored research and development projects from
industrialandotherorganizationsinthepublicandprivatesectors.
FacilitiesforresearchworkleadingtothePh.D.Degreeareavailablein
the all Science, Engineering, Design and Humanities & Social Sciences
departments. In addition to the facilities available in the laboratories and
Workshopsofhis/herowndepartment,aPh.D.scholarhasaccesstothecentral
facilities available elsewhere in the Institute also. Several departmental and
Institutelevel seminars are held throughout the year. A large number of
distinguished scientists and engineers both from India and abroad, visit the
Institutetodeliverlecturesandholddiscussionswiththeresearchgroups.The
Ph.D. students thus get ample opportunities to pursue their research
programmesinatrulystimulatingenvironment.

Ph.D.RulesandRegulations:
Ordinances
TheOrdinancesoftheInstituteshalltakeprecedenceovertheRulesin
thematterofanydispute.
O.D.1:
a) AstudentwillbeconsideredbytheSenatetobeeligibleforregistrationfor
thedegreeofDoctorofPhilosophyonhis/hermakinganapplicationinthe
prescribed form provided he/she has obtained M.Tech. degree of this
Instituteoranequivalentqualificationbyvirtueofanexamination.
b) A student who possesses an M.Tech./M.Phil. degree or equivalent
qualificationisnotipsofactoeligibleforregistrationbutshallberequiredto
fulfill the minimum credit requirement under an approved programme of
studies.
O.D.2:
a) TheDegreeofDoctorofPhilosophymaybeconferredonastudentsubject
tothefollowingconditions:
i)ResearchworkhasbeencarriedoutattheInstituteundertheguidanceof
Supervisor(s)for atleasttwoyearsinthecaseofallstudents (except
externalstudents)andthreeyearsinthecaseofexternalstudentsafter
theirdateofregistrationonatopicdulyapprovedbytheSenate.
ii)Thethesissubmittedbythestudentisrequiredtoberecommendedforthe
award ofthe Ph.D. degree by two external referees and bythe Board of
Examinersconstitutedforthevivavoceexamination.
b) Notwithstanding the provision of O.D.2 (a), a student registered for the
degreeofDoctorofPhilosophymaybepermittedtocarryoutapartorthe
wholeofhis/herresearchworkoutsidetheInstituteinafactory,laboratory,
workshop,worksiteorotherresearchcentresdulyapprovedforthepurpose
bytheInstitute.
O.D.3:
ThedegreeofDoctorofPhilosophyshallnotbeconferredasanadeundem
degree.

O.D.4:
Notwithstanding the provisions of O.D.1, the Senate will consider the
registrationforthedegreeofDoctorofPhilosophyofastudentwhohasobtained
the B.Tech./M.Sc./M.A. degree or an equivalent qualification by virtue of an
examination in a subjectduly approved by the Senate, and hassuccessfully
completed the minimum prescribed credit requirements under an approved
programmeofstudies.
O.D.5:
Institute Faculty, Research Assistant, Technical Assistants or any other duly
approvedcategoryofInstituteStaffmayberegisteredforthedegreeofDoctorof
PhilosophyundertheprovisionsofO.D.1andO.D.4.
RulesandRegulations:
The Institute offers facilities for work leading to the degree of Doctor of
Philosophy(Ph.D.)invariousdepartmentalandInterdisciplinaryresearchareas.
ExtractsoftheRulesandRegulationsgoverningthePh.D.programmearegiven
below:
REGISTRATION
1.

OnjoiningtheInstituteeverystudentisrequiredtoplanhis/heracademic
programmeinconsultationwithaFacultyAdvisoryGroupoftheacademic
Unit (Department/Interdisciplinary Programme/ School/ Centre in which
the student is admitted. Details of the academic requirements of this
programmeanddetailsofcoursesavailablearegiveninthebulletin.The
bulletinsareavailableonthewebsiteofeachacademicunit.

2. The registration for each semester is carried out through the

computerized Online Registration programme. This registration is
mandatory for all students, and they must register themselves on the
prescribed dates announced from time to time. Every student must
registerineachsemesteruntilhe/shecompletestheprogramme.
3.

All students have to clear the Institute and Hostel dues before
Registration.

4. IfastudentdoesnotregisterfortheregularSemester(AutumnorSpring)
withoutpriorwrittenpermissionofPGAPEC,his/hernameislikelytobe
struckofffromtherollsoftheInstituteandhe/shemaynotnormallybe
readmitted. To obtain prior permission, the student must apply to
PGAPECatleastonemonthinadvanceofthedateofregistration.
5. The Faculty Advisory Group is authorized to carry out the course
registrationandalsoadjustmentsasspecifiedlater.
6. Alongwiththecreditcourses,astudentisnormallyallowedtoregisterfor
a maximum of TWO Audit course per semester, with consent of the
Ph.D.Supervisorand/ortheHead/ConveneroftheconcernedAcademic
Unit.Theregistrationforthisisalsotobedoneinconsultationwiththe
FacultyAdvisoryGroup/Supervisorandatthesametimeasforthecredit
courses.
7. Astudentisnotpermittedtoreregisterforacourse,whichhe/shehas
undergoneandinwhichhe/shehassecuredAU,DDorhighergrades.
8. Anystudentwhoconcurrentlyregistersforanypostgraduatedegreeat
anotherorganizationshallbeautomaticallyderegisteredattheInstitute.
9.

Submissionoffinalyearmarksheets/provisonalcertificatesoftheir
th
qualifying degree by the Master's students (Ref: 197
Senate
Meeting)
a)

b)

c)

d)

AllPostgraduatestudentsshouldordinarilysubmittheircertificates
latestby30thSeptember/30thJanuaryrespectivelywhenadmitted
intheAutumn/SpringSemesterofagivenacademicyear,after
joiningtheInstitute.
Thestudentswhoareunabletosubmittheircertificatebythese
dates,shouldapplyforextensionalongwithanundertakingstating
theduedateforsubmission,givingproperreasonsonprescribed
formtobedevelopedforthepurpose.
Evenifastudentdoesnotsubmitthecertificateuntilthe
commencementoftheSemesterendexamination,he/shewould
beallowedtoappearintheexamination.However,theresultsof
suchastudentshallbewithhelduntiltherequireddocumentsare
produced.
Casesofstudentswhodonotsubmitthecertificatesafterthefirst
semesterwillbereportedtothePGPCandtheSenateforfurther
considerationanddecisions/actions.

COURSEADJUSTMENTS
Within the period prescribed in the Academic Calendar, a student can
substituteoneormorecoursesbyothers.Forthispurposethestudenthas
to carry out Course Adjustment in consultation with his/ her Faculty
AdvisoryGroup.
1. Admission:
R.1.1:(Amendedasresolvedin141stmeetingoftheSenateheldon11.3.98)
StudentStatus :TheStatusofthestudentsadmittedtothePh.D.programme
shallbeclassifiedunderanyoneofthefollowingcategories:
FULLTIMERESEARCHSCHOLAR
i) TeachingAssistantship(TA)
ii) TeachingAssistantshipthroughProject(TAP)
iii) Govt./SemiGovt.FellowshipAward(FA)QIP,CSIR,UGC,DAE,DST,
DBT,NBHM,etc.)
iv) SponsoredCandidates(SW)
v) SelfFinanced(IndianNationals/ForeignNationals/StudyLeave(SF)
vi) ForeignNationalswithIndianCouncilforCulturalRelationAward(ICCR)
PARTTIMERESEARCHSCHOLAR
i)
InstituteStaff(IS),forInstituteStaffofIITBombay
ii) ProjectStaff(PS),forProjectStaffofIITBombay
iii) ResearchAssistantship(RA)
iv) ResearchAssistantshipthroughProject(RAP)
v) Externalcandidates,sponsoredbyrecognizedR&Dorganizations(EX)
vi) CollegeTeacher:CandidatesworkinginColleges/Educational
Institutes(CT)
TeachingAssistantship(TA)
StudentsunderthiscategoryareentitledtofinancialsupportasperMHRD
norms.
i) ForstudentswithM.Tech./M.E.orequivalentasthequalifyingdegree,
theassistantshipispayableforamaximumdurationof4yearsorupto
the thesis submission, whichever is earlier. The monthly rate of
assistantship will be 18,000/for the first 2 years and enhanced rate of
20,000/fortheremainingperiod.
ii) For students with B.Tech./B.E. or equivalent and students with
M.Sc./M.A./M.Com or equivalent as the qualifying degree and having
validGATEscoreorqualifiedthroughaNationalLevelTestUGC/CSIR/
A)

iii)

iv)

v)

vi)

B)

NBHM/DBTJRFshiporhavingDSTInspirefellowship,theassistantship
is payable for a maximum duration of 5 years or up to the thesis
submission,whicheverisearlier.Themonthlyrateofassistantshipwillbe
16,000/for the first two years and enhanced rate of 18,000/for the
remainingperiod.
ForstudentsinSJMSOMwithM.B.A.asthequalifyingdegreeandwith
Engineering/Technologybackground,theassistantshipispayablefora
maximumdurationof4yearsoruptothesissubmission,whicheveris
earlier.Themonthlyrateofassistantshipwillbe18,000/forthefirsttwo
yearsandenhancedrateof20,000/fortheremainingperiod.Forstudents
withScience/Commercebackground,theassistantshipispayablefora
maximumdurationof5yearsoruptothesissubmission,whicheveris
earlier.Themonthlyrateofassistantshipwillbe16,000/forthefirsttwo
yearsandenhancedrateof18,000/fortheremainingperiod.
To get Teaching Assistantship, the students concerned must assist in
teachingorresearch,asassignedbytherespectiveAcademicUnittothe
extentof8hoursofworkperweek.
The continuation of the assistantship will be subject to satisfactory
performance of the duties assigned bythe AcademicUnits as well as
satisfactoryacademicperformance.
Employeesontherolls(withorwithoutpay)ofanyorganizationarenot
eligibleforadmissionunderthiscategory.

TeachingAssistantshipThroughProject(TAP)

Studentsunderthiscategoryareentitledtofinancialsupportfromsponsored
projectsbasedonthefollowingnorms.
i. StudentshavingM.Tech./M.E.orequivalent,asthequalifyingdegreewill
beeligibleforassistantshipfor4years.
ii. Students having B.Tech. /B.E. or equivalent and students with
M.Sc./M.A./M.Com. Or equivalent and having a valid GATE score or
qualifiedthroughNationalLeveltestUGC/CSIR/NBHM/DBTJRFship
orhaving DSTInspirefellowship, willbeeligibleforassistantshipfor5
years.
iii. Management students with M.B.A. qualification and with
Engineering/Technologybackgroundwillbeeligibleforassistantshipfor4
yearsandthosewithScience/Commercebackgroundwillbeeligiblefor
assistantshipfor5years.
iv. Onlysomedisciplines/specializationshaveTAPseats.
v. The TAP holders are required to assist in teaching or research as
assignedbytherespectiveAcademicunit.TheywilldotheirPh.D.workin
areaofthesponsoredprojectandunderthesupervisionoftheconcerned
facultygroup.

vi.

Employeesontherolls(withorwithoutpay)ofanyorganizationarenot
eligibleforadmissionunderthiscategory.

FellowshipAward(FA)
Thesecandidatesarefinanciallysupported undervariousGovt./Semi Govt.
schemes ( CSIR, UGC, DAE, DST, DBT, NBHM, etc.) and some other
organizations. Fellowships are available from government agencies such as
AeronauticsResearch&DevelopmentBoard(ARDB),DepartmentofScience
andTechnology(DST),AtomicEnergyRegulatoryBoard(AERB),Departmentof
Atomic Energy (DAE), etc. and several other organizations such as Forbes
Marshall, Textile Machinery Manufacturers Association (TMMA), International
EnergyInitiative,etc.Theadmissionprocedureandotherrequirementsaresame
asapplicabletoTeachingAssistantship.
C)

SponsoredCandidate(SW)
These candidates are sponsored by recognized R&D organizations for doing
researchworkintheInstitute.Candidatesareexpectedtobereleasedforfull
timeresearchworkattheInstituteforaminimumperiodofthreeyears.Theywill
notreceiveanyfinancialsupportfromtheInstitute.Sponsorshipletter(Appendix
C.2)shouldbebroughtatthetimeofwrittentestand/orinterview.
D)

E)

SelfFinanced(IndianNationals/ForeignNationals)/StudyLeave(SF)

IndianNationals:Thiscategoryreferstopersonswithgoodacademicrecord
andexperiencetojoininthedoctoralprogramme.Theyareadmittedthroughthe
usualadmissionprocedurebuttheywouldnotgetanyfinancialsupportfromthe
Institute. This is a nonresidential student category and the students are not
entitledforhostelaccommodationoncampus.Ifadmitted,thesestudentshave
tocompletetheirprogrammewithinprescribedtimewithoutanyfinancialsupport
fromtheInstitute.
Foreign Nationals : These students are admitted through Embassy of the
respectiveGovt.aftergettingapprovalfromtheMinistryofExternalAffairsand
no objection certificate from Ministry of Human Resources Development,
DepartmentofEducation,Govt.ofIndia.
Study Leave : This category refers to candidates who are released from
Governmental oreducational institutionsonstudyleave foraperiodnotless
thanthreeyearsfordoingresearchworkattheInstitute.EmployersLetterfor
StudyLeaveshouldbeproducedatthetimeofjoining,ifselected.
F)

Foreign Nationals with Indian Council for Cultural Relations Award

(ICCR)

ThesestudentsaresponsoredbytheirGovernmentsandawardedscholarship
by them. They should apply for admission through Indian Embassy in their
country.
InstituteStaff(IS)
ThiscategoryisonlyforthepersonsemployedasInstituteStaffatIITBombay.
i) ThecandidateshouldhaveworkedintheInstituteforatleast2years
holdingthesamepositonwhichthedegreeprogrammeistobepursued.
ii) The concerned academic unit will shortlist the eligible candidates.
Admissionwillbeonthebasisofwrittentestandinterviewasapplicable
totheconcernedprogramme.
iii) Ifselected,thepermanencyorotherwiseofthecandidatewillnotcomein
thewayofadmissionprocess.
iv) Ifacandidatehasanexperience(2years)ofworkingintheInstitutebutis
notcontinuinginthesamepositionwhilepursuingthedegree,thenhe/she
maybeconsideredunderthe'SelfFinanced'andnotunderthe'Institute
Staff'category.
G)

ProjectStaff(PS)
This category refers to candidates employed at IIT Bombay and working on
sponsored projectsundertaken by the Institute and admitted to the Ph.D.
programme,iftheduration oftheProjectatthetimeofadmissionisaround3
yearsormore.
H)

ResearchAssistantship(RA)
Depending upon the requirements, each Academic Unit may induct ONE
ResearchAssistanteveryyear.Thestudentsunderthiscategoryareeligiblefor
ResearchAssistantshipbasedonthefollowingnorms:
i) ForstudentswithM.Tech./M.E.orequivalentasthequalifyingdegree,
theassistantshipispayableforamaximumdurationof5yearsoruptothe
thesissubmission,whicheverisearlier.Themonthlyrateofassistantship
willbe20,000/forthefirsttwoyearsandenhancedrateof22,000/forthe
remainingthreeyears.
ii) For students with B.Tech./B.E./ or equivalent and students with
M.Sc./M.A./M.Com. or equivalent as the qualifying degree and having
ValidGATEscoreorqualifiedthroughaNationalLevelTestUGC/CSIR/
NBHM/DBTJRFshiporhavingDSTInspirefellowship,theassistantship
is payable for a maximum duration of 5 years or up to the thesis
submission,whicheverisearlier.Themonthlyrateofassistantshipwillbe
16,000/forthefirsttwoyearsandenhancedrateofRs.18,000/forthe
remainingthreeyears.
I)

iii) Students in SJMSOM with M.B.A. as the qualifying degree and with
Engineering/Technology background,the assistantship is payable fora
maximumdurationof4yearsoruptothesissubmission,whicheveris
earlier.ThemonthlyrateofassistantshipwillbeRs.20,000/forthefirst
twoyearsandenhancedrateofRs.22,000/fortheremainingperiod.For
students with Science / Commerce background, the assistantship is
payableforamaximumdurationof5yearsoruptothesissubmission,
whicheverisearlier.ThemonthlyrateofassistantshipwillbeRs.16,000/
forthefirsttwoyearsandenhancedrateofRs.18,000/fortheremaining
period.
iv) Ph.D.ResearchAssistantshavetolookafterthelaboratoriesandalso
assistinteachingorresearchorotherworkassignedbytherespective
AcademicUnit.Theyarerequiredtoworkforabout20hoursaweek.
v) Employeesontherolls(withorwithoutpay)ofanyorganizationarenot
eligible for admission under this category. The continuation of the
assistantship will be subject to satisfactory performance of the duties
assigned by the Academic Units as well as satisfactory academic
performance.
ResearchAssistantshipThroughProject(RAP)
Thestudentsjoiningtheprogrammeunderthiscategorywillbeconsideredfor
AssistantshipssupportedunderSponsoredResearchProjectbeingcarriedout
attheInstitutebasedonthefollowingnorms:
1. ApplicantshavingM.Tech./M.E.orequivalent.
2. Applicants having B.Tech. / B.E. or equivalent and applicants having
M.Sc./M.A./M.Com. Orequivalentwith avalidGATEscore orqualified
throughNationalLeveltestUGC/CSIR/NBHM/DBTJRFshiporhaving
DSTInspirefellowship.
3. Applicants to SJMSOM with M.B.A. qualification with
engineering/technologybackground.
4. ApplicantstoSJMSOMwithM.B.A.qualificationwithScience/Commerce
background.
5. Onlysomedisciplines/specializationshaveRAPseats.
6. Employeesontherolls(withorwithoutpay)ofanyorganizationarenot
eligibleforadmissionunderthiscategory.
7. ResearchAssistantshavetoworkinSponsoredR&Dproject.Theywilldo
theirthesis/dissertationinsameprojectarea,underthesupervisionofthe
concernedfacultygroup.
8. Theyarerequiredtoworkforabout20hoursaweekontheSponsored
ResearchProject.
J)

K)

External(EX)

ThecandidatesemployedinrecognizedR&Dorganizationsanddesirousof
pursuing Ph.D.programme while in employmentmayapply foradmission as
external candidates. After fulfilling the residential requirement and completing
thecourseworkattheInstitute,thesecandidateswillbeallowedtoregisterfor
Ph.D. with a Supervisor (internal) from the Institute and a Cosupervisor
(external)fromtheirparentorganizationwheretheywillbedoingtheresearch
work.
Theadmissionsarebasedonthefollowingnorms:
1. The competence of these candidates will be assessed along with the
regularcandidates.
2. Thecandidateshouldsubmitatthetimeoftest/interviewaSponsorship
Certificatefromtheorganizationinwhichhe/sheisemployedgivingan
undertakingthatthecandidatewouldbereleasedfromthenormalduties
tofulfilltheresidentialrequirementsanddetailsoffacilitiesrelevanttothe
researchprogrammeandavailabletothecandidate
3. ThecandidateisrequiredtobeinresidenceattheInstitutetocomplete
thecoursework/qualifierexaminationofhis/herPh.D.Programme.The
minimum residence requirement is one semester for students with
M.Tech./M.E. or equivalent and two semesters for students with
B.Tech./B.E./M.Sc.orequivalent.Dependingonthestudent'sbackground
andtheprogrammerequirements,anadditionalsemestermaybeneeded
tocompletethecoursework/qualifierexamination.
4. TopromoteinteractionandassociationoftheInstitute Facultyandthe
external organization concerned, meeting between the internal and
externalsupervisorsshouldbearrangedatleastonceinayearinthe
Instituteorinthesponsoringorganizationtoensureacontinuousdialogue
andparticipationinthejointsupervisionprogramme.
5. ThePh.D.registrationofanexternalcandidatewouldbereviewedatthe
endofeachyearfromthedateofregistrationintermsofhisprogressin
courses / seminars / approved research programme by a Research
Progress Committee (RPC) nominated by the concerned Department
PostgraduateCommittee(DPGC).
6. Theoptionofexternalregistrationisforapplicantswhoareworkinginwell
equipped scientific institutions, laboratories, R&D establishments and
industrial organizations engaged in research based activities. Persons
workingincolleges/universitiesarenoteligibleunderthiscategory(they
mayapplyunderCT).
7. Atthetimeofjoiningtheprogramme,thestudentswillhavetoproducea
certificatefromhis/heremployerthathe/shehasbeenfullyrelieved
from normal duties during the semester(s) to complete the residential
requirementatIITBombay.
L)

CollegeTeacher(CT)

ThecandidatesemployedasfacultymembersinCollegesandUniversitiesand
desirousofperusingPh.D.Programmewhileinemploymentandwithoutavailing
ofstudyleavemayapplyforadmissionunderthisCategory.
i) Afterfulfillingtheresidentialrequirement(onesemesterforM.Tech./M.E.
orequivalentortwosemestersforB.Tech./B.E./M.Sc.orequivalent)of
residentialrequirementattheInstitute,thesecandidateswillbeallowedto
registerforPh.D.withaSupervisor(internal)fromtheInstituteandaCo
supervisor (external) from their parent organization. Appointment of
external Cosupervisor is optional based on recommendations of the
supervisor and respective DPGC. Sponsoring certificate from the
organizationmustbesubmittedalongwiththeapplication.
ii) Candidatesadmittedunderthiscategorywillbetreatedonparwith'Self
Finance'categoryasfaraspaymentoffeesanddepositsareconcerned.
iii) Place forresearch will be IIT Bombayeven though candidate maybe
carryingoutpartofworkattheirInstitute.Thesecandidatesarerequired
to be available to the Supervisor (internal) for interaction during week
ends,holidaysandvacations.
R.1.2:
a) Ifastudentleavestheprogrammeanytimewithinthefirsttwoyearswithout
priorpermissionsoftheSenate,he/shewouldforfeithis/herstudentstatus.
b) If a student withdraws from his/her Ph.D. programme any time without
intimation(withinthefirsttwoyears)afteradmission,his/herstudentstatus
ceases and he/she would not be readmitted with any weightage for the
creditsacquiredtheperiodofstay.
c)

In case a student wishes to temporarily withdraw from his/her Ph.D.

Programme, he/she may do so only after a period of two years following
his/herdateof ConfirmationofRegistration withpriorpermissionofthe
Senate.Theapplicationfortemporarywithdrawalmustbeendorsedbythe
Ph.D.Supervisor(s)andthePostgraduateCommittee(PGC)oftheacademic
unit in which the student is registered. Temporary withdrawal could be
grantedfor,uptooneyear(twosemesters)initially.Extensionoftheduration
of withdrawal beyond the period of one year would normally not be
encouraged,andcouldbegrantedbytheSenateonrecommendationbythe
PGAPEC, only under circumstances which the PGAPEC deems to be
genuinely extraordinary. The period of temporary withdrawal will not be
counted, when counting the number of semesters of Ph.D. registration
alreadycompletedbythestudent. (Amendedasresolvedin196thSenate
heldon23092009)

d) AResearchscholar,ifrecommendedbyDPGC/IDPC,recognisedbyPGPC
and approved by Senate, may be allowed to change his/her status to
"externalstudent"earlierthan2yearsif,
(i)

he/shehascompletedallcourses.

(ii)

He/she gets a sponsorship certificate from the organization

(recognisedbyPGPC)he/shejoinsand

(iii)

He/sheisabletogetasuitablelocalsupervisortoactasguideinthe
broadareaofresearchapprovedbytheDPGC/IDPC.Thestudentis
requiredtocompletealltheformalitiesregardingthechangeofstatus
withinoneyearofleavingtheInstitute.

2.EligibilityforAdmission

R.2.1.:MinimumQualificationforAdmission(Generaleligibilitycriterion
forAdmissioninallAcademicUnits).
Oneofthefollowinginappropriatesubjectareas:
MastersDegreeinEngineering/Technologyorequivalent,withFirstclassor
60%marks(55%marksforSC/ST)
2. MastersdegreeinScienceorBachelorsdegreeinEngineering/Technologyor
equivalent,withFirstclassor60%marks(55%marksforSC/ST).Foradmission
intheDepartmentofHumanitiesandSocialSciencesandintheIndustrialDesign
Centre,thepercentagerequirementis55%marksorequivalent(50%forSC/ST).
Candidates meeting this requirement must also fulfill ONE of the following
additionalrequirements:

ValidGATE/CEEDScore

CSIR/UGC/NBHM/DBT/DSTInspireAwardorFellowship.

Minimumof2yearsofprofessionalworkexperience,forSponsored
(SW)/SelfFinanced(SF)/InstituteStaff(IS)category.

Minimum6monthsprojectworkexperienceinIITBombay,forProject
Staff(PS)category.
1.

Requirements for Teaching Assistantship (TAship)/ Research Assistantship

(RAship)
CandidateswithMastersDegreeinEngineering/Technologyorequivalentdegreeare
eligible for TAship/ RAship. Candidates without Masters Degree in Engineering/
TechnologyorequivalentdegreerequireeitheravalidGATEscoreorqualifiedthrough
aNationalLevelTestUGC/CSIR/NBHM/DBTJRFshiporDSTInspirefellowshipto
beconsideredforTA/RAship.

Inadditiontothegeneraleligibilitycriterion,theapplicantmustsatisfytheeligibility
criteria specified for the respective Departments/Centres/ Schools/ Interdisciplinary
Groups.
R.2.2:ChangefromM.Tech.toPh.D.
a)

IfaparticularstudentwhoispursuingafulltimeM.Tech.Programmeatthe
Institute fulfils the minimum qualifications prescribed for admission to any
specificPh.D.programmeoftheInstituteandwishestochangeovertothat
Ph.D.Programme,he/shemaybepermittedtodosoprovidedhe/shehas
obtainedanSPIof9.00oraboveafter havingregisteredfor full creditsof
courseworkinthefirstsemester(SeeM.Tech.rulesMR2.1(2)andMR2.1
(3)).
Note:
The student(s) shall apply for the change over by the end of the first
semesterthroughtheDPGCs/IDPCs/PGCs,willforwardtheapplicationwith
duerecommendationstothePGAPECforconsideration.

b) Award of M.Phil. Degree to the Ph.D. students from Science

Stream
Astudentwhohasearned34creditsthroughcourseworkduringthePh.D.
ProgrammemaybepermittedtoregisterfortheM.Phil.Programme.Thisis
permitted in the Departments of Physics, Chemistry, Mathematics, Earth
Sciences,Biotechnologyand Humanities&SocialSciences.To obtainan
M.Phil.Degreethestudentmustsuccessfullycompleteoneyearofproject
workleadingtothedissertation.
c)AwardofM.S.byResearchtothePh.D.studentsfromtheEngineering
Stream
AstudentpursuingthePh.D.ProgrammeinanEngineeringdisciplineand
who has successfully completed 2234 credits of course work (22 for
students with M.Tech. qualification and 34 for students with B.Tech./B.E.
qualification) may be permitted to register for the M.S. Programme by
Researchleadingtoadissertation.ThetotaldurationofM.S.Programmewill
be23years.
(Ref.136thMeetingoftheSenateheldon24111996)
ProceduresforEvaluationoftheM.S.Thesis(Ref:190 th and2011th
SenateMtg.):

1. Thethesisbesenttotwoexternalexaminers.
2. The firstreport tobereceivedfromanyofthetwoexternalexaminers
reportbeconsidered(iffavourable)topermitthestudenttoappearinthe
VivaVoceexamination.
3. However, if this examiner has marked either option (d) The thesis
requires major modifications/revision. The nature of the modifications
required are indicated. It is recommended that the revised thesis be
referredagainbyanexternalexaminer. ORoption(e)Thethesisbe
rejected, the office may wait for the recommendation of the second
referee and if favourable, may be considered to permit the student to
appearinthevivavoceexamination.
4. Ifbothreportsareunfavourable,thePGAPECmaytreateachsuchcase
individuallyonacasetocasebasis.
5. TheVivavoceexaminationwillbeconductedbyaCommitteesimilarto
thefinalstageevaluationoftheM.Tech.Project.
6. TheM.S.Degreebeawardedafterreceiptoffavourablereportsanda
successfulvivavoceexamination.
R.2.3: The following procedure is to be followed for change from one
programmetoanother(Ref.141stSenateMeeting):
i)

TheseTransferswillbeconsideredonacasetocasebasis.

ii)

RequestforachangeofPGprogrammeshouldcomefromthestudent
andshouldbeendorsedbytheSupervisor/RPC.

iii)

TheapplicationforconsiderationforadmissiontoanotherPGprogramme
should be routed through the Postgraduate Committee of the
Dept./Group/Centre/Schoolinwhichthestudentwasoriginallyregistered.
ItmustalsoberecommendedfavourablybythePostgraduateCommittee
of the academic unit (Department/ Centre/ School/ Interdisciplinary
Progamme)towhichthestudentwishestobeadmitted.

iv)

The candidates should satisfy all the academic requirements for the
awardofthedegreeforwhichheisbeingconsidered.

v)

DPGC/IDPC/PGC may recommend the time limits for submission of

Dissertation/Thesis,ifrequired.

vi)

The request will then be considered by PGAPEC and put up for

subsequent approval by the Senate, if the PGAPEC recommends the
change.

R.2.4Anystudentwhoconcurrentlyregistersforanypostgraduatedegreeat
anotherorganizationshallbeautomaticallyderegisteredattheInstitute.

3.PatternofCoursesandCredits
The courses offered for the Ph.D. Programmes may be : Lecture Courses,
Laboratory Courses, Design Courses, Seminars, courses pertaining to
Communicationskills.
R.3.1:
Thecreditforacoursedependsuponthecontacthoursandselfstudyhours
associatedwithitandisobtainedbyaddingallthesehours.Thecreditsforall
theavailablecoursesareindicatedintheCoursesofStudyBulletin.
R.3.2:CreditSeminar
ASeminarshallsatisfythefollowingconditions:
a)Eachseminarshallcarryfourcredits.
b) TheSeminarshallbetreatedasacourseforthepurposeofregistrationand
evaluation.
c) The Seminar coordinator appointed by the DPGCs/IDPCs/PGCs shall
arrange the seminars and forward the grades awarded by the panels of
examinerstotheAcademicOfficebytheendofthesemester.
d) A student shall not take more than two Seminars during the entire Ph.D.
Programme.
R.3.3 CommunicationSkillsI&IIcourses(PP/NPcourse)(Ref:165 th,205th
&216thSenatemeeting)
a) ThesecoursesarecompulsoryforallPh.D.students.
b) Ph.D.studentsarenormallyrequiredtocleartheCommunicationSkills
coursewithinthefirsttwosemesters.
c) Thesecoursesareanadditiontotheminimumcoursecreditrequirement
prescribedbytheDPGCs/IDPCs.
d) Students having a qualifying degree from IIT who have cleared the
Communication Skills course during their M.Tech. Programme are
exemptedfromthisrequirement.

4.CourseCreditrequirementsandRegistrationforcourses
All students in the Ph.D. programme are required to acquire the prescribed
creditsthroughcoursework,whichshallnormallybecompleted:
a)

WithinoneyearfromthedateofjoiningbythestudentshavingM.Tech.or
equivalentqualification(206thMeetingofSenate)and

b) Withinthefirsttwosemestersfromthedateofjoiningbythestudentshaving
B.Tech./M.S./M.A./equivalentqualification.
Ph.D.studentswill be allowedtocomplete extra creditcourses,ifnecessary
(Ref:168thSenatemeeting)
R.4.1:(ApplicabletostudentswithM.Tech.orequivalentdegree)
(amendedasresolvedin136thSenatemeetingheldon27.11.1996)
a)

ThecreditrequirementsforstudentshavingM.Tech./M.Phil.orequivalent
qualification, will be a minimum of 16 credits i.e. 2 courses and a
seminarandmaximumof22credits.Thecoursescouldbetakeninany
academicunitoftheInstitute(Department/Centre/School/Interdisciplinary
programme).

b) Thestudentsmayearnuptoamaximumof4creditsthroughseminars.
c) Students with an M.Tech. degree who have been admitted to the Ph.D.
ProgrammeshouldalsoundergoatleasttwocoursesattheM.Tech./Ph.D.
levelinadditiontotheSeminarrequirements.
R.4.2: (ApplicabletostudentswithM.Sc./M.A.orequivalentdegreeand
admittedtoPh.D.programmeinSciencediscipline).
a)

The credits requirements for students having M.Sc./M.A. or equivalent

qualification admitted to a Science Department shall be 34 to 46
credits.The coursescould be taken in any academic unit (department/
centre/interdisciplinaryprogramme/school)intheInstitute.

b)

Credits acquired through PG level courses shall be 24 or more

(minimum4courses).

c)

Thestudentsmayearnuptoamaximumof8creditsthroughSeminars,
whichshouldbespreadovertwosemesters.

R.4.3. : (Applicable tostudents withB.Tech.orequivalentdegreeand

M.Sc.orequivalentdegreeadmittedtoPh.D.programmeinEngineering
discipline).
a)

The credits requirements for students having B.Tech. or equivalent

qualificationshallbe44to56credits.Thesamenumberofcreditsshould
alsobeearnedbystudentswithM.Sc.degreesofequivalentqualifications
admittedtothePh.D.programmeinanyoneoftheEngineeringdisciplines.

b) The students may earn up to a maximum of 8 credits through Seminars,

whichshouldbespreadovertwosemesters.
c) ThestudentsmayalsoregisterforaR&Dprojecttocompletecredits.
d)

Credits acquired through PG level courses shall be 30 or more.

(minimum5courses)

R.4.4.1:(ApplicabletostudentsofBiomedicalEngineering)
Thespecializationwiseandstudent'squalificationswisecreditrequirementscan
bedecidedand administratedbythe Departmentsubjecttominimumcourse
creditrequirementsasprescribed bytheInstitute norms.Studentsshould be
informed about the requirements at the time of joining the programme. The
completion of the required coursework should be checked by the concerned
academic unit (BSBE Department), while forwarding the application for
confirmationofregistration(Ref:183rdPGPCmeeting).
R.4.4.2:(ApplicabletoSchoolofManagement)
(Amendedasresolvedin186thSenatemeetingheldon19.10.2007)
The course requirement for students entering with an M.Mgt. or an
equivalent degree should be a minimum of 40 credits and maximum of 64
credits.Forallotherstudentsthecourserequirementwouldvarybetween52to
64credits.
Candidateswhoregisterfortheminimumcreditsshouldcompletethem
withintwosemestersasperrule,whereasstudentswhohavebeenassigned
coursecreditrequirementsmorethanminimum,maybeconsideredonacase
bycasebasisbythePGCoftheSchool.Theirtime period ofcompletion of
courseworkmaybeappropriatelyrecommendedtothePGAPEC.However,the
totalperiodadmissibleforcompletingtheprogrammewillremainunchangedin
allcases.

R.4.4.3:(ApplicabletoIDCPh.D.progamme)(Ref:173 rd SenateMtg.held
on23rdMarch2005)
a)ForstudentswithPostgraduatedesignqualifications,thecreditrequirement
is24credits:
Isemester20credits;IIsemester4credits
b)ForstudentswithUndergraduatedesignqualificationsthecreditrequirement
is 56 credits and the courses will be common with the existing M.Des.
Programme.

R.4.5.:
This rule applies to students who have a coursework requirement of two
semesters.TheDPGCs/IDPCsshallcarefullyexamineanycaseofreductionin
coursecreditsandrecommendsuchcasestothePGAPEC,givingappropriate
justification in terms of any relevant post B.Tech./M.Sc./M.A. or equivalent
qualificationorprovencapacityforindependentresearch.Whileapprovingthe
casesofstudentswhohavebeenrecommendedbytherespectivePGCs/IDPCs
for reduced course credits, the reason for prescribing such reduced course
creditsshallbeplacedbythePGAPECbeforetheSenateforinformation.Inno
caseshallthereducedcreditsrequirementsbelessthan24credits.
R.4.6:
ThefulltimestudentsshallregisterthroughtheirrespectiveFacultyAdviser(s)/
Supervisor(s) for notless than 18credits in the first Semesterofthe course
programmeifthetotalcreditsrequiredare18ormore.However,staffmembers
oftheInstituteadmittedtoPh.D.programmeshallregisterfornotmorethan18
creditsinthefirstSemesteroftheprogrammeifthetotalcreditsrequiredare
28ormore.Otherstudentswithcoursecreditsrequirementsbelow18credits
shallregisterthroughtheSupervisor(s)fortheentireprescribedcreditsinthe
firstSemesteritself.
R.4.7.:
Alanguagecourseshallnotformapartoftheminimumrequirementsofcredits,
prescribedforstudentswithM.Tech.orequivalentqualification.
R.4.8.:
Students who are unable to commence their course programme during the
SemesterinwhichtheyhavebeenadmittedshouldapplytoPGAPECthrough
DPGC/IDPCs/PGCsandobtainpermissiontocommencetheircourseworkin
thefollowingsemester.
R.4.9:Theprocedureforregistrationforcoursesshallbeasfollows:
a) The students, after payment of prescribed semester fees, complete their
registrationOnlineinconsultationwiththefacultyadvisor(s)/Supervisor(s)

intheacademicunit.Suchregistrationisrequiredtobeapprovedbyhis/her
facultyadvisor/Supervisor.
b) Thestudents,inconsultationwiththesupervisor/facultyadvisor,cancarry
out course adjustment within the time limit provided in the Academic
Calendar.
c) TheDPGC/IDPC/PGCshallfinalizethecourseprogrammeofthestudents
inconsultationwiththeSupervisor(s).
d) Recommendations,ifany,aboutreductionofcoursecreditsshallbesentto
PGAPECbyDPGC/IDPC/PGCinthebeginningoftheIorIIsemesteralong
withtheapplicationsforregistrationfordueapproval.
e) TheAcademicOfficeshallinformthePGAPECofanydiscrepancyinthe
Registration.However,thestudentsshouldensureontheirownthatthey
complywith the credit requirementslisted under R.4.1, R.4.2,R.4.3,R.4.4,
R.4.4.1,R.4.4.2.R.4.4.3above.
f)

ThePGAPECshallapprovethecourseprogrammesofallstudentsafterdue
scrutiny.

R.4.10:
Astudentcanaddtohis/heracademicload,oneormorecoursesnotregistered
for earlier or substitute one or more courses by others by filling the Course
AdjustmentForm,withinthefirsttwoweeksfromthecommencementofclasses
providedthecoursecreditrequirementsasprescribedunderR.4.1,R.4.2,R.4.3,
R.4.4,R.4.4.1,R.4.4.2,R.4.4.3remainunchanged.
R.4.11:
A student registered under R.4.2 and R.4.3 may drop in the first or second
semester one or two courses for which he/she may have registered if the
academicloadforthegivensemesterisfoundtobetooheavy(CourseDropping
Form). Such dropping is permissible till the date as given in the academic
calender provided the credits requirements laid down in R.4.1,R.4.2, R.4.3,
R.4.4.1,R.4.4.2andR.4.4.3arenotviolated.
R.4.12:Droppingofcourse(s)(Ref.207thMeetingoftheSenate)
Thelastdatefordroppingacoursebythestudentwillbetwoweeksafterthe
midsemesterexaminationforthesemesterlongcoursesandoneweekafterthe
midsemester examination for the halfsemester courses. The last date for
coursedropwillbeincludedintheAcademicCalendar.
Note:

ThestudentshallcompletetheprescribedCourseAdjustmentForm(CAF)and
CourseDroppingForm(CDF)inconsultationwiththesupervisor/facultyadvisor.
R.4.13GradeImprovement(Ref211thMeetingoftheSenate)

1. AstudentinaPGProgramme,whereminimumCPIforcourseworkis6.0,
willbeeligibleforrepeatingacourseforgradeimprovementifhe/shehas
aCPIlessthan6.0andhasbeenpermittedbyPGAPECtocontinuein
theProgrammeonAcademicProbation.

2. ForGradeimprovement, astudenthastoreregisterinthecourseina
subsequentsemesterifthecourseisoffered.Thegradeobtainedinthe
reregisteredcoursewillsupersedetheearliergradeandthesamewillbe
reflectedintheSemesterGradeCardandintheFinalTranscript.

3. The student can avail this option only for TWO courses in the entire
programmeandonlyONCEforaspecificcourse.

R.4.14 : Transfer of PG level course(s) completed under CEP to Ph.D.

Registration(Ref.210thMeetingoftheSenate)
ThetransferforPGlevelcoursescompletedunderCEPcanbegrantedif
i) The courses are deemed to be suitable for Ph.D. coursework by
DPGC.
ii) The courses have been completed within a period of two years
immediatelyprecedingthedateofjoiningthePh.D.programme.
SuchstudentsneedtofulfilltheresidentialrequirementattheInstitute.

5.CourseAssessmentandAwardofGrades
R.5.1:
Foreverycoursetakenbythestudent,he/sheisassignedagradebasedon
his/her combined performance in all the assessments. These grades are
describedbythefollowinglettersandcorrespondinggradepoints.
AA(10points),AB(9points),BB(8points),BC(7points),CC(6points),CD(5
points),DD(4points),andFF(0points),FR(0points),PP(Passed),NP(not
Passed) and DX (0 points). Minimum passing grade in a course is DD.
Some courses are only associated with PP/ NP grades. In such courses,
satisfactorycompletionisindicatedbytheawardofthePPgrade.
TheminimumpassinggradeforallUGandPGcoursesisDD. However,PG
students should acquire a minimum CPI of 6.00 at the end of each
semester.

R.5.2:
ThelettergradesFFandFRshallbetreatedasfailuregrades.Reexamination
maybepermittedforacourseifthestudentobtainsFFgrade.Aftersuchre
examinationifthestudentpassesinthatcourse,he/shewillbeawardedthe
maximumgradeofDD*inthatcourse.Ifastudentdoesnottakeorfailsinthe
reexamination, he/she will be awarded the grade FR. (*Ref. : 167 th Senate
Meeting).
R.5.3:
Astudentwillbepermittedtotakethereexaminationforacoursewherehe/she
hasanFFgradeprovidedthenumberoffailedbacklogcourses(withFRgrade)
does not exceed the limit permitted i.e. At most two during the entire
programme.(Ref.167thMeetingoftheSenateand182ndSenate).
R.5.4:AuditCourse
ThestudentsregisteredforauditingacourseshallbeawardedthegradeAUif
theyfulfilltherequirementofaminimumof80%attendanceanddulysatisfactory
insemester performance asprescribed by the Instructor. The Instructor shall
includesuchAUgradesinthefinalgradereportforthatcourse.Ifthestudent
doesnotqualifyforthegradeAU,itwillbeassumedthatthecoursehas
beendroppedbythatstudentandthesemestergradecardissuedaccordingly.
R.5.5:AdditionalLearning(Ref:210thSenatemeeting)
ThestudentshaveanoptionoftakingacourseasAdditionalLearningThese
courseswillbeinadditiontotheminimumcoursecreditrequirementandwillnot
effecttheSPI/CPI,buttheactualgradesobtainedwillbeshowninthegrade
card and transcript. There will be onetime option of changing the tag of a
course.Registrationforadditional courseswillrequireapprovalofthe faculty
advisor.
The option of permitting student to register a course as Audit is left to the
courseinstructor.
th
R.5.6:IIgrades(Ref:207

meetingofSenate)

The grade IIshall be awarded toa student in alecture/ laboratorycourseif

he/shehassatisfactoryinsemesterperformanceandhasfulfilledtheattendance
requirement, but has not appeared for the semesterend examination. The
studentwillbeeligiblefora makeupforthesemesterendexaminationifthe
absencewasduetomedicalreasonsorextraordinarycircumstances. Forre
examination,thestudentwillhavetoapplytotheAcademicOffice.Incaseof
absenceduetomedicalreasons,theapplicationshouldbeaccompaniedbya
medical certificate issued/ authenticated by IIT Bombay Hospital. In case of
absenceduetoextraordinarycircumstances,thesupportingdocumentsshould
besubmitted.TheAcademicOfficewilldecidewhetherreexaminationistobe

allowed,afterconsultingwithUGAPEC/PGAPEC(incaseofmedicalreasons)
andDeanAP(incaseofextraordinarycircumstances).Incaseareexamination
isallowedandisconducted,theinstructorshalldecidethefinalgradeonthe
basisofsumofinsemesterandthereexaminationmarks.Theweightageofthe
reexamination would be the same as that of the final examination that the
studenthasmissed.InallothercasestheIIgradewillbeconvertedtoFRgrade.
R.5.7:SeminarGrades
For the students who have submitted the seminar report in time, but the
evaluationofwhichhowevercouldnotbecompletedintime,theSeminarCo
ordinator shall award the grade II and shall forward the grade report to the
Academic Office before the end ofthe semester. All such II gradesshall be
convertedintosuitablelettergradesinduecourseoftime,beforeonemonth
followingtheendofthesemester.
R.5.8:
Ifastudenteitherdoesnotsubmithisseminarreportbytheprescribeddateor
he/she is absent for presentation on the scheduled date he/she shall be
awardedFFgradeunlesshe/sheisgivenextensionbythecoordinatorunder
exceptionalcircumstances.
R.5.9:
Allstudentswhoget FFgradeinSeminarshallbeallowed tocompletethe
evaluation during the period earmarked for reexamination and will not be
given a grade better than the minimum passing grade, DD. (Ref. 167th
MeetingoftheSenate).
R.5.10:ClassAttendanceRules
R.5.10.1:DXgrade(Ref:202ndmeetingofSenate)IITBombayexpectsone
hundredpercent(100%)fromitsstudentsfromallitsclasses.Inkeepingwith
thediversityofdemandsoftimeandsituationbeyondthestudentscontrol,IIT
BombayrequiresfromeveryinstructoradeclarationofoneofthefollowingTWO
Options(A,B)thathe/shewouldadopt,forthepurposeofaccountingforthe
attendance of the student in evaluation of student performance. The option
chosen,shouldbeindicatedinthecoursedataasregisteredwiththeApplication
SoftwareCell(ASC).Incaseaninstructorfailstoexercisethechoiceexplicitly,
OptionAbelow,wouldbethedefaultchoice.
OptionA:Iftheattendanceofthestudent,ascountedwitheffectfromthe
firstcontacthourheldafterthelastdateofcourseadjustment,fallsbeloweighty
percentofthetotalattendanceexpectedwitheffectfromthatdate,theInstructor
wouldawardthestudenta'DropduetoInadequateAttendance','DX'Gradein
that course. This 'Drop due to Inadequate Attendance' Grade would, for the
purposeofCPIcalculation,betreatedasequivalenttoa'CourseDrop'carried
out on initiation by the student. In calculating attendance, no specific
concessionistobegivenforlackofattendanceonmedicalgrounds;further,ifa

studenthas80%attendanceormore,he/shecannotbeawardeda'Dropdueto
Inadequate Attendance Grade. This Option should, in the long run, be
administeredautomaticallythroughtheApplicationSoftwareCell(ASC),once
theautomatedsystemforattendancecanbeputinplace.
Option B: The Instructor decides and announces in the beginning, a
systemof percentageweight instudentperformanceevaluationinthecourse,
reserved specifically for attendance and/or class participation. Penalties in
attendanceand/orclassparticipationshouldbereflectedonlyinthiscomponent
of student performance evaluation. The percentage weight for this 'Class
Participation'Componentshouldrange from0to20percent.Assigningazero
percentweightforClassParticipationautomaticallyimpliedtheearlierOptionI
wheretherewasnopenaltyforshortfallinattendance.ThisOptionshouldbe
administeredbytheinstructorhimself/herself.
R.5.10.2 Attendance in classes is expected from the very beginning of the
semester.Thestudentwouldbederegisteredfromthosecoursesinwhichthey
wereabsentinanyoneofthefirstthreelectures.(Ref:203rdand208thSenate
meeting).
6.PERFORMANCEREQUIREMENTSINCOURSEWORKFORQUALIFIYING
TOREGISTERFORTHEPH.D.DEGREE
R.6.1:
ALLSTUDENTSAREREQUIREDTOMAINTAINACPIOF6.00ATTHEEND
OFEACHSEMESTER.
Theperformanceofastudentinasemesterisindicatedbyanumbercalledthe
Semester Performance Index (SPI). The SPI is the weighted average of the
grade points obtained in all the courses taken by the student during the
semester.
Example : Suppose in a given semester, a student has taken five courses
having credits C1,C2,C3,C4,C5 and his/her grade points in those courses are
G1,G2,G3,G4,G5respectively.
Thenhis/her

C1G1+C2G2+C3G3+C4G4+C5G5
SPI=
C1+C2+C3+C4+C5
SPI will be calculated (after reexamination, if any) on the basis of the final
gradesawardedAA,AB,BB,BC,CC,CD,DDandFR.TheSPIiscalculatedup
totwodecimalplaces.

An uptodate assessment from the time the student entered the Institute is
obtained by calculating a number called the Cumulative Performance Index
(CPI).TheCPIistheweightedaverageofthegradepointsobtainedinallthe
coursestakenbythestudentsincehe/sheenteredtheInstitute.Itiscalculated
inthesamemannerastheSPI.
R.6.2: FOR CANDIDATES WITH CREDIT REQUIREMENT OF 16 TO 22
CREDITS
i)Inthefirstsemester,ifastudentfailsinonlyonecourseandobtainsthegrade
FF, he/she can avail of a reexamination in that course at the end of first
semester.However,ifhe/sheobtainsmorethanoneFFgradeoranFRgrade,
he/sheisnotentitledforareexamination.
ii)ThecreditrequirementasprescribedbytheDPGC/IDPC/PGCmustnormally
becompletedattheendofthefirstsemesterbutcanbeextendedbeyondthe
firstsemesterifadditionalcourseshavebeenprescribed.
R.6.3:FORCANDIDATESWITHCREDITREQUIREMENTOFMORETHAN
22CREDITS
i)Astudentmustnotobtainafailuregrade(FR)formorethanonecoursein
his/herentirecourseprogramme,elsehe/shehastoquittheprogramme.
ii)Inasemester,ifastudentfailsinonlyonecourseandobtainsthegradeFF,
andifhe/shehasnotobtainedafailuregrade(FForFR)inthefirstsemester
then he/she can avail of a reexamination in that course at the end of that
semester. However, if a student obtains more than one failure grade, than
he/she is not entitled for a reexamination and he/she has to quit the
programme.
iii)Inagivensemester,ifastudentfailsinonlyonecourseandobtainsthe
gradeFR(afterareexamination,ifany),andifhe/shehasnotobtainedafailure
grade(FForFR)inanearliersemesterthenhe/shewillregistereitherforthe
samecourseorforanalternativecourseinthenextsemester,asprescribedby
theDPGC/IDPC/PGC.
iv)ThecreditrequirementasprescribedbytheDPGC/IDPC/PGCmustnormally
becompletedbytheendofthesecondsemester.
R.6.4:
AllcategoriesofstudentsnotfulfillingtherequirementsasenumeratedinR.6.2
andR.6.3areliabletodiscontinuetheirPh.D.programme.ThePGAPECwill
takeadecisioninthisregardafterreviewingthecasesofsuchstudents.

R.6.5QualifyingProcedure:
Some academic units (departments/ interdisciplinary programmes/ centres/
schools) prescribe qualifying examinations for the Ph.D. programme. These
mustbecompletedsuccessfullypriortoconfirmationofregistration.
CurrentlyfollowingAcademicUnitsoffersQualifiers.
1. ChemicalEngineering
2. ComputerScienceandEngineering
3. BiosciencesandBioengineering
4. Mathematics
5. IndustrialEngineeringandOperationsResearch
6. SystemsandControlEngineering
7. ElectricalEngineering
8. CivilEngineering
R.6.6:ConfirmationofRegistration
(a) Students registered under R.4.1 who successfully complete their course
creditrequirementsinone/twosemestershallbegrantedregistrationfromthe
beginningofthesemesterinwhichtheycompletethecoursecreditrequirements
orfromthedateofjoiningtheprogramme,whicheverislater.
(b)StudentsregisteredunderR.4.2orR.4.3shallbegrantedregistrationfrom
thefirstworkingdayofthesemesterfollowingtheoneinwhichtheycomplete18
coursecredits,providedtheycompletetheremainingcoursecreditrequirement
inthetwosemestersfollowingthedateofregistrationsogranted.

(c) Students registered under R.4.4.2 shall be granted registration on the

followingbasis:
i. ForB.E./B.Tech./M.Sc./M.Com./M.A.orequivalentdegreeholders,the
dateofconfirmationofRegistrationshallbeonesemesterfromthedate
ofJoining.
ii. ForM.E./M.Tech./orequivalentdegreeholdersthedateofconfirmation
shall be the date of joining if they complete the course work in ONE
semesteroronesemesterfromthedateofjoiningiftheytaketwoormore
semestersforcoursework.
iii. ForM.Mgt./MBAstudentsthedateofconfirmationofregistrationwillshall
bethedateofjoining,iftheycompletethecourseworkinONEsemester
or one semester from the date of joining if they take two or more
semestersforcoursework.
(d) Ph.D. candidates in the Interdisciplinary programme of Educational
Technology should maintain CPI of 7.00 for confirmation of their Ph.D.
registration.
R.6.7:AdditionalcoursesaftertheconfirmationofRegistration


All Ph.D. students may be allowed to register for extra credit courses, after
confirmation of registration by following the present rules for confirmation of
registrationi.e.SPI/CPIabove6.00,etc.
a)Thepresentprocedureforconfirmationofregistrationwillcontinue.
b)Extensionofregistrationbeyondthedurationasspecifiedintheruleswillnot
beconsideredduetoregistrationforextracreditcourses.
(Ref.168thMeetingoftheSenate)
R.6.8:
RegistrationdatesofallstudentsshallbedecidedbythePGAPEC.Thefinal
approvaltotheregistrationshallbegrantedbytheSenate.
R.6.9:Confirmationprocedure
TheprocedureforconfirmationofRegistrationshallbeasfollows:
i) Each student, on completion of the course requirements and Qualifying
Examination prescribed by DPGC/IDPC/PGC shall apply for confirmation of
Registration.
ii)ThecompletedapplicationformshallbeforwardedbytheDPGC/IDPC/PGC
to the PGAPEC, which will consider this application and confirm the date of
registrationaccordingtotherulesR.6.1toR.6.8above,asapplicable.
R.6.10:AcademicProbationtothestudentshavingmarginallylower
SPI/CPIthantheminimumrequiredforcontinuationoftheirstudies(Ref:
184th,190thand206thSenateMtg.)
ForstudentswhoareidentifiedbyPGAPECasineligibleforcontinuationofthe
DoctoralProgrammes,thefollowingopportunityisavailable:
a) PGAPEC will directly offer probation to the students who are found
eligible as per the norms defined by PGAPEC, without waiting for the
appealfromthestudent.However,thenecessarydeclarationsfromthe
studentsandtheirguardianswouldstillbetakenasperrequirementsina
reasonabletime,aftergrantofprobation.
b) Insomecases,wherein,PGAPECdoesnotofferProbationtoastudent,
an appeal can be made for probation via DPGC to PGAPEC by the
students,whichPGAPECcouldconsideronacasebycasebasisonits
merit.

c) Academic probation will be a one time exercise during the study

programmeofthestudentsfortheperiodofONEsemesteranddecided
byPGAPECinconsultationwiththeFacultyAdvisorandDPGC's.
d) FortheAcademicProbationSemester,thestudentsmustobtainsuchSPI
as to make his/her course work CPI greater than or equal to 6.0
immediately (excluding the dissertation project work) on including the
performanceofthesemesterofAcademicProbation.(Ref:207 thmeeting
ofSenate)
e) The concerned students must submit a declaration in the prescribed
format for consideration by PGAPEC before allowing the facility of
AcademicProbation.
f) FinancialSupportduringtheperiodofAcademicProbationinPh.D.
th
Programmes(NewPolicy) [Amended

asresolvedin198
Senate
Meetingheldon24032010]
i. ThestudentwhoareunderAcademicProbationmaycontinuetobe
paid Teaching Assistantship/Research Assistantship at the rate
applicabletothem.
ii. However,noTeachingAssistantshipdutiesshouldbegiventothem
onaccountoftheneedforthem,toconcentrateontheiracademic
performanceandtoimprovethesame.
iii. Therefore, these students would be expected to pay Non
Concessional Fees applicable to students of their academic
programme.
iv. Thedateofimplementationingeneral,shallbeprospectivefromthe
198thMeetingoftheSenateandnotrestropective.However,specific
casesmaybeconsideredforretrospectiveimplementationifdeemed
fitbytheConvener,PGAPECand/orChairman,Senate.
7.Supervisor/Cosupervisor
R.7.1:
IneachDepartment,applicantswillbegiven,atthetimeofselectingthedetails
ofvariousresearchtopics,areasproposedbyvariousfacultymembersforPh.D.
programmes,sothattheywillhaveanopportunitytodiscussthosetopicareas
withtherespectivefacultymembersandthereafter,indicatetheirchoiceinorder
of preference. The applicants shall then be interviewed by a committee
constitutedbytheDPGC/IDPC/PGC.
R.7.2:
a) All selected students shall be assigned tentatively to research
supervisor(s)atthetimeofselection.However,aDoctoral(Ph.D.)student
mayopttofindasupervisorattheendofthefirstsemester,ifhe/sheso

desires. The Head of the Department would act as supervisor until the
studentisassignedtoasupervisor.
b) Each external student shall have only one Supervisor in the sponsoring
organizationwherehe/sheisemployedandoneortwoattheInstitute.
c)TheResearchProgrammeandthespecificareaofresearchofaselected
studentshallbefinalisedbyhis/herSupervisor(s)aftermutualdiscussion.
AllResearchScholarsshouldbefinallyassignedtoResearchSupervisor(s)at
thetimeofconfirmationofRegistration.
R.7.3:
a)ChangeofSupervisor(s)underexceptionalcircumstancesshallbepermitted
onrecommendationoftheDPGC/IDPC/PGCafterobtainingtheconsentof(i)
thestudent(ii)thepresentSupervisor(s)and(iii)theproposedSupervisor(s).
b)Iftheresearchprogrammeand/orareaoftheworkrequiresmodificationdue
to this change, the students entire course programme requirement shall be
examined by the DPGCs/IDPCs/PGC. If there is a change in the research
programme and/or area of the work, the registration date may be revised, if
foundnecessary.
R.7.4:
a)WheneveraSupervisorleavestheInstitutepermanentlyortemporarilyfora
periodgreaterthanorequaltooneyear,theDPGCs/IDPCs/PGCsshallprovide
newsupervisor(s)forthestudentsbeingsupervisedbyhim/herbeforehis/her
departure.
b)WheneveraSupervisorleavestheInstitutetemporarilyforaperiodlessthan
oneyear,theDPGCs/IDPCs/PGCshallmakeanalternatearrangementforthe
guidanceofhis/herstudents.
c)TheDPGC/IDPC/PGCmayconsidercontinuationoftheoriginalSupervisor
onhis/herreturntotheInstitute,asCoSupervisorofhis/herstudentsdepending
ontheperiodforwhichhe/shehassupervisedthePh.D.Programmesofthe
studentsconcerned.
d)AnysucharrangementsmadeshallbeforwardedtoPGAPECforprior
approval.
R.7.5:
At any given time, the number of Institute research scholars working with a
supervisor shall not exceed three while the total number of all categories of
researchstudentsworkingwithhim/hershallnotnormallyexceedeight.

R.7.6:RESEARCHPROGRESSCOMMITTEE
Afterthecompletionofthespecifiedcourserequirementsbyacandidate,the
DPGC/IDPC/PGCwillconstituteaResearchProgressCommittee(RPC)forall
candidatesinconsultationwiththeSupervisorandCoSupervisorifany.The
RPCwillnormallyconsistoftheSupervisor&CoSupervisor(ifany)andtwo
otherfacultymembersconversantwiththefieldofresearch.TheCoSupervisor
and/ormemberoftheRPCmaybefromoutsidetheInstitute.(Ref.136 thMeeting
oftheSenate).
The names of the RPC members and any subsequent changes in its
compositionshallbecommunicatedbytheDPGC/IDPC/PGCtothePGAPEC
forrecord.
Normally one of the RPC member is expected to function as the internal
examinerfortheevaluationofthethesis.
The RPC is expected to monitor the progress of the candidate until the
completionoftheprogramme.
8.Placeofwork,ProgressandDuration
OntherecommendationoftheSupervisor(s)andtheDPGCs/IDPCs/PGCsthe
Institute mayallow the research workforthe Ph.D. degree to be partiallyor
whollycarriedoutatanotherorganizationwiththefollowingprovisions:
R.8.1:
a)Theexternalorganizationwhereastudentwishestocarryouttheresearch
workpartiallyorwhollyshallhavetoberecognizedbytheInstitutebeforesuch
workisundertaken. PersonsworkinginInstitutions,whichareaffiliatedto
Universitieswherefacilitiesforregistrationofpostgraduateprogrammes
existarenoteligibleforregistrationasexternalstudents.Thefinancialand
other implications, if any, of such an arrangement should be finalised at the
Institutelevel.Thestudent,however,shallnotbepermittedtochangehis/her
studentstatus(asgivenunderR.1.1)whileworkingatsuchanorganization.
b) An external organization may be granted recognition by the PGPC as an
approvedplaceofwork.
i)Therecognitionshallnormallybegivenonlyforthepurposeoftheindividual
researchprojectbyaparticularstudent.
ii) The details of research facilities available at the organisation shall be
furnishedbythestudentalongwiththeapplicationforadmissiontoPh.D.
programme.

iii)The DPGC/IDPC/PGC shall examine the details given and may decide
eithertoaskforfurtherinformation,orevencollectfirsthandinformation,if
necessary, bydeputing faculty member(s) to visit the organisation. Only
whentheDPGC/IDPC/PGCisfullyconvincedabouttheadequacyofthe
research facilities and the credentials of the external supervisor, it shall
recommendthecasetothePGPC.
R.8.2:
a) All students registered for Ph.D. irrespective of their category, shall
havetoregistereverysemesteralongwithabriefreportontheworkdone
intheearliersemester(s)andaplanfortheensuingsemester.
b) All candidates, after joining, shall submit, through the supervisor(s), an
AnnualProgressSeminaroftheirworkinthepreviousacademicyeartothe
concernedDPGC/IDPC/PGConceayearinJuly/Januarydependingupon
thetimeofadmission.Forallcategoriesofstudents,thisseminarmustbe
givenonorbefore31st Augustor31st Januaryofeachyearexceptforthe
following:
IncaseofCSIR/UGCfellows,thedatesoftheirAnnualProgressSeminar
shouldbefixedbyconsideringtherequirementsofthefundingagencyand
suchafixedscheduleshallbefollowedstrictly:asamendedinthe179 th
MeetingofSenateheldon12.05.2006.Regularresearchscholarsareliable
tolosetheirfinancialsupportiftheseminarisdelayedbeyondthesaiddates.
Suchseminarsarerequiredtobegiven(everyyear)untilthesynopsisand
thesisissubmitted.
This is also required for renewal/enhancement of assistantship and for
confirmation/continuationoftheirprogramme.
Allexternalstudentsmustalsogive,atleastoneSeminarperyearatthe
Instituteuntiltheysubmitthesynopsisandthesisaccordingtotheschedules
describedabove.
The following guidelines are being followed for avoiding delays in the
presentationoftheAnnualProgressSeminar:
1. EveryPh.D.studentmustpresenttheAnnualProgressSeminarasper
theprescribedscheduleeveryyear.
2. Incase,duetosomevalidreasons,ifhe/sheisnotabletopresentAnnual
ProgressSeminarintime,anapplicationforextensionmustbemadeat
least15daysbeforetheduedateofpresentation.

3.

Extension will be granted by PGAPEC on case to case basis with or

withoutfine@Rs.750/perweek,from1 stSeptember/1stFebruaryasthe
casemaybe,tillthedateofpresentationofAPS.

4. IftheapplicationforlatepresentationoftheAnnualProgressSeminaris
madeaftertheduedateanadditionalfineofRs.750/willbechargedfor
notapplyingforextensionintime.
5. ThereportoftheAnnualProgressSeminarinaprescribedformatshould
reachtheAcademicOfficewithinfourdaysafterthepresentation.
6.

Delaybeyond30th September/28th February(asapplicable)mayleadto

discontinuation/cancellation of Teaching Assistantship and/or
Registration.

7. The assistantship for the period beyond the due date of renewal/
enhancement of Assistantship will be released only after receipt of
satisfactoryreportsubjecttorecoveryoffine,ifany.
8.

All Research Scholars, irrespective of their basic qualifications should

giveAnnualProgressSeminarsaftercompletionofoneyearoftheirdate
ofjoining.ThisisapplicabletoResearchScholarswhohavejoinedtheir
Ph.D. Programme effective from July 2003. (Ref. 167 th Meeting of the
Senate).

Thecontinuanceofregistrationofallstudentsissubjecttosatisfactory
progressmadebythem.
TheaboverulesarealsoapplicabletoCSIR/UGCfellows. Incaseof
CSIR/UGC Fellows, the date of their APS be fixed by considering
requirementsoffundingagenciesandsuchfixedschedulebefollowed
strictly(179thSenatemeeting).
R.8.3:

a) Everyexternalstudentshallcarryoutapartofstudypertainingtohis/her
researchworkresidingattheInstituteforaperiod,whichshallinnocase
belessthanonesemester.
b) Residentialrequirementmustbefulfilledinthefirsttwosemesters
forstudentswithB.Tech./M.Sc./M.A.orequivalentqualification who
havebeenadvisedtoacquire18ormorecredits.
c) Students with M.Tech./M.E. or equivalent qualification who are
advisedtoacquirebetween16to22creditshavetofulfilltheresidential
requirementinthefirstsemesteronly.

d) Students sponsored by a local Organisation may, on the basis of an

applicationrecommendedbyDPGC/IDPC,beexemptedfromstayonthe
Institute campus while fulfilling the requirements under (a) above.
However, the work under this rule shall be carried out during normal
workinghoursoftheInstitute.
e) Theorganizationhastocertifythatthestudenthasbeenfullyrelievedof
normal duties/ granted leave during the period of the residential
requirement.
f) Externalstudentswillbeprovidedwithhostelaccommodationonlyduring
thesemester(s)inwhichtheresidentialrequirementisfulfilled.
R.8.4:
All students (except external students) have to carry out research in the
Instituteforatleastaperiodoftwocalendaryearsfromthedateregistration
beforesubmissionofthesis.Externalstudentshavetocarryoutresearchfor
atleastaperiodofthreecalendaryearsfromthedateofregistrationbefore
submissionofthesis.
R.8.5:
For all categories of students, the period of validity of their Ph.D.
registrationissixyearsfromthedateofregistration.Thestudentsmay
submittheirthesisbeforetheendofthisperiodsubjecttotheprovisionsof
R.8.4.
R.8.5:
Ph.D.studentswhohavebeenregisteredforfiveormoreyearsinthe
Ph.D. programme are required to submit a properly completed
applicationontheapprovalform,forextensionofPh.D.registrationto
thesubsequentyearinthePh.D.programme.Thisapplicationmustbe
completedandsubmittedonorbeforethelastdateforcompletingthe
AnnualProgressExaminationfortheyearpriortotheyearforwhich
extensionofPh.D.registrationisrequired.ApenaltyofRs.750/per
weekorpartthereof,shallbeimposedforanydelayincompletingthis
process,beyondthisdeadline.(Ref.197 th SenateAdjournedMeeting
heldon27012010)
9.ThesisEvaluation
R.9.1(i):PresynopsisSeminarandExamination
Priortothesubmissionofthesynopsisandthesis,acomprehensiveinternal
assessmentoftheresearchworkshouldbemadebyapanelappointedbythe
DPGC/IDPC/PGC in consultation with the supervisor(s). The panel must

compriseofatleasttwofacultymembers otherthan theSupervisor(s).These

wouldnormallyincludeRPCmembers.
a) Thispanelshallassesstheworkthroughapresynopsisseminarandreport.
Thestudentcansubmitthesynopsisonlyifthepanelissatisfiedaboutthe
qualityandquantityoftheworkforsubmissionasaPh.D.thesis.
b) Details of the presynopsis seminar shall be adequately notified so as to
enableinterestedstaffmembersandstudentstoattendthesame.
c) TheConveneroftheDPGC/IDPC/PGCshallforwardthepanelreportstothe
AcademicOfficeintheformatprescribedforPresynopsisExaminations.List
ofPublications/Conferencearisingoutofthethesistobesubmittedalong
withthePresynopsisreport.
d) Researchscholars/Staffwhohavecompletedtheirpresynopsisseminarand
examination may be permitted by PGAPEC, on recommendation of the
DPGCs/IDPCs/PGCs, to leave the Institute and submit the synopsis and
thesistogetherfromoutsidewithinaperiodoffourmonthsfromthedateof
presynopsisprovidedtheyfulfilltheprovisionsofallotherrules.Incasethe
studentdoesnotsubmithis/hersynopsis&thesistogetherwithinfourmonths
fromthedateofpresentationofpresynopsisseminar,his/herregistrationwill
bedeemedtobecancelled.
e) Two Published papers (refer R.9.1 (ii)) arising out of the thesis to be
submittedalongwiththePresynopsisreport.
R.9.1(ii):TwoPublishedpapers[arisingoutofthethesistobesubmitted
alongwithPresynopsisreport]
Priortothesubmissionofthesynopsisandthesis,thefollowingrequirements
havetobemetbythestudent:
Atleasttwopaperspublished/acceptedforpublicationinrefereedjournals
ofrepute
OR
Atleastonepaperpublished/acceptedforpublicationinareferedjournal
ofreputeandatleastonepaperpublished/acceptedforpublicationinthe
proceedingsofanInternationalConference.

TheconcernedPGCswillbetheauthoritytodecideuponthequalityofjournal
and standard of publications and its equivalence (Ref. 177 th Meeting at the
Senateheldon19th October2005)(applicabletostudentsjoinedinJuly2005
andonwards).
OR

R.9.1(iii):1. If a journal paper is under review, RPC may recommend the

submission of the synopsis and thesis for starting the thesis examination
process. The final viva will be conducted after(i)fulfilling the publication
norms [R.9.1(ii) as above] OR (ii) receiving positive reports from three
examiners.
2. Incaseofnonavailabilityofreputedjournalsinspecificareas,theconcerned
Academic Units may propose to the Senate a list of other peerreviewed
researchpublicationstobeconsideredasequivalenttojournalpublications
forthepurposeofthesissubmission.
3. Formaintainingpublicationstandards,theAcademicUnitsshouldmaintaina
listofrelevant(a)internationalconferences,(b)journalsandotherequivalent
peerreviewedresearchpublications.
(Amendment in 214th Senate Meeting held on 13th November 2013 Item
No.A.1.2)
R.9.2:SubmissionofSynopsisandThesis
R.9.2.1Thestudentshallsubmit4copiesofthesynopsisand56copiesofthe
thesistotheDPGC/IDPC/PGCwithinaperiodoffourmonthsfromthedateof
presentationofpresynopsisseminar. IncasetheSynopsisandThesisare
notsubmittedinthespecifiedperiod,thestudentmaybeaskedtopresent
anotherpresynopsisseminar.
R.9.2.2Patentisbeing/hasbeenfiled.(Ref:207thMeetingofSenate)
AtthetimeofSynopsis/Thesissubmission,theSupervisorshouldselectoneof
the following options for evaluation of the thesis in the Synopsis submission
form:
1) The thesis evaluation be processed at the earliest possible
OR
2) The processing of the thesis evaluation be taken up after a communication from
the Supervisor or SIX months whichever is earlier, as a patent is being /has been
filed and there is a need to maintain the confidentiality of proprietary information.
OR
3) The thesis be sent for evaluation after the Non-Disclosure Agreement has been
signed by the examiner, and there is a need to maintain the confidentiality of
proprietary information. The student has been informed that obtaining NDA from
prospective examiners may delay the thesis evaluation.
R.9.2.3 Thesynopsiswrittenintheapprovedformatshallbesubmittedtothe
DPGC/IDPC/PGC,fourcopiesofthesynopsiswillbesubmittedtotheAcademic
Officewiththecertificateslistedinpoint9.2.4below.

R.9.2.4
(a) Certificate from the Deputy Registrar (Academic) that the prescribed
coursecreditsarecompleted.
(b) Certificate from the Convener, DPGC/IDPC/PGC that the presynopsis
seminarexaminationhasbeencompletedsatisfactorily.
(c) CertificatefromtheResearchSupervisor(s)confirming(i)thatthereisa
prima faciecaseforconsiderationofthethesis,(ii)thatthethesisdoes
notcontainanyworkwhichhasbeenpreviouslysubmittedfortheaward
oranydegreeexcepttotheextentofcollaborationasspecifiedin9.2.4
c(iii)and(iii)theextentofcollaboration,ifany.
R.9.2.5 Postgraduate Committee (PGC) should take the concurrence of the
ResearchProgressCommittee(RPC)/panelforthe presynopsisexamination
of the concerned Research Scholar before accepting the synopsis and
forwardingitalongwiththepanelofExternalExaminer.TheRPC/panelforpre
synopsisexaminationshouldensurethattheliterarypresentationofthesynopsis
is of acceptable standard and the technical contents of the synopsis are
representativeofthecontributiousofthePh.D.thesisbeingsubmitted.
R.9.2.6StudentsshouldalsosubmitanelectroniccopyofthesynopsisinPDF
format,whichistobemailedtodracad@iitb.ac.in
R.9.2.7ThethesisshallbewrittenintheapprovedformatfoThesis.Guidelines
forThesispreparationmaybecollectedfromtheAcademicOffice/downloaded
fromacademicwebsite.
R.9.2.8 The DPGC/IDPC/PGC in consultation with the Supervisor(s) shall
recommendtothePGPC,apanelof8ExternalExaminers(expertsforthesis
evaluation)aswellasthe names of theChairperson (2 names) and Internal
Examiner for the Ph.D. VivaVoce. It is recommended that the panel of
examiners for thesis evaluation shall contain at least two experts from
reputedInstitutionsoutsidethecountry (Ref.136th SenateMeetingheldon
27.11.1996).AlsoreferRuleR.9.4.(ii)(a).
R.9.2.9 Expertswhohavebeenthesisexaminersduringtheprecedingoneor
twoyears,shouldnotnormallybeincludedinthepanel.
R.9.2.10 The DPGC/IDPC/PGC should send the panel of examiners to the
AcademicofficeinclosedCONFIDENTIALcoveratleasteightdaysbeforethe
dateofsubmissionofsynopsisandthesisbythestudent.(Ref.171 stMeetingof
theSenate).

R.9.2.11 Along with the thesis, the student shall submit the requisite forms
containingtheauthorizationfromtheResearchSupervisor(s)forsubmissionof
thethesisandacertificatefromtheAccountsSectionandtheHostelthatthere
arenoduesagainstthestudent.
R.9.3:

FormatforSynopsisandThesis

The length of the Synopsis shall be one thousand to four thousand words
includingtablesandfigures.TheSynopsisshouldbetypedonA4sizepapers
inoneandhalfspace.GuidelinesforpreparationoftheSynopsisandtheThesis
maybecollectedfromtheAcademicOffice.
R.9.4:
A)SelectionofExaminersfromthePanelofExaminers:
i) FromthepanelofexternalexaminersdulyapprovedbythePGPC,the
Chairman,Senateorhisnomineewillchose 5 names.Thesynopsisof
thethesiswillinitiallybesenttofirstthreeexaminers.Thefourthand/or
fifthexamineraresubsequentlyinvitedasalternatives,ifoneormoreof
thefirstthreeexaminersindicatedcannotbeappointed.Twonameswill
besuggestedtoserveasChairman,BoardofExaminers,forconducting
the VivaVoce, the supervisor being free to request either person.
(amendedasresolvedin136th,181stand190thmeetingoftheSenate).
OR
th
ii) (204 Senatemeetingheldon11thMay2011)
a)Thestudents who already have more than two quality
publications in journals at the time of submission of the Ph.D.
Thesis:Onspecificrecommendation to that effect, by the
Research Progress Committee (RPC)/ the Presynopsis
ExaminationCommitteeoftheparticularPh.D.Student,followedbydue
endorsementbytheconcernedPostgraduateCommittee(PGC)of
the Academic Unit (DPGC/ CPGC/ SPGC/ IDPC) the following
modification of the mechanismof final evaluation of the Ph.D.
Thesiswouldbepermitted:TheThesiswouldbesentfor
evaluationtotwoexternalexaminersfromamongapanelof
externalexaminersrecommendedbytheconcernedPGC,and
selectedbytheChairman,Senateorhisnominee(currentlythe
Dean,AcademicProgrammes). Inaddition,theconcernedPGCwould
recommendapanelofpossibleexaminers fromwithintheInstitute,
whocouldalsoevaluatethePh.D.Thesis,justasanexternalexaminer
would. The Chairman, Senate or his nominee (currently the Dean,
Academic Programmes) would select one examiner from among this
panelasthethirdexamineroftheThesis. Permissionfortheconduct
ofthePh.D.VivaVoceExaminationwouldbegrantedonreceiptof

two favourable reports from among the three examiners so

appointed.
b)Anexternalexaminer,fromamongtheapprovedpanelofexaminers,
would always be required in the panel for the Ph.D. Viva Voce
Examination.Inotherwords,itisnot permissible to substitute the
external examiner in the Ph.D. Viva VoceExaminationbyan
examinerfromwithintheInstitute.However,theexternalexaminercould
participateintheexaminationbymeansof VideoConferencing
in case he/she could not be physically present for whatever
reason(s). The Chairperson of the Ph.D. Viva Voce Examination
PanelwouldberequiredtocertifytheacceptanceoftheThesis
andsuccessfulconductofthePh.D.VivaVoceExamination
on behalf of the external examiner, when the external
examinerparticipatedthroughVideoConferencing.
c)Inaddition,therequirementofaninternalexaminerinthePh.D.Viva
Voce Examination Panel, who fulfilled the same role as was currently
assignedtotheinternalexaminer,wouldcontinuetohold.
d)ThemodifiedschemeinPointR.9.4.A)ii)a)above,isapplicableonly
forthecaseofstudentswhoalreadyhadanextraordinary
record of publications as evaluated by the RPC/ Presynopsis
Examination Committee and the PGC and with the specific
recommendationoftheRPC/PresynopsisExamination Committee
andthePGC.Themodificationwasmeanttoprovideastrongincentive,
fordoingbetterthanaveragework,leadingtothePh.D.Thesis.Itisalso
emphasizedthat,asofthepresent,onlyqualitypublicationsaretobe
treated as external markers which allow for such a special
concession.
e)Thepresentminimumrequirementofpublications/publication
equivalentswouldcontinueforsubmissionofPh.D.Theses.
f)IfthemodifiedschemedescribedinPointR.9.4.A)ii)a)is
notapplied,thentheschemedescribedinR.9.4.AI)ofsendingthe
ThesistothreeexternalexaminersandconductingthePh.D.Viva
VoceExaminationonreceiptoftwofavourablereportsfromexternal
examiners and the concurrence of the internal examiner +
supervisor,wouldcontinueaspercurrentpracticeandprocedure.

B)TherefereesshallindependentlyreporttotheSenatethroughtheRegistrarof
the Institute,preferablywithin sixweeksfromthe date oftheirreceiptofthe

thesis. The Registrar should convey to the referees that their reports should
include:
i) A critical survey and evaluation of the quality and quantity of the work as
embodiedinthethesis.
ii) Questions, if any, to be asked or points to be clarified at the vivavoce
examination,and
iii) A definite recommendation as to whether the thesis is acceptable for the
awardofthedegreeofDoctorofPhilosophy.
C)TheInternalExaminerofthePh.D.thesiswillbeafacultymemberofthe
Institute,whoisamemberoftheRPCoftheconcernedstudent.
D) If a referee in his/her report is not in a position to make a definite
recommendationfortheawardofthedegree,heshouldberequestedtoassist
theSenateindecidingwhetherthestudentisrequiredto:
i)Makesubstantialrevisionsinvolvingrewritingofoneormorechapterswithout,
however,doinganyfurtherresearchwork.
ii) Completely rewrite the Thesis, if the thesis, though not acceptable in the
present form, reveals sufficient quality and quantity of work to warrant the
student being given an opportunity for further research work and/or
reinterpretationofresults.
R.9.5:
a)Thecopiesoftherefereesreportwillbemadeavailabletothesupervisor/co
supervisor and the internal examiner. They may submit their report for
consideration and approval by the PGAPEC ensuring that all the corrections
includingminormodifications,revisionsuggestedbytheexternalrefereeshave
been/willbeincorporated.Theymayalsorecommendwhetherthepresenceof
an external examiner is required during the Ph.D. defence. (amended as
resolvedin136thSenatemeetingheldon27.11.1996)
b)Onthebasisoftherefereesreports,thecommentsoftheSupervisor(s)and
Internalexaminer(s)thereon,thePGAPECshall,recommendtotheChairman,
Senate whether the thesis be accepted for the vivavoce examination or be
rejectedorbereferredagaintoanewreferee.
c)Athesismaybeconsideredacceptableforholdingthevivavoceexamination
ifatleasttwoofthethreerefereesgiveapositiverecommendation.Incasetwo
orallthreerefereesgiveanunfavourablereport,thePGAPECshalllookatthe
casetodecidefurtheraction.

f) The Senate shall, however be the final authority in deciding whether the
thesisbeacceptedfortheawardofthedegree.
R.9.6:
a) If the referee(s) recommend acceptance of the thesis subject to major
modificationsonly,thethesiscanberesubmittedonlyonceafterincorporating
the modifications, within a period of three months. However, the permissible
period of three months is extendable on casetocase basis for a maximum
periodofsixmonths.
b)Athesisrejectedbytwoorthreerefereesmayberesubmittedafterrevision,
notearlierthanoneyearandnotlaterthantwoyearsfromthedateofsuch
intimationtothestudentbythePGAPEC.Thethesissoresubmittedmaybe
examinedbythesamerefereesorbynewreferees.
c)Rejectionofthethesissoresubmittedwilldisqualifythestudentfromfurther
considerationfortheawardofthePh.D.degree,inthetopicofresearchchosen
byhim.
R.9.7:
a) A student, whose thesis has been accepted for the award of the Ph.D.
degree, shall be required to defend his/her work at an open vivavoce
examinationconductedbyaBoardofExaminersattheInstitute.
b)TheBoardofExaminersshallbeappointedbytheChairman,Senateand
itshallconsistof:
i)AprofessoroftheInstitute,outsidethedepartmentasChairman;
ii)Theresearchsupervisor(s);
iii)AfacultymemberoftheInstituteconversantwiththesubjectto
actasaninternalexaminer;and
iv)Oneofthereferees,failingwhichanexaminerfromtheapproved
panel.
c)TheBoardofExaminersshallsubmititsreportintheprescribedformtothe
Senate.
R.9.8:
a)Onsatisfactorycompletionofthevivavoceexamination,thedegreemaybe
conferreduponthestudentafterapprovalbytheSenate.
b) If a thesis has been accepted but the student fails at the vivavoce
examination,he/shemaybepermittedbytheSenateChairmantoreappearfor

vivavoceexaminationagainatalaterdate.TherecommendationsoftheBoard
ofExaminersconductingthevivavoceexaminationshallbeconsideredintaking
adecisioninthisrespect.
c)AftersuccessfulcompletionofthePh.D.Vivavoceexamination,thestudent
shallsubmittotheAcademicOfficethefinalcopiesofhis/herapprovedthesis,
duly bound, together with the application for submission of the same in the
prescribedformat,withinTWOmonths,fromthedateofdefence.
Ifthecopiesofthesisaresubmittedaftertheduedate,afineofRs.5000/
permonthfromtheduedateofsubmission,tillthedateofsubmissionwill
beleviedtotheconcernedstudent(Ref:207thMeetingofSenate).
Thefinaltranscripts/provisionaldegreecertificate/finaldegreecertificatewillbe
issuedonlyafterreceiptofthefinalcopiesoftheThesis.
R.10.TeachingAssistantship
R.10.1:
TheInstituteresearchscholarswillbepaidscholarshipatarateinaccordance
withthedirectivesfromtheappropriateauthorities.
R.10.2:
InstituteresearchscholarsareeligibletoreceiveAssistantshipforamaximum
periodoffour/fiveyearsaccordingtotheirqualifyingdegree,ascommunicated
bytheMHRD.
R.10.3
a) All Institute research scholars shall apply for enhancement of Assistantship two
weeksbeforecompletionoftwoyearsfromthedateofjoining.Theyshallsubmitfive
typedcopiesofsummaryoftheirworkdescribedinfivetosixpages,totheConvener,
DPGC through their respective supervisor(s). A special committee either for each
researchscholarorforagroupofthemasmaybefoundconvenient,consistingofthree
or four members, including the Supervisor(s) shall be constituted by the
DPGC/IDPC/PGC for this purpose. Each research scholar concerned shall give a
seminarbeforethiscommitteewhichwillassessthecandidateswork,progressand
makesuitablerecommendations.Therecommendationsofthecommitteealongwith
the application for enhancement of scholarship of the research scholar should be
forwarded by the DPGC/IDPC/PGC (comments, if any) to the PGAPEC within two
weeksaftercompletionoftwoyears.

b) Subject to satisfactory assessment, the candidates will be eligible for

enhanced Assistantship from the completion of two years from the date of
joining.
c) If in the opinion of the committee, the enhanced Assistantship cannot be
recommended,thecommitteemaystipulateaperiodoftime,notlessthatthree

months, for the candidate to reappear before the committee for the
considerationofenhancedAssistantship.
d) ContinuationofTeachingAssistantshipuntiltheperiodofentitlement.
(191stSenate24122008)
The Research Scholars with Teaching Assistantship/ Fellowship/
FinancialSupportroutedthroughtheInstitutewhosubmittheirthesisbeforethe
stipulatedperiodof4/5years,maycontinuetoavailoftheirfinancialsupport
untilthedateoftheirPh.D.VivaVoceExaminationortheendoftheperiodof
theirentitlement,whicheverisearlier.
The Head/ Supervisor of the concerned Department may recommend
suchcasesbycertifyingtheneedsinconsultationwiththePh.D.Supervisor(s).
R.10.4:AwardofTeachingAssistantshiptoPh.D.studentswithB.Tech.
fromIITswithoutGATErequirements.(192ndSenatemeeting)
TeachingAssistantshipwillbeawardedtothePh.Dstudentsadmitted
withaB.TechqualifyingdegreefromtheIITs,withoutGATErequirements,
providedthecandidateshadaCGPA/CPIgreaterthanorequalto8.00ona10
pointscaleintheirB.Tech.Degree.
11.

LEAVERULES

R.11.1
AllResearchScholarsunderTA/RA/SFareentitledforleaveforamaximumof
thirty days per year in addition to Public Holidays. Also 10 days leave on
medicalreasonsispermitted.Theleaveduecanbecarriedovertothenextyear
andaccumulatedupto90days.
R.11.2
WomenScholarsareentitledformaternityleaveatthefullrateforaperiodof
notexceeding180days,onceduringthetenureoftheirstudentship.Thisshould
besupportedbyamedicalcertificate.
R.11.3
MaleScholarsareentitledfor15dayspaternityleaveonceduringthetenureof
theiraward.Thisshouldbesupportedbyamedicalcertificate.
TheHeadofDepartment/Academicunit/ConveneroftheInterdisciplinary
Programmeisauthorizedtosanctiontheaboveleave.
R.11.4
NovacationinSummer/Winterisadmissible.

R.11.5SpecialLeavetoattendSeminars/ConferencesinIndia/abroadtopresent
researchpapers,withthepermissionofthe DeanofAcademicProgrammes,
isadmissible.
R.11.6ResearchScholarsunderCSIR/UGCandothercategoriesaregoverned
bytherulesofthebodieswhichprovidefinancialsupport.
R.11.7
M.Sc.+Ph.D.(DualDegree)Leaverules
i)Leaverulesasapplicablefor2yearM.Tech.programme(note:nottwoyear
M.Sc.Programme)befollowedforsuchstudentsuntilthepointofconfirmation
of Ph.D. Registration typically at the end of the fifth semester of the Dual
Degreeprogramme.
ii) Ph.D. Leave rules be followed after the point of Confirmation of Ph.D.
Registration.

August2014