INDIANINSTITUTEOFTECHNOLOGYBOMBAY

RULESANDREGULATIONS

Ph.D.Programme

AcademicOffice

20152016

July,2016

 INDIANINSTITUTEOFTECHNOLOGYBOMBAY

RULESANDREGULATIONS

Ph.D.Programme

As a result of the sound research base and extensive infrastructural

facilitiesavailable,the Institute offers a Ph.D. Programme in a wide range of
areas in Engineering, Science, Design and Humanities & Social Sciences,
Management.ThebroadobjectivesofthePh.D.programmeare:tokeeppace
with the expanding frontiers of knowledge and to provide research training
relevanttothepresentsocialandeconomicobjectivesofthecountry.

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
all the Science, Engineering, Design and Humanities & Social Sciences,
Managementdepartments.Inadditiontothefacilitiesavailableinthelaboratories
andWorkshopsofhis/herowndepartment,aPh.D.scholarhasaccesstothe
central facilitiesavailableelsewhereintheInstitutealso.Severaldepartmental
andInstitutelevelseminarsareheldthroughouttheyear. Alargenumberof
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.

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Ph.D.RulesandRegulations

Ordinances

The Ordinances of the Institute shall take precedence over the Rules in the
matterofanydispute.

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)and threeyearsinthecaseofexternalstudentsafter
theirdateofregistrationonatopicdulyapprovedbytheSenate.

ii)Thethesissubmittedbythestudentisrequiredtoberecommendedforthe
award ofthe Ph.D. degree bytwo external refereesand 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.

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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 subject dulyapproved bythe Senate,and has successfully
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
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 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/provisionalcertificatesoftheir
qualifying degree by the Doctoral students (Ref: 197 th Senate
Meeting)

a) AllPostgraduatestudentsshouldordinarilysubmittheircertificates
latestby30thSeptember/30thJanuarywhenadmittedinthe
Autumn/SpringSemester,ofagivenacademicyear,
respectively,afterjoiningtheInstitute.
b) Thestudentswhoareunabletosubmittheircertificatebythese
dates,shouldapplyforextensionalongwithanundertakingstating
theduedateforsubmission,givingproperreasonsonprescribed
formtobedevelopedforthepurpose.
c) Evenifastudentdoesnotsubmitthecertificateuntilthe
commencementoftheSemesterendexamination,he/shewould
beallowedtoappearintheexamination.However,theresultsof
suchastudentshallbewithhelduntiltherequireddocumentsare
produced.
d) Casesofstudentswhodonotsubmitthecertificatesafterthefirst
semesterwillbereportedtothePGPCandtheSenateforfurther
considerationanddecisions/actions.

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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)
A) TeachingAssistantship(TA)
Thestudentsunderthiscategoryareentitledtofinancialsupport(Teaching
Assistantship),irrespectiveoftheirlastqualification,asperMHRDnorms
(revisedw.e.f.1102014).
TA Five (5) years, from the date of @ Rs. 25000/- p.m. for 1st two
Award of fellowship (Generally years.
date of joining the programme) After completion of 2 years of
till the date of Submission of fellowship and on receipt of
Thesis or till Date of change of satisfactory report on successful
category or till date Cancellation presentation of Progress Seminar,
of Registration, whichever is the fellowship will be enhanced @
earlier. Rs. 28000/- p.m. for subsequent
years (i.e. 3rd, 4th, & 5th year).

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Further,thefollowingcriteriatobemetbythesestudentsforgetting/continuation
ofTeachingAssistantship:
i. thestudentsconcernedmustassistinteachingorresearch,asassigned
by the respective Academic Unit to the extent of 8 hours of work per
week.
ii. the continuation of the assistantship will be subject to satisfactory
performance ofthe dutiesassigned bythe AcademicUnits aswell as
satisfactoryacademicperformance.
iii. thestudentsshouldnotbeemployeesontherolls(withorwithoutpay)of
anyorganization.(i.e.Theemployeesonrollsofanyorganization(withor
withoutpay)arenoteligibleforadmissionunderTAcategory).

B) 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.

C) FellowshipAward(FA)
These candidatesare financiallysupportedundervariousGovt. /SemiGovt.
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

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Atomic Energy (DAE), etc. and several other organizations such as Forbes
Marshall, Textile Machinery Manufacturers Association (TMMA), International
Energy Initiative, etc. The admission procedure and other requirements are
sameasapplicabletoTeachingAssistantship.

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

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
Governmentaloreducationalinstitutionson studyleavefora period notless
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.

G) InstituteStaff(IS)
ThiscategoryisonlyforthepersonsemployedasInstituteStaffatIITBombay.
i) ThecandidateshouldhaveworkedintheInstituteforatleast2years
holdingthesamepositionwhichthedegreeprogrammeistobepursued.
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 ii) The concerned academic unit will shortlist the eligible candidates.
Admissionwillbeonthebasisofwrittentestandinterviewasapplicable
totheconcernedprogramme.
iii) Ifselected,thepermanencyorotherwiseofthecandidatewillnotcomein
thewayofadmissionprocess.
iv) Ifacandidatehasanexperience(2years)ofworkingintheInstitutebutis
not continuing in the same position while pursuing the degree, then
he/shemaybeconsideredunderthe'SelfFinanced'andnotunderthe
'InstituteStaff'category.

H) ProjectStaff(PS)
This category refers to candidates employed at IIT Bombay and working on
sponsored projects undertaken by the Institute and admitted to the Ph.D.
programme,ifthe durationoftheProjectatthetimeofadmissionisaround3
yearsormore.

I) ResearchAssistantship(RA)
Depending upon the requirements, each Academic Unit may induct ONE
ResearchAssistanteveryyear.

TheStudentsunderthiscategoryareentitledtofinancialsupport(Research
Assistantship),irrespectiveoftheirlastqualification,asperMHRDnorms
(revisedw.e.f.1102014).

RA Five (5) years, from the date of
Award of fellowship (Generally
date of joining the programme)
till the date of Submission of
Thesis or till Date of change of
category or till date of
Cancellation of Registration,
whichever is earlier.
@ Rs. 28000/- p.m. for 1st two
years.
After completion of 2 years of
fellowship and on receipt of
satisfactory report on successful
presentation of Progress Seminar,
the fellowship will be enhanced @
Rs. 31500/- p.m. for subsequent
years (i.e. 3rd, 4th, & 5th year).

Further,thefollowingcriteriatobemetbythesestudentsforgetting/continuation
ofResearchAssistantship:
i. Ph.D.ResearchAssistantshavetolookafterthelaboratoriesandalso
assistinteachingorresearchorotherworkassignedbytherespective
AcademicUnit.Theyarerequiredtoworkforabout20hoursaweek.
ii. the continuation of the assistantship will be subject to satisfactory
performance ofthe dutiesassigned bythe AcademicUnits aswell as
satisfactoryacademicperformance.

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 iii. thestudentsshouldnotbeemployeesontherolls(withorwithoutpay)of
anyorganization.(i.e.Theemployeesonrollsofanyorganization(withor
withoutpay)arenoteligibleforadmissionunderTAcategory).

J) 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.Orequivalentwithavalid GATE scoreorqualified
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.

K) External(EX)
ThecandidatesemployedinrecognizedR&Dorganizationsanddesirousof
pursuing Ph.D. programme while in employment may applyforadmission 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

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 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. Topromote interactionandassociationoftheInstituteFacultyandthe
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.
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.

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 Candidatesadmittedunderthiscategorywillbetreatedonparwith'Self
Finance'categoryasfaraspaymentoffeesanddepositsareconcerned.
Place for research will be IIT Bombay even though candidate may be
carryingoutpartofworkattheirInstitute.Thesecandidatesarerequired
to be available to the Supervisor (internal) for interaction during week
ends,holidaysandvacations.

R.1.2:Registration/TemporaryWithdrawalfrom/LeavingtheProgramme

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. (Amendedasresolvedin196 thSenate
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
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 requiredtocompletealltheformalitiesregardingthechangeofstatus
withinoneyearofleavingtheInstitute.

2.EligibilityforAdmission

R.2.1.:MinimumQualificationforAdmission (Generaleligibilitycriterion
forAdmissioninallAcademicUnits).

Oneofthefollowinginappropriatesubjectareas:
1. 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.

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
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 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)AwardofM.Phil.DegreetothePh.D.studentsfromScienceStream

Astudentwhohasearned34creditsthroughcourseworkduringthePh.D.
ProgrammemaybepermittedtoregisterfortheM.Phil.Programme.Thisis
permitted in the Departments of Physics, Chemistry, Mathematics, Earth
Sciences,BiotechnologyandHumanities&Social Sciences.To obtain an
M.Phil.Degreethestudentmustsuccessfullycompleteoneyearofproject
workleadingtothedissertation.

c)AwardofM.S.byResearchtothePh.D.studentsfromtheEngineering
Stream(Amended:Ref.136Th&221stMeetingoftheSenate)

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.

Procedures for Exit option from Ph.D. Programme to M.S. By Research

(Ref. : 221st Meeting of the Senate)
1. If PGAPEC decides to recommend discontinuation of Ph.D. with
an option of conversion to M.S. (Research) then the student will
be informed accordingly.
2. The student should apply for conversion within a month, along
with a work plan & proposed timelines for the completion of M.S.
(Research) degree, through the Supervisor.
3. If the student applies, and the work plan & timelines are
approved by the PGAPEC then the Ph.D. is discontinued &
converted to M.S. (Research).
4. If no response received by the student within a month, the
PGAPEC may recommend discontinuation of his/her Ph.D.,
without the option of conversion to M.S. (Research).

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 Procedures for Evaluation of the M.S. Thesis (Ref : 190 th and 2011th
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.
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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.2.4:ConcurrentregistrationofanyPGdegreeatanotherOrganization
byanyStudent

Anystudentwhoconcurrentlyregistersforanypostgraduatedegreeat
anotherorganizationshallbeautomaticallyderegisteredatthe
Institute.

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.

15
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.studentswillbeallowed to completeextracreditcourses,ifnecessary
(Ref:168thSenatemeeting)

R.4.1:ApplicabletostudentswithM.Tech.orequivalentdegree
(Amended:136thSenatemeeting)

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.

16
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 courses could be taken in anyacademicunit (department/
centre/interdisciplinaryprogramme/school)intheInstitute.

b) Credits acquired through PG level courses shall be 24 or more

(minimum4courses).

c) Thestudentsmayearnuptoamaximumof8creditsthroughSeminars,
whichshouldbespreadovertwosemesters.

R.4.3.:ApplicabletostudentswithB.Tech.orequivalentdegreeandM.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 maximumof 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
be decided andadministrated bytheDepartmentsubjectto minimumcourse
creditrequirementsasprescribedbythe Institutenorms.Studentsshouldbe
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:183 rdPGPCmeeting).

17
R.4.4.2:ApplicabletostudentsofSchoolofManagement
(Amended:186thSenatemeeting)

ThecourserequirementforstudentsenteringwithanM.Mgt.oranequivalent
degreeshouldbeaminimumof40creditsandmaximumof64credits.Forall
otherstudentsthecourserequirementwouldvarybetween52to64credits.

Candidateswhoregisterfortheminimumcreditsshouldcompletethemwithin
twosemestersasperrule,whereasstudentswhohavebeenassignedcourse
creditrequirementsmorethanminimum,maybeconsideredonacasebycase
basisbythePGCoftheSchool.Theirtimeperiodofcompletionofcoursework
maybeappropriatelyrecommendedtothePGAPEC.However,thetotalperiod
admissibleforcompletingtheprogrammewillremainunchangedinallcases.

R.4.4.3:ApplicabletostudentsofIDC(Ref:173 rdSenateMtg.)
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.:ReductioninCourseCreditrequirement
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:Minimum/MaximumCoursecreditregistrationinaSemester
ThefulltimestudentsshallregisterthroughtheirrespectiveFacultyAdviser(s)/
Supervisor(s)fornotlessthan 18 creditsinthe firstSemester of the course
programmeifthetotalcreditsrequiredare18ormore.However,staffmembers
oftheInstituteadmittedtoPh.D.programmeshallregisterfornotmorethan18
creditsinthefirstSemesteroftheprogrammeifthetotalcreditsrequiredare
28ormore.Otherstudentswithcoursecreditsrequirementsbelow18credits
shallregisterthroughtheSupervisor(s)fortheentireprescribedcreditsinthe
firstSemesteritself.
18
R.4.7.:LanguageCourses
Alanguagecourseshallnotformapartoftheminimumrequirementsofcredits,
prescribedforstudentswithM.Tech.orequivalentqualification.

R.4.8.:ExtensionforCommencementofCoursework
Students who are unable to commence their course programme during the
SemesterinwhichtheyhavebeenadmittedshouldapplytoPGAPECthrough
DPGC/IDPCs/PGCsandobtainpermissiontocommencetheircourseworkin
thefollowingsemester.

R.4.9:Theprocedureforregistrationofcoursesshallbeasfollows:
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
comply with the creditrequirementslistedunderR.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:AdjustmentofCourse(s)
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.

19
R.4.11:Droppingofcourse(s)
A student may drop 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.4.11(i)CourseWithdrawngrade(Ref.221 stmeetingoftheSenate)
Afterthelastdateofcourseadjustment,astudentcandropcourse(s)tillthelast
dateofdropping,asannouncedintheacademiccalendar.Suchcourseswill
appearinthetranscriptsandfinalgradecardwitha'W'grade(withdrawngrade).
ThesecourseswillhavenoimpactonSPI/CPI.

R.4.12:DurationforDroppingofcourse(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) ThecoursesaredeemedtobesuitableforPh.D.courseworkbyDPGC.
ii) The courses have been completed within a period of two years
immediatelyprecedingthedateofjoiningthePh.D.programme.
20
SuchstudentsneedtofulfilltheresidentialrequirementattheInstitute.

5.CourseAssessmentandAwardofGrades

R.5.1:GradePoints
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,0points),
NP(notPassed,0points),AU(Passed,0points)DX(0points)andW(0points).
Minimum passing grade in a course is DD. Some courses are only
associated with PP/ NP grades. In such courses, satisfactory completion is
indicatedbytheawardofthePPgrade.

TheminimumpassinggradeforallUGandPGcoursesisDD. However,PG
students should acquire a minimum CPI of 6.00 at the end of each
semester.

R.5.2:FailureGrades
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:Reexaminationinacourse
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 as prescribed by the Instructor. The Instructor shall
includesuchAUgradesinthefinalgradereportforthatcourse.Ifthestudent
doesnotqualifyforthegradeAU,itwillbeassumedthatthecoursehas
beendroppedbythatstudentandthesemestergradecardissuedaccordingly.

21
R.5.5:AdditionalLearning(Ref:210 thSenatemeeting)
ThestudentshaveanoptionoftakingacourseasAdditionalLearningThese
courseswillbeinadditiontotheminimumcoursecreditrequirementandwillnot
effecttheSPI/CPI,buttheactualgradesobtainedwillbeshowninthegrade
card and transcript. There will be onetime option of changing the tag of a
course.Registration foradditionalcourseswill require approval ofthefaculty
advisor.
The option of permitting student to register a course as Audit is left to the
courseinstructor.

R.5.6:IIgrades(Ref:207thmeetingofSenate)
Thegrade II shallbe awarded to a studentina lecture/laboratorycourse if
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
AcademicOffice before the end of the semester. All such II gradesshall be
convertedintosuitablelettergradesinduecourseoftime,beforeonemonth
followingtheendofthesemester.

R.5.8:NonsubmissionofSeminarReport/AbsentforPresentation
Ifastudenteitherdoesnotsubmithisseminarreportbytheprescribeddateor
he/she is absent for presentation on the scheduled date he/she shall be
awardedFFgradeunlesshe/sheisgivenextensionbythecoordinatorunder
exceptionalcircumstances.

22
R.5.9 : Award of Grades in Seminar after obtaining 'FF' in earlier
presentation(Ref.167thMeetingoftheSenate).

Allstudentswhoget FFgradeinSeminarshallbeallowed tocompletethe

evaluation during the period earmarked for reexamination and will not be
givenagradebetterthantheminimumpassinggrade,DD.

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,ascountedwitheffectfrom
thefirstcontacthourheldafterthelastdateofcourseadjustment,fallsbelow
eightypercentofthetotalattendanceexpectedwitheffectfromthatdate,the
Instructorwouldawardthestudenta 'DropduetoInadequateAttendance',
'DX' Grade in that course. This 'Drop due to Inadequate Attendance' Grade
would,forthepurposeofCPIcalculation,betreatedasequivalenttoa'Course
Drop'carriedoutoninitiationbythestudent.Incalculatingattendance,no
specificconcessionistobegivenforlackofattendanceonmedicalgrounds;
further,ifastudenthas80%attendanceormore,he/shecannotbeawardeda
'DropduetoInadequateAttendanceGrade.ThisOptionshould,inthelongrun,
be administered automatically through the Application Software Cell (ASC),
oncetheautomatedsystemforattendancecanbeputinplace.

Option B: The Instructor decides and announces in the beginning, a

systemofpercentageweightinstudentperformanceevaluationinthecourse,
reservedspecifically forattendanceand/orclassparticipation.Penaltiesin
attendanceand/orclassparticipationshouldbereflectedonlyinthiscomponent
of student performance evaluation. The percentage weight for this 'Class
Participation'Componentshouldrangefrom0to20percent.Assigningazero
percentweightforClassParticipationautomaticallyimpliedtheearlierOptionI
wheretherewasnopenaltyforshortfallinattendance.ThisOptionshouldbe
administeredbytheinstructorhimself/herself.

23
R.5.10.2 : Attendance in classesisexpected from the verybeginning ofthe
semester.Thestudentwouldbederegisteredfromthosecoursesinwhichthey
wereabsentinanyoneofthefirstthreelectures.(Ref:203rdand208thSenate
meeting).

6.PERFORMANCEREQUIREMENTSINCOURSEWORKFOR
QUALIFIYINGTOREGISTERFORTHEPH.D.DEGREE

R.6.1:RequiredtomaintainaminimumCPIof6.00attheendofeach
Semester

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 hastaken 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:Forstudentswithcreditrequirementof16to22credits

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.

24
ii)ThecreditrequirementasprescribedbytheDPGC/IDPC/PGCmustnormally
becompletedattheendofthefirstsemesterbutcanbeextendedbeyondthe
firstsemesterifadditionalcourseshavebeenprescribed.

R.6.3:Forstudentswithcreditrequirementofmorethan22credits

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:StudentswhoobtainsFF/FRgradesasenumeratedinR.6.2&6.3

AllcategoriesofstudentsnotfulfillingtherequirementsasenumeratedinR.6.2
andR.6.3areliabletodiscontinuetheirPh.D.programme.ThePGAPECwill
takeadecisioninthisregardafterreviewingthecasesofsuchstudents.

R.6.5:AdditionalQualifierrequirementforConfirmationofPhD
Registration

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. MechanicalEngineering

25
 6. IndustrialEngineeringandOperationsResearch
7. SystemsandControlEngineering
8. ElectricalEngineering
9. CivilEngineering
10. CSRE
11. EnergyScienceandEngineering

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
(Ref.168thMeetingoftheSenate)

26
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.

R.6.8:ConfirmationofPh.D.RegistrationDate
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.

27
 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.
Programmes(NewPolicy)(Amended:198 thSenateMeeting)

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:SelectionofResearchtopics,areasofResearch
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:AssignmentofResearchSupervisor
a)Allselectedstudentsshallbeassignedtentativelytoresearchsupervisor(s)at
thetime ofselection. However, aDoctoral (Ph.D.) studentmayopt tofind a
supervisorattheendofthefirstsemester,ifhe/shesodesires.TheHeadofthe
Departmentwouldactassupervisoruntilthestudentisassignedtoasupervisor.

b) Each external student shall have only one Supervisor in the sponsoring
organizationwherehe/sheisemployedandoneortwoattheInstitute.
28
c) TheResearchProgrammeandthespecificareaofresearchofaselected
studentshallbefinalisedbyhis/herSupervisor(s)aftermutualdiscussion.

AllResearchScholarsshouldbefinallyassignedtoResearchSupervisor(s)at
thetimeofconfirmationofRegistration.

R.7.3:ChangeofResearchSupervisor
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:ArrangementofTemporaryResearchSupervisorwhentheMain
Supervisorisonleave
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)AnysucharrangementsmadeshallbeforwardedtoPGAPECforpriorapproval.

R.7.5:NumberofStudentsassignedtotheSupervisor(Ref.:225 thSenate
Meetingheldon21042016)

Atanygiventime,thenumberofInstituteresearchscholars(TAsand/orRAs)
working with a supervisor shall not exceed FIVE. The DPGC/PGC of the

29
academic unit can decide on the total number of research students of all
categoriesworkingwithhim/her.

R.7.6:ResearchProgressCommittee(RPC)
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 work forthe Ph.D. degree to be partially or
whollycarriedoutatanotherorganizationwiththefollowingprovisions:

R.8.1:ExternalOrganizationwhereastudentcancarryouttheResearch
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.

30
 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,by deputing 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:RequirementforContinuationintheProgramme/Scholarship
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.(Amended:179thMeetingof
Senate).Regularresearchscholarsareliabletolosetheirfinancialsupportif
theseminarisdelayedbeyondthesaiddates.Suchseminarsarerequiredto
begiven(everyyear)untilthesynopsisandthesisissubmitted.

This is also required for enhancement of assistantship and for

confirmation/continuationoftheirprogramme.

Allexternalstudentsmustalsogive,atleastoneSeminarperyearatthe
Instituteuntiltheysubmitthesynopsisandthesisaccordingtotheschedules
describedabove.

The following guidelines are being followed for avoiding delays in the
presentationoftheAnnualProgressSeminar:

31
 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:

32
 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:PeriodofValidityofRegistrationofthePh.D.Programme
Forallcategoriesofstudents,theperiodofvalidityoftheirPh.D.registration
is six years from the date of registration. The students may submit their
thesisbeforetheendofthisperiodsubjecttotheprovisionsofR.8.4.(199 th
PGPCMeeting)

R.8.5a):RegistrationofPh.D.programmebeyondFiveyears
Ph.D.studentswhohavebeenregisteredforfiveormoreyearsinthePh.D.
programmearerequiredtosubmitaproperlycompletedapplicationonthe
approvalform,forextensionofPh.D.registrationtothesubsequentyearin
thePh.D.programme. Thisapplicationmustbecompletedandsubmitted
onorbeforethelastdateforcompletingtheAnnualProgressExamination
for theyear prior to the year for which extension of Ph.D. registration is
required.ApenaltyofRs.750/perweekorpartthereof,shallbeimposed

33
 foranydelayincompletingthisprocess,beyondthisdeadline.(Ref.197 th
SenateAdjournedMeetingheldon27012010)

R.8.6:Proceduretobeadoptedbystudentsforresearchworkinvolving
humanparticipation
Studentswhoseresearchworkinvolveshumanparticipation(eitherdirectly
or indirectly), should obtain IIT Bombay Institute Ethics Committee (IEC)
approvalpriortostartofthestudyorthecomponentofthestudyinvolving
humanparticipation.IECapprovalismandatoryforallsuchprojects.Infact,
thisismandatedbyseveralfundingagenciesalsoe.g.DST,DBT,CSIRand
ICMR. IECapprovalisalsoaprerequisiteforsuchresearchworktobe
publishedinpeerreviewedjournalsofrepute.IECapprovalcannotbetaken
retrospectively.

R.9SynopsisandThesissubmissionandEvaluation
(amendedon0512016:Ref.Senatemeetingno.223 rdheldon30112015)

R.9.1:PresynopsisSeminarandExamination

Priortothesubmissionofthesynopsisandthesis,acomprehensiveinternal
assessmentoftheresearchworkshouldbemadebyapanelappointedbythe
DPGC/IDPC/PGC in consultation with the supervisor(s). The panel must
compriseofatleasttwofacultymembers otherthan theSupervisor(s).These
willincludeRPCmembers.

a) Thispanelwillassesstheworkthroughapresynopsisseminarandreport.
Thestudentcansubmitthesynopsisonlyifthepanelissatisfiedaboutthe
qualityandquantityoftheworkforsubmissionasaPh.D.thesis.
b)Detailsofthepresynopsisseminarwillbenotifiedsoastoenableinterested
staffmembersandstudentstoattend.

c) TheConveneroftheDPGC/IDPC/PGCwillforwardthepanelreportstothe
Academic Office in the format prescribed for Presynopsis Examinations
(Presynopsis Report format available on academic homepage). List of
Publications/Conferencearisingoutofthethesis/otheroutcomes,ifany,are
tobesubmittedalongwiththePresynopsisreport.

d) Studentsshouldsubmittheirsynopsisandthesiswithinfourmonthsofthe
Presynopsisseminardate.

34
e) If the synopsis and thesis are not submitted in the specified period, the
studentwillbeaskedtopresentthepresynopsisseminaragain.

f) Incasethestudentfailstosubmithis/herthesisorfailstopresentarepreat
presynopsisisbytheduedateofcompletionof4monthsoftheearlierdate
ofpresynopsispresentation,afineofRs.750/perweekshallbeimposed.
(Ref.202NdPGPCMeeting)

R.9.2:SubmissionofSynopsisandThesis

R.9.2.1 : The synopsis & thesis should be written in the approved format
(Guidelinesavailableontheacademichomepage).

R.9.2.2 : Postgraduate Committee(PGC)shouldtaketheconcurrenceofthe

ResearchProgressCommittee(RPC)/panelforthe presynopsisexamination
of the concerned Research Scholar before accepting the synopsis and
forwardingitalongwiththepanelofExternalExaminers. TheRPC/panelfor
presynopsisexaminationshouldensurethatthepresentationofthesynopsisis
ofanacceptablestandardandthatthetechnicalcontentsofthesynopsisare
representativeofthecontributionsofthePh.D.thesisbeingsubmitted.

R.9.2.3:TwocopiesofsynopsisshouldbesubmittedtotheDPGC/IDPC/PGC
and4/5copiesofthesistothedepartmentofficealongwiththeprescribedforms
forsubmissionandcertificatesfromtheAccountsSectionandtheHostelthat
therearenoduesagainstthestudent.AfterapprovaloftheDPGC/IDPC/PGC,
thesynopsiswillbeforwardedtotheAcademicOfficealongwiththeformsand
therequiredcertificates.

Softcopies(pdffiles,withfilesizelessthan8MB)ofthesynopsisandthesis
shouldbemailedto<aracad@iitb.ac.in>.

R.9.2.4Patentisbeing/hasbeenfiled.(Ref:207 thMeetingofSenate)
AtthetimeofSynopsis/Thesissubmission,theSupervisorshouldselectoneof
the following options for evaluation of the thesis (included in the Form for
submissionofsynopsis&thesis):
1) The thesis evaluation be processed immediately.
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
35
 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.9.2.5 : Required Certificates for submission of Synopsis & Thesis

(includedintheFormforsubmissionofsynopsis&thesis)

a)CertificatefromtheConvener,DPGC/IDPC/PGCthatthepresynopsis
seminarexaminationhasbeencompletedsatisfactorily.
b) CertificatefromtheStudentandResearchSupervisor(s)confirming(i)
thatthereisaprimafaciecaseforconsiderationofthethesis,(ii)thatthe
thesisdoesnotcontainanyworkwhichhasbeenpreviouslysubmittedfor
the award of any degree except to the extent of collaboration, if any,
whichmaythenbespecified.
Certificate of authorization from the Research Supervisor(s) for
submissionofthethesis.
d) Certificate from the Deputy Registrar (Academic) that the prescribed
coursecreditsarecompleted.

R.9.3:PanelofReferees(ExternalExaminers)forEvaluationofPh.D.Thesis

R.9.3.1 : The DPGC/IDPC/PGC in consultation with the Supervisor(s) will

recommendtotheChairman,Senate,apanelofExternalExaminers(Referees
forthesisevaluation)andthenamesoftheChairperson(2names)andInternal
ExaminerforthePh.D.VivaVoce.

Theexaminers(Refereesforthesisevaluation)who arecurrentlyevaluating
anotherthesisfromIITBombayshouldnotnormallybeincludedinthepanel.

Thethesissupervisorwilloptforoneofthefollowingscheme(SchemeA
orSchemeB)forsubmittingpanelofexternalexaminers.

SchemeA
TheDPGC/IDPC/PGCwillgiveatleast8namesofexternalexaminers
(withatleast4namesfromwithinIndia)forreviewofPhDThesis.The
academicofficewillrequesttheexternalexaminerstobereviewersfor
the thesis and after receiving acceptance, the thesis will be sent to
examinersbyacademicoffice.

Thethesiswillbesenttoonly2examinersoutofthe8.

36
SchemeB
The supervisor(s) of the student will write to potential examiners
(approvedbyPGCofthedepartment)askingthemabouttheirwillingness
toexaminethethesis,ifrequestedtobytheinstitute. Thedrafttextfor
such communication is available on the academic homepage. After
obtainingthewillingnessoftheexaminers, 4 namesofsuchexaminers
(with at least 2 names from within India) will be recommended by
supervisor(s).ThePGCapprovedlistwillbethensenttotheacademic
Office.

TheThesiswillbesenttoonly2examinersoutofthe4.

R.9.3.2:SelectionofExaminersforevaluationofThesis:

A) From the panel of external examiners duly approved by the PGC, the
Chairman,Senateorhisnomineewillchoose2names.Additionalexaminerswill
becontacted,iftheneedarises.

B) TherefereesindependentlysendthethesisevaluationreporttotheSenate
throughtheRegistraroftheInstitute.Theevaluationincludes:
i)Acriticalsurveyandevaluationofthequalityandquantityoftheworkas
embodiedinthethesis.
ii)Questions,ifany,tobeaskedorpointstobeclarifiedatthevivavoce
examination,and
iii)Adefiniterecommendationastowhetherthethesisisacceptablefor
theawardofthedegreeofDoctorofPhilosophy.

C) If a referee in his/her report is not in a position to make a definite

recommendation for the award of the degree, he is requested to assist the
Senateindecidingwhetherthestudentisrequiredto:
Makesubstantialrevisionsinvolvingrewritingofoneormorechapters
without,however,doinganyfurtherresearchwork.
Completelyrewritethethesis,ifthethesis,thoughnotacceptablein
the present form, reveals sufficient quality and quantity of work to
warrantthestudentbeinggivenanopportunityforfurtherresearch
workand/orreinterpretationofresults.

D) TheInternalExaminerofthePh.D.thesiswillbeafacultymemberofthe
Institute,whoisamemberoftheRPCoftheconcernedstudent.

37
R.9.4:RefereesEvaluationReportsonPhDThesis

i)Ifboththerefereesrecommendacceptanceofthethesisasitis(i.ea),or
withclarificationsofminorpointsatthetimeofthevivavoce(i.eb),the
defencecanbehelddirectly.

ii)Ifoneorboththerefereesrecommendminormodificationsinthethesis
(i.ec),thedefencecanbeheldonlyaftertheinternalexaminer
certifiesthatthechangeshavebeencarriedout.

iii)Ifoneorboththerefereesrecommendmajorrevisionsinthethesis
(i.e.d),therevisedthesisshouldberesubmittedwithin6monthsafter
incorporatingtherevisionstothesatisfactionofthesupervisorsand
internalexaminer.Thiswillthenbesentforfurtherreview.

iv)Ifonerefereerecommendsrejection(i.e.e),anopinionofathird
examinerwillbesought.

v)Iftworefereesrecommendrejectionofthethesis,thethesisinthecurrent
formisrejected.Insuchacase,anewthesismaybesubmittedonlyonce
forreview,after1yearandnolaterthan2yearsfromthedateof
intimationbythePGAPEC,afterpresentingapresynopsisseminar.

Note : The copies of the referee reports will be made available to the
supervisor/cosupervisor and the internal examiner, with a intimation to the
student.

In case of (i) above, the copies of reports will be sent to supervisor(s) and
internalexaminersimultaneouslyalongwiththeintimationofdefenceapproval.

In case of (ii) & (iii) above, the copies of both the reports to be sent to
Supervisor/Cosupervisorforensuring thatallthe correctionsincludingminor
modificationsinthethesissuggestedbytheexternalrefereeshavebeen/willbe
incorporated.AfterreceivingtheresponseoftheSupervisor/Cosupervisor,the
reportsoftherefereesandtheresponsesoftheSupervisor/Cosupervisorwill
be sent to Internal Examiner to ensure that the corrections including minor
modifications, revision suggested by the external referees have been/will be
incorporated.

38
The Supervisor/Cosupervisor and the Internal examiner will submit their
response within 7 working days from the date of receipt of the
reports/supervisors'sresponseforconsiderationandapprovalbythePGAPEC.

TheSenateshall,howeverbethefinalauthorityindecidingwhetherthe
thesisbeacceptedfortheawardofthedegree.

R.9.5: Approval of holding the defence and Board of Examiners for

Defence

PGAPECwillapproveholdingofthevivavoceexamination(PhDdefence)
andBoardofExaminersfordefence.

a) A student whose thesis has been accepted for the award of the Ph.D.
degree will defend his/her work at an open vivavoce examination
conductedbyaBoardofExaminersattheInstitute.

b)Anexternalexaminer,fromamongtheapprovedpanelofexaminers,is
required in the Board of Examiners for the Ph.D. vivavoce
Examination.However,theexternalexaminercouldparticipateinthe
examinationbymeansofvideoconferencingincasehe/sheisnot
abletobe physicallypresent.TheChairpersonofthePh.D.vivavoce
examinationpanelwillcertifythe acceptance of the Thesis and
successfulconductofthePh.D.vivavoceExaminationonbehalf
of the external examiner, when the external examiner
participatesthroughvideoconferencing.

c)TheBoardofExaminerswillbeappointedbytheChairman,Senateandit
shallconsistsof:
i)AprofessoroftheInstitute,outsidethedepartment,asChairman;
ii)Theresearchsupervisor(s);
iii)AfacultymemberoftheInstituteconversantwiththesubjecttoactas
theinternalexaminer;and
iv) One of the referees, who has reviewed the thesis (failing which a
refereefromtheapprovedpanel).

d)TheBoardofExaminerswillsubmititsreportintheprescribedformtothe
Senate.

R.9.6:DefenceReport

39
 a)Onsatisfactorycompletionofthevivavoceexamination,thedegreemay
beconferreduponthestudentafterapprovalbytheSenate.
b) If a thesis has been accepted but the student fails at the vivavoce
examination, he/she may be permitted by the Senate Chairman to re
appear for vivavoce examination again at a later date. The
recommendations of the Board of Examiners conducting the vivavoce
examinationwillbeconsideredintakingadecisioninthisrespect.

R.9.7:SubmissionofFinalcopiesofThesis
a) After successful completion of the Ph.D. Vivavoce examination, the
studentwillsubmittotheAcademicOfficethefinalboundhardcopiesof
his/herapprovedthesis,alongwiththeprescribedform,within2months,
fromthedateofdefence.
b) If the copies of thesis are submitted after the due date, a fine of
Rs.5000/ permonthfromtheduedateofsubmission,tillthedateof
submissionwillbeleviedonthestudent(Ref:207 thMeetingofSenate).
Thefinaltranscripts/provisionaldegreecertificate/finaldegreecertificatewillbe
issuedonlyafterreceiptofthefinalcopiesoftheThesis.

10.TeachingAssistantship

R.10.1:
TheInstituteresearchscholarswillbepaidscholarshipatarateinaccordance
withthedirectivesfromtheappropriateauthorities.

R.10.2:
InstituteresearchscholarsareeligibletoreceiveAssistantshipforamaximum
periodofFIVEyearsascommunicatedbytheMHRD(Revisedw.e.f.October,
2014).

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. Therecommendationsofthecommitteealong with
the application for enhancement of scholarship of the research scholar should be
40
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.
(Ref.:191stSenateMeeting)
The Research Scholars with Teaching Assistantship/ Fellowship/ Financial
SupportroutedthroughtheInstitutewhosubmittheirthesisbeforethestipulated
periodof5years,maycontinuetoavailoftheirfinancialsupportuntilthedateof
theirPh.D.VivaVoceExaminationortheendoftheperiodoftheirentitlement,
whicheverisearlier.
The Head/ Supervisor of the concerned Department may recommend such
casesbycertifyingtheneedsinconsultationwiththePh.D.Supervisor(s).

R.10.4:AwardofTeachingAssistantshiptoPh.D.studentswithB.Tech.
fromIITswithoutGATErequirements.(192ndSenatemeeting)
TeachingAssistantshipwillbeawardedtothePh.Dstudentsadmittedwitha
B.TechqualifyingdegreefromtheIITs,withoutGATErequirements,provided
thecandidateshadaCGPA/CPIgreaterthanorequalto8.00ona10point
scaleintheirB.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:

41
MaleScholarsareentitledfor15dayspaternityleaveonceduringthetenureof
theiraward.Thisshouldbesupportedbyamedicalcertificate.
TheHeadofDepartment/Academicunit/ConveneroftheInterdisciplinary
Programmeisauthorizedtosanctiontheaboveleave.
R.11.4:
NovacationinSummer/Winterisadmissible.
R.11.5:
Special Leave to attend Seminars/Conferences in India/abroad to present
researchpapers,withthepermissionofthe DeanofAcademicProgrammes,
isadmissible.
R.11.6:
ResearchScholarsunderCSIR/UGCandothercategoriesaregovernedbythe
rulesofthebodieswhichprovidefinancialsupport.
R.11.7:
LeaverulesforM.Sc.+Ph.D.(DualDegree)
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.

o0o

th
Updateason:25August,2016

42