INDIAN INSTITUTE OF ENGINEERING SCIENCE AND

TECHNOLOGY SHIBPUR

REGULATIONS REGARDING DOCTORATE DEGREE

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Doctorate Degrees:

(1) Provisions Relating to Doctorate Degrees:

The Indian Institute of Engineering Science and Technology, Shibpur will award the following
Doctorate Degrees:

(a) Ph.D (The specialization will be finalized by the Ph.D committee)

(b) D.Sc

(c) D.Litt

The requirements, programme of work, rules of enrolment, registration etc, in respect of the
above Degrees are specified below:

(2) Degree of Doctor of Philosophy (Ph.D)

(i) Award of the Ph.D Degree

(a) Ph.D Degree shall be awarded to a candidate on the basis of research work on one or more
problems in a field through submission and successful defence of a thesis describing such work.

(b) The thesis for the Ph.D Degree shall demonstrate that the candidate has thorough knowledge
of the field and is capable of undertaking advanced research independently and has made some
commendable contributions towards the extension of knowledge in the field.

(ii) Eligibility

(a) A candidate may take up research work leading to Ph.D degree in a field of the branch in
which he obtained Master’s degree or in a related field or in an interdisciplinary area under any
appropriate branch subject to his/her qualifying for enrolment in that branch of study.

(b) Students having a master’s degree in Engineering/Science/Humanities/Social

Sciences/Commerce/ Management (except MCA) will be allowed to enroll as Ph.D candidates.

Part time students will be allowed with the provision that the course requirement is fulfilled.

(iii) Selection and Enrolment

(a) A candidate shall be enrolled in a Department/School through an entrance test followed by an

interview.

(b) The entrance test will be conducted by the institute twice an academic year at an interval of
six months, subject to requirement of concerned department/school.

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(c) Candidates who have qualified for U.G.C/C.S.I.R (JRF/NET) Examination/SLET or
SET/GATE or who are the holders of teacher fellowship or who are regular faculty members of
this Institute will be exempted from appearing in the entrance test but will have to appear for the
interview.

(d) A candidate may apply for enrolment to the Dean(Academic) by filling up a form prescribed
by the institute and the deposition of appropriate fees.

(e) The Dean(Academic) will arrange to notify in the newspapers and the institute website the
number of candidates that may be admitted to the Ph.D programmes of different
departments/schools. The reservation policy of the Government of India shall be taken into
account while determining the number of candidates.

(f) The Dean(Academic) will arrange to conduct the entrance tests with the help of the concerned
Department/School as per procedure decided by the institute.

(g) The Dean(Academic) will publish the list of candidates who have qualified in the entrance
test on the institute website and also on the Dean’s notice board and fix the dates for the
interviews in consultation with the Department/School.

(i) The Department/School will arrange for the interviews of the candidates by a board whose
members will be decided by the Department/School and may include a nominee of the funding
agency in case of a project fellow who has applied to enroll for Ph.D.

(j) At the time of the interview the candidates are expected to discuss their research interest/area.

(k) The Dean(Academic) will publish the merit list of all candidates recommended for enrolment
by the Department/School.

(l) Within fifteen days from the date of publication of the list, the selected candidate shall have to
enroll his/her name by paying the requisite non refundable enrolment fees. The date of enrolment
shall be deemed to be the date of depositing the enrolment fees.

(iv) Course work:

(a) The table below summarizes the minimum course requirement for different categories of
students. Only postgraduate courses will count towards Ph.D. course requirement.

Present qualification of Enrolled for Ph.D in branch Minimum number of course

candidate credits required
M.Tech/M.E (Not earlier than Same discipline As desired by the
8 years ago) supervisor/Doctoral
committee

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M.Tech/M/E (Earlier than 8 Same discipline 08
years ago)
M.Tech/M.E Different Discipline 08
M.Sc/MA/MBA Any discipline of 08
Science/Humanities
M.Sc/MBA(with basic degree Any discipline of Engineering 12
in Engg. Or Science)
M.S/M.Tech (5 years) Any Discipline 08

The Doctoral committee may prescribe additional courses on a case to case basis.

(b) The Doctoral Committee may allow the candidate to undertake the course work in a sister
Department of the Institute or another Educational/Research institute.

(c) A candidate undertaking course work in another institute shall have to produce a
marksheet/certificate from that institute as evidence that he/she has successfully completed the
course work.

(d) The completion certificates for the course work has to be submitted before the presubmission
presentation.

(v). Doctoral committee.

The Doctoral Committee for a candidate should be formed by the department prior to
registration. The Doctoral committee will comprise of:

1. Dean (Academic) Chairperson

(A senior faculty member of the institute may

be nominated by the DEAN(academic) to chair

The meeting in his/her absence)

2. Convenor of the Ph.D. programme ( to be Convenor

chosen by the department for all doctoral students

for a period of two years)

3. One Professor of the same department Member

other than the supervisor.

4. One Professor from another department in the Member

associated field

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5. Supervisor(s) Member

(vi) Registration

(a) For registration the candidate has to present a report (which should include a literature
review, a description and discussion of the objectives and a plan of work) before the doctoral
committee within 6 months of his/her enrolment. On recommendation of the Doctoral
Committee, he/she will be registered. The doctoral committee may suggest necessary
upgradation of the work and submission of the same within three months. A maximum of two
such extensions are possible. If the Doctoral committee is not satisfied about the progress of the
work even after providing the candidate with more time, the enrolment of the candidate may be
cancelled.

(b) On recommendation of the Doctoral Committee the candidate will deposit the requisite fee
for registration and the Dean(Academic) will issue a Registration Certificate to the candidate
with the date, the Doctoral Committee declared the candidate to be fit for registration as the date
of registration.

(c) The Ph.D. programme shall be pursued for a minimum period of two and a half years after
registration under the supervisor(s) allotted to the candidate before submission of the thesis.
However, a candidate may be allowed to submit the thesis earlier if the Doctoral Committee is
satisfied that the work done by the candidate is sufficient for submission of the thesis and
recommend the same to the Dean(Academic). The Dean (Academic) may forward the
recommendation to the Director, who may permit the early submission.

(d) Under special circumstances, the Doctoral Committee may allow the candidate to pursue
research work independently with intimation to the Dean (Academic).

(e) Registration shall remain valid for a period of five years from the date of registration. The
Doctoral committee may allow the candidate an extension of one year (at a time) on valid
grounds after receiving an application from the candidate endorsed by the supervisor, provided
the total period of extension does not exceed two years. Such an extension has to be reported to
the Dean (Academic). Application for any extension has to be accompanied with the requisite
fees.

(f) The Dean (Academic) shall maintain a register of candidates enrolled and registered for the
Ph.D programme.

(g) The candidate must submit an annual report every year after registration regarding his/her
progress of work to the Convenor, Doctoral Committee and the Doctoral Committee will arrange
for an annual presentation of the work. The Doctoral Committee will review the progress of
work and suggest improvements if necessary.

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(vii). Supervisor

The criteria to be a supervisor should be as follows:

(a). The Supervisor is to be appointed by the Dean (Academic) on the recommendation of the
DAC.

(b) A faculty member from any discipline of the institute may be appointed as supervisor, subject
to the recommendation of the DAC of the Department/School in which the candidate is enrolled.

(c). A teacher with less than two years’ service left before superannuation may continue to be the
supervisor even after his superannuation but cannot be the sole supervisor. In such cases the
department will, in consultation with the candidate and the supervisor, allot another regular
faculty (with more than 5 years of service left before superannuation) as an additional supervisor,

(d). A faculty member will cease to be a supervisor if he/she resigns or leaves the job without a
lien or after the lien period is over.

(e). The supervisor should have a Ph.D degree.

(f). For sponsored/part time candidates who are employed in industrial sector, there can be, in
addition to a supervisor from the institute, another supervisor from the concerned organisation
having eight years of experience and proven contribution in the proposed research domain, on
the recommendation of the DAC.

(g). In addition to the supervisor belonging to the institute, the DAC may, in consultation with
the candidate and the supervisor, allot a regular faculty (holding a Ph.D. degree) from another
academic/research institution.

(h). Superannuated Faculty/Contractual Faculty/Adjunct Professors/Distinguished

Professors/Endowment Professors and such other faculty belonging to the Institute can be a
supervisor provided there is another supervisor having at least 5 years of service left before
superannuation.

(i) Normally a candidate cannot be allotted more than two supervisors, however the Doctoral
Committee may propose a third supervisor as a special case on request of the candidate and the
existing supervisors.

(j). If the ‘load’ for being the sole supervisor of a full time research scholar is 1 and for guiding a
part time scholar is ½ (and hence the load for being one of two supervisors for a full time scholar
is ½ and for a part time scholar is ¼), the maximum permissible load for the faculty of this
Institute is as follows:

Professor : 16

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 Associate Professor : 12

Assistant Professor : 08

(i). Faculty of this institute, having at least 5 years’ experience with proven contribution in the
related field (in the form of publication in refereed journal and patent) and recommended by the
DAC, may be allowed by the DAC to pursue the Doctoral Programme without any supervisor. In
such cases an additional faculty member belonging to the relevant field will be included in the
Doctoral Committee.

(viii). Appeal for change of supervisor

(a). A candidate may appeal to the chairman for changing the supervisor at any time before
his/her pre-submission presentation. The chairman will consider the appeal in consultation with
the DAC. Such an appeal will be entertained only once for a particular Doctoral candidate.

(b). A faculty may appeal to the chairman stating reasons about the inability to guide a student.
The chairman will consider the appeal in consultation with the DAC.

(ix) Semester Registration

(a) After registration in the Doctoral programme the candidate has to pay the requisite
registration fees every semester.

(x) Pre-submission presentation and submission of thesis

(a) At least six months prior to submission of his/her thesis, the candidate shall apply through the
supervisor(s) to the Dean(academic) for approval of the title of the thesis and presubmission
presentation.

(b) The Doctoral Committee will then arrange for a pre-submission presentation in the
Department/School and finalize the title of the thesis. The presentation will be open to all faculty
members and research scholars. The candidate may get feedback and comments which may be
suitably incorporated into the thesis under the advice of the supervisor(s)

(c) The candidate shall publish research paper(s) in refereed journals before submission of the
thesis and produce evidence for the same in the form of acceptance letters or reprints.

(d) Immediately after the pre-submission presentation and subject to the approval of the Doctoral
Committee, the candidate will submit five hard copies and one soft copy of the synopsis of the
thesis to the Convenor of the Doctoral Committee.

(e) Within six months of the pre-submission presentation the candidate will submit four (five in
case there is a joint Supervisor) printed copies of the soft bound thesis and five copies of the
synopsis to the Dean (Academic). Extension of this period by another six months can be
recommended by the Doctoral Committee.
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(f) The candidate shall also submit a soft copy of the thesis to the office of the Dean (Academic).

(g) While submitting the thesis, the candidate shall deposit the requisite submission fees.

(h) The thesis should be forwarded by the Supervisor in prescribed form countersigned by the
H.O.D/Director of School on a separate forwarding note.

(xi) Privileges and obligations of the registered candidates:

(a) The registered candidate shall have access to facilities such as the library, laboratories,
computers and other facilities available to post graduate students.

(b) A registered candidate shall abide by such regulations as may be prescribed by the Institute
from time to time.

(c) A registered candidate must submit to the Dean (Academic) official clearances from the
library, mess and the Department /School (with which the student is registered) before the final
Viva Voce examination.

(xii) Fees

(a) Application fee : Rs. 500.00

(b) Enrolment fees : Rs. 2000.00
(c) Initial registration : Rs. 3000.00
(b) Semester registration : Rs. 2000.00
(c) Submission /Resubmission : Rs. 5000.00
(d) Application for extension : Rs. 3000.00
Fees may be enhanced from time to time with the approval of the Senate.

(xiii) The Thesis

The Ph.D. thesis shall

(a) Embody the results of research work carried out by him/her.

(b) Show evidence that the research is characterized by either the identification of new facts or
by an attempt at a fresh interpretation of known facts and theories.

(c) Show evidence of the candidate’s capacity for originality, critical examination and judgment.

(d) Be satisfactory in presentation as far as language, style and form are concerned.

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(e) Clearly indicate the source from which referred information is taken

(f) Clearly indicate the extent to which he/she has availed himself/herself of the work of others
and the portions of the thesis he/she claims to be original.

(g) The thesis shall carry a declaration from the candidate’s supervisor(s) to the effect that:

(1) The subject matter of the thesis is a record of work done by the candidate himself/herself
under his/her/their guidance.

(2) The contents of the thesis did not form a basis for the award of any previous degree to
him/her or to the best of his/her/their knowledge, to any other person.

(xiv) Examination of thesis

(a) For examination of the thesis, the doctoral committee shall recommend to the Director a
panel of at least three examiners from within India and at least three examiners from abroad, who
have proven research acumen in the relevant field and holding a post not below the rank of
Professor.

(b) The Director shall appoint a Board of Examiners consisting of (a) the Supervisor(s) under
whom the candidate has carried out the research work, (b) one examiner from within the country
and (c) one examiner from a foreign country. In case a candidate is pursuing research work
independently, the Board of Examiners will consist of two examiners from within the country
and one from a foreign country, each nominated by the Director from the panel recommended by
the Doctoral Committee.

(c) The Dean (Academic) will write to the experts along with a copy of the synopsis and also
send a soft copy of the same seeking their consent for acting as examiner. In case an examiner is
not available, the Director shall nominate another expert from the panel provided to him and the
process will be repeated till the panel is exhausted, following which the Doctoral Committee will
be requested to submit a fresh panel of examiners.

(d) The Dean (Academic) shall make arrangements to send the hard and soft copies of the thesis
to all the examiners.

(e) The examiners shall send their sealed reports in a prescribed format to the Dean (Academic).

(f) The Dean (Academic) will forward the sealed reports to the Convenor of the concerned
Doctoral Committee.

(g) The Doctoral committee will examine the reports of the Examiners. If all members of the
Board of Examiners are of the opinion that the candidate is fit for being awarded the Ph.D.
Degree, with or without modification/revision/extension of the content (except resubmission),

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the Doctoral Committee will inform the Director accordingly and recommend a panel of three
external examiners for conducting the Viva-Voce examination of the candidate.

(h) The comments of the examiners regarding modification/revision/extension of the content

(except resubmission) will be conveyed to the candidate through the convenor/supervisor.

(i) The candidate will incorporate all the modification/revision/extension in the final version of
the hard bound thesis based on the comments of the examiners along with the appropriately
written response to the comments as a separate annexure.

(j) The candidate will submit the requisite number (as stated in (e)) of the final version of the
thesis to the office of the DEAN within one month.

(k) After submission of the final version of the thesis, the DEAN will proceed for arranging the
final viva-voce examination through the convenor of the doctoral committee.

(l) If any member of the Board of Examiners be of the opinion that the thesis work is not
satisfactory for the award of doctoral degree, the Doctoral Committee may allow the candidate to
re-submit the thesis after revision as suggested by the examiners within a period of one year,
after paying the requisite re-submission fee. The period for re-submission may be extended by
the Doctoral Committee on special grounds.

(i) The re-submitted thesis shall be examined by the original board of examiners. If, however,
any examiner is unable to examine the thesis, the Director may appoint a new examiner from the
panel originally recommended by the Doctoral Committee.

(j) If one of the external examiners rejects the thesis, the Doctoral Committee may propose the
appointment of alternative examiner from the same panel, provided the other external examiner
accepts the award of degree without any major revision.

(j) The Doctoral Committee may reject the thesis if all the external examiners are of the opinion
that the work is not fit for the award of the Ph.D. Degree. In such a case, the candidate shall have
to apply for fresh enrolment.

(xv) Viva-Voce Examination:

(a) The Director will appoint a Board of Examiners consisting of one external expert (from the
panel recommended by the Doctoral Committee as per Regulation vii(g)), the Convenor of the
Doctoral Committee and the Supervisor(s) for conducting the Viva-Voce Examination of the
candidate. In case the Supervisor(s) is/are not available, the Director will appoint another
examiner in his/her place in consultation with the Convenor. The Convenor of the Doctoral
Committee shall act as Chairperson of the Board.

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(b) The Viva-Voce examination shall be open to all faculty members and research scholars of the
Institute. The Viva-Voce examination shall be arranged by the Department/School only after the
candidate submits the clearance mentioned in regulation X(c) to the Dean(Academic)

(c) Based on the performance of the candidate, the Board of Examiners shall submit their
recommendation in the prescribed format and in a sealed cover to the Dean (Academic). The
Dean (Academic) will put up the recommendation to the Director for his consideration. If the
Board of Examiners of the Viva-Voce Examination be of the opinion that the candidate is fit to
be awarded the Ph.D. degree, the Director may approve the recommendation.

(d) The Dean (Academic) shall provide the candidate with a provisional certificate informing
him/her that the candidate has been provisionally admitted for the award of the Ph.D. Degree
from the date of the Viva-Voce examination.

(f) In the provisional certificate The Dean(Academic) shall mention: “the Degree has been
awarded in accordance with the provisions of the University Grants Commission (minimum
standards and procedure for award of M.Phil/Ph.D. Degree)

(g) An appropriate diploma, duly signed by the Director, will be awarded to the successful
candidate at the subsequent Convocation of the Institute.

(xvi) Degree

(a) The diploma awarded will mention the specialization as finalized by the Doctoral Committee.

(xvii) Remunerations

Foreign examiner :$200.00

Indian Examiner including examiner for Viva-Voce Examination : Rs. 3000.00

Remuneration may be enhanced from time to time with the approval of the Senate.

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