Research Methodology

RESEARCH PROCESS

INTRODUCTION
The various events or milestones that a research scholar has to pass through before reaching
the final goal are organised in the research pro ram in such a way that at the end of the
program, in addition to making definite contributions to the advancement of knowledge, the
personality of the research scholar is enhanced considerably in the areas such as clarity of
thoughts, understanding and analysing a given problem, generation of methodologies to solve
new problems, inference from given set of facts, Organisation, interpretation and presentation
of data, information and results of investigation, communication skills etc. This document
presents in brief the sequence of the various events from the point of view of role of the
research scholar in the research process. For the purpose of the document, the research
process in Indian Institute of Technology, Madras is adopted here in.

FORMATION OF GENERAL TEST COMMITTEE (GTC) / DOCTORAL

COMMITTEE (DC)
After a Research Scholar (RS) joins the department, she/he has to decide about the area of
research and guide. After having discussions with all the faculty members in respective
specialisations (BT/GT/HY/ST/TR), the RS decides on the topic of research and the guide.
Selection of guide is done primarily based on the topic in which the RS has interest to carry
out research work and the faculty member who is specialized in that topic and also has
interest to guide in the topic. It is possible that in some cases, depending on the nature of the
topic (such as inter- disciplinary topic) there can be two guides. Then a General Test
Committee (GTC - for MS scholar) / Doctoral Committee (DC - for PhD scholar) is
constituted for each research scholar. The Head of the Department (HOD) is the Chairman of
the committee. The HOD, with the help of research guide proposes a panel of members from
which the GTC/DC is constituted by the Dean (Academic Re- search). The composition of
the committee is:

General Test Committee Doctoral Committee

Head of the Department - Chairman Head of the Department - Chairman
Dean (Academic Research)- Member
Research Guide(s)- Member(s) Research Giude(s) - Member(s)
One faculty from the Parent Two faculties from the Parent department-
department – One faculty Two faculties from
from allied departments. allied departments.

REGISTRATION / COURSES
The research process of Ph.D. or M.S. program formally starts with registration and is done
in the first meeting of the DC/GTC. Ofcourse, the research scholar has to start thinking on the
research program well in advance of the registration meeting of the DC/GTC. The research
scholar in consultation with the guide prepares and submits to the DC/GTC, a brief research
proposal (of about two to three pages), where the focus is made on the overall objective and
goal of the research program, and what course of action methods, experiments etc. (if
possible) he/she proposes to do to achieve the goal. The RS is expected to present to the
committee a brief overview on what she/he proposes to do in the research program, and
should take note of the suggestions made by the members.

A RS, at this stage, may not have adequate background in the subjects related to the topic of
research to actively pursue the work. To prepare the scholar with necessary concepts, tools

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and methodologies in the required topics, he/she has to undergo a set of courses. Along with
the research proposal, the scholar in consultation with the guide submits to the DC/GTC a list
of courses proposed to be taken. At the registration meeting, the committee approves the list
without or with modifications. A Ph.D. research scholar is expected to undergo a minimum of
four courses, whereas an M.S. scholar has to take a minimum of five courses. In each case,
two courses are prescribed as compulsory and the remaining courses are to be taken from a
list of optional courses prescribed by the DC/GTC. The actual number of courses and the title
of the courses are decided by the DC/GTC at the time of registration. The courses can be
taken from those offered at any department. An important point to be noted is that the guide
and the research scholar has to confirm whether the courses proposed in the list submitted to
the DC/GTC, are being currently offered in the respective departments. This will avoid delay
and subsequent change of courses to be approved by DC/GTC.

RECORD OF WORK BOOK

At the first GTC/DC meeting, a set of four copies of the record of work book are issued,
(copies for Academic research unit, Department, Guide and the RS) in which the details of
the RS, guide, topic of research, date of joining, date of registration, names of GTC/DC
members, details of meetings along with its purpose and recommendations, the list of courses
prescribed by the GTC/DC are entered. The RS, after completing each of the courses
prescribed by the GTC/DC, has to get the grades entered and signed by the concerned faculty.
The RS has to keep these books updated and bring it along for the DC/GTC meetings and
also for the enrolment every semester.

ENROLMENT
All research scholars (regular/project/external/QIP/staff) are required to enroll every semester
to keep her/his registration active. Enrolment has to be continued every semester till the final
viva-voce in defence of the thesis. if a RS wishes to get relieved from the Institute after
submitting the thesis, she/he need not have to enroll after getting relieved. The main
objectives of enrolment are:
i) To enable a RS to register for courses in a particular semester.
ii) To confirm that she / he is continuing in the research program.
iii) To ensure periodical clearance of dues by the RS in the hostel/engineering unit, library
and Institute fee etc.,

The research scholar should carry the following documents at the time of enrolment.

(i) No dues certificates from library/hostel/engg.unit/accounts.

(ii) Record of work book
(iii) Previous registration card.

Course work requirements It may not be possible for a research scholar to complete all the
courses in the first semester itself. In that case, the remaining courses are taken in the second
semester. One of the most important point that the research scholar has to keep in mind, while
attending the courses is that they should work hard to master the topic and should get higher
grades. If a course is classified as a core course, then the minimum grade that the research
scholar has to obtain is B. In general, a student with marks close to class average will get a C
grade. That means, the research scholars should get marks well above the class average to
satisfy the requirements for research program. In an elective, it may so happen that due to
some unavoidable reasons the scholar could get only a C grade. In that case, he/she should

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obtain higher grades (A or S) in other courses, so that the overall average grade is B or above.
The DC/GTC in any case may not accept a grade below C.

A research scholar should not wait for completing all the course requirements to start the
research program. Right from the first semester, the research scholar can start studying the
past literature in the topic of research and formulate the objectives and scope of the problem
in greater detail. Preliminary work can also be carried out simultaneously along with the
courses, so that the specific details of actual work to be done gets clearer by the end of first
year. This will help the research scholar to present the research proposal and progress in
greater detail in the first review meeting of the DC/GTC, which is generally conducted after
the first year.

ANNUAL REVIEW MEETINGS OF THE GTC/DC

The progress of research work of the RS will be reviewed annually by the GTC/DC. The RS
needs to prepare a progress report sufficiently in advance and submit 4 (for MS) 6 (for PhD)
copies (apart from a copy to the guide) of the same to the Head of the Department's office.
The progress report shall essentially consist of the following details:

1. Personal data: Name of the scholar, MS/PhD, Division, Guide, Date of registration,
Date of joining, Topic of research etc.

2. Courses details: course number, type, status, grade and title note, type
core(compulsory)/optional.
status:- completed/current registration/yet to be registered

3. Brief outline of the progress covering essentially the following:

Problem definition Aim and scope
Work completed
Work in progress
Further work to be undertaken
Approximate time schedule for the completion of the work in progress/work to be undertaken
(time chart) List of papers published/communicated.

In the review meeting, the RS is required to present the work briefly in the above lines,
within 15 minutes. The RS may use transparencies and/or slides to make the presentation
more effective. After the presentation, the GTC/DC members will offer suggestions and also
examine the RS orally. These feedback and discussion with GTC/DC members, who are
working in allied fields are valuable and enable the RS to gain a wider review of the problem
and approach. If the progress is satisfactory, the GTC/DC also recommends the renewal
/extension of scholarship for the subsequent one year. If the GTC/DC is not satisfied with the
progress of the RS, it either gives 3/6 months time to show progress and convince them or
they recommend cancellation of the registration of the candidate.

The RS can also discuss with the GTC/DC members their research problem and approach
informally at any mutually convenient time.

Comprehensive Examination Another important milestone in the doctoral program is the

comprehensive examination. Normally this examination is conduct- ed after one year and
before the completion of the second year. The RS should have completed all the prescribed
courses before appearing for the comprehensive examination. This examination tests whether

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a research scholar is suitable to carry out /continue the research program. It is intended to test
the scholars' depth and breadth of knowledge in the respective area of specialization
(BT/GT/HY/ST/TR). It gives the research scholar an opportunity to revise the fundamental
concepts in the relevant topics and consolidate them. The research scholar is expected to
prepare in relevant subjects prescribed by the department. Generally the examination consists
of first a written part and then an oral part. The viva-voce will be conducted by a commit- tee,
which is different from the doctoral committee. Normally the RS may need an intensive
preparation for a period of one to two months. In the case of a failure in the first appearance,
a second and final chance will be given within six months. A pass in the comprehensive
examination is required to continue the research program. Failure in the second attempt
would result in cancellation of registration.

SEMINARS
Another important event in the research process is presentation of seminars. An M.S. scholar
has to present a minimum of one seminar, whereas a Ph.D. scholar has to present at least two.
One of the objectives of the seminars is to consolidate, organize and present the complete
research work to an audience. The seminar schedule has to be published in the "Campus
News" (weekly, published by the Director) sufficiently in advance so that anybody in the
institute who wishes can attend the seminar. It is possible that few issues that the research
scholar has not given proper thought may come up for discussion during the seminar, and it
helps him/her in tying up the missing links before preparation of the thesis. Seminars can be
presented in different ways. The research scholar can either present the depth of the work
without bothering whether the audience understand it or not, or present in such a way that the
audience get a fairly good idea on the research work and at the same time the depth of the
work as well as contributions are clearly brought out. The latter way of presentation helps the
research scholar also to convey properly to the new audience what he/she has done, so that a
proper feedback is obtained from the audience, which will be of great help for further
consolidation of the work. Seminar presentation has to be taken seriously and the scholar has
to spend enough time for proper' preparation.

Publication of papers for conferences/journals Unless papers are published based on the
research program, the work carried out remains in dark and the research community and
profession does not get any benefit out of the research program. Hence, it is a very important
event in any research program to report the details of the work in appropriate conferences or
journals. Generally, journals look for original contributions,, whereas conferences look for
current development of ideas and further applications. Depending on the nature of the work
and at what stage the research program has reached, the research scholar in consultation with
the guide can decide on the nature of the paper, the contents and where to send it. One
advantage of sending papers to journals is that, they are reviewed by acknowledged experts in
the area of specialisation and the research scholar gets a proper review of the work reported
in the paper. The review report speaks of the quality of the research work carried out. The
review also helps the research scholar in fixing the directions for further work and also to
know/ascertain his/her level of work in the current national/international status in
the respective field of research.

As a result of study of published literature, if the research scholar is able to come out with an
elaborate review of literature on the research topic, that itself can form a state-of-art paper. If
the research scholar proposes new concepts of methodologies to solve problems of interest
with original ideas, that can form the theme for a paper, of course with further development
of the ideas, comparison of results with other established methods etc. Experimental

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investigation, comparison of experimental results with those obtained from a novel

theoretical formulation etc., can also form theme for papers. one of the important point to be
kept in mind while writing papers is that it should not contain issues which deviate from the
objectives and the theme of the paper and the contributions made as a result of the research
work has to be clearly brought out.

SYNOPSIS
Minimum requirements to be satisfied by a RS before submit- ting the synopsis (of the thesis
proposed to be submitted) are:

i) Minimum residential requirement (1 to 2 years for MS / 2 years for PhD).

ii) Completion of all the courses prescribed by the GTC/DC successfully.
iii) Successful completion of comprehensive examination.
iv) Completion of research work.
v) Deliverinq of seminar(s) (One for MS / two for PhD).
vi) The first draft of the thesis is to be made ready and the guide has to certify that
she/he has gone through the same.

Once a RS completes-all the above requirements she/he can submit the synopsis to the HOD's
office. The objectives of the synopsis are;

i) The GTC/DC evaluates the synopsis and recommends whether-the work is sufficient or not
as a thesis for MS/Ph.D degree.
ii) After the GTC/DC approves the synoptis, the candidate becomes eligible to submit the
thesis.
iii) The GTC/DC also approves a panel of external examiners (who are working in the same
field or allied areas of interest) proposed by the guide.
iv) The recommendations of the synopsis viva-voce examination is forwarded to the Dean
(Academic Research), who approves the same and selects the examiners from the panel
approved by the GTC/DC. The synopsis is then sent to the external examiners.
v) The objective of sending the synopsis to the external exam- iners is to ascertain whether
they are interested in evaluating a thesis proposed to be submitted, based on the work briefed
in the synopsis.

GUIDELINES FOR PREPARING THE SYNOPSIS

Since the synopsis creates the first impression about the RS with regard to the problem
formulation, methodology adopted, clarity of thought and expression, Organisation of work
elements etc., the RS should attempt to give the best impression at this stage itself.

The synopsis should be as brief as possible (15-20 pages max.)

• It should cover all the aspects of the work.

• It should contain an introduction, brief state-of-art, the need along with the aim and scope
of the present work. Various aspects of experimental / theoretical investigations undertaken,
highlighting only the salient contributions made by the scholar along with typical results,
important conclusions and a list of selected references. An outline of the proposed thesis,
giving the contents and also a list of papers published/communicated (in the appendix) will
make the synopsis complete.

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Four copies have to be submitted in the HOD's office apart from a copy each to all the
GTC/DC members. The synopsis has to accompany a declaration signed by the guide stating
that she/he has gone through the first draft of the thesis.

SYNOPSIS VIVA-VOCE
The synopsis viva-voce will be conducted by the HOD, who is the Chairman of the GTC for
MS scholars, and for PhD scholars in the Dean's (Academic Research) room (Ad. block 4th
floor) in the presence of Dean (AR).

The RS has to present briefly, highlighting only the important contributions made by him,
within 15 minutes.

Subsequently, the viva-voce examination will be held to ascertain the extent of work and
appropriateness of the work for the degree.

The committee approves the synopsis after getting satisfied with the work. If the committee is
not satisfied with the work, it may reject the synopsis and direct the RS to extend the work.
In such a case, the RS has to continue the work and resubmit the synopsis after attending to
all the suggestions made by the GTC/DC.

The time permitted for thesis submission from the date of synopsis acceptance, is a maximum
of three months. For any extension beyond this time limit on valid reasons as a special case, a
request has to be made to the Dean (AR), seeking specific time extension by the RS with
guide's recommendation and forwarded by HOD (max. of another 3 months).

THESIS PREPARATION AND SUBMISSION

Thesis Preparation There are only overall guidelines recommended by the Institute regarding
the thesis format with regard to the cover page and the certificate to be enclosed (wherein the
guide certifies that the work has been carried out by the candidate and the same has not been
submitted to any other university/Institute for the award of, any other degree/diploma). Since
each field of research is unique in character, there can not be a single set of format for the
thesis preparation. The RS in consultation with the guide can adopt a format that is most
appropriate.

OVERALL GUIDELINES ON THE THESIS CONTENTS

Certificate
Table of contents
Abstract (not exceeding 3 pages)
Acknowledgements
List of Figures
List of Tables
Notations
List of papers published
Chapters
References
Appendices (if any).

THESIS SUBMISSION
Four copies of the thesis has to be submitted to the Academic research unit (Administration
Building : 4th floor).

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The RS has to prepare a minimum of 6 copies (4 for submission, one for the guide, one for
herself/himself) of the thesis.

There is no thesis submission fee for MS scholars.

A nominal fee of Rs.200/- has to be paid by PhD scholars.

The thesis has to accompany a prescribed form in triplicate (available with HOD's office)
which is duly filled and signed by the Scholar, forwarded by the guide and HOD.

An abstract (not exceeding 200 words) has to be submitted for bringing out publication on
Abstracts of MS & PhD theses submitted to this Institute, by the IC & SR office.

VIVA-VOCE I
After receiving both the reports from the examiners, the GTC/DC reviews the reports and
decides whether the viva-voce can be conducted.

For MS, the viva-voce is not compulsory. Viva-voce is required only if one/both examiners
specifically seek for it. Otherwise, when both the reports are favourable, the GTC
recommends to the senate for the award of the MS degree.

For PhD, the viva-voce is compulsory. The viva-voce board consists of HOD (Chairman),
Indian examiner, Guide and an Internal examiner (appointed by the Dean (AR), from a panel
submitted by the guide during the GTC/DC meeting convened to evaluate the report). The
reports of the examiners will be made available to the RS, after the report evaluation meeting
of the GTC/DC, to enable her/him to prepare for the querries and clarifications sought
therein.

In the viva-voce examination, the RS is required to present her/his work in about 30 to 45

minutes time (max.), after which the viva-voce session will be held. On successful
completion of the viva-voce examination, the viva-voce board recommends to the senate of
the Institute for the award of the degree.

If there are any revisions / corrections deemed necessary in the thesis, either by the examiners
or by the viva-voce board, the same has to be incorporated in the official copy of the thesis
and submitted to meet the requirements of the viva-voce.

AWARD OF DEGREE
The provisional certificate can be obtained from the Academic research unit immediately
after the senate and Board of Governors of the institute formally ratify the recommendation
of the viva- voce board.

The degree will be awarded in the ensuing convocation (held usually on the last Friday of the
month of July).

Best Wishes for a challenging and successful MS/Ph.D. program