INDIAN INSTITUTE OF TECHNOLOGY (BOMBAY) (IITB) AND MONASH UNIVERSITY JOINT PHD PROGRAM

PREAMBLE

As a part of the IITB and Monash University Research Academy (IMURA) research and development collaboration, the joint-badged PhD program will maintain an ongoing enrolment of approximately 125 engineering, science and information technology postgraduate research candidates.

The joint degree of Doctor of Philosophy (PhD) of IITB and Monash University signifies that the holder has completed a course of postgraduate training in research under proper academic supervision and has submitted a thesis that the examiners have declared to be a significant contribution to knowledge and which demonstrates the candidate's capacity to carry out independent research.

A candidate is required to carry out a prescribed program of research for a specified period under the direct supervision of members of the academic staff. The candidate, together with his/her supervisors, is responsible for developing the research program to be followed. All report at regular intervals on the progress of the project.

A candidate will be enrolled as both an IITB and Monash PhD student on a full-time basis. In fulfilling the requirements for supervised study and research under the program, a candidate is required to attend on a regular basis and to be involved in the intellectual life of the two institutions. Upon completion of the requirements of the degree, the candidate will be awarded a PhD from both institutions.

GOVERNANCE/ADMINISTRATIVE STRUCTURE OF THE JOINT PROGRAM

The Cross-institutional Program Committee (CIPC) is responsible for implementation of the program and for resolving issues as they arise in the day-to-day running of the program. Its terms of reference include, but are not restricted to such matters as

• Preparation of the annual program budget, yearly review and bi-annual reports 

• Consideration of any matter referred to it by the IITB Senate or the Monash Research Graduate School Committee (RGSC)

• Making recommendations on admission criteria

• Course requirements

• Making recommendations on confirmation of candidature

• Reporting of progress

• Variations to candidature including intermission, extension, off-campus study, withdrawal, level and mode of enrolment, change of supervisor, academic unit, writing up away status

• Examination procedures

• Grievance, appeal termination and research misconduct procedures

Decisions of the Committee are made by a simple majority of those in attendance in person or by video conferencing with the chairperson having a casting vote in the event of a deadlock.

A quorum for a meeting of the Committee will be at least two representatives from each of IITB and Monash.

Membership

• The Dean of Academic Programmes, IITB (also convenor of the IITB PGPC)

• The Convenor, PGAPEC, IITB 

• A member of the IITB Senate, being a nominee of the Senate

• The Director of the Monash Research Graduate School (MRGS)

• The Deputy Director of MRGS

• An Associate Dean (Research Degrees) from Monash University, or equivalent

• One other representative nominated by Monash University

• One other representative nominated by the IITB Senate

A chairperson, appointed by and from the Committee membership, holds that office for one year. The role of chairperson alternates between IITB and Monash committee representatives. A deputy chairperson, appointed from the other partner institution also holds office for 12 months. Professor M. King has been appointed as inaugural chair from 12 October 2007 and Professor S. Biswas has been appointed Deputy Chair.

Meeting Schedule

The Committee will meet quarterly, or at such other times as required and may be conducted in person, teleconference, video conference or by other appropriate means.

Sub committees of the CIPC may be convened as required to review aspects of the program,  for example admission and confirmation; and assessment and award of degree.

Reporting

The Committee reports half yearly to the:

• RGSC  which in turn reports to the Monash University Academic Board and

• PGPC which in turn reports to the Senate of IITB.

Bi-annual reports will include:

• overall progress of the program

• number and academic status of student participants

• any other matters requested by the parties above.

PROGRAM ADMISSION CRITERIA

Academic qualifications

All applicants to the program must be able to demonstrate a capacity to carry out independent research and have adequate training and ability to pursue the proposed course of study.

The minimum qualifications for admission to PhD candidature are:

• First class or equivalent Master's Degree in Engineering / Technology or

• A First class Master's degree in Science (55% for SC/ST) or a first class Bachelor's degree in Engineering / Technology (55% for SC/ST) and

  • a valid GATE score or

  • an award of a CSIR / UGC / NBHM / DBT Research fellowship (government/semi government fellowships).

  Note: Candidates not having a valid GATE score or CSIR / UGC / NBHM / DBT award can be considered for admission to the PhD programme if they have a minimum of two  years of professional work experience in lieu of GATE score

   or

• a combination of academic qualifications and experience judged by both PGPC and  RGSC as also satisfying the  entry requirements of both institutions.

English proficiency

Sound English language skills are required for this joint PhD program. If an applicant's first language is not English, the English language requirement must be satisfied in one or more of the following ways:

• For the purposes of this program two years of study at an approved Indian institution where IITB determines that English is the medium of instruction and assessment.

• An overall band score of not less than 6.5 on the IELTS test conducted by IDP and the British Council. In addition, a score of at least 6.0 is required for each band score and applicants must undertake the academic module in regard to reading and writing. Tests that are taken more than two years prior to application will not be accepted. Details can be found at www.ielts.org.

• The following scores achieved in the American Test of English as a Foreign Language (TOEFL):

  • a minimum total score of 577 together with a score of 5 or more on the TOEFL Test of Written English (TWE) (paper based score);

  • a minimum total score of 233 together with a score of 5 or more on the Essay Rating (ER) (computer-based score); or

  • a minimum total score of 91 (internet based score) together with a minimum score of 25 in the written test and a minimum score of 22 in each of the reading, speaking and listening tests.

Tests that are taken more than two years prior to application will not be accepted. Details can be found at www.toefl.org.

• Successful completion of a course of tertiary studies of at least two years' duration conducted entirely in English and involving formal assessment of written work, in a country where English is the official language. Evidence in the form of a letter or certificate issued by the university Registrar's office will need to be provided. Studies must be completed within the five-year period prior to application. Where studies have been conducted entirely in English and involve formal assessment of written work in a country where English is one of two or more official languages of that country, a case may be made to the Monash Research Graduate School Committee by the relevant department/faculty. The World Factbook located at www.cia.gov/cia/publications/factbook/ lists the official languages of all countries.

• Successful completion of a course of tertiary studies of at least two years' duration at Monash South Africa or the Monash Malaysia campus, or an equivalent Malaysian tertiary education campus recognised by Monash University. Studies must be completed within the five-year period prior to application.

• An overall IELTS score of 6.0 (writing score of 6.0); or a paper based TOEFL score of 550 with a TWE of 4.5 (computer- based TOEFL score of 213 with an ER of 4.5; or internet based TOEFL score of 79 with a minimum score of 22 in the written test and a minimum score of 19 in the listening, reading and speaking tests), together with successful completion of the 10-week Monash University English Language Bridging Program (ELBP). Applicants will not be admitted to candidature until they have successfully completed the ELBP. Some faculties do not admit candidates under this criterion. Scholarship applicants must have evidence of successful completion of the 10-week ELBP by the closing date for scholarships to be eligible.

Full documentary evidence in support of English proficiency must be submitted with applications for candidature. Where an applicant's first language is not English or where degree qualifications were not undertaken in the English language, the institutions reserve the right to seek further documentary evidence of English proficiency.

Application procedures

Application form

Prospective applicants will complete the IITB/Monash preliminary application form which will be screened by the Professor in charge at either Monash or IITB or the Chief Research Officer of the Academy. If the candidate is deemed to be suitable, they will be invited to complete the full joint PhD program application form and submit to the office responsible for the joint program.

Assessment of applications

The Academy PhD Joint Selection Committee will undertake the review of applications on behalf of respective institutions and departments and, if approved, forward the application to appropriate supervisors to confirm the project match. 

Collaborative research project agreements

Agreement forms are to be signed by research collaborators from both institutions, attached to the applications for candidature under the program and subsequently placed on file at IITB and Monash.

Offers of candidature

Conditional offers of candidature will be forwarded to successful students by the office responsible for the joint program. Offers will be confirmed subject to receipt of original certified transcripts etc.

Conversion of status from Registered to Confirmed Student

This occurs when a student with a bachelor's or Master of Science degree entry qualification completes the prescribed coursework with a Cumulative Performance Index (CPI) at an acceptable level which is normally 8.0 or higher.

(see confirmation below)

ENROLMENT

Candidates enrolling in the joint badged program will be enrolled in academic units at both institutions.

Fees

IITB PhD student fees apply.

Concurrent enrolment

Only in the most exceptional circumstances will the PGPC and RGSC permit candidates to enrol for any other degree or diploma during their period of doctoral candidature under the joint PhD program. Special circumstances may be considered to apply, for example where a candidate who is making exceptional progress in the closing stages of the research program wishes to commence a specialist professional qualification such as a commercialisation diploma, or where a case can be made for the provision of complementary training in the prospective studies.

A detailed case supporting the request is made to the PGPC and RGSC through the office responsible for the program. The request must have the unequivocal support of the candidate's supervisors and the heads of academic units. Wherever possible or applicable, the case for concurrent enrolment should be made prior to enrolment as a research candidate.

The candidate would be expected to provide evidence of a level of academic achievement that indicates that the studies to be undertaken will not adversely impact on the progress of the research degree.

At the time of each Annual Progress Seminar, the supervisors and heads of academic unit will be required to advise that the concurrent enrolment has not impacted adversely on the candidate's progress in the research degree. If progress is not satisfactory, the approval for concurrent enrolment will be withdrawn.

Confirmation of candidature

Confirmation takes place at approximately the end of the first year of study/research as follows:

A candidate who has been admitted to the joint program enrolls initially as preliminary/probationary candidate for the first full-time year of candidature. Evaluation of research-in-progress takes place at the end of that first year. To be confirmed as a candidate under the joint Ph.D. Program, the student  needs to complete the prescribed coursework with a CPI at an acceptable level which is normally 8.0 or higher and also present and defend a satisfactory research proposal.  The latter part of the confirmation process will be undertaken as an integral component of the first IITB Annual Progress Seminar.

SUPERVISION

Each candidate enrolled under the program will have at least two supervisors, one of whom shall be an IITB faculty member and the other a Monash academic staff member. The latter may either be resident in Australia or may be a Monash appointed member of the IITB and Monash University Research Academy (IMURA). Only those persons who are sufficiently expert and interested in the area of research should be appointed as a supervisor.

Normally, one of the principal joint supervisors will be given primary authority to decide on a course of action in the event that the two supervisors disagree.

Monash University has a code of practice for the supervision of doctoral and masters by research students, which can be found at http://www.mrgs.monash.edu.au/research/doctoral/chapter5b.html. These guidelines have been adopted as follows to apply to all joint PhD program students. The supervisory guidelines are as follows:

Supervisory code of practic

This code of practice for the supervision of doctoral candidates governs the candidate-supervisor relationship within the IITB- Monash Research Academy PhD Joint Program.

This code of practice identifies and rights and responsibilities of the institution, the faculty and academic unit, the supervisor(s) and the PhD candidate.

Specifically, in relation to supervisory responsibilities, the following are noted:

Responsibilities of the supervisor

It is the responsibility of the supervisor to maintain a professional relationship at all times with the candidate.

The supervisor should ensure the following protocols are met:

University policy

• the direction of the work is entirely under the control of the university and candidate in accordance with university policy.

Guidance to candidate

• guidance is given about the nature of research and the standard expected, about the choice of research topic, about the planning of the research program and presentation of a research proposal, about literature and sources, attendance at taught classes where appropriate, and about requisite techniques (including arranging for instruction where necessary)

• he or she is particularly sensitive to the need to ensure productive use of the candidate's time, especially in the first year of candidature

• the candidate is encouraged to show initiative and self motivation so that he or she will be able to pursue independent research with confidence in the final stages of candidature

• help is given to the candidate to interpret and understand examiners' reports and guidance as to how to meet their requirements.

Establishment of timelines

• detailed advice is given on the necessary completion dates of successive stages of work so that the whole may be submitted within the scheduled time

• a schedule of regular meetings (at least monthly for part-time candidates; every two weeks for full-time candidates) is established and maintained with the candidate and in the light of discussion with the candidate

• regular written work, interim reports or research results are requested, as appropriate and such work returned, including the final draft of the thesis, with constructive criticism normally within two weeks for chapter-length drafts and for longer pieces, as negotiated, but normally no longer than one month at most, or within a shorter timeframe which has been determined as appropriate within the department.

Employment

The main supervisor must be satisfied that:

• part-time work undertaken by a full-time candidate will not interfere with the progress of the research program, before the supervisor may approve such part-time work

Changes to supervisory arrangements

• where a change in research direction occurs, appropriate supervisory adjustments are negotiated.

Occupational health and safety

• the candidate is adequately trained in safe working practices relevant to the field of research and adheres to the relevant  University guidelines 

Responsible research practice and ethics

• the candidate and supervisor are aware of the Australian 'Code of Conduct for the Responsible Practice of Research' and appropriate institutional procedures for dealing with allegations of research misconduct,  in particular of the need to follow ethical practices  appropriate to the particular discipline and relevant profession, and as specified by the relevant university committees and the ethics guidelines set by any relevant funding body.

• Joint PhD candidates who are undertaking research as part of a joint project with a commercial or industrial partner observe the ethics guidelines and occupational health and safety requirements of Monash, IITB  and any other partner institution(s).

Ethics and safety clearances

• the candidate and supervisor meet all Monash  clearance requirements with respect to ethics in research on humans, animal experimentation, hazardous materials and biosafety.

Presentations

• arrangements are made, as appropriate, for candidates to make presentations of their research work at departmental, centre, institute, school or faculty seminars.

Meetings and candidate's involvement in departmental activities

• he candidate is encouraged to meet other researchers in the field and to attend meetings or conferences as appropriate;

• the candidate plays a full and active role in the intellectual life of the department. This is particularly important in the case of part-time candidature and also for those candidates whose major work is being conducted away from the university department under external mode or in a joint project with a commercial or industrial partner.

Support services

• advice is given on the availability of relevant academic and other support services provided by the university.

Publication and co-authorship with candidates

• the candidate is encouraged, where appropriate, to publish the results of the research

• agreement is reached with the candidate concerning authorship of publications and acknowledgment of contributions during and after candidature. There should be open and mutual recognition of the candidate's and supervisor's contribution on all published work arising from the project. It should not be automatically assumed that the supervisor's name or candidate's name will appear on all such published work.

Intellectual property

• is adhered to the Joint PhD Program  policy and guidelines on intellectual property.

Progress reports

• the candidate is made aware of inadequate progress by the supervisor specifying the problems and suggesting ways of addressing them. If supervisors think they may become obliged to recommend that a candidature be terminated because of unsatisfactory progress, the relevant  processes detailed earlier in these guidelines must be applied

• reports on the candidate's progress are made regularly in writing, as required by the annual progress report structure, to the head of the department and to the relevant committee as appropriate.

Thesis preparation and presentation

• the thesis is properly presented

• the research and writing embodied in the thesis are that of the candidate except where due reference is made to the text

• the candidate has not presented in or in support of the thesis work the candidate has previously presented for an award at Monash, IITB  or elsewhere

• any assistance provided during the research phase, or any editorial assistance in the writing of the thesis, has been appropriately described and acknowledged

• where the thesis is based on conjointly published or unpublished work, both the percentage (extent) and nature of the contribution of the candidate and other authors is stated.

Nomination of possible examiners

• the supervisor advises the head of department or dean of the names of possible examiners, after consultation with the candidate.

Retention of data

• original data is recorded in a retrievable, durable and appropriately referenced form and is stored safely for a period appropriate to the discipline, but in any case not less than five years.

Absence of the supervisor

• the supervisor must notify the candidate of intention to go on leave for a period of two weeks or longer.

• if the period of leave is longer than 6 weeks then an acting supervisor must be nominated.

Supervisors are appointed according to the rules of their institution.

Monash University guidelines on the appointment including training and accreditation requirements can be found at http://www.mrgs.monash.edu.au/research/doctoral/chapter5a.html   

At IITB, any appointed member of an academic department is entitled to supervise a candidate.

CONDITIONS OF CANDIDATURE

Duration of candidature

The normal length of candidature is considered to be three years full-time. It is strongly recommended that a student design a project which can be completed within three years of the commencement of candidature.

The minimum period of candidature is 30 months of full-time candidature. Only in very exceptional circumstances, may the Cross-institutional Program Committee on the recommendation of the relevant academic units agree to reduce the period by up to 12 months of full-time candidature. Such a request will only be considered where there is evidence of exceptional progress and/or additional research experience that is extensive and of high caliber.

The maximum period of candidature is four years of full-time candidature (or where a year's coursework has been undertaken by Bachelor's or Master of Science entrants- five years). In exceptional circumstances where candidature has been delayed by factors outside the control of the candidate, an extension of two years full-time candidature may be granted.

While after this period candidature will be deemed to have lapsed by expiry of time, the candidate may be reinstated by the Cross-institutional Program Committee at any time within the next 36 months for examination purposes only.

Time to be devoted to research and study 

In order to undertake full-time candidature, a candidate must be able to devote a minimum of four week days to the pursuit of the research project.

Annual assessment of progress

Candidates enrolled under the joint program are required to complete both a written report and to present their research in progress at an Annual Progress Seminar.

Off-campus research sites

It is possible that some candidates under the program may undertake a significant part of their research at off campus sites where they are able to access specialist facilities and resources. Such sites may be approved on a case by case basis for individual candidatures and must also meet the guidelines of the institution where the student is located at the time.

Accreditation criteria

The  CIPC, on the advice of the PGPC or RGSC requires that the following criteria should be met:

• The research site will be within daily travelling time of the appropriate IITB/ Monash campus, so external candidature does not apply.

• The research site offers specialist facilities or expertise which, for the particular project are at least equal to those IITB or Monash  might offer.

• The research site does not currently have an affiliation arrangement with Monash under Statute 10.1

• The research site and IITB/ Monash have embarked, or will embark upon a program of collaborative research to which the research being undertaken for doctoral candidature is connected.

Attendance

Candidates conducting research at an off-campus site will be required to:

• Discuss progress with both their IITB/ Monash and site-based supervisors in person, at least once every calendar month (part-time candidates) or fortnightly (full-time candidates);

• Attend IITB/ Monash frequently and on a regular basis;

• Attend courses, seminars, workshops, etc, both on the research site and within the academic units through which the candidate is enrolled, as deemed necessary by the principal joint supervisors (for example, in the case of a regular seminar or lecture series, a minimum of 80% attendance may be deemed adequate).

Residency

Candidates conducting research at an off-campus site will be required to attend  an IITB/ Monash campus for a minimum of 20 days per year. Note that:

• Apportionment of these days  may be determined on a case by case basis (for example in certain instances it may be appropriate to take a single block of 20 days, while in others a few days at a time may be considered more effective); and

• A small portion of the attendance may be off-campus, provided that the candidate is able to interact with the principal university joint supervisors  during this time (for example where both are attending a conference).

Supervision arrangements

In addition to the candidate' IITB/Monash principal joint supervisors, a suitable research site supervisor must also be appointed.

Accreditation  procedure

A standard form is available for this purpose.

Annual leave entitlements

Monash University

The academic year for doctoral candidates is 48 weeks with 4 weeks (20 days) annual leave. Candidates must negotiate annual leave with their department and supervisor and annual leave entitlement cannot be accrued beyond 6 weeks (30 days). A candidate wishing to take further leave must access their special leave or intermission leave entitlements.

Under special leave, candidates are entitled to a maximum of 12 weeks of special leave for periods of illness which exceed 10 working days. Candidates are also entitled to a maximum of 12 weeks of maternity leave (84 days). Candidates may also access up to five days of paternity leave. Additional periods of leave can be accessed through periods of intermission. Intermissions of up to 12 months may be approved.

IITB

Under IITB rules - R 11(for TA/RA/SF categories)- there is an annual leave entitlement of up to 30 days per year, in addition to public holidays. Ten days of sick leave are also available. Annual leave cannot accrue. Maternity leave of 135 days and paternity leave of 15 days are  further entitlements. These conditions are established through India-wide legislation.

The annual leave entitlements are those of  the campus the candidate is attending at the time the leave is scheduled.

Employment

Students are not permitted to be employed whilst studying at IITB. The following arrangements apply only when the students are located in Australia. 

Full-time candidates are permitted, with the approval of their main supervisor, to undertake a strictly limited amount of paid employment throughout the year, being no more than 15 hours of work per week on average. Up to a maximum of six hours only on average of this employment may be undertaken during normal working hours (9 am to 5 pm, Mondays to Fridays). However, this may be extended to a maximum of eight hours if the employment is limited to one weekday.

The candidate's supervisor(s) must be satisfied that any part-time work undertaken does not interfere with the candidate's study program and progress.

International students in Australia need to be aware that the employment restrictions outlined above apply even though a student visa permits students to work up to 20 hours a week.

Ethics approval

Candidates under the joint program must met Monash University ethics clearance procedures which are detailed at http://www.monash.edu.au/researchoffice/index.php

Changes to candidature

Intermission of candidature and special leave (leave of absence)

Under special circumstances, a candidate may request an intermission or intermissions of candidature of up to 12 months duration in total. Intermissions in the first or last six months will not normally be approved. Any period of intermission will be reflected in a variation to the end date of candidature. While CIPC will deal sympathetically with requests for intermission, candidates are expected to regard the completion of their degree as a major priority throughout their candidature.

In all requests, a statement indicating the candidate's progress up to the commencement of the proposed period of intermission should be submitted to the office responsible for the joint program by the supervisors and departmental heads, together with a firm recommendation with respect to the application.

In the event of illness, candidates may take up to 10 days sick leave each year without applying for leave from candidature. This leave is negotiated with the candidate's academic departments and supervisors. For periods of sick leave which are longer than 10 days and for periods of maternity/paternity leave, the candidate may apply for up to the maximum level of entitlements under either IITB or Monash guidelines, as appropriate. Supporting medical evidence in the form of a doctor's certificate which specifies the dates when the candidate will not be fit for study is required. Any period of approved special leave will be reflected in a variation to the end date of candidature.

A standard leave form is available for applications for intermission or special leave.

Candidates should not continue research on, or writing of, the thesis during any period of approved leave/intermission.

All candidates are requested to notify the office responsible for the IITB/Monash program immediately on resumption of studies. Candidates who fail to resume candidature following a period of approved leave will be deemed to have allowed their candidature to lapse.

Extension of candidature

An extension of candidature will normally only be considered where research has been delayed by circumstances beyond the candidate's control, for example equipment breakdown, change in research direction, change in supervision, inadequate library or other resources, or illness of candidate. 

Extensions of up to six months may be approved in the first instance. Evidence of effective progress throughout the period of extension must be provided to support an extension of candidature beyond the initial 6 month extension period. A request for extension should be accompanied by a detailed statement of delays to the research project and timetable for completion and should be supported by the candidate's supervisors. 

Application forms are available from IITB/Monash office responsible for the joint program.

Studying away from IITB and Monash

In all cases other than where a candidate is on annual leave, written permission must be obtained to pursue research elsewhere overseas for any period of time.

A standard form for this purpose is available from IITB/Monash office responsible for the joint program.

Such requests for research or study away should be accompanied by a supporting statement from the supervisors and heads of academic units through which the candidate is enrolled.

Requests for study away from IITB/Monash in the first six months of commencing candidature will normally not be approved. However, it is acknowledged that in some cases, fieldwork which is an integral and essential part of the overall doctoral program, may need to be undertaken during the early months of candidature.

Where a candidate proposes to study away from IITB/Monash for two months or more, the CIPC must be notified of the special arrangements that have been made with respect to supervision.

A maximum period of 12 months study away may be approved, although in exceptional circumstances this may be extended to 18 months. For absences longer than six months, six-monthly reports should be submitted.

The office responsible for the joint program must be notified of the candidate's return from studying away.

Candidates are advised to consult regularly the Australian Department of Foreign Affairs and Trade travel advice. DFAT issue travel advisories for Australian travellers. Candidates are required to read the latest travel advisories for the country where they will be travelling and attach a copy of the advisories to their application for study away (see chapter 11 for related links). Travel to countries with travel advisories categorised as level 4 and 5 will only be approved in exceptional circumstances and requires approval from the Deputy Vice Chancellor (Research) at Monash University.

Monash University's international travel policy and procedures also apply to postgraduate research candidates (see chapter 11.7 of Handbook for Doctoral and MPhil degrees for link to the travel policy http://www.adm.monash.edu.au/procserv/travel/policy/ ).

All candidates travelling on approved study away are required to register for travel insurance. Registration can be done on-line at http://www.adm.monash.edu.au/human-resources/international/policies-guidelines.html.

Successful completion of the online travel insurance form provides candidates with a confirmation of cover certificate and an emergency telephone number if required overseas. Please note that those candidates who travel to countries where the DFAT warning is level 4 or above may not be covered for evacuation expenses should this become necessary. Travel insurance will usually only cover periods of up to 6 months. Additional travel insurance may be required for longer absences.

Non completion by due date and/or lapse of candidature

If a candidate has not submitted a thesis by the maximum approved end date, financial assistance will cease and the CIPC will, taking advice from supervisors and departments, review the candidature to determine whether an appropriate extension of candidature may be granted. However, in special circumstances where candidature lapses, the former candidate may be permitted to submit the thesis for examination any time within three calendar years of that lapse of candidature with certification from at least one supervisor that the work is the work of the student. 

Withdrawal

Candidates who do not wish to continue with their research program are asked to complete a Monash form (for those at Monash) or submit a letter (at IITB) notifying IITB/Monash of their intention to withdraw.

When re-admission to candidature is sought at a later date, credit may be sought for the previous research work undertaken, along with any coursework component.

The CIPC on the advice of the RGSC and PGAPEC will only approve readmission following withdrawal where suitable facilities and effective supervision are available to support the candidature and where the committees are satisfied  that the former candidate is now in a position to undertake research towards a successful thesis completion.

The committees may request certification by a registered medical practitioner that a former candidate is now in a position to resume candidature.

A withdrawn candidate will not normally be readmitted within four years of the withdrawal date.

Writing-up-away status

The thesis should normally be written and submitted before the candidate leaves the university/institute. A candidate may, however, apply for 'writing-up-away' status, which may be granted for an initial period of three months with the possibility of a further request of up to three months. For such a request to be approved, the supervisors and heads of academic unit must certify in writing that the candidate has completed a satisfactory first draft of the thesis. In those rare instances when supervisors are unable to read and assess a complete first draft in reasonable time, the CIPC may seek the advice of the relevant heads of department or others, in order to determine whether writing-up-away status may be appropriate.

Where a candidate is relocating overseas/interstate or taking up full-time employment, up to three months of intermission may be requested before the writing-up-away status comes into effect. This three-month period of intermission may be in addition to the 12 months intermission normally permitted during candidature.

Candidates who leave the university/institution without having obtained the CIPC's prior approval of writing-up-away may prejudice their candidature. Application should be made on the standard form (for those at Monash) or submit a letter (at IITB).

Candidates who have been granted writing-up-away status are required to maintain their enrolment at the university/institution until the thesis is submitted. If the approved period for writing-up-away includes a re-enrolment period, change of address must be provided so that re-enrolment details can be forwarded to the candidate.

Transfer from one academic unit/faculty to another

PhD candidates may, under certain circumstances, such as a major change in the direction of research or change in the availability of supervision, be permitted to transfer from one academic unit and/or faculty to another during the course of the candidature. In such instances, the candidate must apply for approval from the PGAPEC/RGSC.

Where a change of department does not involve a change of faculty, the candidate should submit a request for change of supervisor(s). There would need to be clear documentary evidence that appropriate facilities and supervision would be available, if the transfer were to be approved.

Where a change of both academic unit and faculty is involved, a revised application for admission form should be submitted together with a memorandum from the relinquishing academic unit/faculty agreeing to the transfer.

If a candidate transfers to another academic unit and faculty, the original start date and end date of candidature will normally apply. However, the accepting academic unit may make a case for amending the end date of candidature where a substantial change in research direction is to occur.

Termination of candidature

Due to the nature of this program, if a student is terminated or not confirmed by one university then he/she will no longer be a concurrent candidate and will therefore be excluded from the joint program.

Common policy and procedures should apply when a candidate enrolled in the joint PhD program is notified of the intention to terminate or not confirm candidature. 

On the identification by either supervisor or the CIPC that termination of candidature may be considered, the CIPC should seek advice and determine whether IITB or Monash policies and procedures should apply to this case. The decision arising from the relevant process will be endorsed by the CIPC.

Both institutions have  policies and procedures to ensure that the rights of both the university and the candidate are protected when HDR candidature is terminated or not confirmed:

The Monash policy is detailed at http://www.policy.monash.edu/policy-bank/academic/research/mrgs/hdr-termination-of-candidature-policy.htmlThe IITB  PhD Program Rules and Regulations detail the possible causes of termination of candidature : http://www.iitb.ac.in/academic/rules/rulephdnew.pdf

Grievance and complaints procedures

Where a candidate submits a grievance or complaint against IITB, the grievance and complaint procedures of IITB shall apply.

Conversely where a grievance or complaint is made against Monash, the university's HDR grievance and complaints policy and procedures shall apply:

If a complaint is lodged against the program generally, the CIPC, having first sought the advice of PGPC and RGSC will determine under which jurisdiction the matter will be heard.

Research misconduct

The general principle is that the rules of the institution where the alleged research misconduct took place shall normally apply (ie would depend on the campus at which candidate was located at time of alleged offence.) If the research misconduct is alleged to have taken place across the two institutions, the CIPC, having first sought advice from the PGPC and RGSC will determine under which jurisdiction the matter will be heard.

The relevant Monash Statute is Monash University Statute 4.1 -  Discipline which can be found at http://www.monash.edu.au/pubs/calendar/statutes/Statute04.html#Heading40

Part V  defines and provides  details of processes to be followed regarding research misconduct  which means conduct in or connection with research that:

(a) is dishonest, reckless or negligent; and
(b) seriously deviates from accepted standards within the scientific  and scholarly community for proposing, conducting or reporting research, which includes -

GENERAL MISCONDUCT

The term "general misconduct" covers any behaviour which damages or endangers people or property or which interferes with or intimidates other people. The general principle is that the rules of the institution where the alleged general misconduct took place shall normally apply (ie would depend on the campus at which candidate was located at time of alleged offence.)

Monash regulations for managing allegations of general misconduct are detailed in Discipline Statute 4.1 Part 2, available at http://www.monash.edu.au/pubs/calendar/statutes/Statute04.html#Heading42

INTELLECTUAL PROPERTY (IP)

The IP policy for this program  is set out in Schedule 2 of the Joint Doctoral Program Agreement.  A full copy of this schedule is appended to these guidelines (Appendix 2).

Some of the key principles of this policy are:

• While the rights to a participant's background technology/IP will vest with that party, a royalty-free, non exclusive, worldwide licence will be granted to others participating in the joint PhD program as required;

• Where program material is developed on the basis of specific contributions from IITB and Monash, commercialisation, exploitation and licensing of the joint IP will be governed by the terms of the Joint Venture Agreement governing such jointly developed IP;

• The IITB IP policy will govern materials created exclusively by an IITB supervisor without use of Monash resources, and conversely, the Monash IP Statute and regulations pursuant will govern materials created exclusively by a Monash Supervisor without use of IITB resources;

• The ownership of material created by an IITB or Monash  supervisor which is copyright work, the subject matter of which is primarily concerned with research, artistic expression, creativity or academic debate, but excluding academic material/coursework, will be owned by the creating supervisor;

• Confidential information obtained during the course of the joint PhD program's research activities will remain confidential;

• Privacy laws are to be respected.

Student IP:

• Where a student creates material exclusively using Monash resources, that material will be governed by the Monash Statute and regulations pursuant: http://www.monash.edu.au/pubs/calendar/statutes/statute11.html

• Where a student creates material exclusively using IITB resources, that material will be governed by the IITB IP provisions;

• Where a student creates material using both IITB and Monash resources, that material will be owned by Monash and IITB as tenants in common in equal shares.

Monash University IP guidelines for postgraduate research candidates are available at http://www.mrgs.monash.edu.au/research/doctoral/chapter6b.html.

IITB IP Guidelines  are available at http://www.ircc.iitb.ac.in/ippolicy.html.

THESIS EXAMINATION

1.  At a pre-synopsis seminar, an overview of the whole PhD project and the synopsis are reviewed by a committee consisting of the supervisors and others as determined by CIPC. Interested parties are notified of the date, time and location of the seminar. The candidate makes an oral presentation of approximately 45 minutes and an equal period of time is set aside for questions, comments and discussion.

2.  If the committee deems the project to be ready for examination, the candidate is notified by the office responsible for the joint program that he/she has four months from the date of the presentation of the pre-synopsis seminar in which to submit the final version of the dissertation and the synopsis. A small extension, not exceeding 3 months may be approved. Where the synopsis and thesis are not submitted within the specified period, the candidate may be asked to present another pre-synopsis seminar.

3.  Where the committee considers the candidate is not ready for examination, he/she is so advised and informed of additional requirements (eg additional research, rewriting etc). Upon resubmission of the thesis draft, another pre-synopsis seminar is convened and the process recommences.

4.  Prior to the submission of the synopsis and thesis for examination by external assessors (see below) the candidate must have :

• At least two papers published/accepted for publication in recognized refereed journals or

• At least one paper published/accepted for publication in a recognised refereed journal and at least one paper published/accepted for publication in the proceedings of an international conference.

The CIPC shall determine the quality of the journal and standard of the paper submitted by the candidate. Accepted includes conditionally accepted subject to minor revisions being made.

5.  The office responsible for the joint program shall receive from the convenor of the pre- synopsis committee four copies of the synopsis (1000-4000 words) and certification that:

• prescribed course credits have been completed

• pre-synopsis seminar requirements have been met and

• there is a prima facie case that the thesis is ready for examination of the thesis; the thesis does not contain any work which has been previously submitted for the award of any degree; and the extension of collaboration, if any.

Note: the candidate will concurrently submit an electronic PDF version of the synopsis to the office responsible for the joint program.

6.  A proposed panel of examiners endorsed by both the IITB PGPC and Monash RGSC should be submitted to the office responsible for the joint program at least eight days before the date of the submission of the synopsis and thesis by the candidate to this office. This panel should include eight external examiners as well as the names of two chairmen and an internal examiner (who shall normally be from the RPC) for the viva voce. Experts who have examined theses for IITB or Monash in the last year should not be included on the panel.

7.  The candidate submits 5 copies of the thesis, together with the supervisor's certification and an accounts section certificate regarding any outstanding fees to the office responsible for the joint program.

8.  From the list of three external examiners approved by each of the Chairmen of the IITB Senate and Monash RGSC, the CIPC will rank the four names in order of preference. Initially the synopsis only will be submitted to the first three examiners on that list. Following their agreement to examine the work, the dissertation will also be forwarded to the examiners.

At least two of the examiners shall be from outside India and Australia.

Concurrently, two names will also be confirmed for Chairman of the Board of Examiners for conducting the viva voce, with the supervisors being free to request either person.

9.  Examiners are requested to submit their assessments within six weeks of the receipt of the thesis. Their reports should include:

• a critical survey and evaluation of the work as embodied in the thesis

• questions to be asked, if required, and points to be clarified at the viva voce and

• a recommendation as to whether the thesis is acceptable for the award of degree (if the examiner is unclear as to what the recommendation should be, he/she may seek advice from the office responsible for the joint program).

10.  Upon the receipt of two favourable reports (straight passes or minor amendments only), the supervisors and internal examiner review the reports and will inform the office responsible for the joint program that amendments have/will be made in the light of the examiners reports. A viva voce then takes place, (for membership see below) and subject to satisfactory performance at the oral examination, the degree is awarded.

11.  Upon receipt of two favourable reports subject to major amendments the candidate, under the guidance of the supervisors, undertakes appropriate amendments within three months of the notification of the reports. The thesis is forwarded to the same external examiners for review.

12.  Upon receipt of two unfavourable reports (eg two revise and resubmit recommendations or a resubmission and fail recommendation), a fourth examiner is appointed to review the work. If the fourth examiner is also unfavourable, the CIPC (or designated committee) will decide whether the candidate may revise and resubmit the thesis in the next 12 to 24 months. If the thesis is rejected a second time, it is deemed to have failed.

13.  The submission of two fail recommendations normally means that the thesis is failed. Each case considered in detail by the PG Evaluation Committee at IITB who will recommend a course of action to the CIPC.

14.  A candidate whose thesis has been accepted for the award of degree is required to defend the work at an open viva voce examination conducted by a Board of Examiners, appointed by the CIPC (or designated Committee) on the advice of the Chairman of the Senate and RGSC. It shall consist of:

• a senior professor, not being a member of the candidate's departments

• the two principal joint supervisors

• a member of IITB and/or Monash conversant with the subject, being the internal examiner

• one of the three/four external examiners (or if unavailable an examiner from the approved panel).

15.  Upon satisfactory completion of the viva voce examination, the degree may be conferred upon the candidate after approval by the IITB Senate and the Monash RGSC.

16.  If the candidate fails the viva voce, he/she/may be permitted by the IITB Senate and the Monash RGSC to undertake a second viva at a later date.

17.  Following successful completion of the viva voce, the award of degree shall be ratified by the IITB Senate and Monash RGSC following the submission of the final amended version of the thesis. Monash will also require an e-thesis to be submitted in accordance with relevant guidelines. (http://www.mrgs.monash.edu.au/research/examination/e-thesis.html).