Ordinance: R&D-01-18/1/2017

General guidelines of S.P.I.T. Ph.D. Program

    1. Admissions to Ph.D. program: Admissions to Ph.D. program shall be carried out twice in a given academic year. Ordinances/Regulations related to Eligibility, Entrance Test, Admission, Course work, Registration and Examinations for Ph.D. degree Under Faculty of Technology (Engineering, Pharmacy, Architecture and MCA) University of Mumbai.
    2. Research Programmes at S.P.I.T: All the academic and administrative matters related to Ph.D. center shall be supervised by Dean R&D. The records of registration and progress of research work done by the Ph.D. students shall be maintained by the Ph.D. center.
    3. Selection of Research topics, areas of Research: At the time of course work, various faculty members of Ph.D programmes shall propose areas, so that students will have an opportunity to discuss those topic areas with the respective faculty members and thereafter, indicate their choice in order of preference. The applicants shall then be interviewed by a committee constituted by the Dean R&D.
    4. Course Credit requirements and Registration for courses: The Course work is mandatory for Ph.D. program and shall consist of 16 (sixteen) credits divided into three courses. Ref. University of Mumbai circular No UG/121 2015-16 for guidelines.

The course work shall be divided as follows:-

    • Six credits for a paper on Research Methodology that may include a part on Computer Applications in the concerned subject. The syllabus for this Paper is common for all programs in Faculty of Technology.
    • Six credits for core component course proposed by guide, which can be taken under the guide himself or herself/may attend the similar course in any premier institute such as IIT/NITTE/any Post graduate course proposed by guide at any research centre and produce the certificate stating clearly that said candidate successfully completed the course.
    • Four credits for seminar in the proposed research area involving detailed state of literature review which will be assessed and certified by the concerned guide.
  1. Selection of Course work: The course work and the specific area of research of a selected student shall be finalized by his/ her Supervisor (s) after mutual discussion.
  2. Course Assessment and Award of Grades: For every course taken by the student, he/she is assigned a grade based on his/her combined performance in all the assessments. These grades are described by the University of Mumbai circular No UG/121 2015-16.
  3. Assignment of Research Supervisor: A Ph.D. student may opt to find Supervisor during the coursework.
  4. Change of Supervisor(s): Change of Supervisor(s) under exceptional circumstances shall be permitted on recommendation of the Dean R&D after obtaining the consent of (i) the student (ii) the present Supervisor(s) and (iii) the proposed Supervisor(s).
  5. Research Progress Committee (RPC):After the completion of the specified course requirements by a candidate, the Dean R&D will constitute a Research Progress Committee (RPC) for all candidates in consultation with the Supervisor and Co-Supervisor if any.The RPC will normally consist of the Supervisor & Co-Supervisor (if any) and two other faculty members conversant with the field of research. The Co-Supervisor and/or member of the RPC may be from outside the Institute.

    Normally one of the RPC members is expected to function as the internal examiner for the evaluation of the thesis. The RPC is expected to monitor the progress of the candidate until the completion of the programme.

  6. Progress Seminars: Research progress has to be presented at every six months. Annual progress seminar shall be conducted with RPC. APS Progress report of the student must be submitted to university and Ph.D center.
  7. Submission of Synopsis and Thesis:Prior to submission of the thesis, the student shall make a pre-synopsis presentation open to all faculty members and research students, for getting feedback and comments, which may be suitably incorporated in the draft thesis.The approval of synopsis shall be done by RPC and one additional expert will act as a Chairman, Examiner and Supervisor. The examiners may (i) recommend for submission; (ii) corrections to be made and resubmission; (iii) corrections to be made in consultation with the supervisor; (iv) reject the work.

    A Ph.D. student shall publish at least one research paper in a referred journal before submission of the thesis and produce evidence for the same in the form of an acceptance letter.

    Each thesis will go through a Plagiarism check before submission that will be verified by the Supervisor.

  8. Appointment of examiners, defence- viva-voce:Since there is no autonomy for research programmers, all the rules related to Ph.D. program are applicable as per the University of Mumbai.In the event that all the examiners unanimously recommend the award of degree, the supervisor shall arrange viva-voce.

    If the examiner(s) recommends major/minor corrections, the corrections may be incorporated before the viva-voce examination in consultation with the Supervisor.

    Once the corrections have been made, the Supervisor shall certify the same and the report of the Ph.D. thesis to be sent to the University for the viva-voce examination.


Mumbai University PhD Programme sequence of activities


S. No Activities
1 Candidate appears for PET Entrance Test & clears the same. ( Exempted from PET if has a GATE SCORE) Any candidate who seeks exemption shall submit a letter from university confirming such exemption.
2 Upon clearing PET candidate applies to the Institution where he/she wishes to register for Ph.D program.
3 Institution will conduct interview for those candidates who apply and prepare a merit list as per the reservation policy subject to availability of guide/total sanctioned intake for the branch etc.
4 If candidate is from other university he/she should also submit migration certificate to university.
5 Candidate must also submit NOC issued by Employer for attending Corse work at S.P.I.T.
6 Intimation letter from S.P.I.T. to candidate informing him the selection & allotment of supervisor.
7 With this letter, student pays fee to Institution and attends course work.

During course work he/she appears for examinations/presentation as decided by the institution.

8 Upon successfully clearing course work, he/she will be issued a mark sheet and a copy will be forwarded to university for record purpose.
9 Upon clearing the course work student is expected to submit a Title approval report form to university duly forwarded by the research supervisor.

The same will be placed in R.R committee for title approval. (Student needs to collect title approval form from university Fort campus by paying nominal fee).

10 R.R Committee recommends for letter of approval of thesis title and is issued by University.
11 In case of any change in title proposed by R.R committee student needs to make such changes and resubmit the synopsis.
12 Approval letter in case of change/modification of title of thesis will be then issued and Registration number assigned.
13 With the above letter student pays fee to University & submits institution copy to the college where he has registered for Ph.D.
14 After completion of 1st year, submit 1st progress report to University & Pay fee to college & University
15 Second year 2nd progress report to University & Pays fee to college & University.
16 Third year 3rd progress report to University & Pays fee to college & University.
17 Fourth year 4th progress report to University & Pays fee to college & University.
18 During the above period Student needs to publish one paper in any referred journal and submit the acceptance letter from the journal to the guide before closing the research.
19 Upon supervisor’s satisfactory opinion & minimum period of 2 years from date of registration, student shall submit letter of intimation to Registrar of University intimating intention to submit thesis.
20 Student will have to appear for a pre synopsis seminar in the institution where he has carried out research.
21 Two months after submitting letter to registrar student can submit Pre-Synopsis report to University along with fee.
22 Two months after pre-synopsis submission a student can submit the thesis ( 2 copies in the format provided by University)along with filled in thesis submission form.
23 Appear for viva-voce Exam.

Procedure to be followed by the Ph.D. students at the time of Progress Seminars

  1. Candidate has to present the progress seminar on assigned date, time and venue which shall be declared 15 days in advance. In case, candidate fails to give the progress seminar on the proposed date then it may lead to an action suggested by research committee. If supervisor informs to the research center that candidate is not meeting him/her every week regularly for discussion on research then candidate shall not be allowed to give/submit the progress seminar.
  2. One week before the schedule an invitation mail shall be sent to Examiners (RPC) with the current research report.
  3. All the reports/synopsis/thesis needs to be as per the institute format using Latex tool.
  4. During the progress seminars briefly mention previous work, answers to the previous progress seminar questions and rest of the presentation focus shall be on current semester work.
  5. Do not disclose/publish your research work without prior permission of the Supervisor.
  6. One copy of the examiner, supervisor review comments shall be submitted to the Ph.D. center.
  7. All the presentations shall be held at Principal’s meeting room/ seminar hall.
  8. All registered candidates shall require submitting annual progress report to the University through their research guides elaborated research progress reports every year. If the candidate fails to submit two reports consecutively, based on recommendation of the RPC Principal shall issue a show cause notice to candidate stating that “why should your admission not be cancelled”.
  9. The RPC shall take decision related to cancellation of admission of such candidates after going through the explanation provided by said candidate. The final decision will be communicated to the candidate by the principal.


Reimbursement Policy for Ph.D. students:

During the first three years of Ph.D. program institute shall reimburse course fees which can be taken at any premier institute such as IIT/NITTE/any Post graduate course proposed by guide. Also shall reimburse publication registration and travelling expenses in total maximum up to 15,000/-Rs per year.

References and Name of the Forms:

  1. Ph.D. Programme University of Mumbai Ordinance
  2. Ph.D. Programme S.P.I.T. General Guidelines
  3. Registered Students and Supervisors
  4. Research Progress Seminar Committee
  5. Research Title approved


  1. Form for Topic Approval Stage-1
  2. Form for Topic Approval Stage-2
  3. Report format of Title Registration in LaTex
  4. Form for Ph.D Annual Progress Seminar (APS)
  5. Report format of Annual Progress Seminar (APS) in LaTex
  6. Form for Pre-Synopsis Seminar Examination
  7. Form for Pre-Submission of Ph.D Thesis
  8. Report format of Synopsis in LaTex
  9. Report format of Thesis in LaTex
  10. Form for Submission of Ph.D Thesis (After Defence/Viva-voce Examination)