Shivaji University, Kolhapur

Research Policy

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 Vision, Mission, Goals and Quality Policy
Vision

Shivaji University is committed to meet the Educational, Social, Cultural & Economic needs
of the region and the nation to create a just and Humane Society.

Mission

We are dedicated to promote and foster a culture of high quality teaching and learning and to
serve societal needs by encouraging, generating and promoting excellence in research and
extension activities.

Goals

 To make relentless efforts for the spread of university education among classes and
communities, which are socially and educationally underprivileged.
 To make special provision for disseminating knowledge and promoting arts and
culture in rural areas.
 To supervise and control the conduct and discipline of the students of the university
and to make arrangements for betterment of their health and general welfare.
 To create a fine band of capable young researchers and teachers having great thirst for
knowledge and scientific curiosity.
 To promote the study and research of Marathi language and History of Maharashtra.
 To provide opportunities to the University community to reach his/her highest
personnel and professional capability.
 To develop the personality and character of students through value education.

Quality Policy

Uncompromising adherence to values and implementation of high quality educational

programmes and healthy practices with a view to creating and developing a large and rich
pool of selfless young men and women, capable of ensuing for themselves a decent
livelihood and meeting the growing needs of a developing society.

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 CONTENTS

Sr. Title Page

No. Number

1. Preface

2. Research Policy

3. Governance and Regulations for Research and

Development

4. Academic and Research Work in View of Constitutional

Rights and Ethical Values

5. Promotion of research and Identification of Thrust

Areas

6. Code of Practice for Research

7. Rights and Responsibilities in the Conduct of Research

Planning and Execution of Research work

8.

9. Research Grants and Project Administration

10. Research Misconduct

11. Emergency Situations and Preventive Measures

11. Review of Research Policy

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 1. Preface
Shivaji University was established in 1962 with an aim to provide access to education in
western region of Maharashtra. Over the years it has achieved recognition in teaching,
learning, evaluation, research, development and outreach. It has displayed competency in
education and research through its academic programmes and promotional activities in
research and development.

Research and development is an integral part of our education system. It enhances curiosity,
vision and look forward to new ideas and innovations through experimentation and efforts.
Shivaji University is engaged in exploring areas of research which can support social and
national needs.

Shivaji University has identified major areas of research which include Nano Technology,
Material Science, Green Chemistry, VLSI Design, Drug Design and Delivery, Bio-
remediation, Bio-diversity, Simulation and Modelling, Optimization Techniques, Process
Control, Data Mining, Data Analytics, Energy Technology, Space Science, Agro based
Economics, Pollution Control, Geo Informatics, e-commerce, etc.

Shivaji University prohibits discrimination in the admission of students. It also prohibits

discrimination in administration of its educational policies and programs on the basis of race,
religious creed, color, national origin, ancestry, physical, or mental disability, medical
condition, marital status, sex, age, sexual orientation, gender identity, veteran status, or any
other characteristic protected by law.

Shivaji University offers the experiences to students to enrich the quality education. Keeping
pace with current scenario, university lays strong emphasis for its students to gain academic
and technical competencies. The commitment of teachers, staff, stakeholders, constitutional
organizations, regulatory authorities and funding agencies look ahead to bringing upon
success in creating scholarly community.

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 2. Research Policy
Preamble: Shivaji University aims at achieving the objectives pertaining to research
initiatives, innovations and research productivity. Therefore research policy of this university
look forward to exploring new ideas, invention in science and technology and ensure to
undertake quality research within the legal framework. The guidelines and provisions of the
Research policy shall demonstrate a continuous commitment for maintenance of academic
standards and quality of research.

Application and Scope: This research policy shall be applicable to those engaged in research
including students, researchers, research guides, faculty and staff of Shivaji University,
Kolhapur and its affiliated colleges and recognized Institutions. This policy shall come into
force from the date of approval of appropriate University authority/ies.

Removal of Difficulty/Limitation: Any matter not covered in this policy may be dealt with
proper interpretation and application of the existing policy, principles, regulations and legal
norms in letter and spirit.

Aims of Research Policy: Research in Shivaji University is undertaken for pursuit of

excellence and accuracy of end results. Therefore research policy provides guidelines on
good and ethical practices in the conduct of research to achieve highest standards.
The Research policy look ahead to creation of conducive research environment by
creating focused research groups at par with international standards. This policy also focuses
on utilizing the outcome of the research for benefit of society.
Shivaji University aims at promotion of research culture in accordance with the
academic standards, legal framework, good governance and ethical practices. This policy
looks upon to support research work with high standards and provide a strategy on how to
achieve research goals.

Research Strategy:
The research strategy identifies the research goals and defines the action plan required to
achieve these goals. The goals for research are mentioned below:
 Enhance the quality of research and the university research profile.
 Enhance external and internal funding for research.
 Promote scholarship/ fellowship schemes for researchers.
 Support national, regional and industry-specific research and development policies.
 Encourage research under MoUs and linkages.

Objectives of Research Policy:

 To affirm research on prime agenda.
 To provide a framework of regulations and mandates for the governance of
research and development.
 To encourage and promote good research practices.
 To ensure and create research culture with regard to ethical considerations.
 To introduce legal provisions of ethical practices in research, intellectual property
rights, patent norms, cyber laws, anti- plagiarism policy and tools for conduct of
fair research.

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 To provide required support for meeting all legislative, regulatory requirements
for undertaking research.
 To frame guidelines with reference to financial support available for research.
 To integrate research facilities for facilitating academic community and to best
utilize available resources for research.
 To facilitate MoUs and linkages for encouraging research and to encourage
research in interdisciplinary areas.
 To ensure the fair treatment to all researchers, faculty, students and staff.
 To ensure effective communication (internally and externally) for conduct of
research.
 To establish fair, rational, transparent decision-making processes and policies for
allocation of research funds and other kinds of support for research.
 To balance the needs of researchers in view of capacity development and
encourage Post doctoral fellows, Young Scientists, Women Scientists, INSPIRE
fellows, Ramanujan fellows etc. to join this University.
 To attract researchers from across the globe to join research in university campus.
 To clarify roles and functions of various committees, Head/ Director/ Coordinator
of Department/ School/ Centre, Research Guide in order to facilitate researcher to
understand the university research system and smoothly undertake research.

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 3. Governance and Regulations for Research and Development
The University Grants Commission: The University Grants Commission, New Delhi is a
statutory authority to regulate higher education and research in India. It was formally established in
November 1956 as a statutory body of the Government of India through an Act of Parliament for the
coordination, determination and maintenance of standards of university education in India.
The UGC`s mandate includes:
 Promoting and coordinating university education.

 Determining and maintaining standards of teaching, examination and research in

universities.

 Framing regulations on minimum standards of education.

 Monitoring developments in the field of collegiate and university education;

disbursing grants to the universities and colleges.

 Serving as a vital link between the Union and state governments and institutions of
higher learning.

 Advising the Central and State governments on the measures necessary for
improvement of university education.

The university grants commission has framed following regulations for undertaking
research in universities.

1. University Grants Commission (Minimum Standards and Procedure for Award of

M.Phil./Ph.D Degrees) Regulations, 2016 dated 5th May, 2016 and amendments
from time to time (Please see annexure I for Shivaji University Regulations
for Research Degree)

2. University Grants Commission (Promotion of Academic Integrity and Prevention

of Plagiarism in Higher Educational Institutions ) Regulations, 2018 dated 23 rd
July, 2018 (Please see annexure II for Shivaji University Regulations for
Prevention of Plagiarism)

Maharashtra State Public Universities Act 2016: Shivaji University is governed by the
provisions Maharashtra State Public Universities Act 2016 and the statutes, ordinances, rules
and regulations framed there under. Research and development activities in Shivaji
University are regulated and undertaken as per the provisions of and regulations framed
under this Act.

Objects of University pertaining to Education and Research: Section 4 of Maharashtra

State Public Universities Act 2016 earmark following objects
 The objects of university, in general shall be to disseminate, create and preserve
knowledge and understanding by teaching, research and development, skill
development, training and education, extension and service and by effective
demonstration and influence of its corporate life on society in general and in
particular.

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  Promote equitable distribution of teaching, learning training and other support
services facilities of higher education.
 Provide for efficient and responsive administration, scientific and technology
management and develop organization of teaching, learning, training, research and
extension
Powers and Duties of University: Section 5 of Maharashtra State Public Universities Act
2016 earmark following powers and duties
 To make provision for research and for advancement and dissemination of knowledge
and to cultivate and promote the arts (including fine arts and performing arts),
humanities, social sciences, accounts and commerce, pure and applied sciences,
technologies, managements, different forms of medicine, engineering, law, physical
education and other branches of learning and culture and their multi-disciplinary and
inter- disciplinary areas.
 To organize, maintain and manage university departments, schools, institutions,
laboratories, knowledge resource centers, learning resource centers, libraries,
museums and equipment for teaching, training, research and development or
extension.
 To establish, maintain and manage departments, institutions of research, institutions
of specialized studies or academic services unit
 To co-ordinate and regulate teaching, learning, training and research and extension in
the college and recognized institutions.
 To explore the possibilities of augmenting the resources of the university by exploring
or innovating activities such as research and development, consultancy, training
programmes and providing services for different clients from industry, trade or any
other non-government organizations.
 To create knowledge and disseminate it and foster high quality research which is
contemporary, globally competitive and locally as well as regionally and nationally
relevant.
 To cultivate research parks, technology incubators and other engagement entities to
translate university research to commercial domain and coordinated projects
involving multiple faculty groups from several disciplines that address some
important issues before the State.
Academic Council: Section 32(1) of Maharashtra State Public Universities Act 2016
earmark following provisions
The Academic Council shall be the principal academic authority of the university and shall
be responsible for regulating and maintaining the standards of teaching, research and
evaluation in the university. It shall also be responsible for laying down the academic policies
in regard to maintenance and improvement of standards of teaching, research, extension,
collaboration programmes in academic matters and evaluation of workload of teachers.
As such the research and development activities are undertaken in view of the rules and
regulations approved by the Academic Council.
Board of Deans: Section 36(1) of Maharashtra State Public Universities Act 2016 earmark
following provisions
The Board of Deans shall co-ordinate, oversee, implement and supervise academic activities
of the university. It shall be responsible to plan the development of university in academics,
research and development, entrepreneurship, intellectual property rights, incubation of
industries and linkages with industries for integrated planning. It shall also plan, monitor,
guide and coordinate under-graduate and post-graduate academic programmes and
development of affiliated colleges.

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Research and Recognition Committee: Section 37(2) of Maharashtra State Public
Universities Act 2016 earmark following provisions
The Board of Deans shall appoint a Research and Recognition Committee for each Board of
Studies. The Research and Recognition Committee shall approve the topic of thesis or
dissertation in the subject, recommend a panel of referees to the Vice-Chancellor for thesis
or dissertation, recommend to the Board of Deans by following appropriate process, names of
post graduate teachers and research guides for recognition.

Board of Research: Section 59(1) of Maharashtra State Public Universities Act 2016
earmark following provisions
The Board of Research shall cultivate, promote and strengthen research activities and also
plan, coordinate, supervise and raise finances for research activities in university
departments, colleges and recognized institutions.
The Board of research shall work on long term policy on promotion of research culture,
promote inter-disciplinary research, publish research journals, work out the budget for
research activities and undertake such other activities that are essential for university research
and development.
Departmental Research Committee (DRC)/ Central Research Committee (CRC):
Regulations for Research Degree (R.R.D. 6) earmark following provisions
All admissions shall be processed through the DRC/CRC. The merit list of selected
candidates and the waiting list (for vacant seats, if any) in order of merit shall be prepared by
the DRC/CRC. It will be valid for that particular academic year only . The allocation of
Research Supervisor for a selected research scholar shall be decided by the DRC/CRC.
The candidates are required to discuss their research interest/area through a presentation
before a duly constituted Department Research Committee/Central Research Committee at
the time of the interview/viva-voce.
Research Advisory Committee (RAC): Regulations for Research Degree (R.R.D.8)
earmark following provisions
There shall be a Research Advisory Committee for each M.Phil. and Ph.D. scholar. The
Research Advisory Committee shall have the responsibilities to review the research proposal
and finalize the topic of research, to guide the research scholar to develop the study design
and methodology of research and identify the course(s) that he / she may have to do, to
periodically review and assist the research scholar in the progress of the research work.

Relevant Policies and Supporting Codes: This policy shall be implemented along with all
other relevant policies approved, revised and published by the University from time to time.
Students’ Code of Conduct approved by university authorities shall also be applicable to
research students. The Students’ Code of Conduct provide for the general disciplinary rules
and regulation, rules for maintaining discipline at Knowledge Resource Centre and Internet
Hall and Hostel. It also focuses on the provisions with reference to Anti Ragging Committee
and the Internal Complaints Committee.

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4. Academic and Research Work in View of constitutional Rights
and Ethical Values
Academic and research work in view of constitutional Rights
It shall be a prime responsibility of the academic community of university to adhere to the
following norms in view of constitutional rights while undertaking research work. It shall
reflect both the letter and spirit of the constitutional provisions.
The right to:
 Equality and non-discrimination
 Human dignity
 Life
 Freedom and security of the person
 Privacy
 Freedom of religion, belief and opinion
 freedom of expression
 Access to information
 Just administrative action

The research policy expresses the ethical values of all those engaged in academic and/or
research activities of the University.
 Uphold the values of freedom, democracy, equality, human dignity and respect for
diversity and rights of all stakeholders.
 Strive for distinguished merit and excellence in teaching, reputable research and
innovation through leading, challenging, creating and exploring knowledge.
 Put intellectual capital to work by offering access to a wide spectrum of vocational
and academic programmes.
 Accomplish the above through individuality, collective effort and partnerships
 Promote human well-being.
 Promote ethical values and fulfill all academic/research activities according to such
values.
 Uphold and promote individual, group and institutional integrity in the process of
fulfilling our roles as Teachers, Researchers, Staff Members.
 Engender trust in undertaking research and the practice of science.
 Facilitate appropriate ethical decision making.

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 5. Promotion of research and Identification of Thrust Areas
Shivaji University lays down its policies for research endeavors in line with the
societal and national needs. The research practices undertaken at university are keenly
guided, nurtured and achieved to reach out to its goals.
The university has visualized research on four parameters viz., Promotion of
research, Research Sensitization, Research Initiation and Innovations in research. As such
university affirms its policies to inculcate research culture through various schemes and
scholarly efforts. The university strives hard to support research in every manner to provide
facilities and protect the interests of university and students.

Promotion of Research: The University believes that researchers are free to choose the
subject of their research, to seek support from any funding source for their research work, and
to report their findings and conclusions. However, research work shall be available for
scrutiny to the University and constructive criticism of peers. Research techniques used by
the researchers shall not violate established professional ethics, pertaining to the health,
safety, privacy, and other personal rights of human beings or to the infliction of injury or pain
on animals.
Research Sensitization: The university offers help to its students to take initiative to
undertake research. The sensitization programmes are available for researchers through the
programme like Research Colloquium, Avishkar, research project competition, GIAN
programmes, expert talks, programs under MoU and linkages. Various schemes and available
resources for undertaking research shall be notified for information of students.
Research Initiation and Research Strengthening: The University offers support to young
faculty of affiliated colleges/ institutions and university departments to undertake research
projects under ‘Research Initiation Scheme’. This scheme is available from university funds.
The research proposals from newly appointed teachers are invited. The selected project is
given financial support upto Rs. 300000/- (For teachers from Science, Engineering and
Pharmacy faculty) and upto Rs. 200000/- (For teachers from all other faculty). (Please see
annexure III for Research Initiation Scheme)
The University offers support to faculty of university departments to undertake research
projects in the areas of interest under ‘Research Strengthening Scheme’. This scheme is not
available to those teachers who are already working on research projects funded by
Government funding agencies. This scheme is available from university funds. The research
proposals from teachers are invited. The selected project is given support maximum upto Rs.
300000/- (For teachers from Science and Engineering and Pharmacy faculty) and upto Rs.
200000/- (For teachers from all other faculty). (Please see annexure III for Research
Initiation Scheme)

Innovations in research:
[[

Publication of Research Work: The University shall encourage publication of the research
work. It will be a responsibility of researcher to take prior approval of the university before
publishing his/ her research work. The researchers must do this responsibly and with an
awareness of the consequences of any such publication in the wider media. Authorship
provides credit for an individual’s contributions to a research and carries accountability. It is
important that researchers are aware of the authorship practices within their own disciplines
and any guidelines set by the journals in which they wish to publish. Researchers should take
into account the following aspects while publishing their research work.

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  The name of university shall be included in publication/ research article/ such
other publication
 The sponsor shall be notified in advance about the publishing schedule/time.
 Researchers shall make every effort to make sure that the research work is
peer reviewed before it gets published.
 All funding sources must be acknowledged in publication. The contributions
of formal collaborators and all others who directly assist or indirectly support
the research work shall be specified and properly acknowledged.
 Results of research shall be published in an appropriate form.
Anti Plagiarism Policy: The University Grants Commission, New Delhi has published
promotion of academic integrity and prevention of plagiarism in higher educational
institutions regulations 2018. In view of the same university has framed the regulations for
prevention of plagiarism. The research work shall be verified through the anti plagiarism
software tools as required by the University’s regulations. The University provides
regulations on plagiarism on its website and through its prospectus for admission. It is the
responsibility of all research students, research guides and the faculty and staff of this
university to read and understand the regulations on plagiarism
Intellectual property and patent generation: University has established an IPR cell for
fostering research and facilitating patent filing. The researcher shall follow the University
policy on Intellectual Property Rights. Researchers shall be careful while discussing research
work that is not complete or has not been published, particularly if it has not undergone peer
review. Exchange of confidential information by e-mail is not recommended, especially if
patent applications are anticipated. The University shall encourage its researchers and assist
them in filing and obtaining patents. The University shall make financial provisions for filing
Indian patents.
Identification of thrust areas: The University shall identify the thrust areas of research in
consultation with the respective university authorities. Thrust areas of research need to be
documented systematically along with the details of facilities, availability of funding/
scholarship/ incentives/ fellowships and infrastructure available for undertaking research in
these areas.
As such this shall be a department wise / subject wise document or list placed under
circulation for information and reference of teachers and students.
This list shall offer ideas and title of proposed project or research work to be undertaken.
This document shall also cover the information of industry based projects, projects to be
undertaken under MoUs and linkages, details regarding interdisciplinary projects, etc.

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 6. Code of Practice for Research
All those involved in research need to be aware of and abide by the principles of research
integrity set out by the University, funding agencies, norms prescribed by university
regulatory authorities, professional association and the law.
The Code of Practice for Research defines the procedures and norms for conduct of research
in terms of supervision, support and assessment. Ideal Research Practice is a process of
understanding and undertaking research in planned manner. Hence it can be considered as a
framework of planning, organizing and executing research practices for recording and
reporting the results. It looks ahead to appropriate training, experience and supervision of
researcher. Thus code of practice will systematically achieve and execute the results of
research.
Licenses, permissions and agreements: Some research work may require licenses,
permissions or agreements before the research work is commenced. This may include, for
example:
 Import licenses for materials
 Licenses/permissions to use certain materials
 Material Transfer Agreements
 Permissions from individuals/communities or private/government agencies
 Export control licenses
Regulations and Legal Provisions: The researcher will carry out research in compliance
with the University regulations and code. This includes all legal, regulatory and ethical
requirements laid down by the University or other statutory bodies. Heads/ Directors of
Departments, Principals/ Directors of approved Research Centres, Principal Investigators,
Research Guides, and respective committees will have a responsibility to ensure that the
highest standards of research integrity, governance and ethical practice are met. University
sponsored research carried out overseas must uphold the University’s ethical standards and
research policy. Research must comply with all current legislative requirements.
Standards, Procedures and Acknowledgements: Fundamentals of research work such as
maintaining professional standards, documentation methods and outcomes, questioning one’s
own findings, attributing and acknowledging honestly the contribution of others are essential.
It shall be prime responsibility of staff, research students and their research guides to
undertake research within policy framework and to seek to foster a culture of openness and
professional integrity in research practices. The researcher shall be open to scrutiny, debate,
sharing, further analysis and re-use of research work. The research work, findings and
conclusions shall be made available for scrutiny by the Research Advisory Committee.
Health, Safety and Ethical practices: It is essential that research students are aware of the
health and safety issues raised by their research. Research techniques shall not violate
established professional ethics pertaining to the health, safety, privacy, and other personal
rights of human beings or to the infliction of injury or pain on animals. It shall be the
responsibility of the respective university authorities/ committees/ research guides/ research
students/ faculty and staff to assure that the conduct of research, the sources of funding for
that research, and its perceived applications are consistent with the academic standards,
regulations and norms and with established professional ethics and laws. Research that

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involve human or animal must be approved by respective authorities with due observance of
Human Ethics Policy and the Animal Ethics Policy. The researcher and the guide are required
to follow the Health and Safety Policy while undertaking research. This is to ensure the safety
and well being of those associated with or involved in the research (this includes the
researcher himself/herself as well).
There shall be University Research Ethics Committee. It shall have overall responsibility for
the implementation of this policy. It will also offer advice on best practice in research ethics.
Complaints or expressions of concern about research ethics at the University shall be made to
the University Research Ethics Committee, which will refer cases to the
University’s Misconduct Procedures when appropriate.
Quality of research and Publications: The researcher shall undertake research, leading to
quality publications, presentations in National/International conferences of repute, generation
of Intellectual property with potential for commercialization/socially useful outcome and
other similar research activity.
Integrity and professionalism: A culture of honesty and integrity in research shall be
developed as a part of research and development. Research involves the pursuit of truth in
furtherance of the advancement of knowledge. In order to meet research standards,
researchers shall always demonstrate integrity and professionalism. The researcher shall
observe fairness, transparency and openness, equity and intellectual honesty to avoid or
declare and manage actual or potential conflicts of interest.
Social Responsibility and Confidentiality: Confidentiality of information given by
participants, and the anonymity of subjects, must be respected at all times and documentation
protected accordingly. Researcher must respect the participant’s right to withdraw from
research at any time without adverse consequences to the participant. Research methods,
results, outputs and data shall be subject to appropriate confidentiality in relation to personal
or commercially/ legally-protected information. The researcher shall record and publish their
methods and results in ways that are open to scrutiny and debate. Research evidence shall be
retained for peer review, subject to conditions of legal provisions and funding agency
policies.
Sources of research and Data Management: The research scholar shall be free to seek
support from any source for research work and free to form his/ her own findings and
conclusions under the supervision of his / her research guide. Sourcing, using, managing,
storing and archiving data for research effectively and in compliance with relevant standards
and policies becomes more essential. All research data shall be managed effectively. This
includes archiving, to ensure integrity, security and quality. Data generated in the course of
research shall be kept securely in paper or electronic format, as appropriate. Back-up records
shall always be kept for data stored on a computer. Researchers shall report any changes in
the direction of sponsored research to the sponsor or any other relevant body.
Healthy Practices: Proper co-ordination and mutual understanding shall be maintained
within research groups so as to encourage healthy practices. Undertaking research with the
standards of ethical practice and research integrity goes a long way in holding university’s
reputation. Sharing research outputs and data shall be and in line with the University’s
Policies on Open Access, transparency and fair practices.

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 7. Rights and Responsibilities in the Conduct of Research
I] Responsibilities of University
The University shall draw attention to and research students research policy in its induction
process for newly appointed teaching faculty. Research guide of students engaged in research
will ensure compliance of research policy and will direct students for any additional training
or support that may be required.
Conducive Environment for Research: The University shall create conducive environment
for research. Along with infrastructure and support, it shall also provide development
opportunities to researchers for maintaining quality of research, support for writing research
proposals and reports, publications, patent filing, etc. It shall assess, assure and promote
research quality by adopting efficient research management systems.

Infrastructure and support: The University shall allocate space, facilities, funds, and other
resources for research programs, in view of the prevailing rules and regulation, based on the
scholarly and educational merits of the proposed research.
Training and professional development Training is an important part for ensuring that the
researchers are able to understand and adopt best practice as quickly as possible. Respective
teachers and research guides are responsible for training his or her research students in
appropriate health and safety procedures for that particular research area, and for
management of those procedures in laboratory or other workplace. They are also responsible
to assure the periodic inspection of lab facilities and to cooperate in any inspections
undertaken by university authorities or committees. The university shall plan periodic course
to adopt best practices in research. Some of the indicative courses are:
 Research design
 Regulatory and ethics approvals and consents
 Equipment use
 Record keeping
 Data protection
 Management of intellectual property, including confidential informationUse of
materials requiring statutory registration such as radioisotopes, pathogenic and GM
organisms
 Data management
 Using animals for experiments
 Regulations involving human subjects
Promote Award/ reward/scholarship systems: The University shall recognize, encourage
and reward research and innovation. The excellence in research shall be acknowledged by
incentives and award schemes. The university shall also promote scholarship schemes for
research students.
Research collaborations and partnerships: The University shall establish research
collaborations and partnerships with national and international universities, research
institutions and industries. Establishing incubation centers for undertaking research related to
agriculture and industry shall be placed on priority agenda. Such initiatives and
collaborations look ahead to students’ capacity building and enriching their competencies.

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Enhance the institutional research profile: The University shall develop a rational model
for the adequate provision of internal university resources for research. It shall create
financial incentives for researchers to engage in high quality and internationally competitive
sustained research activities. It shall identify, encourage and provide support to students, staff
and teachers to pursue and acquire masters and research qualifications through specialized
programmes.
Increase external funding for research:
The university shall engage in dedicated and sustained activity to identify the sources of
funding for research, both national and international. It shall utilize internal research funds as
a strategy to attract external research grants. It shall also prioritize some internal funds for
emerging researchers.
Support national, regional and industry-specific research and development policies and
strategies: The university shall identify and develop research strengths that complement
national research strategies and priorities. It shall enhance the social responsiveness of
research conducted at university. It shall identify and develop opportunities for relevant and
applied research and knowledge production.

II] Responsibilities of Research Guide and Teachers

The University is committed to demonstrate support and appreciation for its students,
teachers and staff members for achieving research goals through mutual cooperation.
Teachers and research guides must facilitate compliance of this policy in all academic and
research activities.

The Head/ Director/principal/ Coordinator of the Department/ Research Centre, Research

Guide and senior teachers shall ensure that a research climate of mutual cooperation is
created so that members of a research team are encouraged to develop their skills and
exchange of ideas.

Teachers and research guides also need to ensure that approved research protocols are
followed.

Faculty members must be aware of their duties and responsibilities towards students and
staff working as a part of the research team. It is particularly important that at least annually,
each research guide shall review intellectual and tangible property rights and responsibilities
(for management of data in all media, for proper authorship attribution, etc.) with all
members of the research group under his or her direction.

III] Responsibilities of Research Students

All students engaged in research and those engaged in research within and/or for the
University, must familiarize themselves with the research policy and ensure that its
provisions are observed. Researchers are expected to understand and apply the following
principles:
 Researchers shall be honest in respect of their own actions in research. This applies to
the whole range of research work including designing of experiments, generating and
analyzing data, applying for funding, publishing results, and peer reviewing the work.

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 Researchers are accountable to the society, their profession, the university where the
research is taking place including the stakeholders involved and in particular, the
sponsoring /funding agencies.
 The university expects all researchers including research students, project fellows, etc.
to observe the standards of research practice set out in guidelines published by
scientific, learned societies, and other relevant professional bodies.
 Plagiarism, deception, fabrication of results and misreprentation will be considered as
serious offence, which can lead to disciplinary action as laid down by the University
authority.
 Researchers are to report such cases of misconduct in an appropriate manner.
 Researchers should sensibly consider the potential negative consequences on their on
going research activities, outcomes or outputs which impacts human and surrounding
environment. Such research projects should be avoided to reduce the risk.

Researchers aspire to the highest degree of integrity in their research through:

 Complying with the highest standards of scientific research
 Acknowledging and carefully indicating the limitations of their methods and findings
 Avoiding misrepresentation in the dissemination of research findings and
methodology.
 Non fabrication of data or information;
 Designating authorship of consulted research sources clearly, accurately and justly in
research publications.
 Committing no form of plagiarism or unfair practices

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 8. Planning and Execution of Research work
All research projects/proposals/thesis/dissertation shall be conceived, designed and
implemented in accordance with the rules given below. It is essential for any researcher /
research guide to adher by the rules.
 Clear documentation of the rationale for the research shall be prepared and
documented

 Adherence to current safety practices and ethical standards and securing all necessary
ethical and regulatory approvals
 Ensuring availability of resources that are required for undertaking research
 Review of progress of research work and submitting progress reports as prescribed by
university norms.
 Secure and safeguard digital and physical storage of all data and its proper access.
 Research data must be managed to appropriate standards throughout the research
especially data relating to human participants and commercially sensitive data.
 For data collection involving human participants, explicit participant consent must
always be secured and the data must only be used in letter and spirit of that consent.
 Researchers do not have the authority to sign data sharing agreements or enter into
legally binding arrangements or reassurances for the management of data on behalf of
the University.
 The researcher shall be responsible to establish the originality of research and shall
protect his/ her interests towards generation of intellectual property rights.
 Researchers shall undertake research in a manner that does the environment no harm
and that creates no pollution.
 Equipment used to generate data shall be suitable for the purpose, of appropriate
design and of adequate capacity. It should be calibrated and serviced regularly by
trained staff so that the performance is optimal and the results can be trusted.
Research Records:
Accurate and appropriate records are an essential component of any research project. Both
the research student and the research guide have responsibilities and rights concerning access
to use and maintenance of original research data.
Research record shall include the documents and digital records that are necessary for the
construction and evaluation of reported results of research. It is the responsibility of the
research student and the research guide to determine what records to be retained.
1. Data must be kept for as long as may be necessary to protect any intellectual property
resulting from the work. It shall be stored safely
2. If any charges regarding the research arise, such as allegations of scientific
misconduct or conflict of interest, data must be retained until such charges are fully
resolved.
3. In case of research students of M.Phil./ Ph. D. programme, data must be retained at
least until the degree is awarded or cancellation of admission.
4. Researchers shall keep clear and accurate records of the procedures followed and the
approvals granted during the research process, including records of the interim results
obtained as well as the final research outcomes. This is necessary not only as a means
of demonstrating proper research practice but also to protect researcher’s interest.

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 Properly maintained note books may be used in evidence while establishing
ownership of inventions.
5. All raw data shall be recorded and retained in indexed laboratory notebooks with
permanent binding and numbered pages or in an electronic dedicated note book,
machine printouts, questionnaires, chart recordings, autoradiograph etc.
6. Copies of relevant software, particularly the version used to process electronic data,
must be retained along with the raw data to ensure future access.

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 9. Research Grants and Project Administration
Submitting Proposals
 A researcher/principal investigators shall take all measures to ensure the accuracy of
information contained in the proposal to any funding agencies.
 A researcher/principal investigators shall ensure that they read and understand the
terms and conditions of research funding agency and be aware of their
responsibilities for proper submission project reports.
 A researcher who submits substantially similar work to more than one funder shall
disclose that fact to the funder at the time of submission.

Approval: Upon approval from funding agency either internal or external, the Researcher/
Principal Investigator shall follow the procedures laid down by university.
Responsibilities of Principal Investigator:
1. The Principal Investigator is responsible for overseeing the implementation and conduct of
the research project, ensuring that all protocols detailed in the research proposal are followed
2. Purchasing necessary supplies and equipments, and carrying out the project professionally
and scientifically as per the provisions and norms prescribed by university and the Accounts
Code. Acquisitions of equipment will be reported to the concerned department, section and
recorded in the University inventory.
3. The Principal Investigator will submit regular reports on the progress of the project and a
statement of continuing compliance with protocols.
4. The control of University owned- purchased equipment is mandatory under University
policy. Principal Investigator is responsible for securing necessary approvals for the purchase
of the equipment, proper tagging, inventory, utilization of equipment and disposal as per
university rules. For specific guidelines, please refer to the University Accounts code.

It is the responsibility of each department and school to see that a system is in place to ensure
that the Researcher/Principal Investigator in their areas fulfill the requirement for review and
certification of fellowship/incentive/ remuneration and other expenditures.

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 10. Research misconduct
Introduction: Academic community and the respective university stakeholders have a
responsibility to promote a culture of honesty and integrity in research work. The cases of
research misconduct affect university reputation and goodwill and leave a negative impact on
students and society.
Disciplinary Powers and Discipline Amongst Students: Section 127 of Maharashtra State
Public Universities Act 2016 earmark following provisions
127. (1) All Powers relating to discipline and disciplinary action in relation to the students of
the university developments and institutions and colleges maintained by the university, shall
vest in the Vice-Chancellor.
(2) The Vice-Chancellor may, by an order, delegate all or any of his powers under sub-
section (1), as he deems fit, to such other officer as he may nominate in that behalf.
(3) The Vice Chancellor may, in the exercise of his powers, by an order, direct that any
student or students be expelled or rusticated for a specified period, or be not admitted to a
course or courses of study in conducted college, institution or department of the university for
a specified period, or be punished with fine, as prescribed by the university, or be debarred
from taking an examination or evaluation conducted by the department, conducted college or
institution maintained by the university for a specified period not exceeding five years or that
the result of the student or students concerned in the examination or evaluation in which he
or they have appeared, be cancelled:
Provided that, the Vice-Chancellor shall give reasonable opportunity of being heard to
the student concerned, if expulsion is for a period exceeding one year.
(4) Without prejudice to the powers of the Vice-Chancellor, the principals of conducted
colleges, heads of university institutions and the heads of departments of the university shall
have authority to exercise all such powers over the student in their respective charge as may
be necessary for the maintenance of proper discipline.
(5) Provisions as regards discipline and proper conduct for students of the university and the
action to be taken against them for breach of discipline or misconduct shall be as may be
prescribed by the Statutes, which shall apply to the students of all its conducted colleges and
university departments or institutions, affiliated colleges and recognized institutions.
(6) Statutes relating to discipline and proper conduct for students, and the action to be taken
against them for breach of discipline or misconduct, shall also be published in the prospectus
of the university, affiliated college or recognized institution and every student shall be
supplied with a copy of the same. The principals of the colleges and heads of the institutions,
maintained by the university and affiliated colleges, may, prescribe additional norms of
discipline and proper conduct, not inconsistent with the Statutes, as they think necessary and
every student shall be supplied with a copy of such norms.
(7) At the time of admission, every student shall sign a declaration to the effect that he
submits himself to the disciplinary jurisdiction of the Vice-Chancellor and the other officers
and authorities or bodies of the university and the authorities or bodies of the conducted
colleges, affiliated colleges and recognized institutions, and Shall observe and abide by the
Statutes made in that behalf and in so far as they may apply, the additional norms made by
the principals of conducted colleges and heads of university institutions and affiliated
colleges.

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(8) All powers relating to disciplinary action against students of an affiliated college or
recognized institution not maintained by the university, shall vest in the principal of the
affiliated college or head of the recognized institution, and the provisions of the sub-sections
(6) or (7) including the Statues made there under, shall mutatis-mutandis apply to such
colleges, institutions and students therein.
Research Misconduct:
Misconduct in research can be defined as any breach of the University Code of Practice for
Research or other practices that seriously deviate from those that are commonly accepted
within the academic and research communities for proposing, conducting or reporting
research. Research misconduct may be defined as fabrication, falsification or plagiarism in
proposing, performing or reviewing research, or in reporting research results.
 Fabrication means making up data or results and recording or reporting them.
 Falsification means manipulating research materials, equipment or processes or
changing or omitting data or results such that the research is not accurately
represented in the research record.
 “Plagiarism” means the practice of taking someone else’s work or idea and passing
them as one’s own.
Research Misconduct does not include unintentional error or professional differences in
interpretation or judgment of data. For the avoidance of doubt, misconduct in research
includes acts of omission as well as acts of commission.

Research misconduct may cover following:

(i) Fabrication, including the creation of false data or other aspects of research,
including documentation and participant consent.
(ii) Falsification, including the inappropriate manipulation and/or selection of data,
imagery and/or consents.
(iii) Misrepresentation of data and/or interests and or involvement.
(iv) Plagiarism, including the general misappropriation or use of others’ ideas,
intellectual property or work (written or otherwise), without acknowledgement or
permission.
(v) Failure to follow accepted procedures or to exercise due care in carrying out
responsibilities for avoiding unreasonable risk or harm to: humans, animals used in research
and the environment.
(vi) Failure to follow accepted procedures or to exercise due care in carrying out
responsibilities for the proper handling of privileged or private information of
individuals collected during the research.
(vii) Intentional damage to, or removal of the research-related property of other.
(viii) Intentional non-compliance with the terms and conditions governing the award of
external funding for research, the University’s policies and procedures relating to
research including accounting requirements, ethics, and health and safety
regulations, or any other legal or ethical requirements for the conduct of research.
(ix) Failure to follow legal procedures and norms
(x) Such other acts which are covered under regulations and students code or such other
codes
Cases of Research Misconduct and Fact Finding: University shall have a responsibility to
deal with incidents of research misconduct as per the prescribed norms. It shall be a prime

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responsibility of the university to initially verify the case of research misconduct through a
fact finding committee. Fact finding is a formal procedure to determine whether or not
misconduct has taken place. A fact finding committee shall gather information and submit a
report in writing about initiating further inquiry procedure or otherwise.
Inquiry Committee:
Inquiry committee shall be appointed to initiate a detailed inquiry. The committee will
comprise of a chairman and 2 members of which one member should be an expert from
outside Shivaji University, Kolhapur.
The scope of the committee shall be:
 To investigate the accuracy of charge of misconduct
 To assess the extent and nature of alleged misconduct
Cautions and Assistance:
The gathering and assessing of information in cases of alleged research misconduct can be
extremely difficult. It is essential to protect the professional reputations of those involved as
well as the interests of the public and of any who might be harmed by the alleged misconduct.
In the course of inquiries or investigations, the following provisions shall be applicable:
 Expert assistance shall be sought to conduct a thorough evaluation of all evidences.
 Precautions shall be taken to avoid unresolved personal, professional or financial
conflicts of interest on the part of those involved in the inquiry or investigation.
 The anonymity of respondents and the confidentiality of complainants shall be
protected (wherever feasible) and care shall be taken to protect the positions and
reputations of those involved in the research (including research subjects) and in the
research misconduct proceeding from harm (including retaliation). Where appropriate,
efforts will be made to restore the reputations of the respondent(s) when allegations
are not confirmed.

Inquiry procedures:

1. The inquiry committee shall take all reasonable and practical steps to obtain custody of
the research records and/or evidence needed to conduct the research misconduct
proceedings, record the evidences, and seize them in an appropriate manner.
2. The committee will be given access to material that is required to complete the
investigation with due diligence and accuracy which will include granting approvals,
reports, primary data, electronic records, manuscripts and any other material requested
and considered relevant for the investigation.
3. The inquiry committee shall invite the respondent to defend his/ her case and record his /
her say. The respondent shall be provided a fair opportunity to defend the case.
4. The respondent shall be provided with a copy of the draft report of the inquiry and be
given an opportunity to comment on the findings of inquiry committee. A report shall be
finalized after due consideration of the say of the respondent.
5. Complainants, respondents, and witnesses who may have information related to the
matter shall be interviewed. Complete written summaries of each interview shall be
provided to the individual being questioned, and any comments shall be appended to the
summary. The summaries shall be recorded.
6. The final report, including specific recommendations and findings shall be
submitted within 60 days from the receipt of the allegation/ complaint. If this time frame

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 is not possible in a particular case, the reasons are to be recorded. It shall describe the
information reviewed, include a summary of the interviews conducted, and mention the
conclusions.
7. The final written report should include:
 A description of the policies and procedures followed
 How and from whom relevant information was obtained
 The findings and basis for the same
8. The final report of the inquiry and a copy of the documentation shall be submitted to the
university.
Action on Inquiry Report:
A report of an inquiry committee shall be processed as per rules. Further action may be
initiated with the approval of competent authority of the Shivaji University, Kolhapur.
Appeal procedure: The respondent may file an appeal against the decision of the inquiry
committee to the appropriate authorities.
Safeguard against False Allegations:
If it is found that the complaint and the allegations made are false and was done with malaise
intentions, the university will initiate an appropriate action against the individual who has
lodged a false complaint.
Sharing of inquiry committee reports with Funding Agency:
After detection of research misconduct the university shall inform the action taken to
respective funding agency, if found any.

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 11. Emergency Situations and Preventive Measures
Necessary steps to prevent and protect such circumstances shall be taken up on a routine
agenda of work culture. The procedures and protocols may be defined and published by the
university for information of all the concerned.
Any of following circumstances may require prompt attention and preventive actions on the
part of university:
 an immediate action to prevent health hazard, due to human or animal research
subjects
 an immediate action to protect University funds or equipment
 an immediate action to protect the integrity of the research and/or the research
misconduct proceeding
 an immediate action to protect the interests of those involved in the research
misconduct proceeding
 an immediate action to protect an alleged incident from public or media
 an immediate action to address an issue related to criminal offence

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 11. Review of the Research Policy
The research policy of Shivaji University, Kolhapur shall be reviewed quarterly by the
university authority.

Sources of Information
1. The University Grants Commission New Initiatives under eleventh Plan –
Academic reform in the universities dated January 31, 2008
2. The University Grants Commission ( Minimum Standards and Procedure for
Awards of M. Phil. / Ph.D. Degree) Regulations, 2009 through The Gazette of
India dated July 11, 2009
3. The University Grants Commission ( Minimum Standards and Procedure for
Awards of M. Phil. / Ph.D. Degree) Regulations, 2016 through The Gazette of
India dated July 5, 2016
4. The University Grants Commission, New Delhi : https://www.ugc.ac.in/
5. NAAC Bangalore http://www.naac.gov.in/
6. Maharashtra Public Universities Act 2016
7. Shivaji University, Kolhapur http://www.unishivaji.ac.in/
8. Indian Institute of Science and Education Research, Pune :
http://www.iiserpune.ac.in/
9. Indian Institute of Technology, Mumbai:
https://portal.iitb.ac.in/phdapp/phdAdmissionLinks.jsp https://portal.iitb.ac.in/
10. Stanford University
11. Oxford university
12. The University of Cambridge
13. University of Johannesburg

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