KLE Tech - Research Policy Document

Research Policy Document

of
KLE Technological University
2015
(Established under Karnataka Act No.22, 2013)

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Content of Research Policy Document

Sl No Details Page

1. Introduction and overview …………………………………. 01

2. Strategic plan ……………………………………………………… 05
3. Structure of R &D activities ………………………………… 07
4. Initiations to promote R & D activities ………………… 09
5. Resource Mobilization ………………………………………… 13
6. Innovation eco-system and IP policy …………………. 14
7. Research Publications and Awards ……………………… 17
8. Research Consultancy and Consultancy policy …… 18
9. Code of Research and Ethics …………….....……………… 19
10. Research Extension and Collaboration activities …. 27
11. Formats and Guidelines ……………………………………… 28

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1. Introduction and purpose

This document provides the Research Policy of KLE Technological University, Hubballi,
and is based on the statute and regulations of the University. This document provides
policies and practices, to support and enhance research activities. This document
should be read in conjunction with the relevant Ordinances and Regulations, and any
other policies, procedures or guidance as may be issued by the University from time to
time. This document shall be kept under review by the Research Council of the
University. The Research Council shall be the Principal Research Body of the University
and shall formulate the research policies and research programs of the University as
prescribed under Section-27 of the Act.

In the present context of the globalized world, the role of research in an academic
institution is significant for its sustainability and development. It is imperative to have
knowledge-driven growth based on innovation. The quest for knowledge is the basic
principle behind the research. The quality of research work directly translates to the
quality of teaching and learning processes in the academic institution, thereby benefits
the students, the society, and the country at large. The promotion of research in a huge
and diverse country like India will help the nation evolve as a knowledge reservoir in the
international arena.

However, not many institutes have mandatory research goals for individual faculty, and
most do not have adequate systems or infrastructure to support quality research. The
lack of an encouraging academic environment, ill-equipped libraries, inadequate labs
and equipment, poor infrastructure, lack of funds, faculty crunch, etc. are some of the
factors contributing to the dismal picture of research in a typical Indian academic
institution. To have research universities that can interact with the top universities in
the world, these universities need to be given adequate support to enable them to
partake in the global knowledge economy at the same level as that of the top
universities. Interaction among world-class universities entails international student
mobility, faculty exchanges, research, and teaching programs that require a globally
competent academic labor force.

Thus, one needs to emphasize on the necessity of research-oriented teaching.

Educators engaged in research are updated with lathe test developments in their
chosen subjects apart from all that is mentioned in the reference books. Thus,
educators familiar with research-based teaching can help students to undertake
research activities. This commitment to research is aligned with the national imperative
to encourage more postgraduate studies, to increase the production of traditional

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research outputs (as defined by research articles, books, book chapters, and conference
proceedings) and to expand the pool of researchers that can contribute to knowledge
production and innovation in our society.

In view of the prevailing academic scenario, the purpose of this Research Policy
Document is to;
 present a policy framework for the management, support and development of
research at the KLE Technological University,
 provide a strategy for achievement of the research goals.

This policy document is expected to address the issues of both applied and basic
research, Innovation and Technology development. The policy outlines strategic plan,
the guiding principles regarding the management, support and development of
research for all those involved in research activities at KLE Technological University. It is
applicable to all the temporary, fixed term contract and permanent employees as well
as registered students of the University.

The aim of the research policy is to:

a) Provide a framework for the promotion of research and development;

b) Provide resources for continued high-level, effective and efficient support for
research and affirm research as a priority;
c) Provide eco-system for innovation and entrepreneurship.
d) Ensure effective communication (internally and externally) about the principles and
policies on which the research activities of the University are founded with the
responsible conduct in research
e) Provide support for consultancy, collaboration and outreach (Extension) activities to
enhance the research culture.
f) Integrate support for both undergraduate and postgraduate research into the main
stream research.
The first four sections describe introduction and overview of the university, strategic
plan to work to promote the research activities, the structure of the research and
development activities, and code of conduct of research. Sections 5 to 10 provide
different policies and schemes for a research promotion, resource mobilization,
Innovation eco-system, research publications, consultancy, collaborations and outreach
(Extension) activities. The last section provides formats and different guidelines for the
operational aspects of research and development activities.
The structure and process of research policy document will be reviewed and revised by
the Research Council during its ongoing regular meetings. The Research Council will
review and amend these policies and guidelines as it deems necessary and appropriate.
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2. Strategic plan

The times have changed, and the higher educational institutions need to continually
innovate to maintain and enhance their relevance to meet the ever changing demands
of global economies. Apart from delivering good quality education, the institutions are
expected to develop their capacity in research and innovation. They also need to
undergo a fundamental transformation in terms of their role in the society, mode of
operation, and economic structure and the scale at which they operate.

The strategic themes are evolved from the university’s primary commitment to
outstanding learning and student experience, impactful research, and societal
engagement. These three interwoven strands of a triple helix; teaching, research and
engagement that shape and reinforce one another, define our aspirations and focus.
The second theme of Impactful research is provided in this document.

The proposed strategic plan comprises the identification of the strategic research goals
and also the resources and actions required to achieve the stated goals. It serves to give
effect to the Research Mission statement and the concomitant core value. The
proposed strategy has been informed by a range of imperatives both external and
internal to the university, and is described within the framework of the National R&D
Strategy.

2.1. Goal: impactful Research

As the institutional goal, KLE Tech will actively nurture and organize its research
efforts and creative endeavors to enhance regional, national and global impact
and reputation as a research-intensive University.

Performance improvement in terms of various standard research metrics is a

necessary step for obtaining credibility and resources needed to elevate KLE Tech in
the Indian higher education system. A greater part of the research effort will be
aligned / concentrated in the areas of national interest. The plan is to build on
these areas to develop substantial research strength by selective strategic
investments, research leadership and support. This selective strategic investment
will be provided to inter-disciplinary and disciplinary areas.

2.2. Focus
Develop substantial research strengths by aligning the areas of present strengths
and areas of national interest by selective strategic investments, leadership and
support
a) Evolve strategic research roadmap for each School of the University by
identifying research focus areas (RFAs) that build on present strengths and
future opportunities.
b) Implement an integrated and coherent University-wide approach to
planning, delivering, managing, rewarding and funding research across all

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the Schools.
c) Enhance research active faculty.
d) Establish metrics to measure and reflect research output and impact using a
range of measures at individual and institutional level.

2.3. Interdisciplinary Research Centers

Build strategic aggregations of people and programs to strengthen inter-
disciplinary areas of research & development, that will enable KLE Tech to
compete successfully for large funding opportunities and provide the ability to
create innovative solutions to societal needs.
a) Promote and support interdisciplinary research and development centers, that
leverage breadth of our expertise to address the complex problems faced by our
nation and the world.
b) Ensure that these centers give priority to problems/opportunity-focused
projects/products that demonstrate successful interdisciplinary collaboration
and address the market needs.

2.4. Funding
Foster a supportive environment for research by facilitating access to internal
grants and providing strategic expertise to maximize external grants.
a) Build University Research Fund for providing internal support to Schools and
Centers to enhance their research profile.
b) Establish appropriate process to provide seed funding for research projects that
can be leveraged in obtaining external grants.
c) Seek funding from governments, research agencies and industries to sustain the
research initiatives and enable specific research projects.
d) Drive the commercialization of research and technology transfer, through
mechanisms such as licensing, patents, creating spin-off companies and
supporting external entrepreneurs.

2.5. Programs
Enhance quality and relevance of the doctoral research programs to emerge as an
institution of choice for researchers.
a) Continue to invest in research capacity development to attract and support
more number of doctoral students in disciplinary and interdisciplinary RFAs.
a) Strengthen the interconnectivity between research and teaching/learning,
including the participation of undergraduate and postgraduate students in the
University research programs.
b) Evolve innovative enrollment strategies to recruit and support full time
researchers and personnel from industry

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3. Structure of R &D
The research promotion and development activities of the university is supported and
managed by the Research and Development (R & D) center of the university and headed
by Dean R & D. The cell provide administrative and managerial support for the
operation of sponsored research, consultancy and related activities of the Institute . The
Cell facilitates interaction with external agencies, both at national and international
levels. It also promotes and manages Institute-Industry interactions and all externally
funded research and development projects as well as patents. The Cell acts as a liaison
between the Institute and funding agency to undertake sponsored projects.

The Research Council is the regulatory body of the university to formulate policies,
guidelines and effectively responding to the challenges of the university towards
enhancing research activities.
3.1. Research Council
Research Council, which is the principal research body of the University, shall formulate
the research policies and research programmes. Research Council shall review and
supervise implementation of research strategies and policies. Research Council shall
seek the approval of the Executive Council in all matters.
Objectives of Research Council is to:
a) Guide the strategic orientation required to advance research profile of the
University.
b) Advise Schools, Departments and Centers to evolve their strategic research
roadmap.
c) Review policies and regulations to enhance quality of Ph.D./M.Tech. programs
d) Regularly review research progress of Schools/Departments in terms of
appropriate parameters.
The Research Council shall consist of the following:
(i) The Vice-Chancellor - Chair Person
(ii) The Pro Vice Chancellor - Member
(iii) Head of the Department of Innovation - Member
(iv) Deans of all Faculties – Members and
(v) Such other members as may be specified in the Statutes.
(vi) The Dean of Research – Member Secretary

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3.2. Funding policy of R & D activities
KLE Tech shall provide 5% of total revenue for R & D activities. This policy is presented
in the second Research Council and is approved by the university process regarding a
funding policy.

3.3. Components of R & D

Research at KLE Tech is carried out under 3 different components: (i) University
sponsored research, (ii) Research programs, and (iii) Externally funded projects.
Figure shows the components of R & D activities.

KLE Tech Research

University Research Externally Funded

Sponsored Research Programs Research Projects
Projects

(i) University Sponsored research: University promotes the research at

individual faculty level, group of faculty at the department or inter-
department research. Every year University identifies, reviews and funds are
sanctioned to carry out research at individual faculty level, research groups,
research clusters, product design and development groups, etc. The details
of these are provided under initiations to promote research.
(ii) Research programs: The schools/departments/centers offer research
programs.
Research Center: Research Centre encompasses the research activities at
the school/department level. There can be multiple areas of research
pertaining to the disciplines based on the faculty expertise available in the
department. These centers will also focus on offering of formal degree like
MS and PhD. They will also contribute towards imparting research
experience for UG and PG students via programs like Research Experience
for Undergraduates (REU).
(iii) External funded projects: The University has set rules to carry out external
funded research and consultancy projects. The faculty as a Principle
Investigator (PI) can write and get the external funded research and
consultancy projects.

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4. Initiations to promote R & D activities

This section provides the details of challenges faced to enhance the research culture,
objectives to promote research culture, and initiatives and research promotion schemes
of the university to enhance the research culture. The details of courses offered to
undergraduate students to enhance the research output is also presented.

4.1. Challenges: As per the strategic plan of the University the university has taken
number of initiatives to promote and enhance research culture for faculty, group of
faculty and students. These initiatives and research promotion schemes are
reviewed by the research Council every year and appropriate recommendations are
provided.
The research initiatives are necessary to address the following challenges:
 Lack of Synergy in research initiative
 Lack of visibility to attract funding
 Lack of experience of funded projects
 No tradition of research and
 Inadequate support facility
 No reward for research

4.2. The Objectives to promote R&D activities are:

The objectives of initiating RCs/RGs or PDDG are to enable focused research,
attract funding, IP generation, productization, start-up support, and synergize
the efforts of faculty and students to gain greater recognition for the University
at National and International level.
4.2.1.1. The identification of faculty groups for RCs/RGs or PDDG will be
based upon need of the University, talent, passion and the ecosystem,
which will sustain them, and then eventually lead to recognition as CoEs.
4.2.1.2. Human resource: Each RC/RG may recruit Research Associates (junior
or senior) to carry out the research activities of the cluster/group.
4.2.1.3. Each RC/RG needs to provide roadmap for 3 years. Fund release for
the first year is subject to the acceptance of the roadmap. However,
subsequent fund release depends on the success of the roadmap.
4.2.1.4. Faculty or group of faculty applying for PDDG can recruit research
associates and the group needs to provide roadmap for 3 years. Fund
release for the first year is subject to the acceptance of the roadmap.
However, subsequent fund release depends on the success of the
roadmap.
4.2.1.5. The budget for each RC/RG or PDDG faculty group is Rs.30L to 50L
and can be revised as per the recommendations of the university rules.

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4.3. Research promotion Schemes:

To promote research in emerging and high impact areas, the University has
undertaken initiatives to identify and nurture research clusters/research groups
(RC/RGs) and provide funds for Product Design and Development initiatives. The
university also has taken an intuitive to provide seed money to individual faculty
through capacity building projects. The aim is to develop these clusters/groups to a
level of competency that makes them further emerge as Centers of Excellence
(CoE).

The Following research promotion schemes are initiated since 2015. Every year
the call for proposals are sent to all faculty for the different internal funding
schemes of the University. The review committee reviews these proposals and
approves the funding. This fund is for one year and faculty or group needs to write
fresh proposal for continuation or new proposals.
 Capacity building projects
 Research Groups and Clusters
 Facility creation for Product design
 Incentive for R & D activities

The following section give brief details about these activities.

4.3.1. Capacity Building fund: Capacity Building fund is the seed finding provided
to the individual faculty to initiate the new areas of research and grow the
research activity in an area aligned with focus areas of School/Department.
4.3.1.1. The objectives of these projects are:
 To enhance the research capability of the faculty and research
center/cluster/group.
 To provide the experience of carrying out a research project.
 To facilitate the process of applying for funds from external funding
agencies.
4.3.2. Research Cluster (RC): Research Cluster is theme centered, e.g. energy,
material science, ESDM, CVG, data analytics, etc. These centers synergize the
efforts and expertise of faculty across the departments and create a platform
towards building higher levels of inter-disciplinary research/development
/technology-translation/productivity. The aim is to get recognition and visibility
in a chosen theme.
4.3.3. Research Group (RG): This is similar to RC, wherein collaborating faculty can
be from the same department or across departments. Research Group leads
to initiation of research clusters in the collaborating area over a period of time.

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4.3.4. Centre of Excellence (CoE): The identification of RCs/RGs will be based upon
the needs of the University, talent, passion and the ecosystem, which will
sustain to evolve into Centres of Excellence (CoEs). This will help to identify the
clusters of competence, which then go through two phases before emerging as
CoEs. In Phase-1, RCs define roadmap, orient research and build capacity. In
Phase-2, RCs contribute towards publications, funded research and
consultancy projects, patents, etc. before elevating to a CoE. The CoEs will
collaboratively work with University’s innovation and entrepreneurship center
(CTiE), and product design and development centers (CIPD).
4.3.5. Product Design and Development Grant (PDDG): The Product Design and
Development Grant (PDDG) is given to a faculty or a group of faculty who
involve in product innovation, design and development activity of the
University and supports start-ups and industry. These faculty groups bring
together the skill set and expertise of multidisciplinary group of researchers
from Schools, Departments, RCs/RGs and industry towards technology
translation, design and development activity of a product
4.3.6. Faculty student start-up grant (FSSG): This grant is given to faculty or group
of faculties who involve with the startup and students towards a product
development and deployment.
4.4. Research Courses for Students: Introduction of a research Courses for
undergraduate students to enhance the research culture. Number of research
courses are offered to the students of undergraduates. All these courses are 6
credits and Students of B.E. program may register for these courses in place of 2
electives.
4.4.1. Research Experience for Undergraduates (REU): This course has the
following details:
4.4.1.1. Objectives:
 To provide real-world, hands-on research experience for students.
 To provide an opportunity to work directly with a faculty member on
a bonafide research project.
 To work in research groups in the industry to solve local problems in
an innovative way.
4.4.1.2. Faculty Supervisors: Faculty with doctoral degree individually or in a
group can submit the research group proposal in the format given by the
university.
4.4.1.3. Process of REU: During this course the UG students shall work on a
research topic which reflects substantial understanding of the courses
and capability to apply the same. At the end of the work the candidate
shall submit a dissertation and will be evaluated by a committee of 3

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members consisting of Head of the department, guide and an external
examiner.
4.4.2. Institute research projects (IRP): Institutional research projects approved by
the university R&D center. Typically IRP project goals are defined for 3 to 5
years with objectives for each year.
4.4.2.1. During this course the UG students in team shall work on a research
project identified by the university R&D center. At the end of the work
the Students team shall submit a report and will be evaluated by a
committee of 3 members consisting of Head of the department, guide
and an external examiner.
4.4.3. Institutional Sponsored Projects (ISP): Institutional approved projects for
funding by the university R&D center. Typically ISP proposals have short term
goals for an year and need institutional support.
4.4.3.1. During this course the UG students in team shall work on a research
project identified by the university R&D center. At the end of the work
the Students team shall submit a report and will be evaluated by a
committee of 3 members consisting of Head of the department, guide
and an external examiner.
4.4.4. Sponsored Research Projects (SRP): The research projects which have
received external funding. The goals and objectives are as per the accepted
project proposals.
4.4.4.1. During this course the UG students in team shall work on a research
project objective given by the PI of the external funded project. At the
end of the work the Students team shall submit a report and will be
evaluated by a committee of 3 members consisting of Head of the
department, guide and an external examiner.
4.5. Financial assistance for Conference
In order to encourage the faculty, to enhance the research culture and
collaborations, KLE Technological University provides financial assistance
towards organizing and attending conferences and Faculty development
programs. KLE Tech has a process for the review of the policies regarding
financial assistance.
The faculty who wish to avail financial assistance under this scheme should
submit their proposal to the R&D office. The review committee reviews the
proposals and recommends. The Funds once released/sanctioned for organizing
a particular activity cannot be utilized for any other Programme.

4.5.1. Organizing and attending Conference: The financial assistance is provided

for organizing Conferences at National and International level in various fields
of Technical Education. It intends to promote high standards in Technical
Education by providing a forum to the academicians and working professionals

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for sharing their knowledge, experiences, innovations and inventions.
Preference shall be given to topics of interdisciplinary nature, emerging and
thrust areas in Technical Education.

KLE Tech provides financial support for both students and faculty to present
their paper/s in the conferences held within India and outside India. KLE Tech
has policy towards attending conference within and outside India. Faculty are
also encouraged to apply for external agency for financial support in attending
conferences.

4.5.2. Organizing and attending Faculty Development Programs (FDPs), and Staff
Development Programs (SDPs): KLE Tech provides financial assistance to
conduct and attend FDPS and SDPs. FDPs and SDPs facilitate up-gradation of
knowledge, skill and also to provide opportunities for induction training to
teachers and staff of the university. The objective of this grant is to enhance
the teaching and other skills of the faculty, to make them aware about modern
teaching tools and methodologies and to help them acquire knowledge about
current technological developments in relevant fields.

5. Resource Mobilization: The university has a transparent and well-planned financial

management system in which Government and Management are the main sources
of funds. The resource mobilization policy focuses on achieving the goals and target of
the institution ensuring accountability and transparency.

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6. Innovation eco-system and IP policy
The university has taken concrete steps to establish favorable environment for the
creation of innovation eco-system. University has taken number of steps for enhancing
the Innovation and Entrepreneurship in the campus. University has a policy towards
protection of Intellectual Property Rights and protecting Intellectual Property.
6.1. Innovation Eco-System: University has established KLE Tech – Center for
Technology Innovation Entrepreneurship (CTIE) to create an innovation eco-system.
CTiE has initiated many programs to enhance Innovation and Entrepreneurship
activities by the students and faculty of the University.

KLE – Centre for Technology Innovation and Entrepreneurship (CTIE) is a

Technology Business Incubator (TBI) recognized by Department of Science &
Technology (DST), Government of India and a Technology Incubation &
Development of Entrepreneurs (TIDE) 2.0 G2 centre recognized by MeitY,
Government of India.
It started operations in the year 2012, from the prestigious B V Bhoomaraddi
College of Engineering & Technology Campus, now known as KLE Technological
University, Hubballi. The vision to retain the local talent, thereby enhancing the
local ecosystem led to formation of the Incubation Centre.
The student front of CTIE, Make in BVB (MiB), has been instrumental in driving the
vision of the centre amongst the student community and encouraging them to
think entrepreneurial through the events conducted.
Being Entrepreneurial, Thinking Entrepreneurial and Doing entrepreneurship has
been the key driver of the incubator.
KLE – CTIE attracts entrepreneurs predominantly because of collaboration with
University ecosystem that helps the startups to get necessary support in terms of
manpower, environment to test products, build products and by seeking support
from mentors, the startups scale up and make a big mark in the industry. It attracts
application for potential incubation from students, faculty, alumni, and other
entrepreneurs in the making.
As a policy, KLE-CTIE’s charters are,
1. Enabling student startups on campus with end to end support in a
conducive business/ technology ecosystem.
2. Create and nurture the culture of innovation leading to India specific
products/ services.
3. Leverage student-faculty teams to build world class technology solutions.
4. Support faculty participation in startups as a policy.
5. Work with the state/central support system to being the talent from the
tier2/3 cities to the mainstream.
6. Encourage, support women entrepreneurs and female students in all
aspects of innovation/entrepreneurship initiatives of KLE-CTIE.

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7. Making KLE-CTIE a model incubator that can be emulated across India.
KLE – CTIE, is a not – for – profit incubator, and charges very minimal rentals from
startups considering the local ecosystem, which is utilized for day to day operational
expenses. We were a no – equity incubator till date, however due to changing times
in terms of support provided to startup overall as an incubator – by involving
mentors, access to indigenous labs like MakerSpace and Electronics Enabling Lab
(EEL) and lining up the funds to support startups through TIDE 2.0 and institutional
funds, we have decided to take equity not exceeding 2% of the overall startup
equity.

6.2. IP Policy: KLE Tech. recognizes the importance of innovations and assists in
translating them into products, processes and services for both commercial benefits
and achieve the widest public good. The University Patent Policy states the procedure
to be followed in the administration of inventions which result from teaching,
research, and other intellectual activity performed under University auspices. A patent
application can be filed by the faculty and student members of the university with prior
permission in the Indian Patent Office, either with provisional specification or with
complete specification, along with fees as prescribed in the schedule. The committee
reviews the applications and recommends the financial support depending on the
merit of the application. Patent fee and other related fees are permitted for grant of
support from the University. KLE Tech.’s IP policy is designed to identify, protect
and leverage the bouquet of IPs that is generated from research – patents,
copyrights, design rights and trademarks amongst others, that serve the purpose of
knowledge diffusion and commercialization. The features of IP Policy aim to meet such
needs and enable KLE Tech to achieve it’s vision. The University has a separate IP
policy document which governs the IP activities in the university. IP policy also eludes
to various agreements to transfer, share and monetize IP rights. The following
documents are part of the IP policy
6.2.1. Non-disclosure agreement (NDA)
6.2.2. Technology transfer agreement
6.2.3. Joint IP agreement
6.2.4. Invention Disclosure Form
The University has developed IP review and IP filing process which aids inventors to
protect their IP rights. The policy is reviewed annually and revised as per the
requirements and developments of the University and IP rules and regulations of
India.
The organizational structure for IP Eco-system is as follows
1. IP Steering committee (VC, Dean R&D, Registrar etc..)
2. IP Review committee (Technical experts)
3. IP Coordinator

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4. IP Departmental coordinator
5. IP Legal counsel

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7. Research Publications and Awards:

The University aims to improve overall research performance and promote research
activities undertaken by various departments, faculty members and students. The
Research Incentive Scheme (RIS) provides the means to assist with research activities
or reward to faculty for successful quality publication or presentation of research
outputs. The University awards incentives for various research activities like quality
publications, for successful completion of external funded research projects and for
successful guidance to the doctoral students. The following points gives the details
about awards.
7.1.1. Research Incentive Scheme guidelines are reviewed and revised during
Research Council meeting if necessary or the guidelines are continued until the
revised guidelines are provided for every academic year.
7.1.2. The application process is also presented in the guidelines, and the
information regarding guidelines and formats are shared with all the stake
holders after the research council meeting.
7.1.3. The application process includes, the submission of the award application by
a faculty wish to apply for the awards in the format given by the R & D office.
7.1.4. All the award applications are reviewed by the Incentive Committee and the
awards/incentives are recommended.
7.1.5. The awards are provided in the following categories;
7.1.5.1. Awards for Quality publications: In order to encourage the faculty of
KLE Technological University towards making high-quality scientific
publications, financial incentives will be provided. Authors of
International Journal papers, books or book chapters are provided with
incentives as per the guidelines of the university.
7.1.5.2. Awards for External funded research projects: To encourage and
enhance the applications to the external funded research projects, the
university has the award scheme for PIs (Principle Investigators) of the
external funded projects. The PIs shall apply for the award after the
successful completions of external funded research project and
submission of the utilization certificate.
7.1.5.3. Award for supervising the doctoral students: To encourage faculty
with doctoral degree to supervise the doctoral students, University
provides awards and incentives to the supervisors of doctoral students,
doctoral students need to be working as a faculty in the University. The
supervisors can apply after the successful completion and award of
doctoral degree to their doctoral students.

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8. Research Consultancy and Consultancy policy

8.1. MoUs: The University has established technological ecosystem for promoting
research consultancy and collaboration with other Institutions/Industries of repute
operating under various MoUs.
8.2. Consultancy policy: To develop outreach activity, the consultancy is one of the
activities. In this regard the faculty of KLE technological University has the potential
to carryout consultancy. Hence it is proposed to give permission to carry out
consultancy and any financial gain out of this may be shared between the
institution and faculty & the staff involved. It is proposed that there can be three
levels of categories depending upon the financial involvement of institution and the
share of distribution of financial gain can be different for different categories
8.2.1. Category I: Here faculty / staff uses the infrastructure like building,
electricity, water etc. along with materials for testing, prototyping, material
preparation etc.
8.2.2. Category II: Here faculty / staff uses the infrastructure like building,
electricity, water etc. only.
8.2.3. Category III: Here faculty visits outside, uses intellectual developments due
to the developments in the Institution and gets a duty leave.
Depending upon the categories it is proposed to have the following distribution of
financial gain:
Category / party Category I** Category II **** Category III
Institution 50% 30% 20%
Faculty/ Staff* 43% 60% 70%
Administrative cost 7% 10% 10%
 * The internal distribution shall depend on the project and agreement on case
by case basis.
 ** In special cases the share may be different depending upon the agreement

Administrative cost: Head of the Institution, Head of Department /School/ office staff*

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9. Code of Research and Ethics

The code of research includes two closely related notions: scientific integrity and
research ethics. The idea of responsible conduct in research refers to the whole range
of behaviors which characterize how professionals in a given field conduct themselves.
It is intrinsically linked to behaviors their ethics and standards command in the context
of their professional activities. The responsible conduct in research goes to the very
heart of what research is. The values most closely associated with research ethics are:
honesty, trust, justice, integrity, intellectual probity, respect, responsibility and
benevolence. Responsible conduct in research requires that these values be adhered to
and promoted by the scientific community as a whole. The expectations that derive
from these values apply to all research activities and concern all relevant actors. They
form the backbone of a research ethos which allows different actors to agree,
communicate, and collaborate on the advancement of knowledge while reaching
pinnacles of research excellence. To reach the latter, one must actually cultivate these
values in research environments so that responsible conduct may take root and flourish.
However, research actors can at times find themselves in situations where other values
come into conflict with research ethics and imperil responsible conduct. This policy
wishes to reaffirm the primacy of those values associated with the responsible conduct
in research and support researchers, students and the research communities in the
pursuit of research excellence.

A statement of the purpose of the Research Code of Conduct and the University's
commitment to integrity in research. The University is committed to maintaining the
highest standards of rigor and integrity in the conduct of its research. The University
expects all those involved in research to observe these standards and to embed good
practices in all the aspects of their work, including the training of new researchers. The
University also requires that all the students and members of staff conducting research
to adhere to the highest levels of research conduct. The University Research Code of
Conduct lays out the standards expected from all those carrying out research under its
auspices. The Code covers areas such as:
1. Approval procedures
2. Publication and Authorship
3. Research Data
4. Reviewing research for journals or funding bodies or internal purposes
5. Supervision and management of students' or researchers'
6. Intellectual property (to be read in conjunction with the IP policy)

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9.1. Principles and Application

9.1.1. University expects all research carried out at the University or in its name to
be conducted to the highest standards of integrity. This Research Policy
provides a framework for the governance of all research throughout the
University. It requires all those undertaking and/or contributing to research to
adhere to the highest standards of performance and ethical conduct, and
embed good practice in all aspects of their work. They must operate honestly
and openly in respect of their own actions and in response to the actions of
others involved in research.
9.1.2. University requires all Staff, Emeritus Professors, Honorary Staff, Visiting
Staff and all Registered Students ( whether undergraduate or postgraduate)
involved in research to abide by this Code. Where any other individual who
collaborates in research with KLE Tech Staff and Registered Students is not
bound by an equivalent Code through their Employer or other organisation,
the individual shall be expected to abide by this Code when working with the
University unless otherwise agreed. References hereafter to ‘researcher or
workers’ include all Staff (including Emeritus Professors, Honorary Staff and
Visiting Staff), Registered Students and external research collaborators who are
involved with research in connection with or as part of the University.
9.1.3. This Code is linked to and operates in conjunction with conditions of
employment for the relevant Staff groups and other related University policies
and procedures. Failure to abide by this Research Policy may lead to the matter
being considered under the University’s disciplinary procedures.
9.1.4. Any alleged breach of this Code shall be handled in accordance with the
appropriate University disciplinary procedures.
9.1.5. The Research Policy and its implementation will be reviewed by the
University’s Research Committee on an annual basis in consultation as
appropriate with relevant individuals or groups. The review will take into
account changes and recommendations from external research funders, Acts
of Parliament and other regulations. Where any proposed change to this
Research Policy would affect Staff Terms and Conditions of Service the
University will follow the appropriate normal procedures of consultation
and/or negotiation.
9.1.6. All research workers undertaking or involved in research must familiarise
themselves with this Research Policy. Heads of Schools/Department/Centers
have a responsibility to seek to ensure compliance with the Research Policy.
The University will draw attention to the Research Policy in its induction
processes for newly appointed Staff and Registered Students. Supervisors of
Registered Students will seek to ensure compliance with the Research Policy on
the part of students. The University will draw attention to relevant training and
development modules to ensure that all research workers are aware of best
practice requirements.

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9.1.7. The University recognizes and protects the principle of academic freedom in
its Ordinances.
9.2. Integrity and Accountability

9.2.1. Everyone involved in research in the University owes a duty of accountability

to the University, to all participants in their research, and to their research
funders commensurate with their involvement in that research. Individuals
must accept responsibility for their own conduct of their part in any research
and for providing direction for the activities of any Staff or Registered Student
under their supervision.
9.2.2. The Primary Researcher or Principal Investigator in any research should
identify clear roles and accountabilities for all those involved in any research
project, and should ensure that all involved are informed of their
responsibilities. Areas of accountability include:
1. the ethical basis of the research and the research design
2. the safety of all involved in the research,
3. the probity of financial management of all projects and for seeking to
provide the optimum value for the public or private funders who have
invested in them,
4. effective project management to agreed project plans and appropriate
quality standards, including timely delivery of any scheduled, tangible
outcomes,
5. management of research data in accordance with the Data Protection Act
(DPA), 1998 and university legal provisions,
6. seeking to ensure timely and wide dissemination of research findings,
7. as appropriate undertaking professional development relevant to the
research and ensuring that all others involved in the research have received
relevant training,
8. maintaining personal records of research progress, including authorised
laboratory books, to the recommended or required standards,
9. maintaining confidentiality in order to achieve protection of intellectual
property rights where appropriate,
10. ensuring research participants participate in a voluntary way, free from any
coercion and are properly informed of any risks, the broad objectives and
of the identity of any sponsors of the research,
11. using all best endeavors to avoid unnecessary harm to participants, other
people, animals and the natural environment, having taken due account of
the foreseeable risks and potential benefits of the research,
9.2.3. When peer reviewing research proposals or results (including manuscripts
submitted for publication), research workers must protect the confidentiality
of information provided and disclose any conflicts of interest and any areas of
limited competence, and must not misuse or misappropriate the content of the
material being reviewed.
9.2.4. Research workers must be honest and lawful in respect of their actions
relating to research and in response to the actions of other research workers.

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This applies to the whole range of research activity, outputs and deliverables,
including applying for funding, experimental design, generating and analysing
data, publishing results and acknowledging the direct and indirect contribution
of colleagues, collaborators and others.
9.2.5. Where a research worker has concerns about whether the obligations of
accountability as set out in clause 2.2 can be met or is in doubt about the
applicability of provisions of the Code to their part in any research, or about
the appropriate course of action to be adopted in relation to it, advice should
be sought from a member of the relevant Ethical Review Committee or the
Research Governance and Ethics Committee of the Research Committee. All
responses from the Committee will be in writing and will be retained for future
access as appropriate. A Registered Student who has any questions about this
Research Policy should in the first instance raise these with their immediate
supervisor.

9.3. Research Data

9.3.1. Research workers must keep clear and accurate records of the research
procedures they followed and the results obtained, including interim results.
9.3.2. Research data must be recorded in a durable and auditable form, with
appropriate references so that it can readily be recovered.
9.3.3. Unless already regulated by legislation or confidentiality agreements, or
where there are valid ethical reasons for not doing so, primary research data
and research evidence must be accessible in confidence to other authorised
researchers for verification purposes for reasonable periods after completion
of the research; data should normally be preserved and accessible for ten
years, but for projects of clinical or major social, environmental or heritage
importance for 20 years or longer. These periods are in accordance with
current University guidelines.
9.3.4. Unless there are particular reasons, including any legal or regulatory
requirements (including without limitation the requirements of a research
ethics committee), for not doing so, data should be stored in their original
form. Storage media such as tapes and disks should not be erased and/or
reused, but should be stored securely.
9.3.5. It is the duty of the Principal Investigator in any research project to comply
with the DPA. The DPA applies to all processing of personal data.
9.3.6. Some central issues for research workers in relation to personal data include:
1. all Staff and Registered Students using personal data in research have a
duty of confidentiality to the individuals concerned,
2. unless there are ethically or legally justified reasons for doing otherwise,
research workers must ensure that they have each study participant’s
explicit informed written consent to obtain, hold and use their personal
data,
3. data security arrangements must be sufficient to prevent unauthorised
breaches of confidentiality or unauthorised disclosure of personal data,

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4. The University, through the Colleges, will develop and implement
procedures for complying with the University's Data Protection Policy
and the University's Records Management Policy. As appropriate
affected groups and individuals will have input to the development of
the procedures. Once approved by the University, Heads of Colleges
have responsibility to ensure that these procedures are made known to
all Staff and Registered Students.
9.3.7. The University is responsible for establishing appropriate procedures for
security and retention of research data in a form which would enable retrieval
by an authorized third party, subject to any limitation imposed by the
confidentiality of personal data.
9.3.8. Specific arrangements should be made to protect the security of research
data where there is a contractual requirement to do so.
9.3.9. Research data related to publications should be available for discussion with
other research workers, except where confidentiality provisions prevail.
Confidentiality provisions relating to publications may apply in circumstances
where the University of Birmingham or the researcher has made or given
confidentiality undertakings to third parties, including research subjects, or
confidentiality is required to protect intellectual property rights. It is the duty
of the Principal Investigator to familiarise him/herself with any provisions of
confidentiality relating to any particular research grant or contract and to
inform research workers under his/her supervision of their duties with respect
to these provisions. Advice on individual grant or contract terms may be
obtained from Research & Commercial Services.
9.3.10. The Principal Investigator should also ensure that third-party Intellectual
Property rights are not breached.

9.4. Publications
9.4.1. Publication is the dissemination of the outcomes of scholarship and research
not only in conventional paper form but also in other media, including
electronic media. The University encourages its Staff and Registered Students
to disseminate the findings of their research through appropriate and timely
publication. In this context publication may be taken to include, inter alia,
books, chapters, articles, conference proceedings, reviews, patents,
catalogues, compositions, the production of creative arts, software and
databases.
9.4.2. Ethical considerations apply to the production of all categories of publication
and external communications, including web-sites, e-bulletins, press releases,
media briefings or other events. The University of Birmingham expects
research workers to abide by the University’s core principles of openness,
transparency and accountability and adopt appropriate ethical and
professional standards and responsibilities in their publications as set out
below.
9.4.3. Good practice requires that all University Staff include the details of their
research outputs in the relevant University research publications databases

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according to the relevant procedures for recording that information. Staff and
Registered Students should also help to ensure wide dissemination of their
publications and therefore cooperate in requests from the University to
include their outputs in a publicly accessible repository where appropriate.
9.4.4. There is a fundamental ethical obligation on authors to acknowledge and
attribute external sources of information. Citation of sources should be carried
out in accordance with the Harvard referencing system which has been
adopted as standard by the University, or in accordance with the house style of
the relevant publisher and/or the normal practices of the discipline concerned.
Citation not only gives credit to the work of others, but also enables readers to
identify elements in the text and therefore recognize the contribution of the
author or authors in the context of previous work. Failure to cite sources could,
inter alia, constitute plagiarism and may be subject to disciplinary procedures.
9.4.5. The KLE Tech cannot endorse citation arrangements which are contrary to
academic conventions (such as citation clubs or the unnecessary use of self-
citation). Guidance will be provided by the Research Committee as to
acceptable use of self-citation. Membership of Citation Clubs may be regarded
as misconduct
9.4.6. It is in the interests of faculty, Registered Students and the University that
good practice in the matter of co-authorship is disseminated, understood and
followed.
9.4.7. A publication must contain appropriate reference to the contributions made
by all those who have made what might reasonably be regarded as a significant
contribution to the relevant research. Any person who has materially
contributed through conceiving, executing or interpreting at least part of the
relevant research should be given the opportunity to be included as an author
of a publication derived from that research. Accepting the status of co-author
implies a full commitment to having one’s name and reputation fully
associated with the content of the publication.
9.4.8. There is a general ethical obligation that the contributory efforts of persons
who have helped in the work being reported in a publication should be
identified and acknowledged in it. It may, therefore, be appropriate to identify
those who have assisted substantively in the work presented in a publication.
This may include financial sponsors, colleagues within and outside the
University who have given advice and any others who have facilitated the
collection of material or data on which the publication is based or who have
assisted in producing the publications. Those identified should be approached
for permission if it is intended to acknowledge their assistance in the
publication, and they should be offered the opportunity of seeing the
publication.
9.4.9. A publication which is substantially similar to other publications derived from
the same research must contain an appropriate reference to the other
publications. A researcher must disclose to a publisher at the time of
submission (a) substantially similar work which is being submitted to another
publisher at the same time or (b) work which has been previously published.

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9.4.10. Authors should be aware that in contract and collaborative research it may
be necessary to seek permission for publication from all parties to the contract
in advance of submission of the work to a publisher.

9.5. Sponsored research

9.5.1. Sponsored Research Projects
Sponsored project refers to one in which the PI does not charge
honoraria/consultation fee. Amount may be used by the PIs as approved in the
respective budget head by the funding agency. A faculty may like to approach
various national and international funding agencies and industries for
sponsored projects in the areas of the desired research interests. For a project
sponsored by a government agency, no honorarium in any form can be
claimed. The guidelines of the sponsoring agency are used to execute the
project.
9.5.2. Collaborative Research Projects
Faculty may also participate in collaborative projects with other domestic or
foreign partners. In such projects, even though there may be an overall project,
there must be a separate budget and scope of work statement to be done by
the faculty and staff of the Institute. The summary statement provided to the
Institute should be based primarily on the portion to be done by the Institute.
The Institute will treat this like any other sponsored project.
9.5.3. Project execution Guidelines:
9.5.3.1. Project responsibility: The sanctioned projects are headed by a
Principal Investigator (PI), and may have Co-Principal Investigators (co-
PIs)/ Administrative PI (to operate the project, in case PI is out of station)
and the deliverables are the responsibility of the PIs.
9.5.3.2. For each sponsored project, the entire expenditure for the operation
of the project is required to be met out of funds provided by the
sponsoring agency. The responsibility for operation of the project lies
solely with the PI.
9.5.3.3. Preparation and Submission of the Proposal: The project proposal
should be formulated according to the format prescribed by the
concerned funding Agency and submitted to the R & D Cell of the
University for further processing. No proposal shall be submitted by the PI
directly to the funding agency without the information to the R & D cell.
9.5.3.4. Ethics/ (Intellectual Property Rights) IPRs: Funding agencies are
concerned with ethical issues of the scientific experimentation on
humans, animals, etc. PIs are responsible for upholding academic
integrity, Non-Disclosure Agreements (NDA), MoU guidelines of the
funding agency and the University Research Policy during the execution of
the projects. PIs are responsible for the submission of progress reports,
statement of expenditures and utilization/completion certificates of the
project.

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9.6. Ethical Review
The KLE Tech requires that all Staff and Postgraduate Registered Students’ research
projects undergo an ethical self-assessment and, where further scrutiny is required,
an ethical review by an Ethical Review Committee of University or external ethical
review committee as suggested by the university regulatory committees. Software
tools are used for plagiarism check and is followed by all the researchers.

9.7. Additional Requirements

Any special standards of work performance or conduct imposed by law or by the
KLE Tech in relation to particular categories of research are deemed to be included
in this Code in its application to persons engaged in that research in the University.

9.8. Adverse Events

Research workers have a duty to monitor and report any Adverse Events occurring
in the course of the research and each School/dept/center must have systems in
place to ensure that all such Adverse Events are recorded and, if appropriate,
investigated. In this context, an Adverse Event is an event which results in harm to
the researcher, the research participants, or the environment.

9.9. Misconduct
9.9.1. Misconduct in research is a failure to comply with the provisions of this Code
and, without limiting the generality of the foregoing provisions, is taken to
include: Fabrication, Falsification, Plagiarism, Misrepresentation,
Mismanagement of Data and/or Primary materials etc., and general
Misconduct.
9.9.2. Researchers and other members of Staff have a duty to report any breach of
this Code where they have good reason to believe it is occurring, to the Head
of College or some other person in authority.
9.9.3. The University considers an accusation of research misconduct to be within
its remit and suitable for consideration according to its relevant disciplinary
procedures.

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10. Research Extension and Collaboration activities

University has s strategic theme for the Societal Engagement. The details are;
10.1. Goal: KLE Tech will actively seek out strategic opportunities to contribute to
the socio-economic development and benefit of the people of the region. Societal
engagement, and regional development, will be a distinctive feature of learning and
research endeavors at KLE Tech.
The university will strive hard to enhance quality of life in the region by
contributing its expertise, experience and leadership. A more intimate engagement
with society will not only enrich the community but will benefit our students as
well. It will offer additional opportunities for research, for experiential learning,
technology translation, and for development of values of citizenship and social
service. We will pursue this agenda through sustained partnership with public,
private, non-governmental, professional bodies.

Universities form an important pillar in the competitiveness of the regions in which

they are situated. They should create economic value by serving as magnets of
talent, as engines of innovation and as incubators of new products, technologies,
and ideas. Our work in driving innovation and entrepreneurship in our region will
be grounded on a strong entrepreneurial culture amongst our faculty, students,
alumni, and industry.

10.2. Student – Society

Integrate civic engagement and service learning into student learning experience,
wherein students can understand and connect to societal needs.
10.2.1. Create educational experiences wherein students develop a greater
understanding of social issues and take responsibility to evolve innovative
solutions to address them.
10.2.2. Encourage and support the students to take up projects that have distinctive
features of community engagement, and benefit the local and regional
communities.
10.2.3. Encourage and support students to take up entrepreneurial initiatives of
relevance to society
10.3. Institute-Society
Actively engage in advancement of the region through leadership role in the
community and emerge as a model for university-society partnership.
10.3.1. Be a leader in a strong network of local and regional organizations,
government entities, educational institutions and private foundations that link
the university to external communities so as to create a positive and
meaningful impact.

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10.3.2. Address the needs, challenges, and perspectives of the region with services,
applied research and collaborations with appropriate organizations.
10.3.3. Support educational institutions and students in the region through outreach
programs and services to enhance quality of education.
10.4. Entrepreneurship
Create an entrepreneurial ecosystem driven by innovation and collaboration for the
growth of industries and employment opportunities in the region.
10.4.1. Provide and support formal and informal opportunities to students and
faculty to participate in entrepreneurial activities leading to start-up company
creations and employment.
10.4.2. Engage entrepreneurial communities to create vibrant entrepreneurial
ecosystem in the campus and in the region.
10.4.3. Promote and support technological innovation and research by students and
faculty leading to solutions that address wide range of societal needs and also
create value for the new enterprises.

11. Formats and Guidelines

The formats and guidelines for the various R&D activities as envisaged in the aforesaid
provisions made in this document shall be prepared and approved by the competent
academic bodies of the University from time to time. The approved guidelines are
shared with the faculty time to time.

Dean R & D

KLE Technological University, Hubballi

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