Annual report 2012 research university of calicut



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E.

APPOINTMENT OF EXAMINERS

9.11.


The procedure for the appointment of examiners shall be undertaken soon after the candidate submits his/her

synopsis. The University shall make arrangements to complete the valuation of the thesis within 90 days from

the date of receipt of the thesis, under normal circumstances.

9.12.


The thesis should be sent to two examiners, selected by the Vice Chancellor from among the list submitted by

the research supervisor.

9.12.1. The Vice chancellor, shall constitute , a panel of examiners not less than five by indicating the choice of order

of preference from among the members in the list, with the first person as the Chairperson.

9.12.2.  The panel of examiners will be selected for protecting the academic interests and to obtain an impartial, un-

biased, adjudication of the thesis.

9.12.3. In the panel at least one member shall be from outside State. However, for disciplines like Indian Languages,

were it is difficult to locate such experts, this rule shall not be strictly observed.

9.12.4. All the two persons, in the panel may be intimated either by post or by email/fax about their nomination along

with a copy of the synopsis and a request for valuation suggesting to adhere he time limit.

9.12.5. If the first person, declines to be the Chairman, the nomination shall fall on to the second and so on.

9.12.6.  If all the five in the panel declines to accept, the Vice chancellor shall constitute a second panel from the list.



F.

EVALUATION

9.13.


The examiners may be given 45 days for evaluating and sending a report on the basis of the evaluation to the

University.



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9.14.

The reports sent by fax or e-mail by using the ‘postscript’ package will be accepted.



9.15.

If an examiner fails to do so, the University shall send him/her a reminder immediately after the expiry of the

said period with a request to submit the report within thirty days. If the examiner fails to comply even within

the extended period the University shall cancel his appointment forthwith and invite the next examiner from

the approved panel to evaluate the thesis.

9.16.


In the event of, receipt of the report after the appointment has been cancelled or the loss of report, postal

delay, etc. the University will take an appropriate decision in the interest of the candidate concerned.

9.17.

If all the two reports are found positive, reports received from the external examiners shall be immediately



forwarded to the Head, place of research who, after ascertaining that the reports are favourable, shall

arrange the viva and the defense of the thesis at the earliest date suitable to the chairperson.

9.18.

The Head shall make the reports available to the candidate, the research guide and the chairperson at least



a week before the date of the viva.

9.19.


In case one out of two examiners give unfavourable reports then University shall seek thesis examined by

another examiner from the panel of examiners approved by the Vice Chancellor. If the additional examiner

also gives an unfavourable report the candidate will be declared to have failed.

G.

OPEN DEFENCE OF THE THESIS

9.20.


Finally, the candidate has to face an open defense of his/her thesis for the successful completion of PhD study.

9.21


The defense of the thesis shall take place in the presence of guide, and external examiner as the chairperson.

9.22.


If the external examiner is not able to be present at the time of open defense, the Vice- Chancellor, on the

recommendation of the guide appoint a senior research guide to act as Chairman to conduct the same. The

day, date, time and the place of the defense of thesis shall be notified by the Head of the place of research at

least seven days in advance. Normally, the  defense of the thesis shall be arranged in the University Department.

But on exceptional cases, the Vice-Chancellor may allow the defense to be conducted at a place of research

outside the University campus. In such a case the procedure of conduct of the defense, and the payments to

the examiner shall be the responsibility of the outstation centre concerned.

9.23.


The open defense shall be conducted in an audience of the public who are genuinely interested in the subject

of study and wants to explore facts related to the research. Letter of intimation of the open defense shall be

communicated to a large number of potential participants ( at least 50 people outside the research department

or centre) and a record of such invitations sent and the details of participants who attended the open defense

should also be maintained.

9.24.


In addition to the teachers/scientists, the research scholars and the students of the Department/Research

Centre concerned, and all those who are interested in the field shall be allowed to attend the open defense.

9.25.

The candidate shall be permitted for presentation of the work, at the beginning.



9.26.

On completion of the presentation, the candidate is expected to clarify the doubts/queries raised by the

examiners during their evaluation and mentioned in the report, if any, or by the Chairman.

9.27.


The participants can seek clarifications or suggest comments initiating a healthy discussion aimed at elucidating

the facts and sharing of knowledge. If the participants are deliberately intimidating the candidate or using

abusive statements the Chairman shall interfere and regulate by ruling.

9.28.


The open interaction between the research scholar and the participants in the open defense shall in no way

affect the outcome of the result.

9.29.

The Chairman can also intervene any time during the open defense and control the session, protecting the



merits of the findings and the genuine interest of the researcher.

9.30.


A report shall be prepared by the Chairman in consultation with the Supervising Teacher based on the

performance of the research scholar in the presentation, viva-voce and open defense. The report shall be

signed by the external expert and supervising teacher, and send to the University within three days of the open

defense.


9.31.

In case the open defense is not satisfactory, the examiners may unanimously recommend, with reasons, for a

fresh defense of the thesis within, one month.


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10.

 RECOGNITION OF RESEARCH CENTRE

10.1.


All  teaching/research departments/centres of the University are deemed to be research centres of this

University.

10.2.

Central and State funded Research Institutions, may be recognized as research Centre of the University of



Calicut based on mutual agreements and upon a request

10.3.


There shall be a Research Recognition Committee for each subject with the following members

1) Director of Research

2) One subject Experts to be nominated by the Vice-Chancellor

3) One member of the syndicate, nominated by Hon’ble Vice-Chancellor as Chairman

10.4.

Affiliated Colleges of the University of Calicut may be recognized as research centres if they meet the following



necessary requirements.

10.4.1. The  college which is seeking recognition in a subject shall have a permanently affiliated post graduate

department in that subject and have been offering PG Programme for more than 3 years

10.4.2. There must be at least two permanent teachers with Ph.D. degree in the subject in that department

10.4.3. The faculty should demonstrate that they are actively involved in research by way of their publications/

projects/collaborations

10.4.4. The departments/centre should have adequate infra structure and literature in that subject of study.

10.4.5. The institutions should provide sufficient facilities to the researchers and scholars and a undertaking in this

regard shall be given to to the university

10.4.6. Once the Department / Institution is recognized as a research centre, it is imperative that the centre is

actively involved in relevant research.

10.5 . The effectiveness of the research centre may be assessed, once in every five years, by the Research Recognition

Committee

10.6 . Recognition given to any research centre can be withdrawn if the expert committee gives a report stating

that the centre is not discharging its responsibilities satisfactorily or the conditions for granting recognition as

a research centre are violated

10.7.

However, the research scholars who have registered for PhD under the research guides of the de-recognized



research centre shall be allowed to submit their thesis in due course of time subject to the validity period of

registration.

10.8.

Once the affiliation is lost as above, the research centre should start afresh for recognition as research centre.



10.9.

Permanent affiliation may be granted if the centre has been found performing satisfactorily in two consecutive

inspections

11.

RECOGNITION OF RESEARCH GUIDES

11.1.


All scholars who have been contributing to the knowledge in their respective subjects who have proven their

credibility as active researcher may be recognized as research guides, provided they fulfill the following

criteria.

11.2.


The  candidate shall be a permanent staff member belongs to teaching/research department University

Department/ Centre/ Affiliated Colleges, or a scientist/technical staff in a research establishment having a Ph

D Degree recognized by the University.

11.3.


The candidate should have at least two recent research publications in peer reviewed journals after the award

of PhD, and within a period of four years, while requesting for guide-ship.

11.4 . A recognized guide can take a maximum of eight research scholars for Ph.D. programme, part-time and full-

time together.

11.5.

Policies of reservation, shall be adhered while admitting the candidates for research under a research guide.



11.6.

Research guide ship once granted may be withdrawn by the University, if he/she violates the ethical practices

of research or seems unfit due to proven reason. Otherwise the guide ship can be continued even after his/her

retirement from active service, provided, the research centre, where the researcher is affiliated shall be

willing to extend their facilities for his/her research.


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University of Calicut

11.7.

For teaching/ research departments of the university of Calicut, a teacher appointed as Lecturer/ Reader or



Assistant/Associate/Professor on a permanent basis may be granted recognition, with effect from his date of

joining the department/centre.

11.8.

A  researcher who wants to be recognized as a research guide of the university shall apply for research



guideship in the prescribed forms to the University

11.9.


If the student under a guide fails to submit his/her thesis, within the stipulated time, the position of the student

shall be treated as vacant, and the guide can admit fresh candidates for research



12.

CO-GUIDE AND GUIDE CHANGE

12.1.


A research scholar can opt for a co-guide for his/her research study.

12.1.1. If the research scholar does Ph.D. with a recognized research institution covered by an MOU with the University.

In that case, one of the guides may be from the teaching department of the University and the other from that

recognized research institution

12.1.2. The research scholar should apply for a co-guide at the time of registration or later during the course with the

required fee

12.1.3. One more Co-guide may be permitted later with the consent of both the guides on the request of the research

scholar.


12.2.

Guide change will be permitted under the following circumstances for research scholars doing doctoral research

in the research departments or centres:

12.2.1. The supervisor is not available for consultation for a considerable period of time, exceeding six months, as the

supervisor is on long leave or deceased

12.2.2. If the supervisor is disqualified by the university.

12.2.3. If the guide ceases to be an employee of the centre and joins else where.

12.2.4. Such guide change is subject to the maximum number of researchers permitted under a guide, that is, not

exceeding eight research scholars

12.2.5. Guide change between research centres or between university departments and colleges shall not be permitted

. However, if a research guide in a research centre gets another appointment in any of the teaching departments

of the University or any other research centre recognized by the University, the research scholars working

under him/her can be shifted to the teaching department of the University or the research centre where he/

she got appointment as teacher or scientist., provided the Department centre/ College is willing to admit the

student.

13.

COLLABORATION FOR RESEARCH

13.1.


Any teaching department can enter into an agreement with an outside research institution or an approved

research centre for carrying out collaborative research.

13.2.

A memorandum of understanding (MOU) shall be signed between the University and the proposed Research



Institution for that purpose

13.3.


The teaching department shall take the initiative for such strategic alliances with research institutions with

the permission of the University

13.4.

Such collaboration shall be entered into only with institutions of high reputation which will enhance the image



of the University and gives the researchers of the University access to resources and facilities that are not

adequately available on the University campus

13. 5

For entertaining into MoU with international bodies permission may be taken from the respective departments/



Ministry of the Country.

14.

RESEARCH OUTCOME

14.1.


The University, in principle, shall be the holder of the title right of the research outcome generated as a result

of the research done at the departments/ centres/ Colleges by the researchers

14.2.

Every researcher shall therefore duly acknowledge, the centre where the research is carried out and the



name of University of Calicut, in the publications/ patents, generated as a result of his/ her research under the

university



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University of Calicut

14.3.

The researcher/s alone shall be responsible for the outcome of his/her research which involves an insult



against a society, demoralization of the cultural values of a society, creating fear or panic thereby disrupts

peace, or violating the laws of the country, and jeopardizing the integrity of the country.

14.4.

All the rules laid down earlier by the University, related to patents and sharing of its royalty/benefits shall be



applicable.

15.

D.LITT/DSC AND HONORARY RESEARCH DEGREES

15.1.


The rules/guidelines framed in the statutes shall be invoked for awarding D Litt/ DSc/DLM /Honorary degrees.

16.

DEFINITIONS

16.1.


Wherever it is applicable in the above clauses the terms mentioned as the respective meanings as ;

1]  University – University of Calicut, if not otherwise mentioned.

2]  Head, place of research – Head of the Department in the university/Principal of a college affiliated to the

university/ Director of a research institute with which the university has a valid MoU for research.

3] Research admission committee – constituted for supervising research admission procedure and

recommending for registration.

4]  Entrance Test - a written test conducted for deciding the eligibility of a candidate for research admission.

5]  Research centre - A place for doing research ; a department of the university, a department in a affiliated

college which has been recognized by the university or an institute which has been entered into an agreement

with the university through an MoU for research studies.

17.

At lest in the teaching/research departments of the University, all members of the Research Admission



Committee and Progress Evaluation Committee shall be recognized research guides. Under any circumstances,

if person without such a qualification happens to be in the committee by virtue of his office, the Vice chancellor

may nominate another person to the said committee.

18.


Any other item significant to research in this University, and has not appeared under the above clauses, may

be ruled by the decision of the Vice- Chancellor.



RULES AND REGULATIONS FOR SPONSORED PROJECTS & CONSULTANCY PROJECTS

1. Introduction

The University of Calicut (CU), considers the need to facilitate the research and development activities

systematically to lay strong foundation and register growth in research by generation of resources, research

collaborations and establishing links with industry as well as with social organizations. The University will

handle the project management aspects related to accounts, purchases, recruitment, audits, liaisons with

sponsors, and prepare the status reports, by the following rules and regulations.

2.  Scope

The rules and regulations hereafter shall be called as “CU Projects Rules”, and applicable to all activities stated

therein.

1. The proposals submitted by a Department/ Centre/ Employee of the University or by the University as

    such, involving the following activities are termed as “CU Project activity:”

2. Sponsored Research Projects involving external funding sources

3. International Research Collaborations involving international funding sources or international collaborators

4. Industry/ Organization Sponsored Projects, Industrial Consultancy involving funding from industry

5. Organizing Workshops and Courses for dissemination of knowledge as part of the research projects.

6. MoU and Agreement with National/International Institution for Research having selfsufficiency nature.

3.  Sponsored Projects

A. Each sponsored project will have a Principal Investigator (PI) who will be responsible for the formulation of

the project proposal according to the format prescribed by the concerned funding agency.

The project proposal may include:

a) Planning of various project activities

b) Estimation of funds required for the project considering the following budget heads:



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University of Calicut

(i)  Salary of the project staff (with designations).

(ii)  Equipment

(iii) Consumables

(iv) Travel/Field work

(v) Contingency

(vi) Institutional overhead ( upto 20%)

c) Identifying co-investigator(s).

d) The time required for completion

e) The economical viability and technical feasibility

f) Social benefits

1.

All proposals for submission of research projects to the various funding agencies should be forwarded through



the Head of the concerned Department/Director of the Centre/Institute, who will certify that it would be

possible/not possible for the Department/Centre/Institute to accommodate the Research Project work and

staff within the existing Laboratory space. The PI of the proposed project shall clearly state the extra space

that would be needed and HOD/Director of the Institute shall certify the availability/non-availability of the

same. The proposals must be cleared by the Head of the Department/Director of the Center/Institute within

three working days.

2.

The project proposal containing the financial statement and summary of the Project along with the submission



form should be submitted to the Director of Research, and should be cleared within seven working days.

3.

The project proposals to all agencies must ask for a minimum of 20 % Overhead Charges (of the Total Grant of



the Project) for the University.

4.

Teaching posts, viz. those of Professors, Associate Professor, Assistant Professor should not be asked for in the



project proposals. However, posts of Research Scientists A, B and C, as per the UGC pay scales, may be included

in the proposals. Other posts asked in the project proposal should carry scales of pay identical to those of the

corresponding posts in the University. Post(s) on a consolidated salary, not exceeding the total emoluments at

the minimum of the scale of the identical posts in the University, may also be included in the budget proposal.

5.

If the project is with a non–government agency, a statement on terms and conditions of the project including



the right of patents and royalties must be spelled out clearly

6.

If an MOU is to be signed later on, the exact terms and conditions of the MOU, including a summary of the



finalized Project, should be submitted to the Director of Research.

7.

The Directorate of Research will examine the financial aspects of proposal prepared by the PI and process the



same to give approval before forwarding the proposal to the sponsoring agency. The same procedure will be

followed for project proposal submitted to international agencies/ foreign organizations seeking foreign grants.

A copy of the submitted project proposal has to be retained in Directorate. When the project is sanctioned, a

copy of the sanction letter from sponsoring agency will be retained in the D o R. The Directorate will initiate

the steps, and seek the permission of the Syndicate/Vice Chancellor for implementation of the project,

immediately after the funding agency releases/ agrees to release the quantum of assistance.



B . Sanction & Implementation of the Projects

8.

The letter of sanction and details of the amount sanctioned under different budget heads, duration of the



Project and other terms and conditions should be communicated to the Finance Branch along with a copy of

the Project, if sanctioned, after revision/changes by the funding agency.

9.

Before the start of Project PI must fill up the project initiation form.



10.

The date of start of project will be the date of actual receipt of first installment of the grant sanctioned or as

specified by the funding agency.

11.


The PIs of research projects may be provided with Telephone extension by the University during the tenure of

the Project if funds sanctioned by the funding agency exceed Rs. 25,00,000/- to facilitate smooth functioning

of the project work (only one extension for each PI, irrespective of the number of Projects). The charges on

shifting and installation of extension connection , shall however be met out of the P.I share of overhead

charges.


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University of Calicut

12.

The University normally requires the cost of the project to be deposited by the sponsoring agency, before the



work commences. The University will deposit the fund in CUF, and assign a budget head for the disbursement

of the money. The PI may be permitted to withdraw the money which is earmarked for equipments, consumables,

travel/ field work and contingency, and keep the amount in an interest earning bank account or as may be

directed by the funding agency and keep its accounts. The PI shall give recommendations to the Director

regarding expenditure from the project funds. The project expenditure for equipment and consumable will be

maintained in a separate stock register by PI.

13.

The statement of expenditure and utilization certificate will be prepared at every financial year end by the



Registrar.

14.


The project file will be closed with the submission of the final technical and financial project report and transfer

of the non- consumables and consumables to the Department/Centre stock register.

15.

All purchases shall be supervised and handled by a committee called the “Project Purchase Committee (PPC)”,



for each project consisting the PI (Convener), Co-PI and two members (out of which one may be from the

Teaching Faculty of any allied Department). This committee, proposed by the PI and approved by the DoR/VC

shall be constituted in the beginning of the Project and would serve the entire duration of the project.

16.


The State Purchase manual procedures shall be followed in every purchase.

17.


Consumables may be purchased from standard Indian firms or foreign companies on the basis of rate contracts

approved by the University. In case of consumables for which rate contracts are not available, quotations /

tender will be invited from all the known firms and the normal procedure for purchase shall be followed.

18.


Purchase above 1,00,000/- shall require approval of DoR/VC prior to placing the order.

19.


Supply order will be signed by the Principal Investigator after scrutiny of the Tenders/ quotations obtained

from various suppliers. The orders will be normally placed with the supplier whose quotations are the lowest,

unless for some technical reasons which should be clearly stated and defended by the PPC. In case of any

discrepancy, the matter shall be referred to DoR/VC and his decision shall be final.

20.

Advances will be paid to the Principal Investigator by cheques drawn in favour of the Principal Investigator or



in favour of the claimant as necessary. The Principal Investigator will be responsible for rendering the account

of such advances. The accounts of advances taken should be rendered within the period of 30 days from the

date of drawing the advance. However, this shall not apply in cases of LCs where the money is always with the

bank. LCs should be cleared within 30 days of receipt of equipment/material.

21.

All bills in respect of project (including bills for advance) will be signed by the Principal Investigator and sent to



the Finance Office duly completed in all respects for payment. It will be the responsibility of the Principal

Investigator to see that the bills are complete in all respects and that they are in order.

22.

Payment of bills should be made through the PI by cheques drawn in favour of the parties concerned.



23.

In respect of salary of all part time, ad-hoc, regular, daily-wage based honorarium and consolidated salary

based employees of project, it will be made by cheques in the name of the concerned employees only or by

cheque to be credited to their respective bank accounts which must be mentioned on the fellowship or salary

bills, duly countersigned by the concerned person and Principal Investigator.

24.


The TA/DA in the project for field work and visits outside Kerala (in India or Abroad) can be paid as per rules of

the University or as per guidelines of the funding agency to the PI, Co-PI and Project staff as well as Ph.D.

students working on jobs related to the Project work upon approval and justification by the PI. Note: The

Finance Office should make the University rules available to each PI in this respect.

25.


The period spent by the PI, Co-PI and Project Staff on field work or collaborative work in another Laboratory

relating to research work of the project (in India or Abroad) should be treated on duty (provided this does not

affect the teaching obligation) and will need the approval by DoR and on recommendation by the concerned

Head of the Department.

26.

In case the funding agency makes ad-hoc payments of the installments, the PIs may provide the break–up



under different heads of the project. However, reappropriation within different Heads, which was provided by

PI himself, can be affected by the PIs with the approval of the DoR, within the total overall budget given by the

funding agency.


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Research


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University of Calicut


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