SUBMISSION OF PROPOSAL

UNDER

SCIENCE AND TECHNOLOGY OF YOGA AND MEDITATION

(SATYAM)

Project Title:

Effect of Bhramari Pranayama in patients with auditory hallucination- An

electrophysiological study

Primary Investigator: Dr.Aravind Kumar. R

Co-Investigators: Dr. B.K.Yamini

Dr.Rashmi Arsappa

Dr.V.Judu Iavarasu

Dr.Pradeep Y
 SECTION – A (GENERAL INFORMATION)
1 Project Title Effect of Bhramari Pranayama in patients with auditory hallucination- An
electrophysiological study
2 Sub Area Basic & Applied Research
3 Duration in 36 months
months
4 Total cost 30,32,000/- (Thirty lacs and thirty two thousand only)
5 Project Basic Research
Category Applied Research
6 Principal Designation : Speech therapist
Investigator Department : Speech pathology and Audiology
(P.I) Institute name : National Institute of Mental Health and Neurosciences
(NIMHANS)
Address : OPD Block, Hosur Road
Telephone : 9945033757; 080-26995568; E-mail: raravindk@gmail.com
Date of birth: 24.08.1980; Sex: Male
7 Name: Dr. B.K.Yamini
Designation: Associate Professor
Department: Speech pathology and Audiology
1 Institute name NIMHANS
Address: Hosur Road, Bangalore, Pin: 560 029
Telephone: 9980229280; E-mail:yamhari@yahoo.com
Date of birth: 15.05.1968 Sex: Female
Name: Dr.Rashmi Arsappa
Designation: Asisstant .Professor
Department: Psychiatry
2 Institute name: NIMHANS
Address: Hosur Road, Bangalore, Pin: 560 029
Co-PIs Telephone: 9916386006 ; E-mail: rashmia07@gmail.com
Date of birth: 08.07.1979 Sex: Female
Name: Dr.V.Judu Iavarasu
Designation: Assistant Professor
Department: Division of Yoga and Physical Sciences
Institute: Swami Vivekananda Yoga AnusandhanaSamsthana
3 name (S-VYASA)
Address: 19, EknathBhavan, Gavipuram Circle, K.G. Nagar,
Bangalore. Pin: 560 019
Telephone: 9035730812; E-mail:judu@svyasa.edu.in
Date of birth: 03.10.1983 Sex: Male
4 Name: Dr.Pradeep Y
Designation: Speech therapist
Department: Speech pathology and Audiology
Institute name: NIMHANS
Address: Hosur Road, Bangalore, Pin: 560 029
Telephone: 9886143995 E-mail:pradaud@gmail.com
Date of birth 19.12.1983 Sex: Male
1. Project Title :Effect of Bhramari Pranayama in patients with auditory hallucination- An

electrophysiological study

2. Project summary (maximum 500 words):

The current research study proposes to investigate the effect of Bhramari Pranayama (BhPr) in

subjects with auditory verbal hallucination (AVH) through auditory electrophysiological

measures. The studies have documented an increase in brain activity in theta range following

Br.P. At the same time, studies have documented theta wave dysfunctions in subjects with

auditory hallucination. Auditory Mismatch Negativity (MMN), an electrophysiological

measure is primarily composed of theta oscillations and is arobust biomarker in the disease

process of psychosis, a condition in which 70% of patients report auditory hallucinations

(Bohlken et al., 2017). Thus MMN is a strong tool to study AVH. Auditory N100 (N1); yet

another auditory physiological measure reflect the arrival of auditory stimuli to the temporal

lobe and represent the basic auditory processing at the sensory level. Studies have reported N1

dysfunction in patients with AVH. In addition, N1 suppression is correlated to the corollary

discharge (internal feedback mechanism), the dysfunction of which is considered to be a strong

cause for AVH.

Bhramari Pranayama (BhPr) is a combination of breathing and a self-vocalized humming,

thereby producing a resonant sound, similar to that heard during the hovering of a bumblebee.

The advantage of BhPr is that it involves a bottom-up mechanism and has an exclusive focus

to ‘auditory perception’, which is the primary problem in AVH. Studies have shown that BhPr

betters auditory sensation (Prasad et al., 2007), improves response inhibition (Rajesh et al.,

2014), improves mental health scores (Srivastava et al., 2017) and enhances

cognitive/executive faculties all of which, have an overall positive impact on health (Rajesh et
 al., 2014). Interestingly Bh.Pris also found to cause synchronous brain activity (Vialatte et al.,

2009).

Thus, the current research proposes to study the possible effect of BhPr training on auditory

hallucinations, using MMN and N100.

3. Key words: Auditory verbal hallucination, Bhramari pranayama, Mismatch negativity, N100.

4. Introduction:

a. Origin of the proposal:Auditory verbal hallucination is a debilitating psychiatric

condition, in which, the person perceivesspeech in the absence of any real stimuli. These

patients are found to have dysfunctional theta activity, poor fronto-temporal connectivity,

cognitive dysfunction and failure to recognise internal events. The basis and the

dysfunctions have been studied by employing various methods including behavioural,

imaging, electrophysiological and genetics. Auditory evoked potentials are being

extensively used in studying this patient group. These measures are; P50 reflecting early

filtering mechanism, N100 (N1) reflecting the early processing at the temporal lobe and

corollary discharge, and Mismatch negativity (MMN) reflecting pre-attentive

discrimination processes. Intervention of auditory hallucination is primarily a medical

management. Bhramari Pranayama is a type of meditation in which the subjects involve in

an overt production of ‘humming’ sound like that of a bumble bee. Bhramari Pranayama is

a bottom up stimulation mechanism and probably could be used in the intervention of

patients with AVH. Further, the effect of Bhramari Pranayama on these patients can be

evaluated using electrophysiological tests like, N100 and MMN.

b. Definition of the problem:Patients with auditory hallucination exhibit neurophysiological

dysfunctions (auditory domain) as recorded by electrophysiological tests like N100 and

MMN. Medical intervention is the basic treatment modality in this patient group.
 Bhramari pranayama, which involves overt self-production of humming sound (auditory

modality), may have a therapeutic impact in patients with AVH, as the basic dysfunction

involves auditory domain.

c. Objectives:

(i) To study the effect of Bhramari Pranayama (BhPr) in patients with AVH using

electrophysiological test measure (auditory MMN and N100).

(ii) To study the effect of BhPr in normal controls using electrophysiological test measure

(auditory MMN and N100).

(iii) To compare the effects observed (effect of BhPr) between patients with AVH and the

normal controls.

d. Hypothesis:

Bhramari Pranayama would induce electrophysiological changes (auditory MMN and

N100) in patients with AVH.

5. Review and status of Research and Development in the subject:

a. International status:

Auditory hallucination is reported in almost 70% of in patients with Schizophrenia

(Bohlken et al., 2017). These patients are found to possess basic auditory processing

disorder, brain oscillatory dysfunctions and abnormal corollary discharges, which many a

time found to correlate with the clinical presentation of auditory hallucination. Especially,

task related theta activity is found to be dysfunctional in patients with AVH (Van

Lutterveld R et al., 2012; Zheng et al., 2015). Authors evaluated first-episode

schizophrenic patients with auditory hallucinations (n=23) and compared it with the

controls (n=23). They reported significantly lower Theta power at the frontal and the

temporal areas. MMN which is a pre-attentive potential (Hamilton et al., 2017) is

primarily composed of Theta range activity and is generally known to be affected in

 patients with Schizophrenia (Javitt., 2015; Lee et al., 2017) and reported to have a

predictive value of 85% for Schizophrenia onset (Bodatsch et al. 2011). MMN is

considered as a robust biomarker of Schizophrenia (Erickson MA et al., 2016) and further

can effectively monitor treatment response (Higuchi et al., 2010). It is observed that the

presence of AVH as the main contributor to the observed deficits on MMN (Fisher DJ et

al., 2012). These authors performed a multi-feature MMN (duration, frequency, gap,

intensity and location deviants) in patients with AVH and reported reduced MMN

amplitude. Further, they reported that the gap MMN amplitudes correlated with measures

of hallucinatory state and frequency of AHs, while location MMN was correlated with

perceived location of AHs. Similarly strong co-correlation is also observed for N100

potential. Patients with auditory hallucination exhibit reduced N100 suppression, which is

thought to reflect imprecise corollary discharge in these patients (Heinks-Maldonado TH

et al., 2007). Intervention of AVH is basically medical management. Yoga has recently

being viewed as a therapeutic model in various clinical populations. Meditation is found to

induce neuronal network plasticity (Xue SW, 2014). Yoga had positive impacts on

reducing stress, anxiety and symptoms as well as enhancing social and occupational

functioning and quality of life (Tsui, CMM, 2012). Bhramari pranayama is found to

increase brain activity in the Theta range (Vialatte et al., 2009).

b. National status:

Studies have demonstrated that Yoga as an effective add-on therapy in patients with

Schizophrenia (Behere & Gangadhar., 2011; Bangalore, N. G., & Varambally, S., 2012;

Dodell-Feder et al., 2017; Varambally, S., & Gangadhar, B. N., 2012; Mehta et al., 2016).

In a randomized control study using a yoga module developed by Swami Vivekananda

Yoga Anusandhana Samsthana, (SVYASA) based on Panchakosha model, it was found that

Yoga reduced the negative syndromes and social dysfunction in patients with Schizophrenia
 (Bangalore, N. G., & Varambally, S., 2012). Recently a yoga module has been developed

for schizophrenia (Govindaraj et al., 2016). In a review, Mehta & Gangadhar (2016) opined

that meditation involves a series of cognitive practices that may yield many improvements

and benefit in treating schizophrenia. However they opined that it is safe to avoid it in

patients with acute positive symptoms.

c. Relevant references:

Bangalore, N. G., & Varambally, S. (2012). Yoga therapy for Schizophrenia. International
Journal of Yoga, 5(2), 85–91.

Behere, R. V., Arasappa, R., Jagannathan, A., Varambally, S., Venkatasubramanian, G.,
Thirthalli, J., Gangadhar, B. N. (2011). Effect of yoga therapy on facial emotion recognition
deficits, symptoms and functioning in patients with schizophrenia. Acta Psychiatrica
Scandinavica, 123(2), 147–153.

Bodatsch, M., Ruhrmann, S., Wagner, M., Mller, R., Schultze-Lutter, F., Frommann, I.,
Brockhaus-Dumke, A. (2011). Prediction of psychosis by mismatch negativity. Biological
Psychiatry, 69(10), 959–966.

Bohlken, M. M., Hugdahl, K., & Sommer, I. E. C. (2017). Auditory verbal hallucinations:
neuroimaging and treatment. Psychological Medicine, 47(2), 199–208.

Dodell-Feder, D., Gates, A., Anthony, D., & Agarkar, S. (2017). Yoga for Schizophrenia: a
Review of Efficacy and Neurobiology. Current Behavioral Neuroscience Reports, 4(3), 209-
220.

Erickson, M. A., Ruffle, A., & Gold, J. M. (2016). A Meta-Analysis of Mismatch Negativity
in Schizophrenia: From Clinical Risk to Disease Specificity and Progression. Biological
Psychiatry, 79(12), 980–987.

Fisher, D. J., Labelle, A., & Knott, V. J. (2012). Alterations of mismatch negativity (MMN)
in schizophrenia patients with auditory hallucinations experiencing acute exacerbation of
illness. Schizophrenia Research, 139(1–3), 237–245.

Heinks-Maldonado, T. H., Mathalon, D. H., Houde, J. F., Gray, M., Faustman, W. O., &
Ford, J. M. (2007). Relationship of imprecise corollary discharge in schizophrenia to auditory
hallucinations. Archives of General Psychiatry, 64, 286–296.

Higuchi Y., Sumiyoshi T., Kawasaki Y., Ito T., Seo T., Suzuki M. (2010). Effect of
tandospirone on mismatch negativity and cognitive performance in schizophrenia: a case
report. Journal of Clinical Psychopharmacology, 30(6), 732–734.

Javitt, D. C., & Sweet, R. A. (2015). Auditory dysfunction in schizophrenia: integrating

clinical and basic features. Nature Reviews Neuroscience, 16(9), 535–550.
Kim, M., Ik Kevin Cho, K., Bryan Yoon, Y., Young Lee, T., Soo Kwon, J. (2017). Aberrant
temporal behavior of mismatch negativity generators in schizophrenia patients and subjects at
clinical high risk for psychosis. Clinical Neurophy. 128 (2), 331-339

Lee, M., Sehatpour, P., Hoptman, M. J., Lakatos, P., Dias, E. C., Kantrowitz, J. T., Javitt, D.
C. (2017). Neural mechanisms of mismatch negativity dysfunction in schizophrenia.
Molecular Psychiatry.

Tsui, C. M. M. (2012). Review of the Effects of Yoga on People with Schizophrenia. Yoga
and Physical Therapy.

Mehta, U. M., Keshavan, M. S., & Gangadhar, B. N. (2016). Bridging the schism of
schizophrenia through yoga—Review of putative mechanisms. International Review of
Psychiatry.

Prasad, R., & Matsuno, F. (2007). Hummgenic changes in large scale temporal correlation of
EEG in BP. In Proceedings of the SICE Annual Conference (pp. 2068–2073).

Rajesh, S., Ilavarasu, J., & Srinivasan, T. (2014). Effect of Bhramari Pranayama on response
inhibition: Evidence from the stop signal task. International Journal of Yoga, 7(2), 138.

Srivastava S., Goyal P., Tiwari S.K., Patel A.K. (2017). Interventional Effect of Bhramari
Pranayama on Mental Health among college Students. The International Journal of Indian
Psychology, 4(2), 29-33.

van Lutterveld, R., Hillebrand, A., Diederen, K. M. J., Daalman, K., Kahn, R. S., Stam, C. J.,
& Sommer, I. E. C. (2012). Oscillatory cortical network involved in auditory verbal
hallucinations in schizophrenia. PloS One, 7(7), e41149.

Varambally, S., Thirthalli, J., Venkatasubramanian, G., Subbakrishna, D., Gangadhar, B.,
Jagannathan, A., Nagendra, H. (2012). Therapeutic efficacy of add-on yogasana intervention
in stabilized outpatient schizophrenia: Randomized controlled comparison with exercise and
waitlist. Indian Journal of Psychiatry, 54(3), 227.

Vialatte, F. B., Bakardjian, H., Prasad, R., & Cichocki, A. (2009). EEG paroxysmal gamma
waves during Bhramari Pranayama: A yoga breathing technique. Consciousness and
Cognition, 18(4), 977–988.

Xue, S. W., Tang, Y. Y., Tang, R., & Posner, M. I. (2014). Short-term meditation induces
changes in brain resting EEG theta networks. Brain and Cognition, 87(1), 1–6.

Zheng, L., Chai, H., Yu, S., Xu, Y., Chen, W., & Wang, W. (2015). EEG theta power and
coherence to octave illusion in first-episode paranoid schizophrenia with auditory
hallucinations. Psychopathology, 48(1), 36–46.
 d. Importance of the proposed project in the context of current status:

Intervention of patients with AVH is challenging. Bh.P. is found to have a positive impact

on overall health and has necessary features to contribute in the therapeutic dimension.

However, to our knowledge there is a dearth of scientific studies with reference to Bh.Pr

and AVH both nationally and internationally. Hence, it is justified to explore this arena.

e. Review of expertise available with proposed investigating group/institution in the

subject of the project:

Investigator and the co-investigators together bring about a good clinical and research

experience in the field of auditory processing disorders, Schizophrenia and Yoga. National

Institute of Mental Health and Neurosciences, a tertiary neuropsychiatric care hospital

along with regular clinical work on Schizophrenia also runs a special clinic towards it.

Further, a special Yoga program is being conducted for these patients in the Yoga Centre

at NIMHANS. Effect of Bhramari Pranayama on auditory functions (in healthy subjects)

is currently being studied for a Ph.D research by a coordinated research between

NIMHANS and S-VYASA, a premium Institute on Yoga. The labs are equipped with

necessary equipment to carry out the research.

6. Work plan:

a. Methodology:

i. Test Universe: Department of Psychiatry and Department of Speech pathology and

Audiology, NIMHANS.

ii. Subjects:

In the proposed study, patients with AVH (N=33) would constitute the patient group

and an age and gender matched normal controls (N=33) would constitute the control

group. The sample size was calculated based on the effect size reported in the previous

literature (Kim et al., 2017). As we anticipate that after Bhramari Pranayama the MMN
peak amplitude will increase (like that of healthy participants), we have chosen the

reported Fz electrode MMN peak amplitude for sample size calculation. The effect size

(Cohen’s d) calculated was 0.76. We fixed alpha at 0.05, power 0.80, and two tailed

condition, and derived the required sample size of 28 per group. We propose to take a

sample size of 33 to accommodate any power loss during experimentation. Subjects in

both the groups would be recruited after they satisfy the inclusion and the exclusion

criteria (given below). Both the groups would undergo base-line auditory measures and

then repeated auditory measure after practicing BhPr.

Inclusion criteria:

 Both males and females between the age range of 18 to 50 years (including the

mentioned age).

 Diagnosis of psychosis (mild and moderate category) with auditory hallucinations

according to DSM-IV (DSM-IV: Diagnostic and Statistical Manual of Mental

Disorders, 1994) [applicable only for the patient group]

 Bilateral normal hearing sensitivity to be ascertained by performing pure tone

audiometry

 No recent history of ear discharge or ear pain

 No history of neurological diseases

 No history of noise exposure

 Suitable for yoga practice either in-patient or out-patient [applicable only for the

patient group]

 Willingness (by written consent) to participate in the study

Exclusion criteria:

 Subjects with severe physical ailments like recent and decompensated myocardial

infarction, fracture, uncontrolled seizure disorders, as well as, those with intellectual

disability.

 Subjects already attending yoga intervention modules or following one.

 Subjects having attended a yoga intervention module in the past 3 months.

iii. Test Tools:

 Assessment of AVH: It would be done by administering ‘Scales to measure

dimensions of hallucinations and delusions: psychotic symptom rating scales’

(PSYRATS) and ‘Scale for the Assessment of Positive Symptoms’ (SAPS).

 PSYRATS:This scale consists of two scales designed to rate auditory

hallucinations and delusions respectively (Haddock et al. 1999). The

auditory hallucinations subscale (AH) is an 11 item scale. The item pool

for the scale taps general symptom indices of frequency, duration, severity

and intensity of distress and also symptom specific dimensions of

controllability, loudness, location, negative content, degree of negative

content, beliefs about origin of voices and disruption. A five-point ordinal

scale is used to rate symptom scores (0–4).

 SAPS: This is a rating scale to measure positive symptoms in

schizophrenia(Andreasen, 1984). The scale was developed by Nancy

Andreasen and was first published in 1984. SAPS is split into 4 domains

namely Hallucinations, Delusions , Bizarre behaviour and Positive formal

thought disorder and within each domain separate symptoms are rated

from 0 (absent) to 5 (severe).

  Electrophysiological measure: An auditory odd-ball paradigm would be used

for MMN and for N100 it would be a constant stimuli presentation. Both tests

would be done pre and post BhPr session.

iv. Bhramari pranayama: It is a combination of breathing and a self-vocalized

humming, thereby producing a resonant sound, similar to that heard during the

hovering of a bumblebee. Shanmukhi mudra would be adopted while chanting in

order to enhance the internalization effect. Training and a practice session would

be given before the pre-test session, after which the electrophysiological test would

be carried out. Subjects would be instructed to perform the BhPr practice as per

their ability. Further, measures would be taken to have the subject’s hand

supported to avoid pain and discomfort while adopting Shanmukhi mudra during

the BhPr practices.

v. Steps to be followed: Patients with AVH after satisfying the inclusion and the

exclusion criteria, which also would include consent to participate in the study

would be recruited. A baseline electrophysiological test measure (N100 & MMN)

would be done as the first step. Following which, the subjects would be asked to

perform BhPr for 10 minutes (pre-test session). Prior to this, pre-test session

training and a practice session would precede it. Baseline electrophysiological test,

BhPr practice and the post- BhPr electrophysiological test would be done on the

same day at the same sitting. However, enough inter session rest periods would be

provided to the subjects and also between the 10 minutes pre test session, to make

the patients comfortable. Some of these components of the intervention may be

optimized during pilot study period.

 vi.

Flow chart depicting the steps to be followed

Patients with AVH Normal controls

(N=33) (N=33)

Inclusion & Exclusion criteria

Informed consent

Electrophysiological evaluation
N100 & MMN
(Baseline- Pre Bhramari Pranayama)

Training session

Bhramari Pranayama Practice session

Single session (5 minutes)

Pre-test session
(10 minutes)

Electrophysiological evaluation
N100 & MMN
(Post Bhramari Pranayama)

b. Organisation of work elements:

 Devising stimulus paradigm and acquisition protocol for the electrophysiological

tests

 Hiring human resources for the project

 Pilot study to optimize the experimental conditions

 Training of the research personnel

 Recruitment of subjects, co-ordination, and data collection.

 Analysis, interpretation of results and publications

c. Time schedule of activities giving milestones (also append to bar diagram):

The activities would be carried out in a phased manner within stipulated time (see figure

given below). A regular report on the status of the research work would be

communicated.

Analysis and report writing

Data collection

Pilot study

Test stanardisation

Recruitment of SRF

0 6
0.2 12
0.4 18
0.6 24
0.8 30
1 361.2
Months

d. Suggested plan of action for utilization of research outcome expected from the

project:

The research outcome can be further expanded to study the effect on exclusive patient

subgroups with different degree of dysfunctions. Further research can focus on studying

the impact of BhPr using default mode network analysis, connectivity analysis, PET study

etc. Clinically, it could to be devised as an effective add-on intervention in patients with

AVH. Further, the information will also be disseminated through conference presentations

and research publications in peer reviewed journals.

7. Budget estimates: Summary In Rupees

Item Budget Total

1st year 2nd Year 3rd year
A 1 Salaries/ Wages 7,44,000/- 7,44,000/- 7,44,000/- 22,32,000
(Recurring) 2 Consumables 3,20,000/- 2,30,000 1,30,000 6,80,000/-
3 Travel 20,000/- 20,000/- 20,000/- 60,000/-
4 Other costs 20,000/- 20,000/- 20,000/- 60,000/-
B (Non- recurring), Permanent Equipment Nil
Grand Total 11,04,000/- 10,14,000/- 9,14,000/- 30,32,000/-

a. Budget for salaries and Wages

Designation Monthly Budget Total
(No of Persons Emoluments 1st Year 2nd Year 3rd Year
JRF (Speech 25,000/ + HRA 3,72,000/- 3,72,000/- 3,72,000/- 11,16,000/-
Pathology and (6000 @24%)=
Audiology) 31,000/-
JRF( PSW) 25,000/ + HRA 3,72,000/- 3,72,000/- 3,72,000/- 11,16,000/-
(6000 @24%)=
31,000/-
Total 7,44,000/- 7,44,000/- 7,44,000/- 22,32,000/-

b. Budget for consumables

Items Budget Total
1st Year 2nd Year 3rd Year
Conduction Gel (6nos) (2*10000)= (2*10000)= (2*10000)= 60,000/-
20,000/- 20,000/- 20,000/-
Insert Ear Phones (1 no) 90,000/- ------------ ---------- 90,000/-
Electrodes/ Electrode Cap (5 (2*10000)= (2*10000)= (1*10000)= 5,00,000/-
no’s) 2,00,000/- 2,00,000/- 1,00,000/-
Disposable ear tips 10,000/- 10,000/- 10,000/- 30,000/-
Total 3,20,000/- 2,30,000/- 1,30,000/- 6,80,000
*taxes extra- as applicable
 c. Budget for Travel
Items Budget Total
1st Year 2nd Year 3rd Year
1 Inland 20,000/- 20,000/- 20,000/- 60000/-
Total

d. Budget for Other costs

Items Budget Total
st nd rd
1 Year 2 Year 3 Year
1 Contingencies 20,000/- 20,000/- 20,000/-
60,000/-
Total 20,000/- 20,000/- 20,000/-
e. Budget for permanent Equipment- Nil

8. List of facilities being extended by parent institution(s) for the project implementation.

a.Infrastructural Facilities:
Sr. No Infra Yes/No/Not required
Full or sharing basis
1 Workshop Facility Yes
2 Water & Electricity Yes
3 Laboratory Space/ Furniture Yes
4 Power Generator Yes
5 AC Room or AC Yes
6 Telecommunication including e- Yes
mail & fax
7 Transportation Yes
8 Administrative/ Secretarial support Yes
9 Information facilities like Internet/ Yes
Library
10 Computational facilities Yes
11 Animal/ Glass House Not required
12 Any other special facility being NIMHANS runs special clinics for multiple
provided Psychiatric conditions. It has an integrated
Yoga centre working on many clinical
populations.
 b. Equipment available with the Institute/ Group/ Department/ Other Institutes for
the project
Equipment available Generic Name of Model, Make & Remarks including
with Equipment year of purchase accessories available
and current usage of
equipment
PI & his group 64 channel EEG/ERP NeurOne, Finland, Equipment is currently
system 2012 been used for research
PI's Department purpose and accessories
required are available
Other Inst In the - -
region
 FINAL (Approved by Secretary DST)
DEPARTMENT OF SCIENCE AND TECHNOLOGYPOLICY ON CONFLICT OF INTEREST

FOR REVIEWER & COMMITTEE MEMBER or APPLICANT or DST OFFICER

ASSOCIATED/ DEALING WITH THE SCHEME/ PROGRAM OF DST

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1. Coverage of the Policy:

a) The provisions of the policy shall be followed by persons applying for and receiving
funding from DST, Reviewers of the proposal and Members of Expert Committees and
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b) This policy aims to minimize aspects that may constitute actual Conflict of Interests,
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Personal (association of relative / Family members) and Institutional (Colleagues,
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(vii) The Reviewer/Committee Member is involved in the preparation of the research proposal
submitted by the applicant.

(viii) The applicant has joint research publications with the Reviewer/Committee Member in
the last three years.

(ix) The applicant/Reviewer/Committee Member, in contravention to the accepted norms and

ethics followed in scientific research has a direct/indirect financial interest in the outcomes
of the proposal.

(x) The Reviewer/Committee Member stands to gain personally should the submitted
proposal be accepted or rejected.

# The Term “Relative” for this purpose would be referred in section 6 of Companies Act,
1956.
3. Regulation:
The DST shall strive to avoid conflict of interest in its funding mechanisms to the maximum
extent possible. Self-regulatory mode is however recommended for stake holders involved in
scientific research and research management, on issues pertaining to Conflict of Interest and
scientific ethics. Any disclosure pertaining to the same must be made voluntarily by the
applicant/Reviewer/Committee Member.

4. Confidentiality:

The Reviewers and the Members of the Committee shall safeguard the confidentiality of all
discussions and decisions taken during the process and shall refrain from discussing the same
 with any applicant or a third party, unless the Committee recommends otherwise and records
for doing so.

5. Code of Conduct

5.1 To be followed by Reviewers/Committee Members:

(a) All reviewers shall submit a conflict of interest statement, declaring the presence or
absence of any form of conflict of interest.
(b) The reviewers shall refrain from evaluating the proposals if the conflict of interest is
established or if it is apparent.

(c) All discussions and decisions pertaining to conflict of interest shall be recorded in the
minutes of the meeting.
(d) The Chairman of the Committee shall decide on all aspects pertaining to conflict of
interests.

(e) The Chairman of the Committee shall request that all members disclose if they have
any conflict of interest in the items of the agenda scheduled for discussion.
(f) The Committee Members shall refrain from participating in the decision making
process and leave the room with respect to the specific item where the conflict of
interest is established or is apparent.
(g) If the Chairman himself/herself has conflict of interest, the Committee may choose a
Chairman from among the remaining members, and the decision shall be made in
consultation with Member Secretary of the Committee.

(h) It is expected that a Committee member including the Chair-person will not seek
funding from a Committee in which he/she is a member. If any member applies for
grant, such proposals will be evaluated separately outside the Committee in which
he/she is a member.

5.2 To be followed by the Applicant to the Grant/Award:

(a) The applicant must refrain from suggesting referees with potential Conflict of Interest
that may arise due to the factors mentioned in the specifications described above in
Point No. 2.
(b) The applicant may mention the names of individuals to whom the submitted proposal
should not be sent for refereeing, clearly indicating the reasons for the same.

5.3 To be followed by the Officers dealing with Programs in DST:

While it is mandatory for the program officers to maintain confidentiality as detailed in
point no. 6 above, they should declare, in advance, if they are dealing with grant
applications of a relative or family member (including but not limited to spouse, child,
sibling, parent) or thesis/ post-doctoral mentor or stands to benefit financially if the
applicant proposal is funded. In such cases, DST will allot the grant applications to the
other program officer.
6. Sanction for violation

6.1 For a) Reviewers / Committee Members and b) Applicant

Any breach of the code of conduct will invite action as decided by the Committee.

6.2 For Officers dealing with Program in DST

Any breach of the code of conduct will invite action under present provision of CCS (conduct
Rules), 1964.

7. Final Appellate authority:

Secretary, DST shall be the appellate authority in issues pertaining to conflict of interest and
issues concerning the decision making process. The decision of Secretary, DST in these
issues shall be final and binding.

8. Declaration
I have read the above “Policy on Conflict of Interest” of the DST applicable to the Reviewer/
Committee Member/ Applicant/ DST Scheme or Program Officer # and agree to abide by
provisions thereof.

I hereby declare that I have no conflict of interest of any form pertaining to the proposed

grant * I hereby declare that I have conflict of interest of any form pertaining to the

proposed grant *

* & # (Tick whichever is applicable)

Name of the Reviewer/ Committee Member or Applicant or DST Officer

(Strike out whichever is not applicable)

(Signature with date)