You are on page 1of 25

Guidelines for implementing Research Projects

SCHEME

SCIENCE AND ENGINEERING RESEARCH COUNCIL

GOVERNMENT OF INDIA MINISTRY OF SCIENCE AND TECHNOLOGY DEPARTMENT OF SCIENCE AND TECHNOLOGY TECHNOLOGY BHAVAN, NEW MEHRAULI ROAD NEW DELHI-110 016.

INTRODUCTION
This document provides guidelines for implementation of project proposals supported under the Science and Engineering Research Council (SERC) of the Department of Science and Technology (DST). The guidelines provide general information in an ideal situation. In addition to these, the implementing agency has to follow its own rules and regulations, where ever necessary. However, we hope that the end result of this would a smooth implementation of project. We would also welcome suggestions from the Investigators and authorities of the Implementing Institutes. For any further clarification or further details, please approach the concerned official dealing with the project file.

The Department reserves the right to review these guidelines and modify them.

In case of any specific clarifications please contact : MEMBER-SECRETARY (SERC) SERC DIVISION MINISTRY OF SCIENCE AND TECHNOLOGY DEPARTMENT OF SCIENCE AND TECHNOLOGY TECHNOLOGY BHAVAN, NEW MEHRAULI ROAD NEW DELHI-110 016.

Telfax : 011-6963695 (SERC Division), 011-6864642 (ET Division) Telex : 73381, 73317, 73280 e-mail : venktesh@alpha.nic.in, rchandra@alpha.nic.in Grams: SCIENCTECH Telephone : 6567373, 6962819 (EPABX)

Travel. Sanction Order i) Once the project is approved. and date and should be addressed to the concerned official by name. 3. The project team consists of the PI. a formal sanction order is issued as per the recommendations of the Expert Panel/ SERC. a bank draft/ cheque for the released amount is despatched by the Drawing & Disbursing Officer.) iii) Any correspondence with the Department regarding the project should invariably quote the sanction order No. contingencies etc. submitted by the Investigator. Consumables. DST.PART A : GENERAL GUIDELINES AND INSTRUCTIONS Introduction The Science and Engineering Research Council (SERC) is an apex body through which the Department of Science and Technology promotes R&D programmes in newly emerging and challenging areas of science and engineering by providing financial support for the implementation of the project proposals. Contingencies etc. iv) Subsequent to the sanction order. It will. Guidelines 1. . ii) Copies of the sanction order with the terms and conditions annexed to it are sent to the Principal Investigator (PI) and the financial authority (Registrar/ Director/ Comptroller etc. Manpower. Periodic meetings of the team are essential for this purpose. ii) The project becomes operative with effect from the date on which the Draft/ Cheque is received by the implementing Institution. The first sanction order provides the detailed breakup of funds allocated under non-recurring and recurring expenditure heads like Equipment. Co-Investigator(s) and the project personnel appointed as per the sanction order. The total cost of the project is finalised based on the latest quotation(s) of equipment(s) approved under the project and other relevant documents related to manpower. Date of Commencement of Project & its Duration i) The duration of the project is normally of 3 years and this is specified in the first sanction order. Principal Investigator & Co-Investigator (s) and the Implementing Institution i) The Principal Investigator (PI) has the primarily responsibility for the implementation of the project. in no case later than one month after the receipt of the draft/ cheque by the Institute. It is necessary to ensure that the project is carried out by the project team in a cohesive manner. The project which is approved for implementation is provided with a financial sanction which is subject to certain terms and conditions which are enclosed as Annexure with the first sanction order. 2. This date should be intimated by the Institution authorities/ Principal Investigator to this Department. These guidelines assist for smooth implementation of the project in conformity with these terms and conditions.

v) In case the PI leaves the project due to unforeseen circumstances. are to be treated as temporary employees and will be governed by the Administrative rules/ service conditions of the implementing Institute. iv) In case. Such a request should be sent at least 4-6 months in advance along with a detailed bio-data of the Co-Investigator. the CoInvestigator could be considered as the PI subject to the approval of the PI. about their “no objection” for providing the infrastructural facilities to the PI for implementation of the project after his superannuation. viii) The implementing institution has an important role to play and in consultation with this Department take steps to ensure successful completion of the project. In such cases. the Institute authorities should inform to this Department. the project could be transferred to that institution with the mutual consent of both the institutions and of this Department. Project Staff(s) i) All the personnel including Research personnel appointed under the project. implementation of the project. The category of post and its emoluments are governed by this Departments Orders at Annexure I. association of a “in service” Co-Investigator may be ensured by the Institute authorities. . ix) The implementing Institute should provide full infrastructural facilities such as accommodation. before relieving the PI. communication facilities etc. No reference on these issues be made to this Department. water. whatsoever. iii) Having accepted the responsibility for the implementation of the project. vi) The PI as well as the implementing institution has the responsibility of informing this Department about any change in the status of the PI/ Co-Investigator including relieving them on short term deputation for a continuous period of 3 months or more. iii) Scale and emoluments for the posts not covered under this order are governed by norms prevalent in the implementing Institution or as may be decided by this Department.ii) In case of PIs who would be superannuating during the duration of the project. Such requests for transfer of the project should be sent well in advance and should be accompanied with ‘No Objection’ certificates from both the institutions and the Endorsement Certificate from the new Institution. the PI is shifting to another institution on new appointment/ transfer/ long term deputation. The Department will have no liability. well in advance. for the full/ part duration of the project. for smooth 4. Head of the Institute and this Department. for the project staff after completion of the project duration. ii) The sanction order specifies the number of personnel. the PI should be committed to implement the project over its duration and should have no plans to go on long leave. vii) The project stands terminated in the absence of the PI/ Co-Investigator for a continuous period of 3 months without intimation to this Department. electricity. in different categories. sanctioned under the project.

Travel.03. 5. However.98 to 31. RSIC Charges.98.03.01. Equipment to recurring head like Manpower. Consumable. viii) The Statement of Accounts and the Utilisation Certificates are financial year wise and st are to be submitted within a period of 3 months from the 31 of March of that year. if date of start of the project is 12. Release of grants in yearly instalment and financial management i) The grants for the project are released on the basis of yearly requirements taking note of the technical progress and expenditure incurred. and c) Technical Annual Progress Report. ii) The first instalment of grant is released along with the first sanction order. In exceptional cases. The PI and the implementing Institute should complete all formalities in advance for placing the order. for expenditure since 1 April of that financial year till the previous month. vii) Formal approval of the Department must be taken to carry forward the un-utilised grant from the previous financial year to the present financial year. This request may be made while sending the authenticated Statement of Expenditure and Utilisation Certificate after the financial year.98 to 31. Manpower. for which an allocation is made will be indicated for eg. reallocation/ reappropriation of grants under different heads requires prior approval of this Department. is normally not allowed. The first sanction order indicates the budgetary allocation for the duration of the project under various heads like Equipment. then the first statement of account and utilisation certificate will be for the period 12. It is desirable to have DST Nominee in the selection process and such requests for nominees may be sent well in advance. the next statement will be for the period 01. iv) The Equipment sanctioned on the project should be procured at the earliest to avoid any cost escalation. if not sent earlier. iii) Diversion of funds from non-recurring head ie.99 and so on.04. v) The subsequent instalment of grant would be released annually on the basis of expenditure incurred in the previous financial year and expected expenditure in that year. any request for release of the next instalment should be accompanied by the following documents: a) Utilisation Certificate and Statement of Expenditure for the previous financial year (in original or copy if sent earlier). apart from these heads.) . Computational costs. b) Latest authenticated Statement of Expenditure including Committed st Expenditure. candidates without NET/ GATE may be recruited through a proper selection procedure. It consists of the entire grant for the ‘Equipment’ and recurring grant including ‘Overheads’ for the first year of the project. Consumable etc. (ie. Contingency etc. vi) However.98. training workshop etc. the item. In specific cases. printing of Newsletter.iv) In case of recruitment of JRF/ SRF candidates who have been declared successful at NET/ GATE may be preferred.01.

09. The implementing Institute will provide all facilities to the visiting scientist/ specialist or the Expert Panel by way of accommodation etc. The Institute shall render to the Government necessary facilities for arranging the sale of these assets.09. semi-permanent or infrastructural assets acquired solely from the project grants.97 to 30. The Government of India also has the discretion to gift the assets to the Institute or transfer them to any other Institute if it is considered appropriate and justified. (ie. xiii) All the assets acquired from the grant will be the property of Government of India and should not be disposed off or encumbered or utilised for purpose other than those for which the grant had been sanctioned. an audited record in the form of a register in the prescribed format shall be maintained by the Institute. at the time of their visit. The term “Assets” include (a) the immovable property acquired out of the grant. ii) iii) This Department also organises Monitoring Workshops/ PAC meetings wherein the PIs/ Co-PIs and research staff are invited to present the technical progress of their project. Progress evaluation and Monitoring i) The PI through the implementing Institute will furnish to this Department 5 copies of the Annual Technical Progress report of the work carried on the project on an annual basis.09. the Government of India will be free to sell or otherwise dispose off the assets which are the property of the Government. x) The institute will not entrust the implementation of the work for which the grant is being sanctioned to another institution nor will it divert the grant to other institute as assistance. at his discretion. if the date of start of a project is 12.98.09.97 the first Annual Technical Progress report shall be for the period 12. xv) This Department reserves the right to terminate the project at any stage if it is convinced that the grant has not been properly utilised or appropriate progress is not being made. shall have the right of access to the books and accounts of the Institute maintained in respect of the grant received from the Government of India. xiv) After completion/ termination of the project.10. 6. and (b) movable property of capital nature where the value exceeds Rs 50. it should refund to this Department the entire grant or the balance grant at the earliest. In case the Institute is not able to implement the project.99 and so on). In addition. xi) For permanent.98 to 30. The Institute is required to send to this Department a list of assets acquired from the grant. without the prior sanction of this Department. this Department may designate Scientist/ Specialist or an Expert Panel to visit the Institute periodically to review the progress of the work being carried out and to suggest suitable measures to ensure realisation of the objectives of the project.000/-. The Investigators should attend such workshops since it provides an opportunity to review their progress based on which any mid term requests by the PIs . Any interest earned should be reported to this Department and should be reflected in the Statement of Expenditure. the next will be from 01. xvi) The Comptroller & Auditor General of India. xii) The grant shall not be utilised for construction of any building unless specific provision is made for this purpose in the sanction order.ix) The implementing institute will maintain separate audited accounts for the project.

The un-spent balance should be sent through a crossed Cheque/ Demand Draft drawn in favour of Drawing & Disbursing Officer. c) List of assets/ equipment in the prescribed format. this Department in consultation with the PFC and in public interest. may file a patent application. it is free to transfer the innovation to industry for commercialisation. ii) The Investigator(s) should not enter into collaboration with a foreign party (individual/ industry) without prior approval of this Department. the Intellectual Property Rights (IPR) has assumed greater significance. DST. filing of patent application(s) in India and abroad. in the joint names. at its own cost. be owned by the institutions and they will be required to file patent applications at their cost. any earnings accruing from transfer and commercialisation shall be shared equally by this Department with the Institution . the PI through the Institute should send the following documents to this Department to enable us to settle the account: a) 5 copies of the Project Completion Report in the prescribed format. b) IPR generated by publicly funded R&D institutions/ academic institutions. Guidelines for publication of results and safeguard of Intellectual Property Rights i) Investigators wishing to publish technical/ scientific papers based on the research work done under the project. and d) DD/ cheque for any un-spent amount with the Institute. iv) On completion of the project. amounts received. IPR include patents. These institutions will be free to retain exclusively the benefits and earnings arising out of these IPR. e) If the institution is unable to file a patent application. Subsequent releases of grant would be based on the reviewing and monitoring committees recommendations. In such cases. the results should not be published without action being taken to secure legal protection for the research results. b) Consolidated audited statement of expenditure and utilisation certificates. within a period of 6 months of determination of filing a patent. v) In the emerging scenario at the National and International level. through projects funded by the Government Departments. after concluding an agreement. as per its laid down procedures. the details of the agreement. 7.for additional grants/ extension in duration etc. iii) Investigators are also requested to publish some of the research papers emerging out of the project work in leading Indian Journals. iv) If the results of research are to be legally protected. c) The Institutions can approach the Patent Facilitating Cell (PFC) set up by this Department to assist them for patent search. However. d) If the patent is taken by the Institute at its own cost. are considered by this Department. annual sales turnover of the product shall be intimated periodically to this Department. should acknowledge the assistance received from this Department. For this purpose the institution shall render all assistance to this Department. Following are the guidelines which the PI and the implementing Institutions must follow in regard to IPR: a) Institutions are required to seek protection of Intellectual Property Rights to the results of research on R&D projects. copyrights and lay out design of integrated circuits (IC). registered designs. obtaining a list of patent attorneys.

to commercialise the innovation. protection of rights against infringements. on terms and conditions as may be mutually agreed upon. for creating awareness and building competency on IPR and related issues and filing of new patents. the following instructions are issued. along with the dates. annual sales turnover of the product shall be intimated periodically to this Department. filing of patent application(s) in India and abroad. . The cost towards filing of patent application may be shared by the institution and industry as may be mutually decided upon on a case to case basis. j) The institution may share the earnings. The industry shall have exclusive right for three years from the date of completion of the project. on non-exclusive basis.net. the institution sets apart not less than 15% of such earnings for crediting into a fund called Patent Fund. h) The institution and industry may transfer the technology to another industry for commercialisation. Tel : 685 9581 696 7458 Fax: 686 3866 email : tifac@nda. Such records will be useful for proving/ establishing the claim of first inventor and at times may be used as a tool for proving infringement. the proportion of sharing can be 40% for the institution. provided. The Institutions can also approach the Patent Facilitating Cell (PFC) set up by this Department to assist them for patent search. motivate them to transfer their technologies for commercialisation. please contact: Director Patent Facilitating Cell Department of Science & Technology Technology Bhavan. The details of the agreement. within one year of the completion of the project.110 016. as per its laid down norms. amounts received. Guidelines/ Instructions for Technology Transfer and Intellectual Property Rights With a view to encourage the institutions to file patent applications on their innovations. g) If the patent is taken jointly by the institution and industry and if the industry has contributed at least one-third of the project cost. l) For further information/ clarification on this subject. New Mehrauli Road New Delhi . where ever the expected earnings are above Rs 10 lakhs. However. without paying any royalty.and the generator of the Intellectual Property.vsnl. the industry (and its associate) shall have the first option. i) The Government shall have a royalty-free license for the use of the Intellectual Property for the purposes of the Government of India and this Department reserves the right to require the institution and the industry to license others and requires that anyone exclusively licensed to market the innovation in India must manufacture the product in India. with the generator(s) of Intellectual Property. obtaining a list of patent attorneys. The patent fund should be utilised by the institution for renewal of the patent. Any earnings accruing from such a transfer and commercialisation shall be shared between the institution and the industry as may be mutually agreed to. and to facilitate them to reward their inventors.in 8. 40% for this Department and 20% to the generator of Intellectual Property. f) IPR generated through jointly funded projects may be owned jointly by the Institution and Industry. k) Project investigators and research staff working on the project are advised to ensure that they maintain a diary for recording details of each exercise/ experiment etc.

protecting their rights against infringements. While the patent may be taken in the name(s) of inventor(s). Patent Facilitating Fund: The Institution shall set apart not less than 25% of such earnings for crediting into a fund called “Patent Facilitating Fund”. 3. 5. 7.1. must manufacture the product in India. c) “Inventor” means an employee of the Institution whose duties involve carrying out scientific or technical research. dated 22 February. The institution is permitted to retain the benefits and earnings arising out of the IPR. b) “Intellectual Property Rights” include patents. The Institution shall take necessary steps for commercial exploitation of the patent on exclusive/ non-exclusive basis. 4. The institution may determine the share of the inventor(s) and rd other persons from such actual earnings. . Information: The institutions shall submit information relating to the details of the patent obtained. exclusively licensed to market the innovation in India. The Institution and Industrial concern may transfer the technology to a third party for commercialisation on exclusive/ non-exclusive basis. The instructions are issued with the concurrence of the Ministry of Finance. Inventions by Institutions and Industrial concerns: IPR generated through joint research by institution(s) and industrial concern(s) through joint efforts can be owned jointly by them as may be mutually agreed to by them through a written agreement. This Fund shall be utilised by the institution for updating the innovation. However. 9. 2. nd Department of Expenditure vide their OM No 33(5) PF-II 99. Such share(s) shall not exceed 1/3 of the actual earnings. Review: These instructions shall be reviewed by the Central Government after a period of five years. In these instructions : a) “Institution” means any technical. for filing new patent applications. 6. copyrights and layout design of integrated circuits. Scope: These instructions apply to those institutions receiving funds for research projects from the Ministry of Science & Technology and Department of Ocean Development. scientific or academic establishment where research work is carried out through funding by the Central/ State Government. the institution may determine the share of the inventor(s) and other rd persons from such actual earnings. 8. The joint owners may share the benefits and earnings arising out of commercial exploitation of the IPR. the institution shall ensure that the patent is assigned to it. Royalty-free licence: The Government shall have a royalty-free licence for the use of the Intellectual Property for the purposes of the Government of India. The institution shall get its name entered in the Register of Patents as the proprietor of the patent. Inventions by Institutions: Institutions shall be encouraged to seek protection of Intellectual Property Rights (IPR) to the results of research through R&D projects. for creating awareness and building competency on IPR and related issues. The third party. Such share(s) shall be limited to 1/3 of the actual earnings. registered designs. the benefits and earnings arising out of IPR and the turnover of the products periodically to the Department/ Ministry which has provided funds. 2000.

110 016.vsnl.net. Tel : 685 9581 696 7458 Fax: 686 3866 email : tifac@nda. New Mehrauli Road New Delhi .in . For further information/ clarification on this subject.10. please contact: Director Patent Facilitating Cell Department of Science & Technology Technology Bhavan.

09. should be sent along with SE & UC. The Institute/ PI will furnish Annual Progress Report of the work on the project on an yearly basis ((ie. Full infrastructural facilities by way of accommodation. The Government of India has the discretion to gift the assets to the Institute or transfer them to any other Institute if it is considered appropriate. 4. Autonomous and Private Bodies) for this research project.09. Any un-spent balance out of the amount sanctioned must be surrendered to the Government of India through a crossed Cheque/ Demand Draft drawn in favour of Drawing & Disbursing Officer. Request for specific approval of the Department to carry forward the unutilised grant to the next financial year for utilisation for the same project. water.97 the first Annual Technical Progress report shall be for the period 12. 6. For permanent. At the conclusion/ termination of the project. and c) Technical Annual Progress Report. . without the prior sanction of this Department.09.99 and so on). On completion of the project 5 copies of a final consolidated Project Completion Report (Annexure ) on the work done on the project should be sent to the DST. at the time of their visit. semi-permanent assets acquired solely or mainly out of the project grants. During the implementation of the project the Institute will provide all facilities to the visiting scientist/ specialist or the Expert Panel by way of accommodation etc. if the date of start of a project is 12. the next will be from 01. electricity. and (b) movable property of capital nature where the value exceeds Rs 1000/-. communication etc. after completion of the financial year.Annexure I Department of Science & Technology Terms & Conditions of the Grant 1. DST. The Institute is not permitted to seek or utilise funds from any other organisation (Government.98 to 30. All the assets acquired from the grant will be the property of Government of India and should not be disposed off or encumbered or utilised for purpose other than those for which the grant had been sanctioned.09. 2. The term “Assets” include (a) the immovable property acquired out of the grant. 5. The Institute shall render to the Government necessary facilities for arranging the sale of these assets. In addition. for expenditure since 1 April of that financial year till the previous month. if not sent earlier. The grant shall not be utilised for construction of any building unless specific provision is made for that purpose.98. Semi-Government. an audited record in the form of a register in the prescribed format (attached) shall be maintained by the Institute. the Government of India will be free to sell or otherwise dispose off the assets which are the property of the Government. The Institute/ PI has ti furnish the following documents: a) Utilisation Certificate (UC) and Statement of Expenditure (SE) for the previous financial year (in original or copy if sent earlier).10. At the time of seeking further instalment of grant. b) Latest authenticated Statement of Expenditure including Committed st Expenditure. the DST may designate Scientist/ Specialist or an Expert Panel to visit the Institute periodically to review the progress of the work being carried out and to suggest suitable measures to ensure realisation of the objectives of the project.97 to 30. The Institute is required to send to the Department of Science & Technology a list of assets acquired from the grant. for smooth implementation of the project shall be given by the Institute. 3. 7. Approval of the research proposal and the grant being released is for the specific project sanctioned and should be exclusively spent on the project within the stipulated time.

TA/DA etc) of the implementing Institute.Patent Facilitating Cell. If the results of research are to be legally protected. at his discretion. for the full/ part duration of the project. shall have the right of access to the books and accounts of the Institute maintained in respect of the grant received from the Government of India.net.110 016. the PI should carefully follow the “Guidelines/ Instructions for Technology Transfer and Intellectual Property Rights” provided in the Guidelines for Implementing Research Projects booklet issued by the DST. the results should not be published without action being taken to secure legal protection for the research results. The interest thus earned will be treated as a credit to the Institute to be adjusted towards further instalment of grant. New Delhi . the PI will take the assistance of the Institute in the process of selection and appointment of staff and payment to them. refund to this Department the entire grant received by it or the balance grant with it. If it is found expedient to keep a part or whole of the grant in a bank account earning interest. 18. The Comptroller & Auditor General of India.. Investigators are also requested to publish some of the research papers emerging out of the project work in leading Indian Journals. indicating the scheme. It will. Tel : 685 9581 and 696 7458. are to be treated as temporary employees and will be governed by the Administrative rules/ service conditions (for leave.8. 9. In case the Institute is not in a position to implement or complete the project. The institute will maintain separate audited accounts for the project. New Mehrauli Road. email : tifac@nda. copyrights etc. evolve steps to ensure successful completion of the project. for the project staff after completion of the project duration. whatsoever. the interest thus earned should be reported to the DST and should be reflected in the Statement of Expenditure. 13. 14. forthwith. For projects identified to have a distinct potential for generating know-how. This date should be intimated by the Institution authorities/ Principal Investigator to this Department. 15.in . For the expeditious implementation of the research project. For further information/ clarification on this subject. 11. Technology Bhavan. They are not to be treated as employees of the Government of India and the DST will have no liability. The project becomes operative with effect from the date on which the Draft/ Cheque is received by the implementing Institution. it should. 12. 16. 10. Fax: 686 3866. the Institute/ PI will inform the same to the DST and in consultation with DST. in no case be later than one month after the receipt of the draft/ cheque by the Institute. that could be protected through patenting. should acknowledge the assistance received from DST. All the personnel including Research personnel appointed under the project. in the form of product/ process. The institute will not entrust the implementation of the work for which the grant is being sanctioned to another institution nor will it divert the grant receipts to other institute as assistance.vsnl. If the PI to whom a grant for a project has been sanctioned wishes to leave the Institution where the project is based. please contact: Advisor . The DST reserves the right to terminate the project at any stage if it is convinced that the grant has not been properly utilised or appropriate progress is not being made. 17. Department of Science & Technology. Scale and emoluments for the posts not covered under DST’s OM are governed by norms prevalent in the implementing Institution or as may be decided in consultation with DST. before relieving the PI. Investigators wishing to publish technical/ scientific papers based on the research work done under the project.

if any: e. 5. Grant received in each year: a. 3 Year: d.REQUEST FOR ANNUAL INSTALMENT WITH UP-TO-DATE STATEMENT OF EXPENDITURE 1. Total (a+b+c+d): . 4. 2. Sanction Order No and date: Total Project Cost: Revised Project Cost: (if applicable) Date of Commencement: Statement of Expenditure: (month wise expenditure incurred during current financial year) Month & year Expenditure incurred/ committed 6. 2 Year: rd c. 3. 1st Year : nd b. Interest.

Utilisation Certificate (Annexure III) for each financial year ending 31st March has to be enclosed along with request for carry-forward permission to the next financial year. 4.(ENDING 31ST MARCH) 1. 3. Figures in Column (VIII) should not exceed corresponding figures in Column (III) 2. 5. 2. Name and Signature of Principal Investigator: Date: Signature of Competent financial authority: __________ (with seal) Date:__________ * DOS – Date of Start of project Note : 1. DOS* to 31st March of that financial year say20XX. Annexure-III UTILISATION CERTIFICATE (2 COPIES) FOR THE FINANCIAL YEAR . at any point of time. 0104-20XX till 31.20XX+1year and so on) Sr No Sanctioned Heads Funds Allocated (indicate sanctioned or revised (III) Expenditure Incurred Total 2nd Year 3rd Year & so on Expenditure (1st April to (1st April to IV + V + VI 31st March next year) project duration) 1st Year (DOS to 31st March next year) Balance as (date) (VIII) = III – (IV+V+V (VII) (I) 1. Title of the Project/ Scheme: Name of the Institution: Principal Investigator: Department of Science & Technology sanction order No & date sanctioning the project: Head of account as given in the original sanction order: . 7. if any Equipment Overhead expenses Total (IV) (V) (VI) 8. 2. 5. without prior approval of DST i. Expenditure under the sanctioned heads. (II) Manpower costs Consumables Travel Contingencies Others.e. should not exceed funds allocated under that head. 3. 4.Statement of Expenditure (to be submitted financial yearwise ie. 6.03.

Date i. if any (please give details of cheque no etc. No. 5. ___________. 3. 8. 2.e. Date Rs. Amount brought forward from the previous Financial year quoting DST letter no and date in which the authority to carry forward the said amount was given Amount received during the financial year (Please give DST letter/order no and date) i.): Amount to be carried forward to the next financial year (if applicable): UTILISATION CERTIFICATE Certified that out of Rs______________ of grants-in-aid sanctioned during the year _____________ in favour of _____________________________ under this Ministry/ Department letter/ order No ____________ dated ___ and Rs ______________ on account of unspent balance of the previous year. Signature of PI Date Signature of Registrar/ Signature of Head Date Accounts Officer of the Institute Date (To be filled in by DST) Certified that I have satisfied that the conditions on which the grants-in-aid was sanctioned have been fulfilled/ are being fulfilled and that I have exercised the following checks to see that the money was actually utilised for the purpose for which it was sanctioned:Kinds of checks exercised. 12. Letter No iii. 10.6. 9. 6+7) Actual Expenditure (excluding commitments) Incurred during the financial year (upto 31st March) Balance amount available at the end of the financial year: Rs. 1. Letter/Order No iii. Amount ii. Unspent balance refunded. Signature:___________ Designation:___________ Date:___________ . 4. 7. Amount ii. a sum of Rs _____________ has been utilised for the purpose of _______________________ for which it was sanctioned and that the balance of Rs _________ remaining utilised at the end of the year has been surrendered to Government (vide Challan no ________ dated ________) will be adjusted towards the grants-in-aid payable during the next year i. 11. Total amount that was available for expenditure (excluding commitments) during the financial year (Sr.

. agency commission etc. insurance and freight charges. the same may be indicated. if any ** Utilisation Rate (%) * This should include only the cost of equipment. and date of procurement Sanctioned Amount FE Rs Actual Expenditure* FE Rs Other expenses.Annexure-IV COST DETAILS OF PERMANENT EQUIPMENT/ ASSET Sr No Name of Equipment/ Asset with manufacturer & model name. ** Other expenses such as bank charges. should be avoided through appropriate negotiations. etc. If unavoidable expenses are incurred.

. iii. iv. ii. v. Don’t erase or retype. Manuscript should not exceed five pages in any case and should be in the enclosed format. Ten copies of the report giving information on items listed in the format given below are required. iv.Annexure-V PROGRESS REPORT Important Points: i. ii. vi. iii. Manuscripts should be neatly written/ printed (with single spacing) in the enclosed format for direct reproduction by Xerox/ photo offset process. Instructions for preparing the Manuscript of the Report: i. v. The report should be discussed and finalised by the project team before sending it to DST. Matter should be first preferably typed on A4 size paper within the prescribed space leaving the same margin as in the enclosed format and then retyped cleanly after careful correction/ changes. Diagrams & graphs should be accommodated within the space provided for the text for direct reproduction. Please do not leave any item unanswered. Subsequent reports should cover the next 12 months and so on. Report should be in the format given below. Please write “NIL” against items where there is nothing significant to report or if these items are not relevant. Report should be sent even if project has not become fully operational. The first Progress Report should cover the work done during the first 12 months of the project implementation. Photographs should be avoided. Any corrections should be redone on a separate slip & then pasted neatly. Don’t cut/ cross. Timely submission of report is essential to facilitate release of funds.

Broad area of Research 4. Approved Objectives of the Proposal : Date of Start: Date of completion: Total cost of Project: Expenditure as on _________: .PROGRESS REPORT 1. Project Title: DST No: 2. PI (Name & Address): Date of Birth 3. Co-PI (Name & Address): Date of Birth 4.1 Sub Area 5.

6. Methodology : 7.1 Summary of Progress . Salient Research Achievements: 7.

2 New Observations: .7.

Research work which remains to be done under the project (for on-going projects) Ph.2 Immediate 7.Ds Produced no: Technical Personnel trained: Research Publications arising out of the present project: .5 Any other 8.7.4.4.3 Innovations: 7.4 Application Potential: 7.1 Long Term 7.

List of Publications from this Project (including title. author(s). journals & year(s) (A) Papers published only in cited Journals (SCI) (B) Papers published in Conference Proceedings. Patents filed/ to be filed: S No Sanctioned List Major Equipment (Model and Make) Procured Cost Working (Yes/ No) (Rs in lakhs) (Yes/ No) Model & make Utilisation Rate (%) . Popular Journals etc.

file number. Planned date of completion: 6.D.Annexure-IX PROJECT COMPLETION REPORT Notes: 1. Cover page should include the title of the project. while implementing the project and reasons thereof: 9. List of Research publications S No Authors Title of paper Name of the Journal Volume Pages Year ii. The PCR should be in bound form. produced c) Other Technical Personnel trained iii. 2. names and addresses of the investigation. Principal Investigator(s) and Co-Investigator(s): 3. Actual date of completion: 7. Date of commencement: 5. Experimental work giving full details of experimental set up. Objectives as stated in the project proposal: 8. 1. data collected supported by necessary table. 10 copies of the Project Completion Report (PCR) should be sent within one month of the completion or termination of the project. Detailed analysis of results indicating contributions made towards increasing the state of knowledge in the subject: 11. Conclusions summarising the achievements and indication of scope for future work: 12. Patents taken. of Ph. Implementing Institution(s) and other collaborating Institution(s): 4. Title of the project: 2. diagrams & photographs: 10. if any . charts. S&T benefits accrued: i. methods adopted. 3. Manpower trained on the project a) Research Scientists or Research Associates b) No. Deviation made from original objectives if any.

Procurement/ Usage of Equipment a) S No Name of Equipment Make/Model Cost (FE/ Rs) Date of Installation Utilisation Rate (%) Remarks regarding maintenance/ breakdown b) Plans for utilising the equipment facilities in future Name and Signature with Date a._________________________ (Co-Investigator) ._________________________ (Principal Investigator) b. if any Total Funds Sanctioned Expenditure % of Total cost 100% 14.13. Financial Position: No I II III IV V VI VII Financial Position/ Budget Head Salaries/ Manpower costs Equipment Supplies & Materials Contingencies Travel Overhead Expenses Others.