1. Introduction
and Guidelines
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. (research project)
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. The following guidelines
assist for smooth implementation of the project in conformity
withthose terms and conditions.
Guidelines
1.
Sanction Order
i) Once the project is approved, a formal sanction order
is issued. 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, contingencies etc. submitted by the Investigator.
The first sanction order provides the detailed breakup
of funds allocated under non-recurring and recurring
expenditure heads like Equipment, Manpower, Travel,
Consumables, Contingencies etc.
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.)
iii)
Any correspondence with the Department regarding the
project should invariably quote the sanction order No.
and date and should be addressed to the concerned official
by name.
iv)
Subsequent to the sanction order, a bank draft/ cheque
for the released amount is despatched by the Drawing
& Disbursing Officer, DST.
2.
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.
ii)
The project becomes operative with effect from the date
on which the Draft/ Cheque is received by the implementing
Institution. This date should be intimated by the Institution
authorities/ Principal Investigator to this Department.
It will, in no case be later than one month after the
receipt of the draft/ cheque by the Institute.
3.
Principal Investigator & Co-Investigator (s) and
the Implementing Institution
i)
The Principal Investigator (PI) has the primary responsibility
of the implementation of the project. The project team
consists of the PI, Co-Investigator(s) and the project
personnel appointed as per the sanction order. It is
necessary to ensure that the project is carried out
by the project team in a cohesive manner. Periodic meetings
of the team are essential for this purpose.
ii)
In case of PIs who would be superannuating during the
duration of the project, association of a "in service"
Co-Investigator should be ensured. In such cases, the
Institute authorities should inform to this Department,
well in advance, about their "no objection"
for providing the infrastructural facilities to the
PI for implementation of the project after his superannuation.
iii)
Having accepted the responsibility for the implementation
of the project, the PI should be committed to implement
the project over its duration and should have no plans
to go on long leave.
iv)
In case, the PI is shifting to another institution on
new appointment/ transfer/ long term deputation, the
project could be transferred to that institution with
the mutual consent of both the institutions and of this
Department. 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.
v)
In case the PI leaves the project due to unforeseen
circumstances, the Co-Investigator could be considered
as the PI subject to the approval of the PI, Head of
the Institute and this Department. Such a request should
be sent at least 4-6 months in advance along with a
detailed bio-data of the Co-Investigator.
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.
vii)
The project stands terminated in the absence of the
PI/ Co-Investigator for a continuous period of 6 months
without intimation to this Department.
viii)
The implementing institution has an important role to
play and in consultation with this Department should
take steps to ensure successful completion of the project,
before relieving the PI.
ix)
The implementing Institute should provide full infrastructural
facilities such as accommodation, water, electricity,
library, communication facilities etc. for smooth implementation
of the project.
4.
Project Staff(s)
i)
All the personnel including Research personnel appointed
under the project, for the full/ part duration of the
project, are to be treated as temporary employees and
will be governed by the Administrative rules/ service
conditions of the implementing Institute. No reference
on these issues should be made to this Department. The
Department will have no liability, whatsoever, for the
project staff after completion of the project duration.
ii)
The sanction order specifies the number of personnel,
in different categories, sanctioned under the project.
The category of post and its emoluments are governed
by this Departments Orders at Annexure I.
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.
iv)
In case of recruitment of JRF/ SRF candidates who have
been declared successful at NET/ GATE may be preferred.
In exceptional cases, candidates without NET/ GATE may
be recruited through a proper selection procedure. It
is desirable to have DST Nominee in the selection process
and such requests for nominees may be sent well in advance.
5. 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. The first sanction
order indicates the budgetary allocation for the duration
of the project under various heads like Equipment, Manpower,
Travel, Consumable, Contingency etc.
ii)
The first instalment of grant is released along with
the first sanction order. It consists of the entire
grant for the 'Equipment' and part of recurring grant
including 'Overheads' for the first year of the project.
iii)
Diversion of funds from non-recurring head ie. Equipment
to recurring head like Manpower, Consumable etc. is
normally not allowed. However, any reallocation/ reappropriation
of grants under different heads requires prior approval
of this Department.
iv)
The Equipment sanctioned in the project should be procured
at the earliest to avoid any cost escalation. The PI
and the implementing Institute should complete all formalities
in advance for placing the order.
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.
vi)
However, 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);
b) Latest authenticated Statement of Expenditure including
Committed Expenditure, for expenditure since 1st April
of that financial year till the previous month; and
c) Technical Annual Progress Report, if not sent earlier.
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.
viii)
The Statement of Accounts and the Utilisation Certificates
are financial year wise and are to be submitted within
a period of 3 months from the 31st of March of that
year. (ie. if date of start of the project is 12.01.2000,
then the first statement of account and utilisation
certificate will be for the period 12.01.2000 to 31.03.2000,
the next statement will be for the period 01.04.2000
to 31.03.2001 and so on.)
ix)
The implementing institute will maintain separate audited
accounts for the project. Any interest earned should
be reported to this Department and should be reflected
in the Statement of Expenditure.
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. In case the Institute
is not able to implement the project, it should refund
to this Department the entire grant or the balance grant
at the earliest.
xi)
For permanent, semi-permanent or infrastructural assets
acquired solely from the project grants, an audited
record in the form of a register in the prescribed format
shall be maintained by the Institute. The term "Assets"
include (a) the immovable property acquired out of the
grant; and (b) movable property of capital nature where
the value exceeds Rs 1,000/-. The Institute is required
to send to this Department a list of assets acquired
from the grant.
xii)
The grant shall not be utilised for construction of
any building unless specific provision is made for this
purpose in the sanction order.
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, without the
prior sanction of this Department.
xiv)
After completion/ termination of the project, the Government
of India will be free to sell or otherwise dispose off
the assets which are the property of the Government.
The Institute shall render to the Government necessary
facilities for arranging the sale of these assets. 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.
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.
xvi)
The Comptroller & Auditor General of India, at his
discretion, 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.
6.
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. (ie. if the date of start of a project
is 12.01.2000 the first Annual Technical Progress report
shall be for the period 12.01.2000 to 31.01.2001, the
next will be from 01.02.2001 to 31.01.2002 and so on).
ii)
In addition, 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. The implementing
Institute will provide all facilities to the visiting
scientist/ specialist or the Expert Panel by way of
accommodation etc. at the time of their visit.
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. 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 for
additional grants/ extension in duration etc. are considered
by this Department. Subsequent releases of grant would
be based on the reviewing and monitoring committees
recommendations.
iv)
On completion of the project, 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) Consolidated audited statement of expenditure and
utilisation certificates;
c) List of assets/ equipment in the prescribed format;
and
d) DD/ cheque for any un-spent amount with the Institute.
The
un-spent balance should be sent through a Demand Draft
drawn in favour of Drawing & Disbursing Officer,
DST, payable at New Delhi.
7.
Guidelines for publication of results
i)
Investigators wishing to publish technical/ scientific
papers based on the research work done under the project,
should acknowledge the assistance received from this
Department.
ii)
The Investigator(s) should not enter into collaboration
with a foreign party (individual/ industry) without
prior approval of this Department.
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,
the results should not be published without action being
taken to secure legal protection for the research results.
8.
Guidelines/ Instructions for Technology Transfer and
Intellectual Property Rights
With
a view to encourage the institutions to file patent
applications on their innovations, motivate them to
transfer their technologies for commercialisation, and
to facilitate them to reward their inventors, the following
instructions are issued.
1.
In these instructions :
a)
"Institution" means any technical, scientific
or academic establishment where research work is carried
out through funding by the Central/ State Government.
b)
"Intellectual Property Rights" include patents,
registered designs, copyrights and layout design of
integrated circuits.
c)
"Inventor" means an employee of the Institution
whose duties involve carrying out scientific or technical
research.
2.
Scope: These instructions apply to those institutions
receiving funds for research projects from the Ministry
of Science & Technology and Department of Ocean
Development.
3.
Inventions by Institutions: Institutions shall be encouraged
to seek protection of Intellectual Property Rights (IPR)
to the results of research through R&D projects.
While the patent may be taken in the name(s) of inventor(s),
the institution shall ensure that the patent is assigned
to it. The institution shall get its name entered inthe
Register of Patents as the proprietor of the patent.
The Institution shall take necessary steps for commercial
exploitation of the patent on exclusive/ non-exclusive
basis. The institution is permitted to retain the benefits
and earnings arising out of the IPR. However, the institution
may determine the share of the inventor(s) and other
persons from such actual earnings. Such share(s) shall
be limited to 1/3rd of the actual earnings.
4.
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. The Institution
and Industrial concern may transfer the technology to
a third party for commercialisation on exclusive/ non-exclusive
basis. The third party, exclusively licensed to market
the innovation in India, must manufacture the product
in India. The joint owners may share the benefits and
earnings arising out of commercial exploitation of the
IPR. The institution may determine the share of the
inventor(s) and other persons from such actual earnings.
Such share(s) shall not exceed 1/3rd of the actual earnings.
5.
Patent Facilitating Fund: The Institution shall set
apart not less than 25% of such earnings for crediting
into a fund called "Patent Facilitating Fund".
This Fund shall be utilised by the institution for updating
the innovation, for filing new patent applications,
protecting their rights against infringements, for creating
awareness and building competency on IPR and related
issues.
6.
Information: The institutions shall submit information
relating to the details of the patent obtained, the
benefits and earnings arising out of IPR and the turnover
of the products periodically to the Department/ Ministry
which has provided funds.
7.
Royalty-free license: The Government shall have a royalty-free
license for the use of the Intellectual Property for
the purposes of the Government of India.
8.
Review: These instructions shall be reviewed by the
Central Government after a period of five years.
9.
The instructions are issued with the concurrence of
the Ministry of Finance, Department of Expenditure vide
their OM No 33(5) PF-II 99, dated 22nd February, 2000.
10.
For further information/ clarification on this subject,
please contact:
Director
Patent Facilitating Cell
Department of Science & Technology
Technology Bhavan, New Mehrauli Road
New Delhi - 110 016.
Tel : 2685 9581, 2696 7458
Fax: 2686 3866
email : tifac@nda.vsnl.net.in
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