Financial Support

Tenth Plan

Guidelines

Financial Support

Special Assistance Programme (SAP)

SPECIAL ASSISTANCE PROGRAMME (SAP)

1. Introduction

The SAP scheme was initiated in 1963 by University Grants Commission keeping in view the recommendations of the Education Commission to facilitate the selected number of university departments having some potential in research and teaching. The programme is intended to encourage the pursuit of excellence and teamwork in advanced teaching and research to accelerate the realization of international standards in specific fields. The first such programme was christened as the "Centre of Advanced Study (CAS)" in 1963.Some of these Centres also received recognition and financial support from UNDP/UNESCO. The "Department of Special Assistance (DSA)" and "Departmental Research Support (DRS)" programmes were started in the Departments during 1972 and 1977 respectively to create feeder departments for CAS.

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2. Objectives

The major objectives of the Special Assistance Programme (SAP) are as follows:-

To identify and support university departments that have the potential to undertake quality teaching and research in various educational disciplines including allied disciplines.
Programme to be relevant to societal needs and have society and industry interaction.
To make research a catalyst for good teaching and introduction of new courses relating to identified thrust areas.
To have linkages with research organizations and to use their expertise innovatively to support research in the universities.
To enhance infrastructure facilities.
To utilize the output of research for the development of the nation and society.
To train and create quality human resource in identified thrust areas.
To search for newer / generic area(s), its promotion and nurturing.

To fulfill the above objectives, linkages with research organizations such as, DST, CSIR, DRDO,DBT etc. need to be used innovatively to support research in universities. Priority should be given to inter-disciplinary research in all fields.

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3. Eligibility

A University department which qualifies under section 2 (f) and 12 (B) of the UGC Act, 1956 and has potential to undertake quality teaching and research can submit its proposal for induction under SAP. The detailed information is to be submitted in the prescribed format (Annexure I). The department should have at least one Professor, two Readers and three Lecturers to become eligible for induction under SAP.

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4. Duration of the Programme

The duration of the Special Assistance Programme (SAP) is upto the end of X^th Plan period. The UGC will not provide financial assistance for more than three terms at the same level of DRS and DSA. If the performance of the programme does not improve significantly, to be upgraded from DRS to DSA level or DSA to CAS level even after three terms of receiving grant from the UGC, the UGC may discontinue the programme.

The effective date of implementation of the approved phase will be 1^st April of the next ensuing year. The department has to accept and implement the programme within six months from the date of approval or 1^st April of the next financial year whichever is earlier, otherwise the UGC will be at liberty to cancel the approval of the programme.

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5. Nature of Assistance

The maximum limit of financial assistance at different levels of the programme will be as under:

Programme / Status	Financial Assistance	(Rs. in lakhs)
	Science, Engg. & Tech.	Maths, Statistics Humanities & Social Sciences
CAS	100	60
DSA	75	50
DRS	50	40

The financial assistance will be provided for non-recurring as well as recurring items of expenditure. The details regarding the items covered under non-recurring and recurring are given in Annexure II.

Additional Grant

The UGC may also consider following additional grants subject to the availability of the funds under the programme:-

ATTACHMENT OF STUDENTS (MASTER'S DEGREE PART-I AND BACHELOR'S PART-II)
1. Every Year four meritorious students from Master's Part-I (appeared in examination) and two Bachelor's Part-II (appeared in examination) students from neighbouring Universities/Colleges will be attached to each SAP supported departments for six weeks to provide them with research experience. They may be appointed on merit.
2. The students must be given project work during their attachment and each student should be assigned to one faculty member for guidance according to the identified thrust area(s) of interest.
1. ) The Commission will provide to each student actual second class rail/bus fare per month of attachment along with contingency amount of Rs.5,000/- per student per annum for stationery, field work, repair and maintenance activities for the work assigned to them. The University department, where the student will be working, may provide the grant to the student based on their date of joining with necessary documents from the University department from where the student is coming to take up the attachment programme. The UGC will reimburse the same after clearance from the Advisory Committee where the amount will be shown for release by the UGC to the Institution concerned where the student is working.
2. Projects may be chosen in collaboration with the industry, national organizations or for rural work in addition to the identified thrust areas. The student and the concerned teacher, to be attached with the student, may visit the industry and other organisations and take up the project. This will help to create a linkage with an external organization and the department, the students and the teacher. Thus mobility is ensured.
3. The Department should write and contact the relevant University/College between January and March of every year so that eligible students are selected on merit for research attachment.
ESCALATION COST OF EQUIPMENT
In the event of devaluation of rupee value against foreign currencies the cost of most of the sophisticated equipment also increases and the departments concerned are unable to procure the approved equipment within the approved amount due to the cost escalation. In case of such escalation, the SAP supported departments will have to submit detailed information and bank documents along with exchange rate documents etc . to justify their claim in the prescribed form enclosed as Annexure III.

To avoid the cost escalation, the Departments/Universities concerned will take appropriate steps according to the guidelines and terms and conditions of grants to place the order for approved equipment immediately after receiving the grant from the UGC.
5% MAINTENANCE FOR EQUIPMENT GRANT
Maintenance, modernization, upgradation, accessories, spare parts etc. for the approved equipments may be procured under the programme @ 5% of the purchase value of the approved equipment per annum on contract basis from the date of expiry of warranty period till the end of the term of the programme. Thereafter, it has to be met by the University/ Institute.
OVERHEAD
An additional grant to the tune of 10% of the total allocation (Non- Recurring & Recurring) approved to a Department subject to a maximum of Rs.2.00 lakhs or the actual expenditure whichever is less towards water, electricity and telephone, fax, E-mail (only equipment cost of these items. Recurring cost of these items will have to be met by the Department/University) for the entire period from the date of implementation of the programme.
INTERNATIONAL COLLABORATION FOR RESEARCH UNDER SAP:
1. The University Grants Commission on the basis of the recommendations of the University and the Advisory Committee may consider a well defined collaborative research programme for sending upto two teachers in a year from SAP departments to the identified foreign University/ Research Institute for a period of two to six months. The proposal for the collaborative programme will define clearly the objectives and the areas of collaboration from both the Indian and foreign counterparts. Such collaboration will focus on the areas of research, methods/ products/ prototype to be developed. It will also specify how the patents and the protection of the rights of such research and the collaboration programme will be maintained by both the counterparts. The teachers and the groups who will be collaborating will submit their phase-wise programme of going abroad along with the type of work they are to take up in that phase. The department will also mention any other support being enjoyed u nder such collaboration. An agreement on the above collaborative programmes, mentioning details of area(s) to be undertaken in the collaboration, possible time-frame, phase-wise plan of action may be prepared and finalized among the counterparts. This document may thereafter be placed before the Advisory Committee. The resolution may be sent to the UGC- SAP Division for consideration, approval and implementation accordingly.
2. The Commission will provide assistance to each collaborating SAP department to the extent of Rs.2,00,000/-per year (as an additional grant on availability) for collaboration with an identified University department or Research Institute in a foreign country. The assistance will be for the following purposes:
1. To provide air fare by SAP department to two teachers and to provide local hospitality and travel within India to two teachers of foreign collaborating University/ Research Institute on the same scale as applicable in the cultural exchange programme of the UGC.
2. Local hospitality for teachers from SAP department will be met by the foreign collaborating University/Research Institute according to the norms of the foreign collaborating University/ Research Institute.
3. Air fare of the teacher from foreign collaborating University/ Research Institute will be met by them and local hospitality by the concerned collaborating department. In order to get assistance the following documents are to be submitted by the collaborating SAP departments to the UGC for approval and release of admissible grants:

The resolution of a well defined collaborative proposal (with objective) and complete action plan and a copy of the agreement between the appropriate collaborating authority of SAP department and foreign collaborating University/ Research Institute duly forwarded by the Vice-Chancellor as Chairman of the Advisory Committee where the presence of UGC expert nominee(s) is mandatory.

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6. Procedure for Applying for the Scheme

As per availability of funds in a financial year, the UGC may invite proposals for induction of new departments under SAP. Eligible and viable university departments which have potential to undertake quality teaching and research can submit their proposals.

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7. Procedure for Approval by the UGC

SHORT LISTING OF NEW PROPOSALS UNDER SAP-DRS:
All the proposals duly prepared as per the guidelines of the programme received from the eligible University Departments through proper channel from the University will be scrutinized and short-listed by the Subject Expert Committees (Annexure IV).
INDUCTION OF DEPARTMENTS BY THE SUBJECT INDUCTION COMMITTEE
The short listed proposals will be considered by the Induction Committee to be constituted by the UGC. The members of the subject induction committee will be different from the short-listing subject Expert Committee. The committee will visit the concerned Department of the University and also identify the Coordinator and Deputy Coordinator of the programme for the tenure of the programme or upto his / her supperannuation in consultation with the representatives of the department to run the programme in an identified thrust area(s). The recommendations of the Committee will be approved by the Commission for induction of new departments. (Annexure V)

TERMS OF REFERENCE OF INDUCTION COMMITTEE
1. The Committee would identify preferably not more than 3 or 4 areas of thrust or group research areas not too narrowly based on the excellence in the department. The direction of the thrust will be identified keeping in view the national or global priority / thrust where such advancements are viable and have distinct identifiable growth potential and future prospects.
2. While supporting identified areas, it should be ensured that the major facilities be identified which the department will require to maintain growth and excellence or to create work as per the objectives of the programme.
IDENTIFICATION OF COORDINATOR/ DY. COORDINATOR
1. The Committee will identify the Coordinator of the programme in consultation with the Vice-Chancellor and the faculty members. The senior most Professor in the identified thrust area or the professor most active (to be judged by the Committee) in the thrust area identified, may work as a Coordinator. The Coordinator will also look into the interest of the other areas in order to have overall growth and standard in the department. The Coordinator should ensure that the facilities provided under SAP as well as other existing facilities in the department may optimally be utilized.
2. The Committee may make specific financial recommendations for the most essential and critical needs to be provided for further growth, development and creation of excellence in the identified areas keeping in view the financial ceiling and the objectives of the programme. Specific facilities including equipments and other items with the financial allocation recommended for, may be mentioned in the column allotted for the same in the format .

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8. Procedure for Relase of Grants

Based on the recommendations of the Induction Committee and the approval of the UGC the financial assistance as recommended by the Committee will be conveyed to the selected and inducted department of concerned university subject to certain terms and conditions for release of grant. On receipt of the acceptance of the terms and conditions mentioned in the UGC's letter, the UGC will sanction total non-recurring and recurring grant for the first year of the programme.

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Conditions For Reciept of the Grant

In order to avoid difficulty in implementing the programme on day-to-day basis, the UGC desires that the University will give sufficient delegation of authority to the Department (SAP supported) within the University for successful implementation of the programme within the approved duration.

The university and department will intimate the name of the Registrar who will receive the grant on behalf of the university for the programme.
The name of the bank and account number (for SAP) with detailed address may be intimated to the UGC to receive approved financial support under the programme. A separate account for the grant under the programme is essential to be maintained with intimation to the university authorities / UGC
The Coordinator should have the freedom to place orders and act as per directions of Advisory Committee under intimation to the Head of the concerned department. The Advisory Committee, if it so feels, may constitute a purchase committee to deal with the matter.
Non recurring grant released by the UGC should be utilized by the department / university positively within a period of two years from the date of receipt of grant, otherwise the UGC may ask for refund of the unutilized amount of non-recurring grant.
Second and subsequent installment of grants will be sanctioned only on receipt of the following documents :-

Year-wise and item-wise statement of actual expenditure incurred against the grant paid for the previous year in the prescribed Proforma (Annexure VI), duly signed by the Registrar, Finance Office and Coordinator of the programme.
Utilization Certificate in the prescribed form Annexure VII, duly signed by the Registrar, Finance Officer and Coordinator.
The University will also submit an audited statement of accounts of the programme, duly audited by the Statutory Auditors of the University, as soon as the accounts of the University are audited.
The Department must submit an Annual Progress Report in the prescribed format (Annexure VIII) with a copy of the proceedings of the Advisory Committee meeting, highlighting the specific observations / comments of the outside experts (UGC nominees).
The UGC assistance for the payment of salary of research/teaching personnel approved for the SAP, will be from their date of joining and upto the end of approved duration of the programme. Thereafter, the State Government / University will have to take over the recurring liabilities of such staff. The UGC will not be responsible either legally or financially for continuation of the appointment made under SAP.
The UGC approval for the posts vacant on the date of completion of the duration of the programme will automatically lapse.

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9. Procedure for Monitoring the Progress of the Scheme

Monitoring / Evaluation and Review of the progress, performance, achievements made by a Department supported under the SAP will be done through the following Committees :-

A - Advisory Committee

B - Mid-term Monitoring and Evaluation Committee

C - End-term / Final Review Committee

A. CONSTITUTION AND FUNCTIONING OF THE ADVISORY COMMITTEE

The composition of the Committee will be as under :-

Vice-Chancellor Chairperson
Head of the Department Member
Sr. most Professor Members participating in research in each of the identified thrust areas.
One Sr. Teacher involved Member in UG & PG teaching in areas other than identified thrust areas
Two outside experts as UGC nominees Member
Coordinator Member Secretary

TERMS OF REFERENCE AND ROLE OF THE ADVISORY COMMITTEE WILL BE AS UNDER:-

The Advisory Committee will play an active role for the full - term of the programme.
The Advisory Committee shall meet annually and the dates of the Advisory Committee meetings should be fixed well in advance so as to ensure participation by the UGC nominees/ outside experts.
1. The Advisory Committee shall monitor and review the academic teaching, research, collaborative , extension and future programmes; procurement of the equipment; expenditure on housing the equipment as allocated by the UGC. The Committee will also look into the international collaborative programmes, training of the students, use of the research and technology output , patent filing or commercialization of the output, resource generation or patent promotion, attachment of research students and other related activities under the programme .
2. It will also look into the scope of updating the courses from time to time.
The Advisory Committee may not generally recommend any fresh proposals involving finances to be sought from the UGC but will advise on the proper utilization of the amounts already approved under the programme and suggest such reappropriations as may be necessary, keeping in view the progress of work in the department.
The interest accrued, if any, out of the sanctioned amount under the programme , is to be treated as an additional grant. The Advisory Committee should suggest proper use of such amount. The University / Department will have to submit to the UGC regarding utilization of the interest income, while submitting the annual accounts for the programme.
The programme Coordinator may procure the equipment sanctioned under the programme as per the procedure suggested by the Committee. Since the Phase of programme is time bound, there is no need of any approval in this regard of the Executive / Syndicate of the University.
The expenditure towards the Advisory Committee meetings may be met from the specific recurring grant allocated for the purpose.
If the UGC nominee is absent in the Advisory Committee meeting due to unavoidable reasons, the nominee may kindly be requested to give his / her opinion in case the nominee differs from the decision of the Committee. This opinion shall be considered in the next meeting or by the Chairperson in case of emergency.

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B. MID-TERM MONITORING AND EVALUATION COMMITTEE

The Mid-term monitoring Committee constituted by the UGC will evaluate and review in the third year of the programme, the academic, research achievements and the progress of the work done during first two years of the programme. This will be in addition to the monitoring of the programme by the Advisory Committee. The Review Committee may review the progress of the programme by visiting the departments on the spot or by inviting the representative of the departments for presentation of the performance appraisal reports in a selected and easily accessible university.

TERMS OF REFERENCE AND ROLE OF THE MID-TERM MONITORING AND EVALUATION COMMITTEE

After completion of two years of the SAP the department will submit a progress report in the prescribed format (Annexure VIII) . The UGC may organize group monitoring or on the spot visit for review of the departments which have completed more than two years from the date of approval of the programme or as communicated by the UGC.
This Committee will review the mid-term progress and activities and also take note of the minutes of the Advisory Committee meetings and the action taken on the recommendations of the Advisory Committee and decisions of the UGC.
The Committee will submit the report highlighting the various achievements, facilities created, equipment procured, staff/faculty/fellows appointed (if approved by the UGC) , utilization of the funds for the purpose it were given, the status of the Coordinator, thrust areas identified or modified, other areas emerging out etc. as relevant to the programme (Annexure IX).
Normally, no financial grant be recommended by the Committee. However, the Committee may highlight any special point or comments which they intend to make for the smooth implementation of the programme, for consideration of the UGC.

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C. END -TERM/FINAL REVIEW COMMITTEE

The End Term/Final Review Committee constituted by the UGC consists of 2-3 subject experts in the identified thrust area and a UGC officer. This Committee will evaluate and assess the over all progress and achievements of the Department at the end of the tenure of the programme, based on the final progress report, academic and research achievements, infrastructure facilities created and utilization of funds etc. Besides, the committee may visit the Department and assess the Department on the spot, by discussions, physical verification, etc.

TERMS OF REFERENCE AND ROLE OF THE END TERM / FINAL REVIEW COMMITTEE

The Committee will study in depth the progress report received from the Department in the format (Annexure IX) prescribed by the UGC.
The Committee will visit the Department laboratory, library and other infrastructural facilities. It will hold discussions with the Vice-Chancellor, Senior faculty members and teachers, administrative authorities, research scholars and students, staff as may be essential in regard to various academic, teaching, research, collaborative programmes, extension and training programmes, resource generation etc.
The Committee will look into the strength of the faculty (Professors, Readers, Lecturers, other personnel) working in the department and actually in position and their involvement in the thrust area. It will also examine whether the State Government or the university has taken the liability of the faculty provided by the UGC during its support under the programme.
The Committee would examine the stage of development of the identified thrust areas which have been provided support in phases, its modification, inclusion and its impact on the total development of the Department. It will also identify the areas of thrust, where excellent progress has been made or maintained. The addition of any area of thrust, other than the identified area, may be recommended with proper justification.
The Committee will examine the number of years passed after support of the programme and the newer / generic / hi-tech/ thrust areas generated out of the support in addition to the identified thrust areas. Whether these new areas have brought in any excellence or innovation or breakthrough would also be examined .
The Committee after rigorous evaluation may recommend to continue / discontinue / upgrade the programme of the department. The Committee may suggest the financial implications for continuance / upgradation of the programme concerned, keeping in view the UGC guidelines of the programme. The recommendations of the Committee will be placed before the Commission for its approval.

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10. Annexures