Financial Support

Research Funding Council for Major and Minor Research Projects during the Tenth Plan Period

1. Introduction

The University Grants Commission strives to promote teaching and research in emerging areas in Humanities, Social Sciences, Languages, Literature, Pure sciences, Engineering & Technology, Pharmacy, Medical, Agricultural Sciences etc. The emphasis would be supporting such areas that cut across disciplines and subjects such as health, gerontology, environment, biotechnology, stress management, WTO and its impact on economy, history of science, Asian philosophy and many other areas as would be identified by subject experts.

There are disciplines such as defence and strategic studies which include national security affairs, insurance and banking, economics and world trade which in a true sense are multidisciplinary in nature, cutting across disciplines of sciences, humanities and social science, and are of importance in a rapidly changing global scenario. These and allied disciplines need to be studied and researched in a more organized manner. Institutionalization of such activities is a need of the present times.

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2. Objectives

To promote excellence in research in higher education by supporting research programmes of University and College teachers in various disciplines.

Traditionally, universities have been the centres of research. Although, the Government has a network of science and technology laboratories for research and development, the major base of researchers in science and technology remains with the universities. Therefore, university and college teachers need to be supported to meet this requirement.

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3. Eligibility/Target Group

The University Grants Commission will provide support to permanent/regular, working/retired teachers in the Universities and Colleges (Under Section 2(f) & 12 B of UGC Act, 1956). Colleges and Universities sponsoring the proposal should have adequate research facilities. Research project may be undertaken by an individual teacher or a group of teachers. In case a project is undertaken jointly, one of the teachers will function as a Principal Investigator (PI) and he/she will be responsible for all matters pertaining to the project. A teacher, working or retired, can have only one project/ scheme of the UGC at any given time. The one, which is offered and accepted first, must be completed before the other offer is accepted. Failure to abide by this rule shall make the Principal Investigator and the Institution liable to refund the entire amount paid by the UGC in all such schemes and they may be debarred from participation in future UGC programmes. It would be the responsibility of the Principal Investigator and the Institution for total accountability of the project.

Retired teachers, upto the age of 70 years can also participate under the scheme. However, he/she should preferably not be above the age of 67 years at the time of applying for the project. In case of retired teachers, there has to be a Co-Investigator (Permanent Teacher) from the Department where the project is likely to be undertaken.

The Commission will also provide financial assistance to the college teachers and University Lecturers who wish to undertake, alongwith teaching work, a Minor Research Project or working for doctorate degree under an approved supervisor.

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4. Nature of Assistance

The quantum of assistance for a research project will be as under:

Major Research Project in Sciences including Engineering & Technology, Medical, Pharmacy Agriculture etc. - Rs. 12 lacs.
Major Research Project in Humanities, Social Science, Languages, Literature, Arts, Law and allied disciplines - Rs. 10 lacs.
Minor Research Project - Rs. 1 lac.

The Commission will provide financial support for the items like Equipment, Books and Journals, Research Personnel ( Research Associate or Project Associate or Project Fellow), Hiring Technical Services, Contingency, Chemicals and Consumables, Travel and Field work and any special requirements. However, assistance towards research personnel will not be provided in Minor Research Project.

Equipment

The equipment grant may be used to procure equipment as approved by the Commission. However, in certain special cases, if there is need to change specification of the equipment, this should be done with the prior concurrence of the Commission.

The escalation, if any, in the cost of approved equipment may be met out of savings/re-appropriation from other heads under intimation to the Commission.
Grant can be used for purchase of computer and software for technical data analysis, with the prior approval of UGC.
The University/Institution should make every effort to put all the equipment available in the laboratories in effective use. A maximum of 5% of the allocation made for equipment could be utilized for maintenance repair/purchase of spares/service contracts etc.
The Commission will have the right of transfer any equipment of the value of Rs. One lac or more purchased by the University/Institution out of the funds approved by the Commission to any other institution.

Books and Journals

The Books and Journals acquired by the P.I. under a Major or Minor Research Project must be deposited to either the departmental library or the central library at the end of the project. They should become institutional property.

Honorarium to Retired Teachers

Honorarium to retired teachers is admissible at the rate of Rs.10,000/-p.m. upto the age of 70 years. If the PI attains the age of 70 years during middle of the tenure of the project and some more work needs to be done, the PI should complete the work without any honorarium for the rest of the period. If a teacher retires during the tenure of the project, he/she will also be eligible for honorarium on receipt of an affidavit indicating his/her date of birth, date of superannuation and that he/she is not employed anywhere or is not drawing honorarium from any other Government/Non-Government organization, duly oath commissioned and witnessed by the Heads of the department/Dean and the Head of the Institution.

Research Personnel

The UGC may approve and provide assistance to engage following research staff during the tenure of the project. The Research Personnel shall not accept or hold any other appointment paid or otherwise or receive any emoluments, salary, stipend etc. from any other source during the tenure. They shall do whole time work with the PI on the research project.
1. Research Associate
  
  A candidate below the age of 45 years, who has doctorate degree and published research work to his/her credit in the related field may be engaged as Research Associate. The emoluments for Research Associateship will be Rs. 12,000/- p.m. (fixed) + HRA.
2. Project Associate
  - NET - JRF/Lectureship and SLET qualified candidate may be appointed as Project Associate. Ph.D/M.Phil Degree holders, M.E.,M.Tech. and M.Pharm qualified candidates may also be appointed as Project Associate. The candidate should be below the age of 40 years at the time of appointment.
  - The emoluments would be Rs. 8000/- p.m.+ HRA for the first two years. At the end of two years, the work done under the project by the Project Associate may be assessed with the help of a 'Subject Expert' from outside the University. The fellowship for the third year will be Rs. 9000/- +HRA if the work is found satisfactory and the Project Associate has at least one publication to his credit out of the work done under the project. In case the qualified candidate is not available as per qualifications mentioned above for the post of Project Associate, the University/Institution may appoint Project Fellow. Subsequently if the candidate appointed as Project Fellow fulfils the qualifications of Project Associate, he/she may be appointed as Project Associate as per the original approval.
3. Project Fellow
  
  Project Fellow may be appointed with a consolidated salary of Rs. 6000/- p.m. The person to be considered for appointment as Project Fellow must have second class master degree with a minimum of 55% marks in the subject concerned or a related subject. The candidates possessing first class B.E./B.Tech Degrees are also eligible to be appointed as Project Fellows in Engineering & Technology subjects. The candidate to be appointed as Project Fellows should be below the age of 40 years at the time of appointment.
HRA

Suitable hostel type accommodation may be provided for Research Associate/Project Associate failing which they are eligible for HRA as per rules of the University/Institution. Research Associate who has been provided accommodation in a hostel recognized/maintained by the Institution may be reimbursed the hostel fee.

Leave

Research Associate will be entitled to leave as per rules of the University/Institution. Project Associate/Project Fellow will be entitled to leave for a maximum period of 30 days/year in addition to general holidays. The women awardees would be eligible for maternity leave at full rates for a period not exceeding four months, once during the tenure of their award. Research Personnel, however, will not be entitled to vacations, e.g., summer, winter and pooja.

Medical Facilities

Research Personnel may be provided medical facilities as per rules of the University/Institution. However, the UGC will not provide any financial assistance on this account.

Mode of Selection

The selection of a candidate as Research Associate/Project Associate/Project Fellow may be made by an open selection and by a duly constituted Selection Committee. The constitution of the Selection Committee will be as under:
- HRA certificate in prescribed proforma (Annexure VII) for Research Associate/Project Associate
Hiring and Technical Services

Other technical staff required for the implementation of the project may be hired on a fixed amount for a fixed period on contract basis. Modalities for the utilization of research funds under the head of hiring services are as under :-
- This is meant for having institutional services for specialised technical work, such as sample analysis, for which the University/Institution either has no infrastructure or such services are available on payment basis.
- Stenographic services may be hired for the purpose of preparation of questionnaire/schedule or report writing and not for routine correspondence.
- Skilled/unskilled workers may be engaged on daily wages for expedition, field work only and not as peon, attendant, lab attendant, clerk, accountant etc.
- Such of the PIs who have not been given any research personnel on a regular basis, may hire a person for technical assistance and the person so engaged must fulfill the qualifications prescribed for Project Fellow. He/she may be paid remuneration at par with the Project Fellow, limited to a maximum of 6 months in the total tenure of the project.
- Expenditure on payment of consultancy fees etc. shall be admissible under this head, if the payment is made to a person outside the Institution of the PI and Co - Investigator(s). As far as possible, consultancy fee should be paid to some organized agencies only.
Contingency
- The admissible contingency grant may be utilized on spares for apparatus, photostat copies and microfilms, typing, stationary, postage, telephone calls, internet, fax, computation and printing needed in connection with the project.
- The contingency grant is not intended for meeting expenditure on furniture etc., items normally provided by the University/College and payment of examination fees of the research personnel.
- Expenditure towards advertisement for post of research personnel, and the audit fee may also be claimed under contingency head.
Chemicals and Consumable

For meeting expenditure on chemicals, glasswares and other consumable items.
Travel and Field Work

Modalities for the utilization of research funds under the head of Travel/Field work are as under:-
- The amount allocated under the head travel/field work is to be utilized for the implementation of the ongoing project only. This should not be used for attending conference, seminar, workshop for which there is separate provision under unassigned grant scheme for the University teachers and under development grant scheme for the College teachers. This amount should also not be used for attending any training course either. The travel/field work is to be undertaken only for data collection and collection of other information such as consultancy, documents and libraries within the general scope and sphere of the project.
- The mode of travel shall be as per the entitlement of the teacher concerned in the respective institution. Travel by Air and Ist AC is not admissible. Travel by Taxi/Own Car is permissible within the city where the project is undertaken as per the rules of the University/College/Institution. If the travel is performed by taxi/own car outside the city, the expenditure whould be limited to IInd AC/Deluxe Bus. Research personnel shall travel by second class sleeper only. The travel/halting DA and incidentals shall be according to University/State Government rules applicable to the PI or Research Personnel on the basis of salary/fellowship. Heads of the Institutions are not empowered to relax the modalities as detailed above. Non-compliance of the rule shall result in the recovery of the inadmissible expenditure by the UGC from the Institution.
  
  In case where the place of fieldwork is not connected by public transport, a vehicle may be hired at University/State Government rates for the purpose from the point nearest to the place of fieldwork.
Institutional Overheads

The host institute will be provided additional grant to the tune of 10% (ten percent) of the approved recurring grant (except travel & fieldwork) as overhead cost, to provide infrastructural facilities including office support and administrative and accounting services. (However, in case of re-appropriation of funds, the allocation towards overhead will remain unchanged).
Re-Appropriation

The University Grants Commission, on case to case basis, may consider the re-appropriation of funds initially allocated for the project. The grant towards Fellowship cannot be re-appropriated.
Tenure

The duration of Major and Minor Research projects will normally be 3 years and 2 years respectively. However, the extension for the Major Research Project can be considered by the Commission under exceptional circumstances for a period not exceeding one year. In case of Minor Research Projects, no extension is admissible.

However, in case of extension, no additional grant will be provided by the UGC. The Project Fellow/Project Associate/Research Associate may continue to work during the extended period but under no circumstances should his/her tenure exceed the original tenure of the project. Honorarium to the PI, in case of retired teachers, will not be admissible during the extended period.
Date of Implementation

The effective date of implementation of the project will be intimated in the approval letter.

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5. Procedure for Applying

All eligible teachers, working or retired, who wish to avail financial assistance for Major Research Project should submit their proposal in the prescribed proforma Annexure-I to the UGC through the concerned University/Institution.

The University Lecturers who wish to avail financial assistance for Minor Research Projects may submit their research proposal in the proforma as per Annexure-II to the UGC through the concerned University.

The College teachers who wish to avail financial assistance for Minor Research Project should submit their research proposal in the proforma as per Annexure-II to the UGC Regional Offices located at Bhopal, Kolkata, Guwahati, Hyderabad, Bangalore and Pune. The teachers from the colleges in the Northern Region including Delhi may apply to the UGC Northern Region Colleges Bureau at 35, Feroze Shah Road, New Delhi - 110 001.

The proposal may be sent any time during the year. However, the proposals will be evaluated by the Commission twice in a year preferably in the months of January and July.

6. Procedure for Approval

The PIs for the Major Research Projects will be invited to make presentations before the Expert Committee constituted by the Commission. No TA/DA would be paid to the P.I. Proposals will not be considered in absentia. The absentees will be required to submit the proposal afresh for consideration. The final decision will be taken by the Commission keeping in view the recommendations made by the Expert Committee and the availability of funds for the scheme. The proposals for Minor Research Projects will be considered by the Expert Committee and the final decision will be taken by the Commission keeping in view the recommendations made by the Expert Committee and the availability of funds for the scheme.

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7. Procedure for Relase of Grants

The first instalment of the grant shall comprise of 100% of the Non - Recurring including Over Head Charges, and 50% of the total recurring grant approved by the Commission for the total duration of the project, and will be released immediately. The amount released can be spent according to the need on the approved heads/items within the approved allocation for the respective heads/items. If the non-recurring grant is not utilized within one year from the release of grant, justification for non-utilization may be sent to UGC. Approval may be obtained from UGC if the equipment is purchased after one year. The second instalment comprising of 40% of the total recurring allocation would be released on utilization of at least 80% of the earlier grant and on receipt of progress Report, Utilization Certificate and item - wise statement of expenditure in the prescribed proformae (as per Annexure III to VI ) duly certified by the Registrar/Principal/Head of the Institute.

The amount further required towards completion of the project (upto 10% of the approved recurring allocation) may be advanced by the University/College/Institute to the PI, which would be reimbursed to the University/College/Institute on receipt of following completion documents:
1. Detailed information about the project in the prescribed proforma (Annexure IX).
2. Month - wise and year - wise detailed statement of expenditure towards salary of staff appointed under the project.
3. A consolidated item - wise detailed statement of expenditure incurred during the complete project period in the prescribed proforma duly signed by Registrar/Principal.
4. A consolidated Audited Utilization Certificate for the amount actually utilized towards the project duly signed and sealed by Govt. Auditor/Chartered Accountant in the prescribed proforma.
5. The unutilized grant if any, may be refunded immediately through demand draft in favour of the Secretary, University Grants Commission, payable at New Delhi.
Any expenditure incurred prior to the issue of the approval letter and after the expiry of tenure of the project will not be admissible.

The Principal Investigator/Institution are expected to settle the accounts immediately on completion of the project. In case the grant is not claimed within three months from the date of completion of the project, the same will lapse and no representation will be entertained on this behalf. In case, utilization certificate from statutory auditor is delayed; utilization certificate from Chartered Accountant be submitted within three months.

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8. Monitoring and Evaluation

Annual progress Report of work done must be submitted as per (Annexure-IV) with a summary to the Commission within eight weeks after completion of each year.

UGC shall organize mid-term group review meetings of all the projects which have completed one and a half year to two years of duration where the Principal Investigators would be invited for presentation of work being done by them before an Expert Committee constituted by the Commission. The expenditure incurred on mid-term may be met out of the project funds. The recommendations of the UGC Mid-Term Evaluation Committee would decide the continuance of the project.

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9. General
1. On receipt of approval letters, the Principal Investigator/University or College should inform the Commission of their consent to implement the project and send the Acceptance Certificate Annexure-IX. Acceptance Certificate may be sent within one month from the date of issue of approval letter, otherwise it will be presumed that the Principal Investigator (PI) is not willing to implement the project and the approval will be withdrawn.
2. The interest earned by the University/College by the investment of funds sanctioned and paid by the University Grants Commission will be treated as an additional grant and should be shown as such in the accounts of the University. Also, the amount of such interest earned should be reported once a year to the University Grants commission for approval, which is to be treated as an additional grant for the purpose.
3. Project once approved is not mutually transferable. The transfer of project to the Co - Investigator provided he/she fulfils the eligibility criterion as per para 1 of clause 3, working from the beginning of the project may be considered by the UGC in the event of death, disability or any other incapacity of the PI. In all other cases the project shall be deemed to be closed and it shall be responsibility of the University/College/Institution to settle all issues in respect of the project. If need be, a co - investigator may be inducted into the project later with prior approval of the UGC. However, he/she will not be entitled to take over as PI under any circumstances. If the awardee is transferred from his/her original place of work to another Institution ( Approved under Section 2 (f) and 12 (b) of the UGC Act, 1956 ), a No Objection Certificate should be furnished for the transfer of the project from both the Institutions stating that necessary facilities will be provided by the Institution in which the awardee is transferred for the smooth running of the project.
4. All assets generated out of the fund for the project including equipment, books and journals will become the property of the host institution on completion of the project. However, in case of transfer of the project, assets ( or a part of it ) generated out of the funds of concerned project, may be transferred to the concerned Institution on request, with prior approval of the UGC.
5. Prior approval of the UGC will not be necessary for publishing the results of the study on the project supported by the Commission. In all such cases, however, the investigator should acknowledge the contribution made by the staff appointed for the project and the support received from the UGC. The Universities may, if they so desire, consider the publication of the final reports of research work for which a fixed amount is placed at their disposal for the plan period by the UGC under the unassigned grant scheme.
6. Project Associate/Project Fellow engaged in the project may enroll for Ph.D. The data generated and the results obtained out of the Project may be incorporated by the Project Associate/Project Fellow in his/her thesis.
7. A copy of the "Final Report" of the work done may be kept in the Library of the respective department and /or the University/College/Institute.
8. Books and Journals and Equipment will come under 'Non-Recurring Items' and Contingency, Research Personnel, Hiring Services, Chemicals and Consumables, Travel and Field work, Special Needs etc. under 'Recurring Items'.
9. The proposal is liable to be rejected in case any item or column of proforma is left blank or incorrect or the required information is not properly provided.
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10. Annexures
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