Financial Support

Assistance for Strengthening of Infrastructure for Humanities & Social Sciences under ASIHSS Programme

Introduction | Objective | Eligibility/Target | Nature of Assistance Available in the Scheme | Procedure of Applying for the ASIHSS Programme | Procedure for approval of the UGC | Procedure for Release of Grants | Procedure for Monitoring | Annexures

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2. Objectives

The basic objective of the programme is to assist selected Humanities and Social Sciences departments in the universities which have already exhibited and achieved high quality performance to enable them to acquire necessary equipments to develop infrastructure which cannot be approved out of SAP grants, or normal university development grants, so that the attainment of excellence in postgraduate education and research in the department is not handicapped due to the non-availability of facilities. The specific objectives of ASIHSS are to :-

1. Strengthen infrastructure by acquiring necessary equipments (non-available under SAP or other sources) for continuously maintaining the achieved excellence in research and postgraduate teaching or for enhancement of the proven performance in the identified areas.

2. Enhance and promote hi-tech / emerging / thrust /generic areas in future to be at par and comparable with their counterparts in the world.

3. Promote Humanities and Social Sciences innovation and its use through technology transfer, filing of patents, etc.

4. Take up international and industrial collaborative programmes for self-sustenance and resource generation.

5. Link up and suggest steps required for interdisciplinary activity in the areas to the other SAP or ASIHSS supported departments and motivate user departments through active participation, training and awareness programmes and nurturing of the areas.

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3. Eligibility/Target Groups

ELIGIBILITY (ASIHSS)

Fresh assistance under ASIHSS may cover departments (in Humanities and Social Sciences) that have completed successfully a five- year term under SAP (at the minimum level of CAS/DSA/DRS) and are recommended for continuation for a further period of five years on the basis of their performance in research and teaching .

It would be desirable that the department should have at least one Professor, two Readers and three Lecturers in the identified thrust areas. The strength of the group research activities may also be looked into.

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4. Nature of Assistance

DURATION OF THE PROGRAMME(ASIHSS)

The duration of the Assistance for Strengthening of Infrastructure in Humanities & Social Sciences (ASIHSS) Programme is upto the end of Xth Plan period. The effective date of implementation will be from 1st April of the following year . The department will have to accept and implement the programme within 6 months from the day of receipt of the approval or from the effective date of implementation, i.e., 1st of April of the following year, based on the date of approval letter as communicated by the UGC, otherwise, the UGC may terminate the programme without assigning any reason. The decision of the UGC is final in this aspect.

OF ASSISTANCE

The financial inputs may be provided in the form of four major categories namely (i) common facilities; (ii) major facilities; (iii) annual recurring / working / maintenance grant; (iv) special purpose grant (additional to the allocation under the programme based on merit and departmental performance on the availability of resources for encouragement of the department/university). The limits of financial assistance under the programme shall be Rs.60.00 lakhs. The maximum limit does not mean that each department will be provided this amount. However, the department will have to submit the proposal for consideration of the support restricting this amount. The most essential and critical needs which are to be decided by the expert committees under operation of the programme will be finalized based on the availability of funds with the UGC. The financial assistance will be provided for non-recurring as well as recurring items of expenditure.

WORKING EXPENSES, BOOKS, JOURNALS ETC. (RECURRING)

The UGC provides and sanctions money for essential recurring items including books / journals, seminars, hiring the services ( technical/ industrial/secretarial as relevant to the programme), working expenses, travel, visiting fellows, field facilities / field trips, consumables, holding of Advisory Committee meetings, maintenance or rate contract at the rate of 5% of the equipment cost (after expiry of the warranty / guarantee period) for the major approved equipment for a period of four years, limited faculty / maintenance assistant etc., ( 1 Professor or 1 Reader ).

The UGC assistance for the payment of salary for the posts approved, if any, will be from their date of appointment upto the date of completion of the approved duration of the programme. Thereafter, the State Government / University will have to take over the recurring liabilities. The UGC will not be responsible legally or financially for continuation of the filled up posts. Further that the UGC approval for vacant posts will lapse on the date of completion of the approved duration of the programme. However, the recurring grant for books, seminars, working expenses and maintenance would not be provided for the year if it is not claimed at least during the succeeding year.

The seminar grants , if approved, may however be pooled together to organize one or two excellent but not routine type of seminar / conference / workshop with the permission of the UGC. The departments are , therefore , advised to render accounts for the earlier recurring grant and claim recurring grant for the year immediately after the year is over so that it does not lapse. The claim for other recurring items , as provided under the programme , will be considered based on the terms and conditions of the grant as prevailing in the UGC. The department will submit a detailed year-wise statement of expenditure of grant with utilization certificate ( UC ) , duly signed by the Registrar / Finance Officer or Competent authority for release of further grants. One page write-up on academic teaching and research collaborating / existing activities for the year followed by the copy of the resolution of the Advisory Committee may be submitted in the prescribed format for such purpose.

HOUSING AND INSTALLATION OF EQUIPMENT

Building grant upto to Rs.15.00 lakhs may be provided for housing and installation of the new equipment for infrastructural development , approved under the programme and for making space and augmentation / extension / addition/ alteration / renovation of the laboratory facilities. This one time grant will be released in instalments after receipt of the estimate prepared by the University Engineer / Building Committee and duly forwarded by the university for consideration of the UGC.

The major facilities include equipment and infrastructure development and other related items such as books and journals, creation of patent promotion and archival cell.

A list of admissible items which may be considered within the financial limit, is enclosed as Annexure-II .

ADDITIONAL GRANTS

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

1. MAINTENANCE GRANT
   
   

   The Commission may provide maintenance grant on rate contract basis upto 5% of the equipment cost for the remaining period of the programme after the guarantee/warranty period is over. The proof of the warranty /guarantee is to be supplied in such cases. After the completion of the term, the University will have to assume responsibility for maintenance of the equipment purchased under this programme. The Expert committees are expected to ensure that the equipment which is already there in the Department and not obsolete may not be recommended further for purchase under the programme .
   
   The supported departments will submit the requests in the prescribed form Annexure-VIII for consideration of the UGC.

2. SUMMER INSTITUTE AND REFRESHER COURSES

   Support may be provided to conduct a Summer Institute of four weeks for teachers of neighbouring Universities and Colleges under the programme also for organizing Refresher courses

   1. Eminent teachers, personalities and social scientists from universities, social organizations / N.G.Os and industry may be invited for the proposed summer institute for giving lectures. The theme must have relevance to the areas covered under the programme.
      
      A copy of the proposal may be sent to the UGC ASIST Bureau which will be forwarded by the UGC to the Advisory Committee Expert (UGC nominees) for their consideration and approval.

   2. The duration of the Summer Institute will be of 4 weeks.

   3. The total number of participants, including Resource persons and teachers from neighbouring University/Colleges should be 25-50.

   4. The Commission will provide TA/DA and Honorarium etc. as per norms of expenditure as applicable to Refresher Courses in the Academic Staff College.

   5. The department would write and contact the relevant University and college between January and March every year so that proper persons are selected for Summer Institute.

   6. The required amount for the Refresher Course/Summer Institute or for conducting Consortium in the subject area may be provided out of the funds available for Academic Staff College.
      
      If , however , funds are not available from Academic Staff College, the support may be provided from the Programme as additional grants.

3. ATTACHMENT OF STUDENTS (MASTER'S DEGREE PART-I AND BACHELOR'S PART-II)
   
   

   1. Four meritorious students from Master's Part-I (appeared in examination) and two Bachelor's Part-II (appeared in examination) students per annum from neighbouring Universities/Colleges will be attached to the supported department for six weeks to provide them research experiences. 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 each student with second class rail/bus fare on actuals per month for attachment along with contingency amount of Rs.5000/- 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 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 teachers. Thus mobility is ensured.

   3. The department should write and contact the relevant University/College between January and March every year so that eligible students are selected on merit for research attachment.

4. INTERNATIONAL COLLABORATION FOR RESEARCH
   
   

   1. The University Grants Commission, on the basis of the recommendations of the University and the Advisory Committee in the presence of the Chairperson of the Advisory Committee (Vice Chancellor) and the outside experts (UGC nominees) , may consider a well defined collaborative research programme for sending upto two teachers in a year from the supported department 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 with 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 sub mit their phasewise programme of going abroad along with the type of work they are interested in taking up in that phase.The department will also mention any other support being enjoyed under such collaboration. An Agreement on the above collaborative programmes , mentioning details of area(s) to be undertaken in the collaboration, possible time -frame, phasewise 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 - ASIST Bureau for consideration , approval and implementation accordingly.

   2. The Commission will provide assistance to each collaborating ASIST department to the extent of Rs.3,00,000/- per year (as an additional grant on availability) for collaboration with an identified University department in a foreign country. The assistance will be for the following purposes:

   1. To provide air fare to two teachers of the supported department and to provide local hospitality and travel to two teachers of foreign collaborating University on the same scale as applicable in the cultural exchange programme of the UGC.

   2. Local hospitality for teachers from the supported department will be met by the foreign collaborating University according to the norms of the foreign collaborating University .

   3. Air fare of the teacher from foreign collaborating University 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 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 the department and foreign collaborating University duly forwarded by the Vice-Chancellor, Chaired in the Advisory Committee as the Chairperson of the Committee where the presence of UGC expert nominee(s) are also required .

5. OVERHEAD CHARGES
   
   

   The UGC may provide additional grant to the tune of 10% (ten per cent) of the total allocation (Non-recurring and Recurring) approved to a department under the Programme subject to a maximum of Rs.2.00 lakhs (Rupees two lakhs only) 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 .
   
   The above decision is effective from 1^st April,2000 with the following conditions:-
   
   

   1. The University concerned should not deduct any amount in advance for overhead charges out of the amount / items approved and sanctioned for implementing the Programme. Since the provision of Overhead Charges is an additional grant over and above the total allocation, the payment of grants for Overhead Charges will depend on the availability of funds under the Programme in the year of demand.

   2. The universities concerned should submit a separate statement of actual expenditure incurred on the items as approved and mentioned under the Overhead Charges head. The UGC will not pay any grants for the expenditure incurred other than the items approved under this head.

6. REGARDING UNSPENT BALANCE
   
   

   Since this assistance is for one term only, the unspent balance of Recurring and Non-Recurring grants as on the date of completion of the programme, may be refunded to the UGC OR the amount may be adjusted against the grants to be paid to the University for other programmes of the UGC.

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5. Procedure for Applying for the ASIHSS Programme

In the first instance the UGC will circulate guidelines to all eligible Universities. Proposal for induction under the Programme will be invited by the UGC from the SAP supported on-going departments of Social Sciences & Humanities as stated in the guidelines.

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6. Procedure for Approval of the UGC

The UGC will invite proposal for ASIHSS Programme in the prescribed form from the eligible on-going SAP (CAS/DSA/DRS) Departments in Humanities & Social Sciences . Thereafter, two or three senior faculty members including Head of the Department, will be invited to present their proposals before the Expert Evaluation/Assessment/Induction Committee in the UGC Office, New Delhi.

The Expert / Induction Committee, after presentation of the proposal and discussion with the departmental representative about their critical requirements etc., will finally decide on the induction or rejection of the proposal for support under ASIHSS Programme. The Committee will also recommend the financial inputs to be provided to the departments finally selected within the financial limit for further consideration by the UGC. The Committee will give its Report/Recommendations in the prescribed form ( Annexure II).

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7. Procedure for Relase of Grants by the UGC

Recommendations / decisions of the Subject Experts / Induction Committee are finally approved by the UGC. Thereafter, approval of the UGC will be conveyed to the finally selected / inducted Departments / University for financial assistance.

On receipt of the acceptance of terms and conditions of grants attached to the approval letter as well as stipulated in the approval letter, duly signed by the Registrar of the University, the UGC will process the sanction of first instalment of admissible Non-Recurring and Recurring (for one year) grants according to the availability of funds under the programme.

Certain conditions for receipt of the grants under the programme

1. Year-wise and item-wise statement of actual expenditure incurred against the grant paid for the previous year in the prescribed Proforma Annexure-III, duly signed by the Registrar and Finance Office and Coordinator of the programme.

2. Utilization Certificate in the prescribed form Annexure-IV , duly signed by the Registrar and Finance Office 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.

3. Annual Progress Report in the prescribed format (Annexure-V) with a copy of the proceedings of the Advisory Committee meeting, highlighting the specific observations / comments of the outside experts (UGC nominees)

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8. Procedure for Monitoring the Progress of the Scheme

Monitoring / Evaluation and Review of the progress, performance, achievements made by the supported Department under the Programme is done through the following Committees :-

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GENERAL TERMS OF REFERENCE OF THE ADVISORY COMMITTEE

1. The Advisory Committee will play an active role for the full - term or co-terminus with the programme.

2. The Advisory Committee shall meet atleast once a year and the dates for the meeting should be fixed well in advance so as to ensure participation by the UGC nominees/ outside experts. For having both SAP and ASIHSS programmes in the same department, the Joint Advisory Committee, if any already available, may continue to function till one is over.

3. 1. The Advisory Committee will monitor and review the academic teaching, research, collaborative, extension and future programmes, procurement of the equipments, construction of the building for housing of the equipment or as allocated by the UGC, monitoring and evaluation of the research work and achievements in the thrust areas concerned. 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. Under international collaborative programme, the Advisory Committee may consider well-defined research programme of mutual exchange for sending two teachers every year from the department to the identified foreign university/research institute for a period of 2 to 6 months.

   3. The Advisory Committee will also look into the scope of the courses from time to time and may take steps.

4. 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 treated as an additional grant. The Advisory Committee should suggest proper use of such amount for the approval of the UGC and this may be recorded and shown in the annual account of the university.

5. The Committee will look into the modifications of the identified thrust areas made, if any. The experts may write a separate note about the deviation, modifications or problems, if any.

6. The programme Coordinator may go ahead with the procurement of the facilities / major equipment sanctioned under the programme after the approval of the Advisory Committee ,Chaired by the Vice Chancellor and represented by UGC nominees. The item should not again be placed for approval by the Executive Committee of the University in order to avoid the delay in executing the programme. The programme is time-bound.

7. The Advisory Committee may constitute a Purchase Committee, from within the Advisory Committee members, say two teachers and a UGC nominee (expert member). The recommendation of this Committee , as per allocation made , be considered by the Advisory Committee and steps be taken by the Coordinator.

8. The UGC nominees may, if they so desire, bring to the notice of the Chairperson / Vice-Chairperson , UGC, any matter related to the functioning of the departments which need specific attention of the UGC to help in the fulfillment of the objectives of the programme.

9. The Advisory Committee would , generally , function as a guide and monitor and also act as a liaison between the department and the UGC and advise to promote proper implementation of the programmes and help in realization of the objective of these schemes

10. The expenditure towards the Advisory Committee meeting on TA/ DA/(Air /Train fare ( Economy Class / AC-II ) for outside experts will be from the programme funds. A separate allocation may be made for the meeting.

11. If the UGC nominee is absent in the Advisory Committee meeting due to unavoidable reasons, the nominee may kindly be asked to give opinion in case the nominee differs from the decision of the Committee. This opinion shall be considered in the next meeting or by the Vice Chancellor in case of emergency.

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B. Mid-term Evaluation/Monitoring / Review Committee

The Mid-term monitoring and review is applicable to the departments completing more than 2 years w.e.f. the date of implementation or as communicated by the UGC. For optimizing the efficiency and usefulness of the programme, the Expert Monitoring and Review or Mid-term Committee constituted by the Commission will evaluate and review the academic, research achievements and progress of the work done and functioning of the department after completion of two years of support either regionally or as decided by the UGC.This mid term monitoring and evaluation is in addition to the Annual Advisory Committee meeting with two UGC nominees. On the basis of the report of the committee, a decision will be taken by the Commission and may be conveyed accordingly.

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DETAILS FOR MID-TERM MONITORING AND EVALUATION COMMITTEE

1. The department will submit a progress report in the prescribed format Annexure-V. The UGC will 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.

2. The above Committee will review the mid-term progress and activities and also receive the minutes of the Advisory Committee and the action taken therein as per the recommendations of the Advisory Committee and decision of the UGC

3. The Committee will submit the report as usual 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 is given, the status of the Coordinators, thrust areas identified or modified, other emerging areas relevant to the programme.

4. Normally no financial commitment will be made by the Committee. However, the Committee may highlight any specific point or comments which they intend to make for the smooth implementation of the programme for which the matter may be placed to the authority of the UGC.

5. This Committee will also monitor the progress and performance including Utilization of funds provided, if any, under the Programme .

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C. END -TERM/FINAL REVIEW COMMITTEE

At the end of the tenure of the programme with effect from the date of implementation or as communicated by the UGC, every department under ASIHSS will be subjected to an assessment and full-term review to be undertaken by the UGC Expert Review and Assessment Committee for evaluation of the overall progress and achievements made during the period as per terms of reference of the Committee for the purpose. The department will submit final progress report, academic and research achievements, infrastructure and facilities created, utilization of funds etc. through a format in advance . This assessment is done through presentation of the progress of work by the Coordinator and one or two senior professor(s) of the department to represent other areas too before the Committee. The two UGC nominated experts in the Advisory Committee will also send a Report with specific comments about the department, its progress and achievements in research, teaching, extension activities, its functioning, administrative and financial status for further consideration.

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9. Annexures

Format for Inviting Proposal for Fresh Induction Under ASIHSS Programme

Evaluation/Recommendations Indication Sheet

Progress Report of Expenditure

Utilization Certificate

Format for Progress Report for Mid Term/Final Review

Appendix to Annexure VI

Statement of the Academic or Non-Academic

Proforma for the Claim of Maintenance (Equipment) Grant Under ASIHSS

Proforma for Submitting Utilization Certificate in Respect of Building (Renovation, addition, alteration and air-conditioning of existing building)

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