Financial Support

Assistance for Strengthening of Infrastructure for Science and Technology under Assist 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 | Format | Annexures

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2. Objectives

The basic objective of ASIST is to assist selected science , engineering and technology departments in the universities which have already exhibited and achieved high quality performance to enable them to acquire such costly major equipment which cannot be approved out of SAP grants, or normal university development grants, so that the attainment of excellence in post graduate education and research in the department is not handicapped due to the non-availability of such equipment. The specific objectives for ASIST are as follows :

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3. Eligibility/Target Groups

Eligibility (Asisst)

Fresh assistance under ASIST may cover departments (in science, engineering and technology ) that have completed successfully a five- year term under SAP (at the minimum level of DRS/DSA) 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 and Duration

DURATION OF THE PROGRAMME(ASIST)

The duration of the Assistance for Strengthening of Infrastructure for Science and Technology Programme (ASIST) 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 UGC decision is final in this aspect.

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HOUSING AND INSTALLATION OF EQUIPMENTS

As such, no building grant will be provided but for housing and installation of the new equipment , approved under the programme and for making space and augmentation / extension / addition/ alteration / renovation of the laboratory facilities upto Rs.15 lakhs may be provided. 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 other related items including books and journals, creation of patent promotion and archival cell ( storing , protecting, exploitation of R and D - technology - scientific output data ) . For patent filing and awareness, industrial and commercial applications and other miscellaneous items for bringing innovation, breakthrough, utilisation of the output may also be encouraged.

The major equipment will be provided specially when the major equipment and major facilities will not be available from SAP or other sources, but are essentially required for continuation of the activity, or for replacement of obsolete major equipment earlier provided but not working or un-repairable, or required for interfacing with the agencies, or for joint R and D facilities with users sectors and industry participation. This will be provided as per discretion of the Commission.

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 financial assistance is upto the end of the Xth Plan . 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-IXfor consideration of the UGC.

2. Industrial, Foreign and Collaborative Research
   
   

   In addition to the sanctions under the limits, the UGC provides funds upto a maximum of Rs.7 lakhs as a one time additional grant on merit if the department is able to obtain funds from non UGC sources including industries, foreign/state collaborative or sponsored projects, for generating resource of more than Rs.50 lakhs in the five year period. This money shall be used only for equipment and other facilities not available in the department. UGC's decision is final on the availability of funds. The proposal also should be within the duration of the period under the programme.

3. Summer Institute and Refresher Courses
   
   

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

   1. Eminent teachers and scientists from universities, national labs and industries 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.

4. 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 to each student 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 of every year so that eligible students are selected on merit for research attachment.

5. 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 Chairman 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 . 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 interested to take 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, 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.

   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 or Research Institute 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/research Institute 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/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 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/Research Institute 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 .

6. 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 of the programme.

   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.

7. Additional Equipment Grant to Meet the Escalation in Foreign Exchange Rates
   
   

   In the event of devaluation of rupee value against foreign currencies the cost of most of the sophisticated equipments are also increased 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 supported department will have to submit detailed information and bank document and 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.

8. 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 programme of the UGC.

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   5. Procedure for Applying for the Assist 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 Science, Engineering and Technology as stated in the guidelines.

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   6. Procedure for Approval by the UGC
   
   The UGC will invite proposal for ASIST Programme in the prescribed format from the eligible on-going SAP (CAS/DSA/DRS) Departments in Sciences, Engineering and Technology who have not received the COSIST Assistance (Now ASIST) earlier. 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 induction or rejection of the proposal for support under ASIST Programme. The Committee will also recommend the financial inputs to be provided to finally selected departments 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.

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   Certain conditions for receipt of the grants under the programme

   1. 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 supported Department within the University for successful implementation of the programme within the approved duration and grants.

   2. The general terms and conditions as applicable from time to time for UGC assistance holds good and are applicable.

   3. The University/Department will take action to communicate or hand over the following information, documents :

   1. Letter of acceptance of the terms and conditions of the grant and the programme by the Registrar of the University and the Coordinator.

   2. The University Department would implement the programme in accordance with the guidelines of the UGC and follow the same under the programme. A certificate in this regard may be provided .

   3. The University and Department will also intimate the name of the officer who will receive the grant on behalf of the University for the programme. A separate account for the grant under the programme is essentially to be maintained with intimation to the University authorities / UGC .

   4. The name of the bank and account number ( for the programme) with detailed address may be submitted / intimated, to receive financial support under the programme.

   5. The Head of the Department who will be the Coordinator of the programme should have the freedom to place orders and act as per directions of Advisory Committee . The Advisory Committee, if it so feels, may constitute a purchase committee to deal with the matter.

   6. In case where University and Department is unable to obey the guidelines, serious action may be taken and the grants will be withheld or the funds may be refunded or even the programme may be withdrawn, if the guidelines are not reasonably complied with. There may be a test check by the Statutory Auditor of the University / Auditor and Comptroller General of India, Government of India for the funds so provided.

   Second and subsequent instalment of grants will be sanctioned only on receipt of he following documents :-

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

   2. Utilization Certificate in the prescribed form Annexure V , 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-VI 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 Programme
   
   Monitoring / Evaluation and Review of the progress, performance, achievements made by the supported Department under the Programme are done through the following Committees :-
   
   A - Advisory Committee
   B - Mid-term Monitoring/Review Committee (through SAP)
   C - End-term / Final Review Committee Committees)
   
   A. CONSTITUTION AND FUNCTIONING OF THE ADVISORY COMMITTEE WITH UGC NOMINEES
   
   (This will be mandatory )
   
   There must be an Advisory Committee for every ASIST supported Department. The Advisory Committee is headed by the Vice-Chancellor and its membership includes the head of the department and the seniormost professor from the faculty members participating in research in each of the identified thrust areas under the programme alongwith a senior teacher involved in Under-Graduate and/or Post-Graduate teaching in areas other than the identified thrust areas. The UGC also nominates 2 outside experts as UGC nominee in the Advisory Committee. The Advisory Committee must meet at least once every year and if the department is not able to implement any of the recommendations of the Advisory Committee, reasons for this must be documented because the Expert Committee, which reviews the performance of the department at the end of the term , examines the proceedings of the Advisory Committee and the action taken on their recommendations.
   
   The present Head of the Department who will be the Coordinator does all the correspondence with the UGC and if the department is granted autonomy , the Coordinator is responsible for handling the UGC grant. If such a person reaches superannuation or retires during the period of the programme, the next Head of the Department would be designated as Coordinator . If there is rotation of Headship, it should not disturb the programme. For smooth implementation of the programme, a Deputy Co-ordinator may be appointed after consideration by the Advisory Committee so as to coordinate day-to-day activities under the programme specially when the coordinator is on long leave / visits abroad. The Vice Chancellor or the Advisory Committee may appoint the Deputy Coordinator, if not already identified by the Expert / Induction Committee.
   
   The complete Agenda of the meeting should be sent to the UGC well in advance. If found bsolutely necessary, a Senior Officer of the University Grants Commission may attend the meeting.

   GENERAL TERMS OF REFERENCE OF THE ADVISORY COMMITTEE

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

   2. Te 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 ASIST programmes in the same department, the Joint Advisory Committee, if any, already available may continue to function till one is over.

   3. a) The Advisory Committee will monitor and review the academic teaching, research, collaborative , extension and future programmes, procurement of the equipment, 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 .

      b) 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.
      
      c) 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 be 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 equipments 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 to 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 Chairman / Vice-Chairman, UGC, any matter related to the functioning of the departments which need specific attention of the UGC to help in the fulfilment 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 realization of the objective of these schemes.

   10. The expenditure towards the Advisory Committee meeting on TA/DA/Air/Train fare (AC-II / Economy Class) 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.
   
   Details for Mid-Term Monitoring and Evaluation Committee

   1. The department will submit a progress report in the prescribed format Annexure VIThe 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 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 as relevant to the programme.

   4. Normally no financial commitment will be made 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 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 .

   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 COSIST (Now ASIST) is 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 the 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
   
   Evaluation/Recommendations Induction Sheet
   
   Proforma for Additional Grants on Equipments due to Escalation in Foreign Exchange Rate
   
   Progress Report of Expenditure
   
   Utilization Certificate
   
   Format for Progress Report for Mid-Term/Final Review under Assist Programmes
   
   Report of the Expert Review Committee
   
   Statement of the Academic/Non-Academic Staff
   
   Proforma for the claim of Maintenance (Equipment)
   
   Proforma for Submitting Utilization Certificate in respect of Building (Renovation, addition, alteration and air-conditioning of existing laboratory)

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