Guidelines and Proforma for Submission of Proposal for Long Term Core Support

GUIDELINES AND PROFORMA FOR SUBMISSION OF PROPOSAL FOR LONG TERM CORE SUPPORT

SCIENCE FOR EQUITY, EMPOWERMENT & DEVELOPMENT DIVISION

Science for Equity, Empowerment & Development (SEED) Division Department of Science & Technology Ministry of Science & Technology Technology Bhawan, New Mehrauli Road New Delhi – 110 016 Website: www.dst.gov.in www.dsttara.in Department of Science and Technology SEED Division

Guidelines-cum- Proforma for submission of Project Proposal for Long Term Core Support under SEED Programme

A. INTRODUCTION:

Science and technology play a vital role in the development strategy of various sections of the society. Sufficiently long-term (about five to ten years subject to periodic review which may be extendable to fifteen years and more) support can be considered under Science for Equity, Empowerment and Development (SEED) programme of Department of Science & Technology (DST) for establishing S&T core groups around selected S & T based voluntary organizations especially in rural settings so that viable groups are set up in different parts of the country to cultivate S&T activities connected with generation, demonstration and application of rural technologies on continual basis. They will also be used for technology support and dissemination of information on R&D activities to address the location specific problems/needs. Such groups will have a core staff of a few scientists and technologists, aided by social scientists and researchers from academic and other institutions who would be able to attach themselves to this core group for short or long periods of time depending upon the nature of activities with which they are associated. Such support will provide opportunities to motivated scientists, engineers and field-level activists to take up challenges to work on emerging rural problems with inputs of science and technology for the benefit of disadvantaged sections of society.

B. ELIGIBILITY CONDITIONS:

Organizations eligible for receiving core grants under the SEED Programme are:

 S&T based voluntary organizations/institutions, which are working in the rural areas with legal status or as a society registered under the Societies Registration Act 1860 or a trust registered under the Indian Trusts Act 1982 or Charitable or Religious Act 1920 or under the corresponding State Act.

 Voluntary organizations/institutions with minimum 10 years field level experience in rural technology development and management. Should have delivered proven technology models through adaptive R & D as complete technology packages/business models for field level application.

 Having minimum infrastructure to work as core supported group (CSG), like land and demonstrate working relations with Panchayats/State Govt. from long-term sustainability point of view.

 The organization should have experience in handling projects having focus on S & T with support from scientific departments of Govt. of India.

 The organization has not been be blacklisted by any Central or State Government Department. 2 C. SCREENING AND SELECTION MECHANSISM:

A detailed review of the activities of each group based on proposal submitted will be undertaken in the following stages:

1. Applications for core support on prescribed format will be initially screened at the department level/presentation of proposal before the expert committee (1st level of screening). 2. On the spot assessment of activities (if recommended by the Expert Committee) and discussion on the proposal by the team of experts to assess and evaluate the strength of the organization for consideration of core support in terms of capability and delivery potential for proposed programme/activities (2nd level of screening). 3. Evaluation of the proposal alongwith on-the-spot assessment report of the visiting expert team by the Expert Committee. 4. Final decisions for providing financial support will be taken mainly on quality and merit of proposed core activities together with the credibility and past record of candidate voluntary organization(s) based on above selection criterion & the recommendations of expert committee. 5. Thus, core grant will be provided to such selected organizations who are capable to take up challenges to work on rural problems, and deliver at the field level with commitment to serve the community. It will be to retain crucial S & T manpower to work in rural areas through core support and to do adaptive R & D, and deliver at field level through innovative S & T based solutions.

D. OPERATION OF THE CORE SUPPORT SCHEME:

1. This scheme will be operated in the following flexible method:

a. Once the magnitude of core grant is decided with justification details as required to determine the amount, the grant will not be rigidly tied to specific items of expenditure so long as the main objectives of the programme and the total estimates are not changed. However, for such change approval from SEED, DST should be taken with proper justification. b. Certification on the basis of on the spot visits and / or group assessment of activities to assess the progress and performance by set of indicators by expert team and a certification on that basis would be adequate for release of funds annually. The continuation and level of core grant may further be decided for subsequent years based on the visit of the expert team/evaluation in group monitoring workshop. c. Auditing of expenditure by the Department’s accounts team would be considered in lieu of certification by Charted Accountants. d. Any assets created out of the government financial support may be donated to the Core Supported Groups (CSGs) on an undertaking to use the assets for rural development work in future, provided the activities and performance of the group are found satisfactory in larger public interest.

2. The level of core support to meet the recurring and non-recurring costs will be based on the requirements to carry out proposed activities to address the problem of particular 3 size of population and areas to be covered in a select time period. It will also be based on the performance trends & the outcome potential of the individual core supported group in terms of technology sectors covered and replicable technology packages developed for rural application and employment generation.

A core grant for such core group will, therefore, consist of:

a. A recurring grant for core staff and floating staff and maintenance of the infrastructure to continue core activities. b. Recurring grants towards consumables, travel, contingencies, experimentation and trainings related to identified core support activities. c. Small non-recurring grant for infrastructure, adaptive R&D, field testing and demonstration facilities,

E. GENERAL TERMS AND CONDITIONS:

1. Institutions/organization receiving funds would assume financial and legal administrative responsibility of the execution of the project. 2. International travel is not permissible under the core support. 3. Staff recruited for a project should be paid as per the rules of the institute and guidelines of the Government of India. 4. Specific terms & conditions for Organizations (if selected for Core Support under SEED Programme of DST at Annexure C)

F. INSTRUCTIONS TO BE FOLLOWED & DOCUMENTS/ENCLOSURES REQUIRED TO BE SUBMITTED ONLINE ALONGWITH THE PROPOSAL:

1. Please furnish one copy of the following documents*: i) Authenticated copy of valid registration certificate. ii) Memorandum of Association, Rules and Bylaws of the society. iii) Balance sheets, statement of Accounts and Annual report of the organization for the last 3 financial years. iv) Organization’s Unique ID in NGO Darpan Portal 2. Please furnish also 3 copies of the filled in format (Annexure ‘A’) including summary sheet (Annexure ‘B’). Please note that complete details should be provided in the format and it should be restricted to 15-20 pages only. 3. Do not skip reproduction of any section in the format even if the answer is “nil” or given elsewhere. 4. Count minimum 6-8 months from submission of the proposal to arrive at expected time point for final decision on the proposal for core support. Please site file number in all future correspondence. 5. Complete proposal with all necessary documents should be sent to Head (Science for Equity, Empowerment and Development Division), Department of Science and Technology, Technology Bhawan, New Mehrauli Road, New Delhi – 110 016. *These are essential and proposals received without the above documents will not be processed.

4 Annexure A PROFORMA FOR CORE SUPPORT (TO BE FILLED BY APPLICANT)

PART A (Please limit to 3-4 pages only)

DESCRIPTION ABOUT THE ORGANIZATION 1. Identification 1.1. Name of Organisation 1.2. Address with PIN CODE 1.3. Telegraphic Address 1.4. Telephone & Fax No. 1.5. E-mail Website: 2. Registration details Registered as Society / Trust 2.1. Date of first registration 2.2. Current registration number & date 3. Give an organization chart, job description and expertise of your organization. 4. Scientific Manpower* in position in the organization as on

S.N. NAME & HIGHEST SPECIALIZATION LINK WITH THE DATE DESIGNATION QUALIFICATION ORGANIZATION OF JOINING

*CLEARLY MENTIONING ABOUT FULL-TIME/PART TIME EMPLOYEES, RETAINED FOR A PROJECT, ON CONSULTANCY BASIS ETC.

5. Best Practices

i. Indicate how often governing body meets in a year, how often general body meets?

(Give the dates of most recent three formal meetings of the Governing Body and general body, place and number of members attending out of total number)

ii. Attach most recent three annual audit reports as presented to the governing body and approved, list the years here(reports should be placed during visit of the expert team).

5 iii. Indicate how many persons joined the organization how many left in the most recent three year period.

iv. Do you formally assess performance of your staff, how frequently is assessment made, who does the assessment, is the result shared with concerned member.

v. What measures and incentives are in place to attract new bright people to your organization and retain them.

vi. Do you price and sell your products and services or give that free to beneficiaries?

vii. Do you have your own marketing group or have access to consultancy services?

viii. What measures are in place to make your initiative financially self-reliant and sustainable in future - we are referring to funds you are seeking as core support (not R&D funds for specific projects or activity)

ix. Name one R & D/S & T institution, organization with whom you partnered in some successful technology led initiative; was there a MOU formally signed, what did the partners contribute to the initiative, what product was developed?

x. List three successful and proven technology models and related packages/products developed and commercialized, if any (Eg. New / Improved Machine or equipment / bio-product etc.)

List three successful technology models as complete package/ products developed and commercialized Specific Package/Product 1 Package/Product 2 Package/Product 3 Package/Product 4 Details Eg. Machine etc. 1. Developed during

2. Investment in R&D (Rs.)

3. Funded by

4. Launched in market on

5. Who was intended user 6. How is product distributed Franchised out to Other? 7. Is it sold on subsidized

6 price or without it

8. What is the product used for

9. Growth in number of users who bought the product since launch

10. Is the Patent no? product patented or branded, under what name it is sold

11. Who manufactures and markets the product now

12. Revenues from IPR

13. Plans for new models of the product Who will fund that or will it be funded from profits

7 PART B (Please limit to two pages only)

SOURCE OF FUNDS AND PERMANENT FACILITIES

1. Please give details of agencies (national as well as international ) which gave funds, amount received, and purpose for which they were utilized in the format given below for the last five years (Funds expected during the next five years are also to be shown). Copy of sanction letters to be annexed.

S.N. AGENCY AMOUNT YEAR PURPOSE– Project details 1. 2.

2. Description about permanent facilities (land, equipments, building etc.) & how these are proposed to be utilized in the next five years to work as a core supported group (CSG).

S.N. ITEM YEAR OF PURPOSE FOR SOURCE OF CREATION / WHICH USED FUNDING PROCUREMENT 1.

8 PART C (Please limit to four-five pages only)

DESCRIPTION OF ACHIEVEMENTS & PROPOSED ACTIVITIES

1. Please describe briefly your activities for the last five years highlighting the S&T interventions with details for the following:

S.N. ACTIVITIES BRIEF DETAILS (with quantitative figures if possible) 1. Expertise developed (training, projects undertaken etc.) 2. Technologies developed and disseminated/innovations 3. Business model(s) developed

4. Dissemination of technologies and participatory approaches 5. Areas of influence (village/block/district) etc. 6. Involvement of beneficiaries and local organizations 7. Involvement in district and state level planning 8. Training programmes/workshops organized 9. Publications – training manual, contributions to magazines and journals 10. Visit of villagers to your group 11. Technology benefits to society 12. Patent granted, if any 13. Award/Recognition for technology development & dissemination 14. Linkages with S&T institutions/resource persons/R&D agencies for technical back up

9 2. What will be your programmes focusing on technology development and delivery for rural application in farm as well as non farm sectors 10 years from now? What will be the changes with respect to the current programmes?

3. How does your programme integrate with activities of other voluntary groups, government and public bodies to benefit and empower rural population in your area of work? Please indicate geographical coverage (villages/blocks & districts covered) with details about location of field units/offices, and locations of projects handled in last five years. Show linkages in a chart form.

4. What is the level of scientific awareness, technology intervention, delivery and management in your group? What are you doing to strengthen and upgrade them?

5. What are the most important technological interventions/innovations you are proud of? Please elaborate best four out of them in terms of innovativeness, outreach and adoption by the community?

6. List the programmes & specific problems on which your group will focus itself in next five years, if core group support is approved (The focus should be emphasizing on technological innovations and development of replicable technology packages for rural application and micro-enterprise development).

10 PROPOSED MEANS OF S.NO. ACTIVITY(4-5 YEAR LIKELY DELIVERABLES VERIFICATION only) Technology Trainings/demo. Time 1. Technology package(s)/produc Technology Line adoption & outreach t etc. dissemination to the local etc. community/NGOs/by State Govt. etc. 2.

7. Suggested parameters (6-8) for monitoring effectiveness of core supported activities.

a. Business model developed b. Patent granted, if any c. Technology delivery to other VOs/State level agencies. d. e.

PART D (Please limit to 3 pages only)

BUDGET DETAILS 1. Manpower in position at present for organization as a whole.

S.NO. CATEGORY NOS. OF POSTS EXPENDITURE REMARKS (ANNUAL)

2. Administrative expenses : Actual for past 5 years and estimated for next 5 years 3. Estimate of Core Support required year-wise (for next five years)

11 A. RECURRING: 1. MANPOWER (core team of scientists/engineers/technical support staff including social scientist – total not more than five)

Designation Monthly BUDGET (Rs. in lakhs) (Number of persons) Emoluments (Rs.) Year 1st 2nd 3rd 4th 5th Total

i. ii.

(Only NET qualified candidates will be considered as JRF/SRF)

2. CONSUMABLES (Supplies/Materials for adaptive R&D/technology refinement and field testing etc.)

Description Budget (Rs. in Lakhs) Year

1st 2nd 3rd 4th 5th Total Items i. ii. Total 3. TRAVEL

Item Budget (Rs. in lakhs) Year

1st 2nd 3rd 4th 5th Total 1. Local 2. Out Station ______Total (International travel is not permitted)

4. ADAPTIVE R & D, FIELD TESTING/DEMONSTRATION, TECHNOLOGY DISSEMINATION, DOCUMENTATION & TRAINING

Item Budget (Rs. in Lakhs) Year

1st 2nd 3rd 4th 5th Total 1. Adaptive R & D 2. Field Testing/demonstration 3. Technology dissemination

12 4. Documentation & Training (Topic, purpose, no. of trainings/yr., duration of training days, level of Participation, cost/training) ______Total

B. NON RECURRING: (Small grant only for essential permanent equipment and work shed):

BUDGET FOR PERMANENT EQUIPMENT / WORK SHED/ STRUCTURES ETC.* Equipment / Item details Estimated Cost (Rs.)

1. 2. ______Total *. Budgetary quotations will be required in support of estimates for equipments, if project is approved for financial support. (Pl. give estimates, if the equipment is to be fabricated locally for prototype testing etc). Include installation charges, transport, taxes/duties/levies, etc. Please try to avail tax/duty exemptions as applicable to your institution/organization. Proper record should be maintained for the items procured under this Head.

1. Budget should be realistic based on the requirements to carry out proposed activities to address the problem of particular size of population and areas to be covered in a select time period core support. Please give brief justification for each item proposed under different budget heads.

2. Financial Year: April to March

13 PART E

CERTIFICATE

1. This is to certify that the information given above is true to the best of my knowledge and belief 2. We agree to abide by the terms and conditions of the grant set forth by the Department of Science & Technology. 3. Certified that the equipment, other basic facilities and such other administrative facilities as per terms and conditions of the grant, will be extended to Core team throughout the duration of the core support. 4. Institute assures financial and other managerial responsibilities of the Core project. 5. Certified that the organization has never been blacklisted by any department of the State Government or Central Government. 6. We have not applied for similar support to any other agency/ department.

DATE : (HEAD OF ORGANISATION) Name & Signature with seal

PLACE :

14 Annexure B SUMMARY (Please limit to 2-3 pages only)

1. Name & address of Organization:

2. Date of Registration:

3. Brief details of projects ongoing / completed during last five years highlighting the S&T interventions with quantitative figures (expertise developed, technologies developed and disseminated/innovations, business model(s) developed, dissemination of technologies and participatory approaches, areas of influence -village/block/district etc.)

4. List 4-5 proposed activities on which your group will focus itself in next five years (in reference to Part C (item no. 6 ), if core support is approved:

5. Scientific manpower in position in the organization as on:

S.N. NAME & HIGHEST SPECIALIZATION LINK WITH THE DATE DESIGNATION QUALIFICATION ORGANIZATION OF JOINING

6. Pattern of expenditure for last five years

S.N. FUNDING AMOUNT YEAR PURPOSE AGENCY

7. Operational area of work(villages/blocks/districts)

8. Estimated year-wise budget required for next five years:

BUDGET ESTIMATES: SUMMARY (Rs. in lakhs) Item Budget ______1st 2nd 3rd 4th 5th Total A. Recurring 1. Manpower 2. Consumables 3. Travel 4. Adaptive R & D, Field Testing/Demonstration, Technology Dissemination, Documentation & Training 5. Contingencies/Other cost 6. Institutional Overheads

B. Non-Recurring Permanent equipment / item Grand Total (A+B) *Please indicate authorized office bearer of the organization with detailed mailing address under whose name sanction is to be issued, if proposal for core grant is approved.

15 Annexure ‘C’

Department of Science & Technology Science for Equity, Empowerment & Development Division (SEED)

Terms and Conditions for Organizations selected for Core Support under SEED Programme of DST:

1. The focus of the programme as given below will be adhered to: o Innovation (i.e. technology development/adaptation) & developing viable working technology system(s). o Long-term Action Research Programmes with defined goals and timeline for field testing and adoption rather than “institutional support”. o Field testing and propagation of technologies developed under projects funded by DST, DBT, ICAR, ICMR, DRDO, DSIR, etc. o Demonstrable replicability and enterprise models: shift to non farm and service sectors with adequate attention to farm sector for improved rural livelihoods.

2. Manpower sanctioned under core support should have relevant qualifications and experience/expertise against each sanctioned post which should be relevant to activities proposed for initial five years and/or subsequent period of support. Core Team Leader/Senior Program Officer (SPO) should have PhD Engineering/ Sciences/ Medicine/ Pharma or PG in Engineering/ Sciences/ Medicine/ Pharma with minimum 5 years of field experience in technology development and delivery in rural settings/ implementing S&T based projects/programs for societal application. Program Officer (PO) should have Ph.D Engineering/ Sciences/ Medicine/ Pharma or PG in Engineering/Medicine/ Pharma or Graduate in Engineering/ Medicine/ Pharma, and Post Graduates in Science with minimum 3 years of experience in handling S&T based societal projects. Program Professionals (PP) should have PG in Science or Graduate in Engineering/ Medicine, or Graduate in Science/Social Science/ Rural Management/ ICT with minimum 5 years of experience in implementing S & T based societal projects. While, Technical Assistant/

16 Supervisor/ Construction Specialist/ Social Animator/ Field Assistant/ Supervisor should be Graduate in Science/ Social Science or Diploma holder in any discipline with minimum 3 years of experience in implementing S&T based societal projects.

3. Core Manpower should have at least 50% new young personnel willing to work in rural areas. Organization should evolve an appropriate mechanism with incentives etc. to retain and nurture core manpower at least for 3-4 years to ensure timely delivery of expected outcome. Recruitment of women candidates as member of the core team should be encouraged.

4. Core manpower will work for full time in project mode as per organizations rules and regulation, and not as employee(s) of Department of Science and Technology (GOI). Manpower under core support may also be utilized in implementing not more than three other projects simultaneously ensuring working and delivery related to core activities are not affected. Such core team staff member will not draw salary from other projects, but may receive honorarium for specific activities. Core support should also be utilized to dream and visualize innovative ideas and activities.

5. Minimum Infrastructure and support services to core manpower should be the responsibility of the organization. Each organization should also strengthen networking with KVKs, smaller VOs in respective area of influence for large scale technology dissemination and other outreach activities. Also, CSGs would catalyze and promote capacity building of these partner VOs.

6. Core support to the organization is long term support i.e. five to ten years & extendable to fifteen years and more. But, its continuation and financial support will depend on evaluation of progress and assessment by expert team from time to time. Non performance may lead to stoppage of core grant/disqualification for

17 further core support.

7. After receipt of core grant, signed bio-data and joining details about the core manpower recruited should be intimated to SEED Division, DST within three months.

8. Progress report along with audited statement of expenditure and utilization certificate as per timeline for each financial year should be submitted each year.

9. Unspent balance and interest accrued at the end of each financial year should also be reported and permission may be sought to carry forward the balance to the next financial year.

10. Assets/facilities created during the period of core support will be used by the intended beneficiaries during implementation period, and even after completion of the core support.

11. DST (SEED Division) will be immediately informed in case any member of the core team leaves the organization.

12. All equipments and other field assets, banners, boards, manuals, reports etc. will carry the credit as ‘Catalyzed & Supported under Core Support Programme, Science for Equity, Empowerment & Development Division, Dept. of Science & Technology, New Delhi’.

13. An official of DST will be invited to attend the meetings of the executive body of the organization, wherein progress and expenditure details related to core activities are discussed. DST will nominate a suitable officer for this purpose.

14. DST will be kept informed about projects funded by other agencies. Accounts of such projects should be separately maintained.

15. DST will be authorized to conduct audit and inspection of the Core Support at any time and the Core team will facilitate such 18 audit or inspection

16. Each training activity should be properly documented along with the subject matter, content of training, names of trainers and names of participants along with their address, place and date(s) of training.

17. Each member of the core team should maintain a log book recording the tasks performed by him/her on a day to day basis.

18. Proper documentation should be maintained in respect of activities taken up by the core support group as each new idea being pursued, expenses incurred in processing the idea, person involved, equipment proposed etc.

19. Benefits accrued to society / beneficiaries, directly or indirectly should be documented.

20. Project implementing agency/organization will be responsible in case of any legal dispute between the agency/organization and core project staff. DST will not be liable for such legal cases of disputes.

We agree to the above terms and conditions.

Date: ( ) Place: Signature with seal Head of the Organization