Ecology and Environment :

Kerala State Council for Science Technology and Environment has constituted this scheme for the purpose of providing assistance in the form of grants to scientists and technologists for scientific/research work with particular relevance to the State of Kerala on the Environmental Problems and issues. Grants will be provided to specific projects to cover expenditure on manpower, equipment, consumables, contingencies and travel under this scheme.

Introduction

The Kerala State Council for Science, Technology & Environment (KSCSTE) is an apex body which promotes R&D programmes in newly emerging and challenging areas of science and engineering by providing financial support for the implementation of the project proposals. (Research project)

The project which is approved for implementation is provided with a financial sanction which is subject to certain terms and conditions which are enclosed as Annexure with the first sanction order. The following guidelines assist for smooth implementation of the project in conformity with those terms and conditions.

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Guidelines

1. Submission of Projects

i The project proposals will be evaluated by the Research Committee for Ecology and Environment. The project proposals may be submitted throughout the year to facilitate smooth processing.
ii 15 copies of the project proposal along with a soft copy have to be submitted in the prescribed format to the Member Secretary, Kerala State Council for Science, Technology & Environment for funding.
iii Applications must have the endorsement from the Head of Institution and it should be forwarded by the Head of the Institution
iv The Maximum grant for a project shall be Rs 10 lakhs for three years excluding overheads. In addition, the host institution will be eligible for an overhead @ 10% of total expenditure.

Budget – Main heads
i. Man Power
a. Project Fellow @ 8000/month if eligible as per KSCSTE norms or Rs.5000/month, in other cases.
b. Technical Assistant @ 3000/month
ii Consumables
(Chemicals, glass wares, research materials etc.)
iii. Travel Rs. 10,000/year
(In exceptional cases when the study involves extensive traveling, this can be relaxed
iv. Contingencies Rs. 10,000/year
v. Equipment
vi. Overheads @ 10% of total expenditure -subject to a ceiling of Rs. one lakh.

After receiving the project proposal it will be acknowledged with a reference number and other instructions if any within two weeks. If the project proposal is as per the format and norms of Council it will be sent to referees for evaluation,. Otherwise, it will be returned to the PI. After getting the comments from referees and response from PI, the project proposals will be placed in the RC(E&E) for decision. If all the referees are negative, the P I may not be called for presentation in the RC(E&E).

2. Sanction order

i) Once the project is approved, a formal sanction order is issued to the P.I within one month. The total cost of the project is finalised based on the latest quotation(s) of equipment(s) approved under the project and other relevant documents related to manpower, contingencies etc. submitted by the Investigator. The first sanction order provides the detailed breakup of funds allocated under the different heads like Equipment, Manpower, Travel, Consumables, Contingencies etc.

ii) Copies of the sanction order with the terms and conditions annexed to it are sent to the Principal Investigator (PI) and the Head of the Institute (Registrar/ Director/ Comptroller etc.), a copy of which will be sent back to the Council duly signed by P.I and countersigned by Head of the Institution within 15 days of its receipt.
iii) Any correspondence with the Council regarding the project should invariably quote the reference number and date and should be addressed to the concerned official by name.
iv) After issue of the Council order, administration will take steps to effect the payment within 2 weeks. A copy of the letter issuing the cheque will be sent to the PI and all concerned within a week.
v) A format for submitting Utilization Certificate & Statement of Expenditure and progress reports are available in our website for reference.

3. Date of Commencement of Project & its Duration

i) The duration of the project is normally of 3 years and this is specified in the first sanction order.
ii) The project becomes operative with effect from the date of sanction order or receipt of the Draft/ Cheque by the implementing Institution. This date should be intimated by the Institution authorities/ Principal Investigator to the Council. It will, in no case be later than one month after the receipt of the draft/ cheque by the Institute.

4. Principal Investigator & Co-Investigator (s) and the Implementing Institution

i) The Principal Investigator (PI) has the primary responsibility of the implementation of the project. The project team consists of the PI, Co- Investigator(s) and the project personnel appointed as per the sanction order. It is necessary to ensure that the project is carried out by the project team in a cohesive manner. Periodic meetings of the team are essential for this purpose.
ii) In case of PIs who would be superannuating during the duration of the project, association of a "in service" Co-Investigator should be ensured. In such cases, the Institute authorities should inform to the Council, well in advance, about their "no objection" for providing the infrastructural facilities to the PI for implementation of the project after his superannuation.
iii) Having accepted the responsibility for the implementation of the project, the PI should be committed to implement the project over its duration and should have no plans to go on long leave.
iv) In case, the PI is shifting to another institution on new appointment/ transfer/ long term deputation, the project could be transferred to that institution with the mutual consent of both the institutions and of this Council. Such requests for transfer of the project should be sent well in advance and should be accompanied with 'No Objection' certificates from both the institutions and the Endorsement Certificate from the new Institution.
v) In case the PI leaves the project due to unforeseen circumstances, the Co-Investigator could be considered as the PI subject to the approval of the PI, Head of the Institute and this Department. Such a request should be sent at least 4-6 months in advance along with a detailed bio-data of the Co-Investigator.
vi) The PI as well as the implementing institution has the responsibility of informing the Council about any change in the status of the PI/ Co-Investigator including relieving them on short term deputation for a continuous period of 3 months or more.
vii) The implementing institution has an important role to play and in consultation with this Council should take steps to ensure successful completion of the project, before relieving the PI.
viii) The implementing Institute should provide full infrastructural facilities such as accommodation, water, electricity, library, communication facilities etc. for smooth implementation of the project.
ix) Normally only one project will be sanctioned to a Scientist at a time by the Council.

5. Project Staff

i) All the personnel including Research personnel appointed under the project, for the full/ part duration of the project, are to be treated as temporary employees and will be governed by the Administrative rules/ service conditions of the implementing Institute. No reference on these issues should be made to the Council. The Council will have no liability, whatsoever, for the project staff after completion of the project duration.
ii) Scale and emoluments for the posts not covered under this order are governed by norms prevalent in the implementing Institution or as may be decided by the Council.

6. Release of grants in yearly installment and financial management

i) The grants for the project are released on the basis of yearly requirements taking note of the technical progress and expenditure incurred. The first sanction order indicates the budgetary allocation for the duration of the project under various heads like Equipment, Manpower, Travel, Consumable, Contingency etc.
ii) The first installment of grant is released along with the first sanction order. It consists of the entire grant for the 'Equipment' and part of recurring grant including 'Overheads' for the first year of the project.
iii) Diversion of funds from equipment and Manpower etc. is normally not allowed. However, any reallocation/ reappropriation of grants under different heads requires prior approval of this Council.
iv) The Equipment sanctioned in the project should be procured at the earliest to avoid any cost escalation. The PI and the implementing Institute should complete all formalities in advance for placing the order.
v) Quarterly Progress reports will be sent as on 30th June, 30th September, 31st December and 31st March. In addition annual progress report (3 copies) will be submitted as on 31st March every year`.
vi) There should not be a gap in between the project period. The project has to be done continuously and it will end on expiry of approved duration.
vii) The recipient institution shall forward a utilization certificate and statement of expenditure (UC & SE) countersigned by the HOI to the effect that the grant has been utilized for the research works for which it was granted, to the Director, KSCSTE. The UC & SE shall be furnished on a financial year-to-year basis, i.e, ending 31st March each year. The institution should maintain separate audited accounts for the project.
viii) The subsequent installment of grant would be released annually on the basis of expenditure incurred in the previous financial year and expected expenditure in that year.
ix) However, any request for release of the next installment should be accompanied by the following documents:
a) Utilization Certificate and Statement of Expenditure for the previous financial year (in original or copy if sent earlier);
b) Latest authenticated Statement of Expenditure including Committed Expenditure, for expenditure since 1st April of that financial year till the previous month; and
c) Technical Annual Progress Report, if not sent earlier.
After receiving Utilization Certificate & Statement of Expenditure, if substantial funds are available as per the U.C, money will not be released. If the funds are nearing to be over during the middle of the year, a Statement of Expenditure should be submitted for the interim release of grant. The request for grants should however reach the Council at least 30 days in advance.
x) The unutilized portion of the grant amount at the end of the project period, shall be refunded to Council forthwith by DD in favour of Member Secretary, KSCSTE. In the case of project duration exceeding one year, the amount need not be refunded at the end of first or second year as the case may be, but the amount may be automatically carried foreward, unless otherwise it is specified.
xi) The Statement of Accounts and the Utilisation Certificates are financial year wise and are to be submitted within a period of 3 months from the 31st of March of that year. (ie. if date of start of the project is 12.01.2000, then the first statement of account and utilisation certificate will be for the period 12.01.2000 to 31.03.2000, the next statement will be for the period 01.04.2000 to 31.03.2001 and so on.)
xii) The implementing institute will maintain separate audited accounts for the project. Any interest earned should be reported to this Council and should be reflected in the Statement of Expenditure.
xiii) The institute will not entrust the implementation of the work for which the grant is being sanctioned to another institution nor will it divert the grant to other institute as assistance. In case the Institute is not able to implement the project, it should refund to this Council the entire grant or the balance grant at the earliest.
xiv) For permanent, semi-permanent or infrastructural assets acquired solely from the project grants, an audited record in the form of a register in the prescribed format shall be maintained by the Institute. The term "Assets" include (a) the immovable property acquired out of the grant; and (b) movable property of capital nature where the value exceeds Rs 1,000/-. The Institute is required to send to this Council list of assets acquired from the grant.
xv) The grant shall not be utilised for construction of any building unless specific provision is made for this purpose in the sanction order.
xvi) All the assets acquired from the grant will be the property of KSCSTE and should not be disposed off or encumbered or utilised for purpose other than those for which the grant had been sanctioned, without the prior sanction of this Council
xvii) After completion/ termination of the project, the KSCSTE will be free to sell or otherwise dispose off the assets which are the property of the Council. The Institute shall render to the Government necessary facilities for arranging the sale of these assets. The Council also has the discretion to gift the assets to the Institute or transfer them to any other Institute if it is considered appropriate and justified.
xviii) This Council reserves the right to terminate the project at any stage if it is convinced that the grant has not been properly utilised or appropriate progress is not being made.

7.Extension of the duration of the project

The will not be granted normally. In exceptional cases where the work could not be completed PI should submit request for extension in the prescribed format, 6months before completing the tenure and final decision by RC (E&E)

8.Reappropriation of funds

Re appropriation of funds. within the total budget may be approved based on the recommendation of R.C Re appropriation from man power and equipment will not be normally allowed.

9. Progress evaluation and Monitoring

i) The PI through the implementing Institute will furnish to this Council 5 copies of the Annual Technical Progress report of the work carried on the project on an annual basis. (ie. if the date of start of a project is 12.01.2000 the first Annual Technical Progress report shall be for the period 12.01.2000 to 31.01.2001, the next will be from 01.02.2001 to 31.01.2002 and so on).
ii) In addition, this Council may designate Scientist/ Specialist or an Expert Panel to visit the Institute periodically to review the progress of the work being carried out and to suggest suitable measures to ensure realisation of the objectives of the project. The implementing Institute will provide all facilities to the visiting scientist/ specialist or the Expert Panel by way of accommodation etc. at the time of their visit.
iii) This Council also organises Monitoring Workshops/ PAC meetings wherein the PIs/ Co-PIs and research staff are invited to present the technical progress of their project. The Investigators should attend such workshops since it provides an opportunity to review their progress based on which any mid term requests by the PIs for additional grants/ extension in duration etc. are considered by this Department. Subsequent releases of grant would be based on the reviewing and monitoring committees recommendations.
iv) On completion of the project, the PI through the Institute should send the following documents to this Council to enable us to settle the account:
a) 5 copies of the Project Completion Report in the prescribed format;
b) Consolidated audited statement of expenditure and utilisation certificates;
c) List of assets/ equipment in the prescribed format; and
d) DD/ cheque for any un-spent amount with the Institute.
e) Certificate from the Head of Institution to the effect that all the equipment purchased have been handed over to the Institution.
Completion report should be evaluated by referees with grading. A review should be arranged for all completed projects and overall grading awarded and communicated to Principal Investigator. The grading for the previous projects should be mentioned in the subsequent project proposal.
The un-spent balance should be sent through a Demand Draft drawn in favour of Member Secretary, Kerala State Council for Science,
`Technology and Environment Kerala State Council for Science, Technology and Environment, Sasthra Bhavan, payable at Trivandrum

10. Guidelines for publication of results

i) Investigators wishing to publish technical/ scientific papers based on the research work done under the project, should acknowledge the assistance received from the Council.
ii) The Investigator(s) should not enter into collaboration with a foreign party (individual/ industry) without prior approval of the Council.
iii) Investigators are also requested to publish some of the research papers emerging out of the project work in leading Journals.
iv) If the results of research are to be legally protected, the results should not be published without action being taken to secure legal protection for the research results.

TERMS and CONDITIONS

1. The scheme is constituted for the purpose of providing assistance in the form of grants to scientists and technologists for scientific/research work with particular relevance to the State of Kerala on the Environmental Problems and issues. Grants will be paid for specific projects to cover expenditure on manpower, equipment, consumables, contingencies and travel.
2. The proposals acknowledged by KSCSTE will have a reference number for future correspondence. Application for grant shall be made to the Director, Kerala State Council for Science, Technology and Environment (KSCSTE), Sastra Bhavan, Pattom, Thiruvananthapuram – 4 in the prescribed proforma. The project proposal will include the quantum of assistance required, competence of the scientist who is doing the project and the facilities at the institution where the work is to be carried out. This report along with referee's comments will be assessed by the Research Council for Ecology and Environment (RCE&E), based on whose recommendation, the projects may be funded, rejected or asked for modification.
3. The assistance for the project will be for a maximum period of three years. Sanction will be given for the full period of investigation, but the funds will be released originally for only the first year and subsequently every year subject to satisfactory completion of the work and submission of UC & SE. The UC & SE shall be furnished on a financial year-to-year basis, i.e, ending 31st March each year.
a. The maximum amount that can be granted will be subject to a total of Rs.10 lakhs (excluding the overhead cost) for 3 years. The Research fellowship will be Rs.8000*/- P.M if the candidate is eligible or Rs.5000/- PM
b. Rs.5000/month and 10% institutional overheads will be allowed which the institution can use at its discretion. However, the quantum of funding shall be subject to the recommendations of RCE&E and approval of Council.
c. Reallocation of funds within the total may be approved based on the specific recommendation. However re-appropriation from manpower and equipments will not be normally allowed. The PI should submit application for reallocation and extension well before time. Extension of duration of project beyond 6 months will not be granted normally.
d. The amount of grant shall be utilized for the purpose for which it is granted within a period of one year from the date of receipt of the amount or Council order date, whichever is convenient to the applicant, and the same should be intimated in writing to KSCSTE.
4. For permanent, semi-permanent assets acquired solely or mainly out of the project grants, an audited record in the form of a register shall be maintained by the Institute. The grant shall not be utilised for construction of any building unless specific provision is made for that purpose. Full infrastructural facilities by way of accommodation, water, electricity, communication etc. for smooth implementation of the project shall be given by the Institute.
5. All the assets acquired from the grant will be the property of KSCSTE and should not be disposed off or encumbered or utilised for purpose other than those for which the grant had been sanctioned, without the prior approval of the Council.
6. At the conclusion/ termination of the project, the Council has the discretion to gift the assets to the Institute or transfer them to any other Institute if it is considered appropriate.
7. The Institute/ PI will furnish Annual Progress Report of the work on the project on an yearly basis ((ie. if the date of start of a project is 12.09.97 the first Annual Technical Progress report shall be for the period 12.09.97 to 30.09.98, the next will be from 01.10.98 to 30.09.99 and so on). In addition, the Council may designate Scientist/ Specialist or an Expert Panel to visit the Institute periodically to review the progress of the work being carried out and to suggest suitable measures to ensure realisation of the objectives of the project. During the implementation of the project the Institute will provide all facilities to the visiting scientist/ specialist or the Expert Panel by way of accommodation etc. at the time of their visit. On completion of the project 5 copies of the final consolidated Project Completion Report on the work done in the project should be sent to the Council.
8. At the time of seeking further instalment of grant, the Institute/ PI has to furnish the following documents:
a. Utilisation Certificate (UC) and Statement of Expenditure (SE) for the previous financial year (in original or copy if sent earlier);
b. Latest authenticated Statement of Expenditure including Committed Expenditure, for expenditure since 1st April of that financial year till the previous month; and
c. Technical Annual Progress Report, if not sent earlier.
9. The unutilised portion of the grant amount at the end of the project period, shall be refunded to Council forthwith by DD in favour of Member Secretary, KSCSTE. In the case of project duration exceeding one year, the amount need not be refunded at the end of first or second year as the case may be, but the amount may be automatically carried forward, unless otherwise it is specified.
10. If for any reason, it is found that the recipient has not utilized the grant for the purpose for which it was sanctioned, he/she shall be disqualified for getting any further grants and steps shall be taken against such person/persons for realising the amount of grant. The Utilization Certificate and Statement of Expenditure (UC & SE) should be countersigned by the Head of the Institution to the effect that the grant has been utilized on the research items for which it was sanctioned. In the case of three-year projects, without the audited statement for the first year, the third instalment shall not be released. In all cases, the final expenditure statement (audited) and research report as well as utilization certificate shall be insisted to be submitted within three months of completion of the project.
11. The institute will maintain separate audited accounts for the project. If it is found expedient to keep a part or whole of the grant in a bank account earning interest, the interest thus earned should be reflected in the Utilization Certificate. The interest thus earned will be adjusted towards further instalment of grant.
12. The institute will not entrust the implementation of the work for which the grant is being sanctioned to another institution nor will it divert the grant receipts to other institute as assistance. In case the Institute is not in a position to implement or complete the project, it should, forthwith, refund to the Council the entire grant received by it or the balance grant with it.
13. All the personnel including Research personnel appointed under the project, for the full/ part duration of the project, are to be treated as temporary employees and will be governed by the Administrative rules/ service conditions (for leave, TA/DA etc) of the implementing Institute. They are not to be treated as employees of the KSCSTE and the Council will have no liability, whatsoever, for the project staff after completion of the project duration.
14. For the expeditious implementation of the research project, the PI will take the assistance of the Institute in the process of selection and appointment of staff and payment to them. Scale and emoluments for the posts not covered under Council’s order are governed by norms prevalent in the implementing Institution or as may be decided in consultation with Council.
15. The Council reserves the right to terminate the project at any stage if it is convinced that the grant has not been properly utilised or appropriate progress is not being made.
16. The project becomes operative with effect from the date of receipt of Council order or the date on which the Draft/ Cheque is received by the implementing Institution. This date should be intimated by the Institution authorities/ Principal Investigator to this Department. It will, in no case be later than one month after the receipt of the draft/ cheque by the Institute.
17. If the PI to whom a grant for a project has been sanctioned wishes to leave the Institution where the project is based, the Institute/ PI will inform the same to the Council and in consultation with Council, evolve steps to ensure successful completion of the project, before relieving the PI.
18. Investigators wishing to publish technical/ scientific papers based on the research work done under the project, should acknowledge the assistance received from Council, indicating the scheme. Investigators are also requested to publish some of the research papers emerging out of the project work in leading Indian Journals.
19. If the results of research are to be legally protected, the results should not be published without action being taken to secure legal protection for the research results.
20. The Executive Committee/Research Council may enforce additional guidelines for the operation of the scheme from time to time and the Institution/Investigators are required to observe such directions in the conduct of the research work.
21. If the progress of project is not satisfactory, the project may be terminated and the balance of the grants given for the project may be recovered.
22. The knowledge generated from the project will be the property of KSCSTE and should be properly acknowledged. Transfer of technology generated shall be done in consultation with the Council.

In case of any specific clarifications, please contact :

MEMBER SECRETARY,
KERALA STATE COUNCIL FOR SCIENCE,
TECHNOLOGY AND ENVIRONMENT(KSCSTE),
SASTHRA BHAVAN, PATTOM,
THIRUVANANTHAPURAM – 695 004.
e-mail : mailto@kscste.org
Telephone : (0471) 2543701-05 (PABX), 2534605 (o)
Fax : O471-2540085
Website.www.kscste.kerala.gov.in