GUIDELINES

FOR THE SCHEME

‘DEVELOPMENT AND PROMOTION OF CLEAN TECHNOLOGY

AND

WASTE MINIMISATION STRATEGIES’

2013

GOVERNMENT OF INDIA
Ministry of Environment & Forests
Paryavaran Bhavan, CGO Complex,
Lodhi Road, New Delhi – 11 0 003
 INDEX FOR GUIDELINES

S. No. Content Page No.

1. Introduction : 1
2. Objectives : 1
3. Sectors of Interest : 2
4. Eligible Entities and Nature of Project Proposals : 2-3
5. Process of Invitation and Evaluation of Projects : 3-4
6. Sanction and Monitoring of Projects : 4-5
7. Industrial Participation in the Project : 6
8. Dissemination of Projects Findings to the Beneficiaries: 6
9. Intellectual Property Rights and Royalty : 6-7
10. General Requirements for the Project Proponent : 8-11 (Annexure-I)
11. Activities Proposed Under Pilot/Demonstration : 12 (Annexure-II-A)
Projects on Technology Development and Promotion

12. Pay and Allowances and Other Funding Norms For : 13-14 (Annexure-II-B)
Relating To Research Studies and Surveys Projects

13. Application format for project proposal seeking partial : 15-16 (Annexure-III-A)
Financial support for new product development

14. Application format for project proposal seeking partial : 17 (Annexure-III-B)

Financial support for new process development

15. Research Study and Survey for Grant of Project : 18-22 (Annexure-III-C)
16. Bond : 23 (Annexure-IV)
17. Endorsement from Head of Organisation : 24 (Annexure-V)
18. Utilisation Certificate : 25-26 (Annexure-VI-A)
19. Expenditure Statement : 27-28 (Annexure-VI-B)
20. Certificate : 29 (Annexure-VII)
21. Consent Letter of the Participating Industry : 30 (Annexure –VIII)
22. Proforma for Maintaining Assets : 31 (Annexure –IX)
23. List of the Empanelled Institutions : 32 (Annexure – X)
24. Officers in Clean Technology Division : 33
1. INTRODUCTION:

1.1 A grant-in-aid scheme on Development and Promotion of Clean Technologies was

initiated in 1994. Clean Technologies are distinct and different from “end-of-pipe” abatement
technologies, minimizing the generation of waste streams in the production processes and
utilizing the wastes from other consumption goods and production processes, rather than
treating the wastes after generation. In general, clean technologies are less intensive in
using the raw materials and energy than conventional technologies, which rely on pollution
abatement after generation. The Ministry has been providing financial assistance under the
Central Sector Plan Scheme for those projects whose primary research has already been
completed and is ready for Pilot scale demonstration research on innovative technologies in
the areas of highly polluting categories of industries. Main objective of the demonstration
research projects was to standardize the data obtained after primary research to develop
and demonstrate the suitability of the prototype and to study the feasibility of the technology
in the Indian environmental conditions both from economic and scientific points of view.

1.2 Main objective of the Scheme related to waste minimization was to optimize the
consumption of raw materials and also to reduce waste generation by adopting suitable
production techniques which are cleaner in nature and can be adopted by the existing units
without necessarily changing the production processes or unit operations. The approach to
the problem was towards utilizing the existing production facilities in an optimal manner.
The purpose of the scheme was to assist primarily the Small and Medium Scale units which
do not have access to the requisite technical expertise to achieve waste minimization. The
programme aimed at not only achieving waste reduction and bringing down the overall cost
of production through optimization in one or more units but also building confidence among
other industrial units in the cluster/region to take similar initiatives.

1.3 The Ministry of Environment & Forests proposes to merge the abovementioned two
sub-schemes on clean Technologies and waste minimization respectively and to streamline
the process of project submission, appraisal, monitoring along with strengthening industry-
research linkage to ensure adoption of technologies/strategies developed, with a focus on
small and medium sector.

2. OBJECTIVES:

2.1 The primary objectives of the scheme are:

(i) Identification of priority areas and development of appropriate economically viable

clean technologies and waste minimization strategies for small scale and medium
scale industries through interface with industry, R&D establishments and academic
institutions,
(ii) Promotion and adoption of clean technologies and waste minimization strategies by
the industry/industrial clusters through setting up of pilot/demonstration projects on
prototype development,
(iii) Absorption and up-gradation of imported clean technologies and their demonstration
through pilot projects,
3. SECTORS OF INTEREST:

3.1 The industry sectors/clusters, where despite the availability of clean technology options, the
small and medium scale industry has not been able to switch over to cleaner technologies and
waste minimization strategies owing to lack of R&D capabilities, limited access to appropriate and
affordable clean technologies and other related factors shall be the focus of interventions in
thrust/priority sectors identified by the Ministry. An illustrative list of these sectors is as follows:

S. No Sector S. No. Sector

1. Agro-based industries 2. Aluminum Smelter
3. Caustic Soda 4. Cement
5. Copper Smelter 6. Distilleries
7. Dyes and Dye Intermediates 8. Electroplating
9. Fertilizer 10. Integrated Iron & Steel
11. Tanneries 12. Pesticides
13. Petrochemicals 14. Plastics
15. Drugs and Pharmaceuticals 16. Pulp and Paper
17. Waste Oil Refineries 18. Sugar
19. Energy 20. Zinc Smelter
21. Textiles 22. Paints and Resins
23. Chemicals 24. E-waste
3.2 Projects have to address the Clean Technology/Waste Minimization needs of Small
and Medium Scale units falling in the above mentioned categories. In addition, projects
related to common treatment facilities and infrastructure may also be considered. The
thrust/priority sectors may be further elaborated by a project committee constituted by the
Ministry and consisting of various experts as mentioned in para 5 of the guidelines.
Representatives from SPCBs and industry associations may be called as special invitees
for the purpose.

4. ELIGIBLE ENTITIES AND NATURE OF PROJECT PROPOSALS:

4.1 Project proposals can be submitted by the following entities:

i) Autonomous institutions/statutory bodies under Central or State Government in the

field of R&D/Extension, with proven track record of having tie-up/collaboration with
industries/consortiums of industries,
ii) A registered company more than three years old, having healthy financial track
record, with in-house R&D units, preferably recognized by DSIR, and having tie-up
with industries/consortiums of industries
iii) Apex industry bodies
4.2 MoEF will encourage multi-disciplinary proposals envisaging network/collaboration of
various institutions having diverse expertise and facilities for synergistic implementation of
the projects with industries/ Associations/ Industrial Development Corporations of
States/SEZ.
4.3 The project proposal should aim at identification of appropriate economically viable
clean technologies with clear environmental benefits with market potential. The project
should result in significant benefits in terms of environmental projection, raising the
technological level of the industry concerned, energy and material savings/recovery,
conservation of resources and waste minimization without compromising on market
competitiveness.

4.4 The nature of proposals supported should conform to the objectives of the Scheme
mentioned at para 2 above. Project should aim at development of a new or improved
product resulting in prototype development and ending with demonstration in commercial
environment, or development of a new or improved process resulting in establishment of
process knowhow, development of process equipment and demonstration of yield, efficacy,
environmental benefits etc. in a pilot plant or customization of imported technologies in
Indian environment or survey and research on identification of key areas for intervention or
dissemination of waste minimization strategies approach (Annexure – III).

4.5 The general requirements for the Project Proponent are given at (Annexure – I).

5. PROCESS OF INVITATION AND EVALUATION OF PROJECTS:

5.1 The project proposals may be invited by the MoEF in the following modes:
(i) Through open advertisement: The Ministry may invite proposals, through
advertisements suitably published, in the identified thrust areas, in addition to the specific
needs of policy making, including survey and research. Selection of the proposals received
for funding can be made competitively on the basis of the technical soundness of the
proposals (including research credentials of the proposed research team), projected
financial requirements and the sectoral priorities.
(ii) Through limited offer: The Ministry may award research studies to one or a network
of research institutions, identified competitively on the basis of recognized capabilities in the
concerned niche area, out of a panel of shortlisted institutions, depending upon the specific
needs of policy making.

5.2 The Ministry shall constitute a Project Evaluation Committee on Cleaner

Technologies, the composition of which shall be as follows:
(i) Joint Secretary, C.T. Division, MoEF, New Delhi - Chairman
(ii) Advisor, DST, New Delhi - Member
(iii) Advisor, CSIR or nominee, New Delhi - Member
(iv) Advisor (Env.) Planning Commission - Member
or nominee, New Delhi
(v) Member Secretary, CPCB or nominee - Member
(vi) Director (IFD), MoEF, New Delhi - Special Invitee
(vii) Director, Clean Technology, MoEF, New Delhi - Member Secretary

In addition, subject matter experts from SPCBs/public R&D institutions and representatives
of apex industry associations may be co-opted as special invitees on a case to case basis.

5.3 The terms and reference of the above committee would inter alia include:
(i) Identification of additional priority/thrust areas relating to industry
sectors/industrial clusters requiring adoption of clean technologies and waste
minimization strategies by small and medium scale sector.

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 (ii) Identification of bouquet of appropriate clean technologies/processes for the
identified/prioritized industry sector/cluster for establishment of
pilot/demonstration project.
(iii) Invitation of proposal for establishment of pilot/demonstration project or other
activities envisaged through open advertisement.
(iv) Consideration and evaluation of proposals, including preliminary scrutiny. The
Committee would examine the proposal with specific reference to:
(a) Expected environment and other physical outcomes of the project.
(b) Component wise analysis of costing of the project.
(c) Techo economic feasibility of the project
(d) Cost benefits analysis in term of physical outputs and environmental
benefits.
(e) Sources of funding of the project.
(v) Make recommendations for funding the project.
(vi) Identify appropriate Public Sector Institution for Monitoring the implementation
and output/outcomes of the project in association with SPCB/CPCB/MoEF.

5.4 The project proposals received in the Ministry will be initially scrutinized by a three
member Committee. After the preliminary scrutiny, the proposals will be sent to two reputed
public sector institutions having domain expertise for independent peer review along with
the Central Pollution Control Board. A list of such institutions may be seen at (Annexure-
IX). Subsequently, the comments received from these Institutions will be placed before the
Project Committee of the Ministry for final consideration. The Committee will consider the
comments received from the experts in each case and may accept the proposal or reject it
or direct the project proponent to incorporate the suggestions given by the experts and
revise the proposal accordingly.

6. SANCTION AND MONITORING OF PROJECTS:

6.1 The Ministry will consider the recommendations of the Project Evaluation Committee
on Cleaner Technologies and examine the administrative and financial aspects as per the
norms of the Government of India and get the approval of the competent authority for
funding the project.
6.2 A Project Monitoring Committee (PMC) shall be constituted by the Ministry for each
project comprising one representative each of MoEF, CPCB, concerned SPCB/PCC and
one of the public sector institutions, with domain expertise, which have appraised the
proposal. The empanelled Institution will nominate two experts not below the rank of the
Professor/Associate Professor. Usually, the senior most Professor will be the Chairman of
the Committee and will be responsible for over all functioning of the Project Monitoring
Mechanism and the second name shall be kept in reserve. The PMC shall monitor the
progress of the project and provide suggestions to achieve the results from the project. The
Committee shall meet at least twice during the project duration, once during mid-term and
again at the completion of the project positively and will submit its report to the Ministry.
6.3 The Terms of references (ToR) of the PMC will be as follows:
(i) The activities undertaken in the project shall be monitored and the experts will
provide comments on project implementation, including suggestions for mid-term course
correction and evaluation of work done against the sanctioned roadmap.

4
 (ii) The meeting of the Committee shall be convened at the project site to enable site
inspection. The PMC shall have to submit its Progress Report within seven days after
the visit.

6.4 A maximum of 5% of the project cost shall be available for meeting expenditure on
monitoring and evaluation of the project, which shall be borne separately by the MoEF.

6.5 For externally aided projects (EAP), suitably modified appraisal, sanction, budgetary
release and monitoring methods may be adopted by the Ministry.

7. FUNDING PATTERN:

7.1 Grants will be released for different types of projects on the following pattern:

(i) Demonstration/Pilot Project: The Support from the Ministry would primarily cover
prototype development, cost of pilot plant, cost of process equipment development,
testing and evaluation of products, user trials, contingencies, travel costs and
salaries for the consultants and supporting staff etc. This does not include the cost
of the land and building, which shall be provided by the project proponent/industry.
The scale of central assistance would be limited to 75% of the project cost, excluding
land and building. In such cases the balance minimum 25% contribution would be
made by the project proponent/participating industry. Some contribution by industry
would be mandatory.

(ii) Waste Minimisation Circles: Ministry has been facilitating and supporting Waste
Minimisation Circles through Industry associations / organisations to promote
practices relating to waste minimisation and its utilisation by the Industries. While the
establishment of these circles have contributed significantly in popularizing waste
minimisation strategies amongst industries, it is felt that it would be more effective if
Waste Minimisation Circles should be encouraged at the state level, as per local
conditions, by the SPCB, as a conclave of preventive technologies spearheaded by
polluting industries themselves. As such, it is proposed to facilitate formation of
Waste Minimisation Circles at the State level by Conclave of Industries in
consultation with SPCBs and support the same.

The Programme aims to achieve waste reduction through optimization in one or

more units, sharing of experiences with each other to achieve reduction in waste and
also in production cost. The assistance for carrying out the activities of Waste
Minimisation Circles would be available to registered societies of member industries,
which may work under the supervision and guidance of Project Proponent extension
institutions/industry body. Norms for prioritization of industrial area/clusters for
support and deliverable would be as per details given in guidelines. The scale of
support to such registered societies would be limited to 90% of the cost of approved
activities at cluster level with 10% of the contribution from member
industries/registered societies. In addition, 100% support for manpower and project
supervision shall be given to the project proponent.
 (iii) Survey and Research Studies: Projects related to carrying capacity/life cycle
assessment studies, creation of data base and survey of Best Available
Technologies, feasibility of the economic instruments etc. comes under this category.
100% assistance is available to the project proponent.

7.2 The Ministry shall release the sanctioned amount in three installments. The first
installment shall be released upfront, the second installment after the mid-term evaluation of
the progress of the project and recommendation by the PMC, and the third installment at
the end of the project after review and recommendation by the PMC and acceptance of the
Final Technical Report by the Ministry.
7.3 The pattern/norms for assistance for different kind of projects are given at
Annexure – II.

8. INDUSTRIAL PARTICIPATION IN THE PROJECT

The demonstration/pilot plant would be setup in the industry. The scale of assistance
would be limited to 75% of the project cost excluding land and building. The industry will
have to contribute 25% of the project cost. This does not include the cost of the land and
building which shall be provided by the industry. Consent of the industry to sep-up
demonstration/pilot plant to standardized the technology at commercial scale and to
replicate it, will be an essential component of the project (Annexure-VIII).

9. DISSEMINATION OF PROJECT FINDINGS TO THE BENEFICIARIES

9.1 Wide dissemination of findings of the project would be encouraged. A national level
workshop will have to be organized by the Project Proponent at a suitable place where all
the concerned departments and entrepreneurs in that sector would be invited to participate.
The Project Proponent in joint authorship with the Ministry will also publish a small booklet
containing the objectives, methodologies and outcomes of the study. The booklet will be
distributed in the workshop and dispatched to the concern organizations and other
stakeholders. Apart from the workshop, an endeavor would be made to publish the findings
in professional journals/books, Enviro News etc. The results will also be put on the website
of the Ministry and other related websites (CPCB, Research Institutions/Universities etc.).

10. INTELLECTUAL PROPERTY RIGHTS AND ROYALTY:

10.1 The research institution, collaborating industry will own the IPR (as per agreement
they enter into). They will also indemnify the government against any possible infringement
of IPR. The Project Proponents would have the first right to commercialise the technology
developed. In case the company does not commercialse the technology in a period of two
years after completion of the project or does not exercise its option to commercialise
technology within one year of completion of the project, only in such a case the technology
will need to be assigned to MoEF or the CPCB, if the Ministry so deems fit, for third party
licensing. Revenues from such licensing will be shared with the executing agency as per
the actual financial contribution in the project.

10.2 Project Proponent will be required to pay lumpsum royalties in five annual
installments amounting to 1.3 times the amount received, after start of commercial sale /
commercial support.
10.3 A project will be deemed to have been successfully commercialized on the date
when the industry undertakes first commercial sale of products in their existing plant or a
new producing units installed on the basis of the project supported by the Ministry.

*********
 Annexure-I

GENERAL REQUIREMENTS FOR THE PROJECT PROPONENT

The following procedure will apply to all proposals:

1. The Principal Institution implementing the project should assume financial and other
administrative responsibilities of the project. The Head of the Institution should
forward the proposals (Annexure-V). In case a pilot scale demonstration project
where proposal involves a network of researchers, the Institution should identify the
Lead Investigator from each of the participating institution with the approval of the
Head of the Department concerned. A coordinator among themselves can be
nominated as Principal Investigator (PI) who will be responsible for over all progress
to complete the tasks.

2. In the case of multi-institutional projects, the Principal Investigator (PI) has to obtain
the formal consent of the collaborating institutions/scientists, along with the
participating industry. Formal MoU/Agreement may be worked out formalizing the
arrangements stated in the proposal and approved by MOEF subsequent to the
sanction of the project.

3. Project personnel recruited for the project work are temporary and should be paid as
per the rules of the parent institute and guidelines of the Government of India.

4. It is the policy of MoEF to maximize the use of the equipment. So, the Investigators
shall permit the use of spare or ideal capacities of the equipment procured under the
project by the bona fide users of the parent or nearby institutes. Equipment of
indigenous technology is preferred for the project while imported equipment can be
considered only if it is certified that he said equipment is not available in India.

5. The Ministry of Environment and Forests would suitably advertise the thrust areas of
the scheme. Accordingly, the project proposals can be submitted in the prescribed
format by the Principal Investigator.

6. Project Proponents should submit 10 copies of the proposal to the MoEF, printed on
both sides of A4 size paper, with the electronic copy of the proposal on a CD in MS
Word.

7. Proposals should be prepared and submitted strictly according to the formats

prescribed.

8. MoEF will issue a letter of acknowledgement, with a registration number of the

project within two weeks from the date of receipt of the proposals in the Ministry.

9. Registration number/ letter number (given by the MoEF) and title of the proposal
should be given in all subsequent communications.

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10. Information should be furnished under each sector of the project proposal. In case, if
any, sector is not applicable for the proposed work, it should be filled as “Not
Applicable” or “Nil”.

11. In the case of scientists superannuating during the tenure of the project, operating
the project as Principal Investigator (PI), there should be a Co-PI who should be in
permanent service during the entire duration of the project.

12. Projects will normally be sanctioned for a maximum of two years. The grant will be
payable in three installments on timely submission of Utilization Certificates,
Expenditure Statements and Progress Reports of the Progress Monitoring
Committee. In the case of collaborative research carried out by a network of
institutions, the Coordinating Institution would be responsible for submission of the
Utilization Certificate, Expenditure Statement and Progress Reports covering all the
collaborators. Authorities of the institution(s) where the project work is to be carried
out would receive the grants and they will be responsible for fund disbursement,
administration and maintenance of accounts (Annexure-IX). The projects become
operative with effect from the date on which the Draft/Cheque from the Ministry is
received by the implementing organization. This date should be immediately
intimated by the organization authorities/Principal Investigator to MoEF.

13. 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.

14. First installment of grant is released along with the first sanction order. It includes
cost of Equipment for demonstration plant and part of recurring grant including
'Overheads' for the first year of the project.

15. In case, any investigator leaves the institutions, responsibility for completion of the
project should be ensured by the Principal Investigator concerned to the Ministry,
before leaving. MoEF reserves the right to terminate the project at any stage if it is
convinced that the grant has not been properly utilized or satisfactory progress is not
being made.

16. All accounts in respect of the project will be subject to annual audit by the institution
and utilization certificate (UC), Expenditure Statement (ES) and Audit Certificate
(AC) should be submitted to the Ministry (Annexure-VI-A-B). On
completion/termination of the project, the duly audited accounts shall be submitted
and the unspent balance, if any shall be refunded to the MoEF within six calendar
months of completion/termination of the project. Full and final payment will be made
only after the acceptance of all the financial certificates, audit reports and Final
Technical Report (FTR) of the project.

17. During the course of implementation of the project, the MoEF will constitute a Project
Monitoring Committee (PMC) to monitor progress of the project, which will meet
 twice during the project duration, once during midterm and again at the completion of
the project. The monitoring will be done by an empanelled institution (Annexure-X),
who will nominate two experts not below the rank of Professor/Associate Professor.
The MoEF/CPCB/SPCB will be the member of the monitoring committee.

18. Selection and appointment of JRFs/ SRFs/ Emeritus Scientists/Support Staff for the
project should be made by the Principal/Lead Investigator in accordance with the
procedures of the institutions concerned for a period not exceeding the sanctioned
duration of the project. However, the consultants can charge their fee as per the
prescribed norms of MoEF (Annexure – II-B).
19. Staff appointed for the research project will be subject to the administrative control
and service rules of the institutions where they are appointed.
20. Appointment of a consultant in the project shall be governed by the prevailing
guidelines of CSIR. However:

(i) The consultant(s) in the project can be engaged for a specific assignment and
justification for engagement should be adequately brought out. The roles, rights
and responsibilities of consultant(s) will be well defined;
(ii)The period of engagement of consultant could be up to one year only and any
extension shall be reviewed and approved by the PMC up to a maximum of
another one year.

21. In respect of some specific research projects, at the time of sanction, the Ministry
may prescribe some conditions of prior approval for publication or conference
presentation of the results/outcomes of the project.
22. In the event, after due enquiry, the Ministry concludes that the progress of a research
project is unsatisfactory and beyond improvement, it may terminate the project. Upon
such termination, full audited accounts should be submitted and refund of all unspent
balances should be made promptly to the Ministry.
23. All equipment and stores purchased out of the grant would remain with the institution
concerned unless otherwise specified in the sanction. However, the grantee
organization will submit the list of assets acquired under the project as per the
prescribed Performa. The terms “Assets” here means (a)Immovable property and (b)
movable property of a capital nature where the value exceeds Rs. 10,000/-.
24. International travel, even if provided for in the project budget, will normally not be
allowed.
25. The research fellows and investigators may pursue a research degree while working
in the project. They may utilize the research outputs of the project towards their
degree requirements, except in cases where the sanction would provide that the
research results are classified.

26. The PI shall submit, without fail, three hard copies and one soft copy of the progress
report of the project at six months interval to the Ministry.
27.The grantee organization shall open a separate account for the project and interest
accrued from the amount of grant may be utilized for the project with the permission of
Ministry.
28.Extension may be granted in exceptional cases after recording reasons in writing
upto a maximum period of one year. Any request for extension of the project should be
sent by the PI to the Ministry at least three months before the closing date. The PI
should not make any expenditure after the closing date without the specific approval of
the Ministry or till the extension is conveyed. If such extension does not involve change
in scope of the project, no additional funds would be sanctioned.
29.At the end of the project, the grantee organization(s) will furnish 5 copies of the Final
Technical Report (FTR), including Executive Summary, along with a soft copy, to the
Ministry. The FTR will be subject to review by the Project Monitoring Committee (PMC).
30.Non-Governmental Organizations seeking financial assistance for research projects
shall execute a Bond in the prescribed format (Annexure – IV).
31.All the correspondence should be made only to the contact person of MoEF
specified for the demonstration project concerned.
32.Outcome of the project will be published by the Project Proponent in joint authorship
with the Ministry in the form of a booklet and will be sent to the CPCB, SPCB and other
organizations concerned for implementation.
33.After successful completion of the project, the PI shall organize a National Workshop
for the dissemination of the results.
34.The Ministry will follow one Principal Investigator one project norm and no second
project will be sanctioned till the on-going project is completed. However, in case of a
requirement of the Ministry, the committee may consider it on case to case basis.
35.The Head of the Institution/Department will certify that Certified that the
equipment/instruments proposed in the project are not at all available in the
Department/institution or are available in the Department/Institution but are not available
for dedicated project use (Annexure-VII). The guidelines for formulation and submission
of projects and the prescribed format can be obtained from the Ministry of
Environment,Forest and Climate Change Clean Technology Division, Indira Paryavaran
Bhawan, Jor Bagh Road, New Delhi – 110 003 or downloaded from the Ministry’s
website (http://www.MoEF.gov.in). Proposals complete in all respects (10 hard copies &
in a CD) may be sent to:
The Adviser,
Clean Technology Division,
Ministry of Environment,Forest and Climate Change,
Indira Paryavaran Bhawan,
Jor Bag Road.
New Delhi – 110 003
Tel: 011-24695245 E-mail: [email protected]
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 Annexure-II-A

ACTIVITIES PROPOSED UNDER PILOT/DEMONSTRATION PROJECTS ON

TECHNOLOGY DEVELOPMENT AND PROMOTION

The financial support by MoEF primarily covers prototype development, cost of pilot
plant, cost of process equipment development, test and evaluation of products, user trials
etc. Part of the financial support to the projects has to be from industry’s resources. The
financial support from MoEF is mainly to meet part of the developmental expenditures for:

a. Personnel costs (specialists employed, part-time/full–time/contract basis, exclusively for

specified activities);

b. Consultancy (cost of indigenous consultancy and equivalent services used exclusively

for the research activity, including research, technical knowledge, patents, etc);

c. Patenting;

d. Running costs (such as expenditure towards raw materials, consumables, hardware/

software tools, components/sub-assemblies for prototype, equipment for pilot plant etc.
incurred directly as a result of proposed research activity)

e. Testing, trials & certification.

f. Support is available only for the innovative element in the project.

 Annexure-II-B

PAY AND ALLOWANCES AND OTHER FUNDING NORMS FOR RELATING TO

RESEARCH STUDIES AND SURVEYS PROJECTS

The following table gives broadly the norms for different components of the projects
proposals.
Item Type of Research Funding norm
Institution
Pay and allowances Establishment costs are Nil
of research staff covered by direct
Principal Investigators & Co- budgetary/grant
Principal Investigators support by the Government
Pay and allowances of 1. Consultant having M.Sc./
Consultants M. Tech shall get the following
(engagement for a period of amount as fixed fee
one year only) (i) 2-5 years Rs. 25,000/- p.m.
(ii) 6-9 years Rs. 40,000/- p.m.
(iii) 10 years and above Rs. 60,000/- p.m.

2. Consultant who is having

Doctorate or any other
special qualification over and
above the requirement of
Clause 1 above from India or
abroad shall get the following
amount as per experience.
(i) 2-5 years Rs. 40,000/- p.m.
(ii) 6-9 years Rs. 60,000/- p.m.
(iii) 10 years and above Rs. 80,000/- p.m.

3. However the norms of

CSIR shall be applicable for
consultancy charges for all
the technical consultants.
Honorarium to retired Establishment costs are Maximum of Rs. 20,000/ p.m.
professors/senior/emeritus covered by direct subject to other Govt. rules.
scientists budgetary/grant support
by the Government
Pay and allowances Establishment costs Equivalent to the University
of research staff are not covered by direct teaching and research staff,
Principal Investigators & Co- budgetary/grant support by under the prevailing CSIR/UGC
Principal Investigators the Government scales. However, in case of
institutions of national
eminence, the pay and
allowances will be applicable
as per the norms approved by
the competent authorities of
institutions like IITs and IIMs.
JRF/SRF All institutions As per CSIR/DST guidelines
 Support staff Establishment costs Actual and subject to a
(Technical/ are not covered by direct maximum of 25% of pay and
non-technical) budgetary/grant allowances of Research staff
recruited specifically for the support by the (inc. JRF/SRF) even if these
project Government costs are met by Government
under any other scheme
Equipment/instruments All institutions 100% on preferably on
(including Computers, competitive bidding
software and peripherals)
essentially required for
dedicated use in the project
and are not available in the
Department / institution (or)
are available in the
Department / Institution
but are not available for
dedicated use of the project.
Equipment/instruments All institutions Covered under
(including Computers, “Institutional charges”
software and peripherals), not
for the dedicated use of the
project
Travel All institutions As per CSIR/UGC/DST norms
for travel entitlements
[for personal level of staff]
Expendables and Field All Institutions 100% as per verified
Survey estimates subject to actual
Contingencies All Institutions Project cost up to one Crore:
5% of the total Project Cost
(excluding institutional
charges) Project cost > one
crore: quantum to be decided
on a case to case basis
Institutional Charges All Institutions (a) As applicable in a public
sector institutions.
(b) For others maximum of
15% of the project costs
 Annexure-III-A

APPLICATION FORMAT FOR PROJECT PROPOSAL SEEKING PARTIAL

FINANCIAL SUPPORT FOR NEW PRODUCT DEVELOPMENT
Project Title:
Part A – General
A1. Company Background

A2. Technology Background

A3. Personnel Background

Part B – Summary

B1. Executive summary of the proposal

Part C - Details
C1. Technical

C2. Commercial

C3. Financial with justification

Sl. Expenditure Heads Total Estimated

No. Cost
1. Design/Engineering/Consultancy from
external agencies (their background and
work assigned to them are to be given along
with cost estimate).
2. Prototype(s)
(Sub-assemblies/ components/ parts/
consumables, software, assembly/
integration).
3. Mechanical Tools, Jigs, Fixtures, Dies,
Software tools etc required to develop
prototypes.
4. Manpower costs of industry personnel
(including their travel costs).
5. Specialized test equipment required to test
prototypes.
3. Testing/ endurance trials/ national and
international certification.

C4. Existing facilities that will be utilized.

C5. Details of Network partners

15
C6. Details of participating industries with consent letter

C7. Action Plan

C8. Summary of inputs

C9. Summary of output

Signature of Chief Executive/Managing Director

16
 Annexure-III-B

APPLICATION FORMAT FOR PROJECT PROPOSAL SEEKING PARTIAL

FINANCIAL SUPPORT FOR NEW PROCESS DEVELOPMENT
Project Title:
Part A – General
A1. Company Background

A2. Technology Background

A3. Personal Background

Part B – Summary

B1. Executive summary of the proposal

Part C - Details
C1. Technical

C2. Commercial

C3. Financial with justification

Sl. Expenditure Heads Total Estimated

No. Cost
1. Consultancy from external agencies
(their background and work assigned to
them are to be given along with cost
estimate)
2. Pilot plant equipment
(procured/ developed)
3. Chemicals and raw materials consumed
4. Manpower costs of industry personnel
(including their travel costs)
5. Specialized test equipment for pilot plant.
3. Test trials

C4. Existing facilities that will be utilized.

C5. Action Plan

C6. Summary of inputs

C7. Summary of output

Signature of Chief Executive/ Managing Director

17
 Annexure-III-C

RESEARCH STUDY AND SURVEY FOR GRANT OF PROJECT

(To be completed by the Principal Investigator)

1. Title of the Project: :

2. Name, Designation and Addresses of :

Principal and Lead Investigators

3. Date of superannuation of PI :

4. Name(s), Designation and :

Address(es) of
Co- Investigators:

5. Institution where the :

project will be implemented
(Lead Institution in case of a network)

6. Names of Network :
Partners (participating institutions and
Industry)

7. Details of the participating industry :

(size and type of the industry i.e. SSI or SME)

8. Consent letter from the Industry :

9. Duration of the project (years, months) :

10. Total amount of Grant required :

Annexures:

Annexure III (A): Project Brief

A brief summary of the project

(not exceeding one page):

Annexure III (B): Project Investigators:

(a) CVs of all research staff, covering academic qualifications (Degrees, Year,
University, Thesis Title for research degrees), Peer Reviewed research publications,
and Institutions where previously located.

(b) Details of project grant proposals submitted by (all participating) Institutions to

Ministry/all other funding organizations which are currently under consideration.

18
Annexure III (C): Technical Proposal

(a) Specification of research question(s) :

(b) Survey of literature relating to the project
- Existing relevant literature on the :
subject – 2 pages note on key
findings, gaps in knowledge.
- Relevant sites on Internet – 2 pages :
Note on key Internet findings
(c) Justification for the proposed project :
in relation to the Thematic Priorities
(d) Outline of research methodology :
(e) Data sources :
(f) Surveys to be conducted :
(g) Equipments and Infrastructure Available :
(h) Equipments and Infrastructure required :
(i) Support staff available (Technical/Non-Technical) :
(j) Additional Support staff required (Technical/Non-Technical):
(k) Time Schedule of the project (PERT-Chart) :
giving annual monitorable targets
(l) Envisaged deliverables :
(i) Economic Benefits
(ii) Environmental Benefits
(m) Modalities for dissemination of :
Research Outputs
Note:
Activity schedule to be provided.
The project shall be carried out in 2 phases:
(i) Preparation of pre-feasibility study
(ii) Final Technical Report
(iii) Workshop
The physical and financial targets should be given separately for both the
phases.

Signature of the Applicant

Annexure III (D): Project Budget:

A. Person-months to be spent on the project:

Name of Person Person

Investigator/ months months
JRF/SRF/ Year 1 Year 2
Emeritus
Scientist/
Support staff

Totals:

B. Salaries3 and Benefits4 (scaled to person-months to be spent on the

project by each):

Name of Salary Benefits Total Salary Benefits Total

Investigator/ For For Year For for Year
JRF/SRF/ Year 1 Year 1 1 Year Year 2
Emeritus 2 2
Scientist/
Support
staff

Totals:
C. Capital costs of Equipment/Infrastructure5:

Equipment/ No. Unit costs Cost Cost Total

Infrastructure required in Year 1 in Year 2 cost

Totals

3 Salary: Includes Pay and Dearness Allowance

4 Benefits includes all other Allowances and estimated reimbursements (except travel related)

5 Includes computers, software, and peripherals

D. Consumables (Chemicals, Glassware):

Year 1:

Year 2:

Total:

E. Travel costs:

Name of Travel Travel Total Total

Investigator/ Events Events No. of trips No. of trips
JRF/SRF/ Year 1 Year 2 National International
Emeritus
Scientist

Totals
 Name of Travel Per- Total Travel Per- Total Per- Project
Investigator/ Year Diem Year Year Diem Year Diem Total
JRF/SRF/ 1 Year 1 2 Year 2 Year
Emeritus 1 2
Scientist

Totals

F. Contingencies

G. Institutional charges

H. Contribution of the participating industry for demonstration/pilot plant

(excluding land and building)

I. Grand Total for Project

22
 Annexure-IV
BOND
(For Non Govt. Organization)

KNOW ALL MEN BY THESE PRESENTS THAT WE, signed for and on behalf of a society
registered under the ____________ and having its office at __________(herein after called
the ‘Obligors’ which terms shall unless excluded by or, repugnant to the context be deemed
to include its successors, permitted assigns and all persons entitled to and capable of
disposing off the assets and properties of the obligors) are held and firmly bound to the
President of India (herein-after called the ‘Government’ which term shall unless exclude or
repugnant to the context be deemed to include his successors and assigns) in the sum of
Rs.____________(Rupees______________only) well and truly to be paid to the
government on demand and without a demur for which payment we firmly bind ourselves by
these presents.
SIGNED this_________________day of _______________in the year Two
thousand_____________.
WHEREAS on the obligors request the government has as per union Ministry of
Environment’s letter No. _____________ dated __________(herein after referred to as the
Letter of sanction’ which forms an integral part of these present and a copy whereof is
annexed hereto as Annexure’A’) agreed to made in favor of the obligors for the purpose of
grant of Rs.______________(Rupees_____________only) out of which Rs.
_____________ (Rupees______________only) have on__________ been paid to the
obligors (the receipt of sum the _____________do hereby admit and acknowledge) on
condition of the obligors have agreed to do.
NOW the condition of the above-written obligation is such that if the obligors duly fulfill and
comply with all the terms and conditions mentioned in the Letter of sanction then the above
written bond or obligation shall be void and of no effect, but otherwise it shall remain in full
force, effect and virtue.
And these presents further witness as under:
The decision of the Secretary to the Government of India in the ministry of Environment on
the question whether there has been breach or violation of any of the terms and condition
mentioned in the letter of sanctions shall be final and binding in the obligors, and
The Government have agreed to bear the stamp duty, if any, chargeable on the presents.
In witness whereof those Presents have been executed on behalf of the obligors
pursuant to the Resolution No.____________dated_____________passed by the Board of
the Management of the Society (Governing Body) of the Obligors in the presence of
With name and address

Signature of the grantee institution.

2.
(for office use only)

Accepted for and on behalf

of the President of India
Witness:-
(Name and Designation)
Name and address:-
23
 Annexure – V

7. ENDORSEMENT FROM
HEAD OF ORGANISATION
(On the official letter-head)

Project Title

1. Affirmed that the Organisation welcomes the participation of Dr/Mr/Ms .................... as

the PI and Dr/Mr/Ms………………as the Co-PI for the Project and that in the
unforeseen and legitimate event of discontinuation by the PI, the CoPI will assume full
responsibility for completion of the Project. Information to this effect, endorsed by me,
will be promptly sent to MoEF.

2. Certified that the equipments mentioned in the proposal to carry out the project are not
available in the department.

3. Affirmed that the equipment and basic as well as other administrative facilities as per
the terms and conditions of the award of the Project, will be made available to the
Investigator(s) throughout the duration of the Project

3. The Organisation shall ensure that the financial and purchase procedures are followed
as per the prevailing norms of the Organisation, within the allocated budget.

4. The Organisation shall provide timely the Statement of Expenditure and the Utilisation
Certificate of the Funds under the Grant as required by MoEF in the prescribed
format.

(Head of Organisation)
Seal/Stamp

Date

Place
 Annexure-VI (A)
UTILISATION CERTIFICATE

(TO BE SENT IN DUPLICATE TO MINISTRY OF ENVIRONMENT & FORESTS)

For the Financial Year (from 1st April to 31st March of the next calendar year).

1. Title of the Project /Scheme :

2. Name of the organization :

3. Principal Investigator :

4. Ministry of Environment & Forests

letter No. and date of sanctioning the Project :

5. Amount brought forward from the previous :

financial year quoting Ministry of Environment
& Forests letter no. and date on which the authority
to carry forward the said amount was given.

No. & date Amount

of Sanction
6. Amount received from Ministry :
of Environment and Forests during
(Please give no. and dates of sanctions 1.
of sanctions showing the amount paid).
2.

3.
Total:

1. Total amount that was available for :

expenditure (including commitments)
incurred during the Financial Year
(S.NO. 5 + S. No. 6).

8. Actual expenditure (excluding :

commitments) incurred during the
financial year.

9. Unspent balance refunded if any :

(Please give details of cheque no. etc.)

10. Balance amount available at the end of :

Financial year.
11. Amount allowed to be carried forward to :
the next Financial Year. Vide letter No.
and date.

Certified that the expenditure of Rs…………..(Rupees……………………).

mentioned against column 8 was actually incurred on the project/scheme for the purpose
for which it was sanctioned.

Date:

Signature of Principal Signature of Signature of

Head
Investigator Registrar/Accounts of the
Organization
Officer

Our Ref. No.

Accepted and Countersigned

Date: COMPETENT AUTHORITY

MINISTRY OF ENVIRONMENT & FORESTS
 Annexure-VI (B)

EXPENDITURE STATEMENT
(To be sent in duplicate to Ministry of Environment and Forests)

Statement showing the expenditure for six monthly period from 1st April to 3oth September
and Ist October to 31st March of the next calendar year………..

1. Total outlay of the project Rs. ………..

2. Date of start of the project:

3. Duration …………………Date of completion………………………

a) Amount released in respect of the six month period to which the utilization certificate
relates (Please give number and dates of sanctions showing the amount)

b) Amount brought forward from previous six monthly period.

c) Total amount available for expenditure (a+b) Rs………..

Amount Amount Balance/

+amount spent excess
carried expenditure forward

Salaries/wages of staff: - - -
Research Associate
Sr. Research Fellow
Jr. Research Fellow
Lab. Assistant/
Technician etc.

Total - - -

II. Permanent Equipment - - -

Purchased (item wise)

Total - - -

III Expendable items - - -

Total

IV. Travel and POL - - -

(Vehicle expenses) - - -

Total - - -
V. Contingencies - - -

Total - - -

Grand Total from - - -

I to V.
State the amount and the item in which :
excess expenditure incurred with reasons

b. State the amount and the item in which less :

expenditure incurred.

c. Balance in hand as on :

d. Further requirement of funds from __________to _________Rs. _____________as per

the breakup given below:

A. Salary : Rs.
B. Permanent Equipment : Rs.
C. Expendables : Rs.
D. Travel : Rs.
E. Other Project Cost : Rs.
F. Contingencies : Rs.
G. Institutional Charges : Rs.
Total : Rs.

Counter signature of Signature of Signature of

Accounts Officer/Registrar Principal Investigator Head of Dept./Institute

Note: The original proforma of Expenditure Statement has been modified as per the modifications
made in the proforma of Utilization Certificate by Secretary(E&F)

28
 Annexure-VII
CERTIFICATE

To:

Contact person of the programme

Ministry of Environment & Forests
Paryavaran Bhawan
CGO Complex, Lodhi Road
New Delhi-110 003.

Sir,

1. A research project entitled,“

…………………………………………………………………………………………………
…………………………………………………………………………………………………
…………………………………..is forwarded herewith for consideration of grant
funding by the Ministry.

2. It is certified that the same project or another project with similar objectives has not
been submitted to any other funding agency by the Investigator(s).

3. We have carefully read the terms and conditions of sanctioning the project and agree
to abide by them.

4. The organization will provide all necessary infrastructural facilities (both laboratory
and administrative) if the project is sanctioned.

5. The organization is fully responsible in regard to matters pertaining to the project.

6. Certified that the equipment/instruments proposed in the project are not at all
available in the Department/institution or are available in the Department/Institution
but are not available for dedicated project use.

Yours faithfully,

(Registrar/Director/Head of the Organisation)

Place:

Date:
 Annexure –VIII

CONSENT LETTER OF THE PARTICIPATING INDUSTRY

To:

Contact person of the programme

Ministry of Environment & Forests
Paryavaran Bhawan
CGO Complex, Lodhi Road
New Delhi-110 003.

Sir,

1. A research project entitled,“

…………………………………………………………………………………………………
…………………………………………………………………………………………………
…………………………………..is forwarded herewith for consideration of grant
funding by the Ministry.

2. It is certified that the same project or another project with similar objectives has not
been submitted to any other funding agency by the Investigator(s).

3. We have carefully read the terms and conditions of sanctioning the project and agree
to abide by them.

4. The organization will provide all necessary infrastructural facilities (both laboratory
and administrative) if the project is sanctioned.

6. The organization is fully responsible in regard to matters pertaining to the project.

7. Certified that the equipment/instruments proposed in the project are not at all
available in the Department/institution or are available in the Department/Institution
but are not available for dedicated project use.

8. The industry M/s________________________ registration no.__________

dated/License no.______________ dated________ will contribute 25% of the total
cost of the project i.e. Rs._____________. This does not include land and building.

Yours faithfully,

(Head of the Organisation)

Managing Director or equivalent
Place:

Date:
 Annexure -IX

PROFORMA FOR MAINTAINING ASSETS

Assets acquired totally or substantially out of Government Grants

Register to be maintained by grantee institution
Name of the sanctioning authority………………………………….

Sl. Name of No. and Amount Brief Whether Particular Value

No. grantee date of sanctioned Purpose of any s of the
institute sanction grant condition of assets assets
right of regarding actually as on
ownership the
of Govt. of created
the or
property or acquired
other assets
acquired,
out of the
grant was
incorporated
in the grant
in aid
sanction

Amount Reasons Disposed Reasons if Encumber Purpose Remarks

released and off or not encumbered ed or not for which
on authority utilized at
disposal for present
disposal

Certified that above items are entered in Stock Register No. …………….

Page No. …………………on ………….

Signature of Registrar/
Director
Signature of Principal Investigator

31
 Annexure – X

LIST OF THE EMPANELLED INSTITUTIONS FOR EVALUATION/EXAMINATION OF

THE PROJECT. MONITORING MECHANISM.

1. Indian Institute of Technology, New Delhi.

2. Indian Institute of Technology, Guwahati.
3. Indian Institute of Technology, Kanpur, Uttar Pradesh.
4. Indian Institute of Technology, Kharagpur, West Bengal.
5. Indian Institute of Technology, Chennai.
6. Indian Institute of Technology, Powai, Mumbai.
7. Indian Institute of Technology, Roorkee.
8. All India Council of Technical Education (AICTE)
9. Indian Academy of Sciences
10. Indian National Science Academy (INSA), New Delhi
11. State Councils for Science and Technology
12. Technology Information, Forecasting and Assessment Council (TIFAC)
13. Indian National Center for Ocean Information Services(INCOIS)
14. Nuclear Science Centre
15. Water Technology Centre for Eastern Region (WTCER)
16. Bhabha Atomic Research Centre (BARC)
17. Agharkar Research Institute (ARI)
18. Bose Institute, Kolkata
19. Central Scientific Instruments Organization (CSIO)
20. Central Soil and Materials Research Station (CSMRS)
21. Centre for Advanced Technology (CAT)
22. Centre for Liquid Crystal Research (CLCR)
23. Council for Scientific and Industrial Research (CSIR)
24. Defence Research and Development Organization (DRDO)
25. Indian Institute of Astrophysics (IIA)
26. Institute of Plasma Research (IPR)
27. Institute of Life Sciences
28. All NIIT Institutions
29. All Central Universities
30. All CSIR Institutions
31. Allahabad University
32. Anna University, Chennai
33. Babasaheb Bhimrao Ambedkar University, Lucknow
34. Bangalore University, Bangalore
35. Birla Institute of Technology & Science, Pilani
36. Cochin University of Science & Technology, Kochi
37. Govind Ballabh Pant University of Agriculture & Technology, Pantnagar
38. Gujarat University, Ahmadabad
39. Jawaharlal Nehru Technological University, Hyderabad, A.P.