COUNCIL OF SCIENTIFIC & INDUSTRIAL RESEARCH

CENTRAL PLANNING DIRECTORATE

Anusandhan Bhawan, 2, Rafi Marg
New Delhi -110001

No. 33/GIM&FGP/2025-CPD April 25, 2025

Office Memorandum
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Sub: Guidelines on Implementation, Monitoring and Financial Governance of the

projects supported by CSIR under National Laboratories Scheme

The competent authority has approved Guidelines on Implementation,

Monitoring and Financial Governance of the projects supported by CSIR under the
National Laboratories Scheme. The same is enclosed herewith.

These guidelines are applicable to all OSiR projects except Other Laboratory
Projects (OLP), R&D Seed Fund (RDSF) Projects and Externally Funded Projects,
irrespective of the source of funds, i.e. Govt. grant /LRF/HQRF etc.

The aforesaid guidelines are issued in supersession of all the earlier related
guidelines and shall come into effect from the date of issue of this

(Dr. Anirban Pal)

Head, Central Planning Directorate

Copy to:
1 Directors of all CSIR labs
2 Heads of all CSIR Units/ Directorates/ Divisions/ Sections
3 Sr. PPS to DG, CSIR
4 PS to FA, CSIR
5 PS to JS, CSIR
6 CSIR website through the Head, IT
7 Office Copy
 April 2025

Implementation, Monitoring and Financial

Governance of the Projects Supported by CSIR
under National Laboratories Scheme

Central Planning Directorate

Council of Scientific and
1 Industrial Research
This page is left intentionally blank

2
 PREFACE

CSIR has undertaken several initiatives recently to translate laboratory leads to

marketable/value-added technologies/products and thereby enhance interactions
and connect to stakeholders for enabling ease of doing technology licensing,
besides focusing on basic and niche-creating high science. One of the initiatives is
a “Thematic approach” to harness multidisciplinary talent and infrastructure for
solving specific challenges in identified sectors. Themes have been formed with a
view to provide for greater alignment to and for enhancing the industrial/stakeholder
focus of CSIR R&D activities. The roadmap and activities of each theme would
focus on substantial contributions towards each of the parameters - public good,
private good, strategic good and societal good.

CSIR during the current cycle of the Fifteenth Finance Commission, had formulated
several projects through the “Thematic approach”. These programmes/projects
formulated were representing different categories such as CSIR-Fundamental and
Innovative Research in Science of Tomorrow (CSIR-FIRST), Focused Basic
Research (FBR), Niche Creating Projects (NCP), Fast Track Translational (FTT),
Fast Track Commercialization (FTC), Mission Mode, Major Laboratory Projects
(MLP), International Science & Technology (IST) Projects, Special
Projects/Programme (Jigyasa, Skill Development and Archives/ Museum) and
Facility Creation Projects (FCP). The approach was to focus on basic as well as
transnational research, besides addressing specific national problems and/or
aligning and contributing to the national missions through mission-mode projects
and the creation of state-of-the-art infrastructure and facilities to support R&D
activities.

Managing these diverse R&D projects is a complex process, as in order to achieve

the set objectives of these projects in a defined time frame, proper regulatory and
supporting mechanisms are needed to be put in place to facilitate CSIR laboratories
in the smooth implementation and management of these projects. Without
adequate project management, a project team can be like a ship without a rudder;
moving but without direction, control, or purpose. Proper management of the project
allows and enables team members to achieve the set targets within the allocated
budget and time, besides engaging in the project work seamlessly.

Realizing this need, the Central Planning Directorate (CPD) in consultation with
Technology Management Directorate (TMD), Innovation Management Directorate,
International S&T Affairs Directorate (ISTAD), Integrated Finance Division (IFD)
and Laboratories/ Institutes has prepared generic guidelines for managing these
projects. The guidelines cover issues related to Project Governance, Project
Management and Financial Management including Standard Operating Procedures
(SOPs) for selection, implementation, monitoring and financial management of
projects under different categories.

It is expected that the guidelines will assist in the smooth implementation of the
projects besides helping CSIR laboratories/ Institutes to deliver new-cutting edge
science, technological interventions and world-class services.
While following these guidelines, it is requested that the following important points
may be taken note of:

(i) The guidelines are applicable to all CSIR projects (except Other Laboratory
Projects (OLP), R&D Seed Fund (RDSF) Projects and Externally Funded
Projects), irrespective of the source of funds i.e. Govt. grant /LRF/HQRF
etc. OLP and RDSF projects will be developed and monitored through the
Research Council of the laboratory. All Externally Funded Projects will be
governed by CSIR Guidelines for Technology Transfer and Utilization of
Knowledgebase - 2017 and subsequent OM issued on the subject from time
to time.

(ii) Those issues which are not covered in these guidelines or the ones which
may arise during the course of implementation shall be referred to DG, CSIR
for decision in consultation with the Financial Adviser, CSIR

(iii) These guidelines are strictly for the internal use of CSIR and its laboratories/
Institutes/ Units and are not to be circulated/shared with outsiders or any
other agencies.

(iv) For all matters pertaining to these guidelines, the nodal point at CSIR
Headquarters is Central Planning Directorate (CPD).

(v) These guidelines supersede the earlier guidelines and related

communications issued on the subject.

Central Planning Directorate

CSIR Hqrs, New Delhi

Date: 25th April 2025

 CONTENTS

S.No. Title Page No.

1. Introduction 1- 4

(A) Project categories 2

2. Governance of Projects 5-7

(A) Equipment purchase processes 5

(B) Infrastructure creation (works & services) 6
(C) Human resources (HR) 6
(D) Engaging retired employees of CSIR/ CAB/ central 7
government

3. Project Management 8-13

(A) Project formulation, appraisal & approval 8

(B) Implementation 9
(C) Monitoring 9
(D) Outsourcing of the project scientific activities 9
(E) IPR issues 10
(F) Publications 10
(G) Commercialization of outputs 10
(H) Project foreclosure 11
(I) Project time & cost overrun 11
(J) Project completion report 13

4. Financial Management 14-17

(A) Release of funds 14

(B) Rephasing of the funds within the approved cost of the 14
project
(C) Re-appropriation of funds within the laboratory 15
 (D) Reallocation/redeployment of funds from one lab to 16
another under the same budget sub-heads
(E) Additional funds over and above the approved cost of 17
the project – Revised Cost Estimate
(F) Use of internal resources 17

5. Standard Operating Procedures (SOPs) 18-25

(A) SOPs for FTT, FTC, FBR, NCP, CSIR-FIRST and HCP 18
projects - new project proposals & first-year fund
allocation/ release
(B) SOPs for Mission Mode Projects - new project 21
proposals & first year fund allocation/ release
(C) SOPs for FCP Projects 23
(D) SOPs for IST projects - new project proposals & first- 23
year fund allocation/ release
(E) Subsequent year allocation under the project 24
(F) Project monitoring 25
(G) Project completion and closure 25

6. Acknowledgements 25

7. Enclosures 1-13 26-182

 Acronyms

AC Advisory Committee
AcSIR Academy of Scientific and Innovative Research
AEISS Aerospace, Electronics, Instrumentation and Strategic Sectors
AMCs Annual Maintenance Charges
ANB Agriculture, Nutrition and Biotechnology
CAB Central Autonomous Bodies
CBD Central Budget Division
CIE Civil, Infrastructure and Engineering
CLP Chemicals (including leather) and Petrochemicals
CPD Central Planning Directorate
CSIR Council of Scientific and Industrial Research
FIRST Fundamental and Innovative Research in Science of Tomorrow
CSPS CSIR Special Projects Scheme
DoE Department of Expenditure
DPR Detailed Project Report
DSIR Department of Scientific & Industrial Research
EED Energy (Conventional & Non-Conventional) and Energy Devices
EES Ecology, Environment and Sustainability
EFC Expenditure Finance Committee
EOW Earth, Oceanography and Water
ESD Engineering Services Division
FBR Focused Basic Research
FCP Facility Creation Project
FTC Fast Track Commercialization
FTT Fast Track Translational
GIA Grant-in-Aid
HCP Headquarters Coordinated Project
HQRF Headquarters Reserve Fund
HR Human Resource
HTC Healthcare
IFD Integrated Finance Division
IST International Science & Technology
ISTAD Innovation Management Directorate, International S&T Affairs
Directorate
LSG Lab Strategic Group
LRF Laboratory Reserve Fund
MC Monitoring Committee
MLP Major Laboratory Project
MMP Mission Mode Project
MoF Ministry of Finance
MoU Memorandum of Understanding
MoM Minutes of Meeting
NCP Niche Creating Project
NLS National Laboratories Scheme
NMITLI New Millennium Indian Technology Leadership Initiative
OLP Other Laboratory Project
PCR Project Completion Report
PME Project Monitoring and Evaluation
PMT Project Management Tools
RC Research Council
RCE Revised Cost Estimate
RDPD R&D Planning Division
RDSF R&D Seed Fund
SEC Standing Experts Committee
SFC Standing Finance Committee
SOPs Standard Operating Procedures
TF Task Force
TMD Technology Management Directorate
ToR Term of References
TRL Technology Readiness Level
4M Mining, Minerals, Metals and Materials
 1. INTRODUCTION

The Council of Scientific and Industrial Research (CSIR), is an autonomous organization under
the Department of Scientific & Industrial Research (DSIR), Ministry of Science & Technology. The
schemes/projects of CSIR are funded through the Grant-in-Aid (GIA) received by CSIR under
Other Central Sector Expenditure of DSIR. The projects and schemes of CSIR are governed by
GFR Rules 2017/Delegation of Financial Powers/CSIR orders/Guidelines/Circulars
issued/amended from time to time (Enclosure–1).

CSIR has two non-central sector schemes namely, National Laboratories Scheme (NLS) and
Capacity Building and Human Resource Development. While the former covers the whole gamut
of R&D and S&T aspects, the latter deals with Human Resources and different
fellowships/awards.

With the new R&D management strategy for planning and participative performance of R&D
projects, CSIR has undertaken several initiatives to translate laboratory leads to
marketable/value-added technologies/products and thereby enhance interactions and connect
with stakeholders for enabling ease of doing technology licensing. One of the initiatives is a
“Thematic approach” to harness multidisciplinary talent and infrastructure for solving specific
challenges in identified sectors. Themes have been formed and are envisaged to provide greater
alignment to and for enhancing the industrial/stakeholder focus of CSIR’s R&D activities. The
roadmap and activities of each theme would focus on substantial contributions towards each of
the parameters - public good, private good, strategic good and societal good.

CSIR constituent laboratories across the country have been grouped under the Theme based
Clusters:

(i) Aerospace, Electronics, Instrumentation and Strategic Sectors (AEISS);

(ii) Agriculture, Nutrition and Biotechnology (ANB);
(iii) Chemicals (including leather) and Petrochemicals (CLP);
(iv) Civil, Infrastructure and Engineering (CIE);
(v) Ecology, Environment and Sustainability (EES);
(vi) Energy (Conventional & Non-Conventional) and Energy Devices (EED);
(vii) Healthcare (HTC);
(viii) Mining, Minerals, Metals and Materials (4M); and
(ix) Earth, Oceanography and Water (EOW)

CSIR formalized its activities encompassing the above nine themes to:
 Functionally derive synergy from complementary skills and expertise across labs;
 Bring in sector-specific industry focus;
 Inter-ministerial/ departmental interaction/ coordination;
 Align with Stakeholder needs; and
 Enhance business focus

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(A) PROJECT CATEGORIES
Under the thematic approach, CSIR laboratories are leveraging their unique scientific and
technological capabilities to attain objectives while implementing the programmes/projects
through the following categories under the National Laboratories Scheme:

(i) CSIR-Fundamental and Innovative Research in Science of Tomorrow (CSIR-FIRST)

Projects
Basic scientific research is an essential component of a knowledge-based society and
provides a platform for the future readiness of a Nation. CSIR-FIRST category opens the
challenge to the CSIR laboratories to come up with cutting-edge, futuristic R&D programs
for competitive funding. The research grant will be scientist-centric and will not anticipate
large collaborative/network efforts. Wherever relevant, however, there may be one or two
co-investigators. The selection criteria for funding under this scheme will be mainly based
on two factors: 1) Uniqueness of the fundamental question(s) being addressed and 2)
feasibility of the program based on past track record. The normal duration for the CSIR-
FIRST is 24 months

(ii) Focused Basic Research (FBR) Projects

Focused Basic Research (FBR) Projects are focused on high-end basic research projects,
typically where an initial Proof of Concept is already indicated with TRL as 2-3. The normal
duration for the FBR project is 12 to 24 months.

(iii) Niche-Creating High Science/ High Technology Projects (NCP)

Niche Creating High Science/ High Technology (NCP) research projects are based on a
niche already created by a research group in the laboratory of CSIR at the national level,
and it is focused on retaining the leadership achieved, aimed at global leadership. The
normal duration for the NCP project is 12 to 24 months, and it lies between TRL 2-3.

(iv) Fast Track Translational (FTT) Projects

Fast Track Translational (FTT) research projects address national goals, including the
problems of the common man. These are oriented towards technology/product
development with relatively short-term outcomes (up to 18 to 24 months) with clear
solutions to pre-defined problems and challenges, close to market (outcome higher TRL
technologies, generally lies between TRL 3-6) and driven by a suitable business plan. The
philosophy behind FTT Projects is to reduce the time from already-proved concept to
market, stimulate the participation of a cross-section of scientists and technical personnel
towards a defined goal.

(v) Fast Track Commercialization (FTC) Projects

Fast Track Commercialization (FTC) research projects are positioned to create new
business opportunities or expand existing businesses. Typically, these are for 6 to 24
months, starting with a minimum TRL as 4, or follow-on from top-rated FTT Projects with
an identified stakeholder. Multiple CSIR institutional partners/ facilities are harnessed for
the FTC projects.

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(vi) Mission Mode Project (MMP)
Mission Mode Projects (MMPs) are research projects with a significant stakeholder focus,
targeting cutting-edge, internationally benchmarked, cost-effective technologies of high
national impact. The project's focus is on time-bound deliverables and outcomes, with a
36-month’ timeframe.

(vii) Facility Creation Projects (FCP)

The basic aim of Facility Creation Projects (FCPs) is to build new infrastructure or
upgrading the existing one in order to meet new technological challenges and for
generating revenues at the CSIR laboratories. Some of the facilities so created cater to
the laboratories and the ultimate purpose is to serve to other R&D and academic
institutions. The parameter of selection under FCP includes but is not limited to (i) Facility
to be linked to at least one ready or near ready technology to accelerate commercialization;
(ii) Must have Business Plan; (iii) No recurring grants will be sanctioned by CSIR Hqrs.
The same is to be met by the laboratories; (iv) Analytical facilities not to be supported; and
(v) Must have Pay Back period of less than five years on an ECF basis.

(viii) Headquarters Coordinated Projects/Programs (HCP)

Any other R&D and/or non-R&D oriented projects/programs which are not covered under
any of the aforesaid categories and emerged out and/or initiated for time-bound execution
will fall under this category. Some of the examples of such ongoing projects/programs are
CSIR Skill Development Program, CSIR-Jigyasa Program, Establishment of Archives/
Museum, CSIR Units’ Projects etc.

(ix) International Science & Technology (IST) Projects

International collaborations through International Science & Technology (IST) projects of

CSIR are a tool to strengthen the bilateral/multilateral relations of India with other
countries. The IST Projects are aimed at strengthening the mutual R&D capabilities and
capacities and HR building at the global level through new knowledge generation, co-
development/upscaling/deployment of technologies, developing new technology
applications, novel skill upgradation, facilitating capacity development of industry in the
mutually agreed priority areas. ISTAD supports IST Projects in two categories viz. a)
Research and mobility support; and b) Only mobility support (as per provisions under B/H
P-801). The projects involving only mobility support are governed by the CSIR Foreign
Deputation guidelines/GoI guidelines as applicable.

CSIR has recently come out with CSIR Vision - 2030 which is aligned with the national missions
and the country’s vision @ 2047 envisaging CSIR as a nodal and model for global STI which is
in sync with the directions given by the Hon’ble Prime Minister of India as President of CSIR to
develop technologies not only for India but for the world and maintain high standards and
benchmarks.

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Also, going by the same ethos, in the 200th meeting of the CSIR Governing Body held on
December 17, 2022, a new tagline of the organization, “CSIR-The Innovation Engine of India”
has been launched by the Hon’ble Minister of Science & Technology and Vice-President of CSIR.

In order to realise the new goals, aspirations and vision, it is imperative that CSIR and its
constituent laboratories should revitalize their mode of working and implement the projects in
time-bound manner. In order to facilitate the same, the Central Planning Directorate (CPD), with
concurrence of IFD, CSIR as per the directions of the Competent Authority is bringing out this
new set of guidelines for the Implementation, Monitoring and Financial Management of various
categories of Projects supported by CSIR Headquarters under its National Laboratories Scheme.

These guidelines are expected to help CSIR laboratories in a long way in delivering new cutting-
edge science, technological innovations and world-class services.

This will supersede the Guidelines on Implementation, Monitoring and Financial Governance of
Eleventh Five-Year Plan projects under the National Laboratories Scheme issued in October
2007 and all subsequent related orders.

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 2. GOVERNANCE OF PROJECTS

Administrative/financial/governance support is very crucial in the project life cycle. The resources
required for the project viz, men, material, machinery/equipment, money, infrastructure creation
etc. are the major inputs for the smooth progression of the project. Timely input of these resources
through supporting governance mechanisms will lead to the timely completion of the project
without cost overrun. Targeted resource management guarantees the right people and the right
skills and material resources are in place to execute the project. Hence, the project management
is incomplete without governance mechanisms which will be used as Project Management Tools
(PMT) by the project management team for the successful completion of the project. Considering
the importance of these resources, CSIR has prepared the following guidelines covering the
various aspects of governance mechanisms.

(A) EQUIPMENT PURCHASE PROCESSES

Timely procurement of apparatus/equipment for the project is the first important stage of its
implementation. Many times project implementation gets delayed due to a lack of timely
availability of equipment. This is also true for the equipment planned for procurement during the
mid-stage of the project. All these factors not only cause delays in the completion of the project
but also lead to extended period of idle time for human resources. The overall effect may lead to
time and/or cost overrun. Therefore, every effort should be made by the laboratories for the timely
procurement of equipment as per the activity schedule of the project.

Following are the guidelines with respect to the procurement of equipment:

 All participating laboratories shall follow the purchase procedures issued by CSIR/GFR
Rules 2017 and CSIR orders/Guidelines/Circulars issued from time to time.
 The Director, Indenter, PI and COS&P/ SPO’s of nodal & participating laboratories are
required to ensure that equipment under projects are processed, procured, erected &
commissioned in a time-bound manner and on priority basis so as to maintain the timeline
of the project.
 While formulating the Research Proposal (whatever be the category), the need of the
equipment should be brainstormed (duplication should be avoided) and exact specifications
should be arrived.
 It must be ensured while estimating the cost of equipment that the cost of training, freight,
insurance cover etc. are included thus forming integral part of the cost of the equipment.
 List of all equipment's with firmed up cost should be made part of the project proposal.
Further, in case of major equipment (single equipment costing more than Rs. 5.00 lakh), the
documentary support for firmed up cost may be placed on record.
 Once the project/s has been issued an overall Financial Sanction by CSIR, each laboratory
should plan the procurement of Apparatus/Equipment as per the schedule of the project
requirement. However, the expenditure on the procurement of equipment should not exceed
the annual sanction under the capital head for equipment. In an urgent situation (pending
budget release from CSIR) the laboratory may utilize their LRF for procurement of
equipment and later the same may be recouped/adjusted out of the budgetary release from
CSIR Hqrs. during the same financial year only under the respective projects against
allocations under the capital head for equipment. It is mandatory to maintain a log book for

5
 each of the major equipment by the respective Division Scientist / Scientist in-charge of
usage of the equipment/s.
 Change in equipment: For any change in the specification/model/version of equipment
which was originally envisaged in the approved SFC/EFC document, the Monitoring
Committee/ External Expert Committee of the concerned project is fully empowered to
change the specification/ model/version of the equipment/s in the interest of the project
provided that the same results in the purchase of better/higher version of the equipment/s
without incurring additional cost.

(B) INFRASTRUCTURE CREATION (WORKS & SERVICES)

The creation of necessary infrastructure includes those works & services (allied to works only)
which are necessary for the installation of equipment or other related facilities. This at times also
involves the construction of small buildings or slight modification of existing buildings for housing
the major equipment. Proper planning for the development of these infrastructure facilities should
be made well in advance so as to avoid procured equipment remaining idle at laboratories for
extended periods. The following are the guidelines in respect of Works & Services associated
with the project/s.
 Before finalizing the SFC/EFC proposals at the laboratory level, all works & services (allied
to works only) associated with the project should be worked out in detail including the
preliminary estimates by the ESD of the laboratory. The preliminary estimates so prepared
and technically checked & certified as correct by Lab ESD, concurred in by Head of Finance
at the laboratory, including estimates technically checked & certified as correct by ESD-
CSIR (in case beyond the powers of MC) should be appended in the final SFC/EFC proposal
before forwarding to the concerned Directorate of CSIR Hqrs. for consideration.
 Laboratories should follow the rules relating to the delegation of financial powers and other
related aspects of carrying out works as per the orders / circulars / instructions / guidelines
issued by CSIR Hqrs. from time to time.
 Since it is a time-consuming process, budget projection for W&S in projects other than
Mission Mode Projects/Facility Creation Projects is not encouraged. Minor W&S
requirements for other projects are to be executed from Lab Infra budget.

(C) HUMAN RESOURCES (HR)

Among all the resources required for the project, human resources take the lead as it is one of
the critical components without which the project may not proceed ahead despite availability of
all the other resources. Having the right people with the right skills at the right time is essential to
ensuring the success of the project. The projects supported by CSIR Hqrs. are the top priority
projects and the laboratories need to optimally utilize the existing scientific, technical and
supporting staff for implementing these projects for which provisions have been made in the lab
budget as well in the project. Wherever necessary, redeployment of the additional permanent
staff should be made based on the need and justification by the Director of the laboratory.

The existing staff strength should be utilized to the optimum by deputing them for the project
work. If additional manpower is required to complete the project work, the number of Tech
HR/consultants etc. to be engaged may be recorded in the DPR. Tech HR may be appointed as
per the guidelines issued by CSIR vide OM No. 5-1(342)/2017-PD dated September 04, 2024
and October 18, 2024 (Enclosure–2 and 2a) respectively.

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(D) ENGAGING RETIRED EMPLOYEES OF CSIR/ CAB (CENTRAL AUTONOMOUS
BODIES) / CENTRAL GOVERNMENT

CSIR guidelines for Engagement of retired CSIR/CAB/Central Government Employees on

contract (including a consultant) in CSIR are available and the same should be extended to
support the CSIR R&D activities. The retired employees of CSIR/ CAB/ Central government can
be engaged for CSIR R&D projects keeping in view that it should only be done in urgent and
emergent cases where expert/professional services are required for urgent and identified work
and should not be used as a common practice routinely.

Engagement of retired CSIR/ CAB / Central Government employees on contract can be made
initially for six months which can be further extended for six months with the approval of the
Competent Authority and concurrence of Finance. In case an extension beyond one year is
required, the same may be approved by the Research Council (RC) of the concerned Laboratory/
Institute (DG, CSIR in case of CSIR Hqrs.) that too limited to 2 years only. In a very rare case, on
the recommendation of the RC, an extension may be given beyond 2 years with the concurrence
of FA, CSIR and approval of DG, CSIR. In any case, the extension shall not exceed six months at
a time.

The procedure for engaging retired employees of CSIR/ CAB/ Central Government on contract
(including a consultant) in CSIR will be governed in accordance with the provisions contained in
CSIR letter no. 5-1(354)/2016-PD dated December 02, 2022 (Enclosure–3). HR-II Section of
CSIR Hqrs. will be the nodal section for processing of all such cases. Even though, in general,
CSIR rules permit the engagement of retired personnel, in the case of projects, a provision should
have been made in the original SFC/EFC document and the recommendation of the Monitoring
Committee is a must to proceed further.

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 3. PROJECT MANAGEMENT

R&D Planning Division (RDPD) / Project Monitoring and Evaluation (PME) Division of the
concerned nodal and the participating laboratories and Technology Management Directorate
(TMD)/ Innovation Management Directorate (IMD)/ Central Planning Directorate (only for FCPs)/
International S&T Affairs Directorate (ISTAD) are the Nodal Divisions for implementing & monitoring
of the projects supported by CSIR Hqrs. till their logical closure. Hence, the Project Management
of the projects supported by CSIR Hqrs. is the prime responsibility of RDPD/PMEs of Nodal /
participating laboratories. At CSIR Hqrs. level, the concerned Directorate is the focal point and CPD
will act as a link between different Directorates, IFD (Integrated Finance Division) and CBD (Central
Budget Division) for all matters relating to the projects. Though the Project Management of R&D
projects is a complex issue because of their uncertain outputs, every effort should be made to make
them successful through proper implementation & monitoring mechanisms. The following
guidelines, in this regard will help laboratories to prepare and manage their projects (post approval)
effectively and in time time-bound manner:

(A) PROJECT FORMULATION, APPRAISAL & APPROVAL

CSIR during every Finance Commission Cycle will formulate projects through a Thematic
Approach.

These programmes/projects will be formulated in various categories such as CSIR-Fundamental

and Innovative Research in Science of Tomorrow (CSIR-FIRST), Focused Basic Research
(FBR), Niche Creating Projects (NCP), Fast Track Translational (FTT), Fast Track
Commercialization (FTC), Facility Creation Projects (FCP), Mission Mode, Headquarters
Coordinated Projects/Programs (HCP), Special Projects/Programme (Jigyasa, Skill
Development and Archives/ Museum) and International Science & Technology (IST) Projects.
The Standard Operating Procedures (SOPs) for project formulation has been separately given in
Chapter 5.

IST Projects shall be funded both by CSIR (through ISTAD) and the corresponding foreign
partner of CSIR as per mutually agreed terms. The joint IST Project proposals shall be
evaluated/reviewed either jointly or individually. At CSIR, the project proposals shall be
evaluated by the Standing Experts Committee (SEC) for International Cooperation
Programmes. The decision on award of the Project shall be taken jointly based on the
joint/individual review and recommendations, as per agreed terms.

As per MoF/DoE guideline/s issued and amended from time to time, various project
appraisal/approval authorities have been designated to appraise/approve the project proposals
depending upon the cost of the projects, thereafter the same is placed for approval of the competent
authority.

The comprehensive set of guidelines issued by MoF/DoE on the subject related to scheme/project
format and appraisal and approval of Public Funded Schemes / Projects are enclosed in
Enclosure–4, 4a, 4b, 4c, 4d, 4e and 4f respectively.

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(B) IMPLEMENTATION
CSIR has been instrumental in steering the Indian Research and Development in a wide spectrum
of science & engineering and has reported several radical technologies, inventions, and discoveries
since its inception. The existing model of technology development has served well but due to
changing circumstances and market dynamics, CSIR needs to move towards a more structured
model for project management and technology development.

Accordingly, CSIR vide OM No. 6/10/Reorient CSIR/2021/1 dated September 29, 2021 has issued
a procedure for implementation of the Stage-Gate Model for Technology Development in CSIR
(Enclosure–5). All projects under the category of FTT, FTC, Mission Mode and
technology/product-oriented HCP shall be implemented following the aforesaid office
memorandum i.e. Stage-Gate Model only. However, it shall not apply to projects undertaken in
FBR, NCP, CSIR-FIRST, FCP, IST and Non-R&D HCP projects and other Special
Projects/Programme like CSIR-Jigyasa, Skill Development etc.

(C) MONITORING

The term "Project Monitoring" becomes one of the vital segments in the overall R&D activities in
CSIR. The major role of project monitoring is not only in aligning the project with the initially
established schedule but also ensuring the seamless availability and right usage of resources such
as manpower, material and finances. Additionally, this assures that consistent effort has been put
in uniformly throughout the project duration and prevents any fire-fighting situation which could
potentially lead to substandard and/or compromised outcomes. Thus, project monitoring promises
timely detection and response for any issues occurring in the project as well as prevention of any
problem occurrences and avoiding delays. It is very much required to run the projects smoothly
and efficiently in a time and cost bound manner.

CSIR has issued New Guidelines for Project Monitoring in CSIR vide OM No. No.6/10/Reorient
CSIR/2021/2 dated September 20, 2021 (Enclosure–6) and dated October 09, 2024
(Enclosure–6a). All FBR, NCP, CSIR-FIRST, FTT, FTC, Mission Mode R&D/ Non-R&D HCP
projects and other special projects/programmes like CSIR-Jigyasa, Skill Development etc. funded
by CSIR Hqrs shall be monitored by following the procedure depicted in this office memorandum(s).

IST Projects shall be reviewed and monitored by both CSIR (through ISTAD) and the
corresponding foreign partner (as per existing procedures/guidelines, as amended from time
to time). At CSIR, the IST Projects shall be monitored by the Standing Experts Committee
(SEC) for International Cooperation Programmes. The decision on award/continuation/closure
shall be taken jointly based on the review and recommendations on both sides.

(D) OUTSOURCING OF THE PROJECT SCIENTIFIC ACTIVITIES

 In cases of programmes/projects wherein provision for the outsourcing of certain scientific

activities has been provided in the approved SFC/EFC document, outsourcing may be done
following the GFR-2017 issued by the Ministry of Finance. This work component generally
comprises activities/tasks where expertise is not available within the Laboratory, but these
activities are necessary and crucial for the completion of the project.
 For any outsourcing of scientific activity not provided in the approved SFC/EFC document of
the project, the External Monitoring Committee/ External Experts Group/ Standing Experts
Committee is empowered to take such decisions in the interest of the project execution and
achieving the deliverables. The funds requirement shall be met under the recurring head
only.

9
 Incurring expenditure to the outsourcing agency for the purchase of equipment or any other
facility which is capital in nature is not allowed. CSIR funds shall not be used to provide
equipment and/or facilities to the outsourcing agency.

(E) IPR ISSUES

 Patents, copyright, trademark, registered design and know-how for process/ product/
design are included in 'Intellectual Property'. All the IPs developed under the project shall be
the property of CSIR.
 In the case of IST Projects, the IPR issues shall be governed by the mutually agreed
arrangement between CSIR and the foreign partner as per the existing inter-governmental
S&T agreement for cooperation between the countries, as applicable.
 In the case of projects involving multiple CSIR laboratories/institutes, it is advised that a
proper understanding on sharing of credits may be entered before the beginning of the
project between participating laboratories. The External Monitoring Committee/ External
Experts Group is empowered to decide on such issues. In case of disputes, the matter may
be referred to CSIR. In all such cases, DG, CSIR shall be the competent authority.

 Any IPR generated from the outsourcing of scientific activities to an outside agency shall be
the property of CSIR.

(F) PUBLICATIONS
In 2019, CSIR issued comprehensive Guidelines for Ethics in Research and in Governance
(Enclosure–7). This guideline deals with scientific misconduct issues which arise during the
publication of research outputs/results in various SCI/Non-SCI journals. Embezzlement of
ideas, Plagiarism, Falsification, Fabrication, Fraud, Non-compliance of Regulatory
Guidelines, Inappropriate Authorship, withholding data from Validation and Wrong versus
Fraudulent paper are the various forms of scientific misconduct.

The suggested Standard Operating Procedure (SOP) for inquiry in any act of scientific
misconduct is given in detail in the guidelines. Researchers and Scientists in laboratories
must strictly follow the said guidelines.

(G) COMMERCIALIZATION OF OUTPUTS

 The projects supported by CSIR Hqrs under the National Laboratory scheme aim at the
generation of new knowledge which could be used for public, private, strategic and societal
goods. Dissemination of knowledge for the benefit of society should be the aim of these
projects. Hence, it is necessary to involve industries, stakeholders, beneficiaries etc. since
from the beginning of the project or at the convenient stage as decided by the External
Monitoring Committee/ External Experts Group. It is advised that industries may be involved
at the beginning of the project itself for effective commercialization of the research output.
 Business models adopted for the commercialization of outputs of these projects shall employ
the same guidelines as those adopted by CSIR for all other projects supported by the
government.
 While retired CSIR/Central Government/CAB Employees may be engaged as the Technical
and Business Development Consultants as per CSIR letter No. 5-1 (354)/2016-PD dated

10
 02.12.2022, others may be engaged as per GFR/Manual for Procurement of Consultancy
and Other Services.
 Valuation of IP generated from these projects for commercialization shall be carried out as
per the existing CSIR Guidelines for Technology Transfer and Utilization of Knowledgebase.
The External Monitoring Committee/ External Experts Group is empowered to decide on all
such matters.
 In the case of IST Projects, the terms of commercialization of outputs shall be governed by
the mutually agreed arrangement between CSIR and the foreign partner as per the existing
inter-governmental S&T agreement for cooperation between the countries, as applicable.

(H) PROJECT FORECLOSURE

 Foreclosure of a project should be based on appropriate justification, sound scientific

reasons and cost-benefit analysis of the with and without project scenario.
 The External Monitoring Committee/ External Experts Group/Standing Experts Committee
shall recommend foreclosure of the programme whenever such a decision is considered
essential and placed before the RC for approval. Foreclosure of the projects may be reported
to the approving Authority.

(I) PROJECT TIME & COST OVERRUN

Late completion of the project and constantly failing to keep delivery promises will damage the
reputation of the organization in the eyes of the stakeholders. Therefore, actual progress needs to
match or beat planned progress and all significant stages of the project must be accomplished not
later than their specified dates, to result in total completion on or before the planned finish date.
Further, any project that continues to use resources beyond its planned finish date can have a
knock-on effect and disrupt other projects that are either in progress or waiting to follow. There are
several reasons for project time & cost overrun which may include:

 Lack of infrastructural facilities

 Lack of or inadequate manpower
 Inadequate investigation at the Pre-Project stage
 Underestimation of capital & recurring expenditure
 Change in the scope of work, objectives and deliverables
 Changes in the specifications of apparatus/equipment
 Escalation & Inflation
 Problems of vendors/suppliers
 Non-availability of special equipment
 Delay in getting government clearances in case of involvement of foreign clients,
vendors/suppliers.
 Improper work schedule & sequencing of activities
 Currency fluctuations, changes in taxes & duties, etc.
 Any other unprecedented situation/s

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These time and cost considerations mean that delays on a large project can easily cause additional
costs. It is therefore clear that if R&D work can be monitored and managed carefully so that it
proceeds without disruption against a sensible, achievable plan, many of the problems concerning
time & cost overrun can be avoided.

Following are the guidelines concerning the project time & cost overrun:

(1) Time overrun

 The time overrun of the project will be allowed only in extreme and genuine cases with proper
justification for time overrun of the project.
 Nodal Laboratory shall place a request to the Research Council clearly indicating the reasons
& justification for the time overrun of the project.
 The recommendations of the Research Council may be submitted to the respective Nodal
Directorate at CSIR Hqrs for placing it further to the External Monitoring Committee/ External
Experts Group/ Standing Experts Committee for active consideration and approval of time
overrun. Based on the merits of the case, the Nodal Directorate, will place the
recommendations of the External Monitoring Committee before the Competent Authorities for
concurrence / approval.
 The time overrun coupled with cost overrun shall be considered as an RCE proposal, following
the extant provisions.

(2) Cost overrun / RCE

 In case the cost of the project exceeds the original cost, the nodal laboratory shall prepare an
RCE proposal as per the guidelines issued by the Ministry of Finance / DoE
 At the first step, the RCE proposal shall be submitted to the Nodal Directorate for
consideration of the External Monitoring Committee/ External Experts Group/ Standing
Experts Committee for review and the External Monitoring Committee/ External Experts
Group/ Standing Experts Committee, based on the merits, will recommend the RCE proposal
for the consideration of CSIR.
 Based on the recommendations of RC/External Monitoring Committee/ Standing Experts
Committee, the Nodal Laboratory with the consent of the Nodal Directorate, CSIR will proceed
as per RCE mentioned in MoF/DoE OM No. 24(35)/PF-II/2012 dated August 5, 2016
(Enclosure–4). The formulation and management of the Revised Cost Committee (if
required) will be done by the Nodal Directorate, with Project PI and CPD as members and the
Coordinator of Nodal Directorate as member-convenor. The duly approved Minutes of
Meeting (after all formalities) with revised DPR needs to be submitted by the Nodal Laboratory
to the Nodal Directorate for fresh appraisal and approval.
 Based on the merit and availability of funds, the RCE proposal shall be put up to the
competent authorities for concurrence/approval by the respective Nodal Directorate at CSIR
Hqrs.
 In the case of IST Projects, the terms of cost overrun shall be governed by the mutually agreed
terms between CSIR and the foreign partner.

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(J) PROJECT COMPLETION REPORT

A comprehensive project completion report will aid in strengthening the Management Information
System (MIS) of the organization, therefore, proper documentation of the project results are
extremely important. These reports not only provide information on the results achieved vis-à-vis
targets but also help the Management to make an analysis of the success of the project. Every
effort should be made to prepare the project completion report immediately after the completion of
the project. The following guidelines may be followed in this regard:

 All the projects completed as per schedule shall have a project completion report (PCR). The
Nodal laboratory of the respective project(s) is responsible for the preparation of project
completion report in the proforma (category wise) as given in Enclosure–8.
 Before submission of the PCR to the CSIR Hqrs., the PCR (as per the appropriate format)
should be prepared and placed before the forthcoming Research Council/ Advisory
Committee meeting for consideration and “in-principle” approval. Subsequent to the same,
the PCR should be submitted to the Nodal Directorate for obtaining the approval of the
External Monitoring Committee/ Standing Experts Committee. The approval of the External
Monitoring Committee/ Standing Experts Committee can be obtained by circulation or by
conducting a physical/online meeting of the committee.
 Subsequent to the “in-principle” approval of the Research Council/ Advisory Committee, the
final PCR should be submitted to the Nodal Directorate, CSIR Hqrs., while ensuring the
following adherence:

(i) All the pages of the PCR should be signed by the Nodal PI;
(ii) Along with PCR, there must be a detailed Financial Statement indicating Year Wise/
Budget Head Wise Total Allocation and Total Expenditure, duly signed by Director/
Head of the Lab/Unit, F&AO or CoFA (as the case may be), Nodal PI and H/PME;
and
(iii) All the other relevant documents such as approved MoM of LSG, External Monitoring
Committee, Steering Committee, CSIR OMs (related to project approval, Time
Overrun, Cost Overrun, Project Revision, RCE etc.), Research Council’s /Advisory
Committee’s approvals of PCR and any other document seems relevant should be
attached as Annexures.
 The Nodal Directorate will examine the PCR for its completeness and submit the same to
the DG, CSIR for consideration and approval for the closure of the project.
 Any new worthy idea, suggestion emanated from the submitted PCR and its approvals may
be discussed in the forthcoming HoD’s Meeting/ Directors’ Meeting chaired by DG, CSIR and
if found worthy and approved “In-principle” by the Competent Authority for further exploration/
consideration, can be forwarded to the respective Nodal Directorate/Theme Strategic
Group/Mission Director for further examination and needful. The decision taken on all such
ideas must be updated to the DG, CSIR in forthcoming HoD’s and Directors’ Meeting to take
all such initiations to a logical point.

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 4. FINANCIAL MANAGEMENT

CSIR is getting Budgetary Support from the government in the form of grant-in-aid under three
heads namely, (i) Grant-in-aid (GIA) General; (ii) Grant-in-aid (GIA) for the Creation of Capital
Assets; (iii) Grant-in-aid (GIA) for Salary. In turn, CSIR allocates funds to all laboratories/ institutes
under National Laboratories Scheme (NLS). The proper utilization of the grant provided by the
government is the prime responsibility of CSIR laboratories. Timely utilization of the budgetary
allocations directly reflects the efficiency of the organization and provides an indication of the
progress of the projects. To facilitate CSIR laboratories towards proper utilization of funds, CSIR
has framed the following guidelines for the Financial Management of the projects supported by the
CSIR Hqrs:

(A) RELEASE OF FUNDS

 After the proposal is approved by the Competent Authority, project approval OM will be
issued by the Nodal Directorate. The Nodal Directorate has to share the OM with CPD and
CBD. Release of funds by CBD will be as per SOP of ibid guidelines.
 Nodal Directorate will submit the proposal for the release of funds to CPD and on the
recommendations of CPD, CBD-CSIR will release funds as per the SOP. For ongoing
projects, the nodal laboratory will provide the details of head-wise actual expenditure of
previous years in respect of all the participating labs duly authenticated by their Head PME
and countersigned by F&AO/ CoFA at the beginning of each financial year to the respective
Directorate at CSIR Hqrs. The funds for the subsequent year of the project will only be
released after the receipt of the expenditure statement from the nodal lab.
 CPD, CSIR will scrutinize and recommend the fund allocation/ release to the Central Budget
Division of CSIR in respect of all the proposals for allocation after considering the proposal
and justification received from the respective Directorate.

(B) REPHASING OF THE FUNDS WITHIN THE APPROVED COST OF THE PROJECT
In general, the rephasing of the budget in a particular project from one financial year to the next will
not be entertained as it hinders financial planning. The rephasing request will be considered in
extremely deserving situations with adequate justification, with due approval of the competent
authority. Rephasing will be done in accordance with the prevailing CSIR / MoF Guidelines and
relevant policies.
The re-phasing of the financial allocation may also arise due to:
(i) the late start of the project; and
(ii) the slow progress of the project resulting in saving in a particular year against the sanctioned
allocation and
(iii) Any other unprecedented situation.

In the above cases, the funds earmarked may not be spent by the laboratory during the
sanctioned period. Thus, the funds to the extent not utilized during the sanctioned period may be
considered for rephasing in subsequent year(s) with the approval of the competent authority only
for the execution of the project as per the committed objectives in the original DPR/SFC

14
document. The following steps need to be followed for submitting rephased fund release request
to the Nodal Directorate, CSIR Hqrs.
 Rephasing demand requests (with proper justification) from the laboratories should be duly
vetted by the Finance section, signed by Nodal PI, Head, PME and signed and forwarded
by the Director of the laboratory. The rephasing statement should have the necessary lab-
wise, and head-wise break-up of expenditure already incurred and detailed rephrasing
request for the proposed year. Rephasing of unspent amount on the TA (India and Abroad)
and project manpower (covers under B/H P-07) is not allowed.
 The Concerned Nodal Directorate of CSIR Hqrs, based on the justification provided and the
availability of funds (with CPD’s concurrence), will process the request for consideration and
concurrence of FA, CSIR.
 Subsequent to concurrence of FA, CSIR, Nodal directorate will submit the request to CPD
for fund allocation (in consultation with CBD) and DG, CSIR approval for rephasing and
subsequent allocation and release of fund. Once the approval of the DG, CSIR has been
obtained, CPD will recommend allocation/ release of funds by Central Budget Division,
CSIR Hqrs. and case will be marked back to Nodal Directorate for further needful.

The following documents need to be attached by the Nodal Directorate while submitting rephasing
request to FA, CSIR and CPD:
a) External Monitoring Committee/ External Expert Group recommendations for the projects
b) DG, CSIR approval of Monitoring Committee proceedings / recommendations
c) Demand of rephased fund requests with proper justification, duly signed by Nodal PI,
FAO/CoFA of Nodal Laboratory, Head, PME and Director of the laboratory
d) Earlier sanction OMs issued by CSIR Headquarters
e) OMs issued by the laboratory (if any) and
f) Expenditure statement lab-wise and head-wise for the previous years by laboratory duly
attested and signed by Nodal PI, FAO/CoFA of Nodal Laboratory, Head, PME and Director
of the Nodal laboratory
The concerned Directorate will issue the rephased OM with revised financial layout (as and where
necessary) reflecting the approved re-phasing of funds. With the issued OM, the file can be sent
to Budget, CSIR HQ for allocation/ release of fund.
Note: All OMs (Project approval/ Rephasing/ Re-appropriation approval) must duly mention the
File No. and date on which it is concurred by IFD. Any OMs without mentioning of IFD
concurrence and respective File No. and date will not be treated as valid.

(C) RE-APPROPRIATION OF FUNDS WITHIN THE LABORATORY

To give flexibility in the project implementation, re-appropriation of funds in a project is allowed.

The guidelines in this regard are as under:
 The Re-appropriation of funds will be guided and controlled by the GFR.
 External Monitoring Committee/ External Expert Group is empowered to recommend the re-
appropriation of funds from one budget head to another budget head on ‘Revenue’ or
‘Capital’ side as per the extant provisions of GFR.

15
 Re-appropriation demand requests (with proper justification) made by laboratories should
be duly vetted by the Finance section, signed by Nodal PI and H/PME and signed and
forwarded by the Director of the Nodal laboratory. The Re-appropriation statement should
have the necessary lab-wise, and head-wise break-up of expenditure already incurred and
detailed Re-appropriation information for the proposed year.
 The Concerned Nodal Directorate of CSIR Hqrs., based on the justification provided, will
process the request for consideration and concurrence of the FA, CSIR through CPD.
 Subsequent to the concurrence of FA, CSIR; Nodal directorate will submit the request to
DG, CSIR for consideration and approval.

The following document/s need to be attached by Nodal Directorate while submitting a re-
appropriation request to FA, CSIR through CPD:
a) External Monitoring Committee recommendations for the projects;
b) DG, CSIR approval of Monitoring Committee proceedings/recommendations;
c) Re-appropriation requests with proper justification duly signed by Nodal PI, FAO/CoFA of
Nodal Laboratory, Head, PME and Director of the Nodal laboratory;
d) Earlier Sanctioned OMs issued by CSIR Headquarters;
e) OMs issued by the laboratory (if any); and
f) Expenditure statement lab-wise and head-wise, duly attested and signed by Nodal PI,
FAO/CoFA of Nodal Laboratory, Head, PME and Director of the Nodal laboratory.
The concerned Directorate will issue the re-appropriation OM with a revised financial layout (as
and where necessary) reflecting the approved re-appropriation. With the issued OM, the file can
be sent to Central Budget Division, CSIR Hqrs. for issuing the revised project’s financial approval
OM.

Note: All OMs (Project approval/ Rephasing/ Re-appropriation approval) must duly mention the
File No. and date on which it is concurred by IFD. Any OMs without mentioning of IFD
concurrence and respective File No. and the date will not be treated as valid.

Re-appropriation of funds is not permissible from:

 Capital budget head to Revenue budget head and vice versa.
 Augmenting TA provision.

(D) REALLOCATION/REDEPLOYMENT OF FUNDS FROM ONE LAB TO ANOTHER

Quite often the situation calls for reallocation from one lab to another during the course of the
project to meet the emerging research needs. The guidelines under the case are as follows: -
a) External Monitoring Committee/ External Expert Group is empowered to recommend the re-
allocation of funds from one participating lab to another lab under the same heads/subheads
and under different sub-heads of capital and revenue without any limit by giving full
justification for doing so
b) Reallocation requests (with proper justification) made by laboratories should be duly vetted
by the Finance section (Nodal Laboratory) and forwarded by the Director of the Nodal
laboratory. Revised DPR needs to be annexed

16
c) The concerned Nodal Directorate of CSIR Hqrs, based on the justification provided will
process the request through CPD for concurrence of FA, CSIR and approval of DG, CSIR.
d) The concerned Directorate will issue the OM for approved re-allocation of funds.

Note: The reallocated funds should be utilized only for approved items under the project.

(E) ADDITIONAL FUNDS OVER AND ABOVE THE APPROVED COST OF THE PROJECT
 The case falls under the category of RCE proposal.
 The guidelines are provided under 'cost overrun' of the Project Management section.
These guidelines will also hold good for the above case.

(F) USE OF INTERNAL RESOURCES

CSIR is getting budgetary support from the government in the form of grant-in-aid for its
smooth functioning. Major portion of this budgetary grant goes for meeting the salary and
pension of the CSIR employees and obligatory expenses like water/electricity/gas bills,
various annual maintenance charges (AMCs), municipal taxes as well as expenses on
repairs, refurbishment, maintenance etc. The remaining funds are deployed for R&D
projects. In order to supplement the CSIR budgetary resources, CSIR has a scheme
named “Laboratory Reserve Fund” (LRF) / Headquarter Reserve Fund” (HQRF). The
guidelines for generation and utilization of LRF/ LHRF is given at Enclosure–9, 9a, 9b and
9c.

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 5. STANDARD OPERATING PROCEDURES (SOPs)

Standard operating procedures (SOPs) are step-by-step instructions that act as guidelines for
selection, implementation, monitoring and financial management of projects. SOPs framed by the
CSIR for projects supported under different categories are as follows:

(A) SOPs FOR FTT, FTC, FBR, NCP, CSIR-FIRST AND HCP PROJECTS – NEW PROJECT
PROPOSALS & FIRST YEAR FUND ALLOCATION/ RELEASE

(a) Approval of the competent authority for inviting the proposals from the CSIR
laboratories/ institutes/units is to be obtained by the respective Nodal Directorate at
CSIR Hqrs. Since the project implementation date will be invariably 1st April, the
concerned Directorate should start the process well in advance, preferably August /
September of the preceding year.
(b) The proposals should be invited in the prescribed proforma only, as enclosed in
Enclosure–10.
(c) The participating laboratory shall submit the structured proposal in the prescribed
proforma as enclosed in Annexure–1 of Enclosure–4 and Annexure–A of
Enclosure–4f if the proposal is recommended by the External Experts/
Review/Selection Committee for further consideration.
(d) The Stage-Gate Model is to be followed for FTT, FTC and R&D-oriented HCP Projects.
(e) Administrative examination of the project proposal in the respective laboratory/unit:
i. Budget requirement (B/H wise in tabular form) to be prepared by PI authenticated
by Lab PME and vetted by Lab Finance with due justification and supporting
documents.
ii. Avoid duplicity in capital funds for equipment that are already available with the
labs/units and other grants purposes etc. (necessary justifications need to be
provided for each and every B/H fund requirement). Only project-specific
equipment / minor equipment should be sought. All general usage equipments
should be sourced from the Infra budget. Further, in a network type project,
lab/unit should try to utilize the resources available at Nodal/participating
Lab/units at the maximum and accordingly the work packages of the proposal
should be drafted and planned to exploit such resources in order to minimize
capital fund requirement and maximize resource sharing/ utilization. All the TA
(Abroad) funds should be sought with proper justification and in adherence with
the prevailing CSIR / MoF (DoE) Guidelines for further consideration and needful
at Nodal Directorate.

18
 iii. In case of multi-laboratory project (Nodal and Participating Laboratory/Unit),
Nodal PI and Laboratory will be responsible to compile and consolidate all
data/information and fund requirements in a single project proposal/ DPR/ SFC
document. Further, for consideration/approvals of such proposals, approval of
RC/AC of Nodal as well as Participating Labs/units should be annexed in the
DPR/SFC documents. The core idea of this is to catalyse networking between
labs/units, supporting well drafted/ formulated project with avoidance of
duplication at CSIR level.
iv. All the financial layout of proposal (as per the ceiling indicated/announced now
and keep for capital and recurring heads informed by CPD at the start of the
Financial year) prepared by PI, authenticated by Lab PME and vetted by Lab
Finance with due justification and supporting documents.
v. The proposal should be forwarded by the Nodal Lab/Unit to the concerned Nodal
Directorate only within the specified deadline.
(f) All Directorate at Hqrs. should work in sync to avoid any duplication in any type of
project (FTT/FTC/NCP/FBR/IST/Mission/HCP). The preliminary Technical Evaluation
of the project proposals by the respective Nodal Directorate at CSIR Hqrs. will be done
in terms of:
i. Avoiding duplicity in terms of any on-going/past efforts at CSIR or stakeholders’
level (only for FTT/FTC level);
ii. Importance of the project proposed at CSIR / National Level including the
relevance to the call issued;
iii. Observation on proposed Capital and Recurring fund requirement (within the
ceiling indicated); and
iv. Identification and if possible, inclusion of stakeholders in the project (for FTT/FTC
explicitly)
(g) There will be two levels of scrutiny: Internal screening committee under the
Chairmanship of the Theme Director and the External Expert Committee. Project
proposals will be placed before the internal screening committee for shortlisting.
Based on the recommendations of the internal screening committee, the PIs of the
shortlisted proposals will be advised to make a presentation before the External Expert
Committee constituted with the approval of the Competent Authority for the final
selection of projects under the respective Themes of CSIR. The TOR of the internal
and external committee will be taken care by the Nodal Directorate. The Nodal Co-
ordinator of the Nodal Directorate will be responsible for the flawless execution of the
process in time bound manner.
(h) HCP being not directly associated with any Theme, will be primarily submitted and
evaluated at RC/AC of the Lab/Unit for submission to CSIR Hqrs. and then at the
respective External Expert Committee at CSIR Hqrs. level constituted by Nodal
Directorate.
(i) CPD being the nodal of the R&D Planning, in consultation with the Central Budget
Division, will communicate the ceiling for the respective FY to the Nodal Directorates.
The Nodal Directorates will review the proposed and projected financial layout of the
shortlisted projects and revision of the same according to their informed budget ceiling
for the respective financial year (in consultation with the respective Lab/Unit) as and if
required.

19
(j) Ensuring their fund demand well within their informed ceiling, the nodal Directorates
will submit the proceeding/recommendation’s approval of the Expert Committee to DG,
CSIR (Competent Authority) for approval through CPD. Such approved projects will be
implemented after the completion of due process.
(k) After approval of proceedings/recommendations and in-principle approval of
Competent Authority, Nodal Directorate will submit the proposal to IFD CSIR (after
getting confirmation of fund availability from CPD) for appraisal/concurrence of the
project.
(l) For projects below 100 crore: After appraisal of the project by FA, CSIR, the Nodal
Directorate may obtain approval of DG, CSIR for project implementation. For projects
more than 100 crore: (i) After IFD’s concurrence, Nodal Directorate may obtain
approval of DG, CSIR for SFC/EFC. (ii) Project will be placed to SFC/EFC for
appraisal. (iii) After appraisal by SFC/EFC approval of competent authority would be
obtained.
(m) Nodal Directorate through the Policy Division will issue OM for the implementation of
the project. (Nodal Directorate has to assign a unique Project Number as per
Enclosure–11). The list of major equipment (single equipment costing more than
Rs.5.00 lakh) should be part of the sanction OM of the project.
(n) Nodal Directorate should submit the fund allocation/ release note to CPD along with
the OM issued for the respective financial year. CPD (in consultation with CBD) will
submit the file to the DG, CSIR for final consideration and approval for release of
funds.
(o) Nodal Directorate shall submit the file for fund allocation/release along with the
following documents to CPD:

i. MoM of the Internal screening committee and External Expert Committee, duly
approved by DG, CSIR. (The MoM must include submitted project/s details along
with approved duration and Lab-wise fund requirement details);
ii. Sanction OMs issued by the concerned Nodal Directorate of CSIR Headquarters
with unique Project Number and comprehensive details of FY Wise and Budget
sub-head-wise funds’ details.
iii. Fund allocation/ release request submission from the Nodal Lab, duly signed by
Nodal PI & Head, PME and forwarded by Director/Head of Lab/Unit (Nodal Lab
will also be responsible for submitting the fund allocation/ release request for all
the participating labs/units. To avoid any undesirable delay, such a request can
be made in a single request submission only).
(p) Subsequent to the ascertaining the fund availability; CPD (in consultation with the
Central Budget Division) will seek final approval of DG, CSIR for allocation/ release of
fund and subsequently with its recommendation will forward the file to the Budget
Section, CSIR Hqrs. to make allocation and release of funds for the project. The Nodal
Directorate will also be informed in parallel to keep them in loop.

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(B) SOPs FOR MISSION MODE PROJECTS (MMP) – NEW PROJECT PROPOSALS &
FIRST YEAR FUND ALLOCATION/ RELEASE
(a) Identification of problem/challenge to be addressed through S&T intervention. All
Theme Directors and Head of IMD and CPD will also be a part of this Identification and
thereafter brainstorming/ discussion to avoid duplication in forms of other on-
going/past CSIR projects (FTT/FTC/NCP/FBR/FCP/HCP/MLP/FIRST etc.) and ensure
better utilization of available CSIR resources.
(b) Approval of Competent Authority regarding the Brainstorming Proceedings and
approval for inviting concept proposals from CSIR laboratories should be obtained by
the Nodal Directorate. Since the project implementation date will be invariably 1st April,
the concerned Directorate should start the process well in advance, preferably August
/ September of the preceding year.
(c) Seeking concept proposals from CSIR laboratories by the Nodal Directorate.
(d) Formation of Domain Expert Group with approval of the Competent Authority.
(e) Brainstorming /discussion meetings for the formulation and fine-tuning of project
proposal.
(f) Inviting structured proposal in the prescribed proforma as enclosed in Annexure–1 of
Enclosure–4 and Annexure–A of Enclosure–4f (in line with the Stage-Gate model)
from the laboratory/institute/unit.
(g) Administrative examination of the project proposal in the respective laboratory/unit:
i. Budget requirement (excel sheet to be prepared with due justification);
ii. Avoid duplicity in capital funds for equipments which are already available with
the labs/units and other grants purposes etc. (necessary justifications need to be
provided for each and every B/H fund requirement). Only project-specific
equipment should be sought. All general usage equipment should be sourced
from the Infra budget. Further lab/unit in a network type project should try to utilize
the resources available at Nodal/participating Lab/units at the max and
accordingly the work packages of the proposal should be drafted and planned to
exploit such resources in order to minimize capital fund requirement and
maximize resource sharing/ utilization.
iii. All the TA (Abroad) funds should be sought with proper justification and in
adherence with the prevailing CSIR / MoF (DoE) Guidelines for further
consideration and needful at Nodal Directorate
iv. In case of networked project (Nodal and Participating Laboratory/Unit case),
Nodal PI and Laboratory will be responsible to compile and consolidate all
data/information and fund requirements in a single project proposal/ DPR/ SFC
document. Further for approvals of such proposals, approval of RC/AC of Nodal
as well as participating Labs/units should be annexed in the DPR/SFC
documents. The core idea of this is to catalyse networking between labs/units,
supporting well drafted/ formulated project with avoidance of duplication at CSIR
level.
v. All the financial layout of proposal prepared by PI and authenticated by the PME
of Lab should be duly vetted by the respective Finance section of the laboratory/
Institute/unit.
vi. The proposal should be forwarded by the Director/Head of the Nodal Lab/Unit.

21
(h) All Directorate at HQ should work in sync to avoid any duplication in Mission Projects.
The preliminary Technical Evaluation of the project proposals by the respective Nodal
Directorate at CSIR Hqrs will be done in terms of:
i. Avoiding duplicity in terms of any ongoing/past efforts at CSIR or stakeholders’
level;
ii. Importance of the project proposed at CSIR / National Level
iii. Observation on proposed Capital and Recurring fund requirement (within the
ceiling indicated); and
iv. Identification and inclusion of stakeholders in the Mission projects
(i) There will be two level of scrutiny: At Internal Screening Committee (must consists of
all the CSIR Theme Directors from the areas which are envisaged to be getting
addressed under the Mission Project and Heads of TMD, IMD and CPD) under the
Chairmanship of a prominent National/ International renowned expert of Mission
related area. All Mission projects will be placed before this internal screening
committee for shortlisting. Subsequent to the recommendations of the internal
screening committee, the PIs of the shortlisted project proposals will be asked to make
a presentation to the External Domain Expert Committee, constituted with the approval
of the Competent Authority for the final selection of projects under the respective
Themes of CSIR. The TOR of the internal and external committee will be taken care
by the respective Nodal Directorate.
(j) CPD being the nodal of the R&D Planning, will communicate the budget ceiling for the
respective FY to the Nodal Directorates. The Nodal Directorates will review the
proposed and projected financial layout of the shortlisted projects and revision of the
same according to their informed budget ceiling for the respective financial year (in
consultation with the respective Lab/Unit) as and if required.
(k) Ensuring their fund demand well within their informed ceiling, the nodal Directorates
will submit the proceeding/recommendation’s approval of the Expert Domain
Committee to DG, CSIR (Competent Authority) through CPD for approval. Such
approved mission projects will be implemented after the completion of due process.
(l) After approval of proceedings/recommendations and in-principle approval of
Competent Authority, Nodal Directorate will submit the proposal to IFD CSIR (after
getting confirmation of fund availability from CPD) for appraisal/concurrence of the
project.
(m) For projects below 100 crore: After appraisal of the project by FA, CSIR, the Nodal
Directorate may obtain approval of DG, CSIR for project implementation. For projects
more than 100 crore: (i) After IFD’s concurrence, Nodal Directorate may obtain
approval of DG, CSIR for SFC/EFC. (ii) Project will be placed in SFC/EFC for
appraisal. (iii) After appraisal by SFC/EFC approval of competent authority would be
obtained.
(n) Nodal Directorate through Policy Division will issue OM for the implementation of the
project. (Nodal Directorate has to assign a unique Project Number as per
Enclosure-11). The list of major equipment (single equipment costing more than
Rs.5.00 lakh) should be part of the sanction OM of the project.
(o) Nodal directorate should submit the fund allocation/ release note to CPD along with
the OM issued for the respective financial year. CPD (in consultation with CBD) will
submit the file to the DG, CSIR for final consideration and approval.

22
 (p) Nodal Directorate shall submit the file for fund allocation/release along with the
following documents to CPD:
i. MoM of the Internal screening committee and External Domain Expert
Committee duly approved by DG, CSIR. (The MoM must include submitted
mission project/s details along with approved duration and FY wise fund
requirement details);
ii. Sanction OMs issued by CSIR Headquarters, including unique Project Number
comprehensive details of FY Wise/ Lab Wise and Budget sub-head-wise funds’
details; and
iii. Fund allocation/ release request submission from the Nodal Lab, duly signed by
Nodal PI & Head, PME and forwarded by Director/Head of Lab/Unit (Nodal Lab
will also be responsible for submitting the fund allocation/ release request for all
the participating labs/units. To avoid any undesirable delay, such a request can
be made in a single request submission only).
(q) Subsequent to the examination of the above and fund availability, CPD will seek final
approval of DG, CSIR for allocation/ release of funds and subsequently, with its
recommendation will forward the file to the Central Budget Division, CSIR Hqrs to
make allocation and release of funds for the mission project. The Nodal Directorate
will also be informed in parallel to keep them in a loop.

(C) SOPs FOR FCP PROJECTS

The SOP/Guideline for the selection, implementation and monitoring of Facility Creation
Projects (FCPs) and Facility Creation Projects 2.0 under CSIR Special Projects Scheme
(CSPS-2024) are enclosed at Enclosure–12 and Enclosure–13. The laboratory/
institute/unit shall submit the structured proposal in the prescribed proforma as enclosed in
Annexure–1 of Enclosure–4 and Annexure–A of Enclosure–4f.

FCP being not directly associated with any Theme, will be primarily submitted and evaluated
at RC/AC of the Lab/Unit for submission to CSIR Hqrs. and then at the respective External
Expert Committee at CSIR Hqrs level constituted by the Nodal Directorate. The list of major
equipment (single equipment costing more than Rs.5.00 lakh) should be part of the sanction
OM of the project.

(D) SOPs FOR IST PROJECTS – NEW PROJECT PROPOSALS & FIRST YEAR FUND
ALLOCATION/ RELEASE

(a) The Unilateral / Bilateral / Multilateral IST Projects would be invited/initiated based on
the Agreements/MoU/s/ Programs/Terms of Cooperation / approved by the
Competent Authority of CSIR (with the concurrence of FA, CSIR).
(b) Approval of the competent authority for inviting the proposals from CSIR laboratories/
institutes/ units will be obtained by ISTAD, CSIR Hqrs.
(c) The proforma for inviting IST Project proposals is mutually agreed by CSIR and its
foreign partners. The proforma may vary for each partner organisation.
(d) Administrative examination of the project proposal in the respective laboratory/unit:
i. Budget requirement (B/H wise in tabular form to be prepared with due
justification);

23
 ii. Avoid duplicity in capital funds for equipment which are already available with the
labs/units and other grants purposes etc. (necessary justifications need to be
provided for each and every B/H fund requirement). Only project-specific
equipment / minor equipment should be sought. All / general usage equipment
should be sourced from the Infra budget. Further lab/unit in a network type project
should try to utilize the resources available at Nodal/participating Lab/units at the
maximum and accordingly the work packages of the proposal should be drafted
and planned to exploit such resources in order to minimize capital fund
requirement and maximize resource sharing/ utilization.
iii. All the TA (Abroad) funds should be sought with proper justification and in
adherence with the prevailing CSIR/MoF (DoE) Guidelines for further
consideration and needful at ISTAD.
iv. In case of consortium project (Nodal and Participating Laboratory/Unit case),
Nodal PI and Laboratory will be responsible to compile and consolidate all
data/information and fund requirements in a single project proposal.
v. All the financial layout of proposal should be duly vetted by the respective
Finance section of the laboratory/ Institute/unit.
vi. The proposal should be forwarded by the Director/Head of the Nodal Lab/Unit to
ISTAD within the deadline.

(e) The IST Project proposals shall be evaluated/reviewed either jointly or individually
as per mutually agreed terms. At CSIR, the project proposals shall be evaluated by
the Standing Experts Committee (SEC) for International Cooperation Programmes.
The decision on award of the project shall be taken jointly based on the
joint/individual review and recommendations, as per agreed terms.
(f) The ISTAD will submit the proceeding/recommendations of joint/individual review to
DG, CSIR (Competent Authority) for approval.
(g) With Competent Authority’s approval, ISTAD will issue OM on the implementation of
the project (with unique Project Code as per Enclosure–11). The list of major
equipment (single equipment costing more than Rs.5.00 lakh) should be part of the
sanction OM of the project.
(h) Based on the OM, for project implementation ISTAD will request the Budget/IFD, CSIR
Hqrs. through CPD, CSIR Hqrs. for the release of funds as per the approved FY-wise
allocation for the project.

(E) SUBSEQUENT YEAR ALLOCATION OF THE PROJECT UNDER ALL CATEGORIES OF

THE PROJECTS

a) All CSIR funded project’s progress should be periodically reviewed by the External Expert
Committee (for FTT/FTC/NCP/FBR/HCP/FIRST/FCP); Standing Expert Committee or joint
review with international partner (for IST projects); and Monitoring Committee/Domain
Expert Committee (for Mission Mode Projects).
b) Nodal Directorate should convene the meeting of the such committee by end of February
and should obtain the approval from the Competent Authority for the recommendations
(MoM) of such committee by mid-March in order to ensure timely release of the funds.

24
c) The following documents need to be submitted by Nodal Directorate for placing a fund
release request to CPD.
(i) Competent Authority’s approval of the recommendations of the External Expert
Committee / Standing Experts Committee or Joint review with international partners
(for IST Projects)
(ii) Sanction OMs issued by Nodal Directorate
(iii) CSIR Headquarters Demand of fund requests made by laboratories (In case of
Networking projects, Nodal Lab will be responsible for consolidating and raising fund
requirement for the Nodal as well as the participating Lab/Unit).
After examination, CPD will get the approval of the competent authority and recommend the same
to the Central Budget Division for necessary fund release.

(F) PROJECT MONITORING

The guidelines for project monitoring are provided under the 'monitoring' of the Project
Management section. These guidelines will also hold good for the above cases.

(G) PROJECT COMPLETION AND CLOSURE

The guidelines for project completion and closure are provided under the ‘Project Completion
Report’ of the Project Management section. These guidelines will also hold good for the above
cases.
Note:

I. Technology Management Directorate (TMD) and Innovation Management Directorate (IMD)

are the nodal Directorates for the Projects under FTT, FTC, FBR, NCP, CSIR-FIRST, MMP
and HCP projects; ISTAD is the nodal Directorate for the IST Projects; and CPD is the nodal
Directorate for the FCP and HCP Projects submitted by CSIR Units/ Labs.
II. The concerned Directorate will be the overall custodian of the respective projects (evolving
the concept, implementation, monitoring, financial management, closure etc.)

ACKNOWLEDGEMENTS

Central Planning Directorate (CPD) put on record its gratitude to Dr. (Mrs.) N. Kalaiselvi, Director
General, CSIR and Shri Chetan Prakash Jain, Financial Advisor, CSIR for their guidance and
support in preparing these guidelines.

CPD also thanks Dr. Vibha M. Sawhney, Head, Technology Management Directorate (TMD);
Dr. (Mrs.) Rama Swami Bansal, Head, International S&T Affairs Directorate (ISTAD);
Dr. Debashis Bandyopadhyay, Head, Innovation Management Directorate (IMD); and Dr. R.P.
Singh, Former Head, IMD for providing all the necessary information and proformae as and when
required.

The hard and painstaking work put in for preparing these guidelines by Dr. S. Sathiyanarayanan,
Former Head, CPD and Shri Mayank Mathur, Chief Scientist, CPD, is also appreciated and
acknowledged.

**************

25
 ENCLOSURE-1

No. 33(01)/PFC-II/2020
Government of India
Ministry of Finance
Department of Expenditure
[Public Finance (Central-I) Division]
*******
North Block, New Delhi,
Dated: 19.01.2021

OFFICE MEMORANDUM

Subject: Continuation of schemes beyond 31st March, 2021 – clarification reg.

Reference is invited to File No.30-2(73)/2017-IFD received from IFD, DSIR regarding CSIR on the
above-mentioned subject.

2. The matter has been examined. In this regard, Department of Expenditure has following
comments:

DoE's OM No.42(02)/PF-II/2014 dated 8th December, 2020 provides guidelines applicable for
continuation of Central Sector schemes (CS) and Centrally Sponsored schemes of
Ministries/Departments. The schemes/projects of CSIR are funded through the GIA received to CSIR
under Other Central Sector Expenditure of D/o Scientific and Industrial Research. Therefore, the
continuation of projects/schemes of CSIR would be governed by GFR Rules, 2017 and delegation of
financial powers.

3. This issues with the approval of competent authority.

Sd/-
(Shalaka Kujur)
Deputy Director (PFC-I)
Tele: 23095664

Ms. Anurima K Sinha,

Deputy Secretary (IFD),
Department of Scientific & Industrial Research,
Technology Bhawan, S&T Block I,
New MehrauIi Road, Delhi -110016

26
 ENCLOSURE-2

वै ज्ञानिक तथा औद्योनिक अिु संधाि परिषद

Council of Scientific and Industrial Research
अिु संधाि भवि, 2, िफी मािग , िई नदल्ली -110001
Anusandhan Bhawan, 2, Rafi Marg, New Delhi-110001

No.: 5-1(342) / 2017-PD Dated: 02.09.2024

OFFICE MEMORANDUM

Sub: Guidelines for engagement of project personnel under various CSIR (incl.
NMITLI, OLP, MLP, industry sponsored, Contract / Consultancy / Sponsored
projects etc.) and non-CSIR funded projects - reg.

The undersigned is directed to state that the DG, CSIR has constituted a Committee to review
and framing of guidelines relating to engagement of Project staff in CSIR projects including NMITLI
Project, OLP/ MLP, Contract R&D and non-CSIR funded projects.

Accordingly, the DG, CSIR, in consultation with FA, CSIR, has accorded approval
of revised Guidelines for engagement of project personnel under various CSIR
(incl. NMITLI, OLP, MLP, industry sponsored, Contract /Consultancy/ Sponsored
projects etc.) and non-CSIR funded projects which is enclosed as Annexure.

The aforesaid guidelines are issued in supersession of all the earlier guidelines
related to Project Staff and shall come into force with effect from 01.09.2024.
Hindi version will follow .
Sd/-
(M Arun Manikanda Bharathi)
Under Secretary (Policy Division)

Encl: As Above

Copy to:
1. Directors/ Heads of all the CSIR Labs/ Instts/ Hqrs/ Units
2. Heads of all Scientific Directorates of CSIR Hqrs
3. FA, CSIR
4. Sr. COA / Sr. DS/ DS/ CoA / US/ AO of all the CSIR Labs/ Instts/ Hqrs/ Units
5. Sr. DFA/ Sr. COFA/ DFA/ COFA/ FAO of all the CSIR Labs/ Instts/ Hqrs/ Units
6. O / o DG, CSIR
7. O / o JS(A), CSIR
8. 0/ o CVO, CSIR
9. LA, CSIR
10. CSIR Website
11. Office copy

27
 GUIDELINES FOR ENGAGEMENT OF PROJECT PERSONNEL

1. GENERAL

1.1 These guidelines would be called "Guidelines for engagement of project personnel
under various CSIR (incl. NMITLI, OLP, MLP, i ndustry sponsored,
Contract/Consultancy/ Sponsored projects etc.) and non-CSIR funded projects”.

1.2 The guidelines provide for issues regarding various terminologies, essential
qualifications to be met including age, emoluments for different position, procedure
for engagement, leave structure and other benefits, if any.

1.3 Any relaxation in any of the aspects laid out in these guidelines shall be allowed,
only in exceptional circumstances with the concurrence of FA, CSIR and with the
prior approval of DG, CSIR.

1.4 These guidelines arc to be followed by all Laboratories/ Institutes. Director / Sr.
COA/ COA / AO shall be responsible to ensure compliance of these instructions.
Generally, no request should be forwarded to CSIR Hqrs. for any relaxation.

1.5 All the positions defined under these guidelines are temporary & co- terminus
with the project under which one is engaged. The guidelines take into account
the fact that in case of CSIR-Mission mode projects, the time line is usually 3
years and more often than not the mission projects also tend to move into
version 2.0 phase as well, effectively making a mission project to be of 6 years
duration in total. In such cases, it is also essential that the personnel may be
required to continue in a project as they may involve unique set of skills and the
time for training new personnel will hamper the progress of deliverables in the
project.

1.6 Considering the facts as mentioned at 1.5 above, the total period of engagement
of any project personnel under one project and/ or combination of different projects,
either in the same laboratory and / or different laboratories of CSIR, cumulatively
taken together shall not exceed 6 years, unless otherwise provided for under these
guidelines.

1.7 However, the project personnel shall be allowed to continue beyond 6 years
only in case of contract / consultancy / sponsored projects funded by Public Sector
Undertakings (PSUs), Industries, Start-ups and Individual entrepreneurs, that arc
of 12 months or less duration. In such an event, the total period of engagement
of any project personnel under one project and/ or combination of different projects,
either in the same laboratory and / or different laboratories of CSIR, cumulatively
taken together shall not exceed 7 years.

1.8 In case of non-CSIR funded projects including those funded by international

agencies, the concerned funding agency's guidelines shall be applicable. In case of
non-availability of such guidelines, the one framed by CSIR (i.e., those in these
guidelines) shall be applicable. In any case, the cap on period of engagement of
6 or 7 years (as the case may be as per clause 1.6 / 1.7 above) shall be applicable
for non-CSIR funded projects as well.

1.9 There are also instances that the personnel engaged in CSIR or non-CSIR funded
project may continue their academic journey by registering for higher degree
(i.e., PhD) either under AcSIR or under any universities with which CSIR / CSIR

28
 laboratories have signed a Memorandum of Understanding. In such cases, the
period of engagement of a project staff (in any project in any lab) to pursue Ph.D
[i.e., between his Ph.D registration and Thesis submission] shall not be counted
for the purpose of total tenure (6/ 7 years) mentioned under para 1.6 and 1.7 of
these guidelines.

1.10 Where any doubt arises with regard to interpretation of any of these guidelines, the
matter shall be referred to the Policy Division, CSIR Hqrs.

2. TERMINOLOGIES FOR VARIOUS POSITIONS

Various Institutes/ Laboratories, depending on the functional requirements, engage

different people under various categories. The following provides for equivalence of
various categories/ personnel and Institutes/ Laboratories depending on the functional
requirements of the project may use any of these terms interchangeably.

2.1 Project Assistant (PA): The Project Assistants (PA-I and PA-II) shall be engaged
for performing the activities of a Field Worker, Laboratory Assistant, Technician,
Technical Assistant and Field Assistant.

2.2 Project Associate (PAT): This includes PAT-I, PAT-II, Senior PAT (S- PAT) and
Principal PAT (P-PAT). The various sub-categories under this position are
determined by the conditions for engagement as mentioned later under these
guidelines. The differentiation may be made while issuing the advertisement for
the engagement under the project.

2.3 Project Scientist (PS): This includes PS-I, PS-II and PS-III. The various sub-
categories under this position are determined by the conditions for engagement
as mentioned later under these guidelines. The differentiation may be made while
issuing the advertisement for the engagement under the project.

2.4 Project Co- coor dinator (PC) or Pri ncipal Investigator (PI): This includes those
positions which are employed under grants from non- governmental (incl. Public
Sector Undertakings, industries) / voluntary organizations.

2.5 Project Manager (PM): The PM positions can only be recruited under any project
costing more than 5.0 crores or in a centre that manages central facility of the
Institute / Laboratory.

3. ESSENTIAL QUALIFICATIONS, AGE, EMOLUMENTS FOR VARIOUS PROJECT

PERSONNEL POSITIONS
4.

Sl.No. Position Essential Qualification Age Monthly Emoluments

Limited (in Rs.)
(In years)

1. Project Assistant (PA)

1.1 Project Assistant-I SSC/ 10th plus ITI 35 18,000 + HRA

(PA-I)

29
Sl.No. Position Essential Qualification Age Monthly Emoluments
Limited (in Rs.)
(In years)

1.2 Project Assistant-II B.Sc./3 years Diploma 35 20,000 + HRA

in Engineering/
(PA-II) Increment of 15%
Technology
after 3 years of
experience in the
same project.

2. Project Associate (PAT)

2.1 PAT-I Masters/Integrated 35 (a) 31,000 + HRA

Masters in Natural or for those candidates
Agricultural or who have qualified
Pharmaceutical CSIR- UGC / ICAR /
Sciences / MVSc / ICMR NET incl.
Animal Sciences OR lectureship/assistant
Bachelor's degree in professorship or
Engineering or GATE OR those who
Technology or have qualified
Medicine from a National level
recognized University examinations
conducted by
OR
Central
Any equivalent Government
qualifications duly Departments like
recognized by the DBT/ DST or
concerned authority equivalent and/ or
as per the functional their Agencies/
requirement of the Institutions.
Project to be recorded
(b) 25,000 + HRA for
in writing by PI and
others who do not fall
Director
u nder (a) above.

2.2 PAT-II (i) Masters / 35 (a) 35,000 + HRA

Integrated Masters for those candidates
in Natural or who have qualified
Agricultural or CSI R- UGC / ICAR /
Pharmaceutic al ICM R NET incl.
Sciences/ MVSc / lectureship/
Animal Sciences OR assistant
Bachelor's degree in professorship or
Engineering or GATE OR those who
Technology or have qualified
Medicine from a National level
recognized University examinations
or equivalent conducted by Central
Government
and
Departments like
2 years experience in DBT/ DST or
Research and equivalent and/ or
Development in their Agencies/

30
Sl.No. Position Essential Qualification Age Monthly Emoluments
Limited (in Rs.)
(In years)
Industrial and Institutions
Academic Institutions
(b) 28,000 + HRA for
or Science and
others who do not fall
Technology
u nder (a) above.
Organizations and
Scientific activities
and services.
OR
(ii) Masters /
Integrated Masters in
Engineering or
Technology from a
recognized University.
(i) Masters /
2.3 Senior-PAT 40 42,000+HRA
Integrated Masters
in Natural or
Agricultural or
Pharmaceutical
Sciences/ MVSc /
Animal Sciences

OR

Bachelor's degree in
Engineering or
Technology or
Medicine from a
recognized
University or
equivalent

and

3 years experience
in Research and
Development in
Industrial and
Academic
Institutions or
Science and
Technology
Organizations and
Scientific activities
and services

OR

(ii) Masters /
Integrated Masters
in Engineering or

31
Sl.No. Position Essential Qualification Age Monthly Emoluments
Limited (in Rs.)
(In years)
Technology from a
recognized
University

OR

Doctoral Degree in
Science/ Pharma/
MD / MS from a
recognized
University or
equivalent

2.4 Principal-PAT (i) Masters/ Integrated 40 49,000+HRA

Masters in Natural or
Agricultural or
Pharmaceutical
Sciences / MVSc /
Animal Sciences
OR
Bachelor's degree in
Engineering or
Technology or Medicine
from a recognized
University or equivalent
and
6 years' experience in
Research and
Development in Industrial
and Academic Institutions
or Science and
Technology
Organizations and
Scientific activities and
services
OR
(ii) Masters / Integrated
Masters in Engineering or
Technology from a
recognized University
OR
Doctoral Degree in
Science/ Engineering /
Technology/ Pharma/ MD
/ MS from a recognized
University or equivalent.
and

32
Sl.No. Position Essential Qualification Age Monthly Emoluments
Limited (in Rs.)
(In years)
3 years experience in
Research and
Development in
Industrial and
Academic Institutions
or Science and
Technology
Organizations and
Scientific activities
and services

3. Project Scientist (PS)

3.1 PS-I Doctoral Degree in 35 56,000+HRA

Science or Masters /
Increment of 5% for
Integrated Masters in
every 2 years of
Engineering or
experience in the same
Technology from a
project.
recognized University
or equivalent
and
4 years experience in
Research and
Development in
Industrial and
Academic Institutions
or Science and
Technology
Organizations and
Scientific activities and
services

33
Sl.No. Position Essential Qualification Age Monthly Emoluments
Limited (in Rs.)
(In years)

3.2 PS-II Doctoral Degree in 40 67,000+HRA

Science or Masters/
Increment of 5% for
Integrated Masters in
every 2 years of
Engineering or
experience in the same
Technology from a
project.
recognized University
or equivalent
and
5 years experience in
Research and
Development in
Industrial and
Academic Institutions
or Science and
Technology
Organizations and
Scientific activities and
services

3.3 PS-III 45 78,000+HRA

Doctoral Degree in
Science or Masters/ Increment of 5% for
Integrated Masters in every 2 years of
Engineering or experience in the same
Technology from a project.
recognized University
or equivalent

and

7 years experience in
Research and
Development in
Industrial and
Academic Institutions
or Science and
Technology
Organizations and
Scientific activities and
services

34
Sl.No. Position Essential Qualification Age Monthly Emoluments
Limited (in Rs.)
(In years)

4. PI/Project As per 60,000/- (Consolidated)

Doctoral Degree in
Coordinator-I the
Engineering/ Sciences/
scheme
Medicines / Pharma/
Social Sciences/ MD Or
(For Non-Government/
Voluntary 45, if no
and
Organisations) scheme
4 years experience in guidelines
Research and are
Development in available
Industrial and
Academic Institutions
or Science and
Technology
Organizations and
Scientific activities and
services

5. PI/Project As per 30,000/- (Consolidated)

Masters / Integrated
Coordinator-II the
Masters in Engineering/
scheme
Sciences / Social
Sciences Or
(For Non-
Government/Voluntary 45, if no
and
Organisations) scheme
2 years experience in guidelines
Research and are
Development in available
Industrial and
Academic Institutions
or Science and
Technology
Organizations and
Scientific activities and
services

6. Project Manager Doctoral Degree in 55 1,25,000-2,00,00

Science or Masters /
(Consolidated
Integrated Masters in
emoluments from the
Engineering or
above range)
Technology from a
recognized University (Note: The
or equivalent emoluments in this
case will be
and
recommended by the
with 15 years of selection committee
experience in relevant with reasons to be
field recorded in writing.

35
Note

1. House rent allowance or HRA payable shall be as per the extant Government
of India rules as applicable to CSIR employees.

2. In case of Project Associates (PAT-I & PAT II), if a selected candidate qualifies the
CSIR UGC / NET examination after his/ her appointment, he/ she can be
considered for payment of higher emoluments subject to the availability of
provision for the same and availability of funds in the Project along with the
specific recommendation of PI which arc duly endorsed by Head PME and
Finance and after the approval of Director / DG, CSIR (as the case may be).

3. In case of a centre that manages central facility of the Institute / Laboratory, the
regular manpower should be utilized to its maximum.

4. The Project Staff including Scientific Administrative Assistant engaged prior to

the notification of these guidelines shall be allowed to complete his/ her tenure.

4. PROCEDURE FOR ENGAGEMENT OF PROJECT PERSONNEL

4.1 Advertisement for engagement of positions: The concerned Institute /

Laboratory shall advertise the positions as per their functional requirements basis.
The Institute / Laboratory shall advertise these through pointer advertisement in
the national print media, basis the requirement. The Institute shall host the detailed
advertisement on the website and social media platforms apart from mandatorily
hosting it on the National Career Service (NCS) Portal of Government of India.
Advertisement(s) may also be sent to CSIR-HQ / CSIR Institutes/ Labs and other
academic / research institutions for wide publicity of the advertisement.

4.2 Constitution of Selection Committee: The Selection Committee for the

engagement of various project personnel shall be constituted by the Head of the
Laboratory or Director of the Institute. In case of CSIR-HQ, DG- CSIR or any
other authority designated by DG, CSIR shall constitute the Selection Committee.

(a) For P A / PAT: The selection committee shall consist of the following:

i. Director’s nominee / DG's nominee in case of CSIR-HQ [Chairperson]

ii. Head, PME/ BD of the laboratory or nominee [Head, CPD in case of CSIR-
HQ or nominee]

iii. Two subject experts [Internal/ Sister Lab/ External]

iv. Principal Investigator / Project Leader / Project Co-ordinator

Quorum - Chairperson and two members

36
 (b) For P S/PC/PI/PM: The selection committee shall consist of the following:

i. Director's nominee / DG's nominee in case of CSIR-HQ [Chairperson]

ii. Head, PME/ BD of the laboratory [Head, CPD in case of CSIR-HQ] or nominee

iii. One subject expert from within the laboratory / Institute

iv. One expert nominee [Sister Lab/ External]

v. Principal Investigator / Project Leader / Project Co-ordinator

Quorum - Chairperson and two members

4.3 Selection for engagement, panel of wait listed candidates and its validity:
Considering the fact that sufficient time would be lost in engaging the personnel,
the selection committee, if deems fit, may propose a panel of waitlisted candidates
in the order of merit in addition to the selected candidate, only in case of projects
of 18 months or more duration. Such panel, if prepared and recommended by the
committee, shall be operational for a period of not more than 12 months from
the date of operation of the recommendation of the Selection Committee.

4.4 Other modes of engagement: Only in case of exigency where the project period
is less than 12 months, the concerned Institute / Laboratory may directly engage
candidate(s) fulfilling the qualifications laid down (at clause 3 above for various
positions) with the reasons to be recorded in writing and due approval of the
competent authority (Director / Heads in case of Institutes / Laboratory or DG in
case of CSI R-HQ) and subject to provision and availability of the fund under
the Project. Such engagements are exempted from the selection committee
process and advertisement as mentioned above. However, their services shall
invariably be co-terminus with the completion of that project or on the expiry of
the extended period of tenure. The total tenure of Project Staff shall not exceed
6 or 7 years under any circumstances (refer clause 1.6 or 1.7).

4.5 The relaxation in the age limit for the candidates belonging to the category of SC/
ST/ PwBD / Women and the category of OBC shall be 05 years and 03 years
respectively or as per Govt. of India instructions issued in this regard from time to
time.

4.6 Engagement under any of these positions shall be on behalf of the sponsoring
agency and shall be temporary and co-terminus with the tenure of the project or
06 years whichever is earlier. Further such engagement, directly or indirectly, shall
not provide any right / claim for regularization for permanent post of CSIR. This
condition shall invariabl y be i ncorporated in the Offer of engagement of
Project personnel.

5. OTHER CONDITIONS & BENEFITS

5. 1 Conditions for engagement.

37
 (a) The selected candidates shall furnish a character certificate and medical fitness
certificate issued by any government Medical Officer or Medical Officer(s) of CSIR-
Dispensaries. Such character certificate verified by a gazetted officer including
Scientists of the level of Scientist 'C' & above at CSIR. In case the candidate has
resided abroad during the preceding five years, then his Character antecedent
verification shall be conducted through the Intelligence Bureau (IB) before issuing
offer of appointment.

(b) Each selected candidate shall sign an undertaking for maintaining confidentiality
of project findings and/ or any associated intellectual property information.

(c) No project personnel shall be allowed to shift from one project to another until and
unless he / she is selected afresh.

(d) If any close relative of CSIR employees, as defined vide CSIR letter No. 4-73/ 2006-
E-II dated 23.01.2008, is selected for engagement in any position as mentioned in
these guidelines, Institutes/ laboratories shall strictly adhere to guidelines issued
by CSIR from time to time on the subject.

5.2 Benefits:

(a) Project personnel engaged as per these guidelines shall be eligible to medical
facilities at CSIR dispensaries of the institute, to the extent of consultation and /
or available medicines at the dispensary and transport facilities, if any, as per
the terms and conditions with which it is provided by the Institute.

(b) Project personnel engaged in the projects may be covered under Group Medical
Insurance Scheme, subject to their willingness, for which the cost shall be borne
by the individual concerned.

(c) Project personnel shall be eligible for travel allowance and dearness allowance as
per the Office Memorandum of CSIR i.e., 5-1(53) / 2008-PD dated 12.04.2023.
However, in case any project involves the project personnel travelling abroad,
such travel shall be allowed with a due approval of the Director of the Institute
(and DG in case of CSIR-HQ) as per rules applicable to international travel of
CSIR employees.

(d) Women project personnel shall be eligible for maternity leave of 180 days and the
male project personnel shall be eligible for paternity leave of 15 days only in case of
two surviving children as per CSIR norms. Further, the Project Staff shall be paid
the stipend for the period of aforesaid leave only after re-joining the office after
availing such leave and submission of relevant medical reports/ documents.

(e) The project personnel are entitled to avail leaves as per extant rules of CSIR
i.e., 12 days of leave (at the rate of one day leave per month). Any leave availed
beyond this shall be without emoluments calculated pro- rata.

(f) The project personnel may be allowed to register for higher degree ( i.e., PhD)
as per the policy of the Institute, if they fulfill all the requirements laid down for
such purposes, provided that the project duration is at least 3 years or more,
apart from any other conditions laid down by the concerned Institute / Laboratory.
The permission to register for PhD is subject to the condition that the work of
the project is not affected and it will be without any financial obligation to CSIR
/ Project. The tenure of the Project personnel shall not be extended merely on
the ground that he/ she has not completed the PhD.

38
6. APPLICABILITY AND REPEALS

6.1 The above guidelines shall be followed scrupulously in letter & spirit by all the
laboratories/ institutes.

6.2 Any experience certificate to project personnel shall be issued by the Administration
of the concerned Laboratory/ Institute. However, any other recommendation letter
or reference letter shall be issued by the Principal Investigator / Project Leader in
all cases except Project Manager and such letter shall not commit on any
administrative aspects. For Project Manager, such recommendation or reference
letter shall be issued by the Director / Head of the Laboratory/ Institute.

6.3 Mere engagement as project personnel shall not confer any such personnel
the right to register for higher degrees or permanent employment in CSIR or
its Laboratories/ Institutes.

6.4 These guidelines shall come into effect from 01.09.2024 and shall supersede all
previous guidelines/ instructions regarding the engagement of project staff /
personnel.

**********

39
 ENCLOSURE-2a

वै ज्ञानिक तथा औद्योनिक अिु संधाि परिषद

Council of Scientific and Industrial Research
अिु संधाि भवि, 2, िफी मािग , िई नदल्ली – 110001
Anusandhan Bhawan 2, Rafi Marg, New Delhi-110 001

No.: 5-1(342)/2017-PD Dated 18.10.2024

OFFICE MEMORANDUM

Sub: Guidelines for engagem ent of project personnel under various CSIR (incl.
NMITLI, OLP, MLP, industry sponsored, Contract I Consultancy I Sponsored
projects etc.) and non-CSIR funded projects - reg.

References have been received from CSIR Labs./lnstt. regarding revised

Guidelines for engagement of project personnel under various CSIR (incl. NMITLI,
OLP, MLP, industry sponsored, Contract /Consultancy/Sponsored projects etc.) and
non-CSIR funded projects issued vide CSIR OM of even number dated 02.09.2024.

The matter has been considered by the DG, CSIR and has accorded approval
for the following modification/clarification on the aforesaid guidelines dated
02.09.2024:

1. Essential Qualification for Senior-PAT [Clause 3]:

Position Essential Age limit Monthly emoluments

Qualification (in years) (in Rs.)
(I) Masters /Integrated Masters
Natural or Agricultural or 40 42 ,000+HRA
Pharmaceutical Sciences/ MVSc /
Animal Sciences

OR
Bachelor's degree in Engineering or
Technology or Medicine from a
recognized University or equivalent
2..3
Senior-PAT and
3 years experience in Research and
Development in Industrial and
Academic Institutions or Science and
Technology Organizations and
Scientific activities and services

OR
(ii) Masters /Integrated Masters in
Engineering or Technology from a
recognized University

OR

40
 Doctoral Degree in Science/
Pharma/MD/MS from a recognized
University or equivalent

and
2 years experience in Research and
Development in Industrial and
Academic Institutions or Science and
Technology Organizations and
Scientific activities and services

2. Emoluments for Project Manager [Clause 3]:

Age limit Monthly emoluments

Position Essential Qualification
(in years) (in Rs.)
Doctoral degree in Science or 1,25 ,000 - 2,00,000
Masters / Integrated Masters in (Consolidated emoluments
Engineering or Technology from a 55 from the above range)
Recognized University or
6. Project equivalent Note: The emoluments in this
Manager case will be recommended by
and the selection committee with
reasons to be recorded in
with 15 years of experience in
writing.
relevant field

3. Advertisement for engagement for project positions [Clause 4.1]:

4.1 The concerned Institute/Laboratory shall advertise the positions as per their
functional requirements basis. The issue of pointer advertisement is desirable for the
sake of wide publicity in local newspapers. However, if number of advertisements of a
Laboratory are too many then the Director of the Lab may issue pointer advertisement
occasionally (say once in a month) and not necessarily for every advertisement.
However, the Laboratory shall take all measures for wide publicity through various
other means such as Social Media, Web Portal, National Career Service (NCS) portal,
office notice board etc.

4. Conditions for engagement [Clause 5.1 (b)]:

5.1 (b) Each selected candidate shall sign an undertaking for maintaining
confidentiality of project findings and/ or any associated intellectual property
information and for pledging adherence to scientific work ethics while being employed
in the organization.

5. Benefits [Clause 5.2 (c)]:

5.2 (c) Project personnel shall be eligible for travel allowance and daily allowance
as per the Office Memorandum (OM) of CSIR i.e., 5-1(53)/2008-PD dated 12.04.2023.
However , in case any project involves the project personnel travelling abroad, such

41
 travel shall be allowed with a due approval of the Director of the Institute (and Head-
DGED in case of CSIR-HQ) as per rules applicable to international travel of CSIR
employees.

The other provisions of the aforesaid CSIR OM of even number dated 02.09.2024 shall
remain the same.

Sd/-
(Amrendra Kumar)
Under Secretary (Policy Division)

Copy to:

1 Directors/Head of all the CSIR Labs/lnstts/Hqrs/Units

2 Heads of all Scientific Directorates of CSIR Hqrs
3 FA, CSIR
4 Sr. COA/Sr. DS/DS/CoA/US/AO of all the CSIR Labs/lnstts/Hqrs/Units
5 Sr. DFA/Sr. COFA/DFA/COFA/FAO of all the CSIR
Labs/lnstts/Hqrs/Units
6 O/o DG, CSIR
7 O/o JS(A), CSIR
8 O/o CVO, CSIR
9 LA, CSIR
10 CSIR Website
11 Office copy

42
 ENCLOSURE-3
वै ज्ञानिक तथा औद्योनिक अिु संधाि परिषद
Council of Scientific and Industrial Research
अिु संधाि भवि, 2, िफी मािग , िई नदल्ली – 110 001
Anusandhan Bhawan 2, Rafi Marg, New Delhi-110 001

साo/No. 5-1(354)/2016-PD नदिां क/Dated: 02.12.2022

प्रेषक : संयुक्त सनिव (प्रशाशि)

From : Joint Secretary (Admn.)

सेवा में : सी.एस.आई.आि की सभी िाष्ट्रीय प्रयोिशालाओं/संस्थाओ/इकाइयों के निदे शक/प्रमु ख

To : The Directors/Heads of all National Labs./Instts./Units of CSIR

नवषय/Sub: Regulation of Remuneration in case of Contract Appointment (including consultant)

of Retired CSIR/Central Government/CAB Employees in CSIR - reg.

महोदया/महोदय Madam/Sir,

I am directed to state that DG, CSIR, with the concurrence of FA, CSIR, has accorded approval to
endorse Government of India instructions as contained in the Department of Expenditure OM No. 3-
25/2020-E.IIIA dated 09.12.2020 for regulation of remuneration in case of Contract Appointment (including
consultant) of retired CSIR/Central Government/Central Autonomous Bodies (CABs) Employees in CSIR,
subject to the following conditions:

1. Engagement of retired CSIR/CAB/Central Government Employees on contract in CSIR should be

done in urgent and emergent cases where expert/professional services are required for urgent and
identified work and should not be used as a common practice. Therefore, where the requirements
can be met by engaging unskilled/semiskilled contractual manpower, there shall not be
engagements of retired employees on contract, and in such cases, the requirement shall be met
by hiring manpower through outsourcing contract. (i.e. MTS).

2. The engagement of retired CSIR/CAB/Central Government Employees on contract shall be made

on six monthly basis with the prior approval of the following Approving Authority and the
concurrence of Finance, prior to the issue of advisement, in the following manner:

S.No. Level in which retired Approving Authority Financial Concurrence

CSIR/CAB/Central
Government Employee
is to be engaged on
contract

1. Level 14 & above* DG, CSIR FA, CSIR

43
 2. Up to Level 13A Director / Head of The Sr. COFA/COFA/FAO of the
concerned Lab/Instt./Unit (Sr.DFA/DFA/
Lab./Instt./Unit and FAO of Audit Section of CSIR-
JS(Admn.) in the case Hqrs. in case of CSIR-Hqrs.)
of CSIR Hqrs.
Retired Employees of CSIR/
CAB/ CentralGovernment can
initially be engaged on contract
in CSIR for six months only
which can be further extended
for six months with the approval
of the Competent Authority and
concurrence of Finance.
In case extension beyond one
year is required, the same may
be approved by the Research
Council (RC) of the concerned
Lab./Instt. (DG, CSIR in case of
HO.) that too limited to 2 years
only.
In a very rare case, on the
recommendation of the RC,
extension may be given beyond
2 years' with the concurrence of
FA and approval of DG, CSIR*
In any case, extension sought
shall not exceed six months at
a time.

*HR-II Section will be the nodal section for processing of cases i.e. take up all the necessary concurrence
of FA, CSIR and approval of DG, CSIR and correspondence with Labs./Instts/Units.

3. On receipt of financial concurrence and approval of the Approving Authority, an advertisement shall
be issued by Lab/Hqrs inviting applications from willing/eligible persons for engagement of retired
CSIR/CAB/Central Government Employees on contract with the approval of the Competent
Authority [i.e. Director/Head of Lab/Instt/Unit and JS(Admn.) in case of CSIR HQ].

4. A three-member Screening-cum-Selection Committee shall be constituted by the Director/Head of

the concerned Lab./Instt./Unit and in the case of CSIR Hqrs. by JS(Admn.), CSIR.

5. The committee shall first shortlist the applications on the basis of criteria decided by it. Thereafter,
the committee may hold a personal interaction/interview with shortlisted candidates, if required.

6. An offer letter shall be issued to selected candidates clearly indicating the terms and conditions of
engagements after approval of the Competent Authority [Director/Head of the Lab/lnstt/Unit or
JS(Admn.) in case of CSIR HO]. No person shall be allowed to join without first submitting an
undertaking toward acceptance of the terms and conditions as mentioned in the offer letter.

7. The cases of existing engagement on contract basis (including Consultant), who has been engaged
on contract in CSIR and its national Labs./Instts., shall not be reopened, until the normal term/tenure
of those cases. After completion of normal term/tenure, all those cases may be reviewed and
brought in line with the above conditions.

44
8. In emergent cases, a retired officer can be engaged on contract basis for a period of six months,
without any advertisement, only with the prior concurrence of FA, CSIR and approval of DG, CSIR
on justified exigencies of the official work where adequate functional necessity exits.

भवदीय/Yours faithfully,
Sd/-
M Arun Manikanda Bharathi
अवर सचिव (नीचि प्रभाग) Under Secretary (PD)
संलग्नक: यथोपरि /Encl. : As above

प्रनतनलनप / Copy to:

1. व.उप सचिव (मा. स. – II) / Sr. DS (HR-II)

2. सी.एस.आई.आर वेबसाइट / CSIR Website
3. कायाा लय प्रचि / Office copy

45
 F. No. 3-25/2020-E. III A
Government of India
Ministry of Finance
Department of Expenditure

Dated: 9th December, 2020

Office Memorandum

Subject: Regulation of Remuneration in case of Contract Appointment of Retired Central

Government Employees.

The undersigned is directed to say that Ministries/Departments appoint retired Central Government
employees on contract basis, including as Consultants on contract basis. However, at present there are no
uniform guidelines for regulation of remuneration in such cases.

2. The existing instructions of Department of Personnel and Training, as contained in their Central
Civil Services (Fixation of Pay of Re-employed Pensioners) Orders, 1986, as amended from time to time,
provide for regulation of pay in case of re-employment. However, the instructions of Department of
Personnel & Training as contained in their OM No. 26012/6/2002- Estt (A) dated 9.12.2002 provides that
re-employment beyond the age of superannuation of 60 years shall not be permissible. Also, as per their
OM No. 3(3)/2016-Estt (Pay II) dated 1.5.2017, the pay plus gross pension on re-employment is not to
exceed Rs.2,25,000/-, i.e. Pay Level 17 as applicable to an officer of the level of Secretary to the
Government of India.

3. Aforementioned instructions of Department of Personnel & Training on pay fixation in case of re-
employment apply only to persons appointed on re-employment. These are not applicable to persons
employed on contract basis except where the contract provides otherwise. Accordingly, in cases of
appointment of retired Central Government employees on contract basis after the age of superannuation at
60 years, the instructions on pay fixation on re-employment will not directly apply.

4. Department of Personnel & Training has also informed that they are in the process of drafting a
Note for Committee of Secretaries (CoS) regarding guidelines for engagement of retired Government
servants as Consultant in Government Ministries and Department. In view of this, till Department of
Personnel and Training finalizes their guidelines, there is a need to regulate remuneration in such cases of
contract appointment of retired Central Government employees on a uniform basis. The matter has,
therefore, been considered and it has been decided that regulation of remuneration in case of appointment
of retired Central Government employees on contract basis, including as consultants, shall be regulated as
provided hereinafter.

5. At the outset, such appointments shall not be made as a matter of practice and must be kept at a
bare minimum. Such appointments may be made only in the justified exigencies of the official work where
public interest is served by appointment of the retired employee. While making such appointments, adequate
functional necessity with clear grounds must be placed before the appointing authority.

46
6. Remuneration

6.1 A fixed monthly amount shall be admissible, arrived at by deducting the basic pension from the pay
drawn at the time of retirement. The amount of remuneration so fixed shall remain unchanged for the term
of the contract. There will be no annual increment / percentage increase during the contract period.

Example
An employee retired in the Pay Level 13 and the pay at the time of retirement was Rs. 1,55,900.
Thus, the basic pension will be Rs. 77,950. If the employee is appointed on contract basis, including as
Consultant, the remuneration shall be fixed at Rs. 77,950 (1,55,900-77950).
6.2 The basic pension to be deducted from the last pay drawn shall be the pension as fixed at the time
of retirement and as such, if the employee has availed of the commuted value of pension, the commuted
portion of pension shall also be included in the portion of pension to be deducted. Thus, in the above
example, if 40% of pension was commuted, the commuted portion shall be Rs. 31,180 (40% of 77,950) and
the pension actually drawn shall be Rs. 46,770. However, the amount of pension to be deducted from the
last salary shall be Rs 77,950.
6.3 No Increment and Dearness Allowance shall be allowed during the term of the contract.

7. Allowances

7.1 House Rent Allowances

No HRA shall be admissible.

7..2 Transport Allowance

An appropriate and fixed amount as Transport Allowance for the purpose of commuting between the
residence and the place of work shall be allowed not exceeding the rate applicable to the appointee at the
time of retirement. The amount so fixed shall remain unchanged during the term of appointment. However,
retired employees engaged as consultants may be allowed TA/DA on official tour, if any, as per their
entitlement at the time of retirement.

7.3 Leave of absence

Paid leave of absence may be allowed at the rate of 1.5 days for each completed month of service.
Accumulation of leave beyond a calendar year may to be allowed.

8. Term of Appointment
8.1 The term of appointment shall ordinarily be for an initial period not exceeding one year which is
extendable by another one year. Beyond two years after the age of superannuation where adequate
justification exists, the term may be extended based on a review of the task and the performance of the
contract appointee, provided it shall not be extended beyond 5 years after superannuation.
8.2 The consultant shall sign an agreement of confidentiality with the Government of India containing a
clause on Ethics and integrity.

9. Exemptions
The terms of appointment provided for in these orders shall not apply to cases and to the extent
where the Appointments Committee of Cabinet has allowed special terms OR where special provisions have
been allowed with the -approval of the Department of Personnel & Training OR Department of Expenditure.

47
10. These orders shall apply to appointments made in the Central Government and shall be effective
from the date of issue of the orders, until further orders or until instructions are issued by DoPT regulating
remuneration of retired Government employees on their engagement as consultants. The past cases shall
not be reopened in the light of these orders until the normal term of those past cases. Any relaxation of the
above will be required to be referred to Department of Expenditure,
Sd/-
(B.K.Manthan)
Deputy Secretary
To,
All the Ministries and Departments of the Government of India as per the standard list.

48
 ENCLOSURE-4

No. 24(35)/PF-II/2012
Government of India
Ministry of Finance
Department of Expenditure
North Block. New Delhi.
Dated: 05 August, 2016
OFFICE MEMORANDUM

Subject: Appraisal and Approval of Public Funded Schemes and Projects (except matters required
to be placed before the Cabinet Committee on Security)

Reference is invited to this Department OM no. 24(35)/PF-II/2012 dated 29th Aug, 2014 regarding
the guidelines for formulation, appraisal and approval of Public Funded Plan Schemes and Projects. With
the announcement in the Union Budget 2016-17 of doing away with Plan Non-Plan distinction at the end
of Twelfth Five Year Plan, it is imperative that a plan non-plan neutral appraisal and approval system is
put into place. After a comprehensive review of the extant guidelines in this regard, the revised guidelines
placed below will henceforth apply to the formulation, appraisal and approval of public funded schemes
and projects, except matters required to be placed before the Cabinet Committee on Security.

2. Schemes are program based cost centres through which the Ministries and Departments spend
their budgetary and extra-budgetary resources for delivery of public goods and services to the citizens.
They are of two types:
a) Central Sector Schemes are implemented by the Central Ministries/Departments through their
designated implementation agencies and funds are routed through the functional heads
relevant for the sector.
b) Centrally Sponsored Schemes are implemented within the domain of National Developrnent
Agenda identified by the Committee of Chief Ministers constituted by NITI Aayog. They can
have both Central and State Components. While the former are fully funded by the Central
Government and implemented through functional heads like the central sector schemes in
para-a above, the latter are routed through the intergovernmental transfer heads 3601/3602.
The expenditure on State Components is shared between the Central and State Governments
in accordance with the fund sharing pattern approved for the purpose.

3. Projects are best understood by the common-sense usage of the term. They involve onetime
expenditure resulting in creation of capital assets, which could yield financial or economic returns or both.
Projects may either be approved on stand-alone basis or as individual projects within an approved scheme
envelope. They may be executed through budgetary, extra-budgetary resources, or a combination of both.

4. Rationalization: It was found that over the years Ministries/Departments had started operating
small and multiple schemes, which spread resources too thinly to realise any meaningful outcomes. In the
run up to the Union Budget 2016-17, Schemes were rationalized in consultation with the implementing
Ministries/Departments. As per para-113 of the Budget Speech 2016, the number of Central Sector
Schemes was brought down to around 300 and the number of Centrally Sponsored Schemes to around
30. However, this exercise is not an end in itself. In reiteration of the standing instructions in this regard
and to ensure efficient management of public expenditure at all times, it is directed that henceforth:
i. No new Scheme or Sub-Scheme will be initiated without the prior "in-principle” approval of the
Department of Expenditure. This will, however, not apply to the announcements made in the
Budget Speech for any given year.

49
 ii. The Statement of Budget Estimates should be prepared in accordance with the approved
scheme architecture and any deviation in this regard should be a priori agreed with the
concerned division of the Department of Expenditure.
iii. Administrative Ministries/Departments should continuously endeavour to merge, restructure or
drop existing schemes and sub-schemes that have become redundant or ineffective with the
passage of time. For this, the restriction of in-principle approval mentioned in para-(i) above
will not apply.
iv. Department of Expenditure reserves the right to merge, restructure or drop any existing
scheme or sub-scheme, in consultation with the Administrative Department concerned, to
enhance efficiency and improve economies of scale in the execution of government programs.

5. Formulation: The quality of Scheme or Project Formulation is the key bottleneck leading to poor
execution at the implementation stage, including time and cost over-runs, often resulting in a series of
revised cost estimates. Additional time and effort spent at the scheme/ project formulation stage can not
only save precious resources, but also enhance the overall impact, leading to a qualitative improvement
in outcomes.

For all new Schemes, a Concept Paper should be prepared while seeking in-principle approval, holding
stakeholder consultations, conduct of pilot studies etc. While submitting proposals for continuation of on-
going schemes, a careful rationalization must be done through merger and dropping of redundant
schemes. The feedback from the formulation stage should be used for improving the scheme design so
that a Detailed Paper can be presented for appraisal at the EFC stage.

Similarly, project preparation should commence with a Feasibility Report, which helps establish the project
is techno-economically sound and resources are available to finance the project. It provides a firm basis
for starting land acquisition, approval of pre-investment activities, etc. In-principle approval for initiating a
project will be granted by the Financial Adviser concerned after examining project feasibility and availability
of financial resources.
Generic structure of a Detailed Paper for Schemes/Detailed Project Report for Projects is given at Annex-
I. While designing new schemes/sub-schemes, the core principles to be kept in mind are economies of
scale, separability of outcomes and sharing of implementation machinery. Schemes which share
outcomes and implementation machinery should not be posed as independent schemes, but within a
unified umbrella program with carefully designed convergence frameworks.

6. AppraIsal: The Institutional framework for appraisal of Schemes and Projects is given at Annex-
II. Depending on the level of delegation, the Schemes will be appraised by the Expenditure Finance
Committee (EFC) or the Standing Finance Committee (SFC), while Projects will be similarly appraised by
the Public Investment Board (PIB) or the Delegated Investment Board (DIB). The step-wise time-lines for
appraisal are given at Annex-III. The formats for submitting Schemes and Project Proposals are given at
Annex-IVA and AnnexIVB respectively. For Schemes, a Concept/Detailed Paper which outlines the overall
scheme architecture and its main structural elements should be attached. Similarly, for Projects either the
Feasibility or the Detailed Project Report should be attached. The word Scheme is used here in a generic
sense. It includes programs (urnbreila schemes), schemes and sub-schemes, which, depending on the
need, may be appraised as stand-alone cost centres.

7. New Bodies: No new Company, Autonomous Body, Institution/University or other Special Purpose
Vehicle should be set up without the approval of the Cabinet/Committee of the Cabinet, irrespective of the
outlay, or any delegation that may have been issued in the past. All such cases would be appraised by
the Cornmittee of Establishment Expenditure chaired by the Expenditure Secretary for which separate
orders will be issued by the Pers. Division. If setting up of a New Body involves project work, combined
CEE/EFC/PIB may be held.

8. OrigInal Cost Estimates: The delegation of powers for appraisal and approval of Original Cost
Estimates (OCE) is given in the table below:

50
 Scheme/Project Appraisal Scheme/Project Approval

Cost Appraisal by Cost Approval by

(Rs. Cr.) (Rs. Cr.)
Up to100 The Financial Adviser Up to 100 Secretary of the Administrative
Department
> 100 & SFC/DIB Chaired by > 100 & Minister-in-charge of the Administrative
up to 500 Secretary of the AdmIn. up to 500 Department
Dept.

EFC/PID Chaired by the > 500 & Minister-in-charge of the Admn. Dept. and
Expenditure Secretary, up to Finance Minister, except where special
except departments/ 1000 powers have been delegated by the
> 500 schernes/projects for which Finance Ministry
special dispensation has
> 1000 Cabinet/ Committee of the Cabinet
been notified by the
concerned with the subject
Competent Authority

Note: 1. The financial limits above are with reference to the total size of the Scheme/Project being
posed for appraisal and includes budgetary support, extra-budgetary resources, external aid,
debt/equity/loans, state share, etc.
2. Financial Advisers may refer any financial matter and may also seek participation of the
Department of Expenditure in the SFC/DIB meetings, if required. For proposals above Rs. 300
crore such a participation would be mandatory.
3. Delegated powers should be exercised only when the budgetary allocation or medium-term
scheme outlay as approved by Department of Expenditure is available.
4. While exercising delegated powers, the Ministries/Departments should also ensure the
proposals are subject to rigorous examination in project design and delivery, and careful attention
should be paid to recurring liabilities and fund availability after adjustment of the committed
liabilities.
5. For appraisal and approval of PPP projects separate orders issued by the Department of
Economic Affairs will apply.

9. Revised Cost Estimates: Any Increase in costs due to statutory levies, exchange rate variation,
price escalation within the approved time cycle and/or increase in costs up to 20 percent due to any other
reason, are covered by the approval of the original cost estimates. Any increase in this regard would be
approved by the Secretary of the Administrative Department concerned with the concurrence of the
Financial Adviser.
Any increase in costs beyond 20 percent of the firmed-up cost estimates due to time overrun, change in
scope, under-estimation, etc. (excluding increase in costs due to statutory levies, exchange rate variation
and price escalation within the approved time cycle) should first be placed before a Revised Cost
Committee chaired by the Financial Adviser (consisting of the Joint Secretary in-charge of the program
division and representative of the Chief Adviser Cost as members) to identify the specIfic reasons behind
such increase, identify lapses. if any, and suggest remedial measures for the same. The recommendations
of the Revised Cost Committee should be placed for fresh appraisal and approval before the competent
authority as per the extant delegation of powers (It may be noted that a firmed-up cost estimate here
means a cost estimate which has been through the full appraisal and approval procedure as per the extant
delegation of powers).

10. Pre-Investment Activities include preparation of Feasibility Reports, Detailed Project Reports;
Pilot Experiments/Studies for Schemes; Survey/Investigation required for large projects; payment for land

51
acquisition in accordance with the orders of a competent authority under the law; construction of boundary
wall, access roads, minor bridges/culverts. waterpower lines, site offices, temporary accommodation, etc.
at the project site; preparation of environment management plans, forestry and wildlife clearances:
compensatory afforestation, payment for conversion of forest land to non-forest purposes, etc.
Pre-investment activities up to Rs. 100 crore (including budgetary and extra-budgetary resources) may be
approved by the Secretary of the Administrative Department with the concurrence of the Financial Adviser
concerned provided financial resources are available and in-principle approval has been obtained,
wherever necessary. For preinvestment activities above Rs. 100 crore, the prescribed appraisal and
approval procedure should be followed. When firmed-up cost estimates are put up for approval, the
expenditure on pre-investment activities should be included in the final cost estimates for the competent
authority to get a full picture of the total resources required for the scheme or the project to be
implemented.

11. Medium Term Outlay: It has been stated in para-110 of the Budget Speech 2016 that every
scheme should have a sunset date and an outcome review. In the past, every scheme was revisited at
the end of each plan period. After the Twelfth Five Year Plan, the medium term framework for schemes
and their sunset dates will become coterminous with the Finance Commission Cycles, the first such one
being the remaining Fourteenth Finance Commission (FFC) period ending March, 2020. This is necessary
because fixation of medium term scheme outlay needs a clarity over flow of resources, which is likely to
be available to both Central and State Governments over the Finance Commission periods.
Accordingly, it is directed that at the end of the Twelfth Plan period all Ministries/ Departments should
undertake an outcome review and re-submit their Schemes for appraisal and approval, unless the scheme
has already been made coterminous with the FFC period. The Department of Expenditure will, on its part,
communicate, in consultation with the Budget Division, the outlays for both Central Sector and Centrally
Sponsored Schemes over the remaining FFC period. The same process will, mutatis mutandis, apply to the
subsequent Finance Commission Cycles.

12. Outcomes and Evaluation: Finance Secretary vide D.O. 66(01 )/PF.II/2015 Dated 18th May 2016.
(Annex-V) has directed all Ministries/Department to prepare an output-outcome framework for each
Central Sector and Centrally Sponsored Scheme with the approval of CEO NITI Aayog. Measurable
outcomes, which deal with the quality aspect of schemes and programs, need to be defined over the
relevant medium term framework, while physical and financial outputs need to be targeted on year-to-year
basis in such a manner that it aggregates to achieve the measurable outcomes over the medium term.
NITI Aayog, while approving the output-outcome framework, will kick-start a third party evaluation process
for both Central Sector and Centrally Sponsored Schemes. Extension of Schemes from one Finance
Comrnission Cycle to another would be contingent on the result of such an evaluation exercise.

13. Repeal: The following OM's of Department of Expenditure, and linked circulars of other
Departments, including the erstwhile Planning Commission, are hereby superseded:
OM No. 24(35)/PF-II/2012 Dated 29th August, 2014
OM No. 1(1)/PF-II/2011 Dated 31st March, 2014
OM No. 1(3) PF-II/2001 Dated 1st April, 2010
OM No. 1(3)/PF-II/2001 Dated 15th November, 2007
OM No. 1(2)/PF-II/2003 Dated 7th May, 2003
OM No. 1(3)/PF.II/2001 Dated 18th February, 2002
OM No. 1(8)/PF-II/1998 Dated 30th October, 1998
OM No. 1(6)/PF-II/1991 Dated 24th August. 1992
OM No. 1(4)/PF-II/1984 Dated 25th August, 1984

52
The concerned Departments may, however, reissue their linked circulars in consultation with the
Department of Expenditure after suitably realigning it with the new circular.

This issues with the approval of the Finance Minister and will come into effect with immediate
effect.

Sd/-
(Arunish Chawla)
Joint Secretary to the Government of India

All Secretaries to the Government of India

All Financial Advisers to Ministries/Departments
Cabinet Secretariat
Prime Minister’s Office
NITI Aayog
Railway Board
Internal Circulation

53
 Annexure-I

GENERIC STRUCTURE OF A DETAILED PAPER/DETAILED PROJECT REPORT

(i) Context/Background: This section should provide a brief description of the sector/sub-sector as well
as the national strategy and policy framework. This section should also provide a general description of
the scheme/project being posed for appraisal.
(ii) Problems to be addressed: This section should elaborate the problem to be addressed through the
project/scheme at the local/regional/national level. Evidence regarding the nature and magnitude of the
problems should be presented, supported by baseline data/survey/ reports etc.
(iii) Aims and Objectives: This section should indicate the development objectives proposed to be
achieved, ranked in order of importance. The outputs/deliverables expected for each development
objective should be spelt out clearly.
(iv) Strategy: This section should present an analysis of alternative strategies available to achieve the
development objectives. Reasons for selecting the proposed strategy should be brought out. Basis for
prioritization of locations should be indicated (wherever relevant). Opportunities for leveraging government
funds through public-private partnership or savings through outsourcing must be explored. This section
should also provide a description of the ongoing initiatives, and the manner in which duplication can be
avoided and synergy created with the proposed scheme/project.
(v) Target Beneficiaries: There should be clear identification of target beneficiaries. Stakeholder analysis
should be undertaken, including consultation with stakeholders at the time of scheme/project formulation.
Options regarding cost sharing and beneficiary participation should be explored and incorporated in the
project. Impact of the project on weaker sections of society, positive or negative, should be assessed and
remedial steps suggested in case of any adverse impact.
(vi) Legal Framework: This section should present the legal framework, if relevant, within which the
scheme/project will be implemented, as well as the strengths and weaknesses of the legal framework in so
far as it impacts on achievement of stated objectives.
(vii) Environmental Impact: Environmental Impact Assessment should be undertaken, wherever
required, and measures identified to mitigate the adverse impact, if any. Issues relating to land acquisition,
diversion of forest land, wildlife clearances, rehabilitation and resettlement should be addressed in this
section.
viii) Technology: This section should elaborate on the technology choices, if any; evaluation of the
technology options, as well as the basis for choice of technology for the proposed project.
(ix) Management: Responsibilities of different agencies for project management or scheme
imptementation should be elaborated. The organization structure at various levels, human resource
requirements, as well as monitoring arrangements should be clearly spelt out.
(x) Finance: This section should focus on the cost estimates, budget for the scheme/project, means of
financing and phasing of expenditure. Options for cost sharing and cost recovery (user charges) should
be explored. Infrastructure projects may be assessed on the basis of the cost and tenor of the debt. Issues
relating to project sustainability, including stakeholder commitment, operation-maintenance of assets after
project completion and other related issues should also be addressed in this section.
(xi) Time Frame: This section should indicate the proposed zero date for commencement and also provide
a PERT/CPM chart, wherever relevant.
(xii) Cost Benefit Analysis: Financial and economic cost-benefit analysis of the project should be
undertaken wherever such returns are quantifiable. Such an analysis should generally be possible for
infrastructure projects, but may not always be feasible for public goods and social sector projects. Even in
the case of latter, the project should be taken up for appraisal before the PIB and some measurable
outcomes/deliverables suitably defined.

54
(xiii) Risk Analysis: This section should focus on identification and assessment of implernentation risks and
how these are proposed to be mitigated. Risk analysis could include legal/contractual risks, environmental
risks, revenue risks, project management risks, regulatory risks, etc.
(xiv) Outcomes: Success criteria to assess whether the development objectives have been achieved should
be spelt out in measurable terms. Base-line data should be available against which success of the project
will be assessed at the end of the project (impact assessment). Similarly, it is essential that base-line surveys
be undertaken in case of large, beneficiary-oriented schemes. Success criterion for scheme
deliverables/outcomes should also be specified in measurable terms to assess achievement against
proximate goals.
(xv) Evaluation: Evaluation arrangements for the scheme/project, whether concurrent, mid-term or post-
project should be clearly spelt out. It may be noted that continuation of schemes from one period to another
will not be permissible without a third-party evaluation.
Last but not the least, a self-contained Executive Summary should be placed at the beginning of the
document. In cases where only a Concept Paper or Feasibility Report is attached to the EFC/PIB proposal,
it should cover the main points mentioned in the generic structure above.

55
 Annexure-II
Institutional Arrangement for Appraisal of Schemes and Projects

Expenditure Finance Committee (EFC)

Expenditure Secretary Chairperson
Secretary of the Administrative Ministry/Department Member
Financial Advisor of the Administrative Ministry/Department Member
Adviser, PAMD, NITI Aayog Member
Representative of Budget Division Member
Representatives of concerned Ministries/Agencies Member
Joint Secretary, Department of Expenditure Member-Secretary
For appraisal of schemes of scientific nature, Scientific Adviser may be invited as Member.
Standing Finance Committee (SFC)
Secretary of the Administrative Ministry/Department Chairperson
Joint Secretary in Charge of the Subject Division Member
Representative of NITI Aayog Member
Financial Advisor of the Administrative Ministry/Department Member-Secretary
Representative of Department of Expenditure and any other Ministry/Department that the
Secretary/Financial Advisor may suggest may be invited as per requirement.

Public Investment Board (PIB)

Expenditure Secretary Chairperson

Secretary of the Administrative Ministry/Department Member

Financial Advisor of the Administrative Ministry/Department Member

Adviser, PAMD, NITI Aayog Member

Representative of Budget Division Member

Representatives of concerned Ministries/Agencies Member

Joint Secretary, Department of Expenditure Member-Secretary

For appraisal of scientific projects, ScientifIC Adviser may be invited as Member.

Delegated Investment Board (DIB)

Secretary of the Administrative Ministry/Department Chairperson

Joint Secretary in Charge of the Subject Division Member

Representative of NITI Aayog Member

Financial Advisor of the Administrative Ministry/Department Member-Secretary

Representative of Department of Expenditure and any other Ministry/Department that the

Secretary/Financial Advisor may suggest may be invited as per requirement.

56
 Annexure-III
Time Frame for Appraisal and Approval of Schemes and Projects

The scheme/project cycle would commence with the submission of a Concept Paper/ Feasibility
Report by the Administrative Ministry/ Department.

(i) Decision on “in-principle" approval, if required 2 weeks

(ii) Preparation of a Detailed Paper/Detailed Project The time limit will vary depending on
Report by the Administrative Ministry/ the nature of scheme and project.
Department and circulating the same along with This is an internal matter of the
draft EFC/PIB Memo. Administrative Ministry/ Department
concerned.

(iii) Appraisal Note and Comments to be offered on 4 weeks

the DP/DPR and draft EFC/PIB memo by
Department of Expenditure, NlTI Aayog and
concerned Ministries/Agencies.

(iv) Preparation of final EFC/PIB Memo based on 2 weeks

comments received, and circulating the same for
Appraisal and Approval

(v) Fixing the date of EFC/PIB meeting after 1 week

receiving the final EFC/PIB Memo

(vi) Issue of minutes of EFC/PIB after the meeting 1 week

has been held

(vii) On-file approval of Administrative Minister and 2 weeks

Finance Minister

(viii) Submission for approval of the Cabinet/ 2 weeks

Committee of the Cabinet (for proposals above
Rs. 1,000 crore)

Note: Wherever the recommended time frame is not adhered to any stage, the concerned
organization should work out an appropriate trigger mechanism to take the matter to the next higher
level for timely decision making.

57
 Annexure-IVA

FORMAT FOR EFC/SFC MEMORANDUM FOR APPRAISAL OF SCHEMES

1. Scheme Outline
1.1 Title of the Scheme.
1.2 Sponsoring Agency (Ministry/ Department/Autonomous Body or Undertaking)
1.3 Total Cost of the proposed Scheme
1.4 Proposed duration of the Scheme
1.5 Nature of the Scheme: Central Sector Scheme/ Centrally Sponsored Scheme
1.6 For Central Sector Schemes, sub-schemes/components, if any, may be mentioned.
For Centrally Sponsored Schemes, central and state components, if any, may be mentioned.
1.7 Whether a New or a Continuing Scheme? In case of a Continuing Scheme, whether the old scheme
was evaluated and what were the main findings?
1.8 Whether in-principle approval is required? if yes, has it been obtained?
1.9 Whether a Concept Paper or a Detailed Paper has been prepared and stakeholders consulted? In
case of new Centrally Sponsored Schemes, whether the State Governments have been consulted?
1.10 Which existing schemes/sub-schemes are being dropped, merged or rationalized?
1.11 Is there an overlap with an existing scheme/sub-scheme? if so, how duplication of effort and
wastage of resources are being avoided?
1.12 In case of an umbrella scheme (program) give the details of schemes and sub-schemes under
it along with the proposed outlay component-wise.
Note: it may kindly be noted that the word scheme here is used in a generic sense. It includes
prograrns, schemes and sub-schemes, which, depending on need, can be appraised and
approved as stand-alone cost centers.

2. Outcomes and Deliverables

2.1 Stated aims and objectives of the Scheme
2.2 Indicate year-wise outputs/deliverables in a tabular form.
Year 1 Year 2 & so on Total
Components
Physical Financial Physical Financial Physical Financial

1,2,3 & so on

2.3 Indicate Outcomes of the Scheme in the form of measurable indicators which can be used to
evaluate the proposal periodically. Baseline data or survey against which such outcomes should
be benchmarked should also be mentioned.
2.4 Indicate other schemes/sub-schemes being undertaken by Ministries/ Departments which have
significant outcome overlap with the proposed scheme. What convergence framework have been
evolved to consolidate outcomes and save public resources?

58
3. Target Beneficiaries
3.1 If the scheme is specific to any location, area and segment of population, please give the details and
basis for selection.
3.2 Please bring out specific interventions directed in favour of social groups, namely SC, ST,
differently abled, minorities and other vulnerable groups.
3.3 If the scheme has any gender balance aspects or components specifically directed at welfare of
women, please bring them out clearly?
3.3 Please bring out special interventions, if any, in North East, Himalayan, LWE, Island territories and
other backward areas.
3.4 In case of beneficiary oriented schemes, indicate the mechanism for identification of target
beneficiaries and the linkage with Aadhaar/UID numbers.
3.5 Wherever possible, the mode of delivery should involve the Panchayati Raj Institutions and Urban
Local Bodies. Where this is intended, the preparedness and ability of the local bodies for executing
the proposal may also be examined.

4 Cost Analysis
4.1 Cost estimates for the scheme duration: both year-wise, component-wise segregated into non-
recurring and recurring expenses.
4.2 The basis of these cost estimates along with the reference dates for normative costing.
4.4 In case pre-investment activities or pilot studies are being carried out, how much has been spent
on these?
4.5 In case the scheme involves payout of subsidy, the year wise and component wise expected outgo
rnay be indicated.
4.3 In case the land is to be acquired, the details of cost of land and cost of rehabilitation/resettlement,
if any.
4.6 In case committed liabilities are created, who will or has agreed to bear the legacy burden? in case
assets are created, arrangements for their maintenance and upkeep?

5. Scheme Financing
5.1 Indicate the sources of finance for the Scheme: budgetary support, extra-budgetary sources,
external aid, state share, etc.
5.2 If external sources are intended, the sponsoring agency may indicate, as also whether such funds
have been tied up?
5.3 Indicate the component of the costs that will be shared by the State Governments, local bodies,
user beneficiaries or private parties?

6. Approvals and Clearances

Requirement of mandatory approvals and clearances from various local, state and national bodies
and their availability may be indicated in a tabular form (land acquisition, environment, forestry,
wildlife etc.) In case land is required, it may be clearly mentioned whether theland is in the possession
of the agency free from encumbrances or encroached or stuck in legal processes?

S.No. Approvals/ Agency concerned Availability (Y/N)

Clearance

59
7. Human Resources
7.1 Indicate the administrative structure for implementing the Scheme. Usually creation of new
structures, entities etc. should be avoided.
7.2 Manpower requirement, if any. In case posts, permanent or temporary, are intended to be created,
a separate proposal may be sent on file to Pers. Division of Department of Expenditure (such
proposals may be sent only after the main proposal is recommended by the appraisal body.
7.3 In case outsourcing of services or hiring of consultants is intended, brief details of the same may be
provided.

8. Monitoring and Evaluation

8.1 Please indicate the monitoring framework for the Scheme and the arrangements for statutory and
social audit (if any).
8.2 Please indicate the arrangement for third party/independent evaluation? Please note that evaluation
is necessary for extension of scheme from one period to another.

9. Comments of the Financial Advisor, NITI Aayog, Department of Expenditure and other
Ministries/Departments may be summarized in tabular form along with how they are being
internalized and used to improve this proposal.

10. Approval Sought:

(--------------------)
Joint Secretary to the Government of India
Tel. No. ________________
Fax No. _______________
E-mail ___________________________

Please attach an Executive Summary along with the Concept/Detailed Paper outlining the main
elements and overall architecture of the proposed Scheme.

60
 Annexure-IVB

FORMAT FOR PIB/DIB MEMORANDUM FOR APPRAISAL OF PROJECTS

1. Project Outline

1.1 Title of the Project

1.2 Sponsoring Agency (Ministry/ Department/Autonomous Body or Undertaking.

1.3 Proposed Cost of the Project

1.4 Proposed Timelines for the Project

1.5 Whether Project will be implemented as part of a scheme or on stand-alone basis?

1.6 Whether financial resources required for the Project have been tied up? if yes, details?

1.7 Whether Feasibility Report and/or Detailed Project Report has been prepared?

1.8 Whether the proposal is an Original Cost Estimate or a Revised Cost Estimate?

1.9 In case of Revised Cost Estimates, whether the meeting of Revised Cost Committee has been held
and its recommendations suitably addressed?

1.10 Whether any land acquisition or pre-investment activity was under-taken or is contemplated for this
Project? Whether the cost of such intervention has been included in the Project Proposal?

2. Outcomes and Deliverables

2.1 Stated aims and objectives of the Project
2.2 Indicate year-wise outputs/deliverables for the project in a tabular form.

Year 1 Year 2 & so on Total

Activities
Physical Financial Physical Financial Physical Financial

1,2,3 & so on

2.3 Indicate final outcomes for the project in the form of measurable indicators which can be used for
impact assessment/evaluation after the project is complete. Baseline data or survey against which
such outcomes would be benchmarked should also be mentioned.

3. Project Cost
3.1 Cost estimates for the project along with scheduled duration (both year and activity-wise). Also the
basis for these cost estimates along with the reference dates for normative costing (it should
preferably not be more than a year old).
3.2 In case land is to be acquired, the details of land cost, including cost of rehabilitation/ resettlement
needs to be provided.
3.3 In case pre-investment activities are required, how much is proposed to be spent on these, with
details activity-wise?

61
3.4 Whether price escalation during the project time cycle has been included in the cost estimates
and at what rates?
3.5 Whether the Project involves any foreign exchange element, the provision made or likely impact
of exchange rate risks?
3.6 In case of the Revised Cost Estimates, a variation analysis along with the Report of the Revised
Cost Committee needs to be attached.

4. Project Finance
4.1 Indicate the sources of project finance: budgetary support, internal and extrabudgetary sources,
external aid, etc.
4.2 Indicate the cost components, if any, that will be shared by the state governments, local bodies,
user beneficiaries or private parties?
4.3 In case of funding from internal and extra-budgetary resources, availability of internal resources
may be supported by projections and their deployment on other projects?
4.4 Please indicate funding tie-ups for the loan components, if any, both domestic and foreign, along-
with terms and conditions of loan based on consent/comfort letters.
4.5 If government support/loan is intended, it may be indicated whether such funds have been tied
up?
4.6 Please provide the leveraging details, including debt-equity and Interest coverage ratios, along
with justification for the same.
4.7 Mention the legacy arrangements after the project is complete, in particular, arrangements for
the maintenance and upkeep of assets that will be created?

5. Project Viability

5.1 For projects which have identifiable stream of financial returns, the financial internal rate of return
may be calculated. The hurdle rate will be considered at 10 percent.
5.2 In case of projects with identifiable economic returns, the economic rate of return may be
calculated. In such cases project viability will be determined by taking both financial and
economic returns together.
5.3 In case of proposals where both financial and economic returns are not readily quantifiable, the
measurable benefits/outcomes simply may be indicated.

Note: it may kindly be noted that all projects, irrespective of whether financial and/or economic
returns can be quantified or not, should be presented for PIB/DtB appraisal.

6. Approvals and Clearances

Requirement of mandatory approvals/clearances of various local, state and national bodies and
their availability may be indicated in a tabular form (land acquisition, environment, forestry,
wildlife etc.) in case land is required, it may be clearly mentioned whether the land is in the
possession of the agency free from encumbrances or encroached or stuck in legal processes?

S.No. Approvals/Clearance Agency concerned Availability (Y/N)

62
 7. Human Resources
7.1 Indicate the administrative structure for implementing the Project. Usually creation of new
structures, entities etc. should be avoided.
7.2 Manpower requirement, if any. In case posts (permanent or temporary) are intended to be created,
a separate proposal may be sent on file to Pers. Division of Department of Expenditure. Such
proposals may be sent only after the main proposal is recommended by the appraisal body.
7.3 In case outsourcing of services or hiring of consultants is intended, brief details of the same may
be provided.

8. MonItoring and Evaluation

8.1 Indicate the Project Management/Implementing Agency(s). What agency charges are payable, if
any?
8.2 Mode of implementation of individual works: Departmental/Item-rate/Turnkey/EPC/ Public-Private
Partnership, etc.
8.3 Please indicate timelines of activities in PERT/Bar Chart along with critical milestones.
8.4 Please indicate the monitoring framework, including MIS, and the arrangements for
internal/statutory audit.
8.5 Please indicate what arrangements have been made for impact assessment after the project is
complete?

9. Comments of the Financial Advisor, NITI Aayog, Department of Expenditure and other
Ministries/Departments may be summarized in tabular form along with how they have been
internalized and used to improve this proposal.

10. Approval Sought:

(---------------------)
Joint Secretary to the Government of India
Tel. No. ________________
Fax No. ________________
E-mail ________________________

Please attach an Executive Summary along with the Feasibility Report/Detailed Project Report
prepared for the Project.

63
 Annexure-V
Ashok Lavasa
Finance Secretary Government of India
Ministry of Finance
Department of Expenditure

D.O.No.66(01)/PF.II/2015 18th May 2016

Dear Secretary,

Following rationalization of schemes in the 2016-17 BE, instructions were issued for preparation
of outcome budgets with the approval of CEO, NITI Aayog. However, due to paucity of time outcome
budget for 2016-17 was submitted in the old format with the understanding that follow up action will be
taken soon thereafter.

2. It is again reiterated that outcomes need to be defined for both Central Sector Schemes and
Centrally Sponsored Schemes. The following action needs to be taken in this regard:
a) Measurable Outcomes need to be defined for each scheme over the medium term, that is going
forward up to the year 2019-20 (the end of Fourteenth Finance Commission period).
b) On the financial side, the budgetary allocation for 2016-17 may also be normatively projected going
forward up to the year 2019-20 (assuming a normative increase of 5- 10% every year).
c) Year to year physical outputs, consistent with the financial resources projected above, need to be
worked out in a manner that is not out of line with the measurable outcomes as defined in para (a)
above.
d) The output-outcome framework may be got approved from CEO, NITI Aayog by the end of the first
quarter i.e. 30 June 2016.
e) An evaluation framework will also be designed for each scheme based on this exercise.
Continuation of any scheme beyond the Fourteenth Finance Commission period will be
contingent on the result of such evaluation conducted by NITI Aayog.

3. I would request you to carefully identify the outcome parameters that would be true indicators of
the desired outcome. This may be given top priority as the forthcoming RE/BE and outcome budgets will
be based on this exercise.

With regards,
Yours sincerely,
Sd/-
(Ashok Lavasa)

Secretary to the Govt. of India as per list attached.

Copy to: CEO, NITI Aayog

64
 ENCLOSURE-4a
F.No. 24(35)/PF-II/2012(Pt)
Government of India
Ministry of Finance
Department of Expenditure
[Public Finance (Central-I)] Division
*****
North Block, New Delhi
Dated: 05.06.2017
OFFICE MEMORANDUM

Subject: Authority Competent to approve time overrun in respect of Projects where there is no cost
overrun.

Reference is invited to Cabinet Secretariat O.M. No. 142/1/2/2017-TS dated 9th May, 2017 requesting for
clarification on the above mentioned subject.

2. The request is considered. In this regard, the undersigned is directed to convey the following
clarifications:
(i) All cases of time overrun without cost overrun would be approved by the Secretary of the
Administrative Department concerned with the concurrence of the Financial Advisor in accordance
with para 9 of DoE O.M dated 5th August, 2016.
(ii) However, the competent authority while approving such instances of projects undergoing time
overrun without cost overrun, may consider the following:
(a) Time overrun beyond a period of time is not expected to happen without cost overrun due to normal
inflation in the economy. Some of the reasons for time overrun without cost overrun could be:
 Overestimation of the cost of the time of Original Cost Estimates (OCE).
 Deletion of certain items approved at the OCE stage.
 Change in scope
(b) In addition to time overrun, viability of the project may be reassessed. There could be change in
market scenario in view of which the project may no longer be viable due to change in demand and
supply, obsolescence in technology etc.
(c) Inordinate delay in project execution may lead to the manpower and technological resources being
employed disproportionately at one place hampering the pace of the other projects.
(d) Competent authority may also examine if the delay is attributable to fault on the part of any persons
and fix responsibility as per extant rules and procedure.
3. This issues with the approval of the Finance Secretary.
Sd/-
(Anu Kukreja)
Deputy Director (PF-II)
Tele: 23095664
anukukreja.icoas@nic.in
Cabinet Secretariat,
[Shri S.G.P. Verghese, Director]
Cabinet Secretariat,
New Delhi

Copy to all the Financial Advisor for information and necessary action at their end.

65
 ENCLOSURE-4b
No. 24(35)/PF-II/2012
Government of India
Ministry of Finance
Department of Expenditure
*****
North Block, New Delhi,
Dated 3rd April, 2018

OFFICE MEMORANDUM

Subject: Appraisal and Approval of Public Funded Schemes and Projects (except matters required
to be placed before the Cabinet Committee on Security) - Special Measures to meet needs
of Persons with Disabilities

The undersigned is directed to refer to this Department’s OM No. 24(35)/PF-II/2012 dated 05th
August, 2016 on the subject cited above.

2. Following modifications are made in Annexure-IVA and Annexure-IV B of this Department’s OM No.
24(35)/PF-II/2012 dated 05th August. 2016:

(i) Insertion of a new sub-para 3.6 in Section 3 of Annexure-IVA: Format for EFC/SFC Memorandum
for the appraisal of schemes, as under:
“Please bring out special interventions proposed to meet needs of Persons with Disabilities,
including accessibility requirements under the RoPWD Act 2016”. [Attach details at Annexure]
(ii) Insertion of a new sub-para 2.4 in Section 2 of Annexure IV B: Format for PIB/DIB Memorandum
for appraisal of projects, as under:
“Please indicate special measures proposed to meet needs of Persons with Disabilities, including
accessibility requirements under the RoPWD Act”. [Attach details at Annexure]
3. This comes into immediate effect. Ministries/Departments are requested to accordingly circulate
EFC/PIB memos for inter-ministerial consultations after incorporating measures to meet needs of
Persons with Disabilities.
4. This issues with the approval of Secretary (Expenditure).

Sd/-
(Harsha Dass)
Director
Tel. No. 23092578
To:

Secretary to Govt. of India as per list attached

Copy to:

1. Prime minister’s Office

2. Cabinet Secretariat
3. CEO, NITI Aayog
4. Financial Advisors in all Ministries/Departments to the Government of India

66
 ENCLOSURE-4c
F. No. 42(02)/PF-II/2014
Government of India
Ministry of Finance
Department of Expenditure
[PFC-I Division]
***
North Block, New Delhi
Dated: 9th August, 2021
OFFICE MEMORANDUM

Subject: Revised format for Appraisal and Approval of new Public Funded Schemes – reg.

Reference is invited to this Department's OM NO. 24(35)/PF-II/2012 dated 5th August, 2016 regarding
guidelines for appraisal and approval of public funded schemes in which the format for submitting EFC/SFC
proposals for appraisal of new schemes is contained in Annexure IV-A. This format has been reviewed in
consultation with NITI Aayog to make it more informative, lucid and to incorporate output/outcome related targets
in a logical framework. This will make the appraisal more structured and effective while placing enhanced emphasis
on measurable outputs/outcomes of public expenditure.
2. Accordingly, the undersigned is directed to convey the following: -

i) The EFC/SFC proposals for new public funded schemes should be sent in the enclosed revised
format (Annexure - A) including the summary sheet, along with detailed paper if required and other
enclosures as prescribed in the checklist of the format. This format, henceforth, replaces Annexure
IV A of the ibid DoE guidelines dated 5th August, 2016.
ii) It is reiterated that before sending the EFC/SFC proposal, 'in-principle' approval of the Department
of Expenditure for initiating any new scheme / sub scheme should be taken in terms of para 4(i)
and para 5 of the ibid OM.
iii) It may be noted that emphasis has been placed (para 3.3) on DBT in the beneficiary-
oriented schemes, on devising suitable mechanism for identification of genuine beneficiaries
through Aadhaar authentication, provision for online application as well as fund disbursement
through Aadhaar Enabled Payment System (ASPS).
iv) For assistance in formulating logical framework-based output / outcome tables for the new schemes,
NITI Aayog may be consulted by Ministries/Departments.

3. This will apply to all EFC/SFC proposals for new schemes submitted on or after 1.9.2021.
4. For the schemes (new and ongoing), already approved this financial year in the old formats,
Ministries/Departments should provide the logical framework-based output/outcome table as given at Sr.
No. 2.2 of the revised format (Annexure-A) by 31-3-2022 to the DoE and the NITI Aayog, to enable further
monitoring of outputs/outcomes etc.
5. This issues with the approval of Finance Secretary & Secretary (Expenditure).
Sd/-
(Dr. Shivalli M. Chouhan)
Director (PFC-I)
Tel. 23093109
e-mail: shivalli.chouhan@nic.in
All Secretaries to the Government of India
All Financial Advisers to Ministries/Departments
Cabinet Secretariat
Prime Minister's Office
NITI Aayog
Railway Board
Internal circulation

67
 Annexure-A

FORMAT FOR EFC/SFC MEMORANDUM FOR APPRAISAL OF NEW SCHEMES

Summary Sheet

S. No. Outline Details

1 Name of the Scheme
2 Nature of the scheme
(CSS/CS/Scheme under umbrella)
3 Duration
4 Proposed Outlay
5 Funding pattern
6 Source of Funding
7 Objectives
8 Target Beneficiaries
9 Major Interventions/ Components
10 Name of schemes with which convergence is
sought along with Ministries/ Departments
11 Manpower Requirement
12 Measurable outputs/ outcomes targeted at the
end of scheme duration

FORMAT FOR EFC/SFC MEMORANDUM FOR APPRAISAL OF NEW SCHEMES

Documents’ Checklist
S.No Document Attached Annexure Remarks (If any)
(Yes/No/NA) Number
1. Concept Paper
2. Evaluation Report
3. Feasibility / pilot study
report
4. Gap / Need Analysis Report
5. Stakeholder Consultation
Report
6. Approval and Clearances
7. Response to Comments

1. General

1.1 Title of the Scheme

1.2 Sponsoring Agency (Ministry/ Department/Autonomous Body or Undertaking)

1.3 Proposed duration of the Scheme

68
1.4 Nature of the Scheme: Central Sector Scheme/ Centrally Sponsored Scheme (Please specify if it is under an umbrella)

1.5 Total estimated financial outlay of the proposed Scheme

1.6 Funding Pattern

1.7 Provide details of schemes under it along with proposed outlays. Details of sub-schemes (if any) under the scheme
along with proposed outlays.

Umbrella Scheme Scheme Sub Scheme FY Proposed Outlay

Column may be deleted Column may be deleted
if not applicable if not applicable

1.8 (A) Is the scheme created by restructuring/merger/renaming of previously existing scheme(s)/sub-scheme(s)? If yes,
please mention the name of the scheme(s) proposed to be merged/dropped/ rationalized?
(B) Please mention whether the old scheme(s) was evaluated? If yes, please attach Evaluation report.
(C) What were the main findings of the evaluation and how are they incorporated in the scheme design (please use the
table given below)?

S.No Recommendation of the Has an action been If yes please elaborate If no, please explain the
evaluation report taken on this the action or revision in reasoning for exclusion of
recommendation scheme proposal this recommendation
(Yes/No) undertaken

1.9 Details of In-principle approval-

1.10 (A) Concept Paper details including findings of Gap/Need analysis and Feasibility/Pilot Study along with a summary
justification for the new scheme.

(B) Details of stakeholder consultations undertaken. Please include details of state governments consultation,
particularly in CSS scheme.

1.11 Overlap with any existing scheme/sub-schemes in this Ministry/Department/any other Ministry/Department? If yes,
please fill below table highlighting the aspects in which there is an overlap and how will the scheme use this convergence
to save public resources? (Refer the table in OM )

1.12 Whether the proposal is secured against natural / man-made disasters like floods, cyclones, earthquakes, tsunamis, etc.
If the proposal involves creation /modification of structural and engineering assets or change in land use plans, disaster
management concern should be assessed, and specifically commented upon.

2. Outcome and Deliverables

2.1 Objectives of the Scheme

2.2 Indicate year-wise targets set for outputs and outcomes of the scheme along with the activities to be undertaken and
inputs to be used in the form of measurable indicators in the below mentioned table. Data sources for each indicator
must be clearly mentioned along with key assumptions and risks involved (if any) along with their severity as perceived
by the proposer. Baseline data (Year and Value) should also be benchmarked and mentioned for all indicators.

69
 Objective Indicators Means of Important Risks Involved Baseline Baseline Target
Statement Verification Assumptions Year Value
(Data Risk Severity of Fiscal Fiscal Fiscal Fiscal
Source) Identified Risk Year Year Year Year
(Low/Medium “A-B” “B-C” “C-D” “D-E”
/
High)
Outcomes
Output
Activity
Inputs

3. Target Beneficiaries

3.1 (A) Please specify the target beneficiaries in terms of location, area and segment of population, industries, companies,
institutions, etc.

B) Please give the details of coverage of target population and basis for selection of the target beneficiaries.

3.2 Is there a specific intervention targeted at any of demographics mentioned in the below table?

Is there a specific intervention targeted at any of the If yes, please elaborate on specific
below mentioned demographics? interventions targeted for the corresponding
demographic. If no, please mention why.
Demographic Yes/No
Marginalized social groups namely SC, ST,
Persons with disability (Divyangjan),
minorities and other vulnerable groups
Women
North east, Himalayan LWE, Island territories
and other backward areas

3.3 In case of beneficiary-oriented schemes, indicate whether the scheme is a Direct Benefit Transfer (DBT) scheme inter
alia indicating the mechanism for identification of target beneficiaries through Aadhaar authentication, provision for
online application and fund disbursement mechanism (Disbursement of funds should be done through Aadhaar Enabled
Payment System (AEPS) to ensure Aadhaar authentication, and not merely Aadhaar seeding).

3.4 (A) Are Panchayati Raj Institutions and Urban Local Bodies involved in implementation?

(B) If yes, elaborate on their involvement.

(C) Please also comment on preparedness and ability of the local bodies to undertake this.

(D) If no, please mention the reason for the exclusion of PRis/ULBs in the implementation process.

4. Scheme Financing

4.1 Indicate the sources of finance for the Scheme: budgetary support, extra-budgetary sources, external aid, state share,
etc. (Total amount year wise).

4.2 If external sources are intended, the sponsoring agency may be indicated, as also whether such funds have been tied
up?

70
5. Cost Analysis

5.1 Please provide year-wise and component-wise cost estimates for the scheme in the below provided table and indicate
how will they be shared by the state governments, local bodies, user beneficiaries or private parties. Also segregate
them into recurring and non-recurring expenses (Refer Table in the OM)

Scheme Recurring/ Cost Estimate/Proposed Outlay Cost sharing at different levels Remarks
Compo non-
nent recurring
cost
Fiscal Fiscal Fiscal Fiscal Fiscal Total Central State Local Others
Year Year Year Year Year Share Share Body/3rd
“A-B” “B-C” “C-D” “D-E” “E-F” tier
share

5.2 The basis of these cost estimates along with the reference dates for normative costing

5.3 In case pre-investment activities or pilot studies are being carried out, how much has been spent on these?

5.4 In case the scheme involves pay out of subsidy, the year wise and component wise expected outgo may be indicated

5.5 In case the land is to be acquired, the details of cost of land and cost of rehabilitation/resettlement, if any.

5.6 In case committed liabilities are created, who is to bear the same? In case assets are created, arrangements for their
maintenance and upkeep

6. Approvals and Clearances

Requirement of mandatory approvals and clearances from various local, state and national bodies and their availability
may be indicated in a tabular form (land acquisition, environment, forestry, wildlife etc.)

S.No Approval/Clearances Agency Concerned Availability (Y/N)

7. Human Resources

7.1. Please fill below table to indicate the administrative structure for scheme implementation. Please also provide details of
manpower requirement, outsourcing of services, hiring of consultants and associated costs." (Note: In case posts,
permanent or temporary, are intended to be created, a separate proposal may be sent on file to Pers. Division of
Department of Expenditure after the main proposal is recommended by the appraisal body)

Role of the Manpower Number of Posts to be Number of Details of Temporary Remarks

Agency in Requirement Created Consultants Outsourcing Manpower
Administration (IN No. of Permanent Temporary to be Hired of Services Associated
of Scheme Personnel Cost and
Implementation Funding
Source

8. Monitoring and Evaluation

8.1 (A) Please indicate the monitoring systems to be established for the scheme. Indicate all that are applicable and provide
details thereof,

71
 Constitution of Monitoring bodies or cells 
Development of Scheme MIS 
Establishment of protocol for regular performance reviews 
Others, please specify 

(B) Please indicate the arrangements of statutory and non-statutory audits. Indicate all that are applicable and clearly
provide details of modes of conducting and other arrangements of the same.

Statutory Audits 
Non-statutory Audits 
Social audits 
Participatory Rural Appraisal 
Observational audits and 
Others, please specify 

8.2 Please indicate the arrangement for third party/ independent evaluations (separately for base-line, mid-line and end-line
evaluations) along with methodological approach (experimental, quasi-experimental, mixed methodology, others) to be
adopted for evaluations. Please note that evaluation is necessary for extension of scheme from one period to another.
Please specify the amount of funds earmarked for third party evaluation under scheme budget.

9. Approval Sought:

Joint Secretary to the Government of India

Tel. No.……………………….
Fax No………………………..
Email………………………..

* Detailed Paper outlining the major elements and overall architecture of the proposed Scheme may be attached.

** Comments of the Financial Advisor of the Ministry/Department, NITI Aayog, Department of Expenditure and
other Ministries/Departments may be summarized in a table given below. The table may be enclosed as an annexure of
the EFC Memo. At the draft EFC memorandum stage, only comments of IFD of the Ministry/Department should be
enclosed in the format

S.No Comments Is the comments If yes, please specify

incorporated in how it has been
revised proposal incorporated?
(Y/N)? If no, please why it
has not been
incorporated?

72
 ENCLOSURE-4d
No. 66(13)/PFC-II/2020
Government of India
Ministry of Finance
Department of Expenditure
Public Finance Central-II
****
North Block, New Delhi
9th September, 2022

OFFICE MEMORANDUM
Subject: Appraisal and approval of Public Funded Scheme and Projects (except matters required
to be placed before the Cabinet Committee on Security)– In-principle – regarding.
Kind reference is invited to this Department’s OM No. 24(35)/PF-II/2012 dated 05.08.2016 vide which
detailed guidelines for formulation, appraisal and approval of public funded scheme and projects, except
matters required to be placed before the Cabinet Committee on Security were issued to all the
Ministries/Departments of Government of India.
2. In the para 4(i) of the ibid OM it has been clearly stated that “no new Scheme or sub-scheme will be
initiated without prior 'in-principle' approval of the DoE. This will, however, not apply to the announcements
made in the Budget Speech for any given year”. However, it has been lately observed that certain
Ministries/Departments have appraised/initiated schemes without obtaining prior 'in-principle’ approval of
DoE. As a result, this Department does not have the relevant information about such schemes run by the
Ministries/Departments and cumulative impact of alI such proposals cleared by SFC is known to this Ministry
only at the RE stage.
3. It is therefore reiterated that Para 4(i) of DoE's OM dated 05,08.2016 may be strictly adhered to
while initiating any new scheme/sub-scheme. This Ministry may in such cases, reduce/stop budgetary
support.
4. This issues with the approval of Finance Secretary & Secretary (Expenditure).

Sd/-
(Hema Jaiswal)
Director, Policy & PFC-II

To,

1. All Secretaries to the Government of India

2. All Financial Advisers to Ministries/Departments of India with a request to ensure that financial
outlays for schemes/sub-schemes which have not followed the extant procedure may be stopped
and intimation to DoE/Budget Division (DEA) be sent.
3. JS (Budget), D/o Economic Affairs, North Block, New Delhi

73
 ENCLOSURE-4e
No. 01(01)/PFC-II/2022
Government of India
Ministry of Finance
Department of Expenditure
Public Finance Central-II Division
*********
North Block, New Delhi
Dated the October, 2022

Office Memorandum
Subject: Appraisal and Approval of Public Funded Scheme and Projects (except matters required
to be placed before the Cabinet Committee on Security) – in principle – reg.

Kind attention is drawn to Department of Expenditure’s O.M. No.24(25)/PFC-II/2012 dated 05.08.2016

detailing guidelines on appraisal and approval of public-funded schemes and projects. Vide the above referred
O.M. Ministries/Departments were advised against operating small and multiple schemes which spread
resources too thinly to realize any outcomes. Similarly, as regards projects, the conceptualization of a project
through stakeholder consultations leading to preparation of a Concept Paper considering the feasibility of the
project on techno-economic ground and the availability of finances were emphasized. These are captured in
Annex.I to the ibid O.M, wherein it was also clearly stated that no new scheme/sub-scheme or a project must
be initiated without the prior “in-principle” approval of Department of Expenditure (DoE) except those
announced as part of the Budget Speech. In continuation of the ibid O.M., DoE had reiterated the position vide
its O.M. No. 66(13)/PFC-II/2020 dated 09.09.2022 (copy enclosed).
2. For proper expenditure control and budgetary discipline, it is not only important that a scheme/sub-
scheme or a project should be initiated only after obtaining prior “in-principle” approval of the DoE but also that
the accumulative fiscal impact of all such proposals cleared by the SFC/DIB is available with DoE and Budget
Division of Department of Economic Affairs.
3. In view of the above, the undersigned is directed to state that while sending proposals for in-principle
approval of DoE for initiating any new scheme/sub-scheme or projects a list of schemes & projects approved
by the concerned Ministry/Department, as per the delegation of financial powers, in the last two years as well
as current FY (base taken as date on which the proposal is sent to DoE) having outlay below Rs. 500 crore is
to be enclosed (as per the format attached) along with the Concept Note of the scheme/projects.
4. This issues with the approval of the Finance Secretary and Secretary (Expenditure).

Sd/-
(Hema Jaiswal)
Director, (PFC-II)
Tele. No. 23092578
Encl: as above.

To
1. All Secretaries to the Government of India
2. All Financial Advisers to the Ministries/Departments of Govt. of India
3 JS (Budget), Department of Economic Affairs, North Block, New Delhi

74
Format for providing information related to the Schemes approved at Ministry Level (below
Rs. 500 Cr.) in last three years.

Current Year till date: Details of Schemes/Projects approved/ appraised: (20..,20..)

S.No. Name of Scheme/Project Amount approved Period of

Scheme/Project

Last Financial Year : Details of Schemes/Projects approved/appraised : (20..,20..)

S.No. Name of Scheme/Project Amount approved Period of
Scheme/Project

Last to Last Financial Year: Details of Schemes/Projects approved/appraised: (20..,20..)

S.No. Name of Amount approved Period of

Scheme/Project Scheme/Project

75
 ENCLOSURE-4f

No.01(01)/PFC-1/2022
Government of India
Ministry of Finance
Department of Expenditure
*****
North Block, New Delhi
3rd October, 2023

OFFICE MEMORANDUM

Subject: - Revised format for Appraisal and Approval of new Public Funded Schemes-reg.

Kind reference is invited to DoE's OM No.42(02)/PF-I1/2014 dated 09.08.2021 vide which revised
format for appraisal and approval of new Public Funded Schemes was issued by this
Department (Copy enclosed).

2. The undersigned is directed to state that Para 3.3 of the Annexure-A of DoE's ibid OM hereby
stands modified as under: -

"Para 3.3: In case of beneficiary-oriented schemes, indicate whether the scheme is a Direct
Benefit Transfer (DBT) scheme inter -alia indicating the mechanism for identification of target
beneficiaries through Aadhaar authentication (and not merely Aadhaar seeding), provision for
online application and fund disbursement mechanism (Disbursement of funds should be done through
Aadhaar Payment Bridge System (APBS) using DBT scheme code)."

3. Revised format for appraisal and approval of new public funded schemes after incorporating
the modification is hereby enclosed.

4. Following points, with regards to the appraisal and approval of new public funded schemes, are
reiterated: -

(i) The EFC/SFC proposals for new public funded schemes should be sent in the enclosed revised
format (Annexure-A) including the summary sheet, along with detailed paper if required and other
enclosures as prescribed in the checklist of the format.

(ii) 'In-principle' approval of the Department of Expenditure for initiating any new scheme/sub-
scheme should be taken in terms of Para 5 of DoE's OM No.24(35)/PF-II/2012 dated
05.08.2016 and OM No.01(01)/PFC-11/2022 dated 21.10.2022.

(iii) For assistance in formulating logical framework based output/outcome tables for the new
schemes, NITI Aayog may be consulted by Ministries/ Departments.

76
5. This will apply to all EFC/SFC proposals for new schemes submitted on or after 15.11.2023.

6. This issues with the approval of Finance Secretary & Secretary (Expenditure).

Encl: - As above.

Sd/-
(Hema Jaiswal)
Deputy Director General (PFC-II)

To,

1. All Secretaries to the Government of India

2. All Financial Advisers to Ministries/Departments
3. Cabinet Secretariat
4. Prime Minister's Office
5. NITI Aayog
6. Railway Board
7. Internal Circulation

77
 Annexure-A

FORMAT FOR EFC/SFC MEMORANDUM FOR APPRAISAL OF NEW SCHEMES

Summary Sheet

S. No. Outline Details

1. Name of the Scheme
2. Nature of the scheme
(CSS/CS/Scheme under umbrella)
3. Duration
4. Proposed Outlay
5. Funding pattern
6. Source of Funding
7. Objectives
8. Target Beneficiaries
9. Major Interventions/ Components
10. Name of schemes with which
convergence is sought along with
Ministries/ Departments
11. Manpower Requirement
12. Measurable outputs/ outcomes
targeted at the end of scheme
duration

78
FORMAT FOR EFC/SFC MEMORANDUM FOR APPRAISAL OF NEW SCHEMES

Document’s Checklist
S.No Document Attached Annexure Remarks (If any)
(Yes/No/NA) Number
1. Concept Paper
2. Evaluation Report
3. Feasibility / pilot study report
4. Gap / Need Analysis Report
5. Stakeholder Consultation
Report
6. Approval and Clearances
(Such as Land Acquisition,
Environmental Clearance
etc.)*
6.1 ..
6.2 ..
7. Response to Comments
*to be enlisted as 6.1, 6.2 and so on by Ministry/Departments as applicable at approval
stage

1. General

1.1 Title of the Scheme

1.2 Sponsoring Agency (Ministry/ Department/Autonomous Body or Undertaking)

1.3 Proposed duration of the Scheme

1.4 Nature of the Scheme: Central Sector Scheme/ Centrally Sponsored Scheme (Please
specify if it is under an umbrella)

1.5 Total estimated financial outlay of the proposed Scheme

1.6 Funding Pattern

1.7 Provide details of schemes under it along with proposed outlays. Details of sub-schemes
(if any) under the scheme along with proposed outlays.

79
 Details of the scheme (year-wise)

Umbrella Scheme Sub Scheme FY Proposed

Scheme Outlay
(Column may be (Column may be
deleted if not deleted if not
applicable) applicable)

1.8 (A) Is the scheme created by restructuring/merger/renaming of previously existing

scheme(s)/sub-scheme(s)? If yes, please mention the name of the scheme(s) proposed
to be merged/dropped/ rationalized?
(B) Please mention whether the old scheme(s) was evaluated? If yes, please attach
Evaluation report.
(C) What were the main findings of the evaluation and how are they incorporated in the
scheme design (please use the table given below)?

Total no. of recommendation listed in evaluation report

S.No. Recommendation of Has an action If yes, please If no, please
the evaluation report been taken on this elaborate the explain the
recommendation? action or reasoning for
(Yes/No) revision in exclusion of this
scheme recommendation.
proposal
undertaken.

1.9 Details of In-principle approval-

1.10 (A) Concept Paper details including findings of Gap/Need analysis and
Feasibility/Pilot Study along with a summary justification for the new scheme.

(B) Details of stakeholder consultations undertaken. Please include details of state

governments consultation, particularly in CSS scheme.

1.11 Overlap with any existing scheme/sub-schemes in this Ministry/Department/any other

Ministry/Department? If yes, please fill below table highlighting the aspects in which
there is an overlap and how will the scheme use this convergence to save public
resources?

80
Name of Scheme/Su Is there any convergence at the following stages? (And details How will Other
Ministry/b-scheme thereof) the remark
Name (with scheme s
Departme
which there use this
nts
is converg
convergen ence?
ce)
Design stage Implementation M&E stage others
stage
For instance, in For instance, in For instance, in
objectives, implementing monitoring bodies,
outcome, outputs, agencies, human monitoring
activities or target resources at any mechanisms (MIS,
groups of the two level, technologies, data collection),
schemes financial resources, joint evaluations,
PMUs, others others

1.12 Whether the proposal is secured against natural/man-made disasters like floods,
cyclones, earthquakes, tsunamis, etc. If the proposal involves creation /modification of
structural and engineering assets or change in land use plans, disaster management
concern should be assessed, and specifically commented upon.

2. Outcome and Deliverables

2.1 Objectives of the Scheme

2.2 Indicate year-wise targets set for outputs and outcomes of the scheme along with the
activities to be undertaken and inputs to be used in the form of measurable indicators
in the below mentioned table. Data sources for each indicator must be clearly
mentioned along with key assumptions and risks involved (if any) along with their
severity as perceived by the proposer. Baseline data (Year and Value) should also be
benchmarked and mentioned for all indicators.
Objecti Indicat Means Important Risks Involved BaselineBaselin Target
ve ors of Assump Year e
State Verifica tions Value
ment tion
(Data Risk Severity of Fiscal FiscFiscalFiscalFiscal
Source) Identifi Risk Year al Year Year Year
ed (Low/Med “A-B” Year “C-D”“D-E”“E-F”
ium/High) “B-C”
Outco
mes

Output

Activit
y

Inputs

Output Efficiency: - the ratio of targeted change in outputs to budgeted expenditure (to be calculated
for each year) taken on key output indicators

81
3. Target Beneficiaries

3.1 (A) Please specify the target beneficiaries in terms of location, area and segment of
population, industries, companies, institutions, etc.

B) Please give the details of coverage of target population and basis for selection of the target
beneficiaries.

3.2 Is there a specific intervention targeted at any of demographics mentioned in the below
table? If yes, please elaborate on specific interventions targeted for the corresponding
demographic. If no, please mention why?

Is there a specific intervention targeted at any of If yes, please elaborate on

the below mentioned demographics? specific interventions targeted
for the corresponding
Demographic Yes/No
demographic. If no, please
mention why?
Marginalized social groups namely SC,
ST, Persons with disability (Divyangjan),
minorities and other vulnerable groups.
Women
North east, Himalayan LWE, Island
territories and other backward areas.

3.3 In case of beneficiary-oriented schemes, indicate whether the scheme is a Direct

Benefit Transfer (DBT) scheme inter alia indicating the mechanism for identification of
target beneficiaries through Aadhaar authentication, provision for online application and
fund disbursement mechanism (Disbursement of funds should be done through
Aadhaar Enabled Payment System (AEPS) to ensure Aadhaar authentication, and not
merely Aadhaar seeding).

3.4 (A) Are Panchayati Raj Institutions and Urban Local Bodies involved in
implementation?

(B) If yes, elaborate on their involvement.

(C) Please also comment on preparedness and ability of the local bodies to
undertake this.

(D) If no, please mention the reason for the exclusion of PRis/ULBs in the
implementation process.

82
4. Scheme Financing

4.1 Indicate the sources of finance for the Scheme: budgetary support, extra-budgetary
sources, external aid, state share, etc. (Total amount year wise).

4.2 If external sources are intended, the sponsoring agency may be indicated, as also
whether such funds have been tied up?

5. Cost Analysis

5.1 Please provide year-wise and component-wise cost estimates for the scheme in the
below provided table and indicate how will they be shared by the state governments, local
bodies, user beneficiaries or private parties. Also segregate them into recurring and non-
recurring expenses

Scheme Recurring/ Cost Estimate/Proposed Outlay Cost sharing at different levels Remarks
Component non-recurring cost
Fiscal Fiscal Fiscal Fiscal Fiscal Central Share State Share Local Body/ Others
Year Year Year Year Year 3rd tier share
“A-B” “B-C” “C-D” “D-E” “E-F”

5.2 The basis of these cost estimates along with the reference dates for normative costing

5.3 In case pre-investment activities or pilot studies are being carried out, how much has
been spent on these?

5.4 In case the scheme involves pay out of subsidy, the year wise and component wise
expected outgo may be indicated

5.5 In case the land is to be acquired, the details of cost of land and cost of
rehabilitation/resettlement, if any.

5.6 In case committed liabilities are created, who is to bear the same? In case assets are
created, arrangements for their maintenance and upkeep

6. Approvals and Clearances

6.1 Requirement of mandatory approvals and clearances from various local, state and
national bodies and their availability may be indicated in a tabular form (land acquisition,
environment, forestry, wildlife etc.)

S.No Approval/Clearances Agency Concerned Availability (Y/N)

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 7. Human Resources

7.1. Please fill below table to indicate the administrative structure for scheme
implementation. Please also provide details of manpower requirement, outsourcing
of services, hiring of consultants and associated costs." (Note: In case posts,
permanent or temporary, are intended to be created, a separate proposal may be
sent on file to Pers. Division of Department of Expenditure after the main proposal is
recommended by the appraisal body)

Agency Role of the Agency in Manpower Number of Posts to be Number of Details of Associated Remarks
Administration of Requirement Created consultants to outsourcing Cost and
Scheme (in no. of be hired of services Funding
Implementation Personnel Source

Permanent Temporary
Centre
State
Local

8. Monitoring and Evaluation

8.1 (A) Please indicate the monitoring systems to be established for the
scheme. Indicate all that are applicable and provide details thereof,

 Constitution of Monitoring bodies or cells

 Development of Scheme MIS

 Establishment of protocol for regular performance

reviews
 Others, please specify

(B) Please indicate the arrangements of statutory and non-statutory

audits. Indicate all that are applicable and clearly provide details of modes of
conducting and other arrangements of the same.

 Statutory Audits

 Non-statutory Audits
 Social audits
 Participatory Rural Appraisal
 Observational audits and
 Others, please specify

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 8.2 Please indicate the arrangement for third-party/ independent evaluations
(separately for base-line, mid-line and end-line evaluations) along with
methodological approach (experimental, quasi-experimental, mixed methodology,
others) to be adopted for evaluations. Please note that evaluation is necessary for
extension of scheme from one period to another. Please specify the amount of funds
earmarked for third party evaluation under scheme budget.

9. Approval Sought:

Joint Secretary to the Government of India

Tel. No.……………………….
Fax No………………………..
Email………………………..

* Detailed Paper outlining the major elements and overall architecture of the proposed
Scheme may be attached.

** Comments of the Financial Advisor of the Ministry/Department, NITI Aayog,

Department of Expenditure and other Ministries/Departments may be summarized in
a table given below. The table may be enclosed as an annexure of the EFC Memo.
At the draft EFC memorandum stage, only comments of IFD of the
Ministry/Department should be enclosed in the format

S.No Comments Is the comments If yes, please specify how

incorporated in revised it has been incorporated?
proposal (Y/N)?
If no, please why it has not
been incorporated?

85
 ENCLOSURE-5

Innovation Management Directorate

COUNCIL OF SCIENTIFIC AND INDUSTRIAL RESEARCH
Anusandhan Bhavan, Rafi Marg, New Delhi – 110001

OFFICE MEMORANDUM

No.6/10/Reorient CSIR/2021/1 September 29, 2021

Sub: Implementation of Stage-Gate Model for Technology Development in CSIR

OM No: 6/10/Reorient CSIR/2021/1 dated 7th September, 2021 is hereby withdrawn. In

place of the said OM, the present OM is issued.

1.0 Background:

The Council of Scientific & Industrial Research (CSIR) is a globally renowned public-funded
research organization with many significant accomplishments and accolades over its nearly
8 decades of existence. Having a pan-India presence, CSIR has a dynamic network of 37
National Laboratories, 39 Outreach Centers, 3 Innovation Complexes, and 5 Units. CSIR
covers a wide spectrum of science and technology – from radio and space physics,
oceanography, geophysics, chemicals, drugs, genomics, biotechnology, and
nanotechnology to mining, aeronautics, instrumentation, environmental engineering, and
information technology. It provides significant technological intervention in many areas with
regard to societal efforts which include environment, health, drinking water, food, housing,
energy, farm, and non-farm sectors. Further, CSIR has played a major role in S&T human
resource development in the country. This diversity and heterogeneity of CSIR have been
crucial not only for its success but also for providing the required flexibility for CSIR to
respond instantly during unforeseen circumstances.

CSIR is a dynamic organization. Typically, for any dynamic institution, periodical evolution
becomes naturally a part of its growth. Majorly, this is triggered by internal factors such as
effective articulation of manpower, rigidity observed in matured organizations, change in
leadership, etc., and external factors such as dynamic market demands, stringent funding,
post-pandemic strategy, economic recession, etc. In response to the above mentioned, it
has become evident that the evolution of CSIR as a Next Generation organization is highly
required. A next-generation organization can majorly be defined as a dynamic organization
that adapts itself to the next generation's needs. It not only targets the improved outcome
but also focuses on achieving an efficient internal process of the organization.

CSIR has been instrumental in steering Indian research and development in a wide spectrum
of sciences and has reported several radical technologies, inventions, and discoveries since
its inception. The existing model of technology development has served well but due to
changing circumstances and market dynamics, CSIR needs to move towards more
structured model such as Stage-Gate Model.

CSIR Reorientation Committee has also recommended the adoption of the Stage-Gate
Model for Technology Development in CSIR.

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2.0 Stage-Gate Model:
A stage/phase-gate process is a project management technique in which an initiative or
project shall be divided into distinct stages or phases, separated by decision points known
as gates. The stage-gate model provides a structured plan for implementing new projects.
For organizations such as CSIR, which is completely driven by R&D projects, implementing
a stage-gate model will not only be effective but also provides numerous advantages as
listed below:
 Provides structured creativity/innovation;
 Guides the projects and tunes/align them so that it sticks to the original goal or set new
goals as appropriate; and
 Saves efforts, as resources can be flexibly reallocated away from underperforming
projects, which will be identified and can potentially be taken care of at the earliest by
either providing recommendations to realign for success at a particular stage or by
closing (“killing”) the project early and preventing the release of further funds where
chances of success appear low.

2.1 Stage gate model framework:

The typical stage-gate model is a process flow of alternating Stage (activity period) and Gate
(milestone) blocks arranged successively. As a project progresses through successive
stages and clears gates, the risk of failure decreases, and the project commitment and cost
increase. A stage mentions activities of the corresponding project phase and the expected
deliverables corresponding to that stage are given as input to the corresponding gate review
– each gate is a critical decision-making block. The following are the parameters related to
the gate block (Ref: https://en.wikipedia.org/wiki/Stage–gate_model):
 “Input - What the Principal Investigator (PI) and team deliver as Outcomes (not just
Outputs) to the decision point. These deliverables are decided at the review of the
previous gate and are based on a standard menu of deliverables for each gate
 Criteria - Questions or metrics on which the project is judged in order to determine a
result (go/conditional go/kill/hold/recycle) and make a prioritization decision. This
criterion has to be listed for each gate. The criteria can be classified as follows-
o Must meet criteria - Mandatory
o Should meet criteria - Desirable
o Qualitative criteria such as Quality execution, Business Rationale, Action Plan
o Quantitative criteria such as properly benchmarked and unambiguously
measurable parameters from SMART goals, etc.
 Output - Results of the Gate Review - a decision (go/conditional go kill/hold/recycle),
along with an approved action plan for the next gate, and a list of deliverables and dates
for the next stage until the next gate.”

Depending on the nature of the project the stage-gate model can have 2-16 stages and
gates. However, the traditional stage-gate model has six stages followed by respective gates
– Ideation, Scoping, Building business case and plan, Development, Testing and validation,
and Launch. It is to be noted that there is a gate followed by each stage that decides the
project continuation. Also, depending on the project progress there is an equal probability for
the project to be allowed to continue or the project getting terminated. This helps in identifying
and choosing only those potential projects that are likely to reach the completion stage within
an agreed timeframe, thereby saving cost and improving manpower efficiency

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2.2 Components for each stage:
Since CSIR works on a wide spectrum of scientific and engineering problems, the following
are the generic guidelines that require to be followed in each stage –

Stage I – Ideation
• Brainstorming for proposing an innovative as well as market potential idea
• PI/Co-PI & team identification
• State of the art review along with detailed IP landscape
• Communicating with the end users/suppliers to fine tune the specifications
• Typically, TRL 0-1, aligned to PI & team capability and some initial data based on
own experiments or preliminary literature survey
• Documentation

Stage II – Scoping
• National and International status of the proposed project
• Potential IP
• Market survey - competitors
• Identifying Industrial partners / End users
• Critically evaluate the strength and weaknesses (SWOT analysis) of the project &
project teams (get external / internal people with right skills / expertise if necessary)
• Risk analysis
• Documentation

Stage III – Building Business Case and Plan

• Understanding the IP, safety, environmental impact, health considerations
• Stating the potential risk and its mitigation during the project execution
• Designing a detail development plan indicating the following –
o Planning the entire research and Defining the sub-stages of the development.
Modularizing the research into various sub-stages with clearly defined
qualitative/quantitative deliverables.
o Also recommended to provide a clear indication of the expected TRL in each sub-
stage
o Defining the SMART goals
o Defining time-bound milestones to evaluate the project

Stage IV – Development
• Development of the proposed technology as defined in the previous stage
• Improving the business potential by collaborating with the stakeholders

Stage V – Testing and Validation

• Lab testing and defining metrics to evaluate
• Interaction with the end-user and obtaining their critical feedback

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 • Obtaining the regulatory approval, certification such as EMI/EMC (for electronic),
FSSAI (for food products), BIS, CDSCO (for pharmaceutical drugs), PESO (for
flammable, explosive or high pressure materials to be stored) etc.
• Targeting the innovators and early-adopters
• Documentation for technology transfer as per standard format

Stage VI – Launch
• Defining the initial market acceptance
• Working on the post-launch review and tuning the product specifications accordingly

After every stage, there will be Gate-meetings that decide the future of the project. The
financial support for the successive project stage will be utilized only after the approval from
the gatekeepers based on the gate meetings of the previous stage. There would be an equal
probability for all the projects to be continued or killed based on their progress. This will
increase the organisational focus on winning propositions resulting into significant increase
in the development of robust and relevant technologies / products.

Thus, from the above definition of stages, from the idea conceptualization till the launch of
the product, there will be continuous guidance from the Monitoring Committee who will also
act as Gate Keepers. This would ensure structured R&D with definite planning of even minor
events thereby significantly reducing not only the rigidity in the product development process
but also the risk of failure.

In view of the foregoing, the following would come into effect.

2.3 Implementation of the stage-gate model:

Based on the above premises, CSIR has decided to implement the stage-gate model for all
translational projects sponsored by CSIR such as those under FTT, FTC, Mission Mode,
NMITLI and technology development projects of the labs initiated after the date of this OM.
The following steps will be followed to implement the stage-gate model in CSIR –

2.3.1 Defining the roles and responsibilities:

Implementing the stage-gate will directly change the mode of project execution and indirectly
the organization’s culture. Consequently, successful implementation of the process
demands support from many people at many levels. Hence, it is necessary to delineate the
roles and responsibilities of the building blocks of the team. The following are the three major
categories in the team for implementing the stage-gate model-
o Executive Team (ET, in CSIR Hqrs) – To formulate, implement and guide the project
teams across all the laboratories. The Executive Team comprises of Director of the
Laboratory (Nodal), Theme Director, Head of concerned Directorate at CSIR Hqrs,
and Coordinating Scientist at CSIR Hqrs. This team will also do portfolio
management for CSIR.
o Gate Keepers (GK) – Expert team in the relevant areas who are the decision-
makers. Domain Expert Group and Monitoring Committee shall act as Gate
Keepers. The Coordinating Scientist at CSIR Hqrs will be the nominee of the ET to
the GK group.
o Principal Investigator (PI), Co-PI, and the team members who propose the project
take advice of the Executive team and implement the project accordingly in line with
the stage-gate model. A nominee of the Theme Director will be involved in the
process to minimize overlap and duplication across CSIR laboratories.

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2.3.2 Aptly designed and customized process suiting the organization’s
requirements:
A customized stage-gate model with clearly defined stages incorporating the learning from
the present model for a particular project has to be developed. Obtaining a customized plan
will require multiple interactions between the executive team and PI and Co-PI including
team members. The outcome of this exercise will refine further the definition of stages
mentioned in section 2.2 customized to the existing themes/project modes (FTT, FTC,
Mission Mode, NMITLI, etc.).

2.3.3 Definite Launch plan

2.3.3.1 Clear Communication and Continuous Guidance – While introducing a new

process in the system, a dedicated team-Executive team, which possesses the complete
knowledge of the stage-gate model, would provide continuous guidance to all the project
team so as to align them with the new model. The entire formulation should be clear and
crisp so that the targeted point reaches all the audience seamlessly i.e. the information flow
needs to be flawless. Also, guidance is required from the stage of ideation till the submission
of the post-launch review.

2.3.3.2 Addressing the impact of the implementation – Also, it has to be understood that
implementing a new process in any organization will have both positive and negative
reception. Both of them have to be handled in such a way that it propels the implementation
rather than impeding it. The executive team has to be ready with the answers for all potential
negative reception and make the team understand the long-term positive effect for the
organization.

2.3.3.3 Defining Performance Metrics – Feedback is crucial in any sustainable and stable
system. As a mode of feedback, the overall performance of the model implementation can
be tracked by means of some predefined metrics such as – a percentage of projects in a
stage-gate model, frequency and the decisions in the gate-meetings, total project budget
saved at different stages of the projects, time taken to technology transfers, the success rate
of the projects as measured by generated revenues and customer satisfaction surveys.

2.4 Bill of Materials, Standard of Preparation and Supply Chain:

A bill of material or BOM is a list of all manufactured and raw materials needed to build a
product. It serves as the core of any manufacturing process because it lays out all information
required to assemble a product. Not only does a BOM outline what manufactured and raw
materials are needed to build a product, but it also includes the equipment and tools needed
to build the product. (Ref: https: // www.globalshopsolutions.com /blog / what-is-a-bom-and-
why-is-it-important/). A standard of preparation for the product shall be documented as a
drawings, process sheets, quality assurance, etc.

Because of its importance, Principal Investigators need to make sure that they have
generated an accurate and reliable BOM so that the manufacturing process isn’t hindered
because of inaccurate information. The BOM impacts purchase of raw material, available
inventory, and the process of assembly on the shop floor. The accuracy in information helps
in making better decisions about manufacturing the product efficiently and cost-
effectively.(Ref: https://www.globalshopsolutions.com/blog/ what-is-a-bom-and-why-is-it-
important/ ).

After adapting to Stage-Gate Model, all the technologies/products developed by CSIR and
ready to transfer to industries for commercial production shall be complete with BOM, Supply
Chain information (such as whether any items are single-source, imported, hazardous to
store, perishable etc), and Logistics (mode and cost of transportation and storage).

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2.5 Performance Monitoring
Periodic evaluation of the Stage-Gate process implementation is vital in tracking its success.
Hence, the following steps will be carried out for performance monitoring of the Stage Gate
mechanism. Initially, the number of projects implemented and the feedback from PI, ET and
GK, via an online survey will be consolidated. However, after 2 years, in addition to the
above, the performance metrics mentioned earlier will also be compiled and submitted to
DG, CSIR for further evaluation. This exercise will be carried out biannually and the executive
team will submit a detailed report to DG, CSIR for his comments. Based on DG’s suggestion,
further tuning of the stage-gate model will be carried out.

Considering the nature and credibility of the stage-gate model, implementing the same in
CSIR will undoubtedly provide a significant leap in the organization’s culture and
performance. This mode of project execution provides - continuous evaluation, quicker
response to unforeseen circumstances, and reduction in risks as the project progresses,
structured and responsible R&D – which ultimately aid in successfully propelling an R&D
project to the state-of-the-art technology. Thus, this exercise will act as a stepping stone for
leveraging CSIR to face the next generation R&D problems and establishing a brand impact
in society.

2.5 Applicability:
Stage-Gate Model shall come into effect with the date of issue of this OM. All new projects
under the category of FTT, FTC, Mission Mode, NMITLI, and technology/product-oriented
MLP shall be implemented following this model. However, it shall not apply to basic research
projects, FBR, NCP, CSIR-FIRST and all ongoing projects under any category. Refer
Annexure I for Stage Gate Model process flow.

Sd/-
(Rajendra Prasad Singh)
Head, Innovation Management Directorate

Copy to:

1. Directors of CSIR laboratories (With a request for circulation among scientists)

2. Office of Director General, CSIR
3. Office of Joint Secretary (Admin.), CSIR
4. Office of Financial Advisor, CSIR
5. Heads of all Directorates at CSIR Headquarters
6. Head, IT – with request to upload this OM on CSIR website
7. Office Copy

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92
 ENCLOSURE-6

INNOVATION MANAGEMENT DIRECTORATE

COUNCIL OF SCIENTIFIC AND INDUSTRIAL RESEARCH
Anusandhan Bhavan, Rafi Marg, New Delhi – 110001

OFFICE MEMORANDUM
No.6/10/Reorient CSIR/2021/2 September 20, 2021

Sub: New Guidelines for Project Monitoring in CSIR – Formulation of Lab and Theme
Strategic Groups

1. Background
Research and Development in CSIR includes almost all branches of Science and
Technology with a special emphasis on industry-oriented R&D. The research is being carried
out by 37 labs across the Nation in terms of numerous projects funded by CSIR, other
government agencies, foreign institutions, academic institutions, industries, etc. Thus,
responsible formulation, efficient execution and successful completion of projects is the core
of CSIR activities.

The term “Project Monitoring” becomes one of the vital segments in the overall R&D activities
in CSIR. The major role of project monitoring is not only in aligning the project with the initial
established schedule but also ensuring the seamless availability and right usage of
resources such as manpower, material and finances. Additionally, this assures that
consistent effort has been put uniformly throughout the project duration and prevents any
fire-fighting situation which could potentially lead to substandard and/or compromised
outcomes. Project monitoring promises timely detection and response for any issues
occurring in the project as well as prevention of any problem occurrences.

2. Need for efficient project monitoring

In the 10th Global Project Management Survey, it has been estimated that almost 75%
failures in projects are primarily due to two reasons – First is the Lack of clear communication
(includes within the team, with the senior management, with the stakeholders, across the
various groups of the organization such as purchase, finance, etc. which aids the project)
and second is the Lack of clearly defined and/or achievable milestones and objectives to
measure progress of the project. The former is pertaining to designing an efficient project
monitoring system which is the focus of the OM and the later will be improved by
implementing Stage-Gate Model (OM No.6/10/Reorient CSIR/2021/1 dated 7th September
2021).

Typically, monitoring and managing a single activity is quite straight forward. However, a
project, being collection of numerous, parallel and interdependent activities with definite
deliverables/milestones performed by a team of individuals with wide range of expertise to
achieve the end goal, is highly difficult to manage. Following up on the status of various
activities and managing their dependencies throughout the project is extremely crucial which
is accomplished by Project Monitoring. The major advantages of project monitoring are as
follows –

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  Improved project transparency
 Enhanced resource management
 Creates checkpoints for better control over project execution
 Significantly reduces the risk of delayed deliveries
 Empowerment of the project team and enhanced coordination between the project
team and the supporting departments such as administration, purchase and finance
 Channel for seamless information flow between the project team and the respective
stakeholders

Presently, Research Councils (RCs) comprised of eminent experts from various fields are
reviewing all the laboratory projects. However, few more layers of project monitoring are
needed to closely review the progress of the project and provide timely intervention for
mitigation of any shortcomings. Further, for CSIR funded projects, Task Force and External
Monitoring Committees are in place. Overall, project monitoring in CSIR needs to be
strengthened as per the recommendation of the CSIR Reorientation Committee.

3. Important Aspects of Project Monitoring

A project involves significant utilization of most important resources in organization such as
money, manpower and time. Hence, it is vital to channelize the resources effectively and
ensure that every unit consumption of these resources result in the overall growth of the
organization. Thus, project monitoring is crucial. However, to have an effective project
monitoring, it is important to understand the various aspects of project monitoring – modes
of monitoring, critical processes and major challenges faced in project monitoring.

3.1 Modes of project monitoring

The widely used project monitoring modes are by written communication (Report and other
documentation), verbal communication (Presentation and Meetings) and using project
monitoring software for real-time/online monitoring. Reports/project documentation should
be precise, to the point and are more effective when it records the right concern to the right
person for a timely decision. Meetings are the traditional tools to monitor the progress of any
project. Each mode of monitoring has its own merits and demerits. Hence, it is recommended
that a combination of the modes to monitor a project. Every major monitoring meeting will be
preceded by submission of report by the project team and offline critical review of the report
by the monitoring team. In addition, tracking the project activities online is also an emerging
trend employed in project monitoring. Appropriate software tool for project management is in
the process of development and will be released soon.

3.2 Critical processes in project monitoring

1. Designing the project proposal - The entire project monitoring process is built on how
good the project is designed. Thus, for any type of monitoring to be effective, initial
well-defined project planning with quantizing the project in terms of Gantt chart, Pert
chart, Defining measurable milestones, Listing the KPIs/SMART goals at every
milestone of the project, potential risks involved, bottlenecks in the course of the
project etc. in the proposal is highly important.

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 2. Major parameters in project monitoring:
i. Project goal and ongoing tasks –
o Duration of the tasks – understanding the delay / quicker completion
of any tasks and ensuring the quality is not compromised
o Whether the ongoing tasks are as per plan and are aligned in the
direction for reaching the overall project goal. If identified deviating,
the monitoring team ensures it is aligned back and focused to
achieve the goal
ii. Project manpower management
o Team capacity – whether sufficient manpower is allocated to the
project
o Team members and their contribution in ongoing tasks – Scrutinizing
the individual employee activity and if significant contribution has not
been made by a team member, he/she can be dynamically allocated
to other projects
iii. Budget handling – Most important component of project monitoring
includes the following
o Ensuring the budget is spent on right items/services as per the
requirement of the project
o Analysing total budget handling in terms of budget indented/in
process, budget spent and budget pending
o If any delay in processing the budget, the SPO/CoSP and/or
FAO/CoFA can be consulted for resolving the issue at the earliest.
iv. Involving the stakeholder – Stakeholders can be involved wherever
possible, at the starting to define the specifications clearly, in the course
of the project to tune the specifications and at the end of the project for
seamless technology transfer.

3. Following up after the monitoring meeting:

i. Preparing the duly approved meeting minutes with clear action items and
circulating to all the members.
ii. Any decisions/ approvals taken in the meeting should be indicated in the
minutes and the same can be used as a formal supporting document in
processing any files such as related purchase/accounts/other
administration works, etc.
iii. The points in the earlier meeting minutes are discussed in subsequent
meeting
iv. All the meeting minutes should be archived by the Project Leader for
record purpose

3.3 Other challenges faced

The major hurdles that reduces the efficiency of project monitoring are enlisted as follows:
 Lack of transparency – Sometimes reports and/or presentations does not completely
reveal the critical facts in the project and lack responsible preparation. This misleads
the guidance offered or the decision making by the Monitoring Committee

95
  Lack of detailed and/or critical feedback – Sometimes the presenter as well as the
Monitoring Committee tends to be diplomatic and avoid negative details/comments.
This results in an illusion of “everything good and as planned”. Critical feedback/
review motivates the project team to prepare good quality report and better
involvement in the monitoring meetings
 Lack of communication among the team –‘Team’ communication here refers to both
inter and intra communication of project team and monitoring team. Improper
communication leads to Abiline paradox where a group makes a collective decision
that is opposite to the thoughts of the individual members
 Lack of follow-up – Action items resulted in the monitoring meetings are typically not
followed up and/or not implemented will further weakens the very purpose of the
project monitoring
 Lack of stake-holder involvement – Project monitoring from a stake holder’s
perspective is different from that of experts. Hence, involving stakeholder in the
monitoring meetings periodically helps in aligning the project and improves the
probability of project success.

It is ensured that conscious efforts have been taken both by the Monitoring Committee and
Project Team to overcome the above-mentioned challenges.

4. Project monitoring in CSIR

During the COVID-19 Pandemic, CSIR Strategy Group (CSG) has been instrumental in
planning and monitoring all the COVID related projects and eventually came out as a
successful mode. In the similar lines, in addition to RC, it is recommended the formation of
two Strategic Groups - one in respective lab’s names (eg: AMPRI Strategic Group, CEERI
Strategic Group, IICT Strategic Group, etc.) for monitoring all the lab projects and other as
respective Theme Strategic Group (eg. AEISS Strategic Group, Civil Infrastructure &
Engineering Strategic Group), etc. to work as Theme’s Think-tank.
In all the meetings (lab/theme/HQ) it is ensured that the activities are monitored as mentioned
in section 3.2 and conscious efforts have been taken by Strategic Groups, the Monitoring
Committee and Project Team to overcome the challenges mentioned in Section 3.3.

4.1 Lab Level Monitoring

Lab level project monitoring shall be done at the following two levels:

4.1.1 Lab Strategic Group (LSG)

Every CSIR Lab/Institute shall constitute a Lab Strategic Group (LSG) with the following
composition:
 Director-Chairperson
 3 Senior Principal Scientists and above from different groups in the lab
 Controller of Administration / Administrative Officer
 Controller of Finance and Accounts / Finance and Accounts Officer
 Controller of Stores and Purchase / Stores and Purchase Officer
 Head, Business Development
 Head, Project Monitoring & Evaluation-Member Secretary
 DG nominated RC Member from CSIR Headquarters-Invitee

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(Note: If a CSIR lab has CoA, CoFA and CoSP, they shall be member of LSG. In the absence
of such an officer, the option given as alternative should be opted. If the lab does not have
PME, then Head, Business Development shall be Member Secretary.)

This committee shall meet once in a week on fixed date and fixed time to review the lab
activities including development of new projects, review of on-going projects, technology
transfer matters, any other vital activities etc. Projects can be selected in advance for
presentation by PIs. All scientific and technical matters and problems related with manpower,
funds, purchase concerning to that projects shall be discussed and resolved. Member
Secretary shall prepare detailed minutes and after the approval of Chairperson of LSG shall
circulate to all members including PIs. Approved minutes shall be circulated within 2 days of
the meeting and in any case must be done before next weekly meeting. A database of
minutes shall be maintained by Member Secretary. All FBR, NCP, CSIR-FIRST, FTT and
FTC Projects sanctioned to the lab by CSIR Hqrs shall also be monitored by LSG.

4.1.2 Research Council

The composition and terms of reference of Research Council of Labs (RCs) have been
notified earlier by CSIR Headquarters. There shall be no change in that notification.

4.2 Headquarters Level Project Monitoring

Headquarters level projects shall be monitored at the following levels:

4.2.1 Mission Director level monitoring / Steering Committee:

All Mission Mode Projects shall be monitored by the Mission Director through virtual
meetings with all the PIs on monthly basis. Nodal Scientist from the Nodal lab shall prepare
minutes of the meeting and with the approval of Mission Director shall circulate to all the PIs.

NMITLI Projects shall be monitored as per the extant guidelines on quarterly basis. There
shall be no change in the CCEA approved monitoring mechanisms of NMITLI Projects.

4.2.2 External Monitoring Committee (MC)

Monitoring Committee including members from Academia, CSIR and Industry shall be
constituted for FBR, NCP, CSIR-FIRST, FTT, FTC, Mission mode projects for each of the 8
themes with the approval of Director General, CSIR. Monitoring Committee shall not have
less than 3 members with no upper limit. The terms of reference of the Monitoring Committee
are:
i. To review and examine the progress of the project in conformance with the
milestones, targets and objectives set as contained in the project document;
ii. To assess the global developments impacting the domain of the project;
iii. Based on the foregoing to assess and recommend for:
(a) foreclosing or dropping or modification in the components of the project, within
the overall approved objectives, budget and timeframe;
(b) including additional institutional / industrial partners, in the overall interest of
the project;
(c) revising the funding support; and
(d) extending the project duration; if necessary

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Monitoring Committee shall meet as frequently as per the requirements of Stage-Gate but
not later than 6 months. The meeting shall be organized by respective directorates of CSIR
Headquarters dealing with the kind of projects. These directorates shall maintain proper
records of the meeting for future reference and for audit purposes.

NMITLI Projects shall be monitored as per the CCEA approved monitoring mechanisms.

4.2.3 Theme Strategic Group (TSG)

Theme Strategic Group (TSG) shall be constituted by TMD-SeMI with the approval of
Director General, CSIR. Composition of TSG shall be as per given below:
 Director General, CSIR-Chairman
 Theme Director
 Directors of labs majorly working in the Theme
 Head, TMD-SeMI, Head-TMD-II, Head-IMD, Head-CPD
 Nodal Scientist from TMD-SeMI/TMD-II-Convenor

TMDs shall organize meeting of one theme specific TSG/week. Thus, TSG meeting for a
theme shall occur on bi-monthly basis. The functions of the TSG shall be as follows:
 Act as a think tank and manage the portfolio of the respective theme;
 Identify the area for CSIR intervention, help in the formulation of new proposals and
maximize inter lab collaboration;
 Progress review of critical projects in the theme and take steps for timely delivery;
 Steers futuristic direction of the theme - ensures that in addition to the activities which
has immediate market potential/application, futuristic activities in emerging areas and
global trends are being taken up parallelly;
 Ensures No obsolete/near obsolete/market incompetent/sub-standard activities are
being carried out within the theme;
 Empower to recommend dropping off obsolete research area in the labs under the
theme;
 Ensures minimal to zero duplication of R&D areas/projects/proposals across the
CSIR labs in the theme; and
 Aligns all the activities with the stakeholder ministries, market needs, national
mission, NITI Aayog’s directives, global demands such as SDGs, IPCC policy, etc.
However, TSG shall not be involved in routine monitoring of projects of the theme. The
convenor shall be responsible for preparing, circulating and archiving the duly approved
meeting minutes.

5. Applicability
The recommended project monitoring shall come into effect with the date of issue of this OM.
All running/new projects under the category of FBR, NCP, CSIR-FIRST, FTT, FTC, Mission
Mode, NMITLI, MLP and externally sponsored project both government agency/industry will
be monitored as per the OM. The table in Annexure I summarizes the project monitoring to
be implemented as detailed above.

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Each laboratory is requested to provide copy of OM constituting Lab Strategy Group (LSG)
and fixed data and fixed time of the meeting in the week, to CSIR Headquarters by
September 30, 2021.

Sd/-
(Rajendra Prasad Singh)
Head, Innovation Management Directorate

Copy to:

1. Directors of CSIR laboratories (With a request for circulation among scientists)

2. Office of Director General, CSIR
3. Office of Joint Secretary (Admin.), CSIR
4. Office of Financial Advisor, CSIR
5. Heads of all Directorates at CSIR Headquarters
6. Head, IT – with request to upload this OM on CSIR website
7. Office Copy

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 Annexure I

Overall
responsibility for
Monitoring constitution and Frequency of
Applicability
Group meeting scheduling the meeting
of the monitoring
committee
All projects, new proposals,
Every week on technology transfers, MoUs,
Lab Strategic Head, PME of the
fixed day and NDA and any other matter
Group (LSG) respective lab
fixed time (Scientific/ technical/
administrative)

Research Head, CPD and Half yearly (at

All projects
Council Scheduling by the least)
Director
Mission Mission mode projects (as
Nodal Scientist of
Director Every month per the stage-gate
Nodal Lab
Monitoring requirements)
NMITLI All NMITLI projects (as per
IMD, CSIR
Steering Quarterly the stage-gate
Headquarter
Committee requirements)
Theme
TMD-SeMI, CSIR Bi-monthly (One R&D Activities and portfolio
Strategic
Headquarter theme per week) management
Group
NMITLI Projects (as per CCEA approved
mechanisms/
External Respective stage gate requirements)
Monitoring Directorates in the FBR, NCP and FIRST (Half yearly)
Committee Headquarter Mission mode, FTT and FTC (as per the stage-
gate requirement but maximum half-yearly
interval)

Sd/-
(Rajendra Prasad Singh)
Head, Innovation Management Directorate

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 ENCLOSURE–6a

INNOVATION MANAGEMENT DIRECTORATE

COUNCIL OF SCIENTIFIC AND INDUSTRIAL RESEARCH
Anusandhan Bhavan, Rafi Marg, New Delhi – 110001

OFFICE MEMORANDUM

No.6/10/Reorient CSIR/2021/2 October 9, 2024

Ref. OM No. 6/10/Reorient CSIR/2021/2 dated September 20, 2021 regarding New
Guidelines for Project Monitoring in CSIR – Formulation of Lab and Theme
Strategic Groups

DG, CSIR has been pleased to approve the following:

The revised para 4.1.1 will be as under:

4.1.1 Lab Strategic Group (LSG)

Every CSIR Lab/Institute shall constitute a Lab Strategic Group (LSG) with the following
composition:

 Director-Chairperson
 3 Senior Principal Scientists and above from different groups in the lab
 Controller of Administration / Administrative Officer
 Controller of Finance and Accounts / Finance and Accounts Officer
 Controller of Stores and Purchase / Stores and Purchase Officer
 Head, Business Development
 Head, Project Monitoring & Evaluation-Member Secretary
 DG nominated RC Member from CSIR Headquarters-Invitee

(Note: If a CSIR lab has CoA, CoFA, and CoSP, they shall be a member of LSG. In the absence of
such an officer, the option given as an alternative should be opted. If the lab does not have PME, then
the Head, of Business Development shall be Member Secretary.)

Given the importance of a smooth administrative process for achieving project milestones,
this committee shall convene the meeting as needed at the discretion of the Lab Director to
review the following only – resolving administrative hurdles of ongoing projects, technology
transfer matters, and any other vital activities as decided by the lab director, etc. Projects
can be selected in advance for presentation by PIs. All matters and problems related to
manpower, funds, and purchases concerning those projects shall be discussed and
resolved. Member Secretary shall prepare detailed minutes and after the approval of the
Chairperson, LSG, the same shall be circulated to all members including PIs. Approved
minutes shall be circulated within 2 days of the meeting and in any case must be done before
the next meeting. A database of minutes shall be maintained by the Member Secretary.

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Further, the following new level of monitoring under section 4.1 Lab Level Monitoring
will be carried out from the date of issue of this OM:

4.1.3 Task force monitoring (TFM)

Every CSIR lab/institute shall convene a task force meeting for the Mission Mode, FBR, NCP,
CSIR-FIRST, FTT, and FTC Projects. The frequency of the meeting has to be quarterly. The
members of the task force meeting will be –
 Mission Director/ Nodal Lab Director - Chairperson
 Participating Labs’ Directors, if any
 PIs & Co-PIs of the Project/WPs in the Mission mode projects
 CSIR HQ Project Coordinator
 Head, PME of the Nodal lab (convenor)

The purpose of the Task Force Meeting is to monitor the progress of ongoing projects within
the labs, ensuring that all projects are on track to meet their goals and deadlines. The Task
Force will identify any issues or obstacles and develop strategies for resolving them. The
Minutes of each meeting will be drafted and circulated to all members within one week of the
meeting by the convenor.

Accordingly, the revised Annexure I is enclosed.

sd/-
(Dr. Debashis Bandyopadhyay)
Head, Innovation Management Directorate

Copy to:

1. Directors of CSIR laboratories (With a request for circulation among scientists)

2. Office of Director General, CSIR
3. Office of Joint Secretary (Admin.), CSIR
4. Office of Financial Advisor, CSIR
5. Heads of all Directorates at CSIR Headquarters
6. Head, IT – with request to upload this OM on CSIR website
7. Office Copy

102
 Revised Annexure I
Overall responsibility for
constitution and meeting Frequency of
Monitoring Group Applicability
scheduling of the monitoring the meeting
committee
All new proposals,
technology transfers, MoUs,
Lab Strategic Group As and when
NDA, and most importantly
(LSG) Head, PME of the respective lab required
the administrative matters of
all ongoing projects
Head, CPD and Scheduling by Half yearly (at
Research Council All projects
the Director least)
Task Force Meeting Head, PME of the Nodal lab Quarterly All ongoing projects
Mission mode projects (as
Mission Director
Nodal Scientist of Nodal Lab Every month per the stage-gate
Monitoring
requirements)
NMITLI Steering All NMITLI projects (as per
IMD, CSIR Headquarter Quarterly
Committee the stage-gate requirements)
Theme Strategic Bi-monthly (One R&D Activities and portfolio
TMD, CSIR Headquarter
Group theme per week) management
NMITLI Projects (as per CCEA approved
mechanisms/stage gate requirements)
External Monitoring Respective Directorates in the FBR, NCP and FIRST (Half yearly)
Committee Headquarter Mission mode, FTT and FTC (as per the stage-
gate requirement but maximum half-yearly
interval)

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 ENCLOSURE-7

COUNCIL OF SCIENTIFIC & INDUSTRIAL RESEARCH

(MISSION DIRECTORATE)
Anusandhan Bhawan, Rafi Marg,
New Delhi — 110001

No. 30/GB/2019-MD February 28, 2020

OFFICE MEMORANDUM

Sub: CSIR Guidelines for Ethics in Research and in Governance

1. Governing Body (GB), CSIR in its 193rd meeting held on December 19, 2019 has
approved ` CSIR Guidelines for Ethics in Research and in Governance'
drafted by Prof. D. Balasubramanian Committee appended herewith.

2. These guidelines shall be im plem ented pan CSIR including all CSIR
Laboratories/Institutes, Units and CSIR HQs.

3. The guidelines shall also apply to Research Students (viz. JRF, SRF, RA, PhD
Students, AcSIR Students in CSIR etc.) and to researchers availing of CSIR
extramural grants, as well as to CSIR Fellows including the Distinguished and
Bhatnagar Fellows.

4. GB, CSIR has empowered DG, CSIR for interpretation / operational changes /
modifications / amendments / expansion of the Guidelines, if necessary, based
on the experience gained and feedback received while implementing the
guidelines.

5. These guidelines shall come into effect from the date of issue of this OM.

Sd/-
(Anoj Kumar Chadar)
Principal Scientist
Copy to:

1. Directors of all CSIR Laboratories/Institutes

2. Sr.CoA/CoA/AO of all CSIR Laboratories/Institutes
3. Heads of CSIR Units
4. Heads/In-charge of all Divisions/Directorates/Units of CSIR
HQs/Complex/RAB /HRDG/HRDC/TKDL/IPU
5. Director, AcSIR
6. US to DG, CSIR
7. PS to JS (A), CSIR
8. PS to FA, CSIR
9. PA to CVO, CSIR
10. LA, CSIR
11. IT Division, CSIR for uploading the OM and Guidelines on CSIR Website
12. Office Copy

104
 CSIR Guidelines
for
Ethics in Research and in Governance

105
1. Preamble

1.1 Need for these guidelines:

Maintaining ethics in research and governance is of paramount importance in
organizations like CSIR. This calls for the development of appropriate guidelines in the
practice of science, publication of scientific/technical/biomedical data and results,
making them available in the public domain and, in the administration of scientific
establishments at all levels.
Guidelines on responsible conduct in research institution have now been laid out by
various agencies. These include Govt. of India Gazette notification by the University
Grants Commission (1), the Policy document by ICMR (2), Draft National Policy on
Academic Ethics by Office of PSA (3), a book on Ethics in Science- Education, Research
and Governance by the Indian National Science Academy (4), The Ethics in Science by
Resnick (5), The Australian Code for the Responsible Conduct of Research (6), the
ICSU Strategic Review (7), Policy Report by the Inter Academy Council (8), Best
Practice. Guidelines on Publishing Ethics by Wiley (9), Policy statement by INSA on
Dissemination and Evaluation of Research Output (10), Recommendations by the
ICMJE (11); COPE Guidelines for Good Publication Practice (12), Williams et al in JCI
2019 (13), Clinical Trial Guidelines by CDCSCO (14), Compendium of CPCSEA (15),
Handbook on Sexual Harassment of Women (16), as well as a relevant compilation on
the levels of misconduct and suggested advice on action (17).
Some of the root causes that tempt one for attempting short cuts for success in scientific
pursuits, and in particular publications, are:
a. Increased reliance on ‘quantification’ of the value of a publication/report, (and
of the authors who produced them), e.g., impact factor, H index and related
numbers which are used in various places for ‘recognition’ of an author for
career advancement, awards and honours and the like;
b. Overemphasis on the ‘scientometric’ reputation of the journal where the paper
is published in contrast to an evaluation of what new science is published;
c. Demand from institutions that a researcher must publish a minimum number of
papers for obtaining PhD degrees, and promotions; and
d. The resultant ‘explosion’, in recent years, of a number of fake and predatory
journals.
1.2 Guidelines suggested by several agencies, authors and groups (Ref. 1-16) have
provided a basis for the preparation of the guidelines for the CSIR institutions. It
must be clarified that the value of any such guidelines will lie exclusively with the
sincerity of their application. Thus, the guidelines enunciated below may not
perhaps deal with every individual case that can or will arise, but it is expected
that these will provide broad contours and trajectories within which appropriate
decision making processes could proceed.
1.3 Beyond academic and publication guidelines, emphasis has been (and needs to
be) given to honesty, scientific validity of the work being published, aspects of
freedom to pursue new ideas and criticize old ones, apportioning due credit to
others, mutual respect, conflict of interest, education and mentorship, social
responsibility and the law.

106
2. What is scientific misconduct

Scientific misconduct is the violation of the codes of scholarly conduct and ethical
behaviour in the publication of professional scientific research. These include all acts
from the initiation of an idea, its experimental verification, accuracy of results, accurate
reporting without resorting to any malpractice in the presentation of data/images, due
acknowledgement of all sources of information and people. It is against this background
that this document provides CSIR institutions and individuals working in them, an
explicit list of acts that constitute scientific misconduct. These are given below.
Scientific misconduct(s) can be of various types and can occur at various stages-from
the initiation of the scientific study to publications and/or patent generation. While these
involve violation of generally accepted research practices, inadvertent errors or genuine
differences in interpretation or judgement in assessment of the results may not
constitute scientific misconduct. Scientific misconduct may be categorized into the
following:
2.1 Embezzlement of ideas:
Claiming an idea to be one’s own while it was obtained from privileged access
while reviewing manuscripts, grant proposals or through participation in lectures
and personal discussions and earlier publications (but not citing them). This also
includes acts wherein ideas of others are presented as one’s own through slight
changes of words, phrases and illustrations.
2.2 Plagiarism:
Using other’s words, results, or published work without appropriate citation. This
includes using one’s own published work (self-plagiarism) without appropriate
disclosure/citations.
2.3 Falsification:
Misrepresentation or suppression/ addition of a part of data to generate cherry-
picked results or improper reporting of results in order to present a misleading
outcome.
2.4 Fabrication:
Reporting ‘results’ of experiments which were never done. This also includes
images/ photographs being morphed to reach a particular interpretation.
2.5 Fraud:
Deliberate suppression of previous work in publications and inappropriately claim
originality and/or avoiding quoting previous publications which are contrary to
present results.
2.6 Non-compliance of Regulatory Guidelines:
Deliberate violation of ethical guidelines accepted for human and animal research,
non-adherence to bio-safety regulations or inappropriate use of research funds.
2.7 Inappropriate Authorship:
Excluding genuine contributors from authorship, including non-contributors, or
claiming authorship for oneself without having made any meaningful contribution
is inappropriate. In cases of publication of work carried out during a Ph.D. thesis,
due care should be taken by the thesis Supervisor to ensure that the scientific
contributions of a student are neither diluted nor exaggerated.
2.8 Withholding data from Validation:

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 Not providing data or research material to the institute/journal for
verification/validation purpose.
2.9 Wrong versus Fraudulent paper:
It occasionally happens that a conclusion drawn in an earlier publication is
negated, modified or shown where it went wrong- either by the same author or
others. This is how science progresses. The earlier paper is thus not fraudulent.

3. Good Science Practices

3.1 Laboratory Records:

It is vital to keep proper records of each experiment, details of materials obtained
from varied sources and how they were used, procedures, analysis and other
related material. Graphs and printouts from instruments should be numbered and
filed appropriately. If any software is used for handling and analysing the data, its
name, version and other details should be recorded. The laboratory records of
experiments carried out using a publicly funded institution should carry every
single detail of the experiment. Such records are the property of the laboratory
and are to be kept for archival and later retrieval purposes; a copy will of course
be that of the researcher and can be used by anyone till after a defined
moratorium period of 18 months. Due permission and acknowledgement of the
researchers who carried out the experiments is essential at all times.
3.2 Consultancy work:
External consultation should be done with explicit permission from the Institutional
Head where the scientist/technologist works. At the same time, permissions, if
denied, should be justified and the reasons thereof be formally recorded. If the
facilities of the institution are used, the details should be declared and recorded
with due confidentiality in terms of the interest of the client. A clear statement on
the resources to be used and finances that would accrue to the consultant and
the institution should be recorded ab initio.
3.3 Collaborative studies:
The role played by each collaborator, and the benefit (both material and
intellectual) which accrues to each collaborator should be decided ahead of time,
should be accepted by each participant, and formally recorded. Given the
uncertain nature of scientific research, the collaborators should be flexible in
apportioning benefits in case there is a significant change in the actual
contributions by participants as compared to those agreed to earlier.
The benefit that accrues to each of the researcher’s institutions, if any, should
also be agreed upon ahead of time. Patent rights of each collaborator (and of
his/her institution, if any) should be decided and be recorded ahead of time.
Institutions need to agree upon the operating procedures for such Memoranda of
Understanding (MoUs) and for the exchange of materials and samples.
3.4 Authorship:
In a multi-authored paper, authorship should accurately reflect the contribution of
each author and these be pointed out in the acknowledgment section of the
manuscript. There should be no ‘honorary’ or ‘ghost’ authorship. Both, namely the
offer of such authorship, or demand for the same, are scientific misconducts and
unethical practice. Each publication must provide details on each author’s
contribution in the paper and the explicit consent of each author should be
obtained. Acknowledgment should also be made about the funding source, and
of any research material received as a goodwill gesture from other scientist

108
 groups or institutions. Appendix-A provides some general guidelines for
authorships.
3.5 Plagiarism:
As mentioned in 2.2, plagiarism involves using other’s words, results or published
work without appropriate citation. This includes using one’s own published work
without disclosure. An internal check by the authors using software must be done
before a paper/report is submitted for publication or distribution. The authors
should provide a statement to this effect in the acknowledgement section. With
the soft-wares being available for such checks for inadvertent duplication, there
should be no room for accidental plagiarism.
In the CSIR system, the Library/Knowledge Resource Centre/ Standing
Publications, Ethics and Scientific Vigilance Committee or any other designated
Division of each institution may be requested to provide such software, and to
help with such checks for each manuscript rigorously.
3.6 Redundant /Salami Publications:
Resorting to ‘Redundant’ publications for artificial enhancement of the number of
publications is also a serious act of misconduct. Also, the simultaneous
submission of the same manuscript in multiple journals, in order to have one of
them accepts it, is gross misconduct.
3.7 Safe laboratory practices:
It is obligatory that CSIR institutions train their staff for safe laboratory practices
and provide sufficient budget for training programs to be conducted at regular
intervals. Proper attire, use of gloves, proper ventilation, proper shoes, proper
instruction and training in handling hazardous chemicals/gases/ radioactivity, and
safety sheets for proper fire, electrical and other facility must be in place in all
places of work. These should be checked regularly and a proper record be
maintained.
Provisions for these and for training are the ethical and administrative
responsibility of the management of the institution. The scientists and staff are
also responsible in ensuring proper information and usage of facilities.
Appropriate budgetary provisions in a separate budget head, should be created
towards these, by the institution/CSIR.
A ‘Laboratory Procedures and Safety Officer’ should be appointed in each of CSIR
centres/institutions with a defined responsibility. Periodic checks and repeated
training of researchers through mandatory in-house courses or workshops should
be held at least once a year and at the time of induction of new colleagues. Safe
laboratory practices are listed in Ref 4.
3.8 Research on humans and human biological materials:
Stringent guidelines on the use of humans as experimental participants in clinical
trials, and the use of human biological material in research, exist. The Union
Health Ministry has provided guidelines on these, as well as on the exchange of
human biological materials and these should be adhered to (Ref.2). Similarly,
clinical trials (all phases) should be held as per the guidelines and with prior
approval from the concerned agency group (Ref. 13).
On the use of human biological materials for experimental research, even in the
laboratory and the clinic, one needs first ‘informed consent’ from the individual
from whom the material is obtained, and based on this, approval from the human
ethics committee of the institution. Details of these are found in the guidelines

109
 published by the Indian Council of Medical Research (ICMR, Ref.2) and all in the
CSIR system will need to follow these guidelines by ICMR, sensu stricto.
3.9 Use of animals in research:
The Ministry of Environment, Forests and Climate Change (MoEFCC), India has
provided guidelines on the rules and regulations on the use of animals in research
(Ref.14). Due and humane care should be taken of animals before, during and
after the experiments. The animal houses should comply with the best possible
standards of hygiene and upkeep, regular training program should be conducted,
and regular interaction with animal welfare groups and scientists is recommended
in order to ensure minimal distress. All in CSIR system will need to follow these
guidelines of MoEFCC, sensu-stricto.

4. Gender issues

National and institutional guidelines must be followed. The handbook on sexual

harassment of concern at workplace, published by the Ministry of Women and Child
Development (Ref.15) will be the guiding principles for all CSIR institutions. Each
institute shall have a committee on various aspects of these issues, and this committee
should meet on a periodic basis and proactively work towards programs to create
awareness on such issues.
Gender equality should be the core value system of every academic individual and
institution in CSIR and full, unbiased equal opportunity to women should be provided.
A regularly conducted orientation program on gender sensitivity, awareness of the
rights of workplace and its environments, should be carried out so that everyone, at all
levels, is sensitized.
CSIR Institutions should endeavour to develop a system of accessible and affordable
care services, lounge services to cater to special needs for women to provide them with
a gender equitable environment. The option of working out of home in case of women
with small children should be explored and approved on a case by case basis. Every
CSIR institution should carry a gender audit and its report should be placed as open
access. Novel steps and efforts to encourage women in their work places should be
enumerated and listed.
As far as possible, it will be desirable to have women experts on each panel of selection
and administration and the Institute Committee should examine all cases of gender
related misconduct as an academic misconduct and within the provisions of existing
laws. Gender harassment of men in any respect should also be treated at par with those
for women.

5. Dealing with Misconduct

The suggested Standard Operating Procedure (SOP) for inquiry in any act of scientific
misconduct is detailed in the Appendix-B and Table-1 which provides for the fair and
transparent trial of an accused and safeguards the interest of whistle-blowers (Ref. 16;
Section 13). An Institutional Committee on Ethics called the Standing Publications,
Ethics and Scientific Vigilance Committee (SEC) involving people at different levels
(scientific, administrative, technical, students, and with gender representation) should
be established. The committee would be chaired by a Chief Scientist or higher with an
Ethics Officer as member secretary. The SEC would be responsible for training staff
members on all aspects of scientific ethics and looking into best lab practices and
publications to be observed by the scientific community.

110
 Scientific misconducts would be investigated by the Scientific Investigation Board (SIB)
comprising scientific/technical personnel of appropriate expertise (with gender and
SC/ST/OBC representation) and with at least one external expert to investigate the
matter, fact finding and recommending the punitive action. The SIB would be set-up by
Director of the laboratory, and DG, CSIR for the headquarters.

6. Types of reports and related documents covered under this umbrella

In addition to publications in professional journals, the recommendations highlighted in

Section 3 above as “Good Science Practices” will apply for all research papers,
academic theses for M. Phil, M. Tech, PhD, DSc, and other degrees, technical reports,
grant applications as well as consultancy reports and certifications.

7. Intellectual Property

Any publication or a report that has the possibility of a consequential patent that could
lead to a marketable application or product is defined as intellectual property. The
authors who are involved in the publication/report should first ensure, before making it
public, as to who did what and the share that accrues to each of them in the proceeds
ahead of time. And when this ‘property’ is patented and licensed for commercialization,
no dispute should then occur about the share of each in the property and its proceeds.
Any share that accrues to the laboratory/institute where the discovery/invention was
made (using its facilities) must also be agreed upon a priori and in writing.
Towards this, each academic institution/research laboratory is advised to have an
inhouse intellectual property rights (IPR) expert, or have one as a consultant. The rules
that apply in the institution must be adhered to by the authors and users of the patent.
A handy and updated manual on IPR and technology transfer has been published by
the Indian Council of Medical Research (Ref.2) and the CSIR laboratories and
individuals are advised to refer to the same.
8. Ethics in Governance and Conflict of Interest (CoI):
Governance is an integral part of any institution and involves several layers of activities
ranging from appointments and periodic evaluations, allotment of funds, approval for
training programs and deputation for various meetings related to the institution,
allotment of staff and students, to name a few. All these require fairness in judgement
in decision making, despite the fact there is often a considerable room for subjectivity.
Institutional systems must be created such that the decision making process is fair and
transparent, providing equal opportunity to all.
An important element in the decision making is the aspect of Conflict of Interest (CoI),
which has been addressed to in detail (Ref. 4-6). CoI arises when an individual finds
himself under multiple loyalties arising due to either of personal/professional
relationships or due to extraneous financial considerations. These lead to a
compromise on the interest of the CSIR system as these impact a person’s impartiality
in the decision making process (be it a selection process for a new employee; promotion
of a colleague; financial matter in respect of purchases; financial grants for research, or
for selection of an award or a fellowship).
It is therefore essential that in every decision making process, all the members who are
involved with decision making process, necessarily sign a Conflict of Interest Statement
indicating that none of his/her relatives, students, collaborators, group members or
institutional members is/are being considered in the proposed meeting for decision
making. This procedure should apply to all committees relating to the work of CSIR, i.e.,
institutional issues and matters such as funding for research under its Extramural

111
 Programs, various awards and prizes, and the like. Those conflicted may recuse
themselves from the committee proceedings.
Conflicts of interest can also arise from competitions in research work when one favours
his students/institutional colleagues in comparison to others with comparable merit.
This may be, for an eventual quid pro quo from his colleagues. The same applies to
grant process for sponsored research on behalf of National funding agencies. In all such
meetings which lead to a decision of long term consequence, a conflict of interest form
given in Appendix-C should be signed by each member and countersigned by the
Chairman and kept as a part of the minutes.

9. Other Recommendations

9.1 Suggestions for action to reduce the stresses that lead to unethical conduct: an
important aspect of reducing such cases is appropriate training and understanding
of the issues involved. Thus, CSIR may evolve a system of regular workshops on
various aspects, such as good laboratory practices, safety issues, publication and
plagiarism, gender sensitivity, data analysis and statistical procedures and
importantly training in communication.
To ensure that these courses occur at regular intervals, a dedicated Ethics Officer
and Safety Officer can be appointed. He/she will be responsible to ensure that the
training is imparted effectively and regularly including for those inducted afresh.
These courses should carry credits in terms of career advancement. The Safety
Officer will also ensure and report on non-compliance of safety norms. Deliberate
incidences of misconduct in respect of safety and ethics, may attract a mention in
the confidential file of the officer/employee concerned and may affect his
assessment itself.
Performance parameters for career advancement must be focussed on the quality
of work and not on number of publications, nor where the research work is
published. Agencies across India (UGC, MHRD, DST, DBT, SERB, CSIR, ICMR
and others) must agree on a common set of parameters which should be followed.
CSIR may take a lead in reorienting its evaluation procedures to take cognizance
of what is published and not where is published. INSA policy statement (10) may
be used as a general guideline.
9.2 In doing so, predatory journals must be avoided. Periodic updates of the names of
such journals are published (e.g., the Beall’s List; https://beallslist.weebly.com/)
and such others). As a simple rule, with the exception of some highly reputed
journals published by scientific societies that charge publication fee to ensure open
access, rapid publication through payment should be strictly avoided.
9.3 Prior to sending for publications, scientists should check for plagiarism using
current software tools that should be made available by the institute. The library
of the institute/ Knowledge Resource Centre / Standing Publications, Ethics and
Scientific Vigilance Committee or any other designated Division of the Institute
can provide this service as a part of their mandate.
9.4 Archival of all primary data including field records related to publication to be
deposited with the institute’s knowledge resource centre or any other designated
Division of the Institute with appropriate security for intellectual property. Both soft
and hard copies should to be kept. This will imply creation of a data archival
system within CSIR systems with appropriate security. This will require resource
allocation.
9.5 Due acknowledgement of the work at CSIR should be made.

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 9.6 Under safe laboratory practices, due attention must be given frequently on areas
such as fire safety, use of hazardous chemicals, disposal of waste of various kinds
(chemical, biological, material, radioactive) and related issues. Mock drills should
be conducted from time to time in order to keep all in the institution prepared and
ready. Intervals between such drills should be no more than 6 months.
10. Personal Ethics/introspection:
Much of CSIR work is based on public funds and hence should be used with abundant
caution. More importantly, it should be the duty of each individual to personally
evaluate if the work done by him/her would lead to any tangible benefit to CSIR or the
country in terms of a definitive novel idea, product or a patent.
Most institution have a cell for outreach activities and it is a part of the duties of
scientists working with public funding that they provide regular overviews of their work
to the stakeholders in a clear to understand manner, without any attempt to overstate
the achievement. It is essential that scientists use proper and measured language
while presenting their work and mentioning the limitations of the work.
On a subtler nuance is the fact that many laboratories are well funded due to the
system they belong to. These laboratories then procure large equipment and use these
to work as material characterization centre and then demand their pound of flesh in
the intellectual property, without any serious contribution. This is a gross unethical use
of public funds, and should be discouraged. Every instrument bought with public
funding should be treated as a public property and with reasonable caution on their
misuse, should be made available to all, based only on the scientific merit of the
analysis being done.
It is also ethical that precious public funds are used judiciously in the choice of a
program. Only those programs that conform to the overall contours of CSIR’s mandate
be taken up. Please refer to Chapter 6 of Ref.3 for further elucidation.
11. EMR grants and CSIR grantees:
These guidelines shall also apply to researchers availing of CSIR extramural grants,
as well as to CSIR Fellows including the Distinguished and Bhatnagar Fellows.
12. Grievance Redressal Mechanism: Appointment of Ombudsman
The scientific misconduct would be investigated by Scientific Investigation Board (SIB).
The report of the SIB would be shared with the accused while implementing the
punitive action. Any scientific/technical staff or a research worker, who is not satisfied
with the recommendation of the SIB and the punishment/decision based on same by
the competent authority can appeal, within 60 days, to Director General, CSIR for
Grievance Redressal.
The appeal should be based on merits, clearly bringing out facts and with supporting
evidences that were not taken into consideration by the SIB. DG, CSIR may, in turn,
and based on the merits of the appeal, refer the matter to an Ombudsman of the
concerned subject group for recommendation. The decision of DG, CSIR on
recommendation of the Ombudsman shall be final and binding on all sides.
Any researcher or student who is being pressurised by his/her supervisor for unethical
practices related to publications and laboratory practices may approach Standing
Publications, Ethics and Scientific Vigilance Committee (SEC)/Ethics Officer.
An Ombudsman here is defined as an independent, impartial, free-service provider,
who has not been associated with, or a beneficiary of the CSIR system ever. The
Ombudsman would investigate complaints that have not been solved by the
organization complained against. He/she would investigate complaints where
something has been handled badly or unfairly, making someone suffer as a result. The

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 Committee suggests the appointment of one Ombudsman to each of the five major
groups of CSIR institutions (groups of Physics, Chemistry, Biology, Engineering and
Information sciences). Such an Ombudsman should be a non-CSIR person of proven
scholarship, integrity and administrative experience. It is also suggested that all the
Ombudsmans work in close synergy and as a group, for an overall coherence of
application of rules, within the CSIR system. The Ombudsman may take the support
of any technical expert, if so required.
The Ombudsman would be provided necessary support by Standing Publications,
Ethics and Scientific Vigilance Committee (SEC) coordinated by Ethics Officer of the
institute/CSIR Hqs. The Ombudsman will be paid honorarium, TA/DA and provided
accommodation for holding the meetings.

13. Whistle Blowers and his/her identity and Protection

Whistle blowers are people who inform the authorities of some wrong doings. In an
ideal case, any unsigned report from an unidentified source/person should not be
acted upon. However, in the larger interest of CSIR, the DG may initiate an inquiry in
cases where any anonymous complaint is accompanied by factual and verifiable data
for a particular case. Fraudulent and inappropriate complaints made for reasons other
than the larger interest of CSIR, will also attract a departmental enquiry, but this will
also be in the scope of an approach Ombudsman. All such cases will be dealt with by
the CSIR HQs and the protection of whistle blower will be ensured by it.

14. Acknowledgments

Committee thank Dr. Sudeep Kumar (Honorary Advisor to the DG), Sh. R. P. Singh
(Chief Scientist & In-Charge, Mission Directorate) and Sh. Anoj Kumar Chadar
(Principal Scientist, Mission Directorate, CSIR) for active participation and for
appropriate advice and suggestions. And Committee thank Dr. S. Mande, DG, CSIR
for his active interaction and advice.
15. References:
1. University Grants Commission (Promotion of Academic Institution and Prevention
of Plagiarism in Higher Educational Institutions) Regulation, 2018.The Gazette of
India, Extraordinary, Part III-Section 4, July 31, 2018.
2. “Ethical guidelines for biomedical research in human participants”, Indian Council
of Medical Research, India, 2017.
3. “Draft National Policy on Academic Ethics”, Office of the Principal Scientific
Advisor to the Government of India, 11-6-2019.
4. Ethics in Science Education, Research and Governance”, Eds. K. Muralidhar, A.
Ghosh, A. K. Singhvi; Indian National Science Academy, New Delhi, India, 2019.
5. “The Ethics in Science - an introduction”, David B. Resnik, Routledge, New York,
1998.
6. “Australian Code for the Responsible Conduct of Research”, National Health and
Medical Research Council, Commonwealth of Australia, Canberra, Australia,
2018
7. “Science and Society: Rights and Responsibilities”, ICSU Strategic Review,
International Council for Science (ICSU), July 2005.

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8. “Responsible Conduct in the Global Research Enterprise - A Policy Report”, Inter
Academy Council (IAP)- the Global Network of Science Academies, Trieste, Italy,
July 2012.
9. “Best Practice Guidelines on Publishing Ethics: A Publishes Perspective”, 2nd
edition, Wiley 2014.
10. A Policy Statement on “Dissemination and Evaluation of Research Output in India”
by the Indian National Science Academy (New Delhi) P. Chaddah and S. C.
Lakhotia. Proc Indian Natl Sci Acad 84 No. 2 June 2018 pp. 319-329
11. “Recommendation for the Conduct, Reporting, Editing and Publication of
Scholarly Work in Medical Journals”, International Committee of Medical Journal
Editors (ICMJE), 2014.
12. “Our Core Practices”, Committee On Publication Ethics (COPE); <publication
ethics.org/core-practices>, 1999.
13. Williams C. L. et al., Errors, Sloppy Science and Fraud: Keeping Eyes on Your
Data.
J. Clin Invest 2019: 129(5): 1805- 07. https://doi.org/10.1172/JCI128380.
14. “Clinical Trial”: Central Drug Standard Control Organization (CDSCO), Directorate
General of Health Services, Ministry of Health and Family Welfare, Government
of India (cdsco.gov.org).
15. “Compendium of CPCSEA 2018, Committee for the Purpose of Control and
Supervision of Experiments on Animals (CDCSEA), Ministry of Environment,
Forest and Climate Change, Government of India (cpcsea.nic.in).
16. “Hand book on Sexual Harassment of Women in Workplace (Prevention,
Prohibition and Redressal) Act 2013”. Ministry of Women and Child Development,
Government of India, November 2015.
17. “Levels of Misconduct and Suggested Advice on Action to be Taken”; Report from
the CSIR Institute of Genomics and Integrative Biology (IGIB), based on material
collected from IISER Pune, Oxford University UK and the US Office of Research
Integrity.

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 Appendix – A
A.1 Authorship Guidelines

While it is clear that authorship accrues to all those who contribute to the study that being
submitted as a research paper/book/monograph, often differences arise on the sequence
of the authorships and credits therein. A few general guidelines are provided below, though
there should be a room in these for a case- by- case adjustment. Normally the person who
is responsible for ideation and conceptualization of experiments/ problems, creation of a
work plan/ identification of potential collaborators and their role and the one who ensures
the veracity of data becomes the Corresponding Author. The person who carries our most
of the actual work in the laboratory or on the computational/calculation/formalism aspect
normally becomes the first author. This person is also responsible for the first draft of the
paper. Normally this would be a younger worker like a graduate student or a junior
colleague.
Co-authorship accrues to all those who have made a reasonable scientific contribution to
the work including generating new data/ developing algorithms or like. Co-authors are also
expected to explicitly contribute to the science being presented and agree to the final
results in a formal sense. Any change in the sequence of authorship, post-submission,
should be done by informing the editor with clear reasons. Care should be taken to ensure
that such actions are not required as they reflect somewhat poorly on the group and the
institution.
In the case of reviews/report where consolidation/synthesis of information is generally
presented, the sequence of the authorship should be discussed a priori. In such cases, the
lead author is the one who takes the initiative of writing the first draft.
Authorship is a serious matter and be accepted with all responsibility that accrues with it.
Thus, by agreeing to a co-authorship/authorship one implicitly assumes shared
accountability for the scientific content, its accuracy vis-a-vis its being genuine, and other
related aspects. This applies in all cases even when a fraudulent data/manipulated image
was not sourced from one of the co-authors. Every co-author shares a role in any part of
a fraudulence in the entire work chain, if detected at any time. A written consent of all
authors to any report that is submitted for publication in some form is desirable, along with
an explicit statement of who did what and contributed in which manner.
It is unethical to offer, expect or accept honorary or guest authorship based on some ones
administrative/scientifically higher position. This is unethical.
Acknowledgement is another area that needs due care. Normally, in any study many
people and all these should be acknowledged in a proper manner. These include, people,
funding sources and the laboratory staff. Routine discharge of duties by staff need not be
acknowledged, but those who contribute to science/experiments in a meaningful manner
should not be ignored either.

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 Appendix – B

B.1 Standing Publications, Ethics and Scientific Vigilance Committee (SEC):

Every CSIR lab as well as the HQ should have a Standing Publications, Ethics and
Scientific Vigilance Committee (SEC) look into the best lab practices and
publications to be observed by the scientific community. The committee would be
chaired by a Chief Scientist (or one at a higher level) and comprise scientific and
technical, administrative, and research fellows/students as members (with gender
representation), with the Ethics Officer as the Member Secretary. The Committee in
each lab would be constituted by its Director, while for the Hqs, it would be
constituted by the DG. The Terms of Reference (TOR) of the committee would be as
follows:
i. The Committee shall regularly conduct seminars in Good Laboratory Practices
and publications;
ii. shall make mandatory implementation of communication numbers at the time
of publications after obtaining approval from competent authority;
iii. shall check Similarity index and Plagiarism of all publications;
iv. shall ensure that the scientific audit of each publication is done;
v. shall advice and guide the Director/DG, CSIR on all matters pertaining to
misconduct in scientific practices and research ethics;
vi. shall respond to any external parties (on behalf of CSIR) for compliance
with ethical standards in respect of research projects undertaken by staff;
vii. on an entirely voluntary basis, researchers may seek the inputs of this
Committee for consultation on ethical aspects of their research;
viii. shall work on any other matter as assigned by the Director / DG, CSIR

B.2 Standard Operating Procedure (SOP) for dealing with Scientific Misconduct
The following SOP is suggested for dealing with alleged cases of Scientific
Misconduct:
i. Complaint/information can be entertained from ‘identified’ individual.
Anonymous complaints are not to be entertained.
ii. The scientific misconduct is to be investigated by the Scientific Investigation
Board (SIB).
iii. Director (for individual laboratory) and/or DG-CSIR (for CSIR Hqs) will set up
a Scientific Investigation Board (SIB) comprising scientific/technical personnel
of appropriate expertise (with gender and SC/ST/OBC representation) and
with at least one external expert to investigate the matter, fact finding and
recommending the punitive action (taking input/response of the accused, if
needed).
iv. The SIB will do due diligence including interaction with the concerned scientific
staff, examine the records and suggest the suitable punitive action
commensurate with the offence done as per the Table-1 given below. Based
on the above, SIB will submit the report to the Director and/or DG, CSIR as
the case may be for consideration and appropriate action.

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v. In case of minor, moderate and major penalties (except those covered in
section B.2.vi below), the same will be imposed on the accused directly by the
Director for the laboratory and DG, CSIR for the Hqs.
vi. The cases of major and severe transgressions involving penalties such as
Deferred promotion/ Deferred increments/ Reduction to lower stage/
Compulsory retirement / Removal from Service, will be dealt as per the
established administrative process (as per the rules and regulations adopted
by the CSIR) by administration with the approval of the competent authority.
vii. Appellate Authority for Grievance Redressal: The report of the SIB would be
shared with the accused while implementing the punitive action. DG, CSIR will
be the Appellate Authority for reviewing the punitive action recommended by
SIB and implemented by the competent authority. The accused shall have the
right to appeal, within 60, days against the recommendation of the SIB (and
the punishment/ decision based on the same by competent authority), to the
Director General, CSIR, for Grievance Redressal. The appeal should be
based on merits, clearly bringing out facts and with supporting evidences
which were not taken into consideration by SIB. DG, CSIR may in turn, based
on the merits of appeal, refer the matter to an Ombudsman of concerned
subject group for recommendation. The decision of DG, CSIR on the
recommendation of the Ombudsman shall be final and binding on all sides.

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B.3 Table-1: Levels of misconduct and suggested advice on action to be taken

Category Characteristics Examples Action

• Plagiarism – materials and First: No action

I. Simple Error/ Non-deliberate, methods required other than
Minor evidence of • Unmodified/Unmanipulated correction of mistake
Transgression experiments image duplication between /Counselling
having been figures or panels, where
performed via lab original data can be shown Second: Minor
books or other penalty such as
• Mistake in matters of
warning for person(s)
records, with
credit/authorship where
minimal or no held responsible
there is no clear
change to
misconduct
primary scientific
conclusions

• Plagiarism – main text Minor penalty

II. Moderate Very frequent • Modified image duplication commensurate with
Transgression instances of between figures or panels frequency and
category I or Instances of image degree
transgressions duplication between Removal from
(>10). publications, inability to responsible position/
provide original data Ban supervision/ Ban
Deliberate, errors submission of
• Deliberate denial of
proposals/ Ban
with changes to
authorship or credit
primary scientific consultancy/ Defer
conclusions, increments /Deferred
probable data promotion / Take a
fabrication credit course on
Ethics.

• Plagiarism – data or >50% Penalty to responsible

III. Major Frequent of text person(s) Take a
Transgression instances of credit course on
category II • Clear image manipulation Ethics/ Deferred
transgressions sufficient to change promotion/ deferred
scientific interpretation increments/ reduction
Any instance of to lower stage/
clear data compulsory
• Instances of repeated
retirement
fabrication,
image duplication between
publications, with different
labels

• Deliberate usurping of
credit, fake authorships

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 Major penalty
IV. Severe Very frequent commensurate with
Transgression instance of the severity of
category III misconduct
transgressions Compulsory
retirement/ removal
from service

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 Appendix - C

Conflict of Interest Statement

I hereby certify and undertake that none of my relatives, students, collaborators, group
members or institutional members is/are being considered in the proposed meeting for
decision making.

S.No. Name, Designation and Signature Remarks (viz.

Institutional Affiliation of the recused due to
Member Conflict of Interest
etc.)

1.

2.

So
on…

(Signature of Chairman of the Committee)

Name:
Designation:
Institutional Affiliation:
Date:

Place:

Note: Any member can ‘recuse’ oneself from the meeting because of a potential conflict of
interest and same need to be recorded in remarks section.

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 घोषणापत्र
DECLATATION FORM

िै नतक नसद्ांतों औि प्रथाओं पि वै ज्ञानिक अिु संधाि औि शासि में उपक्रम

Undertaking on Ethical Principles and Practices in Scientific Research and
Governance

मैं ,________________________ घोचिि करिा हूं चक मैं ने अनु सूंधान और शासन में नै चिकिा के चलए
सीएसआईआर चदशा चनदे शोूं को पढ़ चलया है ।
I, ________________________ declare to have read and understood the CSIR Guidelines
for Ethics in Research and Governance.

मैं , अनु सूंधान और शासन में नै चिकिा के चलए सीएसआईआर चदशा चनदे शोूं िथा सूंगठनात्‍मक चनयमोूं के
अनु रूप, अपने वैज्ञाचनक अनुसूंधान और शासन से सूंबूंचधि कायों में अच्‍छे नै चिक चसद्ाूं िोूं और प्रथाओूं के
पालन करने का विन दे िा हूं।
I undertake to adopt ethical principles and practices and abide by good ethical conduct
across all my pursuits in scientific research and governance in accordance with the CSIR
Guidelines for Ethics in Research and Governance, and Organization Rules.

चदनाूं क:
Date:
जगह:
Place:
(हस्‍िाक्षर)
Signature

नाम:________________
Name:________________
पिा:__________________
Address__________________
ईमे ल आईडी:__________________
Email ID: __________________

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 Innovation Management Directorate
िवािाि प्रबंधि निदे शालय
Council of Scientific and Industrial Research
वै ज्ञानिक तथा औद्योनिक अिु संधाि परिषद
2, Rafi Marg, Anusandhan Bhawan, New Delhi - 110001
2, िफी मािग , अिु संधाि भवि, िई नदल्ली - 110001

कायागलय ज्ञापि Office Memorandum

सं. No.1/CSIR-SEC/2021 08 नदसंबि, 2021

नवषय: अिु संधाि औि प्रशासि में िै नतकता के नलए सीएसआईआि नदशानिदे श — नहतों के टकिाव
सम्बं नधत वक्तव्य में संशोधि सम्बं नधत

CSIR Guidelines for Ethics in Research and Governance — Modification in the

Conflict of Interest Statement - reg.

1. अनु सूंधान्‍और्‍प्रशासन्‍में ्‍नै चिकिा्‍के्‍चलए्‍सीएसआईआर्‍चदशाचनदे श, 2019 को्‍'स्थायी्‍प्रकाशन,

नै चिकिा्‍ और्‍ वैज्ञाचनक्‍ सिकािा्‍ सचमचि्‍ (एसईसी)' और्‍ वैज्ञाचनक्‍ जाूं ि्‍ बोडा ्‍ (एसआईबी)्‍ जै सी्‍
सचमचियोूं्‍के्‍गठन्‍के्‍माध्यम्‍से्‍सीएसआईआर्‍में ्‍लागू्‍चकया्‍जा्‍रहा्‍है ।
CSIR Guidelines for Ethics in Research and Governance, 2019 is being implemented
across CSIR through the Ethics Officers, and Committees such as ‘Standing
Publications, Ethics and Scientific Vigilance Committee (SEC)’ and Scientific
Investigation Board (SIB).

2. प्रशासन्‍में ्‍ नै चिकिा्‍के्‍पहलु ओ्‍ूं पर्‍सूंदभा ्‍ चवशे ि्‍रूप्‍से्‍ उल्ले खनीय्‍है ।्‍सामान्य्‍प्रशासन्‍के्‍िहि्‍

कई्‍गचिचवचधयाूं ्‍हैं ्‍जै से्‍चनयुक्तियाूं ्‍और्‍आवचधक्‍मू ल्ाूं कन, धन्‍का्‍आवूंटन, प्रचशक्षण्‍कायाक्रम्‍और्‍
प्रचिचनयुक्ति, कमा िाररयोूं्‍की्‍चनयुक्ति, पररयोजना्‍कमा िाररयोूं्‍और्‍छात्ोूं्‍की्‍चनयुक्ति, अन्य्‍शाचमल्‍हैं ।्‍
प्रशासन्‍में ्‍चनणाय्‍ले ने्‍में ्‍पारदचशा िा्‍और्‍चनष्पक्षिा, व्यक्तिपरकिा्‍से्‍सूंबूंचधि्‍िुनौचियोूं्‍पर्‍काबू्‍पाने ्‍
की्‍आवश्यकिा्‍होिी्‍है ।्‍यह्‍सुचनचिि्‍करने ्‍के्‍चलए्‍चक्‍चनणाय्‍ले ने्‍की्‍प्रचक्रया्‍चनष्पक्ष्‍और्‍पारदशी्‍
है ्‍एवूं्‍सभी्‍को्‍समान्‍अवसर्‍चदया्‍जा्‍रहा्‍है , सूंभाचवि्‍और्‍कचथि्‍चहिोूं्‍के्‍टकराव्‍(सीओआई)्‍से्‍
सूंबूंचधि्‍पहलु ओ्‍ूं का्‍पिा्‍लगाया्‍जाना्‍जरूरी्‍है ।्‍इस्‍प्रकार्‍चदशाचनदे शोूं्‍ में ्‍ सूंदचभा ि्‍सीओआई्‍का्‍
बयान्‍ सी्‍ एस्‍ आई्‍ आर्‍ और्‍ उसके्‍ प्रयोगशालाओूं्‍ में ्‍ िल्‍ रही्‍ सभी्‍ प्रशासचनक्‍ और्‍ िकनीकी्‍
गचिचवचधयोूं्‍के्‍चलए्‍महत्वपूणा्‍है ।
Reference is drawn, particularly, to the aspects of Ethics in Governance. The
activities under general governance are several and cover appointments and periodic
evaluations, allotment of funds, training programs and deputations, placement of
staff, engagement of project staff and students, among others. Governance entails
transparency and fairness in decision making, overcoming challenges related to
subjectivity. In order to ensure that decision making process is fair and transparent,
thereby providing equal opportunity to all, aspects related to potential and perceived
Conflict of interest (CoI) is to be ascertained. The CoI statement referred in the
Guidelines thus is important for all administrative and technical activities being
pursued at CSIR, including its constituents.

3. सही्‍प्रशासन्‍की्‍भावना्‍को्‍ध्यान्‍में्‍रखिे्‍हुए्‍िथा्‍सीएसआईआर्‍के्‍प्रशासन्‍में्‍नैचिकिा्‍के्‍उच्चिम्‍
मानक्‍ को्‍ बनाए्‍ रखने ्‍ के्‍ चलए, महाचनदे शक,्‍ सीएसआईआर्‍ ने ्‍ चहिोूं्‍ के्‍ टकराव्‍ के्‍ चलए्‍ घोिणा्‍
प्रारूपोूं्‍को्‍मूं जूरी्‍दी्‍है ।्‍सक्षम्‍प्राचधकारी्‍का्‍अनु मोदन्‍इस्‍प्रकार्‍है -:्‍

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 In order to facilitate keeping up the spirit of right governance and maintaining highest
standard of Ethics in Governance across CSIR, DG CSIR has approved declaration
formats for stating one’s potential or perceived conflict of interest or otherwise. The
approval of the Competent Authority is as follows:

4. नीिे्‍उक्तल्लक्तखि्‍सूंगठनात्मक्‍गचिचवचधयोूं्‍के्‍सूंिालन्‍में्‍उभरने ्‍वाली्‍दो्‍अलग-अलग्‍क्तस्थचियोूं्‍में्‍चहिोूं्‍
का्‍टकराव्‍चभन्न्‍हो्‍सकिा्‍है :
क. जहाूं , एक्‍सदस्य, सूंभाचवि्‍चहिोूं्‍ के्‍टकराव्‍के्‍साथ, उसे्‍ आूं चशक्‍रूप्‍से्‍ या्‍पूरी्‍िरह्‍से्‍
उि्‍सचमचि्‍की्‍कायावाही्‍में ्‍भाग्‍ले ने्‍से्‍मना्‍कर्‍सकिा्‍है ; िथा
ख. वहीूं, सचमचि्‍का्‍एक्‍सदस्य्‍चजसकी्‍सचमचि्‍में ्‍चनरूं िर्‍भागीदारी्‍आवश्यक्‍है , लेचकन्‍उसकी्‍
आचधकाररक्‍कायाा त्मक्‍भू चमका्‍के्‍कारण्‍पहले ्‍उस्‍व्यक्ति्‍(व्यक्तियोूं)्‍या्‍सूंगठन्‍(ओूं)्‍या्‍
दोनोूं्‍के्‍साथ्‍व्यवहार्‍चकया्‍जा्‍सकिा्‍है , जो्‍इस्‍चविय्‍में ्‍विामान्‍प्रचिभागी्‍हैं ।्‍उि्‍सचमचि्‍
का्‍मामला्‍ऐसी्‍घटना्‍में उि्‍सचमचि्‍की्‍कायावाही्‍में ्‍उि्‍सदस्य्‍की्‍भागीदारी्‍में ्‍चहिोूं्‍के्‍
टकराव्‍की्‍कचथि्‍क्तस्थचि्‍हो्‍सकिी्‍है ।्‍उदाहरण:्‍(i) एक्‍पररयोजना्‍के्‍प्रधान्‍अन्वेिक्‍या्‍
प्रमु ख, पररयोजना्‍प्रबूंधन्‍और्‍मू ल्ाूं कन्‍समू ह, पीएिडी्‍चडग्री्‍के्‍चलए्‍पररयोजना्‍स्टाफ्‍या्‍
स्नािक्‍छात्ोूं्‍के्‍ियन्‍के्‍चलए्‍एक्‍सचमचि्‍का्‍एक्‍अचभन्न्‍अूंग्‍हैं; (ii) प्रमु ख, व्यवसाय्‍चवकास्‍
प्रौद्योचगकी्‍हस्ाूं िरण्‍या्‍चकसी्‍अन्य्‍व्यावसाचयक्‍सौदे ्‍ के्‍चनयमोूं्‍ और्‍शिों्‍का्‍आकलन्‍
करने ्‍ वाली्‍सचमचि्‍का्‍एक्‍अचभन्न्‍अूंग्‍है , और्‍चजसने ्‍ उि्‍कूंपनी/ग्राहक्‍के्‍साथ्‍पहले्‍
समान्‍क्षमिा्‍या्‍पररयोजना्‍अन्वे िक्‍के्‍रूप्‍में ्‍काया्‍चकया्‍है ।
The Conflict of Interest may vary keeping in view two distinct situations that may
emerge in conducting organizational activities that are mentioned below:
a. Wherein, a member, with potential Conflict of Interest could recuse
him/herself of participation in the proceedings of the said Committee, either
partly or completely; and
b. Wherein, a member of the Committee whose continued participation in a
Committee is essential, but owing to his/her official functional role may have
previously dealt with the person(s) or organization(s) or both, that are current
participants in the subject matter of the said Committee. In such an event,
there may be a perceived Conflict of Interest situation in the participation of
the said member in the proceedings of the said Committee. Examples: (i) the
Principal Investigator of a project or Head, Project Management & Evaluation
Group, are an integral part of a Committee for selection of project staff or
graduate students for PhD degree; (ii) Head, Business Development is an
integral part of a Committee assessing terms and conditions of technology
transfer or any other business deal, and who has dealt with the said
Company/client earlier in the same capacity or as project investigator.

5. सीएसआईआर्‍का्‍मानना्‍ है ्‍ चक्‍उपरोि्‍क्तस्थचियोूं्‍ को्‍सूंबोचधि्‍करने ्‍ के्‍चलए्‍सूंबूंचधि्‍ सचमचि्‍के्‍

सदस्योूं्‍से्‍घोिणाओूं्‍के्‍दो्‍अलग-अलग्‍प्रारूप्‍होना्‍महत्वपूणा्‍होगा।्‍आवश्यकिाओूं्‍के्‍आधार्‍पर,
सदस्य्‍इस्‍कायाा लय्‍ज्ञापन्‍के्‍अनु लग्नक्‍के्‍रूप्‍में ्‍चदए्‍गए्‍घोिणा्‍पत््‍के्‍ प्रारूप्‍1 (अनु लग्नक्‍1)
या्‍प्रारूप्‍2 (अनु बूंध्‍2) पर्‍हस्ाक्षर्‍कर्‍सकिे्‍हैं ।
CSIR observes that it would be important to have two different formats of
Declarations from the concerned Committee members to address the aforesaid
situations. Based on the requirements, the members may sign either Format 1
(Annexure 1) or Format 2 (Annexure 2) of the Declaration Form as provided as
Annexure to this Office Memorandum.

124
6. अपनी्‍भागीदारी्‍की्‍प्रकृचि्‍के्‍आधार्‍पर, सीएसआईआर्‍सचमचियोूं्‍ के्‍सदस्य्‍अपने ्‍ सीओआई्‍की्‍
घोिणा्‍यचद्‍हो,्‍िो्‍कर्‍सकिे्‍हैं्‍|्‍ मामले ्‍पर्‍उचिि्‍चविार्‍और्‍चसफाररशोूं्‍के्‍चलए,्‍सूंभाचवि्‍या्‍कचथि्‍
सीओआई्‍ वाले्‍ सदस्योूं्‍ के्‍ घोिणा्‍ प्रपत््‍ सचमचि्‍ के्‍ अध्यक्ष्‍ को्‍ और्‍ अध्यक्ष्‍ के्‍ मामले ्‍ में्‍ सक्षम्‍
प्राचधकारी, सीएसआईआर्‍ मुख्यालय/्‍ सीएसआईआर्‍ प्रयोगशालाओूं्‍ को्‍ प्रस्ु ि्‍ चकए्‍ जा्‍ सकिे्‍ हैं ।्‍
अध्यक्ष्‍या्‍सक्षम्‍प्राचधकारी्‍का्‍चनणाय्‍इन्‍मामलोूं्‍में ्‍अूंचिम्‍और्‍बाध्यकारी्‍होगा।
Depending on the nature of their participation, members of CSIR Committees may
declare their CoI, if any and the Declaration forms of members with potential or
perceived CoI may be submitted to the Chairperson of the Committee, and in case
of the Chairperson to the Competent Authority, CSIR Hqrs., or CSIR labs, for due
consideration and recommendations on the matter. The decision of the Chairperson
or Competent Authority, as the case may be, will be final and binding.

7. सीएसआईआर्‍ मु ख्यालय्‍ (सभी्‍ प्रभाग/चनदे शालय/इकाइयाूं )्‍ और्‍ सीएसआईआर्‍ प्रयोगशालाएूं ्‍ यह्‍
सुचनचिि्‍करें ्‍चक्‍सभी्‍सचमचियोूं्‍के्‍सदस्य्‍अपनी्‍उि्‍सचमचियोूं्‍की्‍गचिचवचधयोूं्‍में ्‍भाग्‍ले ने्‍से्‍पहले्‍
घोिणा्‍पत््‍पर्‍हस्ाक्षर्‍करें ।्‍इसके्‍अलावा, प्रत्येक्‍बैठक्‍के्‍चलए, सभी्‍सचमचियोूं्‍के्‍सूंयोजक्‍सदस्य,्‍
उन्‍सदस्योूं्‍के्‍नामोूं्‍की्‍सूिी्‍जो्‍उि्‍कायावाही्‍से्‍खु द्‍को्‍आूं चशक्‍या्‍पूणा्‍रूप्‍से्‍अलग्‍करने ्‍का्‍
चवकल्प्‍िुनिे्‍ हैं ,्‍उि्‍सचमचि्‍की्‍कायावाही्‍में ्‍ सूंलग्न्‍करें , चजसे्‍ सचमचि्‍के्‍अध्यक्ष्‍द्वारा्‍दे खा्‍और्‍
समथा न्‍चकया्‍जायेगा्‍(अनुलग्नक्‍3 दे खें)।
CSIR Hqrs (all Divisions/Directorates/Units) and CSIR laboratories may ensure that
all members of all Committees sign the Declaration Form prior to taking part in the
activities of their said Committees. Further, for every meeting, the conveners of all
Committees may put together a list of members who opt to recuse themselves in part
or full, from the said proceedings or are required to continue in the proceedings, which
will be seen and endorsed by the Chairperson of the said Committee (see Annexure
3).

8. सीएसआईआर्‍ मु ख्यालय/सीएसआईआर्‍ प्रयोगशालाएूं ्‍ चहिोूं्‍ के्‍ टकराव्‍ की्‍ घोिणा्‍ के्‍ बयानोूं्‍ को्‍
गोपनीय/वगीकृि्‍दस्ावेज्‍की्‍िरह्‍सुरचक्षि्‍रखें गी्‍|्‍सीएसआईआर्‍मु ख्यालय्‍और्‍सीएसआईआर्‍
प्रयोगशालाओूं्‍ के्‍ सूंबूंचधि्‍ प्रभाग/्‍ चनदे शालय/्‍ इकाइ्‍ इन्‍ प्रपत्ोूं्‍ की्‍ हस्ाक्षररि्‍ प्रचियाूं ्‍ सूंबूंचधि्‍
सचमचियोूं्‍की्‍कायावाही्‍के्‍साथ्‍फाइल्‍करें गी्‍िथा्‍सुरचक्षि्‍रखें गी्‍|
The CSIR Hqrs/CSIR laboratories shall maintain the Conflict of Interest declaration
statements in a manner as confidential/classified documents are treated. The signed
copies of these forms will be filed along with proceedings of the respective
Committees and will be the maintained by respective Divisions/Directorates/Units of
CSIR Hqrs and CSIR laboratories.
Sd/-
(िाजेंद्र प्रसाद नसंह)
मुख्य वै ज्ञानिक औि प्रमुख, आईएमडी

प्रनतनलनप Copy to:

1. सभी्‍सदस्योूं्‍को;्‍To all Members of SEC;

2. चनजी्‍ सचिव, महाचनदे शक, सीएसआईआर;्‍ सूंयुि्‍ सचिव्‍ (प्रशासन), सीएसआईआर,्‍ चवत्तीय्‍
सलाहकार, सीएसआईआर; PS to DG, CSIR; JS (Admn), CSIR; FA, CSIR;
3. सीएसआईआर्‍है डक्वाटा र-्‍सभी्‍चवभागोूं्‍के्‍प्रमु ख; HODs of CSIR Headquarters;
4. सभी्‍ सीएसआईआर्‍ प्रयोगशालाओूं/सूंस्थानोूं्‍ के्‍ चनदे शक; Director of all CSIR
Laboratories/Institutes;

125
5. प्रशासन्‍ चनयूंत्क/प्रशासचनक्‍ अचधकारी, सीएसआईआर्‍ प्रयोगशालाएूं ;्‍ COA/AO of CSIR
Laboratories;
6. केंद्रीय्‍सिकािा्‍अचधकारी, सीएसआईआर;्‍CVO, CSIR;
7. चवचध्‍सलाहकार, सीएसआईआर; LA, CSIR;्‍
8. कायाा लय्‍ज्ञापन्‍अपलोड्‍करने ्‍ के्‍चलए्‍आईटी्‍प्रभाग;्‍ IT Division for uploading the OM on
CSIR website;
9. कायाा लय्‍प्रचि; Office Copy
****

126
 अिु लग्नक 1

नहतों के टकिाव पि घोषणा प्रपत्र (प्रारूप १)

मैं ्‍एिद्द्वारा्‍प्रमाचणि्‍और्‍विन्‍दे िा/दे िी्‍हूं ्‍चक्‍मेरे्‍चकसी्‍भी्‍ररश्ते दार, छात्, सहयोगी, समू ह्‍के्‍सदस्य्‍या्‍
सूंस्थागि्‍सदस्य, या्‍ग्राहक, पूवा्‍या्‍विामान, पर्‍चनणाय्‍ले ने्‍के्‍चलए्‍प्रस्ाचवि्‍बैठक्‍में ्‍चविार्‍नहीूं्‍चकया्‍जा्‍
रहा्‍है ।

इसके्‍अलावा, मैं ्‍प्रमाचणि्‍करिा/करिी्‍हूं ्‍चक्‍मैं ्‍और्‍मे रे्‍पररवार्‍के्‍सदस्य, सहकमी, या्‍व्यक्तिगि्‍प्रकृचि्‍

के्‍सूंबूंधोूं्‍में ्‍अन्य्‍लोग्‍पररयोजना, प्रौद्योचगकी्‍हस्ाूं िरण, लाइसेंस, अनु सूंधान, खरीद, या्‍चकसी्‍अन्य्‍मामले्‍
में ्‍शाचमल्‍नहीूं्‍हैं ्‍(कृपया्‍चनचदा ष्ट्‍करें ्‍………………्‍....), चजनमें ्‍से्‍मैं ्‍सचमचि्‍का्‍सदस्य्‍हूं ।

यचद्‍बैठक्‍के्‍दौरान्‍चहिोूं्‍ का्‍टकराव्‍उत्पन्न्‍होिा्‍है , िो्‍मैं ्‍ सचमचि्‍के्‍अध्यक्ष*्‍को्‍िुरूंि्‍सूचिि्‍करने ्‍ और्‍

बैठक्‍से्‍आूं चशक्‍या्‍पूणा्‍रूप्‍से्‍खु द्‍को्‍अलग्‍करने ्‍का्‍विन्‍दे िा/्‍दे िी्‍हूं ।्‍इसे्‍बैठक्‍की्‍कायावाही/चमनटोूं्‍
में ्‍दजा ्‍चकया्‍जाएगा।

*अध्यक्ष्‍के्‍मामले ्‍में , यह्‍सक्षम्‍प्राचधकारी्‍होगा

हस्ाक्षर

नाम:

पद:

सूंस्थागि्‍सूंबद्िा:

चदनाूं क:

स्थान :

127
 Annexure I

Declaration Form on Conflict of Interest (Format 1)

I hereby certify and undertake that none of my relatives, students, collaborators, group
members or institutional members, or client, former or current, is/are being considered in the
proposed meeting for decision making.

Further, I certify that neither / nor my family members, colleagues, or others in relationships
of personal nature are involved in the project, technology transfer, license, research,
purchase, or any other matter (Please specify……………………….), of which I am a member
of the Committee.

If a conflict of interest arises during the meeting, I commit to immediately notify the
Committee's Chairperson* and recuse myself, either in part or full, from the meeting. The
same shall be recorded in the proceedings/minutes of the meeting.

*In case of Chairperson, it would be the Competent Authority

Signature
Name:

Designation:

Institutional Affiliation:

Date:

Place:

128
 अिु लग्नक – 2

नहतों के टकिाव पि घोषणा प्रपत्र (प्रारूप २)

मैं ्‍एिद्द्वारा्‍यह्‍घोिणा्‍करिा/करिी्‍्‍हूं ्‍चक्‍मे रे्‍ररश्ते दारोूं, छात्ोूं, सहयोचगयोूं, समू ह्‍के्‍सदस्योूं्‍या्‍सूंस्थागि्‍

सदस्योूं, या्‍ग्राहक, पूवा्‍या्‍विामान, पर्‍चनणाय्‍लेने्‍के्‍चलए्‍प्रस्ाचवि्‍बैठक्‍में ्‍चविार्‍चकया्‍जा्‍रहा्‍है ।

और/या

मैं ्‍ एिद्द्वारा्‍यह्‍घोिणा्‍करिा/करिी्‍हूं ्‍ चक्‍मैं ्‍ और/या्‍मे रे्‍पररवार्‍के्‍सदस्य, सहकमी, या्‍अन्य, पूवा्‍ या्‍

विामान, व्यक्तिगि्‍ प्रकृचि्‍ के्‍ सूंबूंधोूं्‍ में ्‍ पररयोजना, प्रौद्योचगकी्‍ हस्ाूं िरण, लाइसेंस, अनु सूंधान, खरीद, या्‍
चकसी्‍अन्य्‍मामले ्‍में ्‍शाचमल्‍हैं ्‍(कृपया्‍चनचदा ष्ट्‍करें ्‍……्‍………………….), चजनमें ्‍से्‍मैं ्‍सचमचि्‍का्‍सदस्य्‍हूं ।

मैं ्‍एिद्द्वारा्‍यह्‍घोिणा्‍करिा/करिी्‍हूं ्‍चक्‍............्‍के्‍रूप्‍में ्‍मे री्‍कायाा त्मक्‍भू चमका्‍के्‍कारण, सचमचि्‍की्‍

कायावाही्‍में ्‍मे री्‍चनरूं िर्‍भागीदारी्‍आवश्यक्‍है ।

हालाूं चक, उपरोि्‍सूंभाचवि/कचथि्‍चहिोूं्‍के्‍टकराव्‍की्‍क्तस्थचि्‍के्‍उचिि्‍सूंज्ञान्‍में , मैं ्‍विन्‍दे िा/दे िी्‍्‍हूं ्‍और्‍

प्रमाचणि्‍करिा/करिी्‍्‍हूं ्‍चक्‍मैं ्‍कायावाही्‍में ्‍नैचिक्‍रूप्‍से्‍काया्‍करने ्‍के्‍चलए्‍प्रचिबद््‍हूं्‍और्‍यह्‍सुचनचिि्‍
करिा/करिी्‍हूं ्‍चक्‍मैं ्‍ऐसी्‍क्तस्थचि्‍में ्‍अपनी्‍राय्‍सुरचक्षि्‍रखूूं गा/रखूूं गी्‍और/या्‍मे री्‍राय्‍के्‍कारण्‍सचमचि्‍के्‍
चनणाय्‍में ्‍कोई्‍बदलाव्‍नहीूं्‍होगा।्‍

मैं ्‍इस्‍घोिणा्‍के्‍माध्यम्‍से्‍उि्‍मामले ्‍पर्‍सचमचि्‍के्‍अध्यक्ष*्‍को्‍सूचिि्‍करने ्‍के्‍चलए्‍भी्‍प्रचिबद््‍हूं ।्‍इसे्‍

बैठक्‍की्‍कायावाही/चमनटोूं्‍में्‍दजा ्‍चकया्‍जाएगा।

ऐसी्‍क्तस्थचि्‍में, मैं ्‍ सचमचि्‍की्‍कायावाही्‍में ्‍ मेरी्‍चनरूं िर्‍भागीदारी्‍पर्‍अध्यक्ष्‍के्‍चनणाय्‍का्‍पालन्‍करू ूं गा/्‍

करू ूं गी, िाचक्‍ यह्‍ सुचनचिि्‍ चकया्‍ जा्‍ सके्‍ चक्‍ सूंदभा ्‍ के्‍ चविय्‍ पर्‍ सचमचि्‍ के्‍ चनणाय, चबना्‍ चकसी्‍ व्यक्ति्‍
(व्यक्तियोूं)्‍चवशेि्‍या्‍सूंगठन(ओूं)्‍के्‍चलए्‍पूवाा ग्रह्‍या्‍अन्यथा्‍के्‍चलए्‍नहीूं,्‍बक्ति्‍्‍पूरी्‍िरह्‍से्‍योग्यिा्‍आधाररि्‍
और्‍पारदशी्‍होूंगे्‍|

*अध्यक्ष्‍के्‍मामले ्‍में , यह्‍सक्षम्‍प्राचधकारी्‍होगा

हस्ाक्षर

नाम:

पद:

सूंस्थागि्‍सूंबद्िा:

चदनाूं क:

स्थान :

129
 Annexure-2

Declaration Form on Conflict of Interest (Format 2)

I hereby state that my relatives, students, collaborators, group members or institutional

members, or client, former or current, is/are being considered in the proposed meeting for
decision making.

And/Or

I hereby state that I and/or my family members, colleagues, or others, former or current, in
relationships of personal nature are involved in the project, technology transfer, license,
research, purchase, or any other matter (Please specify……………………….), of which I am
a member of the Committee.

I hereby state that owing to my functional role as …., my continued participation in the
proceedings of the Committee is required.

However, in due cognizance of the aforesaid potential/perceived conflict of interest situation,

I undertake and certify that I commit to act ethically in the proceedings and ensure that I shall
reserve my opinion in such a situation and/or that my opinion would not alter the decision of
the Committee.

I also commit to notify the Committee's Chairperson* on the aforesaid matter through this
Declaration. The same shall be recorded in the proceedings/minutes of the meeting.

In such an event, I shall abide by the decision of the Chairperson on my continued

participation in the proceedings of the Committee, so as to ensure that the Committee
decisions on the subject matter of reference will be solely merit-based and transparent, with
no room for bias or otherwise to any particular individual(s) or organization(s).

*In case of Chairperson, it would be the Competent Authority.

Signature:

Name:

Designation:

Institutional Affiliation:

Date:

Place:

130
 अिु लग्नक-3

नहतों के टकिाव सम्बं नधत वक्तव्य --- सनमनत की कायगवाही से अलि नकए िए सदस्ों की सूिी, या
संभानवत/कनथत नहतों के टकिाव से संकेनतत

(अिु संधाि औि शासि में िै नतकता के नलए सीएसआईआि नदशानिदे शों से अिुकूनलत)

इस्‍चविय्‍पर्‍सचमचि्‍के्‍चनम्नचलक्तखि्‍सदस्य:्‍………….्‍...(ओएम्‍सूंख्या्‍और्‍िारीख्‍का्‍सूंदभा ्‍दें )्‍ने ्‍सचमचि्‍को्‍

सौूंपे्‍गए्‍उत्तरदाचयत्व्‍के्‍मामलोूं्‍पर्‍सूंभाचवि/कचथि्‍चहिोूं्‍के्‍टकराव्‍के्‍मु द्दोूं्‍का्‍सूंकेि्‍चदया्‍है , और

(i) खु द्‍को्‍आूं चशक्‍या्‍पूणा्‍रूप्‍से्‍कायावाही्‍से्‍अलग्‍कर्‍चलया्‍है ;

और/या

(ii) नै चिक्‍रूप्‍से्‍काया्‍करने ्‍के्‍चलए्‍हस्ाक्षररि्‍घोिणा्‍के्‍साथ्‍सचमचि्‍की्‍कायावाही्‍का्‍चहस्सा्‍बने ्‍रहें गे

सं. िाम, पदिाम औि की हस्ताक्षि नटप्पणी (अथागत, आं नशक रूप से अलि

संस्थाित संबद्धता सदस् होिा, पू िी तिह से अलि होिा, कनथत
सीओआई िे िोट नकया औि भाि लेिे की
अिु मनत दी, आनद)

1.

2.

*अध्यक्ष्‍के्‍मामले ्‍में , यह्‍सक्षम्‍प्राचधकारी्‍होगा

(सनमनत के अध्यक्ष के हस्ताक्षि)

िाम:

पद:

संस्थाित संबद्धता:

नदिांक:

स्थाि:

131
 Annexure 3

Conflict of Interest Statement – List of Members recused from the Committee

proceedings, or indicated with potential/perceived conflict of interest

(Adapted from the CSIR Guidelines for Ethics in Research and in Governance)

The following members of the Committee on the subject: …………. (provide reference of
the OM no and date) have indicated to have potential/perceived conflict of interest issues
on the matters of responsibility assigned to the Committee, and
(i) have recused themselves in part or full from the proceedings;

And/Or

(ii) will continue to be part of the Committee proceedings, with a signed declaration to
act ethically

S. Name, Designation and Signature Remarks

No. Institutional Affiliation of the (viz., recused partly,
Member * recused fully, perceived CoI
noted and permitted to
participate, etc.)
1.

2.

So
on…
*In case of Chairperson, it would be the Competent Authority

(Signature of Chairman of the Committee)

Name:
Designation:
Institutional Affiliation:
Date:
Place:

132
 ENCLOSURE-8

FORMAT FOR PROJECT COMPLETION REPORT

(For FBR/NCP/FIRST/FTT/FTC/MMP/HCP)

1. Title of the Project:

2. Category of the Project: FBR/NCP/FIRST/FTT/FTC/MMP/HCP (Tick any one)

3. Total approved cost of the project (Rs. in lakh):

4. Actual completion cost of the project (Rs. in lakh):

5. Nodal Laboratory:

6. Participating Laboratories:

7. Project Number:

8. Name of the Mission Director/Nodal Director:

9. Name of the Project Leader / Mission Coordinator (in case of MMP):

10. Name of the Principal Investigator (Provide for each Work Package in case of MMP):

11. Name of Team Members with designation (for each Work Package in case of MMP):

12. Date of commencement:

13. Planned date of completion:

14. Actual date of completion:

15. Duration of the project (Planned and actual):

16. Title of the Work Packages / Verticals (in case of MMP):

17. Objectives of the project (Provide w.r.t. each Work Package / Vertical in case of
MMP):

133
18. Revised Objectives of the project, if any (with the approval of the competent authority)

19. Objectives not achieved along with justification for non-achievement:

20. Periodic review at Lab level (Director level/Task Force Level/RC/Lab Strategic
Group):

S.No. Date of review Key Observations/Recommendations / Action taken

Inputs offered

(Copies of minutes may be placed at Annexure)

21. Periodic review at CSIR Hqrs level (Monitoring Committee/ External Review
Committee):

S.No. Date of review Key Observations/Recommendations / Action taken

Inputs offered

(Copies of minutes may be placed at Annexure)

22. Significant Achievements

A. Output (against the targeted deliverables):

Proposed Achieved

B. Outcome (against the targeted deliverables):

Proposed Achieved

134
23. Detailed analysis of results indicating contributions made towards fulfilling identified
gaps in knowledge and/or technology/ technology development and research
outputs:

24. Major applications:

25. S&T benefits accrued:

(i) Technology leads identified (for each lead provide separate documents as
Annexure, if required)

(ii) Technologies/ processes developed with details and good-quality

photographs

(iii) Technologies/ processes licensed with details

SNo. Technology/ Date of Firm/Agency Licensing Royalty

Process licensing/transfer Name Fee details,
Name earned if any

(iv) No of patents filed /granted/ licensed (Separately for India/ Abroad)

(v) Total Number of Research Publications and Cumulative Impact Factor
(vi) List of Research Publications
No. Author/s Title of Name of Vol Page Year IF
Paper Journal

(vii) No. of Ph.D. produced

(viii) No. of students trained
(ix) Entrepreneurship Created
(x) Contribution to Skill Development
(xi) Additional Jobs created (for societal projects only) (Give details in Nos.)
(xii) Additional Income Generated (for societal projects only) (Give details in Rs.)

26. Details of new facilities created

27. Details of external collaboration/ knowledge networking (national and international

separately) established

28. Expected outcome (in coming 2-3 years) resulting from implementation of the project

29. Contribution towards Import substitution

30. Road map to utilize Human Resources and Infrastructure assets created

135
31. Reasons for delay/failure, if any, and steps envisaged for further programme

32. Future road map for implementation /deployment of the project outputs /activities
(Include details of funding models, stakeholder’s participation, timelines etc.)

Name & Signature Name & Signature

(PI) (Head, PME)

Signature
Director

Note:

(i) Provide a duly vetted and signed financial statement (by Director, PI and F&AO of
the concerned Lab) indicating year-wise and total allocation and expenditure. In
the case of multi-laboratory projects, the Director, PI and F&AO of the nodal lab may
provide the duly vetted and signed financial statement.
(ii) The PCR should be submitted with the approval of competent authority (Director)
and must have signature of the concerned nodal PI on each page of PCR.

136
 FORMAT FOR PROJECT COMPLETION REPORT
(For Facility Creation Project)

1. Title of the Project

2. Nodal Lab

3. Date of commencement (Date of CSIR HQ OM communicating approval of the project)

4. Total approved cost of the project (Rs. In Crore) (Please provide head wise details of
Cost)

5. Total completion cost of the project (Rs in Crore) (Please provide head wise dentals of
Cost)

6. Financial statement of approved/ allocated funds and expenditure (year wise & total)

(Please enclose copy of financial statement duly signed by Director, Head PME, CoFA,
and Pl)

7. Lab Director

8. Principal Investigator (Pl) & Co·PI

9. Participating Laboratories, If any

10. Project duration as per DPR

11. Actual date of Completion

12. Objectives as stated in the project proposal/DPR

13. Achievements against the objectives (Please enclose photograph of the Facility)

14. Periodic review carried out on the project

(Please enclose copies of minutes of all project reviews carried out at different levels
(Task Force Level, Research Council, Lab Strategic Group, SEEMC-FCP of CSIR HQ)
(Photographs and videos of the facilities during different stages of completion must be
enclosed)

S.No. Date on which Task force/ Research Salient observations/ decisions

Council/ Lab Strategic Group/ SEEMC-
FCP of CSIR HQ meeting held

(Copy of minutes may be enclosed)

137
15. Road map for utilization of the facility post implementation of the project

16. Real time Web link for maintaining the user's list with date and time

Name & Signature Name & Signature

(PI) (Head, PME)

The above Facility Creation Project has been successfully implemented and has met the
objectives of this project. The project completion report has also been placed in the
Research Council Meeting held on {date} and the Research Council has noted and
approved the same. The minutes of the Research Council Meeting held on (date) is
enclosed with this document.

Signature
Director

138
 FORMAT FOR PROJECT COMPLETION REPORT
(For IST Projects)

Name of the Program (under which Project was executed):

Category of the Program (Unilateral / Bilateral / Multilateral):

Name(s) of the CSIR Lab(s) :

Name(s) of the Foreign Partner Institution(s) (with country):

Title of the project :

Unique Project Code :

Objectives :

Revised Objectives, if any :

Objectives not achieved along with justification for non-achievement:

Total approved cost of the project (Rs. in lakh):

Actual completion cost of the project (Rs. in lakh):

Planned Project Duration : Date of Start Date of Completion

Actual Project Duration : Date of Start Date of Completion

Project PIs : Indian Foreign

(Indian & Foreign with full address, phone and email)

Project Co-PIs : Indian Foreign

139
(Indian & Foreign with full address, phone and email)

Indian/Foreign industry partner (if any): Indian Foreign

Financial inputs from Indian & : Indian Funding Foreign Funding

Foreign agency/industry, if any
(Indicate name of agency, amount of

Funding received in kind and in cash)

Exchange Visits Undertaken : India to Abroad Abroad to India

Periodic review (SEC Level/Director level/RC/Lab Strategic Group):

S.No. Date of Key Observations/Recommendations / Action taken

review Inputs offered

(Copies of minutes may be placed at Annexure)

Significant Achievements :

A. Output (against the targeted deliverables):

Proposed Achieved

B. Outcome (against the targeted deliverables):

Proposed Achieved

140
Detailed analysis of results indicating contributions made towards fulfilling identified
gaps in knowledge and/or technology/ technology development and research outputs:

Major applications:

S&T benefits accrued:

(i) Technology leads identified (for each lead provide separate documents as
Annexure, if required)
(ii) Technologies/ processes developed with details and good-quality
photographs
(iii) Technologies/ processes licensed with details
SNo. Technology/ Date of Firm/Agency Licensing Royalty
Process licensing/transfer Name Fee details,
Name earned if any

(iv) No of patents filed /granted/ licensed (Separately for India/ Abroad)

(v) Total Number of Research Publications and Cumulative Impact Factor
(vi) List of Research Publications
No. Author/s Title of Name of Vol Page Year IF
Paper Journal

(vii) No. of Ph.D. produced

(viii) No. of students trained
(ix) Entrepreneurship Created
(x) Contribution to Skill Development

Details of new facilities created:

Details of extended collaboration/ knowledge networking established:

Expected outcome (in coming 2-3 years) resulting from implementation of the project:
Contribution towards Import substitution:

Any other Accomplishments :

(additional jobs created/ additional income generated, etc.)

141
Road map to utilize Human Resources and Infrastructure assets created:

Reasons for delay/failure, if any, and steps envisaged for further programme:

Future roadmap for implementation /deployment of the project outputs /activities

(Include details of funding models, stakeholder’s participation, timelines etc.)

Utilization of Research Results :

Assessment of Cooperation :
Any other :

Signature of Indian PI with date

Signature of Head, PME with date Signature of Head, ISTAG with date

Signature of Director with date & seal

Note:

(i) Provide a duly vetted and signed financial statement (by Director, PI and F&AO of the
concerned Lab) indicating year-wise and total allocation and expenditure. In the case
of multi-laboratory projects, the Director, PI and F&AO of the nodal lab may provide the
duly vetted and signed financial statement.
(ii) The PCR should be submitted with the approval of competent authority (Director) and
must have signature of the concerned nodal PI on each page of PCR.

142
 ENCLOSURE-9

COUNCIL OF SCIENTIFIC & INDUSTRIAL RESEARCH

ANUSANDHAN BHAVAN, RAFI MARG, NEW DELHI-110004

No. 1(11) Acctt/2000-2001 Dated 4th September, 2000

To,

Heads of all National Laboratories / institutes.

Subject: Laboratory Reserve Fund scheme - Review

The proposal to create a Laboratory Reserve Fund (LRF) Scheme with facility to
create, utilize, retain and carry forward it for capital and revenue expenditure, to supplement
the budgetary resources, was approved by CSIR Governing Body (GB) in 1992. The scheme
had the concurrence of CAG of India, Subsequently, some more receipts were allowed to be
credited to LRF. These subsequent changes were ratified by the CSIR GB in its 147 th
meeting held on 9.12.1999. In this meeting, the Governing Body, CSIR also approved setting
up of Headquarter Reserve Fund (HRF) re-designating the existing title of the ‘Laboratory
Reserve Fund Scheme’ to ‘Laboratory and Headquarters Reserve Fund Scheme which was
notified vide O.M. of even No. dated 17th May, 2000.

In the meantime Audit had issued a draft review on the generation and utilization of
the Laboratory Reserve Fund.

Taking cognizance of the draft audit review, the Director-General, CSIR appointed a
high level committee to study the LRF in its entirety and to suggest the system of checks and
balances further needed to ensure its utilization in the intended direction. The Committee
submitted its Report, which was accepted by the Director General and also placed before
the Governing Body in its 148th meeting held on 2nd June, 2000.

Accordingly, the procedure for generation and utilization of ‘Laboratory/Headquarter

Reserve Fund’ will henceforth be as mentioned below:

1. Title of the Scheme

________________________________________________________________________
‘The title of the scheme will be “Laboratory & Headquarter Reserve Fund” (LHRF) in place
of “Laboratory Reserve Fund” (LRF).

143
2. Generation of LHRF

2.1. The following receipts will continue to be credited to LHRF:

a) Royalty & Premia (from licensing of IPR)

b) Consultancy Fee
c) Sponsored Project fee
d) Overhead Charges
e) Non refundable balance of closed project /job work.
f) Job work charges
g) Testing and analytical charges
h) Computer charges
i) Other Technical Services
j) Use of Lab. infrastructure for sponsored/consultancy & other projects
k) Interest on investments of Laboratory reserve
l) Interest on investment of sponsored/consultancy project funds
m) Net earnings from Major facilities
i. Pilot Plant - Excess of receipt over expenditure
ii. C-MMACS - Excess of receipt over expenditure
iii. NTAF - Excess of receipt over expenditure

NB: The following receipts, however, will not be included in LHRF:

(a) Amount of Interest earned on investment of sponsored/consultancy/Grant-in-aid

projects fund adjustable and/or refundable to the funding agency.
(b) Distributable portion of Royalty & Premia.
(c) Distributable portion of Consultancy/Contract R&D and intellectual fees from
Technical Services.

Headquarters Reserve will include the following components in addition to the receipts
vide para’2.1 above:-

i. 1% of annual foreign business earnings generated by all laboratories.

ii. 1% of annual intellectual property and technology licensing fees received by all
laboratories.
iii. 1% of laboratory reserve generated during the previous year by the laboratories,
assisted by the HQ. to move on the path of self-sufficiency (at present HP & ICT).
iv. 1% of laboratory reserve generated by laboratories, assisted by the HQs. to acquire
ISO 9000 (at present NML& CMERI)

3. Budgeting of LHRF

a) Each laboratory shall at the lime of formulation of its annual budgetary requirements
(Estimates) indicate the following in respect of LHRF:

 Balance at the beginning of the financial year.

 Anticipated generation during the financial year.
 Proposed utilisation under each budget sub-head.

b) The proposal made at the Budget Estimate stage should be reviewed and proposed
utilization revised, if necessary, at the Revised Estimate stage.

144
 b) CSIR would include the estimated utilisation of LHRF alongwith other internal
receipts, when projecting budgetary requirement. to Ministry of Finance.

c) LHRF will continue to remain with the laboratory that generates it.

4. Utilisation of LHRF

4.1. Utilisation of LHRF is permitted for all revenue and capital expenditure as for budgetary
grant, The broad sub-heads are as follows:

 Revenue Heads

(a) Pay & Allowances

(b) Traveling Allowances
(c) Contingencies
(d) Maintenance
(e) Chemicals & consumables

 Capital Heads

(a) Land
(b) Works
(c) Services
(d) Apparatus & Equipment
(e) Office Equipment
(f) Furniture
(g) Computer Equipment
(h) Library Books
(i) Vehicles & Transport
(j) Warkshop Machinery
(k) Models & Exhibits
(l) Tools & Plants

4.2 Expenditure on the following items is also permitted in addition to the heads
mentioned in para 4.1.

 Re-payment of World Bank Loan and service charges

 Interest earned & claimed by funding agency {reference item no (L) of para 2.1}.
 Liabilities and damages arising out of contract R&D, consultancy, technical services
or IPR licensing
 Payment of share of intellectual fees/honorarium (only in respect of past cases where
credit was. afforded to LRF)
 Transfer to Headquarter Reserve Fund
 Human Resource Development
 Computerisation and information systems
 Modernisation of equipment
 Construction & Maintenance of Scientists Apartments/Staff Quarters.

4.3 The expenditure on activities/items/purposes indicated below will not be permissible

from LHRF: -

 Financial assistance to any NGO and/or private body.

 Gifts & mementos
 Celebration of non-S&T events/days.

145
  Mobile phone bills (as per standing instructions)
 OTA/Honorarium/Night duly Allowance other than for R&D work
 Foreign Travel except for business development
 LTC & Transfer TA
 Advertisement except when related lo R&D and business development
 Staff/Welfare Club activities
 Hotel/Guest house charges except for S&T and businesses development.
5. Norms & Procedure:
(a) All norms procedures, rules, regulations and instructions applicable for incurring
expenditure from Govt. Grant will equally apply to expenditure from LHRF and should
be strictly followed
(b) Each Laboratory & CSIR Headquarters should endeavors to utilize a substantial part
of the LHRF generated in the previous year to supplement the budgetary resources.
Normally the LHRF utilization in a year should not be less than one third of the amount
generated in the previous year.
(c) In order to facilitate proper planning and efficient cash management temporary
booking of expenditure on all permissible activities and purposes may be allowed
from LHRF subject to adjustment on receipt ‘of budget allocation,
(d) Director in the National Laboratory & Director General in CSIR Headquarters will
have the power to sanction expenditure from LHRF within the delegated powers.
6. Accounting procedure
Accounting Procedure as per CSIR’s IMPACT Manual will continue to operate with following
modifications under receipt heads: -

C-Code Heads of Receipts

RO7104 a) Royalty 8 Premia ((rom licensing of IPR}
RO7102 b) Consultancy Fee
RO7103 c) Sponsored Project fee
RO7104 d) Overhead Charges
RO7105 e) Non-refundable balance of closed project job work
ROT108 f) Job work charges
RO7107 g) Testing and analytical charges
RO7108 h) Computer charges
RO7109 i) Other Technical Services
RO7110 j) Use of Lab, infrastructure for sponsored/ consultancy projects
RO7114 k) Interest on investments of Laboratory reserve
ROT112 l) Interest on investment of sponsored/consultancy and other project
funds
RO7113 m) Net earnings from Major facilities
RO711301 i. Pilot Plant - Excess of receipt over expenditure
RO711302 ii. C-MMACS - Excess of receipt over expenditure
RO711303 iii. NTAF - Excess of receipt over expenditure
-------------------------
Sub Total
--------------------------
RO7144 n) Transfer from LRF to Headquarters Reserve
RO711401 i. 1% of annual foreign business earnings generated by laboratory
RO711402 ii. 1% of annual intellectual property and technology licensing lees
received by laboratory
RO7 11403 iii. 1% of laboratory reserve generated during the previous year
(presently by IICT. NML, IIP & CMERI)

146
While remitting the CSIR‘s share of reserve, the Laboratory will debit by minus credit to
concerned C_Code from RO711401 to RO711403 using Cash Code P99106. While
forwarding the cheque/ demand draft, the Laboratory will Indicate C_Code(s) under which
the amount has been debited so that CSIR Headquarters may afford credit to the same
C_Code{s). In the consolidated CSIR account, prepared after merging the accounts of all
laboratories & CSIR Hqrs. no figure should appear under these heads. The transfer will be
effected from the financial year 2000-04 based on the generation of LRF in 1999-2000.

Sd/-
(Pravin Tripathi)
Financial Adviser

1. Sr. FAO/FAO of all National Laboratories

2. At HQs for:
(a) Joint Secy. (Admn.) CSIR
(b) Head, RPBD/STKD/ISTAD/HRDG/IPMD/ computer Div. /USC/USD
(c) All PTCs
(d) Dy. FA (Finance & Report), CSIR
(e) Sr. FAO (Audit) CSIR
(f) Sr. FAO (Budget) CSIR
(g) FAO (Cash), CSIR
(h) FAO (Accounts) CSIR
(i) Shri A. Wahid, Head, IMPACT Software Team

147
 ENCLOSURE–9a

COUNCIL OF SCIENTIFIC AND INDUSTRIAL RESEARCH

Anusandhan Bhawan, 2, Rafi Marg, New Delhi-110001

No.13/64/2004-RDPD October 01, 2004

OFFICE MEMORANDUM

Sub: Enhancing the percentage of charges from Laboratory Reserve Fund w.e.f.
2003-2004 for building Hqtrs. Reserve Fund.

The Headquarter Reserve Fund had been established with the approval of the Governing
Body comprising inter-alia the following components:

i. 1% of foreign business earnings generated by all laboratories;

ii. 1% of Intellectual Property and Technology Licensing Fees received by all
laboratories;
iii. 1% of net earnings (Lab. Reserve) of the three laboratories (then) assisted to
move on the path of self sufficiency (IIP, IICT and CGCRI);
iv. 1% of surplus generated by Labs (then) assisted to acquire ISO 9000 & GLP
Certification.

A need has been felt that the Headquarter Reserve Fund thus generated is not sufficient to
cope with the Increasing demand of resources at CSIR Headquarter.

In order to enhance the Hqtrs. Reserve Fund, to meet shortfall to a limited extent on various
desired activities, a proposal was placed before the Governing Body to enhance the
percentage of charges towards Hqtrs. Reserve Fund from existing 1% of some specified
components of LRF to 5% for whole amount on LRF generated by the laboratory during the
year.
The Governing Body of CSIR, in its 162nd meeting, held on 26th July 2004, has accorded
approval to:
"Enhancing the percentage of charges from existing 1% for some specified components to
5% for whole amount of LRF generated by the lab. towards HRF to be effective from the year
2003-04"
The necessary amendment in the existing accounting guidelines will be issued separately by
Finance Division, CSIR
Sd/-
(O.P. Agarwal)
Head - RDPD
To
Air Directors of the Labs/Institutes
FA, CSIR
JS (Admn), CSIR
DS & PPS to DG, CSIR
Committee Section
Office Copy

148
 ENCLOSURE-9b

वै ज्ञानिक तथा औद्योनिक अिु संधाि परिषद

Council of Scientific and Industrial Research
अिु संधाि परियोजिा योजिा एवं व्यवसाय नवकास निदे शालय
Research Project Planning & Business Development Directorate
2, िफी मािग , िई नदल्ली-110001
2, Rafi Marg, New Delhi-110001

No.13/54/LRF/2018-RPPBDD December 18, 2019

Office Memorandum
Sub: Amendment to guidelines issued vide earlier OM with regard to utilization of
LRF/ LHRF
Ref. Laboratory Reserve Fund Scheme vide OM No 1 (11)/Accounts/ 2000-2001; dated.
4th September 2000 and OM No. 13/54/2004-RDPD; dated October, 1, 2004
1. The Governing Body of CSIR in its 191 meeting held on April 26, 2019 recommended
additional activities for support under Lab Reserve Fund/ Laboratory & Headquarter
Reserve Fund (LRF/ LHRF). The inclusion of additional activities was vetted by the
Ministry of Finance vide letter No. 9(7)/E.Coord-2016 dated July 17, 2019.
2. A Committee was constituted by DG, CSIR vide OM of even number dates August
21, 2019 to develop Guidelines/ SOPs for utilization of LRF/ LHRF.
3. The Committee proposed the amendments to earlier Guidelines (Para#4.1, 4.2 &
4.3) for additional activities approved for utilization of LRF/ LHRF by CSIR
Laboratories as below:
a) Additional activities included for support under LRF/ LHRF

S.No. Name of Activities

i. Demonstration or deployment of a CSIR technology/ product in project
mode

ii. Construction of building to support R&D activities

iii. Preparation of specialized reports through professional Consulting

Organization/ Agencies

iv. Training of Scientists and Technical officers in India and abroad

v. Scientist and Technical officers for attending International Conferences,

Seminar, etc.
vi. Manpower charges in project mode
vii. Hiring of Scientists! Technologists in outsourcing mode for addressing the
gaps in translational research, technology marketing and deployment

149
b) Guidelines & Procedure:
i. Use of LRF/ LHRF funds will be as per applicable existing guidelines of Govt. of
India (GoI) and CSIR for that purpose, such as those for procurement of
equipment, consumables, manpower, consultancy, works & services;
ii. To ensure compliance with annual expenditure limits on the additional activities
and their purposes, monitoring mechanism at CSIR HQ will be through a
Committee consisting of Head RPPBDD, Head MD, Head ISTAD, FA
CSIR/nominee, chaired by DG CSIR/nominee. The committee will also
determine competitive funds release from HRF, monitor outputs from such
funds, and maintain overall tracking of expenditure subject to annual limits via
a dedicated portal;
iii) LRF utilization for activities indicated in para#3 a) will be determined at the lab
level and reported to the monitoring portal for compliance. Where annual
expenditure limits are in place for CSIR, a lab-level budget ceiling is fixed at
either 2%, 3% or 4% of the total limit based on Group IV strength of less than
100, 100-200, and more than 200. For expenditure beyond this limit,
laboratories would seek permission from the committee, which would be
granted based on reasonability/benefit of proposal and the availability of funds
within the cap;
iv) Authorization mechanisms from CSIR HQ would be applicable for lab
expenditure beyond the ceiling from LRF (para#3 b,iii), or from HLRF/CIF,
DG/CSIR would be the competent authority. Laboratory Directors would be
delegated decision-making power for use of LR up to the ceiling limits provided,
subject to consolidated quarterly reporting and case by case uploading to
portal;
v) Carryover to the subsequent year may be permitted at CSIR level, but not lab
level, for any unutilized amount subject to caps;
vi) Delegation of power will be as per applicable guidelines. Relevant CSIR/GoI
guidelines will be followed as in para#3 b.i;
vii) The time span of 3-6 months for bridging period between the projects for
manpower charges should be strictly adhered to. All the expenditure on
manpower charges during bridging period should be in project mode only;
viii) Guidelines issued by International S&T Affairs Directorate to be followed for
foreign visits;
ix) All expenditures to be incurred as per CSIR Financial Rules;
x) Permitted Budget heads for expenditure under the aforesaid activities will be
as per guidelines issued vide above referred OMs.
Sd/-
(Sandeep Kumar Tiwari)
Sr. Principal Scientist
1. All laboratories for: 2. At HQs, for:
a) Directors a) JS(Admn.)
b) COA/AO b) FA, CSIR
c) Sr. F&AO c) Head, RPPBDD/
d) Secretary RC & MC MD/ISTAD/IPD/OSD/IT/HRDG/HRDC
d) DS to DG, CSIR

150
 ENCLOSURE-9c

COUNCIL OF SCIENTIFIC AND INDUSTRIAL RESEARCH

Anusandhan Bhavan, Rafi Marg , New Delhi - 110001

Dated: 17th January, 2020

From
Office of Head, ISTAD
No.22/ISTAD/MISC/2018

To
The Directors of all National Laboratories/Institutes of CSIR
Subject: - Foreign visits from LRF/LHRF -req.

Sir/Madam,

I am directed to invite your kind attention to Para 3(a)(iv) and Para 3(a)(v) of CSIR OM No.
13/54/LRF/2018-RPPBDD dated 18th December, 2019 (copy enclosed) and to inform that all
foreign visits where expenditure is proposed to be met from LRF/LHRF may be processed
under the existing CSIR Foreign Deputation Guidelines, 1996 and as per ceiling laid down
under Para 3(b)(iii) of the aforesaid OM dated 18/12/2019.
The information related to LRF/LHRF may be obtained in the enclosed proforma for
consideration by the relevant Peer Review Committee (PRC) and the approving authority.
Further, information on LRF shall also be provided in the enclosed proforma by the concerned
CSIR lab for all such proposals forwarded to CSIR Hqrs. for consideration and approval.
The enclosed proforma is an additional document to the existing standard proforma(s),
where foreign visits are proposed from LRF/LHRF.

Encl. As above
Yours faithfully
Sd/-
(Bhawna Guglani)
Under Secretary
Copy to:-
1. DS to DG, CSIR
2. Office of JS (A), CSIR
3. PA to FA, CSIR.
4. PA to CVO, CSIR
5. PA to LA, CSIR
6. Heads of all the Divisions of CSIR-Hqrs/Complex/ESD/RAB/HRDG/ IPMD/HRDC/Science
Centre/URDIP
7. Head, IT with the request to upload on CSIR website.
8. Office copy.

151
 Proforma for Meeting Expenditure on Foreign Visits from LRF/LHRF
under Para 3(a)(iv) and Para 3(a)(v) of CSIR OM No. 13/54/LRF/2018-RPPBDD dated
18/12/2019

Name of the CSIR Laboratory/Institute: Name of Officer Visiting Abroad:

Country to be visited:
Duration of Visit:
Purpose of Visit:
Financial Year:

LRF/LHRF Details
S.No. Strength of Funds Expenditure to Balance of Budget Are
Gr. IV staff available be incurred funds ceiling of proposed
under from under the lab expenses
LRF/LHRF LRF/LHRF for LRF/LHRF (2% or within
(A) the above visit (A+B) 3% or annual
(B) 4%) expenditure
limits of the
lab

Signature and Stamp of COFA/Dy.FA/FAO

Approval of Director of CSIR Laboratory/ DG, CSIR for meeting expenses for above foreign visit
from LRF/LHRF.

Signature and Stamp of Director of CSIR Laboratory/ DG, CSIR

152
 ENCLOSURE-10

PROJECT PROPOSAL FORMAT

For CSIR-FIRST Project

1. Title of the project

2. Abstract (max 300 words)

3. Introduction (max 1000 words)

4. Global Scenario (max 400 words):

5. Hypothesis/Questions addressed (100 words):

6. Objectives/aims (bullet points):

7. Research Design & Methodology for each objective with time line:

8. Strength and weaknesses of the study:

9. Uniqueness and Significance and Anticipated outcomes:

10. Any societal impact:

11. Budget (in lakhs) with justification:

1st 2nd
Total
Heads Financial Year Financial Year

A. [A] Capital

Apparatus & Equipment

Total [A]

B. [B] Recurring

T.A.-India

Chemicals, Consumables

ORE and Tech HR

Maintenance

Contingency

Total [B]

Grand Total [A+B]

153
 PROJECT PROPOSAL FORMAT

For NCP & FBR Projects

PART-A: EXECUTIVE SUMMARY

Full Title of Proposal

(With Acronym)
Category of Project

Theme
(With Subtheme)
Nodal Laboratory

Participating Laboratory(ies)

Contact Details
 Principal Investigator (PI)
 Co-PI
Total Cost (Rs in crores)

Project Duration (in months)

Defining the Problem (100 words max):

Abstract of Project (300 words max.)

Key words (6 max.):

Current TRL Targeted TRL:

Outcomes Envisaged (150 words max.)

154
PART-B: PROPOSAL DETAILS

1. Scientific and Technical Summary

1.1. Concept, Relevance and Objectives

1.1.1. Concept:
1.1.2. Scientific Relevance (Why the project needs to be done):
1.1.2.1 The Problem Addressed:
1.1.2.2 Current general science/technology level:
1.1.2.3 Advantage of the proposed work:
1.1.2.4 Science/Technology Gap (White space):
1.1.2.5 Value Addition proposed:

1.1.3 Objectives (What the project envisages to achieve)

1.1.4 Novelty of the proposed project work

1.2 Envisaged Delivery (in brief, 100 words max.):

1.2.2 Scientific Knowledge Creation

1.2.3 Technology Development

1.2.4 Process/Product Development

1.3 Competitive Landscape and Benchmarking

1.3.2 International State of Art (including competition

1.3.3 National State of Art (including competition):

1.3.4 IPR Mapping: The technologies, processes and products generated are
novel and IP will be protected through filing suitable applications.

1.3.5 Existing Knowledge Gaps and Scope of Innovation

1.4 Project strategy:

2. Detailed Work Plan Proposed

2.1 Verticals and Work Packages List

Vertical Work package Lead Participant Participants

155
2.2 Vertical/Work Package Details:

Vertical
Work package

Participant (s)
Objectives:

Description of work

Deliverables

2.3 Milestone Details

Milestone summary (quarterly):

Expected date of
Milestone no. WPs involved Mode of validation
completion

2.4 Anticipated Potential (max 300 words) – Market, Societal, Global S&T
positioning, etc.

Resources needed

2.4.1 Capital Resources:

2.4.2 Manpower Resources:
2.4.3 Financial Resources:
2.4.3.1 Total Proposed Outlay (Rs in Crore):
2.4.3.2 Summary of Financial Requirement:

156
 TOTAL Financial Year 1 Financial Year 2

Project Leader PME Head COFA Director

2.4.3.3 Itemized budget justification

A: Capital (each sub-head)
Apparatus & Equipment

Sl. No Description of the item Cost (In Lakhs)

1.
2.
3.
4.
5.
6.
7.
8.

157
 9.
10.
11.
Total

B: Recurring (each sub-head)

3. Project Delivery

3.1 Anticipated success rate (max 100 words):

3.1.1 Project Outputs

3.1.2 Project Outcome

3.1.3 Impact Envisaged: Direct benefit to Society/Nation

Description of specific impact
Socio-Economic Impact

a. Industry Impact

b. Societal Impact

c. Strategic Sector Impact

d. Environmental Impact

e. Others (please specify)

3.2 Follow-up Envisaged

3.3 Any other Information

PART-C: SMART card of the program

Title

Goal(s)

Reason this goal is important

158
Concept Description

Specific
Exactly what is it you want to achieve?
A good goal statement explains the what,
why, how and who.

Measurable
You must be able to track progress and
measure the result of your goal. A good
goal statement answers the question, how
much or how many. How will I know when
I have achieved my goal?
Agreed
Your goal must be relevant to your
stakeholders and agreed with them.
Examples of people to agree your goal
with are your collaborator, clinician and/or
technology deployment partner.
Realistic
Your goal should be stretching, but
realistic and relevant to CSIR/India. Make
sure the actions you need to take to
achieve your goal are things within your
control. Is your goal achievable?
Time-Bound
Goals must have a deadline. A good goal
statement will answer the question, when
will I achieve my goal? It's a good idea to
set some short-term milestones along the
way to help you measure progress.

159
 PROJECT PROPOSAL FORMAT

CSIR Fast-Track Translation (FTT) Project

1. Theme

2. Title of the Project

3. Keywords (10; should indicate sector, specific problem, type, industry/user,

product etc.)

4. Nodal Laboratory

5. Participating Laboratory (ies)

6. Contact Details (Name, Email and Mobile Number)

 Principal Investigator (PI)

 Co-PI

7. Total Project Cost (Rs. in lakhs)

 Capital
 Recurring
8. Project Duration (In months)
9. Technology Readiness Level
 Current
 Targeted
10. Stage I – Ideation Information
10.1. Context and Background
Please provide the following information in this section
10.1.1. Brief Summary (1 Paragraph)
10.1.2. State of the Art Review (Not more than 5-Year-Old References)
10.1.3. Development Positioning (Novel/ Incremental development/ ready to
use)
10.1.4. Identification of Deliverable(s) (Product/ Process/ Technology/S&T
Service/ S&T intervention)
10.1.5. Target Sector: (Industry/ Society/ Services/ others)

10.1.6. Project Type: (Gap filling/ Critical/ Enabling/ Disruptive)

10.1.7. Project Objectives

160
 10.2. Proposal Analysis
Please provide the following information in this section
10.2.1. Existing Gaps and Cost to Benefit Analysis
10.2.2. Impact Analysis
Description of specific impact

Socio-Economic Impact

Industry Impact

Improvement in Quality of Life

Environment Conservation

Others (please specify)

11. Stage II – Scoping Information

11.1. Proposal Analysis
Please provide the following information in this section
11.1.1. IP study - Existing IP Landscape and Scope for potential IP
11.1.2. Existing Commercial Solutions - National and international – USPs,
technical gaps with justifications for the proposed technology

11.2. Project Proposal

Please provide the following information in this section
11.2.1. Detailing the idea with Broad Technical Specification
11.2.2. Time frame and overall budget required
11.2.3. Preliminary Results (if any)
11.2.4. Project details in brief

Topic Description

The Problem to be
addressed

The proposed approach

Process/ Product At the initiation of the project:

specifications
At the completion of the project:

Technology Readiness At the initiation of the project:

Level (TRL)
At the completion of the project:

161
 Delivery Steps proposed:

Commercialization/
Outreach of the Project

11.3. Risk Analysis

Please provide the following information in this section
11.3.1. SWOT analysis
11.3.2. Potential Risks and Impediments – Pre-mortem
11.3.3. Regulatory/ legal/ ethical approval required

12. Stage III - Building Business Case and Plan

12.1. Executive summary
 What is the need?
 What is being proposed?
 How it will be done/ achieved?
 What are the envisaged deliverables including enhancement of Technology
Readiness Level (in bullets)?

13. Stage IV- Development

The Proposed Work Plan: Project components, Work plan and Timeframe:
(Modularizing the projects into sub-stages of 6 months each)

Work Plan Sub Stage I Sub Stage II Sub Stage III Sub Stage IV
1-6 7-12 13-18 19-24 (months)
(months) (months) (months)

Sub-Stage KPI Milestone/ SMART Goal

I
II
III
IV

162
 14. Potential risks and Mitigation in the development phase
S.No Phase of Impact on Mitigation
Risks/Impediments Identified
the project the project
Provide an exhaustive list of
potential risks for increasing the
success probability of the project.
1 This may include legal/any other
issues to be addressed and also
potential risks as identified in the
preliminary study.

15. Stage V –
15.1. Testing/Validation plan for the proposed technology

S.No Action Item Approximate Timeline Comments

1. T0 + ___ weeks/months
(T0-Date of completion of technology
development)

15.2. Regulatory/legal/ethical approval required for development/ testing/

commercialization
S.No Approval Required Project Approving Requirements
Phase body for obtaining
approval
1. Obtaining regulatory approval,
certification such as EMI/EMC (for
electronic), FSSAI (for food
products), BIS, CDSCO (for
pharmaceutical drugs), PESO (for
flammable, explosive or high-
pressure materials to be stored),
etc.

16. Itemized Budget –

1st 2nd
Heads Total
Financial Year Financial Year

C. [A] Capital

Work & Services

163
 Apparatus & Equipment

Total [A]

D. [B] Recurring

T.A.-India

Chemicals, Consumables

ORE and Tech HR

Maintenance

Contingency

Total [B]

Grand Total [A+B]

A. Itemized Justification of Budget (Cumulative)

A: Capital:
B: Recurring
17. Stage VI – Commercialization/ Business Plan
17.1. Deployment Plan:
a. Public partner:
b. Industry partner:
c. Socio-economic organizations:
d. Target population:
e. Any other:
17.2. Follow Up envisaged (Scale-up)

****************************

164
 PROJECT PROPOSAL FORMAT

CSIR Fast-Track Commercialization (FTC) Project

1. Theme

2. Identified Product / Prototype/ Technology for FTC

3. Title of the Project

4. Keywords (10; should indicate sector, specific problem, type, industry/user,

product etc.)

5. Nodal Laboratory

6. Participating Laboratory (ies)

7. Contact Details (Name, Email and Mobile Number)

 Principal Investigator (PI)

 Co-PI

8. Total Project Cost (Rs. in lakhs)

 Capital
 Recurring

9. Project Duration (In months)

10. Technology Readiness Level
 Current
 Targeted

11. Stage I – Ideation Information

11.1. Context and Background
Please provide the following information in this section
11.1.1. Brief Summary (1 Paragraph)
11.1.2. State of the Art Review (Not more than 5-Year-Old References)
11.1.3. Development Positioning (Ready for deployment / Needs Fine-
tuning/Validation/Field Trials)

11.1.4. Identification of Deliverable(s) (Product/ Process/ Technology/S&T

Service/ S&T intervention)
11.1.5. Target Sector (Critical/ Enabling/ To Meet Demand)

165
 11.1.6. Project Objectives

11.2. Proposal Analysis

Please provide the following information in this section
11.2.1. The problem analysis - Problem in Perspective
11.2.1.1. Current level of the development of Identified Product / Prototype
/ Technology
11.2.1.2. Advantage of the proposed FTC
11.2.1.3. Technology/S&T Gap/Demand-Supply Gap
11.2.1.4. Affordability/Price Competitiveness
11.2.1.5. Value Addition
11.2.2. Existing Gaps and Cost to Benefit Analysis - Techno-economic Analysis
of the Product / Technology with Internal Rate of Returns and Break-
even time
11.2.3. Impact Analysis

Nature of Impact Description of specific impact

Socio-Economic Impact

Industry Impact

Improvement in Quality of
Life

Environment Conservation

Others (please specify)

11.2.4. Global / National Mission & NITI Aayog Directives

11.2.5. Level & Type of Association with Stakeholder/ Industry

12. Stage II – Scoping Information

12.1. Proposal Analysis – Deeper
Please provide the following information in this section
12.1.1. IP study - Existing IP Landscape and Scope for Potential IP
12.1.2. Existing Commercial Solutions - National and international – USPs,
technical gaps with justifications for the proposed technology
12.1.3. Interaction with the identified industries for finalizing broad
specifications

166
 12.2. Project Proposal
Please provide the following information in this section
12.2.1. Detailing the idea with Broad Technical Specification
12.2.2. Project Deliverable
12.2.3. Time frame and overall budget required
12.2.4. Preliminary Results (if any)
12.2.5. Project details in brief

Topic Description

The proposed approach

Technology Readiness At the initiation of the project:

Level (TRL)
At the completion of the project:
Starting Point (Current Status)
Delivery Steps proposed:
Step 1:
Step 2:
Target Point (Final Status)
Product/ Technology/ Services
Commercialization/
Outreach of the Project Technology Transfer
Commercialization
Startup / Spinoff
Deployment Level
Outreach

12.3. Risk Analysis

Please provide the following information in this section
12.3.1. SWOT analysis
12.3.2. Potential Risks and Impediments – Pre mortem
12.3.3. Regulatory/ legal/ ethical approval required

13. Stage III – Building Business Case and Plan

13.1. Executive summary
 What is the need?
 What is being proposed?
 How it will be done/ achieved?

167
  What are the envisaged deliverables including enhancement of Technology
Readiness Level (in bullets)?

13.2. Third-party Market Survey Business Plan and Report

13.3. The Proposed Work Plan: Project components, Work plan and
Timeframe: (Modularizing the projects into sub-stages of 6 months
each)

Sub Stage I Sub Stage II

Work Plan
1-6 7-12
(months) (months)

Sub-Stage KPI Milestone/ SMART Goal

II

13.4. Potential risks and Mitigation in the development phase

Phase of Impact on
S.No Risks/Impediments Identified the project Mitigation
the project

Provide exhaustive list of potential

risks for increasing the success
probability of the project. This may
1. include legal/any other issues to be
addressed and also potential risks
as identified in the preliminary
study.

14. Stage V –

14.1. Testing/Validation plan for the proposed technology

S.No Action Item Approximate Timeline Comments

T0 + ___ weeks/months
1.
(T0-Date of completion of technology
development)

168
 14.2. Regulatory/legal/ethical approval required for development/ testing/
commercialization
S.No Approval Required Project Approving Requirements for
Phase body obtaining
approval
1. Obtaining regulatory approval,
certification such as EMI/EMC
(for electronic), FSSAI (for food
products), BIS, CDSCO (for
pharmaceutical drugs), PESO
(for flammable, explosive or
high-pressure materials to be
stored), etc.

15. Itemized Budget –

1st 2nd Total

Heads
Financial Year Financial Year

E. [A] Capital

Work & Services

Apparatus & Equipment

Total [A]

F. [B] Recurring

T.A.-India

Chemicals, Consumables

ORE and Tech HR

Maintenance

Contingency

Total [B]

Grand Total [A+B]

A. Itemized Justification of Budget (Cumulative)

A: Capital:
B: Recurring

169
16. Stage VI - Delivery and Deployment/Commercialization Plan

16.1. Project Delivery Plan

16.2. Deployment Plan

16.2.1. Public partner
16.2.2. Private partner
16.2.3. Socio-economic organizations
16.2.4. Target population
16.2.5. Any other

170
 ENCLOSURE-11

Coding of Projects:

From FY 2024-25 onwards, Projects approved by the competent authority under

various categories will be given Project Codes as per the description given below:

SNo. Project type Project Code

Category Theme Tranche Project

No.

1. CSIR-Fundamental and FIR

Innovative Research in
Science of Tomorrow (CSIR-
FIRST) Projects

2. Focused Basic Research FBR

(FBR) Projects

3. Niche Creating High Science/ NCP

High Technology Projects AA BB
(NCP)

4. Fast Track Translational (FTT) FTT

Projects

5. Fast Track Commercialization FTC

CC
(FTC) Projects

6. Mission Mode Project (MMP) MMP

7. Facility Creation Projects FCP

(FCP)

8. HQ Coordinated Projects HCP

(HCP)*
DD YY
9. CSIR-New Millennium Indian NMI
Technology Leadership
Initiative (CSIR-NMITLI)

10. International Science & ISTAD

Technology Projects (IST)

*Jigyasa & Skill Development exempted - For Example: HCP002501 & HCP002502

171
 Theme Codes

SNo. Theme Name Code, AA

1 Aerospace, Electronics, Instrumentation and Strategic Sector

01
(AEISS)

2 Agricultural, Nutrition and Biotechnology (ANB) 02

3 Chemicals (including leather) and Petrochemicals (CLP) 03

4 Civil Infrastructure and Engineering (CIE) 04

5 Ecology, Environment and Sustainability (EES) 05

6 Energy (Conventional and Non-conventional) and Energy

06
Devices (EED)

7 Healthcare (HTC) 07

8 Mining, Minerals, Metals and Materials (4M) 08

9 Earth, Oceanography and Water (EOW) 09

Directorate Codes

SNo. Directorate Code, DD

1 Central Planning Directorate (CPD) 51

2 Innovation Management Directorate (IMD) 52
3 Technology Management Directorate (TMD) 53
Science Communication and Dissemination Directorate
4 54
(SCDD)
5 International S&T Affairs Directorate (ISTAD) 55

Tranche / Cycle Code: BB (Numeric): Presently 05 in case of FTT/FTC Projects

Project Number: CC (Numeric): 01 to 99

Year: YY (Numeric): Presently 25

For Example – FTT040511/HCP532501

172
 ENCLOSURE-12

केंद्रीय योजिा निदे शालय

वैज्ञानिक तथा औद्योनिक अिुसंधाि परिषद
अिुसंधाि भवि, 2, िफी मािग , िई नदल्ली -110001

No. 33/M/Guidelines/2020-21-CPD March 08, 2021

कायागलय ज्ञापि

Sub: SOP/ Guidelines for selection, implementation and monitoring of project

proposals submitted FY 2021-22 (15th Financial Commission) onwards for
consideration for implementation and funding (Facility Creation Projects (FCP) and
project proposals submitted by CSIR-Units) — Reg.
Ref: 0M No. 331/M/Guidelines/2020-CPD dated June, 2020.

1. Competent authority has accorded approval to the following:

I. SOP/Guideline for selection, implementation and monitoring of Facility Creation

Project (FCP) proposal submitted for consideration for implementation and
funding to CSIR FY 2021-22 onwards (Annexure A); and

II. SOP/Guideline for selection, implementation and monitoring of project proposals

submitted by CSIR-Units for consideration for implementation and funding to
CSIR FY 2021-22 onwards (Annexure B)
2. The instructions issued time to time for financial and expenditure management would be
applicable to these projects also.

-Sd-
(Dr. Abhishek Kumar)
Scientist

Copy to:
1. Directors of all CSIR labs
2. Heads of all CSIR Units/ Directorates/ Divisions/ Sections
3. US to DG, CSIR
4. PS to FA, CSIR
5. PS to JS, CSIR
6. CSIR website through Head, IT
7. Office Copy

173
 ANNEXURE A

SOP/Guidelines for selection, implementation and monitoring of Facility Creation

Projects (FCP) submitted for consideration for implementation and funding to
CSIR FY 2021-22 onwards

I. The Facility Creation Project (FCP) proposal should be discussed and approved in
the Research Council (RC) of laboratories and/or Advisory Committee (AC) of the
CSIR-Unit to be submitted to CSIR for implementation and funding consideration;

II. Screening Cum Expert committees will be formulated at CSIR HQ by CPD to

examine, evaluate, shortlist, grade and recommend the proposals for funding by
CSIR. The committee will also recommend the quantum of funding and tenure of
implementation for considered project proposals;

III. The recommended project/s (with the approval of the Competent Authorities) will be
implemented as Major Lab Projects (MLP) and accordingly NILP number and
respective 0M will be issued by the implementing laboratory/ unit.

IV. The implementation of the recommended FCP will be monitored through Task Force
(TF) specifically constituted for each approved projects separately. The Director/
Head of the nodal/implementing laboratory/ unit will be the Chairperson and Nodal
PI of the nodal/implementing laboratory/ unit will be the convener of the TF. The TF
will have following composition:
a) Chairperson;
b) External experts on the subject area/s as member (minimum 3);
c) CSIR expert on the subject area/s as member (minimum I);
d) COFA/F&AO (Finance) of the nodal/ implementing laboratory/unit as member;
e) HOD, CPD, CSIR HQ or his nominee as permanent invitee; and
f) Nodal PI of the nodal/ implementing laboratory/ unit as the member convener.

V. The Terms of References (TOR) of the Task Force (TF) will be following:
a) Ensure the implementation of the project in a time bound and cost bound
manner;
b) Periodically monitor and review the progress of the project including
progressive expenditure vis-à-vis deliverables/output;
c) Ensure submission of half yearly performance report to CPD, CSIR HQ by 15th
September and 15th April of every year; and
d) Any other activities assigned by DG, CSIR to the TF from time to time.
The tenure of the Task Force will be co-terminus with the project.

VI. The Monitoring Methodology (MM) will be as follow:

a) Task Force (TF) shall periodically meet to review the progress of the project.
Though the periodicity of the meeting is left to the discretion of Chairperson,
but it shall not less than 2 times a year (once in six months);

174
b) TF shall monitor the micro details of project in terms of outputs, activities,
yearly/ half yearly targets, quantifiable deliverables, costs etc. PERT and bar
chart is required to be prepared in this regards for controlling the various
activities of the project. TF may evolve suitable and monitor able parameters
to effectively review the progress of the project. Further, TF may assess and
advise the mid- course changes/corrections in the project to achieve the
desired objectives;
c) Examining the periodic progress of project in terms of outputs, activities, yearly/
half yearly targets, quantifiable deliverables, costs etc., the TF may
recommend the foreclosure of the project in deplorable progress situation; and
d) The proceedings of the TF meeting shall be recorded and maintained by the
member convener and communicated to the CPD, CSIR HQ for information
and record.

175
 ANNEXURE B

SOP/Guidelines for selection, implementation and monitoring of Project

Proposals submitted by CSIR-Units for consideration for implementation and
funding to CSIR FY 2021-22 onwards

I. The projects proposals should be discussed and approved in the Advisory

Committee (AC) of the CSIR-Unit to be submitted to CSIR for implementation and
funding consideration;
II. Screening Cum Expert committees will be formulated at CSIR HQ by CPD to
examine, evaluate, shortlist, grade and recommend the proposals for funding by
CSIR. The committee will also recommend the quantum of funding and tenure of
implementation for considered project proposals;
III. The recommended project/s (with the approval of the Competent Authorities) will be
implemented as Major Lab Projects (MLP) and accordingly MLP number and
respective 0M will be issued by the implementing unit.
IV. The implementation of the recommended project proposals will be monitored through
Task Force (TF) specifically constituted for each approved projects separately. The
Head of the nodal/implementing unit will be the Chairperson and Nodal PI of the
nodal/implementing unit will be the convener of the TF. The TF will have following
composition:

a Chairperson;
b External experts on the subject area/s as member (minimum 3);
c CSIR expert on the subject area/s as member (minimum l);
d COFA/F&AO (Finance) of the nodal/ implementing unit as member;
e HOD, CPD, CSIR HQ or his nominee as permanent invitee; and
f Nodal PI of the nodal/ implementing unit as the member convener.
V. The Terms of References (TOR) of the Task Force (TF) will be following:
a Ensure the implementation of the project in a time bound and cost bound
manner;
b Periodically monitor and review the progress of the project including
progressive expenditure vis-à-vis deliverables/output;
c Ensure submission of half yearly performance report to CPD, CSIR HQ by 15th
September and 15th April of every year; and
d Any other activities assigned by DG, CSIR to the TF from time to time.
The tenure of the Task Force will be co-terminus with the project.
VI. The Monitoring Methodology (MM) will be as follow:
a) Task Force (TF) shall periodically meet to review the progress of the project.
Though the periodicity of the meeting is left to the discretion of Chairperson,
but it shall not less than 2 times a year (once in six months);
b) TF shall monitor the micro details of project in terms of outputs, activities,
yearly/ half yearly targets, quantifiable deliverables, costs etc. PERT and bar
chart is required to be prepared in this regards for controlling the various
activities of the project. TF may evolve suitable and monitor able parameters

176
 to effectively review the progress of the project. Further, TF may assess and
advise the mid-course changes/corrections in the project to achieve the desired
objectives;
c) Examining the periodic progress of project in terms of outputs, activities, yearly/
half yearly targets, quantifiable deliverables, costs etc., the TF may
recommend the foreclosure of the project in deplorable progress situation; and
d) The proceedings of the TF meeting shall be recorded and maintained by the
member convener and communicated to the CPD, CSIR HQ for information
and record.

177
 ENCLOSURE-13

वैज्ञानिक औि औद्योनिक अिुसंधाि परिषद (सीएसआईआि)

Council of Scientific & Industrial Research (CSIR)
केंद्रीय योजिा निदे शालय/ Central Planning Directorate
अिुसन्धाि भवि, िफी मािग, िई नदल्ली-110001
Anusandhan Bhawan, 2, Rafi Marg, New Delhi – 110001

No.33/M/Guidelines/2024-25-CPD 22nd October, 2024

OFFICE MEMORANDUM/ कायागलय ज्ञापि

Sub: SOP/Guidelines for selection, implementation and monitoring of Facility Creation

Projects 2.0 (FCP 2.0) under CSIR Special Projects Scheme (CSPS-2024)-reg.

Ref: 1) CSIR OM No.33/M/Guidelines/2020-21-CPD dated 8th March,2021.

2) CSIR OM No.6/10/Reorient CSIR/2021/2 dated 9th October,2024.
1. The Competent Authority has accorded approval to the following:
I. The SOP/Guidelines for selection, implementation and monitoring of Facility Creation
Projects 2.0 under CSIR Special Projects Scheme (CSPS-2024) (Enclosed).

II. The SOP/Guidelines for selection, implementation and monitoring of Facility Creation
Projects issued vide CSIR OM No.33/M/Guidelines/2020-21-CPD dated March
08,2021 will continue to be applicable for Facility Creation Projects initiated from FY
2021-22 and before FY 2024-25.

2. The instructions issued time to time for financial and expenditure management would be
applicable to these projects also.

-Sd-
(राजेश पारप्यानी)
इूं जीचनयर 'डी

प्रचिचलचप :
1. Directors of all CSIR labs
2. Heads of all CSIR Directorates/Divisions/Sections
3. Sr.PPS to DG, CSIR
4. PS to FA, CSIR
5. PS to JS, CSIR
6. CSIR website through Head, IT
7. Office Copy

178
SOP/Guidelines for selection, implementation and monitoring of Facility Creation
Projects 2.0 (FCP 2.0) under CSIR Special Projects Scheme (CSPS-2024)

I. The Facility Creation Project 2.0 (FCP 2.0) proposal should be discussed and
approved in the Research Council (RC) of laboratories to be submitted to CSIR for
implementation and funding consideration;

II. Screening Cum Expert committees will be formulated at CSIR HQ by concern

directorate to examine, evaluate, shortlist, grade and recommend the proposals for
funding by CSIR. The committee will also recommend the quantum of funding for
considered project proposals;

III. The project/s (approved by the Competent Authority) will be implemented by the
implementing laboratory. The OM for the approved project/s will be issued by the
concerned or the coordinating directorate in CSIR HQs. The implementing
laboratory will also issue project OM and information of the same shall be provided
to CSIR HQ, Lab PME and lab Finance.

IV. The implementation of the recommended FCP will be monitored at CSIR Lab level
through Task Force (TF) specifically constituted for each approved projects
separately and by External Monitoring Committee at CSIR HQ level. The Mission
Director/ Nodal Lab Director will be the Chairperson and Head PME of the Nodal
lab will be the convener of the TF. The TF will have following composition (as per
OM No.6/10/Reorient CSIR/2021/2 dated 9 October,2024):

a) Mission Director/Nodal Lab Director – Chairperson

b) Participating Labs’ Directors, if any
c) PIs & Co-PIs of the Project/VVPs in the Mission mode projects
d) CSIR HQ Project Coordinator
e) Head, PME of the Nodal lab (convenor)

VI. The Terms of References (TOR) of the Task Force (TF) will be following:
a) Ensure the implementation of the project in a time bound and cost bound
manner;
b) Periodically monitor and review the progress of the project including progressive
expenditure vis-à-vis deliverables/output;
c) Ensure submission of quarterly progress in the format enclosed at Annexure I to
the concerned directorate in CSIR HQ every year; and
d) Any other activities assigned by DG, CSIR to the TF from time to time.
The tenure of the Task Force will be co-terminus with the project.

VII. The Monitoring Methodology (MM) will be as follow:

1) Task Force (TF) shall meet once in every quarter to review the progress of the
project;
2) TF shall monitor the micro details of project in terms of outputs, activities,
yearly/ half yearly targets, quantifiable deliverables, costs etc. PERT and bar
chart is required to be prepared in this regards for controlling the various
activities of the project. TF may evolve suitable and monitor able parameters to

179
 effectively review the progress of the project. Further, TF may assess and
advise the mid- course changes/corrections in the project to achieve the desired
objectives;

3) Examining the periodic progress of project in terms of outputs, activities, yearly/

half yearly targets, quantifiable deliverables, costs etc., the TF may recommend
the foreclosure of the project in deplorable progress situation; and
4) The proceedings of the TF meeting shall be recorded and maintained by the
member convener and communicated to CSIR HQ for information and record.
5) External Monitoring Committee at CSIR HQ will also monitor the progress of
the project twice every year.

180
 Annexure I

Facility Creation Project 2.0

Template/ Format for Reporting Progress/Status of Project by CSIR Lab to CSIR HQ/
EMC-FCP2.0
As on ______________

A. Project Details:

1. Nodal Lab
(Participating Labs/ Agencies, if any)

2. i. Project Title

ii. Project Number

iii. Project start date

iv. Scheduled date of completion

v. Extended date of completion (if

applicable)

3. Principal Investigator (PI) & Co-PI

(pl. provide email and mobile number
also)

4. Project Objective (As per DPR/Proposal)

5. Status of the Project with reference to

DPR Activity/Bar chart (As on
___________)- cumulative
i. Accomplishments in Terms of
Activities, procurement of equipments,
progress in works & services etc.
(Planned in DPR vs Actual)

ii. Shortfalls in achievement of

Milestones

iii. Whether above shortfalls reported to

Task Force & CSIR HQ External
Monitoring Committee (pl. provide a
copy of minutes)

6. Progress during the current quarter

(period-------- To --------------)

181
 7. Approved CSIR HQ support for
FCP (Capital B/H) - (Rs. in Lakhs)

8. Details of funds Allocated/

received – Year wise (Rs. in
Lakhs)

9. Funds Utilised (Rs. in Lakhs)

 Year wise details
 Funds surrendered – Year
wise (Please provide reason
for non-utilisation/surrender
of funds)

10. Time Frame extension, (if

applicable)
i. Time extension to the Project,
if given (pl. provide details with
documentary support)

ii. Justification for the extension

B. Lab level Monitoring of FCP:

1. Task Force (TF)

 Task Force constituted: Yes/No; If yes, please provide date of
constitution and details of members
 Please provide details of meetings held during the project period along
with copy of minutes
 In case of less than four Task Force Meetings held in a year, please
provide the reason.

Note: Please enclose the original bar chart of Project Time Frame (as provided in DPR/ Proposal submitted
to CSIR Hq), and add/ highlight the actual time taken by various activities mentioned therein as
against the originally planned time.

*******************

182