Applied Research Grants Policy

Applied Research Grants Policy

U.S.-Pakistan Center for Advanced Studies in Energy

Document: Applied Research Grants Policy

Cooperative Agreement No. AID-391-A-14-00004

Period Ending: September 30, 2016

Program Ending: September 4, 2019

This publication prepared was by USPCAS-E at NUST, Islamabad Pakistan for review by the United States Agency for International Development.

TABLE OF CONTENTS

Contents / Page No.
Abbreviations / 4
Preliminary / 5
Council for Research Policy / 5
Research Evaluation Committee / 6
Research Domain / 6
Call for Proposal / 7
Application / 7
Duration / 7
Eligibility and Qualification / 7
Review and Approval Procedure / 8
Pre-Award Assessment / 10
Monitoring Mechanism / 10
Agreement / 10-11
Reports / 11-12
Responsibility / 12
Utilization of Project Funds / 13
Joint Research Projects with ASU / 13-14

Abbreviations

Acronym / Definitions
Acad / Academics
ASU / Arizona State University, USA
CA / Cooperative Agreement
CAC / Corporate Advisory Council
CRP / Council for Research Policy
DD / Deputy Director
Dte / Directorate
F&G / Finance & Grants
HEC / Higher Education Commission
HoD / Head of Department
ILO / Industry Liason Officer
KPI / Key Performance Indicator
M&E / Monitoring & Evaluation
NUST / National University of Sciences and Technology
PCRET / Pakistan Council for Renewable Energy Technologies
PD / Project Director
PGP / Post Graduate Program
PI / Principal Investigator
PMO / Project Management Organizations
QA / Quality Assurance
R&D / Research & Development
RIC / Research, Innovation and Commercialization
SCME / School of Chemical & Material Engineering
SEECS / School of Electrical Engineering & Computer Sciences
SMME / School of Mechanical & Manufacturing Engineering
S&T / Science & Technology
UET / University of Engineering and Technology
USAID / United States Agency for International Development
USPCAS-E / United States and Pakistan Center for Advanced Studies in Energy

Preliminary

This document aims at laying down essential guidelines for complete lifecycle of Research projects, starting from call of proposals till its closure. HEC and NUST model will be followed as general principle/ guidelines. Project Director USPCAS-E will assume HEC role for award and monitoring of the Research Projects. The Institutions will be considered in University role for submission and execution of research projects. As a general guidelines research grants will be awarded on competitive merit for high-level and promising scientific research projects to be carried out under the umbrella of USPCAS-E. The purpose of these grants is to promote scientific research in areas relevant to national needs.

Council for Research Policy (CRP)

PURPOSE

The Council for Research Policy is to provide the structure to enable the research at the Center of Advanced Studies in Energy at NUST, involving existing stakeholders specifically to formulate applied research agenda, parameters and standards for high quality, advanced research ideas, facilitate strategic discussions, promote R&D in the energy sector formulating science and technology based conducive policies to overcome Energy related challenges in Pakistan and develop the sector competence in analyzing competing technologies from the technical, economic and environmental standpoint and recommend policies that are consistent with the E3 (Energy, Environment and Economics) criterion.

The council will also work for regulation, award, and monitoring in respect of Applied Research Projects funded or non-funded by USAID.

Council Members

  1. Pro Rector Academics (Chairman)
  2. Director QA (Member)
  3. Director RIC (Member)
  4. Director CAC (Member)
  5. USAID Energy Office Representative (Member)
  6. USPCAS-E, UET Peshawar Representative, PD (Member)
  7. USPCAS-E, ASU Representative PD, (Member)
  8. Principal, SCME Dean/ Principal (Member)
  9. Principal, SEECS Dean/ Principal (Member)
  10. Principal, SMME Dean/ Principal (Member)
  11. Dean/ Principal, USPCAS-E (Member)
  12. HoD(s), USPCAS-E (Member)
  13. Project Director (Member)
  14. Deputy Project Director (Coordinator/ Secretary)

Research Evaluation Committee (REc)

PURPOSE

The Research Evaluation Committee (REC) will work under Council for Research Policy to support USPCAS-E and CRP on handling the tasks relevant to Applied Research Grants. The REC will:

  • Review the project proposals received on monthly basis
  • Shortlist projects to be sent to ASU for review
  • Evaluate the projects via presentation by PI/ Co-PI
  • Finalize the projects to be approved by CRP
  • Set KPIs and Review Guidelines of Applied Research Projects
  • Propose budgetary details to CRP

Committee Members

Research Grants Coordinator will act as a coordinator for REC. Under mentioned will be the composition of said committee:

  • Pro Rector (Academics), Chairperson
  • Principal, USPCAS-E
  • Project Director, USPCAS-E
  • Director, RIC
  • Director, QA
  • Director, CAC
  • HoD, USPCAS-E
  • 1x senior faculty member from all NUST energy relevant schools
  • Technical Advisor, USPCAS-E, ASU at NUST
  • 3-5 members from CAC, Energy Committee

Research Domain

The Research Grants Program must meet the need for high quality advanced applied research related to ongoing and anticipated challenges within the energy sector which affect the lives of Pakistanis and impede economic growth. The priority would be to fund predominantly applied nature research in all disciplines of S&T focusing Energy/ Environment as the ultimate agenda to address societal challenges and provide solutions to cater for the demands of local industry.

Call for Proposals

The projects should have the indigenous solutions/ product line for the energy challenges of Pakistan. The project’s main scope is complete commercial viability and the main focus shall base upon the dissemination and marketing of the applied research. Public Call for Research Proposals will be made throughout the year till the availability of funds; via the USPCAS-E, NUST, HEC websites, two nationwide newspapers and Social Media. All proposals shall be submitted to Scholarships and Research Grants Officer on a separate email address.

Application

Applications for the grants will be received in English on the Research Grants Application Form, available on USPCAS-E, NUST and HEC websites.

Duration

A research grant will be provided for a period of 12 months after the award of the project.The extension of period will depend on the approval of Research Evaluation Committee.

Eligibility and Qualification

The applicant (Principal Investigator, PI) should be a full time faculty member of USPACAS-E, NUST, or any other HEC recognized public and private sector university to be eligible to apply for funding. S/he should have an advanced academic degree and relevant research experience. In case PI is from outside the NUST, the Co-PI must be from the USPCAS-E or NUST. The acceptance of desired Co-PI for any project may vary upon the decision of Research Evaluation Committee. Any organization from public or private sector may also apply for these projects.

Review and Approval Procedure

The details of the Process are given below:

  • Once the projects have been received on , Research Grants Coordinator will download the projects on every 27th day of the month.
  • The projects will be screened for complete documentation and in case of any shortfall, the concerned PI/ Co-PI will be informed about completion of shortfall within 3 days.
  • The completed projects will be assigned with an ID
  • The complete projects (having no shortfall) will be forwarded to experts for initial review
  • The selected reviewed projectswill be presented to REC by their PIs/ Co-PIs
  • In parallel, the project proposals and presentations will be forwarded to REC for
  • Deciding KPIs
  • Deciding Review Guideline
  • Finalizing the research team and their remuneration
  • REC will evaluate the projects based on the prescribed criteria.
  • Projects recommended for award by REC will be shared with ASU for their Comments/Consent.
  • Recommended Projects after being received from ASU will be awarded duly confirmed by CRP
  • A provisional award letterwill be issued by USPCAS-E, after the confirmation of award.
  • After provisional letter issuance the Pre Award Assessment will be conducted
  • After Pre Award Assessment and REC’s recommendation on KPIs, guidelines and remuneration, the final agreements will be prepared and signed by concerned parties; involves, Director, USPCAS-E, PI, Co-PI, Departmental Heads of the PI’s and Co-PI’s organization and Vice Chancellors of the PI’s and Co-PI’s organization

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Following review process, the merit of the projects will be formulated by Council for Research Policy and submitted to Pro-Rector Academics for approval. After the approval, USPCAS-E Project Director will issue the Provisional award letter.

The basic structure of the Review and Approval Procedure is shown in the Flow Chart given below:


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Pre- Award Assessment

The pre-award assessment will subsequently be held after the disbursement of provisional award letters.Focal Person, F&G Manager, M&E Specialist, DD Projects will evaluate the PI and Co-PI’s organizational capacity for award of grant. The applicants are requested to kindly facilitate in the process.

Monitoring Mechanism

  • All project deliverables will be listed in Agreement with their Key Performance Indicators/Milestones divided in quarters.
  • The respective KPIs of each project will be decided by theResearch and Evaluation Committee.
  • M&E Specialist and ILO/HoD from USPCAS-E under Director USPCAS-E will review the quarterly reports and progress of projects and present it to CRP.
  • The Director USPCAS-E will set the guidelines for review of equipment to be purchased for each project. All purchases will be made as per prescribed rules of the USAID, USPCAS-E NUST where the project is located
  • The Director USPCAS-E with DD Projects, RIC will review the procurement and commissioning of equipment to be purchased for each project physically along with ILO/M&E Specialist, USPCAS-E.

Agreement

  • After the Research Grant is approved for funding, a written agreement will be signed between the USPCAS-E, the grantee (PI) and Pro Rector Academics(In case of PI from NUST)/Vice-Chancellor(In case of PI outside NUST) of his/her university.
  • The equipment, material and literature provided for the project through the Research Grants Program remains the property of the USPCAS-E after the project is completedand shall be returned back to USPCAS-E after the completion of Project.
  • The grantee must keep the Project Director USPCAS-E properly informed about any applications of the results obtained and acknowledge support from the USPCAS-E in all publications or presentations.
  • Any research result obtained under the Grants Program must be made freely available without restrictions.
  • In all publications and reports concerning the project, the support provided by the USPCAS-E will be duly acknowledged in the form of following statement “This study/report/video/other is made possible by the support of the United States Government and the American people through the United States Agency for International Development (USAID). The contents are the sole responsibility of National University of Sciences and Technology and do not necessarily reflect the views of USAID or the United States Government”. Any discovery made, patent or license obtained based on the research carried out with this grant will be in the name of the USPCAS-E, and any income accrued there from, will be shared by the USPCAS-E with the Party, according a formula to be established by the USPCAS-E. In case of patent, NUST procedures will be followed, as laid down in NUST Intellectual Property Office (IPO).
  • The USPCAS-E CRP may recommend cancellation of the project if the PI or his team violates the terms and conditions set forth by USPCAS-E or any international best practices.
  • The PI/ Co-PI’s organization will be responsible for the accounts of the project. In case the PI/ Co-PI is from USPCAS-E, the accounts will be managed by USPCAS-E Finance Office.
  • The audit of the projects will be conducted by USPCAS-E and Finance Directorate, NUST.

Reports

  • PI is required to submit a periodicprogressreport along with audited fund utilization report of the project in accordance with the instructions issued by the USPCAS-E to the Party from time to time.
  • Progress report should highlight major achievements during the reporting period and completion of targets/goals as envisaged in the Proposal for the subject duration.
  • The release of the subsequent award is tied up to submission of progress reports, achievement of KPIs and clearance by Research Evaluation Committee.
  • On completion of the project, a prescribed completion report has to be submitted to Project Director USPCAS-E.
  • The project outcomes will be evaluated by experts and assessment/comments will be presented to Research Evaluation Committee.
  • CRP after analyzing review/assessment will forward its recommendations to Rector/Pro Rector for final disposal.

Responsibility

  • USPCAS-E will regulate and monitor the research project activities.
  • Project Director and HoD research USPCAS-E will be responsible and extend full support for regulation, coordination and monitoring of all activities related to research grants award under this policy.
  • Director USPCAS-E will make periodic checks, for independent assessment of ongoing activities in regard to the research projects.
  • The project funds shall be maintained (by Finance & Grants (F&G) Manager Project Directorate USPCAS-E) in a separate account to be operated jointly by the Party and F&G Manager and all payments will be made by observing all codal formalities. The Project Director USPCAS-E will act as an alternative signatory to this account.

Utilization of Project Funds

General guide lines for funding are as under for PIs (Final adjustment as per actuals):

S. # / Items / Total Allocation
Equipment / As per requirements of the project
(Preferably 40 % of total project cost)
Consumables / As per requirements of the project
(With full justification and details of quantity required for the project)
Accessories / As per requirements of the project
(With full justification)
Remuneration to P.Is. & Co-PIs / REC may recommend remuneration depending upon project duration and extent of involvement of PIs & Co-PIs. Amount may vary up to Rs. 30,000/- and Rs. 20,000/- respectively per month
Remuneration of 2x Students/ Support Staff / Rs. 10,000/- each and Rs. 20,000/- in total per month
Stationary/Contingencies / Rs. 20,000 per project
Audit/Accounts / Rs. 30,000 (Maximum)
Other specific requirements / Depending upon the nature of the project
University Overhead / 15%-20 % of total project cost

Any deviation in this regard shall require the prior approval of the USPCAS-E (NUST Competent Authority). If there is an unspent balance after the completion of the project, the party is obligated to reimburse the same amount to USPCAS-E.

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