Format For Preparation of Research Proposal: Scheme Science and Engineering Research Council
Format For Preparation of Research Proposal: Scheme Science and Engineering Research Council
Format For Preparation of Research Proposal: Scheme Science and Engineering Research Council
SCHEME
GOVERNMENT OF INDIA
MINISTRY OF SCIENCE AND TECHNOLOGY
DEPARTMENT OF SCIENCE AND TECHNOLOGY
TECHNOLOGY BHAVAN, NEW MEHRAULI ROAD
NEW DELHI - 110 016
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INTRODUCTION
This document provides guidance for preparation and submission of project proposals for support under the Science
and Engineering Research Council (SERC) of the Department of Science and Technology (DST).
MEMBER-SECRETARY (SERC)
SERC DIVISION
MINISTRY OF SCIENCE AND TECHNOLOGY
DEPARTMENT OF SCIENCE AND TECHNOLOGY
TECHNOLOGY BHAVAN, NEW MEHRAULI ROAD
NEW DELHI - 110 016.
Grams: SCIENCTECH
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PART A: GENERAL INFORMATION AND INSTRUCTIONS
Introduction
The Science and Engineering Research Council (SERC) was established in 1974 and is an apex body through which
the Department of Science and Technology promotes R&D programmes in newly emerging and challenging areas of
science and engineering. SERC consists of eminent scientists, technologists drawn from various universities/national
laboratories and industry. This Council is assisted by Programme Advisory Committees (PACs) in various
disciplines of Science & Engineering. As a part of its Science and Engineering Research Council Programme, the
Department of Science & Technology considers time-bound research proposals for financial support. SERC
provides an integrated and cohesive approach for supporting R&D Programmes.
To promote research in newly emerging and frontier areas of science and engineering including
multidisciplinary fields.
To selectively promote the general research capability in relevant areas of science and engineering taking into
account capability of the host institutions.
To encourage young scientists to take up challenging R&D activities.
To give special encouragement to active scientists from relatively small and less endowed University
Departments and Institutions.
Chemical Science }
Earth & Atmospheric Science }
Engineering Science } Documents "Vision for R&D" in each of these disciplines are
Life Science } available on request.
Mathematical Science }
Physical Science }
This format may be used for submission of proposals by individual scientists and technologists as also for setting up
of an Unit/Centre and Core Group around outstanding scientist or group of scientists.
Proposals for setting up of National Facilities to promote research may be submitted by group of investigators within
the same Department or from several Departments within an institution or institutions within a region. Investigators
may be working in related areas or their research may be multi-disciplinary in nature. However, while submitting
proposal for setting up a National Facility, the Investigator(s) will have to provide the following additional
information as a part of the proposal:
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Who are eligible
The Scientists and Technologists who are working in the academic sector, National labs and other recognised R&D
institutions and Centres of Excellence are eligible for SERC support.
Research proposals from scientific institutions/research laboratories under various scientific departments, which are
in line with the normal research activities of these institutions may not be considered for support under SERC. Only
research proposals outside the normal activities of such institution (i.e. National R&D Programmes, Programmes in
newly emerging and front-line areas of research etc.) will be considered. Further, proposals involving purely survey-
oriented work and routine studies will not be normally considered.
Modalities
The approach to support research in carefully identified thrust areas under various disciplines will continue with the
objective of formulating coordinated thrust areas programmes by inviting the concerned Scientists to present their
proposals in related areas of the Programme Advisory Committees constituted for this purpose.
Guidelines
i) The project proposals for consideration under the SERC Scheme can be submitted anytime throughout the
year.
ii) The Investigators may submit 20 copies of the proposal printed on both the sides of A4 size paper, properly
stapled and without spiral binding along with the electronic copy of the proposal on a 1.44 MB floppy,
preferably in MS Word.
iii) The proposal should be prepared and submitted strictly according to the formats prescribed in this
document.
iv) The duration of the project should be of 3 years normally. Projects for setting up of research facilities/Units
or Core group may be of 5 years duration.
v) Please read explanatory notes and detailed instructions carefully for completing each section of the
prescribed format while preparing the proposal.
vi) Copies of the proposal and other required documents must be sent in one lot through proper channel to
Member Secretary (SERC) at the address mentioned above. If the copies of the proposal are mailed in more
than one package, the number of packages should be marked on the outside of each package.
vii) Please contact DST if the acknowledgement letter mentioning the registration number of the project is not
received within one month from the date of dispatch of the proposals.
viii) Please make sure to quote the registration number/letter number (given by the DST) and title of the
proposals in all your future communications.
ix) The information should be given under each section, even if it is Nil. No Annexure(s) should be enclosed
along with the project proposal.
1. The Principal Institution implementing the project assumes financial and other administrative responsibilities of
the project.
2. In case of multi-institutional project the Principal Investigator (PI) has to obtain formal agreement from the
collaborating institutions/scientists.
3. International travel is not normally permissible under the project.
4. The manpower recruited for the project are temporary and should be paid as per the rules of the institute and
guidelines of the Govt. of India.
5. It is the policy of DST to maximize the use of an equipment. In this light, investigator shall permit the use of
spare or ideal capacities of equipment procured under the project by bonafide users from the parent or nearby
institutes (research workers in other DST funded projects or other projects of the institute).
6. The proposals are scrutinized by experts in the field and after a peer review by PAC/Expert Committee, the
SERC takes the decision.
7. The role of the Co-PI(s) in the project should be clearly spelt out.
8. In case of retired scientists there should be a CO-PI who will be in service during the duration of the project.
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Special Guidelines:
1. Projects which involve Recombinant DNA work should be examined and certified by Institutional Bio-safety
Committee. Certificate from the committee should accompany the project proposal. Guidelines for constitution
of Institutional Bio-safety Committee and related information can be obtained from:
Dr. P K Ghosh
Adviser,
Department of Biotechnology
CGO Complex, Lodi Road,
Block No. 2, Floor-7, Room No. 12,
New Delhi - 110 003,
Telephone: 4363989, 4363012, 4360899,
Fax : 4363018, 4362884.
2. Projects which are clinically oriented or projects which involve experiments with human and/or animal material
should be examined and certified by Institutional Ethical Committee. Certificate from this Committee should
accompany the project proposal. Guidelines for constitution of Institutional Ethical Committee can be obtained
from:
3. Proposals in the area of Earth Sciences should contain the geological map of the region to be studied.
Note: Projects in areas which are of direct relevance to the programmes of the Department of Biotechnology,
Ministry of Environment & Forests, Ministry of Non-Conventional Energy Sources, Indian Council of
Medical Research, Indian Council for Agricultural Research, Department of Ocean Development etc. may be
sent directly to these Ministries/Agencies.
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DOCUMENTS/ENCLOSURES REQUIRED WITH THE PROPOSAL
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1. I/We agree to abide by the terms and conditions of the SERC research grant.
2. I/We did not submit the project proposal elsewhere for financial support.
3. I/We have explored and ensured that equipment and basic facilities (enumerated in Section 420) will actually be
available as and when required for the purpose of the projects. I/We shall not request financial support under
this project, for procurement of these items.
4. I/We undertake that spare time on permanent equipment (listed in Section 350) will be made available to other
users.
5. I/We have enclosed the following materials:
Date :
Place:
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1. Certified that the Institute welcomes participation of .. as the Principal Investigator and
as the Principal Co-Investigator for the project and that in the unforeseen event of
discontinuance by the Principal Investigator, the Principal Co-Investigator will assume the responsibility of the
fruitful completion of the project (with due information to DST).
2. Certified that the equipment and other basic facilities as enumerated in Section 420 and such other
administrative facilities as per terms and conditions of the grant, will be extended to the investigator(s)
throughout the duration of the project.
3. Institute assumes to undertake the financial and other management responsibilities of the project.
Date:
Place:
NB: In regard to the research proposals emanating from scientific institutions/laboratories under various scientific
departments, the Head of institution is required to provide a justification indicating clearly whether the research
proposal falls in line with the normal research activities of the institution or not and if not, the scientific reasons
which merit its consideration by DST.
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PART B: PRESCRIBED FORMAT
While writing names write the surname first. Give date of Birth in date, month and year format each consisting of 2
digits.
Written in telegraphic language, the summary should be a self-contained description of the research activity
including (a) research objectives (b) methodology to be adopted and (c) expected outcome of the project. This
summary may be published in the list of on-going projects and will be widely circulated amongst scientists/
scientific institutions interested in the subject. In order to facilitate the circulation, a list of potentially interested
individuals/institutions (with addresses) is required to be furnished along with the proposal.
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Section 211: Origin of the Proposal
Identify the stimuli which prompted preparations and submission of the project proposal to the DST. The source of
stimuli could be the National Five Year Plan (S&T Chapter), state-of-art-report or other reports published by the
DST, proceedings of a special workshop/seminar, announcements by DST on Thrust Area Programmes/Vision
Documents, an earlier project etc. in all such cases, give specific details so that the source is clearly identifiable. If
the project has not such origin, please state so.
A historical or general introduction to the area will not be title appropriate under this like head and should be given
under 220. For example, do not include a statement. The problem of utilisation of agricultural wastes is important
for national economy. Specifically rice bran. Japan has developed technology for edible rice bran
oil. Removable of free-fatty-acids is an important problem for making edible rice bran oil"
Instead, a straight forward definition of the problem could be "Stabilisation of fresh rice bran is necessary for
preventing rapid rise of free fatty acids. As oils with high FFA are difficult to refine, the problem of stabilisation of
rice bran through chemical mode using sodium metabisulphide is to be studied. In addition, its peculiar odour needs
to be removed for making it acceptable as edible oil".
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of new knowledge in the area (narrated in sections 221 and 222) should not be repeated here. Discuss different
methods of approach in order of priority.
(a) Technical work elements, such as designing the experiment/model, making observations/calculations, etc.
(b) Administrative work elements e.g. selection of equipment and obtaining quotations, obtaining certificates like
NMI, CDE etc., recruitment of staff etc.
Further, for multi-institutional projects, this section should be utilised to indicate the distribution of functional
responsibilities between the principal and collaborating institution(s) and the mechanism for coordination.
In this light therefore, a utilization plan is solicited. This may start with identification of the user community i.e.
individuals and institutions. The interaction could be promoted in several ways. For example, selected members of
the scientific community may be invited to periodic presentations by the instructors for their expert guidance. The
investigators may propose to organize workshops on the subject or to present the results in meetings of professional
associations, association of industries, national seminars and the like. However, budget for such activities may not
be included in the project proposal since the Department has separate programmes with in-built review mechanism
to support such events. Circulation of interim reports to wider audience could be another mechanism. A research
leading to development of a process which could possibly be commercialized, should have active involvement of
agencies like the Patent Facilitating Cell of DST, the User industry etc. from the inception of the project. Please list
appropriate activities with brief description.
Section 310 & 311: Budget for Research manpower & Justification for their salaries & wages
It is expected that the major part of the work would be carried out by the PI and the CO-PI. However, some
additional scientific and technical manpower may be asked for working full/part time on the project. The manpower
requirement may be carefully assessed taking into account the level of personnel required and their likely
availability. The salary structure and emoluments etc. will be as prevalent at the parent institution for that category
of personnel.
Salaries payable are to be expressed in lump sum amounts indicating the scale of pay.
Detailed justification for the manpower requirement based on your assessment may be given.
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Section 320 & 321: Budget for Consumable materials with justification for the use of costly consumable, if any.
The budget should clearly indicate the costly consumable items that would be required on a continuing basis or
intermittentently during the implementation of the project. It should also indicate those items where Foreign
exchange is involved.
Section 330 & 331: Budget for travel within India and justification for intensive travel on projects; if any.
Investigator, Co-Investigator and the research personnel, working on the project, in connection with the project work
like literature survey, monitoring meeting, etc. This travel is within the country. In case of projects involving
intensive travel, the requirement may be justified by the PI.
Section 340 & 341: Budget for other costs and justification for the same
Some projects may have special requirements not covered under sections 310 to 330. These requirements could be
of computer time, payments for using specialised instrumentation facilities etc. Costs for such requirements are to be
indicated, based on estimates, in this section specifying the item under a & b.
Section 350 & 351: Budget for permanent equipment and justification for the same
Specifically list all items of permanent equipment costing Rs. 50000/- or above, or requiring import. Other minor
items may be clubbed. Include provisions for installation charge, inland transport insurance etc. in the estimated
cost.
Be as specific as possible while naming the equipment. Indication of the make and model will help identifying the
exact nature of the equipment better. For example, instead of mentioning "gas chromatograph", a detailed statement
like "PYE-Unichems" Model 304 microprocessor controlled gas chromatograph would be appropriate to define the
requirement. Similarly, instead of "Infra Red spectrophotometer", something like "Perkin elmer Model 598" or
"Shimadzu Mode IR-408" should be stated. After the project is approved however, the investigators may go in for a
different model or make so long as the basic characteristic and costs are comparable to those mentioned in proposal.
In many cases, equipment procured under the project may not be kept occupied full-time studies contemplated. The
spare time on equipment could fruitfully be utilized by other researchers engaged in DST sponsored or any other
project of the institute. It is the policy of the DST to maximise the use of an equipment. In this light, the
investigators are urged to permit the use of spare or idle capacities of an equipment by bonafide users. State the
efforts to be made to utilize existing equipment in your department, other departments of the institution, other
institutions in the neighbourhood like RSIC, SIF, other National/Regional facilities etc.
Justification for each item of equipment (including their accessories, specific characteristics, resolution etc. in
relation to specific experiments/measurements/tests) contemplated in the project is to be given.
In case of a demand for import of equipment, give reasons why indigenous models, if available, cannot be used.
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In part B please list all the available equipment and accessories which will be made use of in executing the project.
Please note that this list is to cover equipment and accessories under these categories:
a) Equipment within your research group
b) Equipment in your Department
c) Equipment in other Departments or Centres of your institution in the region including Regional Sophisticated
Instrumentation Centres.
In case equipment required for the project exists at (a), (b) or (c) but cannot be used for project work, give reasons
under the remarks column.
Section number should start with 430 for the PI and followed by 431, 432 etc. for other investigators.
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FORMATS FOR SUBMISSION OF PROJECTS
(To be filled by applicant)
(Sections 101 to 192 to be on separate sheet(s))
103. Sub Area: Please tick the relevant PAC area form the Annexure.
106. FE Component
118. Co-Investigator
119. Designation
120. Department
121. Institute Name
122. Address
123. Date of Birth
124. Telephone Fax Gram email
125. Co-Investigator
126. Designation
127. Department
128. Institute Name
129. Address
130. Date of Birth Sex (M/F)
131. Telephone Fax Gram email
132. Co-Investigator
133. Designation
134. Department
135. Institute Name
136. Address
137. Date of Birth Sex (M/F)
138. Telephone Fax Gram email
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Registration No:..
(to be filled by DST)
Project Title:..
iii)
231. Methodology
232. Organization of work elements
233. Time schedule of activities giving milestones (also append to bar diagram and mark it as Section 410)
234. Suggested plan of action for utilization of research outcome expected from the project.
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(300) BUDGET ESTIMATES: SUMMARY
(in Rupees)
Item BUDGET
1st year 2nd year 3rd Year Total
A. Recurring
1. Salaries/wages
2. Consumables
3. Travel
4. Other costs
B. Equipment
Grand Total (A+B)
Total FEC*
Foreign Exchange component in (US$) equivalent of rupee amount at the prevailing rates may be furnished.
N.B. Entries here should match with those given in section 310 to 350; justification for each item is to be given in
Section following it that is section 311, 321, 341 and 351.
(in Rupees)
1st Year (m.m.*) 2nd Year (m.m.) 3rd Year (m.m.) Total (m.m.)
Designation & Montly
number of Emoluments
persons
Total
*m.m.: man months to be given within brackets before the budget amount.
(in Rupees)
BUDGET
Item 1st Year 2nd Year 3rd Year Total
Q*
B**
F***
Total B
F
*Q: Quantity or number, **B: Budget, **F: Foreign Exchange Component in US$
321. Justification for costly consumable (if not provided for in Section 231 i.e. Methodology)
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330. BUDGET FOR TRAVEL
(in Rupees)
BUDGET
1st Year 2nd Year 3rd Year Total
Travel (only inland travel)
(in Rupees)
BUDGET
1st Year 2nd Year 3rd Year Total
Other costs/Contingency
costs
Sr. Generic name of the Equipment Imported/indigenous Estimated Costs (in Spare time for other
No. along with make & model Foreign Currency users (in %)
also)*
420. List of facilities being extended by the parent institution(s) for the project implementation.
A) Infrastructural Facilities:
B. Equipment available with the Institute/Group/ Department/ Other Institutes for the project:
Equipment available with Generic Name of Model, Make & Year of Remarks including
Equipment purchase accessories available and
current usage of
equipment
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PI & his group
PI's Department
Other Inst. In the region
430. Detailed Bio-data of the Investigator(s)/Co-investigator(s)
including
Academic Qualifications (University/College from where attained, year of passing, class, Thesis title
Publication list (Title of paper, authors, Journal details, pages, year etc.)
including
Investigator(S) Name & Institute
Project Title
Project Status: completed - duration, period (from . To.), funding agency and total cost
on-going - duration, date of start, funding agency and total cost
Proposed - duration, funding agency where submitted and total cost
Major Results/Highlights of the projects including achievement (publications, patents etc.), for completed projects
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Annexure
i) Inorganic Chemistry
ii) Organic Chemistry
iii) Physical Chemistry
i) Atmospheric Science
ii) Earch Sciences
i) Chemical Engineering
ii) Electrical, Electronics and Computer Engineering
iii) Materials, Mining and Mineral Engineering
iv) Mechanical Engineering and Civil Engineering
v) Robotics and Manufacturing
i) Animal Sciences
ii) Biophysics, Biochemistry and Molecular Biology
iii) Health Sciences
iv) Plant Sciences
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