Ministry of New and Renewable Energy

R&D and TIFAD Division

Proforma for Research, Design & Development (RD&D) in

Renewable Energy

October, 2006
 Proforma for Research, Design & Development (RD&D) in Renewable Energy
Table of Contents
Sl.No. Item Page No
1. Annexure-I: Proforma for Submission of New R&D and Technology 3
Development Projects
2. Annexure-II: Proforma for sending Project Acknowledgement 12

3. Annexure-III: Proforma for preparation of Expert Comments on R&D/ 13

Technology Development Projects
4. Annexure-IV: Proforma for preparation of Project Brief for ‘R&D and 15
Technology Development Project Appraisal Committee’ and other Expert
Groups/ Committees
5. Annexure-V: Proforma for Sanction of R&D and Technology Development 16
Project
6. Annexure-VI: General Terms & Conditions of the Grant for R&D/ 20
Technology Development Project
7. Annexure-VII: Revised Guidelines on Emoluments and other conditions of 24
Service for Research Personnel and benefits to Host Institutions in R&D
programmes of the Central Government Departments/ Agencies
8. Annexure-VIII: Proforma for Request for Release of Subsequent 27
Installment(s) of Sanctioned Cost
9. Annexure-IX: Proforma for Submission of Progress Report of ‘On-going 28
Projects’
10. Annexure-X: Proforma for Utilization Certificate (U.C.) 30

11. Annexure-XI: Proforma for Statement of Expenditure (SOE) 32

12. Annexure-XII: Proforma for Request for R&D/ Technology Development 33

Project Extension
13. Annexure-XIII: Proforma for Assets acquired wholly or 34
substantially out of Government grants
14. Annexure-XIV: Proforma for Monitoring of R&D/ Technology 36
Development Projects (Project specific proforma may also be developed)
15. Annexure-XV: Guidelines/ Instructions for Technology Transfer and 37
Intellectual Property Rights
16. Annexure-XVI: Proforma for filling of patents in Renewable 39
Energy Technology
17. Annexure XVII: Proforma for Project Completion Report (P.C.R.) 42

18. Annexure-XVIII: Final Statement of Expenditure (S.O.E.) 45

19. Annexure-XIX: Proforma for Creation of R&D Projects Database and 46

 Snap Technical Audit
20. Annexure-XX: Proforma for Information Required for Commercializing 50
Indigenously developed Renewable Energy Technologies

Annexure-I

Ministry of New and Renewable Energy

Proforma for Submission of New R&D and Technology Development Projects

Part-A: Information at a Glance:

Sl. Item Details

No.
I. Project Title:
1. Title
i) Project Title
ii) MNRE File No.
(to be filled by
MNRE)
iii) Project code
(system generated)

II. Project type/ Technology

Area, Summary and
Objectives:

2. Project type: i) Basic Research

ii) Lab Scale Model Development
iii) Prototype Development
iv) Pilot Scale Development
v) Pre-Industry Model Development
vi) Technology Demonstration
vii) Field Performance Evaluation
viii) Technology Forecasting
ix) Technology Assessment
x) Technology Benchmarking
xi) Resource Assessment
xii) Standards Development
xiii) Status Report Preparation
xiv) Technical Assessment/ Audit
xv) Solar Passive Building designs and Systems
xvi) Others
3. Technology Area: i) Hydrogen
ii) Chemical Sources/ Fuel Cell
iii) Solar Photovoltaic
iv) Solar Thermal
v) Small Hydro Power
vi) Biomass
vii) Biogas
viii) Wind
ix) Bio-Fuel
x) Geothermal
xi) Ocean Energy/Tidal Power
 xii) Urban Waste
xiii) Industrial Waste
xiv) Hybrid Systems
xv) Newer Technologies
xvi) Carbon Nano Tube based Systems
xvii) Electric/ Hybrid/ Fuel Cell Vehicles
xviii) Others

4. Project Summary:
5. Definition of the i) Definition of the problem
Problem and Project ii) Broad Objectives
Objectives iii) Specific objectives
III Status of Work being
done in other
Institutions/ Industries:
6. Status of Work being
done:
i) National
ii) International
iii) Patent search
Reports
iv) Expertise available
with PI/ GROUP/
Institution/ Industry
IV Implementing
Institution(s)/
Industry(s):
7. Name of implementing
institution(s)
8. Name of collaborating/
participating industry
9. Name of Principal
Investigator
10 Name of co-Principal
Investigator(s)
11. Address of implementing
institution(s): postal
address, phone, fax, e-
mail, website
12. Address of collaborating/
participating industry:
postal address, phone,
fax, e-mail, website
V. Implementation Period:
13. Proposed duration
i) Phase-I
ii) Phase-II
14. Financial Year
15. Date of Submission
16. Date of Receipt in MNRE

17. Proposed cost: Sl. Item Amount (Rs.)

No. Total First Second Third
Cost Year Year Year
1. Equipment
2. Manpower
3. Consumables
 4. Contingencies/
Other Costs
5. Travel
6. Consultancy
7. Institutional
Overhead
charges
Total
18. MNRE share
19. Participating Industry(s)
share
20. Participating Institution(s)
share
VII Project Status:
21. Status of project:
i) New
ii) Revised/ Under
consideration
VIII Proposed Output:
22. Material development i) Quantity
ii) Purity
iii) Other features

23. Lab Scale model i) Capacity

development ii) Power Output
iii) Energy output
iv) Efficiency
v) Cycle Life
vi) Life
vii) Other features

24. Prototype development i) Capacity

ii) Power Output
iii) Energy Output
iv) Efficiency
v) Cycle Life
vi) Life and
vii) Other features

25. Pre-Industry Model i) Capacity

Development ii) Power Output
iii) Energy Output
iv) Efficiency
v) Life
vi) Field Performance
vii) Other features

26. Technology i) Capacity

Demonstration/ Field ii) Power Output
Evaluation iii) Energy Output
iv) Efficiency
v) Field Performance Data
vi) Projected life and
vii) Other features

27. Standards Development i) Testing Protocols/ Procedures

ii) Performance Standards
iii) Firming up of specifications
iv) Aesthetics
 v) Other aspects

28. Research Papers/ i) Indian Journals

Technical Documents/ ii) International Journals
Reports (likely) iii ) Others
29. Training, Awareness i) Training
Camps and Ph.D/ ii) No. of Ph.D.
M.Tech. (likely) iii) No. of M. Tech.
iv) Awareness Camps
IX IPR/ Patents/ (likely):
30. IPR/ Patent (likely) i) Concept/ Idea patent
ii) Process patent
iii) Product patent
iv) Copy-write
v) Trade-mark

X Technology/ Know-how
Transfer (likely)
XI Project need and
Justification
31. Need
32. Justification
XII Project Assessment
33. Assessment by Experts
i)
ii)
iii)
iv)
v)
34. Technical Assessment by
MNES
35. Financial Assessment by
MNES
36. Overall
Recommendations

Part-B: Detailed Project Proposal

1. Project Tile:
2. Name & address of Principal Investigator & Implementing Institution:
3. Name & address of Collaborative Investigators and Institutions:
4. Project Objectives:
i) Broad Objectives
ii) Specific Objectives
5. Project Duration:
6. Project Cost:
i) Total Cost:
Sl. Item Amount
No. First Second Third Total
Year Year Year
 1. Equipment
2. Man power
3. Consumables
4. Contingencies/ Other
Costs
5. Travel
6. Consultancy
7. Institutional Overhead
charges
Total:

ii) Cost of Equipment:

Sl.No. Generic name of the Imported/ Estimated Cost (in Spare time for
Equipment along with Indigenous Foreign other users (in %)
make & model Currency@ also)*

1.

2.

3.

*Includes transport, insurance and installation charges. @ imported equipment.

iii) Cost of Salaries/ Wages
Sl. No. Designation/ Monthly Amount (Rs.)
Numbers Emoluments

First year Second Third Total

(m.m.*) year year (m.m.)
(m.m.) (m.m.)

*Man months to be given within brackets before the budget amount.

iv) Cost of Consumable Materials:

Sl. Item Quantity & Cost Amount (Rs.)
No.
First Second Third Total
year year year

1. i) Quantity/ Number

ii) Cost (Rs. component)

iii) Foreign Exchange

component in US $

2.

Total: Cost: (Rs. Component)

 Cost: (Foreign Exchange
component in US $)

V) Contingencies/ Other costs:

Sl. No. Contingency/ Amount (Rs.)
Other costs
First year Second year Third year Total

1.

2.

3.

vi) Cost For Travel:

Sl. No. Travel (Domestic) Amount (Rs.)

First year Second year Third year Total

1.

2.

3.

7. Cost sharing:
8. Status of work done on similar problem / topic by other groups:
iv) National
v) International
vi) Patent search reports ( if any)
9. Details of projects implemented/ under implementation/ under submission by the PI or
co-PI or the implementing institution(s) sponsored by MNRE for funding during the last
five years:
10. Justification of the proposed Project work in context of work being pursued by other
groups in the country:
11. Work methodology:
12. Details of proposed ‘Work Plan’ including rationale for the proposed targets to be
achieved vis-a-vis national and international achievements including details of prototype/
pilot scale plant and design of the product and drawing, process to be tested/ analyzed
and evaluated, etc.:
13. Year-wise Activities/ Milestones, time schedule and PERT Chart:
14. Expected Output:
 a) Details of proposed Scientific out put:
i) Technical Documents:
ii) Research Papers
iii) Technology Transfer
iv) Training
v) Awareness Camps
b) Product/ process quantifiable performance output proposed:
i) Standard/ Specification development
ii) Efficiency Improvement
iii) Product Improvement
iv) Process Improvement
v) Power rating/ capacity enhancement
vi) Ease of operation and Maintenance
vii) Cost reduction
viii) Others
15. Potential Users and suggested Plan of action for utilization of expected Project Output:
16. Existing infrastructural facilities and equipment with the PI(s) and host institution(s)/
Industry:

A) Status of Infrastructural Facilities Available:

Yes/No/ Not required/
Sl. No. Infrastructural Facility
Full or sharing basis
1. Workshop Facility n
2. Water & Electricity n
3. Laboratory Space/ Furniture n
4. Power Generator n
5. AC Room or AC n
6. Telecommunication including e-mail & fax n
7. Transportation n
8. Administrative/ Secretarial support n
9. Information facilities like Internet/ Library n
10. Computational facilities n
11. Any other special faciity being provided n

B. Status of Equipment Available:

Sl. Model, Make & Remarks including accessories
Equipment available Generic Name
No. year of available and current usage of
with of Equipment
purchase equipment
 1.
PI & his group
2.
PI's Department
3.
Other Departments

4. Other Institute/
Industry

17. Bio-data of PI and Co-PI:

18. Other R&D projects under implementation, which are funded by any other organization, where PI and Co-
PI are participating:
Sl.No. Title Cost in Rupees Duration Funding Agency
Upto

Part C: Certificate from the Principal Investigator and Grantee organization

(On the letter head of the Organization)
Project Title:
I am submitting the above titled project proposal to MNRE for financial support.
1. I/ We agree to abide by the terms and conditions of the MNRE research grant.
2. I/ We have not submitted the project proposal elsewhere for financial support.
3. I/ We have requested for funds for the items, which are not available with the
institution for the proposed work and are absolutely essential.
4. I/ we will not proceed on long term/ study leave/ deputation during the period
of project implementation, without prior permission from MNRE
5. I have enclosed the following documents/ materials:
Items Number of copies
i) Similar certificate from Investigator(s)
from other participating institutions ( if any):
ii) Summary details of the proposal : 20
iii) Detailed proposal in hard copies: 20
iv) Electronic copy / CD: 03
v) Name and address of up to five
experts/institution interested in the subject/
output of the project:
Date: Name and signature of Principal Investigator
 Place:

Endorsement by the Head of the Institution

Certified that Project Proposal entitled “-------------------------------------------:” is prepared
by Dr/Shri ------------------------ and has not been submitted to any other institution for funding.
The institute will provide necessary regular staff and infrastructure facilities for the project work
and such facilities have not been requested in the proposal. The institute will ensure compliance
of the terms and conditions of the financial grant by MNRE and other conditions of the project.

Place & Date Name, Signature and Seal of

the Head of the Grantee Organization
 Annexure-II

Government of India
Ministry of New and Renewable Energy
Block 14, CGO Complex, Lodi Road
New Delhi-110 003

(The Principal Investigator is requested to fill the project title and address)

Proforma for sending Project Acknowledgement

Acknowledged with thanks the receipt of ______nos. of physical and ….. electronic copies of
your research proposal entitled:

__________________________________________________________________________

__________________________________________________________________________

__________________________________________________________________________

(For Concerned Technology Development Group)

Name:_____________________

Designation:_____________________
Date:____________

Your MNRE reference No:_________

(For further correspondence please quote this number)

To (Please fill up your complete mailing address)

-------------------------------
-------------------------------
-----------------------------
Pin Code

E-mail ID:

Annexure-III
 Ministry of New and Renewable Energy

Proforma for preparation of Expert Comments on R&D/ Technology Development Projects

Project Title:

MNRE Reference:

S.No. Item Comments of Expert Rating by Expert/

max. rating
1 Project Objectives / 10

- Precise and well formulated

- Fair
- Vague and Fuzzy
- Novelty / Innovation

2 Work Plan including / 20

methodology and time
schedule

- well planned
- Impractical
- Needs Revision ( Please
indicate areas for revision)
3. Proposed Budget / 20
(Pl. comment on each item)
Equipment
Consumables
Manpower
Travel
Contingency
Other project cost

Suggested revision ( if any)

4. Project Duration /5
Adequate
Needs to be reduced
Underestimated
Suggested duration (if any)
5. Review of national / / 15
international work by PI

Adequate
Insufficient

6. Relevance of the work to /5

MNES

Relevant
Partial
Not relevant
7. Milestones along with /5
verifiable indicators
8. Detailed assessment of / 20
expert of the proposal and
the competence of PI
9. Recommendation of expert

Recommended as proposed /
Recommended with revision
( Please give details of
modifications required) /
Rejected

10. Over all rating /100

Date: Signature & Name of Expert

Place: Designation

Organization
 Annexure-IV

Proforma for preparation of Project Brief for ‘R&D and Technology

Development Project Appraisal Committee’ and other Expert Groups/ Committees

1. Technology Area

2. Title of the project

3. Principal Investigator

4. Implementing agency (s)

5. Proposed duration

6. Objectives
7. Proposed Output including
Novelty/ Innovation and
Patent potential
8. Total Budget and item wise
break up (Rs.)
9. Cost sharing, if any

10. Manpower requirement

11. Capital Equipment

12. Details of the project

proposal
13. Comments of Experts to
whom proposal was referred
1.
2.
3.
14. Summary of the project and
its outcome implemented/
under implementation by PI
during last 3 years (funded
by any govt. agency)
15. Appraisal by the
Development Group
16. Recommendations of the
Development Group
1. Technical & Output
2. Financial
3. Project Duration
4. Other aspects

Annexure-V
 Proforma for Sanction of R&D and Technology Development Project

File No.
Government of India
Ministry of New and Renewable Energy
Group/ Division

Block No.14, C.G.O. Complex,

Lodi Road, New Delhi-110003

Dated

The Pay & Accounts Officer,

Ministry of New and Renewable Energy
14, C.G.O. Complex, Lodhi Road,
New Delhi 110 003

Subject: Sanction for implementation of a project entitled “ ---------“ name(s) of PI and

grantee organization

Sanction of the President is hereby accorded under Rule 18 of the Delegation of

Financial Powers Rules, 1978, for the implementation of a R&D/ technology development
project entitled “……..” by (PI)…., (organization)……, (address)…… at a total project
cost of Rs. (Rupees…. ) for a duration of time period…… funded by the Ministry of Non-
Conventional Energy Sources, New Delhi. The detailed terms and conditions of the sanction are
as follows:

i) Project Title:

ii) Principal Investigator:

iii) Principal Investigator:

iv) Project Objectives:

v) Time Schedule:

vi) Manpower:

vii) Project Cost:

Following are the details of the total estimated budget of the project:

Sl. Item Year-wise requirement of funds Total

No. First Year Second Third Amount
Year Year (Rs. in lakh)
 1. Equipment &
spares
2. Manpower
3. Consumables
4. Travel
5. Contingencies/
Other costs
6. Consultancy
7. Overhead
charges
Total:

(other tables for cost break up to be added as per Annexure-I)

viii Project Cost Sharing (as per Annexure-I):

a) MNRE share:

The MNRE share of the project cost will comprise of the following:

Sl. Item Amount (Rs. in lakh)

No.

Total

b) Institution/ Industry share:

The remaining cost of the project amounting to Rs….. will be met by the……

(ix) Expected Output of the Project:

(x) Monitoring:

(xi) Terms &Conditions:

a) Specific:

b) General:

The general terms and conditions governing this sanction are attached at
Annexure- VI.

c) Execution of Bond:

Bond is required from NGOs and private institutions/ industry/ organizations.

d) Utilization certificates:
 The utilization certificates and the audited statement of accounts in the MNES
format will be submitted by -------PI/ grantee organization.

2. Sanction of the President is also hereby accorded, under Rule 18 of the DFPR, 1978 for
the release of a sum of Rs. ------ (Rupees ------ only) to the -------- being the first release for the
implementation of the above project to…….(grantee organization).

3. An amount of Rs. -------- (Rupees -------- only) will be drawn by the Drawing &
Disbursing Officer, Ministry of New and Renewable Energy, from the Pay & Accounts Officer,
MNRE and disbursed to the -------- by ECS/ an Account Payee demand draft/ cheque.

4. The expenditure involved will be debitable to Demand No. 65, MNES, Major Head
`2810', Non-Conventional Sources of Energy -------- Research and Development, 01.00.31 -
Grant-in-aid during the financial year -------- (Plan).

5. This issues under the powers delegated to this Ministry and with the concurrence of IFD
vide their sanction No--------- dated -----------and in accordance with the administrative
approval and following common appraisal, approval and financial support procedure.

6. This sanction order has been noted at Serial No. ------ on Page No. ----- in the Register
of Grants for ……………… (division) …………. For ……………….. (year).

Yours faithfully,

(……………. )
Director/ PSO/ Under Secretary to the Govt. of India

Copy to:
1. Head of the Implementing Institution/ Industry).
2. PI of the Implementing Institution/ Industry).
3. Head of the Implementing co- Institution/ Industry).
4. Co- PI of the other Implementing Institution/ Industry).
5. Head, R&D division, MNRE.
6. Internal endorsements Advisers/ Directors/ Under Secretary.
7. Cash Section (2 copies).
8. FA/ Dir (F)/AO (IFD).
9. The Principal Director of Audit, (Science Department ) AGCR Building, I.P. Estate, New
Delhi-110002.
10. Regional Office, MNES.
11. Sanction folder.

(……………………… )
Director/ PSO/ Under Secretary to the Govt. of India
 Annexure-VI

Ministry of New and Renewable Energy

General Terms & Conditions of the Grant for R&D/ Technology Development Project

1. Approval of the R&D/ technology development project and the grant being released is
for the specific project sanctioned and should be exclusively spent on the project within the
approved time duration. The grantee organization is not permitted to seek or utilize funds from
any other organisation (government, semi-government, autonomous and private bodies) for this
research project, unless specifically approved for joint funding. Any un-spent balance out of the
amount sanctioned must be surrendered to the Government of India through a ECS/ crossed
Demand Draft drawn in favour of Drawing & Disbursing Officer, MNRE payable at New Delhi.
2. Full infrastructure facilities by way of accommodation, water, electricity, communication
etc. for smooth implementation of the project shall be given by the grantee organization(s) at
their cost.
3. For permanent, semi-permanent assets acquired solely or mainly out of the project grants,
an audited record in the form of a register in the prescribed format (Annexure-XIII) shall be
maintained by the grantee organization. The term “Assets” include (a) the immovable property
acquired out of the grant; and (b) movable property of capital nature where the value exceeds Rs.
50,000/-. The grantee organization is required to send to the MNRE a list of assets acquired from
the grant. The grant shall not be utilised for construction of any building unless specific
provision is made for that purpose.
4. Assets acquired in the project shall be shared proportionately between Government of
India and grantee organization(s) in accordance with the cost sharing pattern of the project. The
assets should not be disposed off or encumbered or utilized for purpose other than those for
which the grant had been sanctioned, without the prior permission of this Ministry.
5. On conclusion/ termination of a project, the Government of India will be free to sell or
otherwise dispose off its share of the assets, which are the property of the government. The
grantee organization shall render to the Government of India necessary facilities for arranging
the sale of these assets. The Government of India has the discretion to gift its share of assets to
the grantee organization or transfer them to any other organization if it is considered appropriate.

6. The grantee organization/ PI will furnish Progress Report of the work carried out under
the project on six monthly basis in the months of April and October during the project
implementation period in a prescribed format given at Annexure-VIII.
7. Officer(s) of MNRE and MNRE designated Scientist/ Specialist/ Expert Panel/
Committee may visit the organization periodically to review the progress of the work being
carried out and to suggest suitable measures to ensure realization of the objectives of the project.
During the implementation of the project the grantee organization will provide facilities to such
visitors in the form of accommodation, project site visits, etc.
8. On completion of the project 15 copies of a final consolidated ‘Project Completion
Report’ on the work done on the project will be submitted to the MNRE in the prescribed format
given at Annexure-XVII in physical as well as electronic forms.
9. The ‘Project Completion Report’ must include working engineering design and drawing,
prototype/ pilot plant specifications, including plan and section drawings, and list and quantity of
materials, etc.
10. At the time of seeking further installment of grant and closure/ termination of the project,
the grantee organization / PI has to furnish the following documents:
a) Utilization Certificate (U.C) for MNRE grant and ‘Statement of Expenditure’ (S.O.E.) for
the previous financial year (in original or copy if sent earlier) in enclosed formats given at
Annexure-IX, X and XI.
b) Latest authenticated ‘Statement of Expenditure’ including Committed Expenditure, for
the expenditure on the project including cost shared by any other organization since 1st April of
that financial year till the previous month; and
c) Annual Technical Progress Report, if not sent earlier.
11. Request for specific approval of the Ministry to carry forward the unutilized grant to the
next financial year for utilization for the same project, should be sent along with S.O.E & U.C.,
after completion of the financial year.
12. The Comptroller & Auditor General of India, at his discretion, shall have the right of
access to the books and accounts of the grantee organization maintained in respect of the grant
received from the Government of India.
13. The grantee organization will maintain separate accounts for the project in a Bank. If it is
found expedient to keep a part or whole of the grant in a bank account earning interest, the
interest thus earned should be reported to the MNRE and should be reflected in the ‘Statement of
Expenditure’. The interest thus earned will be treated as a credit to the Institute to be adjusted
towards further installment of grant.
14. The grantee organization will neither entrust the implementation of the work for which
the grant is sanctioned to another institution nor will it divert the grant receipts to other institute
as assistance. In case the grantee organization is not in a position to implement or complete the
project, it should, forthwith, refund to this Ministry the entire grant or the balance received by it
at the earliest.
15. All the personnel including Research personnel appointed under the project, for the full/
part duration of the project, are to be treated as project personnel on contract to the organization
and will be governed by the Administrative rules/ service conditions (for leave, TA/DA etc) of
the implementing Institute. They are not to be treated as employees of the Government of India
under any circumstances and the MNRE will have no liability, whatsoever, for the project
personnel after completion of the project duration.
16. For the expeditious implementation of the research project, the PI will take the assistance
of the grantee organization in the process of selection and appointment of staff and payment to
them in accordance with the guidelines given at Annexure-VII. Scale and emoluments for the
posts not covered in the said guidelines are to be governed by the norms prevalent in the grantee
organization or as decided in consultation with MNRE. Deviations from these guidelines,
generally, shall be considered only in consortium projects or projects taken up by an industry on
50:50 cost sharing basis.
17. The Ministry reserves the right to terminate the project at any stage if it is convinced that
the grant has not been properly utilized or sufficient progress has not been reported under the
project or sufficient efforts have not been devoted.
18. The project becomes operative with immediate effect or within a maximum of one month
from the date on which the ECS/ Draft/ Cheque is received by the implementing Institution. This
date should be intimated by the grantee authorities/ Principal Investigator to this Ministry.
19. The grantee organization shall associate a co-PI with the project, if not already part of the
project team. The co-PI shall function as PI in the absence of PI and should be totally in
knowledge of the activities of the project to avoid loss to the project in case PI leaves the
project / organization.
20. If the PI to whom a grant for a project has been sanctioned wishes to leave the grantee
organization where the project is sanctioned, the grantee organization/ PI will inform the same to
the Ministry and in consultation with MNRE, evolve steps to ensure successful completion of the
project through co-PI, before relieving the PI or appoint another Scientist as PI.
21. If the results of research are to be legally protected under IPR, the results should not be
published without action being taken to secure legal protection for the research results.
22. Investigator(s) wishing to publish technical/ scientific papers based on the research work
done under the project should acknowledge the assistance received from MNRE, indicating the
project sanction no. under which grant has been given to the grantee organization. The PI will
submit a copy of the paper to the Ministry as soon as it is published.
23. If the results of the work carried out under the grant require preparation of a technical
booklet/ guides/ software/ CD etc. in such cases the grantee organization will publish/ prepare
sufficient copies (number of copies to be decided in consultation with MNRE) and keep a
portion for their use/dissemination and submit the remaining copies to the Ministry for their use
and distribution.
24. If the result is in the form of a survey report / product performance evaluation or other
such activities which have commercial implications, the grantee organization will not publish the
results without specific written approval of this Ministry.
25. The grantee institution/ PI should provide a copy of the ‘Full Text Document’ of the
Patent/ PI within one month of its publication.
26. For projects identified to have a distinct potential for generating know-how, in the form
of product/ process, that could be protected through patenting, copyrights etc., the PI should
contact MNRE to obtain further details
27. Patents/ Intellectual Property protection shall be in the joint names of MNRE and grantee
organization(s) and scientists who have actually worked for the project shall be the inventor(s).
28. Royalty/ proceed on sale generated through the ‘Intellectual Property’ created by the
project shall be shared in accordance with the guidelines contained in the DST circular issued
with the concurrence of Ministry of Finance, Department of Expenditure vide their O.M.
No.33(5)PF-II99, dated 22nd February, 2000 or subsequent circulars which may be issued by
DST/ MOF on the subject (Annexure-XV) and guidelines given at sections (ix) and (x)
regarding IPR.
29. In case of any dispute the decision of Secretary, Ministry of New and Renewable Energy
shall be final.
13. Other achievements and Publications etc.:
Ph. D students working Technical Personnel trained: Research Publications arising
on the subject/ topic out of the present project:
covered under the
project

List of Publications from the Project Work (including title, author(s), journals & year(s)

i) Papers published in International Journals:

ii) Papers published in Conference Proceedings:
iii) Papers published in National/ other Journals etc.:
iv) Patents filed/ to be filed ( if any):
v) Confidential Data (if any):

14. Status of Equipment Procurement:

Sl. Sanctioned Procurement status Cost Working Remarks

No items of (Yes/ No) (Rs in lakhs) (Yes/ No) (Give
equipment Model & make, reasons
Date of for
procurement & negative
commissioning response)

15. Status of Manpower:

S No Sanctioned List In position Scale Remarks

(Yes/ No) (Give reasons for
negative response)

16. New observations:

17. Innovations:
18. Application Potential:
i) Long term
ii) Medium term
iii) Short term
19. Research / technology development work remaining to be done under the project and
Work Plan for next six months.
20. Status of Financial year-wise UC and SoE:

21. Any other information:

Please do not leave any item unanswered.
 Annexure-X
Proforma for Utilization Certificate (U.C.)
For the Financial Year …… (ending March ….)

1. Title of the Project/ Scheme:

2. Name of the Institution:

3. Principal Investigator:

4. MNRE Sanction order No & date of sanctioning

the Project:

5. Amount brought forward from the previous

Financial year, if any:
i. Amount:
ii. Sanction Letter No.:
iii. Date:

6. Amount received during the financial year:

i. Amount:
ii. Sanction Letter No.:
iii. Date:

7. Total amount that was available for expenditure Rs.

(excluding commitments) during the financial year
(Sr. No. 5+6):

8. Actual Expenditure (excluding commitments) Rs.

Incurred during the financial year (upto 31st March)

9. Balance amount available at the end of the financial year:

10. Unspent balance refunded, if any (please give details of ECS/ crossed Demand Draft etc.):

11. Amount to be carried forward to the next financial year (if applicable):

12. Certificate:

(a) Certified that out of Rs.______________ of grants-in-aid sanctioned during the year
_____________ in favour of _____________________________ under this Ministry/ Department
letter/ order no. ____________ dated ___ and Rs. ______________ on account of unspent balance of
the previous year, a sum of Rs. _____________ has been utilized for the purpose of
_______________________ for which it was sanctioned and that the balance of Rs. _________
remaining utilised at the end of the year has been surrendered to Government (vide ECS/ crossed
Demand Draft no. ________ dated ________) will be adjusted towards the grants-in-aid payable
during the next year i.e. ___________.

Signature of PI Signature of Registrar/ Signature of Head Accounts Officer

Seal Seal
Date Date Date

(b) Certified that I have satisfied that the conditions on which the grants-in-aid was sanctioned
have been fulfilled/ are being fulfilled and that I have exercised the following checks to see that the
amount was actually utilised for the purpose for which it was sanctioned:-

Kinds of checks exercised:

1.
2.
3.
4.
5.

Principal Investigator:

Date: Signature:

Designation:

Head of Organization/ Administration:

Date: Signature
Designation:
Seal
 Annexure-XI

Proforma for Statement of Expenditure (S.O.E.)

(For the Financial Year …ending March, …)

Sl. Sanctioned Amount Expenditure Incurred Requirement Remarks

Budget Head sanctioned Financial Year-wise of Funds (if any)
First Second Third Total
Year Year Year

1. Equipment
2. Consumables
3. Manpower
4. Travel
5. Contingencies
6. Consultancy
7. Others, if any
8. Overhead
expenses
Total:

Name & Signature of the PI Name & Signature of the Competent financial/ audit authority

Date Place Seal

 Annexure-XII

Proforma for Request for R&D/ Technology Development Project Extension

(Two Copies to be sent four months prior to the expiry of the approved duration of the Project)

1. MNRE Sanction Order No:

2. Name and address of the Principal Investigator:

3. Title of the Project:

4. Approved duration of the project from ______________ to _______________.

5. Requested extension from _______________ to ________________.

6. Approved objectives of the Project:

7. Proposed output of the Project:

8. Progress achieved so far (in relation to attainment of objectives and project output):

9. Objectives and output which are proposed to be achieved during the proposed extended
duration:

10. Reasons for delay and details of proposed actions and work plan to complete the unfinished
tasks:

11. If project budget revision is proposed (Yes/ No), If yes, please provide the following
information:

i) Total Sanctioned Amount:

ii) Total likely expenditure till the end of present sanctioned duration:
iii) Estimated expenditure during extended period:

Sl.No. Item Amount (Rs.)

1. Manpower* (at the existing level)
2. Consumables
3. Travel
4. Contingencies
5. Any other
Total:

*No new manpower will be employed and no additional funds will be asked for the
overheads during the extended duration of the project’

12. Additional amount required to be sanctioned/ expected amount to be refunded to

MNRE (strike whichever is not applicable):

Name and Signature of PI

 Annexure-XIII

Proforma for Assets acquired wholly or substantially out of Government grants

Register to be maintained by Grantee Institution/ Industry/ Organization

Name of Grantee Institution

1. Name of the Sanctioning Authority:

2. Sanction Letter No.

3. Date of Sanction Letter ____________________________________________

4. Amount of the Sanctioned cost

5. Brief purpose of the Project

6. Whether any condition regarding the right of

ownership of government in the property or
other assets acquired out of the project cost
was incorporated in the Sanction letter

7. Particulars of assets actually credited______________________

or acquired.

8. Cost details of the assets as on …….

Sl. Name of Equipment/ Sanctioned Actual Other Utilization

No. Asset with Amount Expenditur expenses, if Rate (%)
manufacturer & model e* any **
name, etc. and date of
procurement FE Rs FE Rs

* This should include only the cost of equipment, insurance and freight charges.
** Other expenses such as bank charges, agency commission etc. should be avoided through
appropriate negotiations. If unavoidable expenses are incurred, the same may be
indicated.

9. Purpose for which utilised at present

10. Encumbered or not _

11. Reasons, if encumbered __________________________________________________

12. Disposed of or not

13. Reasons and authority, if any, for disposal

14. Amount realized on disposal

15. Remarks
__________________________________

(Project Investigator) (Finance officer)

(Head of the grantee Institution / Industry/ Organization)

 Annexure-XIV

General Proforma for Monitoring of R&D/ Technology Development Projects

(Project specific proforma may also be developed)

1. Title of the project:

2. Principal Investigator(s) and Co-Investigator(s):

3. Implementing Institution(s) and other collaborating Institution(s)/ Industry:

4. Date of Commencement of Project:

5. Approved date of completion:

6. Monitoring Period:

7. Status of Hiring Manpower (hired vis-à-vis sanctioned category-wise):

8. Out put of the Project during the period

i) Activities undertaken and accomplished towards Material/ Process/ Product/

Equipment development/ Pilot scale demonstration
ii) Performance specifications fixed and measured for Purity of materials, process
details, product specifications (capacity, rating, efficiency, test, etc.) Equipment
(performance features, capacity, BOM), pilot production (capacity, through put, yield,
test results)
iii) Engineering designs/ drawings (plans and sections) and prototype/ pilot/ full scale
specifications, etc. developed:
iv) IPR Activities undertaken:
v) Research publications prepared/ published:

S l. Authors Title of Name of the Volume Pages Year

No. paper* Journal

*A copy of each of the papers/ should be attached.

vi) List of Technical Documents prepared:

vii) Awareness, training camps, etc. organized:

 Annexure-XV

Guidelines/ Instructions for Technology Transfer and Intellectual Property Rights

With a view to encourage the institutions to file patent applications on their

innovations, motivate them to transfer their technologies for commercialization, and to
facilitate them to reward their inventors, the following instructions are issued.

1. In these instructions:

a) “Institution” means any technical, scientific or academic establishment where

research work is carried out through funding by the Central/ State Government.

b) “Intellectual Property Rights” include patents, registered designs, copyrights and

layout design of integrated circuits.

c) “Inventor” means an employee of the Institution whose duties involve carrying

out scientific or technical research.

2. Scope: These instructions apply to those institutions receiving funds for research
projects from the Ministry of Science & Technology and Department of Ocean
Development.

3. Inventions by Institutions: Institutions shall be encouraged to seek protection of

Intellectual Property Rights (IPR) to the results of research through R&D projects.
While the patent may be taken in the name(s) of inventor(s), the institution shall
ensure that the patent is assigned to it. The institution shall get its name entered in the
Register of Patents as the proprietor of the patent. The Institution shall take necessary
steps for commercial exploitation of the patent on exclusive/ non-exclusive basis. The
institution is permitted to retain the benefits and earnings arising out of the IPR.
However, the institution may determine the share of the inventor(s) and other persons
from such actual earnings. Such share(s) shall be limited to 1/3 rd of the actual
earnings.
4. Inventions by Institutions and Industrial concerns: IPR generated through joint
research by institution(s) and industrial concern(s) through joint efforts can be owned
jointly by them as may be mutually agreed to by them through a written agreement.
The Institution and Industrial concern may transfer the technology to a third party for
commercialisation on exclusive/ non-exclusive basis. The third party, exclusively
licensed to market the innovation in India, must manufacture the product in India.
The joint owners may share the benefits and earnings arising out of commercial
exploitation of the IPR. The institution may determine the share of the inventor(s) and
other persons from such actual earnings. Such share(s) shall not exceed 1/3 rd of the
actual earnings.

5. Patent Facilitating Fund: The Institution shall set apart not less than 25% of such
earnings for crediting into a fund called “Patent Facilitating Fund”. This Fund shall
be utilised by the institution for updating the innovation, for filing new patent
applications, protecting their rights against infringements, for creating awareness and
building competency on IPR and related issues.

6. Information: The institutions shall submit information relating to the details of the
patent obtained, the benefits and earnings arising out of IPR and the turnover of the
products periodically to the Department/ Ministry which has provided funds.

7. Royalty-free licence: The Government shall have a royalty-free licence for the use of
the Intellectual Property for the purposes of the Government of India.

8. Review: These instructions shall be reviewed by the Central Government after a

period of five years.

9. The instructions are issued with the concurrence of the Ministry of Finance,
Department of Expenditure vide their OM No 33(5) PF-II 99, dated 22 nd February,
2000.
 Annexure-XVI

Proforma for filling of patents in Renewable Energy Technology

Part – A:
1. 1. Title of the Invention:

2. 2. Name of the Inventor(s):

. i) Address

ii) Telephone

iii) Fax:

iv) E-mail:
 Whether the invention is made out of MNRE-funded project (Yes/ No)

(i) if Yes:

a) Sanction letter No. Dated

b) Subject area :

(ii) if No:

a) When and Where the Invention was developed

b) Sponsoring Organization/ Agency

5. Description of the invention (indicating prior art and the highlights of the
invention).

6. Present stage of development (including scale of operation, production,

validation, quality etc.).

7. Novelty, non-obviousness and inventive step(s)

8. Present status of patenting on this invention (patent and literature search).

9. Present nation a! and international knowledge on the utility of this invention.

10. Utility of this invention with brief justification.

11. Countries of filing Patent and justification for the same.

12. Have you approached any other Organization/ institution for Patenting this
Invention? (If yes, provide details and outcome).

Part – B:

1. Objectives of your Invention

2. Details description of the Invention (should be accompanied

with drawings/ diagrams, if any duly labeled and correlated
with the description)

3. Existing state-of-art
4. Drawbacks in the existing state of art.
5. How these drawbacks have been overcome by your Invention

Part – C:
Declaration: I/ We hereby certify and declare that all the information provided in parts
A and B is true and correct to the best of my / our knowledge and belief.

Name of the Inventor(s)

Signature(s)

1.

2.

3.

Name: Place: Date:

Note : Fifteen copies of the documents with above details are to be submitted to MNRE at the
following address with a copy to the concerned division of MNRE.

Head, R&D Division

Ministry of New and Renewable Energy
Block 14, C.G.O. Complex,
Lodi Road, New Delhi – 110 003
Telefax: 24361604
Email ID: shuklaar@nic.in
 Annexure XVII

Proforma for Project Completion Report (PCR)

15 nos. each of the physical (bound) and electronic (CD) copies of the Project
Completion Report (PCR) should be sent within one month of the completion or termination of
the project. The cover page should include the title of the project, file number, names and
addresses of the PI and grantee institution / organization.

1. Title of the project:

i. Principal Investigator(s) and Co-Investigator(s):

ii. Implementing Institution(s) and other collaborating Institution(s):

4. Date of commencement of Project

5. Approved date of completion:

6. Actual date of completion:

7. Objectives of the Project:

8. Out put of the Project:

(achieved vis-à-vis. originally planned in respect of:

i) Nature of Output: Material/Process/Product/Equipment/ Pilot scale

demonstration/Any other (Please Specify)
ii) Performance specifications : Purity of materials, process details, product
specifications ( capacity, rating, efficiency, test results) Equipment (performance
features, capacity, bill of materials), Pilot production (capacity, through put, yield, test
results)
iii) Details of engineering designs/ drawings (plans and sections) and prototype/ pilot/
full scale, specifications, etc.

9. Summary of the Project work, specially with respect to the project objectives and proposed
out put.
10. Detailed progress report giving relevant information on work carried out, experimental
work, detailed analysis of results indicating contributions made towards increasing the state
of knowledge in the subject:
11. S&T benefits accrued:

i) Patents taken, if any

ii) List of Research publications (a copy of the papers should be attached):

Sl. Authors Title of Name of the Volume Pages Year

No paper* Journal

iii) List of Technical Documents prepared (a copy of the documents should be attached):

iv) Manpower trained under the project:

a) Research Scientists/ Research Associates:

b) No. of Ph.D. (s) produced:

c) Other Technical Personnel trained:

v) Awareness, training camps, etc. organized:

12. Details of work, which could not be completed ( if any):

13. Suggestions on further work on the subject of research:

14. Project Expenditure:

(Please enclose copies of year-wise audited UC and SoE as per MNRE format)

No Financial Position/ Amount Actual Deviation if % of Total

Budget Head Sanctioned Expenditure any cost
1. Equipment
2. Consumables
3. Manpower
4. Travel
5. Contingencies
6. Others, if any
7. Overhead Expenses

Total

15. Equipment Status:

Sl. Name of Year of Make/ Cost Date of Utilizatio Remarks

No Equipment Purchase Model (FE/ Installation n Rate regarding
Rs) (%) Maintenance/
Breakdown
16. Manpower:

Sl. No. Sanctioned List In position at the time of Pay Scalec/

project completion Emoluments
(Yes/ No)

Name and Signature

Date:

(Principal Investigator)

(Head of grantee organization)

Guidelines for preparing the Manuscript of the Report:

i) Manuscripts should be neatly written/ printed (with single spacing) in the enclosed
format for direct reproduction by Xerox/ photo offset process. Any corrections should
be redone on a separate slip & then pasted neatly. Don’t erase or retype. Don’t cut/
cross.
ii) Matter should be first preferably typed on A4 size paper within the prescribed space
leaving the same margin as in the enclosed format and then retyped cleanly after
careful correction/ changes.
iii) Manuscript should not exceed five pages in any case and should be in the enclosed
format.
iv) Scanned photographs, diagrams, tables & graphs should be accommodated within the
space provided for the text for direct reproduction.
v) Designs & drawings of larger size also need to be scanned and electronic copy sent
along with the physical copy.
vi) Physical as well as electronic (CD) copy of the report need to be sent.
 Annexure-XVIII

Final Statement Of Expenditure (S.O.E.)

1. MNRE Sanction Letter/ Order No and date of sanctioning the project:

2. Total Project Cost:

(Sanctioned/ Revised Project Cost, if applicable)

3. Date of Commencement of Project:

4. Date of Completion of Project:

5. Grant received in each year (financial year):

Sl.No. Year Amount Interest Total Amount

Received (Rs.) Accrued (Rs.)
(Rs.)
1. 1st year

2. 2nd year

3. 3rd year

4. 4th year

5. 5th year

Grand Total
VI. Output:

21. Material development i) Quantity

ii) Purity
iii) Other features

22. Lab Scale model development i) Capacity

ii) Power Output
iii) Energy output
iv) Efficiency
v) Cycle Life
vi) Life
vii) Other features

23. Prototype development i) Capacity

ii) Power Output
iii) Energy Output
iv) Efficiency
v) Cycle Life
vi) Life and
vii) Other features

24. Pre-Industry Model Development i) Capacity

ii) Power Output
iii) Energy Output
iv) Efficiency
v) Life
vi) Other features

25. Technology Demonstration/ Field i) Capacity

Evaluation ii) Power Output
iii) Energy Output
iv) Efficiency
v) Field Performance Data
vi) Projected life and
vii) Other features

26. Standards Development i) Testing

ii) Accelerated testing
iii) Firming up of specifications
iv) Aesthetics
v) Other aspects

27. Research Papers Title Author Journal Volume Pages Year

i) Indian Journals
ii) Freign Journals

28. Technical Reports Title Author Volume Pages Year

VII. IPR/ Patents:

29. IPR/ Patent A. Type of IPR:

i) Concept/ Idea patent
 ii) Process patent
iii) Product patent
iv) Copy-write
v) Trade-mark
B. Status:
i) Obtained
ii) Filed
iii) Likely
iv) Envisaged

30. Patentee Institution(s)/ Industry(s)

31. Name(s) of Patentee(s)/ nventor(s)

32. Year of IPR/ Patent filing

33. IPR/ patent filed in India

34. IPR/ patent filed in foreign

country(s)

35. Date of grant of IPR/ patent(s)

VIII. Technology/ Know-how

Transfer:

36. Status and prospects of

commercialization of IPR/ Patent

37. Status of technology/ know-how i) Name of industry

transferred to industry ii) Year iii) Current Status

IX. Completion/ Interim Report:

38. Summary of the Project

39. Completion Report Received

i) Physical form
ii) Electronic form

40. Interim Report Received

i) Physical form
ii) Electronic form
41. Location of completion/ Interim
Report
i) In file
ii) In library
iii) Other location

42. Remarks/ comments

 Annexure-XX

Proforma for Information Required for Commercializing Indigenously developed

Renewable Energy Technologies

(15 nos. of physical and electronic (CD) copies to be sent)

1. Product/ Process developed:

2. Specific Use of the Product:

3. Background information namely existing technology and alternatives in India and

abroad:
4. Brief description of the process/ product (indicate flow diagram/ circuit diagram):
5. Specification of the product (Also indicate whether the product conforms to any
standard specification like BIS, ISO, etc.):
6. Raw material components used per unit of production and their availability.

Item Specification Quantity/ unit Indigenous/ Imported

7. Whether some or similar products are already manufactured in India. If so, by whom
and any special properties of your product as compared to the existing product:

8. Whether the product is for import substitution:

9. Laboratory work (for process development work only):

a. Scale of investigation:
b. Quantity of product prepared:
c. Are you able to supply adequate quantity of the product as samples to
entrepreneurs:
d. Date of laboratory/ preliminary investigation with respect to operating conditions,
approximate consumption of raw materials and utilities, yields, manpower etc.:

10. Any work done on pilot plant work (for process development work only):

a. Capacity of the Plant.

b. Duration of Investigations.
 c. Design data collected e.g. with respect to operating conditions, approximate
consumption of raw materials and utilities, yields, etc.
d. Whether the pilot/ prototype plant is still in operation. If so, could it be
demonstrated to prospective entrepreneurs?

11. Additional equipment/ machinery required for pilot plant/ semi-commercial scale/
prototype, if any:

Item(s) Indigenous/ Imported Approximate Value

12. Work done on prototype fabrication (for product development):

a. Has any prototype been prepared? If so, number of prototypes already made and
cost per unit.
b. Has the prototype been operated successfully?
c. How many more prototypes would be needed before production could be
established.
d. Have you a set of drawings for making prototypes?
e. What is the suggested number of pieces for production on a commercial scale?
f. Estimated requirement of capital, if known.
g. What is the estimated cost of the item, when produced on a commercial scale?

13. Have you located any entrepreneur(s)? If so, furnish their name(s) and address:
14. Safety and Pollution aspects:
15. Suggestion regarding terms for transfer of technology (a) Lump sum (b) Royalty:

16. Can you undertake preparation of a feasibility report: