ORIC

BRIDGE FINANCING FOR RESEARCH PROJECTS

SOPs FOR SMOOTH EXECUTION OF RESEARCH PROJECTS

NOTIFICATION

The Vice Chancellor is pleased to approve the recommendations of committee constituted to review the Standing Operative Procedures (SOPs) for research projects and to notify the same for implementing them in letter and spirit.

1. All projects except projects under Public Sector Development Program (PSDP) and Annual Development Program (ADP) must be submitted through ORIC. One copy may be sent to ORIC as advance for processing while one through Chairman/Deans/Directors.


2. ORIC will develop a website having a project tracking system where latest status of the project should be available so that researcher(s) can get the first hand information about the project. If there is any shortfall, same may be uploaded on the website. Contact details of concerned funding agency will also be made available on the website alongwith information of completed projects, refund of unspent balance to the respective funding agency and transfer of permanent assets to the university after the termination of the project. This website will also provide information regarding indigenous scholarships with complete details. Access will be made available to Vice Chancellor, the Registrar and Treasurer, UAF


3. PI/PM will directly submit agreement to ORIC under intimation to Chairman/ Dean/ Director. However, prior permission from the competent authority will be solicited by the researcher to work as Co-PI/Co-Supervisor, research collaboration, negotiation or devising an agreement with the funding agency or collaborating institute.


4. Process of account opening and intimation about received funds will be completed at the earliest by Treasurer’s Office. PI/TL/PM shall be intimated about receipt of funds within minimum possible time to gear up/kickoff the project activities. However, process of account opening will be initiated after the approval of the project and providing the copy of project’s documents to Treasurer Office to initiate the bill processing and to avoid any delay. The process of procurement/hiring of HR may also be initiated however, the supply order/appointment orders/offer letter will be issued upon receipt of funds. To avoid the laps of funds of first release of the project, funds may be collected in “Project Collection Account” instead of waiting account opening. In case of joint account PI/PM will maintain the stock/stock register, BCR, Cash books, vouchers and project related all correspondence to present to the Auditor on “as and when needed basis” and will have over to new PI/PM/TL prior to leaving the university for joining other institute are retirement. PI/PM will be responsible for disbursement of cheques accordingly. No bill will be entertained after the expiry of prescribed period of the project unless extension is granted by the respective funding agency.


5. Items up to Rs. 500,000 can be purchased directly from Metro through the supply order of Treasurer UAF otherwise PI/PM/TL will have to deposit tax at the time of bill processing/payment. However, Treasurer UAF will explore such more super stores like chase up, Imtiaz, Alfateh, SB Store or any store generating sale tax invoice to facilitate the researchers and mode of purchase will be communicated to all the PIs. Chemical/glassware, IT etc. may however be procured through framework contract. Piece meal procurement and purchase from the same head of the account may be made with at least four weeks gap and it would be better to avoid the exercise repeatedly. Purchase through Purchase Committee/Tender Committee will be appreciated if provision of substantial amount is available in the relevant head of account. All PPRA and financial rules will be followed in letter and spirit. The Treasurer UAF may communicate the researchers any change/ amendment/ facilitation extended by Govt. agencies from time to time.


6. Selection Committee (comprising of Project Manager / Team Leader / Principal Investigator (Convener), Dean / Director concerned or Representative, Chairman of the Department concerned or Representative, Registrar or his nominee) for contractual staff in the project(s) may recommend two candidates one as Principal and other as Alternate Candidate so that in case of leaving the university/degree completion of Principal Candidate (within six months starting from the date of issuance of offer letter) Alternate Candidate may be offered the post to continue the research work, otherwise the post will have to be re-advertised (PI may opt to re-advertise the post straight away). The appointment will be subject to the verification of terminal degree(s)). In the offer letter, name of the position shall be mentioned with CNIC and parentage. To make this process more simple, following guidelines will be followed:
• Applications will be received on the prescribed form of UAF (available at www.uaf.edu.pk) by the concerned P.I/P.M/T.L and will be processed after the last date of submitting the applications. He / She will ensure that record of received applications is properly maintained through entries in the register with proper sealing/signatures on the register on the closing date.
• Selection Committee for contractual staff in the project(s) may recommend two candidates one as Principal and other as Alternate Candidate. To make this process more simple, permission from ORIC may be enough where ORIC will be responsible to forward it for publication in the Campus News / ORIC News / National Press with intimation to the Registrar while expenses of the advertisement in the National Press will be borne by ORIC with a collective advertisement on monthly basis provided that there is no provision of funds in the approved project for advertisement. The advertisement must have clear indication of per month salary (specifically in Pak Rupees) and the rate of conversion of foreign currency will be determined on the date of receipt of funds in the project account and status will remain intact till the consumption of the received funds. On receipt of next installment, the salary shall be revised by the P.I/P.M/T.L according to the foreign exchange rate of the released funds under intimation to the offices of the Treasurer/Registrar and ORIC. After appearing of the advertisement in the Campus News/National Press, the PRP Department will send the copy of the same to ORIC for record. For studentship out of the project funds, the advertisement in the Campus News will be enough.
• The Selection Committee will conduct interview of the candidates and send recommendations to the Registrar Office along with data on the prescribed Score Card (available on www.uaf.edu.pk) in the order of merit for issuing offer letter ensuring that funds of the subject project have been received in the university account.
• The process of recruitment may be started by the Project Manager concerned immediately after signing / approval of the project, however, offer letter to the selected candidate will be issued after the receipt of funds in the university account.
• In case there is single applicant, the post/position will be re-advertised. If again single application is received in response to the repeat advertisement, it shall be processed as above.
• In case after the advertisement published in the National Press, interview process is not completed within six months due to one or the other reason, the subject post(s) would be re-advertised and respective P.I/P.M/T.L would bear the expenses of the re-advertisement.
• Salary/wages bill of the project staff will be submitted on monthly basis upon the availability of the funds, however, submission of bills after un-necessary delay will be discouraged.
7. Monitoring and Evaluation (M&E) system will be developed at ORIC to ensure efficient & precise execution of projects and timely submission of final technical reports with fulfillment of other codal formalities. For this purpose a request for hiring of M&E Consultant/full time M&E specialist will be made to the competent authority to work in close liaison with ORIC and complete the task as assigned by the ORIC Steering Committee.


8. Technical Report will be submitted directly to ORIC with intimation to Dean/ Chairman/ Director. Expenditure statement shall be processed and signed by Treasurer. Annual Technical Report will be sent by ORIC without permission while Final Technical Report



will be sent to funding agency with the approval of the Vice Chancellor. However, the PI shall ensure expenditure reconciliation with the Treasurer’s office on quarterly or six monthly basis for timely signatures of the financial report by the Treasurer.



9. Director ORIC with the approval of the Vice Chancellor may notify Co-PI as PI if PI/PM proceeds abroad for more than one month so that project activities may not suffer subject to the provision in the project. In case any faculty member intends to proceed abroad, case for obtaining NOC shall be routed through ORIC so that status of the project (if any) is communicated to Registrar Office for onward submission to the Vice Chancellor. Co-PI under Stop Gap Arrangement will seek consent of PI for major expenses > Rs. 100000. In case there is no provision of Co-PI in the approved PC-I, PI may propose the most suitable person for Stop Gap Arrangement who will be notified by ORIC with the approval of the Vice Chancellor. In case the PI does not propose someone for Stop Gap Arrangement, Director, ORIC will propose someone with relevant expertise in consultation with Chairman/Director to the Vice Chancellor for approval. As per HEC Policy, if PI is to be changed or Co-PI is to be tasked as PI, following documents are pre-requisites to be sent to HEC:
• Applications will be received on the prescribed form of UAF (available at www.uaf.edu.pk) by the concerned P.I/P.M/T.L and will be processed after the last date of submitting the applications. He / She will ensure that record of received applications is properly maintained through entries in the register with proper sealing/signatures on the register on the closing date.
• Selection Committee for contractual staff in the project(s) may recommend two candidates one as Principal and other as Alternate Candidate. To make this process more simple, permission from ORIC may be enough where ORIC will be responsible to forward it for publication in the Campus News / ORIC News / National Press with intimation to the Registrar while expenses of the advertisement in the National Press will be borne by ORIC with a collective advertisement on monthly basis provided that there is no provision of funds in the approved project for advertisement. The advertisement must have clear indication of per month salary (specifically in Pak Rupees) and the rate of conversion of foreign currency will be determined on the date of receipt of funds in the project account and status will remain intact till the consumption of the received funds. On receipt of next installment, the salary shall be revised by the P.I/P.M/T.L according to the foreign exchange rate of the released funds under intimation to the offices of the Treasurer/Registrar and ORIC. After appearing of the advertisement in the Campus News/National Press, the PRP Department will send the copy of the same to ORIC for record. For studentship out of the project funds, the advertisement in the Campus News will be enough.
• The Selection Committee will conduct interview of the candidates and send recommendations to the Registrar Office along with data on the prescribed Score Card (available on www.uaf.edu.pk) in the order of merit for issuing offer letter ensuring that funds of the subject project have been received in the university account.
10. Permanent assets purchased out of the project funds shall be book transferred to the department/ Institute and retained with PI or in the lab where PI/PM completed the project so that he/ she may further utilize the same and be made available to the other researchers. The information of book transfer will be shared with ORIC as well as Treasurer UAF record to be used on as and when needed basis. The PI/PM/TL will be bound to ensure the transfer of permanent assets purchased out of the project to the respective department with submission of final technical report of the project. For seeking clearance from ORIC, the PI/applicant is bound to produce project stock register (indicating the purchase of permanent items) in original as well as copy of the same alongwith copy of departmental /institute stock register (indicating the transfer of permanent items to Department / Institute) for verification & record.


11. The researchers will have to solicit prior permission from ORIC to disclose an innovative process/product for commercialization or offer to commercialize. ORIC will receive information about innovative technology/ product along with empirical data (if applicable). ORIC will constitute a committee of experts with the approval of the Vice Chancellor to conduct the meeting of the committee of experts on case to case basis. The committee will evaluate technology/ process/product and finally submit its recommendations to ORIC who will allow the researcher to launch the process/ product /technology for commercialization with prior approval of the Vice Chancellor. All types of advertisements regarding technology/product/process through print, electronic and social media without prior approval of the committee will be strictly prohibited to safeguard the credibility of UAF and violation may be subjected to disciplinary action.


12. Parent Institute (UAF) & funding agency must be acknowledged in the patent/research publication or commercialization of research or while presenting at some forum.


13. For use of vehicle, PIs are required to pay POL and TA of driver while university will charge rent of vehicle from the PI also. The PI/PM/TL will have to manage the payment of POL, TA and rent of vehicle out of the relevant budget head. In case PI/PM/TL uses personal car for project activities, he/she will have to solicit prior approval from the competent authority well before time along with NAC from the In-charge Motor Pool otherwise his/her claim will not be entertained.


14. For the recruitment of Daily Paid Laborers (DPLs) in the research projects, the following guidelines/SOPs will be followed provided that funds are available in the approved project document/PC-I:
• Applications will be received on the prescribed form of UAF (available at www.uaf.edu.pk) by the concerned P.I/P.M/T.L and will be processed after the last date of submitting the applications. He / She will ensure that record of received applications is properly maintained through entries in the register with proper sealing/signatures on the register on the closing date.
• Selection Committee for contractual staff in the project(s) may recommend two candidates one as Principal and other as Alternate Candidate. To make this process more simple, permission from ORIC may be enough where ORIC will be responsible to forward it for publication in the Campus News / ORIC News / National Press with intimation to the Registrar while expenses of the advertisement in the National Press will be borne by ORIC with a collective advertisement on monthly basis provided that there is no provision of funds in the approved project for advertisement. The advertisement must have clear indication of per month salary (specifically in Pak Rupees) and the rate of conversion of foreign currency will be determined on the date of receipt of funds in the project account and status will remain intact till the consumption of the received funds. On receipt of next installment, the salary shall be revised by the P.I/P.M/T.L according to the foreign exchange rate of the released funds under intimation to the offices of the Treasurer/Registrar and ORIC. After appearing of the advertisement in the Campus News/National Press, the PRP Department will send the copy of the same to ORIC for record. For studentship out of the project funds, the advertisement in the Campus News will be enough.
• The Selection Committee will conduct interview of the candidates and send recommendations to the Registrar Office along with data on the prescribed Score Card (available on www.uaf.edu.pk) in the order of merit for issuing offer letter ensuring that funds of the subject project have been received in the university account.
• The PIs/PMs/TLs will have the authority to sanction DPLs expenditure and further extension in engagement as per delegation of powers already approved
• The PIs/PMs/TLs will send the request to advertise the DPL posts in the Campus News to Director ORIC clearly indicating the availability of funds in the approved PC-I of the project, rate of wages on per day basis and the nature of hiring of DPL in case of special provision in the project, other while general rates notified by UAF will be applicable.
15. DPLs/Research staff (Research Officer, Research Associate, Research Fellows, Research Assistants, Field Assistants, Lab. staff, Computer Operator etc. specifically recruited for research project activities) shall be exempted from E-attendance. However PI will produce certificate for their work


16. Research Staff/Students working in projects who intend to proceed abroad shall be bound to submit an undertaking to Registrar Office/DGS clearly indicating that they will ensure their return back to UAF. For students, the Directorate of Graduate Studies will furnish the case after due scrutiny to the Registrar. The Registrar Office will notify and communicate to DGS and ORIC after due process.


17. ORIC has already setup an instrument repair cell at Central Hi-Tech Lab. PIs may contact ORIC as and when needed for repair of their instrument. The In charge Central Hi-Tech Lab. will devise a feasibility report for extending the scope of this repair cell with necessary budget projections and technical staff required.


18. In case release of funds is delayed in a project, which may suffer the committed activities, the PI may request for bridge financing from ORIC subject to commitment by the funding agency. The ORIC may extend bridge finance with due approval to facilitate the research activities. However, the PI shall be bound to get it adjusted at the earliest.


19. To facilitate the researchers and mitigate the uncertainty in the rate of foreign currency, ORIC will allocate a sizeable budget for financial support in case the purchase of equipment is disturbed due to price hike, necessary compensation may be provided as a financial support. However, a committee comprising of Director ORIC, Director P&D, Director DPIC and Treasurer UAF will evaluate the request before recommending to the Vice Chancellor for final approval.


20. Billing for purchases will follow the Govt. rules. If bills are delayed for want of funds the date of bill will be the same in accordance with the purchase but claim may be submitted after the receipt of funds. In case of Indigenous PhD Fellowship by HEC, funds may be utilized up to the submission of hard bound thesis.


21. ORIC shall arrange training workshops/capacity buildings workshops followed by hands on trainings on project management with prime focus on financial management/ documentation of consumables and other project items at main campus as well as UAF Sub-Campuses. In the capacity building sessions for the PIs/PMs/TLs, the staff dealing with financial matters of the projects will also be invited in the training.


22. The PI/PM/TL will be entitled to receive incentive/honorarium as provided in the approved project document. Request for honorarium by the PI/PM/TL will be routed through ORIC (on a prescribed proforma) while ORIC will verify submission of technical and financial reports (in case of Annual Reports). In case of completion of the project along with above mentioned pre-requisite, completion report (on the prescribed proforma of the funding agency) transfer of permanent item to the Department/Institute, sending of unspent balance



to the funding agency will also be verified by ORIC prior to forwarding the case to the Registrar for notification after seeking approval from the Competent Authority.



23. At UAF for hiring the services of Secretariat Staff in managing account matters for execution of project(s), Accountant/Accounts Officer/ Admin. Officer/ Stenographer/ Office Assistant/ Senior Clerk/Junior Clerk and Lab. staff may be eligible to provide the services under framework of the University. However, services of any official/officer may be hired as Secretariat staff with prior approval of the competent authority.


24. If funding agency/collaborating institute(s) directly provide the equipment or consumables to the researchers in line with the agreement, there will be no financial liability on the part of UAF and PI/PM/TL will document the same by sharing with ORIC as well as Treasurer UAF, so that the subject equipment may be included in the inventory of the Department/Institute.

DIRECTOR ORIC

Copy for information to:

1. All Deans of Faculties/Directors of Institutes/Chairperson of Teaching Departments
2. Principal UAF Sub-Campus Burewala (Vehari), T.T. Singh and Depalpur (Okara)
3. Principal Officer (PRP)
4. All PIs/PMs/TLs of the Research Projects
5. Focal Person CAS
6. Director Graduate Studies
7. Registrar, UAF
8. Treasurer, UAF
9. Director, Procurement and Inventory Control (DPIC)
10. Director Planning and Development
11. Manager Database and University Rankings, ORIC
12. Resident Auditor, UAF
13. In-charge, Central Hi-Tech Lab.
14. In-charge, Motor Pool
15. Accounts Officer (Pre-Audit & Disb.)
16. Account Officer (Development)
17. Account Officer ORIC
18. Secretary to the Vice Chancellor