operations manual for academic innovation fund

i

Higher Education Quality Enhancement Project

HEQEP

Operations Manual for

Academic Innovation Fund

(Third Edition)

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University Grants Commission of Bangladesh

Ministry of Education Government of the People’s Republic of Bangladesh

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Operations Manual for Academic Innovation Fund

AIFOM Revision Committee:

Professor Dr. A.K. Azad Chowdhury, Chairman UGC

Professor Dr. Atful Hye Shibly, Member, UGC

Professor Dr. Mohammad Mohabbat Khan, Member, UGC

Professor Dr. M. Muhibur Rahman, Member, UGC

Professor Dr. Abul Hashem, Member, UGC

Professor Dr. Md. Akhtar Hossain, Member, UGC

Ms. Kaniz Fatema, ndc, Project Director, HEQEP

Mr. Md. Korban Ali, AIF Coordinator, HEQEP

Dr. Mohd. Mozammel Hossain Chowdhury, Program Officer, HEQEP

Professor Dr. Md. Mozahar Ali, AIF Management Specialist, HEQEP

Published by:

Higher Education Quality Enhancement Project (HEQEP)

Dhaka Trade Centre (8th Floor), 99 Kazi Nazrul Islam Avenue

Karwan Bazar, Dhaka 1215, Phone: 8189020-24, Fax 8189021

E-mail: [email protected], Web: www.heqep-ugc.gov.bd

University Grants Commission of Bangladesh (UGC)

21/1, Agargaon, Sher-e-Banglanagar, Dhaka 1207

Phone: 8112629, 9122011, Fax: 8122948, 9114707

E-mail: [email protected], Web: www.ugc.gov.bd

Third Edition: December 2013

Copyright reserved by the University Grants Commission of Bangladesh. No part

of the publication may be reproduced, stored in retrieval system, or transmitted

into any form or by any means, i.e., electronic, mechanical, photocopying,

recording, or otherwise, without prior permission in writing form the copyright

authority.

Printed by:

mailto:[email protected]

http://www.heqep-ugc.gov.bd/

mailto:[email protected]

http://www.ugc.gov.bd/

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Operations Manual for Academic Innovation Fund

Foreword Preface Introduction

Table of Contents

Contents Page No. 1 Strategic Context 1 2 The Higher Education Quality Enhancement Project (HEQEP) 2 3 The Academic Innovation Fund (AIF) 3 4 Objectives of Academic Innovation Fund 3 5 The AIF Coverage 5 6 Specific Objectives of AIF 5 7 Beneficiaries and Expected Results 6 8 Performance Indicators 9 9 Grouping of Universities 10 10 The AIF Investment Windows 11 11 The AIF Windows 11 12 The AIF Allocation 13 13 Indicative Eligible Expenditure 17 14 Earning by Sub-projects 21 15 Eligibility for Receiving AIF Grants 21 16 Matching Funds from Private Universities 22 17 Call for Proposals 22 18 Proposal Submitting Entities 22 19 Submission of Proposals 23 20 Institutional Arrangements for Proposal Evaluation/Selection 23 21 Proposal Submission & Evaluation Procedure 24 22 Institutional Arrangement 27 23 Total Proposal Evaluation/Selection Period 28 24 University AIF Secretariat (UAIFS) 30 25 Proposal Evaluation/Selection Process 31 26 AIF Secretariat of UGC (UGCAIFS) 31 27 Terms of Reference of UGCAIFS 31 28 Functions of UGCAIFS 32 29 Pool of Peer Reviewers and Committee of Experts 33 30 The Area Review Panels (ARPs) 34 31 Functions of Peer Reviewers 34 32 Evaluation Criteria for Peer Reviewers 34 33 UGC Board for AIF (UGCBAIF) 37 34 Terms of Reference of the UGCBAIF 37 35 Final Selection Period 38 36 Technical Comments by IDA 38 37 Sub-project Management 38 38 Disposal of Appeal 40 39 Performance Contract 40 40 Dispute Resolution 40 41 AIF Effectiveness Condition 40 42 Duration of AIF Sub-projects 41 43 Financial Management 41 44 Procurement 45 45 Monitoring and Evaluation 55 46 Environment Management Framework (EMF) 56 47 Social Management Framework 59 48 Monitoring of Sub-projects 59 49 Audit 60 50 Sanctions 61 51 Amendment 61

REFERENCES 62

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List of Tables Table 1 Beneficiaries and Expected Results from the AIF Table 2 AIF Allocation in Third Round by Windows, Disciplines and Individual

Size of Grants Table 3 AIF Allocation to three Groups of Universities in the Third Round Table 4 Evaluation Criteria for Complete Sub-project Proposals by Peer Reviewers List of Figures Figure 1 Institutional Arrangement for AIF Proposal Evaluation/Selection Figure 2 Complete Proposal (CP) Selection Process Flow Chart Annexes Annex 1 Concept Note on SWOT Analysis Annex 2 Concept Note on Performance Indicators Annex 3 Group List of Universities Annex 4 AIF Sub-project Management Incentives Annex 5 Complete Proposal (CP) Format for Improvement of Teaching-learning at

Undergraduate and Master’s Level

Annex 6 Complete Proposal (CP) Format for Improvement of Research Capabilities

for Postgraduate Programs Annex 7 Complete Proposal (CP) Format for University-wide Innovation Annex 8 Complete Proposal (CP) Format for Technology Transfer Office (TTO) Annex 9 Evaluation Form for ARPs and ERs Annex 10 Complementary Selection Criteria for UGCBAIF Annex 11 AIF Performance Contract for Public Universities Annex 12 AIF Performance Contract for Private Universities Annex 13 World Bank Guidelines on preventing and combating fraud and corruption

in Projects Annex 14 Financial Management Questionnaire (FMQ) Annex 15 Financial Management Guidelines for AIF Sub-Project Annex 16 Formats for Sub-project Quarterly Progress Report Annex 17 Formats for Sub-project Six-monthly Monitoring Report Annex 18 Environment and Safety Checklist for Minor Renovation Works Annex 19 Environment and Safety Checklist for Research and University-wide

Proposal Annex 20 Social Management Framework (SMF) Annex 21 Economic Codes for Development Works

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Abbreviations & Acronyms

ADP Annual Development Program AHSBL Arts, Humanities, Social Science, Business & Law AIF Academic Innovation Fund AIFMU AIF Management Unit (in Private Universities) AIFOM Academic Innovation Fund Operations Manual ARCS Audit Report Compliance system ARP Area Review Panel ARPs Area Review Panels BdREN Bangladesh Research and Education Network BEC Bid Evaluation Committee BOC Bid Opening Committee BOM Bid Opening Minutes C&AG Comptroller & Auditor General of Bangladesh CAO Chief Accounts Officer CD Compact Disc CD-VAT Customs Duty and Value Added Tax CE Committee of Experts CGA Comptroller General of Accounts CONTASA Convertible Taka Special Account CP Complete Proposal CPs Complete Proposals CPFS Consolidated Project Financial Statement CPP Complete Project Proposal CPTU Central Procurement Technical Unit CQ Consultant’s Qualification DA Designated Account DAIF Directorate of Academic Innovation Fund DC Direct Contracting DFA Director, Finance & Accounts (in UGC and Public Universities) DoE Department of Environment DPD Director, Planning & Development DSPM Deputy Sub-project Manager EIA Environmental Impact Assessment EMF Environnent Management Framework EMP Environment Management Plan EoI Expression of Interest ER External Reviewer FA Financing Agreement FAPAD Foreign Aided Projects Audit Directorate FBS Fixed Budget Selection FD Finance Division FM Financial Management FMQ Financial Management Questionnaire FMS Financial Management System GoB Government of Bangladesh HEQEP Higher Education Quality Enhancement Project HEQEPU Higher Education Quality Enhancement Project Unit HEIs Higher Education Institutions IC Individual Consultant ICB International Competitive Bidding ICT Information & Communication Technologies IDA International Development Association

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IFT Invitation for Tender IMED Implementation, Monitoring & Evaluation Division IUFR Interim Un-Audited Financial Report LC Letter of Credit LCS Least Cost Selection M&E Monitoring & Evaluation MDG Millennium Development Goals MEU M & E Unit MoE Ministry of Education MoF Ministry of Finance MoP Ministry of Planning MTBF Mid-term Budget Framework NCB National Competitive Bidding NOA Notification of Award NS National Shopping OA Operating Account OM Operations Manual PA Project Aid PAC Project Audit Committee PAM Project Accounting Manual PD Project Director PEC Proposal Evaluation Committee PFP Procurement Focal Point PFPs Procurement Focal Points PIA Project Implementing Agency PIM Project Implementation Manual PPA Public Procurement Act 2006 PoPA Post Procurement Audit PPR Public Procurement Regulations 2003 PPRP Public Procurement Reform Project PRMP Procurement Risk Mitigation Plan PRSP Poverty Reduction Strategy Paper QBS Quality-Based Selection QCBS Quality and Cost Based Selection RFP Request for Proposal RIBEC Reform in Budgeting and Expenditure Control SAN Statement of Audit Needs SBD Standard Bidding Document SoE Statement of Expenditure SPM Sub-project Manager SPMT Sub-project Management Team SPP Sub-project Proposal SSS Single-Source Selection TEC Tender Evaluation Committee TER Tender Evaluation Report TOC Tender Opening Committee ToR Terms of Reference TTO Technology Transfer Office UAIFS University Academic Innovation Fund Secretariat (Public Universities) UGC University Grants Commission of Bangladesh UGCAIFS University Grants Commission Academic Innovation Fund Secretariat UGCBAIF University Grants Commission Board for Academic Innovation Fund UNDP United Nations Development Program WB World Bank WBOD World Bank Office Dhaka

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Preface to Third Edition (((DDDrrraaafffttt)))

The Academic Innovation Fund (AIF) is the cornerstone of Higher Education Quality Enhancement Project (HEQEP) funded jointly by the GoB and the World Bank and being implemented by the University Grants Commission of Bangladesh. The objectives of this component are twofold: (i) to establish enabling conditions to improve the quality and relevance of teaching, learning and research in universities, and (ii) to introduce an efficient instrument for the allocation of additional public funds to the higher education institutions to promote innovation and accountability. Under the AIF component, the entities of Bangladesh tertiary education institutions and their academic staff are invited to formulate project proposals which are evaluated and selected by panels of peer reviewers according to transparent procedures and criteria. Moreover, it is expected that the inbuilt incentive system in AIF would promote changes in organizational behavior, professional attitudes and institutional culture through awards for creative thinking. The first round of this competition was launched in May 2010 and the second round in June 2011. UGC is happy to note that the universities responded overwhelmingly to the first and second rounds AIF proposal calls; 30 public and 10 eligible private universities submitted about 1200 proposals in these two rounds of AIF. This number reflected the genuine interest and commitment the Bangladeshi academics have for improving the quality and relevance of our tertiary education which is expanding quite rapidly to accommodate the burgeoning number of higher secondary graduates. It was a grueling job for the academics to screen and evaluate these proposals by following a very transparent and fair review procedure. UGC was happy to allocate Tk. 3720.6 million to 197 sub-projects of 29 universities- 26 public and 03 private.

Inspired by satisfactory implementation and encouraging outcome of these two rounds, it has been decided to launch a third round of AIF with additional funding from IDA. For the third round we are expecting to allocate about Tk. 2397.0 million for the entities of public and eligible private universities. We published operations manuals for both first and second rounds of AIF to assist the stakeholders. Based on the experiences of the first two rounds, changes have been made in the third round which necessitates publishing this revised operations manual (3

rd Edition). The stakeholders of third round AIF are

requested to adhere to this 3rd

edition of AIF operations manual.

UGC is confident to witness much more enthusiastic responses to the third round proposal call from the universities. We are also on a much firmer ground now with the experience gained through the processing of first and second round proposals whose implementation at the universities began in 2011. About half of these sub-projects are now about to be completed. It is encouraging that sub-project managers (SPMs) are executing responsibilities with high professionalism and so far no significant deviation has been witnessed.

I take this opportunity to thank my numerous colleagues in the universities who have come forward with great enthusiasm and sincerity to promote innovation in their respective institutions and build a strong higher education system in Bangladesh by engaging themselves in AIF. The foundations of knowledge economy are put together at the lecture rooms and laboratories of universities. Also, I gratefully acknowledge the excellent cooperation and valuable assistance UGC and the HEQEP unit have received from the Ministry of Education and the World Bank in carrying out the project implementation tasks.

(Prof. Dr. A K Azad Chowdhury)

Chairman


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FOREWORD

The enhancement of quality in higher education has become a global concern as it plays

pivotal role in the overall development of a country. All countries in the world, both

developed and developing, are striving for achieving quality in their higher education system.

Stakeholders of tertiary education including parents and students are also highly conscious

about quality of education. In the face of this global competition, improving the quality and

relevance of the teaching-learning and research environment in higher education institutions

in Bangladesh through encouraging innovation and accountability in universities, is now at

the top of the agenda in the government’s concerns and initiatives. The present government

has commenced several far-reaching endeavours to enhance the quality of tertiary education.

As a result, remarkable progress has been made in this sector during the last five years. The

Higher Education Quality Enhancement Project (HEQEP) is one of the flagship projects of

the Ministry of Education that has been designed to achieve that objective and I note with

satisfaction that it has made steady progress during the last four and half years and is on

track to attain that objective. I am confident that with hard work and commitment to the

country we shall be able to do that.

It is really a matter of happiness for the entire higher education community of the country

that the satisfactory performance of HEQEP prompted the Ministry of Education to plan for

scaling up of activities and to add new components to the project. Inclusion of Round 3 of

AIF in the project has been possible due to additional funding of the World Bank to the

expanded design of the project. Research collaboration with industries and establishment of

quality assurance mechanism will be the two new activities that have been included in the

extended project. A strong university-industry research linkage would assist in creating an

innovation ecosystem for the first time in the country and establishment of QA mechanism

would fulfill a much needed accreditation activity that would help to improve the quality of

tertiary education in Bangladesh. Accordingly the DPP of the project has been revised and

the legal framework is being designed. I thank the World Bank for providing additional

funding for the extended project following our request.

The 3rd Operations Manual (OM) addresses the new issues and concerns that emerged in the

course of last two rounds of AIF competition. The experiences and lessons learned have

made the UGC and project implementation officials more skilled. I believe these have been

reflected in this version and would prove to be the indispensable guideline for the UGC,

universities, subproject managers and project officials for successful implementation of AIF.

I take this opportunity to congratulate the UGC and concerned HEQEP officials for revising

the Manual which was not an easy task. I may mention with pride that drafting such an

Operations Manual for implementation of a complex project is no mean feat and very few

institutions of Bangladesh and other countries have produced such an excellent guideline. I

hope that the project would succeed in achieving the objectives of the component by devoting

the same level of excellence and expertise.

We are happy to note that the private sector has also come forward to meet this challenge and

is generously contributing towards building a robust tertiary education sector along with

government. Government has already put in place a regulatory framework for the private

universities and this would remove the weaknesses from the sector that was prevalent a few

years ago.

Dr. Kamal Abdul Naser Chowdhury

Secretary Ministry of Education

Government of the People’s Republic of Bangladesh

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Introduction to Third Edition

In the introduction to this Manual’s first edition the concept of AIF and the whole

organizational set up for its implementation including management at the institutional

levels was explained in detail. That information still remains fully relevant and will be

useful to the concerned stakeholders for the third round of AIF; so we have decided to

leave it intact as a point of reference for AIF implementation.

The first round of AIF began in May 2010; eligible 33 universities took part in this

competition. Out of 726 competing sub-projects, only 91 of them from 27 universities (25

public and 02 Private) won in this competition; Tk.1828.89 million were awarded to

these sub-projects. Most of these sub-projects have completed their activities

successfully; the remaining ones will be completed within December, 2013. In the

meantime, a second round began in June 2011 and 40 public and private universities took

part in this competition. Out of 590 competing sub-projects, 106 from 27 universities (25

public and 02 Private) won in this round; Tk 1887.22 million were awarded to these sub-

projects. More than two-thirds activities of these sub-projects have been successfuly

completed. Meanwhile, the Interim Impact Assessment Study (IIAS) carried out by the

HEQEP has shown that the achievement of Project Development Objectives (PDO)

related to AIF have been satisfactory. The report states that AIF has achieved (i)

increased satisfaction in all key stakeholders (students, faculties and employers), (ii)

accelerated fund utilization by the sub-projects, and (iii) institutionalization of

competitive funding mechanism according to schedule.

The experience we gained in the course of two rounds of AIF has given us some insight

for sharpening and pruning some of the procedural mechanism for processing and

implementation of the third round. The changing circumstances at the universities in the

past three and a half years also necessitated to bring in some modifications. The areas

where revisions have been made are as follows:

Grouping of universities has been reorganized;

Allocation to windows, upper and lower limit of budget of individual sub-project

and ceiling to groups of universities have been revised;

Dropped the provisions for submitting sub-projects on (a) Self-assessment

(Window-1) and (b) Promoting innovative research for developing capabilities of

faculties (Window-2);

Introduced new sub-project option for establishing Technology Transfer Office

(TTO) under Window-3 at university level;

Changes have been made in CP format; names of SPMT, entity and university

have been shifted from beginning to the end for keeping these names hidden for

evaluation;

Sub-project proposal submission procedure has been simplified; entities will not

require to submit Preliminary Proposal (PP), instead they will submit Complete

Proposal (CP) directly to the UGCAIFS through UAIFS endorsed by the Vice-

chancellor;

Overall proposal processing period has been reduced from 34 weeks to 20 weeks

by adjusting some individual timelines;

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Provision for screening PPs by UPSC has been dropped and closed-door

evaluation of CPs by ARP/ERs will be carried out at UGC;

The SPMs of first & second round will get preference for becoming ARP/ERs for

third round; however the SPMs and DSPMs of the third round AIF sub-project

applicants shall not be eligible for becoming ARPs/ERs for this round.

The SPMs of first and second round sub-projects will not be eligible for

submitting sub-projects as SPM in third round; also entities awarded Window-1

sub-projects earlier will not be eligible for submitting another Window-1 sub-

project in third round.

For speeding up the procurement process of each procuring entity, inclusion of

SPM or a member of SPMT in the BOC/POC & BEC/PEC has been

emphasized;

A new window 4: Innovation and University-Industry Collaboration under AIF will

also be funded in its third round. These sub-projects will form productive university-

industry interactions- the very core of national innovation ecosystem. This will consist of

two sets of funding: (i) University-industry collaborative research funds; and (ii)

industrial research fellowships. A separate operational manual will be developed for this

window.

From the HEQEP implementation unit centrally we could see that the major hurdles the

first and second round SPMs encountered were procurement and financial management

(FM). This was anticipated too considering the academics’ non-exposure to project

implementation activities previously. For this reason the project put extra efforts for

organizing training of stakeholders on procurement and FM during the last three years

and several batches of academics and officials have undergone the exercise. The HEQEP

unit is adequately staffed to meet this challenge and we are happy to observe that the

SPMs have already demonstrated their abilities to pick up these rather thorny subjects

quite well. We are confident that the third round SPMs would equally be adaptive to learn

the very important but dismal job of procurement and FM of their sub-projects.

In this regard we would like to remind the fact that although carried out in an

environment of full autonomy, AIF sub-projects nevertheless are essentially development

endeavor like any other public sector project and therefore follows the same

implementation mechanism including rules and regulations laid down for government

implementing agencies. It might be instinctive for a SPM to consider a sub-project as

his/her personal initiative in the atmosphere of academic freedom that characterizes the

public or private universities in Bangladesh. While this feeling has some positive aspect

in the sense that the SPM has to take the full responsibility for the whole range of

activities of sub-project implementation, it should always be kept at the back of his/her

mind that it is a collective venture of the proposal submitting entity and the objective of

AIF is improvement of quality and relevance of higher education at the institutional level

that would benefit the country.

We are happy to announce that beside AIF, implementation of BdREN, the other most

important component of HEQEP has progressed quite well. At this moment six

universities around Dhaka are connected with the BdREN network operating center

(NOC) located at UGC. By the time third round sub-projects will be implemented, most

public universities will be connected and begin to reap the benefits of high performance

connectivity that could only be dreamt of a few years ago. It is needless to say that

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BdREN would transform the digital landscape of Bangladesh higher education and

tremendously contribute to improve the quality and relevance of tertiary education in

tandem with AIF and actually assist in achieving one of the major outcome indicators of

the HEQEP, i.e., “increased proportion of students and faculty staff with access to

advanced internet connectivity”. The BdREN would raise the standard of teaching-

learning and research activities to the first world level. We request the SPMs and the

universities to fully utilize the facilities established by BdREN.

Another important breakthrough in the activities of HEQEP is introducing a new

component (Component 4) for Establishment of Quality Assurance Mechanizm

(QA). The HEQEP has almost completed implementation of 25 Self-Assessment sub-

projects in 15 public universities of Bangladesh. The initial scucess of these sub-projects

has convinced the stakeholders of higher education, most particularly the UGC, MoE,

Vice-Chancellors, academics, students and employers to expand the QA activities in all

public and private universities. As a result the IDA has agreed to finance this component

costing US$ 36.8 Million for coming four years. The two sub-components of this QA

mechanizm are: (a) Establishment of QA Mechanism at the National Level; this will

ultimately end in development of a Quality Assurance and Accreditation Council for

Bangladesh (QAACB), and (b) Establishment of QA Mechanism at the Institutional

Level: this will help in establishing Quality Assurance Unit (QAU) within UGC and

Institutional Quality Assurance Cells (IQAC) at all universities. Separate Operations

Manuals for IQA and QAACB will be developed for respective QA activities.

Regarding important matters concerning AIF management and implementation we

request the readers to go through the introduction to the first edition. We would only urge

the sub-project implementing entities and SPMs to follow the guidance provided in this

Manual and contact the UGCAIFS staff for any sub-project implementation matter they

find difficult to deal with. We at the HEQEP unit are always ready to extend all kinds of

assistance for the steady progress of AIF.

In conclusion we would like to express our sincerest thanks to the academics and staff of

the universities who participated in the first and second round proposal call competitions

for their highly enthusiastic engagement with the AIF. This reflected the tremendous urge

they feel for promoting academic innovation in Bangladesh’s higher education sector.

We also congratulate those universities and entities who came out successful in receiving

awards in these two rounds.

We wish a grand success to all of them.

Kaniz Fatema ndc

Project Director


1 AIF Operations Manual: 3rd Edition

University Grants Commission of Bangladesh Higher Education Quality Enhancement Project

Academic Innovation Fund Operations Manual (AIFOM)

It is not the strongest of the species that survive,

nor the most intelligent,

but the one most responsive to change.

- Charles Darwin

1 Strategic Context

1.1 The Changing Scenario

The final decades of the last century has ushered in a new era of economic and

social order across the globe affecting all societies and humankind. This age is

fundamentally different from all previous stages of civilization. While the 20th

century was known as industrial age and dominated by fossil fuel and nuclear

power, the new millennium has been designated as post-industrial age driven by

knowledge economy based on ICT. It has transformed all known methods of

production in all types of economy and breaking all kinds of barriers between

peoples, societies and states and integrated them into one global community. This

new order is known as globalization. The old adage ‘knowledge is power’ has

taken new meaning and has become the most important force in moving the

society towards development.

1.2 Higher Education and Development

Globalization, the increasing importance of knowledge and ICT has brought

forward unprecedented challenges before the tertiary education. Education in

general and tertiary education in particular, is now more catalytic than ever in the

construction of knowledge economies. Tertiary education exerts a direct influence

on the productive capacities of the country which largely determines the level of

economic development and its ability to compete in the global economy.

University education provides the much needed thrust to knowledge driven

economic growth and poverty reduction by (i) producing a trained and qualified

labor force of scientists, technicians, teachers, professionals, civil servants,

managerial and financial experts, (ii) generating new knowledge, and (iii) creating

the access to global knowledge pools and adapt that knowledge to country’s use.

Sustainable growth and development are not possible without the capacity-

enhancing contribution of an innovative tertiary education system. This is

especially relevant for Bangladesh with deficient institutional capacity and

underdeveloped human capital.

1.3 Bangladesh’s Predicament

The Bangladesh government (GoB) fully recognizes that the country is at a risk of

being further marginalized in a highly competitive global economy because its


tertiary education systems are not adequately prepared to capitalize on the creation

and use of knowledge. It also realizes that the state has a responsibility to put in

place an enabling framework that encourages tertiary education institutions to be

more innovative and responsive to the needs of changing market requirements for

producing advanced human capital and to prepare the graduates for the globally

competitive knowledge economy. In this context Bangladesh intends to avail the

opportunities offered by globalization and ICT to build a knowledge society.

Moreover improving the quality of its tertiary education is vitally necessary to

achieve the Millennium Development Goals (MDGs) and the higher education

sector development objectives as delineated in GoB’s Sixth Five Year Plan (2011-

2015) and in National Education Policy 2010.

2 The Higher Education Quality Enhancement Project (HEQEP)

2.1 Against this backdrop the Ministry of Education (MoE) with the assistance of the

World Bank (WB) started implementation of a Higher Education Quality

Enhancement Project (HEQEP) from the FY 2009-2010.1 The main objectives of

the project were to improve the quality of teaching-learning and research

capabilities of the tertiary education institutions of the country through encouraging

both innovation and accountability and by enhancing the technical and institutional

capacity of the higher education sector. It aimed to strengthen and develop the

quality and standard of higher education and research in Bangladesh through three

major activities:

(i) Promoting Academic Innovation in universities to overhaul the quality and

relevance of teaching-learning and research (Component 1);

(ii) Building Institutional Capacity of the Bangladesh University Grants

Commission and the Universities (Component 2);

(iii) Raising Connectivity Capacity in the Higher Education Sector (Component 3);

The project implementation unit established for the implementation, management,

monitoring and evaluation of the activities comprised the fourth component and

named HEQEP Unit (HEQEPU). Estimated total cost of original HEQEP was

US$ 91.8 million (Tk 6810.4 million)2 and duration was five years commencing

from FY 2009-2010 and closing in FY 2013-14. The University Grants

Commission of Bangladesh (UGC) is the implementing agency of the project.

2.2 The project was restructured in January 2013 to facilitate full achievement of

project objectives and to ensure the sustainability of reforms introduced under the

project. As part of the restructuring, the project implementation period was

extended up to October 31, 2015. The project activities towards achieving the

development objectives made steady progress and its performance attained

satisfactory rating by April 2013. The project undertook an Interim Impact

Assessment Study (IIAS) in June 2013 and its findings showed strong evidence

1 The project was officially launched on May 14, 2009.

2 In 2009 US$-Taka exchange rate. IDA credit US$ 81.0 million and GoB’s contribution US$ 10.8 million.


that the project is on track for reaching its development objectives, especially under

component 1 (AIF) which succeeded in vastly improving the teaching-learning

and research infrastructure in institutions where HEQEP interventions took place,

satisfaction level of stakeholders rose up to the targeted stratum, majority of

teaching-learning and research subprojects’ performance indicated the likelihood

of gaining expected outcomes. Against this backdrop the GoB requested IDA for

additional financing aiming at expansion of project interventions and adding new

activities to broaden the scope, build up on the reforms initiated under the original

project and to ensure the sustainability of achievements. With expanded activities

under all four components described above, new activities will be included and the

project closing date will be extended up to December 2018. The revised total

estimated cost of HEQEP with additional financing will amount to US$ 238.1

million (Taka 19024.19 million).3

2.3 The estimated total cost of component 1 of HEQEP: Academic Innovation Fund

(AIF) in revised project amounts to US$93.2 million (Taka 7446.68 million)4.

Under the component 1 a third round of AIF will be included in addition to the two

rounds that were in the original project design and scheduled to close by December

2013.

2.4 This third edition of AIFOM would exclusively deal with the new round 3 of the

AIF.5

3 The Academic Innovation Fund (AIF) 3.1 The estimated total cost of the AIF round 3 amounts to US$ 30.0 million (Taka

2397.0 million. The GoB would provide the AIF as grant to the universities for the

selected AIF sub-projects through UGC. The funding will be administered and

awarded by the UGC under a rigorous evaluation and selection procedure

delineated in this Operations Manual.

4 Objectives of Academic Innovation Fund

4.1 The general objectives of this component are to: (i) establish enabling conditions

to improve the quality and relevance of teaching, learning and research in

universities, and, (ii) to introduce an efficient instrument (AIF) for the allocation

of additional public funds to the higher education institutions with emphasis on

innovation and accountability. Its broad objective will be to produce advanced

human capital in the form of highly skilled university graduates who would move

the country towards higher productivity, economic growth and development.

3 In 2013 US$-Taka exchange rate. IDA 206.0 million and GoB’s contribution US$ 32.1 million.

4 In 2013 US$-Taka exchange rate. IDA US$89.3 million and GoB US$3.9 million.

5 The AIF rounds 1 & 2 subprojects are being administered by respectively the first (blue cover) and second

edition of AIFOM (yellow cover) published respectively in April 2010 and June 2011.


Under the AIF component, the Bangladesh tertiary education institutions and their

academic staff will be invited to formulate project proposals that will be evaluated

and selected by panels of peer reviewers according to transparent procedures and

criteria.

4.2 Moreover, it is expected that the inbuilt incentive system in AIF would promote

changes in organizational behavior, professional attitudes and institutional culture

through awards for creative thinking. The AIF will also offer opportunities for

academic staff in Bangladeshi universities to pursue ambitions, to experiment

innovative ideas, and to test possible solutions.

4.3 The AIF shall focus on the academic needs of the public and private universities

and the project proposals on teaching-learning and research are expected to address

the deficiencies identified above.

4.4 Under the AIF Round 3, The AIF will allocate its resources through four

competitive windows: (i) Window 1- Improvement of teaching and learning, (ii)

Window 2 -Enhancement of research capabilities, and (iii) Window 3 - University-

wide innovations which will include additional eligible activities for the

establishment of Technology Transfer Office (TTO), and (iv) Window 4-

Innovation Fund. While the existing Window 2 provided opportunities to

undertake sub-projects on collaborative research between the university and

industry, the new initiatives on TTO and Innovation Fund under Window 4

intend to take it to the next level by introducing a new venture. For creating a

robust and sustainable industry-university interaction system, a linking agent or an

interface between the university and industry is required. Description of activities

to be funded under Innovation Fund (Window 4) will be given in a separate

Operations Manual. Worldwide, it is a common practice to have a small but

effective Technology Transfer Office (TTO), which fulfills this role.

Establishment and operation of up to five such offices will be funded on a pilot

basis under the AIF Round 3.

4.5 The TTO’s role will be to assist in maintaining, valuing, and transacting the

transfer of all marketable intellectual assets (such as patents, copyrights,

trademarks, designs, etc.) of the university to industries as well as spurring the

creation of new science and technology led businesses, and businesses based on

the research done in the university. In other words, they have a pivotal role in

converting the new knowledge generated in the university system to wealth for the

benefit of the university and the nation.

4.6 Specifically, the TTO would:

(i) Assist the researchers in converting the scientific findings, wherever feasible, into

monetizable knowledge in the form of patents, copyrights, designs, formulas etc.

generally known as Intellectual Property (IP);

(ii) Maintain securely such intellectual assets of the university by preventing

intentional or unintentional infringement or theft;

(iii) Perform, on a continuous basis, the techno commercial evaluation of these

intellectual assets of the university;


(iv) Perform all such acts that will help monetize these intellectual assets such as

marketing, seeking new customers, participating in technology transfer

conferences, etc.;

(v) Design, negotiate and execute the technology transfer and licensing agreements

with the industry;

(vi) Help create a greater awareness of the science based business opportunities within

the university students, faculty and management, and

(vii) Organize training on IP literacy for the academics of the university.

5 AIF Coverage

5.1 The AIF will be accessible to public and private universities, their faculties,

departments, centers and institutes provided the universities fulfill the eligibility

criteria defined in this Operations Manual. The National University and its

affiliated colleges and the Open University will not be part of the scheme. The AIF

resources can only be spent according to approved project proposal that would

include previously defined measurable performance indicators. The UGC of

Bangladesh will be the fund allocating agency and the recipient HEIs and their

Sub-project Managers will have to execute a Performance Contract with the

UGC to access AIF grants and implement the project.

6 Specific Objectives of AIF

6.1 Teaching and Learning

6.1.1 To enhance the professional skills of the academic staff participating in AIF sub-

projects in providing innovative and high quality teaching;

6.1.2 To modernize the undergraduate and graduate education by updating the

qualifications framework, by formulating a flexible and student-centered curricula

design that emphasizes learning outcomes, competencies, interdisciplinary and

multidisciplinary courses, and by facilitating lifelong learning and employability;

6.1.3 To improve the institutional academic infrastructure by generating better access to

knowledge and information, by integrating ICT and laboratory technologies into

learning, and by modernizing student learning spaces and support facilities.

6.2 Research and Post-graduate Programs

6.2.1 To enhance the professional skills, capacities and orientation of the academic staff

in conducting advanced fundamental and applied research that will contribute to

social and economic growth and facilitate establishment of national innovation

ecosystem, competitiveness and development;

6.2.2 To improve the institutional research capabilities by creating effective access to

specialized knowledge and information and by making available the necessary

equipment, scientific instrumentation and support services;


6.2.3 To support the development of high quality PhD programs, national and

international inter-departmental and inter-university cooperation, collaboration and

academic networking that would generate knowledge creation and produce skilled

human capital for Bangladesh;

6.2.4 To support and strengthen industry-academia cooperation in the form of joint

research activities and by other conceivable means.

6.3 University Wide Facilities

6.3.1 To establish facilities and revamp existing academic infrastructure that would

provide support to the entire academic community for enhancing the quality of

teaching-learning, research and generate intellectual outputs;

6.3.2 To make institutional arrangements for creating an effective industry-university

research interaction system by establishing a Technology Transfer Office (TTO)

which would assist in maintaining, valuing and transacting the transfer of

marketable intellectual assets, such as, patents, copyrights, trademarks, designs

etc. of the university to industries.6

6.4 Institutional Management

6.4.1 To enhance the institutional management skills and capacities in developing

academic proposals, managing programs, projects and activities by results and

evaluating impact;

6.4.2 To raise the management capabilities, transparency and accountability of

university and academic staff in the formulation, raising of funds, implementation

of innovative teaching-learning and research projects.

7 Beneficiaries and Expected Results

7.1 Beneficiaries of the AIF are the students, academic staff, public and private

universities, and related sectors of the society. The benefits would flow from the

direct investments of substantial additional financial resources to the institutions to

undertake innovative activities/projects specifically designed to achieve the goals

stated in the objectives;

7.2 The benefits to be gained by the category of beneficiaries through the transfer of

AIF resources and expected results are presented in Table 1 below:

Table 1: Beneficiaries and Expected Results from the Academic Innovation Fund

Universities Academic Staff Students

Teaching-Learning

Improved learning

environment and

Teaching-Learning

Enhanced capacity and

opportunities to launch innovative

Teaching-Learning

Increased opportunities

and access to innovative

6 Please refer to paragraphs 4.4.4.5 and 4.6 above.


teaching-learning

infrastructure

(competencies of

teachers, improved

classroom and laboratory

conditions, collection of

books and journals for

library, improved

Internet connections,

student satisfaction etc.);

xxxxxxxxxxxxxxxxxxxxxxx

Research

Improved capacity to

expand research facilities

in response to production

innovation needs and

employment market

demands;

Improved linkages with

the international

academic peers and

research organizations;

Increased capacity in

maintaining, valuing and

transacting the transfer

of all marketable

intellectual properties

created by the institution.

Improved industry-

university research

interaction

xxxxxxxxxxxxxxxxxxxxxxx

Management

Improved capacity in

providing qualified

graduates for the

employment market at

home and to global

knowledge economy;

Acquisition of

experience in the

management of resource

allocations and

expenditures

(management by results);

academic programs and

opportunities to use modern

teaching-learning aids/materials;

Sensitization to the needs of

students by making the study

contents more pertinent for

employment market and readiness

for lifelong learning in the 21st

century;

Improved cognizance of the need to

prepare student-centered curricula

with emphasis on learning

outcomes, competencies,

interdisciplinary and

multidisciplinary courses and life-

long learning;

Enhanced capacity and

opportunities to launch innovative

academic programs and

opportunities to gain teaching-

learning aids/materials;

Improved access and support for a

more advanced education and

training ;

Increased capacity to respond to the

needs of the students, i.e., their

learning and enhanced employment

opportunities; and improved

academic contact with students;

Improved opportunities to launch

collaborative and cooperative

academic programs with national

and foreign universities;

xxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxx

Research

Increased opportunities to do

research/PhD in subjects/topics

relevant to development goals of the

country, production innovation and

changing labor market demands;

Improved access to scientific and

technical knowledge and

information; and integration with

the international knowledge

resources, research

teaching-learning and

research facilities and

attaining skills needed for

the changing labor market

demands and employment

environment;

Increased understanding

of innovative initiatives

undertaken in the higher

education and in other

sectors;

Improved opportunities to

participate in the

innovative academic

programs launched by the

university;

Improved interaction with

the university authorities

for introducing

institutional reforms and

academic innovations

corresponding to changed

socio-economic

environment;

Improved participation in

data collection leading to

better demonstration of

learning;

Enhanced competitiveness

and competencies among

students to improve the

quality of learning results;

Quicker acquisition of

new skills and access to

opportunities;

Improved access and

support for more

advanced education and

training ;

Improved academic

relations and linkages

with other institutions at

home and abroad;

Improved learning

environment with access

to better study tools,


Improved transparency

and accountability in the

use of public resources;

and awareness regarding

rules and regulations for

implementing large AIF

sub-projects with public

funding;

Adoption of innovation

as a conceptual tool to

improve the academic

standard of the

university; increased

capacity for the

evaluation and selection

of AIF sub-projects

including follow-up of

results of investments;

Increased efficiencies in

processing and selecting

innovative sub-projects;

Enhanced competence

among higher education

institutions for accessing

AIF resources;

Increased influence on

organizational behavior

and capacity to stimulate

a culture of quality;

More flexibility and

adaptive capacity to new

educational demands and

competitive challenges;

Increased capacity for

the evaluation and

selection of AIF sub-

projects including

follow-up of results of

investments;

More flexibility and

adaptive capacity to new

educational demands and

competitive challenges;

Feasibility for the

emergence of creative

solutions to the quality

communities/organizations through

digital library facilities and REN;

Increased opportunities to monetize

the intellectual properties through

technology transfer office.

xxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxx

Management

Enhanced understanding of the

concept of innovation as a tool to

transform the academic programs to

face challenges of globalization;

Enhanced capacity to train the

graduates corresponding to the

demands of the employment

market;

Increased sensitivity to the

utilization of public funds

(management by results); and

improved transparency and

accountability in the utilization of

public resources;

Improved data collection and

enhanced capacity for

implementation, monitoring and

evaluation of AIF sub-project

performance;

Improved competitiveness and

competencies among peers for

access to AIF resources and for

getting innovative sub-projects

selected for implementation;

Improved sensitivity to conduct

advanced researches linked to

production system and market

demands in non-traditional

products;

Improved openings for the

emergence of creative solutions

concerning teaching-learning,

research and its quality;

Enhanced capacity to train the

graduates corresponding to the

demands of the employment

market;

Improved flexibility and

labs/workshops and

infrastructure;

Improved opportunities to

acquire new scientific

knowledge and

information; and access to

international research

communities/organization

s through digital library

and REN;

Improved access to

library, reference books

and journals published at

home and abroad;

Improved academic

contacts with teachers.

xxxxxxxxxxxxxxxxxxxxxxxxx

Research

Increased opportunities to

do research in

subjects/topics relevant to

production innovation and

labor market demands;

and access to international

research communities/

organizations;

Improved access to

scientific and technical

knowledge and

information; and

integration with the

international knowledge

resources, research

communities/organization

s through digital library

and REN;

xxxxxxxxxxxxxxxxxxxxxxxxx

Management

Sensitization to the needs

of the employment market

and improved capacity to

respond to them;

Increased participation in

decision-making linked to

investments for quality


enhancement problem in

teaching-learning and

research;

Strategic analysis

capacity building

through program and

design of academic

improvement plans and

change in management

practices.

management of the investments for

attaining academic excellence;

Increased participation in decision-

making linked to investments;

Improved capacity for monitoring

and evaluation of AIF sub-projects;

Enhanced capacity for procurement

under the AIF sub-projects;

improvement of teaching-

learning and research;

8 Performance Indicators

8.1 Indicators are key instruments in the process of monitoring and evaluation of

results of performance based projects, as they contribute to the measurement of

achievements and effectiveness in the use of funding. The correct definition of

indicators for the AIF allows the expression of specific objectives in terms of

periodic measurable quantities, accurately indicating whom they benefit. In

addition, during its implementation, progress in attaining objectives can be

verified, leading to improvement of activities.

8.2 Performance Indicators for the overall AIF, that will be monitored by the

UGCAIFS, are:

8.2.1 Teaching and Learning

8.2.1.1 Number of students accessing the internet, on a daily basis data transmission and

communication;

8.2.1.2 Total number of computers available to students;

8.2.1.3 Number of curricula updated;

8.2.1.4 Number of academic programs modernized;

8.2.1.5 Money invested in developing teaching and learning materials annually.

8.2.2 Research

8.2.2.1 Number of enrolled MS/PhD students;

8.2.2.2 Number of newly approved new researches undertaken with external funding;

8.2.2.3 Number of PhD scholarships and post-doctoral fellowships;

8.2.2.4 Money invested annually for accessing knowledge and information, and

scientific/laboratory equipment and instrumentation;

8.2.2.5 Number of publications by students in national and international refereed journals;

8.2.2.6 Number of publications by students in un-refereed journals or conferences;


8.2.2.7 Number of publications by faculty staff in national and international refereed

journals;

8.2.2.8 Number of publications by faculty staff in un-refereed journals or conferences;

8.2.2.9 Number of collaborative academic programs with foreign universities;

8.2.2.10 Number of collaborative researches undertaken jointly with industries.

8.2.3 University-Wide Facilities

8.2.3.1 Number of new facilities established that benefit the whole academic community;

8.2.3.2 Number of technology transfer offices established.

8.2.3.3 Number of students and faculties using the new facilities.

8.2.4 Institutional Management

8.2.4.1 Percentage of AIF allocated sub-projects successfully and satisfactorily

implemented;

8.2.4.2 Utilization rate of transferred resources by the universities according to the set

criteria;

8.2.4.3 Increased management satisfaction.

8.3 Performance Indicators for the Sub-projects

8.3.1 Sub-projects have to define and formulate some indicators and explain with

precision their calculation methodology, origin of base values, measurement

periods, periods of analysis and evaluation, and validation methods. A concept

note on sub-project performance indicators is given in Annex 2;

8.3.2 Sub-project indicators should consider two levels of measurement: a first level

corresponding to steps or milestones that will be achieved after implementation of

critical activities related to the objectives of the subproject; and a second level that

considers impact through the periodic measurement of key variables that can count

the effect of the sub-project on the beneficiaries. Indicator measurement should

also consider short and long term goals. It means that monitoring and evaluation

should be continued beyond formal sub-project activities termination date.

9 Grouping of Universities

9.1 Bangladesh’s universities are at various levels of development. The old six public

universities7 which were established before the independence of the country have

disproportionately large academic capacity including size compared to those which

were founded after independence. The recently established universities are yet to

7 Dhaka University (1921), Rajshahi University (1953), Bangladesh Agricultural University (1961),

Bangladesh University of Engineering & Technology (1962), Chittagong University (1966) and

Jahangirnagar University (1970).


evolve into fully developed institutions with all required academic infrastructure.

Again there are significant differences in respect of academic capacity and

infrastructure facilities between and within the public and private universities.

9.2 Therefore, in order to ensure equitable distribution of AIF resources among these

universities with diverse capacities, they are grouped respectively in A, B and C

based on academic capacity. Academic capacity of a university has been

determined by the absolute number of full time teachers holding PhD degree in

that university. This clustering of universities in groups does not indicate ranking

or hierarchy based on excellence or status of an institution included in a group.

9.3 Competition will be among all universities across the three groups on an equal

footing irrespective of their size or/and academic capacity. Notwithstanding their

inclusion in a group, universities will be awarded AIF grants only if their

proposals qualify in the evaluation by peer reviewers scoring a minimum threshold

mark. Equity will be ensured by allocating a certain percentage of funds for each

group as described in paragraph 12.7.

9.4 The group formation of universities of the AIF first and second rounds have been

reviewed for the third round and the reorganized groups are presented in Annex 3.

10 The AIF Investment Windows

10.1 The AIF resources will be invested in specific areas for clearly designated

activities. These investment areas are called Windows.

11 The AIF Windows

11.1 The AIF has four windows

11.1.1 Window 1: Improvement of teaching-learning at undergraduate and post-graduate

levels;

11.1.2 Window 2: Improvement of research capabilities for post-graduate programs

(Master’s, M Phil, PhD);

11.1.3 Window 3: University-wide innovation and Technology Transfer Office (TTO).

11.1.4 Window 4: Innovation Fund for University-Industry Research Collaboration.8

11.2 Indicative Sub-projects under the three Windows:

11.2.1 Window 1: Teaching-Learning

11.2.1.1 Provisional/contractual recruitment of qualified teachers with specialized

expertise;

11.2.1.2 Professional development of academic staff and non-academic personnel in

support of teaching activities;

8 Activities and implementation arrangements will be given in a separate Operations Manual on Window 4.


11.2.1.3 Training of students in soft/analytical skills;

11.2.1.4 Modernization of academic programs that would enhance innovation in

teaching-learning and skills of the graduates in latest scientific knowledge and

technologies, meet the demands of labor market and increase the employability

of graduates;

11.2.1.5 Formulation and up-gradation of student-centered curricula designs with

emphasis on learning outcomes, competencies in soft/analytical skills,

interdisciplinary and multi-disciplinary courses, emerging subjects/disciplines

including results based programs;

11.2.1.6 Invitations to eminent academics and scholars from the country and abroad to

offer courses and give seminar lectures on subjects/disciplines that have

relevance to globalization and knowledge economy;

11.2.1.7 Improvement of library services;

11.2.1.8 Improvement of laboratory facilities by furnishing them with modern state-of-

the-arts equipment;

11.2.1.9 Improvement of internet services;

11.2.2 Window 2: Research

11.2.2.1 Modernization and/or strengthening of research capabilities in departments

and institutes, improve existing post-graduate programs and/or programs that

will generate advanced human capital for the country and for global

knowledge economy;

11.2.2.2 Development of high quality MS/PhD programs;

11.2.2.3 Initiate joint academic and research programs with national and foreign

universities and research organizations;

11.2.2.4 Undertaking innovative research whose outcome will be utilized in the

production of new products and processes by the Bangladeshi industries;

11.2.2.5 Development and/or improvement of the laboratories and workshops with

state-of-the-art scientific instruments and equipment with the aim to conduct

innovative researches and experiments leading to creation of intellectual

property;

11.2.2.6 Collaborative projects between the academics, researchers and industries for

the application of results of innovative researches;

11.2.2.7 Undertake ground breaking innovative research that would lead the university

to attain academic excellence and higher ranking;

11.2.2.8 Professional development of academic and support staff for research activities.


11.2.3 Window 3: University-wide Innovation and Technology Transfer Office

11.2.3.1 Design and implementation of campus access networks (WANs, LANs,

WiFi/WiMax), MIS and UHEMIS;

11.2.3.2 Improvement of library services through automation, refurbishing of seminar

halls with appropriate PA systems and performing arts theater with modern

acoustics and lighting system, refurbishing of lecture theater with audio-visual

devices, preservation of rare and ancient manuscripts by state-of-the-art

technology and their reproduction for researchers’ use, collection of books,

journals and special publications, creation of archives in digital mode,

establishment of modern print shop for publication of research materials, books

and journals produced by academics etc.;

11.2.3.3 Equipment for central laboratories for advanced research and for machine

workshops;

11.2.3.4 Joint activities/programs with national and foreign universities and research

organizations;

11.2.3.5 Establishment of Technology Transfer Office (TTO) for creating robust and

sustainable industry-university interaction system and to provide support to

the university for maintaining, valuing and transacting the transfer of all

marketable intellectual assets, e.g., patents, copyrights, trademarks, designs etc.

of the university to industries.

12 The AIF Allocation

12.1 The total budget envelop for AIF third round amounts to US$ 42.2 million9 (Tk

3794.0 million). Out of this amount US$30.0 million (Tk 2397.00 million) will be

allocated for Windows 1, 2 and 3 and US$12.2 million (Tk 1096.78 million) will

be allocated to Window 4. This financial resource package will be disbursed

covering the entire length of five years of the AIF program, i.e., from January

2014 to September 2018.

12.2 Of the total AIF resources available for the third round, 35% will be allocated to

Window 1 (Improvement of Teaching-Learning at Undergraduate and Master’s

levels), 50% to Window 2 (Improvement of Research for Post-graduate Research

Programs (Master’s, MPhil, PhD), and 15% to Window 3 (University-wide

Innovation.

12.3 Under Window 1, 80% of the available fund will be allocated to the broad areas

of Science, Engineering and Technology, Agriculture, Livestock and Fisheries,

Medical, Health and Nutrition Science subjects (Sci-Tech); 20% to Arts,

Humanities, Social Sciences, Business and Law (AHSBL). Under Window 2, the

Physical, Biological and Earth sciences, Engineering and Technology, Agriculture,

9 IDA US$ 28.5 million and GoB US$ 1.5 million.


Livestock and Fisheries, Medical, Health and Nutrition Science subjects (Sci-

Tech) will get 85% and Arts, Humanities and Social Sciences (AHSBL) will get

15% of the AIF resources allocated to it.

12.4 The lower and upper limits of an individual grant for a sub-project in arts,

humanities and social sciences under both Teaching-Learning (Window 1) and

Research (Window 2) will be respectively Tk 2.5 million and Tk 15.0 million,

and for sciences-technologies will be respectively Tk 5.0 million and Tk 50.0

million. For university-wide innovation sub-projects (Window 3) the lower and

upper limits will be respectively Tk 5.0 million and Tk 50.0 million among the

three groups of universities.

12.5 There will be a ceiling of 20% of total AIF resources for all eligible private

universities. Other allocation principles however will remain same for them.

12.6 A global view of allocation by windows, disciplines and individual size of grants

including the ceiling allowed to groups of universities and to private universities in

the third round can be seen in Table 2 below.

Table 2: AIF Allocation in Third Round by Windows, Disciplines and Individual

Size of Grants (Million Taka*)

Allo

catio

n in

Win

dow

s

W I N D O W S

Window-1: Teaching-Learning (35%)

Window-2: Research (50%)

Window-3: UW (15%)

All Windows

AHSBL Sci- Tech

Total AHSBL

Sci- Tech

Total Total Total Total

% 20 80 100 15 85 100 100 100 100

In Tk. (Million)

168.0 672.0 839.0 180.0 1019.0 1199.0 360.0 360.0 2397.0

Amounts have been mentioned in round figures

1. Allocation of total AIF grant: Taka 2397.00. million (US$30.00 million)

2. Allocation for three windows: Window-1: 35%; Window-2: 50%; Window-3: 15%;

3. Allocation for disciplines:

Window-1: Hum & Soc Sc.: 20%; Sc & Tech: 80%;

Window-2: Hum & Soc Sc.: 15%; Sc & Tech: 85%;

Window-3: University-wide: 100%

4. Allocation for groups of universities: Group-A: 60%; Group-B: 30% & Group-C: 10%;

5. Allocation for private universities: Maximum 20% of total AIF grant.


The Indicative size of individual sub-projects: lower and upper limits (million Taka):

Windows Broad Disciplines Lower limit Upper limit*

W-1, W-2 AHSBL 2.5 15.0

Sci-Tech 5.0 50.0

W-3 University-wide 5.0 50.0

*Please note that the upper limit shall have to be lower than the ceiling amount

in a Window for the particular group of universities as shown in Table 3 below.

12.7 In the 3rd round, available AIF resources will be apportioned between the three

groups of universities respectively @ 60% for A, 30% for B and 10% to C.

However, there will be a ceiling on funding to each institution within a group.

Under a single Window each university in Group A will be allowed to receive a

maximum of 25% of the total allocation made to that Window. This allocation

ceiling will be less for the other two groups of universities, e.g., each of Group B

and C universities will receive a maximum of 20% of total allocation to that group.

Further, allocation for a university in a particular Window may be reduced to

accommodate a subproject in another Window in such a way that the total

allocation remains within the total ceiling for all Windows for the university.

Moreover, if it is observed that fund so allocated would remain unutilized due to

lack of competent proposals from a particular group, then UGCBAIF may

consider to re-allocate the unutilized fund to groups which might require additional

resources for funding adequate number of competent proposals. The UGCBAIF

would also consider to apply such fund reallocation/ readjustment mechanism for

the three windows and for the three broad clusters of disciplines according to

demand and on the basis of merit, score, etc.

12.8 AIF allocation to three groups of universities and the ceiling on allocation to an

individual university in a group in the third round are presented in Table 3 below:


Table 3: Allocation to Three Groups of Universities in the Third Round (Million Taka*)

Allocation Principles:

University Groups Group A

60% of AIF Grant

Taka 1438.0 million

Group B

30% of AIF Grant

Taka 719.0 million

Group C

10% of AIF Grant

Taka 240.0 million

Total

Allocation to

Window Total Amount

Allocated for the

Group

Ceiling

Amount to

Individual

University **

Total Amount

Allocated for the

Group

Ceiling Amount

to Individual

University**

Total Amount

Allocated for

the Group

Ceiling

Amount to

Individual

University**

2397.0

Window 1 35% 504.0 125.84 251.685 50.337 83.895 16.779

Window 2 50% 719.0 179.78 359.55 71.91 119.85 23.97

Window 3 15% 216.0 53.93 107.865 21.573 35.955 7.191

Institutional

Ceiling 25% 360.0 20% 144.0 20% 48.0

1. Ceiling to an individual university in a group: Only group A universities will have 25% and B and C @ 20%, e.g., the upper limit of

allocation to an individual university will be as follows:.,

Group A: 360.0 million; Group B: 144.0 million; Group C: 48.0 million

2. In case fund allocated for a group is not exhausted then allocation ceiling to an university within that group may be relaxed; if fund

remains unallocated even after that then surplus fund may be transferred for additional allocation to another group.

3. In case of a sub-project jointly submitted by two universities, the cost of sub-project should be shared between the two universities,

provided that amount allowed to each participating university does not exceed the ceiling.

4. Allocation for a university in a particular Window may be reduced to accommodate a sub-project in another Window in such a way that

the total allocation remains within the total ceiling for all Windows for the university. 5. The cost sharing principle stated above shall

also apply in case of public-private joint sub-projects. The lead university shall disburse the fund according to financing plan, provided that

the private university deposits 20% matching fund upfront.

Amounts have been mentioned in round figures

** Upper limit of allocation to an university in that window


13 Indicative Eligible Expenditure

13.1 Under various windows the following expenditures will be allowed, which will be

used to support the proposal activities for enhancing the quality of teaching-

learning, research and for the improvement of institutional performance.

13.2 Training10

13.2.1 Expenditure for participation in customized training courses for professional

development of permanent academic staff at home and abroad;

13.2.2 Expenditure for training of permanent academic staff on drafting of patent

application and its processing, licensing agreement, business contracts for

commercialization of research products etc;

13.2.3 Expenditure for foreign training of permanent faculties for developing expertise

on operations and maintenance of sophisticated laboratory equipment procured

for the project; (all Windows) provided that;

(a) For which training is not available in Bangladesh; and

(b) Not exceeding 30 man-days;

13.3 Purchase of teaching aids/materials (W-1)

13.4 Purchase of equipment/stationeries; (all Windows)

13.5 Expenditures for conferences, seminars, workshops held within Bangladesh

related to the AIF sub-project activities. (all Windows)

13.6 Research (W-2)

13.6.1 Financial support to candidates enrolled for Master’s, MPhil and PhD;11

13.6.2. Allowances for research stay in a foreign university/institute for members of the

sub-project management team (non-degree researchers) and MPhil/PhD students12

10

Training allowances under AIF sub-projects will be provided to permanent faculty members of the entity.

Maximum four academics shall be eligible to undertake such training under one sub-project’s

implementation period. They will be eligible for an advanced training for a maximum period of four

weeks. They will receive financial support for most economic return air fare, training fees as required

for the program and other allowances as admissible under existing government rules from the sub-

project.

11 A Master’s/MPhil/PhD program itself shall not be an AIF sub-project under Window 2. Window 2 sub-

projects will be only for capacity building for research in the sub-project implementing entity and post-

graduate programs that include research leading to degree, e.g., Master’s, MPhil and PhD. Financial

support to enrolled candidates under a sub-project for Master’s, MPhil and PhD will be respectively Taka

10,000, Taka 15,000 and Taka 30,000 per month for the whole duration of the subproject. Number of

students to be offered financial support/grant under the three postgraduate programs, will not be more

than six during the total duration of a sub-project, but the number of grantees under respectively

Master’s and MPhil will not be more than four and two and there will be no limit for PhD. Such support

must be a part of sub-project whose objectives are to expand and develop research capacities of the entity

and institution. Post-graduate research candidates will be selected by the institution according to the

existing selection procedure followed by the university. All fees required for registration as MPhil/PhD

students including tuition fees will be paid from the sub-project.


13.6.3 Host institute charges for research stay;13

13.6.4 Incentives for Members of the SPMT for W-2 sub-projects.14

13.7 Academic Collaboration

13.7.1 Academic and research collaboration with local and foreign universities,

institutes, research organizations, industries, professional bodies and associations;

13.7.2 Academic visit of permanent faculty staff to foreign universities and research

institutions as part of AIF sub-project proposal/activities15

;

12

A research stay of up to three months for up to two members of the SPMT (non-degree researchers), four

months for MPhil and six months for PhD students in a foreign university/institute is permissible for

collaborative research as per sub-project design; the total number of persons shall not exceed six; they

will be entitled to most economic return air fare and allowances at the following rates:

(i) US and Canada: US $ 1000 per month

(ii) Europe, Japan, Korea, Singapore and Australia: US $ 1500 per month

(iii) Asia region countries: US $ 700 per month

(iv) SAARC countries: US $ 500 per month

MPhil/PhD students may continue to receive the financial support at the usual rates in Bangladesh during

their stay abroad.

If required, a PhD student will be permitted a maximum of two separate research stays in the same

institute or in two different institutes, provided that the total duration does not exceed six months. In such

a case, the travel expenses (cheapest return airfare) for both stays may be paid.

13 Bench fees/ tuition fees and incentive to supervisors and co-supervisors as required by a foreign

university/institute may be paid for hosting non-degree researchers and MPhil/PhD students to carry out

a part of their research work under collaborative research programs. Copies of agreement of such

collaborative research (e.g. MoU, consent letter for accepting students, etc.) should be submitted to

HEQEPU before implementing foreign research stay of MPhil/PhD students. The maximum amount

eligible for such expenses in one sub-project must not exceed 10% of the total sub-project value.

However, in the case of AHSBL disciplines, for which the upper ceiling of the sub-project value is Tk

15.0 million, a maximum of US $ 50,000.00 will be eligible for such expenses in one sub-project.

14 The SPM and DSPM of a Window 2 subproject will be eligible for receiving incentives @ four months’

and two months’ basic salary respectively per year as referred to Annex 4 of this AIFOM. Other members

of the SPMT will be eligible to receive one month’s basic salary per year as incentive. The total ceiling for

incentives for the total sub-project period must not exceed Taka 2.0 million or 10% of the total sub-project

cost, whichever is lower. The incentive will be paid upon submission of annual research report by the

SPM to UGC, describing the contribution of individual Members of the SPMT.

15 Such visits shall be strictly for academic purposes. Per diem and travel costs for such academic visits

abroad will be admissible according to GoB’s existing Financial Management rules. The maximum

number of such visits abroad shall be four for the entire duration of the subproject and the duration of each

visit will be maximum two weeks. One academic in a university shall be entitled to only one visit under

all sub-projects except SPMs, who will be entitled to a maximum of two visits. Visit proposals must be

prior-approved by UGC. Visits abroad without UGC’s prior approval will be considered as ineligible

expenditure and the participant will have to refund the entire cost to subproject personally. Total expenses

for visit abroad should not exceed Tk. 20.0 lakh or 10% of the sub-project allocation, whichever is lower.


13.7.3 Remuneration and travel costs of the visiting professors/scholars/experts from

abroad and Bangladesh and provisionally hired teachers/scholars/researchers;16

(W-1 and W-2);

13.7.4 Staffing of TTO, e.g., hiring of persons with law background and skilled in

developing licensing agreements, business development specialist, intellectual

property (IP) expert who would manage and facilitate IP assets of the university

by reviewing patentability of researches/products/processes, training etc., and

marketing expert who has knowledge on techno-commercial arena and

continuously interact and negotiate with industries. These staff could be hired from

the market and/or deputed from relevant departments and faculties of universities

and will have to be professionally trained in above skills.

13.8 Procurement

Goods, works and services shall have to be procured by following PPR 2010

and WB guidelines where applicable.

13.8.1 Goods:

13.8.1.1 Collection of books, journals and equipment (microfilming, photocopier,

scanner, dehumidifier, laminator, video recorders, projectors, etc.) for library;

13.8.1.2 Teaching-learning materials, devices, apparatus, appliances etc.;

13.8.1.3 ICT equipment and accessories;

13.8.1.4 Scientific instruments, tools, devices and equipment for laboratory/workshop;

13.8.1.5 Chemicals, specimens, coolants, gas and other consumables needed for research/

experiment in laboratory/workshop;

13.8.1.6 Furniture/equipment for lecture/study/seminar/theater hall/rooms;

13.8.1.7 Publications of research findings;

13.8.1.8 Motor vehicle/motor bike/motor boat/bicycle;17

13.8.1.9 Printing and stationery.

13.8.2 Works:

13.8.2.1 Renovation: Repairing and refurbishing existing infrastructure like lecture/

seminar rooms/laboratories/performing arts theaters/galleries and engineering

workshop/machine rooms. (maximum 10% of total sub-project cost);18

13.8.2.2 Construction of special structures for installation of equipment/machineries.

16

If visiting professors/scholars/experts are paid remuneration/fees, then they must be hired by following

World Bank’s Guidelines for Selection and Employment of Consultants. If only hospitality costs are to

be borne then the expenses may be budgeted under Economic Codes respectively 4840 training and 4845

hospitality costs (Annex 21 of AIFOM). 17

Proposal on motor vehicles must be justified on the basis of objectives of the sub-project. 18

Please refer to section on procurement below.


13.8.3 Services:

13.8.3.1 Remuneration/fee of the visiting professors/scholars/experts and provisionally

hired teachers/ researcher assistant/lab assistant/technician;

13.8.3.2 Hiring of consultants/experts/specialists/lawyers/patent attorneys and their

consulting fees (maximum 10% of the total cost of the sub-project; however, for

TTO, there will be no budget ceiling);19

13.8.3.3 Repair/maintenance of laboratory and office equipment;

13.8.3.4 Payments for intellectual properties’, patents’ use etc.20

13.8.3.5 Payment for scientific analytical work.

13.9 Operational Costs

13.9.1 Maximum 2% of sub-project cost to meet operational expenses (e.g., temporary

renting of out of site space for sub-project activities, charges for electricity,

water in out of site sub-project office/camp, petrol and lubricants for motor

vehicles, motor bikes and speed boats, commuting costs of sub-project’s

temporary employees, overtime paid to support staff for arduous work, repair of

sub-project equipment, repair and maintenance of motor vehicles, motor bikes

and motor boats, hiring of labors for shifting of sub-project furniture/

equipment/materials, honorarium, committee expenses and contingencies etc.

13.10 Non-Eligible Expenditure21

13.10.1 Salary and allowances for the permanent academic and support staff of the

university;

13.10.2 Any establishment/recurring/revenue expenditures of the department/ faculty/

institute/ center/ university;

13.10.3 Large civil works like construction of new physical infrastructure i.e., building,

road, laboratory, workshop, classroom, auditorium, library, seminar hall/lecture

theatre/room/facilities etc.;

13.10.4 Costs not related to AIF sub-project activities and not included in the sub-

project work plan, financing and procurement plans and budget.

13.11 Cost Escalation and Re-appropriation

13.11.1 Due to various reasons like price hike of goods, works or services and/or

depreciation of value of Taka, the total approved cost of a sub-project may

19

Please refer to section on procurement below. 20

According to GoB’s IP and Patent Law. 21

Non-eligible expenditures will not be reimbursed by the World Bank and will have to be borne by the

university.


require to be adjusted against the current market prices. In such cases the total

approved cost of a sub-project may be allowed to be adjusted upwards up to

10%. Such cost adjustment proposals with revised budget breakdown and

justification shall have to be sent to the UGCAIFS through UAIFS/AIFMU

for approval by the Project Director, HEQEP. If the required adjustment is

above 10%, then HEQEPU shall send the cost adjustment proposal to

UGCBAIF for approval.

13.11.2 Re-appropriation of budget will be allowed in cases when it becomes necessary

for achieving subproject’s objectives and for rationalizing cost under different

heads of budget. However, budget re-appropriation proposal must be prior-

approved by the project director of HEQEP.

14 Earning by Sub-projects

14.1 Some of the sub-projects might earn profits by selling its products and processes

in the market, e.g., it might be a device, an apparatus, an innovative technology,

a patent, a computer program/software, copyright, a research/study report or

book, a design etc. In such cases the earning by the sub-project output shall be

retained by the concerned sub-project implementing university. However, UGC

should be kept informed of such earning by the university.

14.2 Earning from bank interest, sale proceeds of bidding documents, etc., shall be

deposited to government treasury.

15 Eligibility for Receiving AIF Grants

15.1 In order to be an eligible recipient of the AIF resources the universities should

fulfill the following criteria:

15.2 For All Universities

15.2.1 Minimum annual intake of 100 students in undergraduate academic programs;

15.2.2 In universities which offer only post-graduate programs,- minimum intake of

50 students at post-graduate level.

15.3 For Public Universities

15.3.1 An Act which established the institution as a university.

15.3.2 Establishment of University AIF Secretariat (UAIFS) with qualified

manpower for providing support to the SPM.

15.4 For Private Universities

15.4.1 A government Provisional Charter allowing a private university to function

under the Private Universities Act 2010;

15.4.2 Functioning in a permanent campus owned by the university as stipulated in

the Private Universities Act 2010;


15.4.3 Reserve fund in a scheduled bank as stipulated in the Private Universities Act

2010;

15.4.4 Compliance with Private University Act 2010.

15.4.5 Holding of at least one convocation;

15.4.6 Availability of audited financial statement not older than previous two years;

and

15.4.7 Establishment of AIF Management Unit (AIFMU) with qualified manpower

for providing support to the SPM.

16 Matching Funds from Private Universities

16.1 Eligible private universities, if awarded AIF grants, will be required to provide

counterpart funding amounting to 20% of the total cost of the awarded sub-project

as a one-time upfront payment. The remaining 80% of the sub-project cost will be

provided from the AIF resource package.

17 Call for Proposals

17.1 There were two rounds of proposal calls under AIF since the launching of original

HEQEP in May 2009. The first round proposal call was given in April 2010 and

the second round in May 2011. The 194 sub-projects under Rounds 1 & 2 of AIF

are scheduled to be closed respectively by December 31, 2013 and October 2015.22

17.2 The proposal call for the Third Round AIF Sub-projects grants will be published

in December 2013 in the national dailies and be hosted on UGC, BdREN and

HEQEP websites. Copies of proposal calls will also be sent to all universities

from the HEQEPU via courier service. The proposal submitting entities shall get

five weeks to prepare the proposals in complete sub-project proposal formats (CP)

and submit them to UAIFS/AIFMU by the beginning of 5th

week after the

publication of the proposal call.

18 Proposal Submitting Entities

18.1 The following entities will be eligible to submit project proposals:

18.1.1 Universities;

18.1.2 Faculties;

18.1.3 Departments;

18.1.4 Centers;

18.1.5 Institutes;

18.1.6 Combination of two or more of the above entities.

18.2 Only teachers are eligible to be SPMs and DSPMs for W-1 and W-2 sub-projects.

Scientists in Research Centers of universities are eligible to be researchers (as

22

Respectively 89 and 105 under Rounds 1 & 2 totaling 194 sub-projects.


members of the sub-project management team) of W-2 sub-projects. W-3 sub-

projects may be submitted by a faculty or an official authorized by the Vice

Chancellor.

19 Submission of Proposals

19.1 There will be four separate formats for submission of proposals. These are as

follows: 23

19.1.1 Complete Proposal (CP) for Improving Teaching-learning at Undergraduate and

Master’s level;

19.1.2 Complete Proposal (CP) for enhancing research capabilities in Post-graduate

Programs (Master’s, MPhil, PhD);

19.1.3 Complete Proposal (CP) for University-wide Innovation; and

19.1.4 Complete Proposal (CP) for establishing Technology Transfer Office (TTO)

19.2 The Areas/Disciplines/Subjects for Submitting Proposals

19.2.1 Physical, Biological and Earth Sciences

19.2.2 Engineering and Technology

19.2.3 Medical, Health and Nutritional Sciences

19.2.4 Agriculture (includes Crops, Livestock, Veterinary, Fisheries, Poultry and

Horticulture)

19.2.5 Arts, Humanities and Social Sciences

19.2.6 Business & Law

20 Institutional Arrangements for Proposal Evaluation/Selection

20.1 Following committees/units/organizations will be responsible for processing the

evaluation and selection of AIF sub-project proposals at different levels, both at

the universities and at the UGC:

20.1.1 University AIF Secretariat (UAIFS) in Public Universities/AIF Management

Units (AIFMU) in Private Universities

20.1.2 UGC AIF Secretariat (UGCAIFS)24

21.1.3 Committee of Experts (CE)

20.1.4 Area Review Panels (ARP)

20.1.5 UGC Board for AIF (UGCBAIF)

23

The four proposal formats are included in the Annexes 5 to 8 of this OM. 24

The UGCAIFS is a section/unit within the project implementation and management office called

HEQEPU.


21 Proposal Submission and Evaluation Procedure

21.1 All eligible proposal submitting entities may submit Complete Sub-project

Proposals (CP) in the appropriate prescribed formats (Annex 5-8). All proposals

should be submitted in 10 hard copies (in 80 grams A4 size offset paper) and in two

soft copies in CD (in MS Word & Excel, not in PDF) to the UAIFS/ AIFMU.

However only hard copies will be accepted for evaluation purpose and the peer

reviewers would evaluate and select proposals only on the basis of hard copies

marked with signatures and dates in the relevant places of the proposal format.

21.2 In order to ensure transparent and unbiased evaluation the names of designated

SPM/DSPM, and members included in the SPMT shall not be mentioned in the

main body of the CP format. These will be mentioned in a separate page attached

at the back of CP. After receiving the CPs from the universities the UGCAIFS

shall put a code number on it corresponding to the CP bearing the same code

number and be called Proposal Identification Number (PIN). The PIN bearing

page will be removed by UGCAIFS before providing the CPs to ARPs/ERs for

evaluation and after evaluation it will be reattached to the corresponding CP for

the purpose of final selection by UGCBAIF.

21.3 It is expected that majority of the sub-project proposals will be submitted by the

Departments. Proposals prepared by the Departments will be a collective effort

involving participation and inputs from all academic staff and they must be

owned by the institution. Each Complete Sub-project Proposal (CP) - (i) has to be

approved in the meeting of Standing Academic Committee of the Department, (ii)

must be signed by the Chairperson/ Head of the Department, and (iii) the minutes

of the meeting of the Academic Committee must be attached to the proposal.

21.4 An academic will be allowed to be the SPM of only one sub-project. In case an

SPM/DSPM or any member of the SPMT already endorsed by the entity submits

an additional CP on his/her personal capacity and name, will be instantly rejected

as ineligible by the entity and UAIFS. The SPMs of first and second round,

whether activities of their sub-projects are completed or not, will not be eligible

for working as SPM of third round sub-projects. However, they could be a team

member of SPMT under AIF Round 3. Also, the entities who have been awarded

W-1 sub-projects in the first and second round will not be eligible for submitting

W-1 sub-projects again for the third round AIF award.

21.5 A W-2 sub-project proposal may be formulated by an individual academic in

consultation with a group of colleagues in the same entity. The initiator of such a

proposal may select the members of the SPMT. The complete proposal thus

developed will have to be endorsed by the entity.

21.6 An SPMT shall have a total of maximum 4 - 6 members. For W-2 subprojects,

officials of Research Centers of universities will be eligible to become members

of SPMT but not SPM or DSPM. For W-3 subprojects, officials of the

university will be eligible to become SPM/DSPM and member of SPMT.


21.7 An academic who is presently involved in the implementation of any other

project of value ≥ Taka 2.5 million will not be eligible to be designated as

SPM/DSPM by the proposal submitting entity.

21.8 Complete Sub-project Proposal for a Faculty should be prepared with the

participation and inputs from the departments of the Faculty, and the CP must

be approved in the Faculty and signed by the Dean and submitted along with the

minutes of the meeting.

21.9 For a sub-project proposal prepared by a Center and/or Institute, it must be

approved by the Governing Board/Board of Studies of the Center/Institute and

bear the signature of the Director of the Center/Institute and submitted along

with minutes of the meeting.

21.10 Sub-project proposals on University-Wide Innovation and Technology

Transfer Office are expected to be generated at the top management level of

the university, i.e., Vice-Chancellor’s office. However the Vice-Chancellor

may direct a Department, Faculty, Institute, Center or an administrative office

of the university to draft the proposal. However, University-Wide Innovation

proposals in their CP format must be reviewed and endorsed by the Vice-

Chancellor.

21.11 The Vice-Chancellor may recommend any change, modification of scope,

budget of the proposals (CP) under all three Windows considering university’s

need, strategic plan and development perspective.

21.12 For collaborative sub-projects involving two or more entities or/and universities

the proposal shall be submitted by the entity/university which provides the sub-

project manager and will be known as lead entity/university for the sub-project.

21.13 After receiving the proposals from the entities the UAIFS/AIFMU will make a

list of received CPs, submit them to Vice-Chancellor’s office for obtaining the

Vice-Chancellor’s endorsement on them and forward them (10 hard copies &

two soft copies and minutes of the meeting of the academic committee/

governing body which approved it for each CP) to the UGCAIFS along with

the minutes of the meetings that approved them at the entities. The

UAIFS/AIFMU shall preserve at its office one hard and one soft copy of the

received proposals for record and reference.

21.14 UAIFS/AIFMU will ensure that the full version of the CPs in both hard and

soft copies is forwarded to UGCAIFS. For University-wide proposals the

Vice-Chancellor shall convene a meeting of the Deans and get their agreement

on the proposal. The minutes of the meeting that approved the University-wide

subproject proposal (W-3 CP) by the Vice-Chancellor, shall be attached with

the CP by UAIFS/AIFMU and forwarded to UGCAIFS.

21.15 The UGCAIFS shall check each received CP to verify whether: (i) it has been

drafted according to the relevant guidelines provided in AIFOM and presented

required information including detailed budget in the format, and (ii) all

annexes have been attached. Then classify the CPs according to university,

window, area, etc., put a Proposal Identification Number (PIN) on each CP,


furnish a checklist of major eligibility compliances for each of them according

to AIFOM provisions; and prepare a database in a matrix that will cover the

profile of all received CPs25

. UGCAIFS will also prepare a Guidelines on CP

Evaluation by ARPs following the provisions provided in the AIFOM.

21.16 UGCAIFS shall submit the screened CPs, database along with the eligibility

checklist to UGCBAIF. Upon review of the materials the UGCBAIF may, at

this stage, reject a CP on the ground of critical lapses specified in the checklist or

for other reasons.

21.17 Upon receipt of the above materials UGCBAIF shall prepare a distribution

matrix of CPs for evaluation by ARPs following recommendations of the CE in

this regard. Thereafter UGCAIFS shall sort out the CPs according to the

distribution matrix and make them ready for evaluation by ARPs.

21.18 The ARPs shall evaluate the CPs in a closed door evaluation session at UGC

supervised by UGCBAIF. UGCAIFS shall provide secretarial support and make

arrangements for the evaluation at UGC under the guidance of UGCBAIF.

21.19 After the evaluation of CPs by ARPs, tabulation of score sheets will be done by

UGCBAIF and CPs that require 3rd

evaluation by ERs shall be identified. The

3rd

evaluation will also be held in a closed door session at UGC under the

supervision of UGCBAIF. Subsequent to evaluation UGCAIFS shall prepare a

broadsheet that would mention the scores obtained by the evaluated CPs for

UGCBAIF’s review. UGCBAIF shall review the evaluation results presented in

the broadsheet along with the evaluated CPs, and if it decides to apply

complementary selection criteria, may give marks to a CP out of a maximum

of 5 on the basis of these criteria and revise the total score, in order to make a

preliminary selection of CPs eligible for award. The preliminarily selected CPs

along with the score sheets will be shared with IDA. After receiving IDA’s

technical comments UGCBAIF shall make final selection of the CPs eligible for

award.

21.20 After the final selection, the budget, procurement plan and the financing plan of

the selected CPs will be scrutinized by the HEQEPU to identify inconsistencies,

errors and deficiencies. HEQEPU shall organize a series of workshops at UGC

for a week with the participation of all SPMs of finally selected subprojects to

rectify the inconsistencies, errors and deficiencies in the budget, financing and

procurement plans.

21.21 Simultaneously, HEQEPU will prepare a list of items common to all the CPs,

like computers, spectrophotometers, PCRs, etc., and estimate the cost of these

equipment on the basis of market price. The SPMs will be required to agree to

the procurement of the above mentioned common equipment by HEQEPU

during the workshops. After rationalization of budgets and revision of

25

The database in excel file shall include name of the proposal submitting institutions and entities, title of

the subprojects with windows, duration, cost, names of SPMs/DSPMs, deficiencies identified, allocation

figures by groups and institutions and global allocation scenario in respect of total AIF funding.


procurement plan and financing plan, as agreed in the workshops, the

preliminary selected CPs will be ready for approval.

21.22 HEQEPU shall publish the list of finally selected CPs and the names of

concerned institutions by hosting it on HEQEP and UGC websites and inform

the awarded SPMs and institutions. The finally selected CPs thereafter will

become approved sub-projects. The UGCAIFS shall prepare the Performance

Contract for each selected CP and notify the award recipient sub-project

managers, Directors of UAIFS/AIFMU, and the Vice-Chancellors of the

universities and invite them to attend the contract signing ceremony to be held at

UGC. The Contract shall be signed by the authorized representative of the UGC

not below the rank of Director as the 1st party representing the awarder (UGC).

On the other side the authorized official of the university (not below the rank of

Director) shall sign the contract as the 2nd

party. The sub-project manager (SPM)

of the approved proposal shall sign as 3rd

party representing the sub-project

implementing entity.

22 Institutional Arrangement

22.1 The schematic diagram of the institutional arrangement for AIF proposal

evaluation and selection can be viewed in the Figure 1 below:


Figure 1. Institutional Arrangement for AIF Proposal Evaluation/Selection

23 Total Proposal Evaluation/Selection Period

23.1 A structured approach with submission and approval deadlines will be followed

to evaluate and select the proposals. After the proposal call universities/academic

staff will be allowed five weeks to conceive project ideas and transform them into

proposals in a format.

23.2 The total time required to complete the proposal selection process will be 20

weeks. However if circumstances permit, the total period may be reduced. The

schematic diagram in Figure 2 below shows the time required at each stage from

proposal call (beginning) to the signing of contract (conclusion).

Area Review Panels (ARP) 1. Physical, Biological and Earth

Sciences

2. Medical, Health & Nutritional

3. Engineering & Technological

4. Agriculture (Crops, Livestock,

Veterinary, Poultry, Fisheries

and Horticulture)

5. Arts, Humanities & Social

Sciences

6. Business & Law

Committee of Experts (CE)

External Reviewers (ER)

University Grants

Commission Board for

AIF (UGCBAIF)

(UGCBAIF)

UGC AIF Secretariat

(UGCAIFS)

Proposal Submitting Entities

1. Departments

2. Faculties

3. Institutes

4. Centers

5. Universities

6. Combination of two or

more of the above entities

University AIF

Secretariat (UAIFS) in

Public Universities

AIF management Unit

(AIFMU) in Private

Universities

Note: University-wide innovation

(W-3) proposals shall be

evaluated by ARPs of the closest

area that the proposal belongs to.

29

Figure 2: Flow Chart on Complete Proposal (CP) Selection Process (20 weeks)

UGCBAIF shares preliminary selected CPs, evaluation score

sheets with IDA in 1 day

Completeness checking of CPs

by UGCAIFS

in 1 week

Signing of Contracts with the

Universities in 1 day

Evaluation of CPs by ARPs in special

closed door evaluation session at UGC in 2 weeks

Distribution matrix of CPs by

UGCBAIF for evaluation

by ARPs in 10 days

IDA sends comments to UGCBAIF

in 1 week

Rationalization of budgets,

financing and procurement plans of

selected CSPs in 1 week

Submission of CPs by

UAIFS/AIFMU with VCs

endorsement to UGCAIFS

in 1 week

Publication of award in 1 day

Processing of Contracts by

UGCAIFS in 1 week

Call for Proposals for 3rd

round of AIF

Submission of CPs to

UAIFS/AIFMU

in 5 Weeks

Universities,

Departments,

Faculties,

Institutes,

Centers

UGC, UAIFS,

Universities

Guidelines on CP evaluation prepared and distributed among ARPs/ERs

in 1 day

Tabulation of score sheets and identification

of the CPs by UGCBAIF that require 3rd

evaluation by ERs in 9 days

3rd evaluation of CPs by ERs due to marking

gap at ARPs level in 1 week

Preparation of results/scores in a

broadsheet by UGCAIFS for

UGCBAIF’s review

in 1 week

Final Selection by UGCAIF

in 1 week

30

24 University AIF Secretariat (UAIFS)

24.1 As a demand-driven mechanism the innovation fund relies on the capacities of

participating institutions to generate good quality proposals in a timely manner, to

implement them in accordance with diligence and efficiency, sound educational,

scientific, technical, financial, and managerial standards and practices, aimed at

achieving the objectives of AIF sub-project and satisfactory to the GoB and UGC;

and to account for the use of resources provided through established procedures.

Effective performance in carrying out these activities normally requires university

management to establish appropriate institutional facilities, procedures and/or

mechanisms. The key functions that must generally be assured by UAIFS/AIFMU

include:

24.1.1 Secretarial services to the university authority and faculty staff regarding

administration and processing of AIF sub-projects;

24.1.2 Assist sub-project manager in matters of AIF sub-project financial management

and procurement and in the overall implementation by following the rules,

regulations and procedure mentioned in this OM;

24.1.3 Assist sub-project manager in monitoring and evaluation of under-implementation

sub-projects;

24.1.4 Assist sub-project manager in submitting monthly progress, quarterly financial

progress and six-monthly monitoring reports to the UGCAIFS;

24.1.5 Provide data/information on any aspect of project implementation and

management desired by the UGCAIFS in consultation with SPM.

24.2 The office of the Director, Planning and Development of the public universities

will be the focal point for AIF and will function as its Secretariat (UAIFS) for all

sub-project related activities. The Director, Planning & Development of the

University will be the head of UAIFS. One Deputy Director from the Finance

Division will act as the deputy head. Other staff of the UAIFS will be from the

planning and development, finance, procurement, engineering and administration

wings of the university. The UAIFS will carry out the functions stated at

paragraphs 24.1.1 to 24.1.5 above and other directives mentioned in the different

sections of this OM under the guidance of the concerned university authority.

24.3 All private universities which will be awarded AIF grants shall establish an AIF

Management Unit (AIFMU) within their premises with designated staff and

logistics before the signing of performance contract with the UGC. This unit

would act as the secretariat for the management of AIF sub-projects and execute

the responsibilities mentioned at paragraphs 24.1.1 to 24.1.5 above.

24.4 Following the proposal call for the 3rd

round the UAIFS/AIFMU will receive the

CPs in prescribed formats (ten hard copies and two soft copies of each CP) from

the proposal submitting entities. The UAIFS/AIFMU shall check whether the CPs

have been drafted in right format and include the Annexes, make a list of all CPs

received and submit them to Vice-Chancellor’s office for obtaining VC’s

endorsement. The UAIFS/AIFMU shall send the endorsed CPs along with the list

31

to UGCAIFS. These activities will have to be completed within one week of

receiving the CPs.

24.5 The UAIFS/AIFMU staff shall receive a bloc amount of Taka 50,000/- per

awarded sub-project as allowances for carrying out the secretarial tasks. This

amount will be disbursed half-yearly in equal installments for the duration of the

project. The university authority shall fix the amount of remuneration per official

and staff of the UAIFS/AIFMU by following the relevant rules on “allowances for

additional work” of the university.

25 Proposal Evaluation/Selection Process

25.1 The legitimacy and credibility of the innovation fund depend heavily on the

principles that guide the proposal selection process. Foremost among these are

equal opportunity, transparency of process, and technical competence in its

evaluations. Transparency is the most important of these principles. The call for

proposals, the guidelines for proposal submission, the criteria and process for

evaluation, and the results of the evaluation should be consistently transparent.

This is a major challenge that calls for professionalism, integrity, responsibility

and efficiency on the part of the proposal evaluators and fund management staff.

The principle should be free from outside influence in the evaluation methods as

the choice of evaluators. The authors of proposals should be confident that their

submissions will be judged fairly and on their merits. Conflicts of interest,

favoritism or susceptibility to outside influence or even a hint of such influence

should be avoided at all costs to preserve the integrity and high esteem of the fund.

25.2 Any attempt to establish contact or/and communicate with the ARP members ERs,

and CE by an entity or/and its SPM over evaluation of its CP which is under

evaluation by the peer reviewers shall automatically result in cancellation of the

CP from the competition.

26 AIF Secretariat of UGC (UGCAIFS)

26.1 The UGCAIFS will be a unit under the HEQEPU. It will function as the central

management unit for the AIF and devoted exclusively to the administration of the

AIF. The UGCAIFS will be headed by a full-time AIF Coordinator who will be

specifically responsible for the administration of AIF and accountable to the

Project Director. The UGCAIFS will have qualified staff, logistics and office

facilities to execute the functions of AIF administration and management,

monitoring and evaluation and liaise with the Universities in all matters concerning

AIF.

27 Terms of Reference of UGCAIFS

27.1 The UGCAIFS shall maintain relevant documents/reports concerning

administration and financial management of AIF resources including fund

allocation, release, utilization, procurement, monitoring and evaluation of the sub-

projects and copies of selected/awarded proposals and the Performance

32

Contracts executed between the UGC, fund recipient universities and the sub-

project managers;

27.2 The UGCAIFS shall prepare eligibility checklist for each CP, receive list of

assigned ARP and ER from UGCBAIF and provide secretarial support to

UGCBAIF in all matters of CP evaluation and final selection.

27.3 The UGCAIFS shall assist the Finance Unit of HEQEPU with relevant data and

information for providing subproject funds/honorarium/ allowances/incentives etc.

to ARPs and ERs, SPMs, researchers and UAIFS/AIFMU.

28 Functions of the UGCAIFS

28.1 Write the draft of the Proposal Call, make arrangements for its publication in

national dailies and hosting in the websites of UGC and HEQEP and sending it to

universities;

28.2 Establish a databank on all activities undertaken for AIF implementation;

28.3 Prepare a list of faculty members and eminent researchers for the six Area Review

Panels (ARPs) and external reviewers (ERs) and submit it to UGCBAIF for

selection;

28.4 Check the completeness and eligibility of each CP received from the

UAIFSs/AIFMUs of the competing universities in accordance with the procedure

of the AIF sub-project proposal submission; and when these are not met, point out

the lapses and suggest the ineligibility thereof to UGCBAIF. The checking will

include budget, activity/work plan, financing plan, procurement plan, training plan

etc., and also completeness of the CP format. These will be checked by following

a checklist.

28.5 Prepare a broadsheet on scores for all evaluated CPs.

28.6 Will ensure that a CP is not included in the distribution matrix for evaluation to an

ARP member or an ER who belongs to the same institution from where the

proposal originated;

28.7 Submit the broadsheet on result/scores to the UGCBAIF;

28.8 Maintain records of AIF resources allocated and disbursed to the universities;

28.9 Establish and maintain a computerized databank on AIF implementation at

HEQEPU;

28.10 Coordinate actions and liaise between the fund recipient universities, UGC, MoE

and the World Bank in matters of AIF administration and management;

28.11 Disseminate data/information on AIF activities to all concerned agencies, offices

and organizations;

28.12 Provide technical and consulting support to the universities, sub-project managers,

ARPs and UGCBAIF in matters of AIF;

28.13 Organize and arrange AIF promotion workshops, training programs etc. with the

objective to make the stakeholders skilled in writing the proposal, project

33

implementation, procurement, monitoring and evaluation and financial

management of AIF sub-projects;

28.14 Provide secretarial support to UGCBAIF for holding of closed door evaluation of

CPs by ARPs/ERs at UGC and during final selection of proposals and AIF grant

awarding process;

28.15 Process the Performance Contracts which will be executed between the UGC and

AIF grant recipient universities and arrange for their signing;

28.16 Establish and maintain formal contact with the members of ARPs and external

reviewers, selected by UGCBAIF in matters of proposal evaluation;

28.17 Arrange for hosting of data/information regarding AIF on UGC and HEQEP

websites, holding of press conference/media presentation/seminar/conference on

Proposal Call and for showcasing of AIF achievements and for publication in

media;

28.18 Any other task related to the administration and management of AIF resources and

sub-project evaluation processing.

29 Pool of Peer Reviewers and Committee of Experts

29.1 The UGCBAIF will establish a pool of peer reviewers consisting of a broad

spectrum of academics from universities, research organizations and individuals

for the evaluation and selection of AIF sub-project proposals. They shall be

eminent academics and renowned experts with vast experience and high

qualifications in the fields of tertiary level teaching-learning, research and post-

graduate studies in all disciplines.

29.1.1 From the pool, six Area Review Panels (ARPs) will be organized covering six

clusters of academic areas.

29.1.2 The rest of the pool members will be designated as External Reviewers (ERs);

29.1.3 ‘University wide Innovation’ sub-projects will be evaluated by ARPs of relevant

field;

29.2 Committee of Experts (CE)

29.2.1 Committee of Experts (CE): There shall be six different ‘Committees of Experts’

each consisting of 3 to 5 members from a broad area. The committee will be

formed by UGCBAIF with eminent academics and renowned experts from

relevant fields. A full time member of the UGC will head each committee;

29.2.2 The CEs shall recommend the names of appropriate ARPs/ERs for the evaluation

of CPs to UGCBAIF. The members of the CEs will not be selected as ARPs;

however, under compelling circumstances exceptions can be made.

29.2.3 In selecting ARPs/ERs the SPMs of the AIF first and second rounds may be given

priority. The SPMs and DSPMs of the third round AIF sub-project applicants

shall not be eligible for becoming ARPs/ERs.

34

30. The Area Review Panels (ARPs) The ARPs will be organized for each of the following areas:

30.1 Physical, Biological and Earth Sciences

30.2 Engineering and Technology

30.3 Medical, Health and Nutritional Sciences

30.4 Agriculture (includes Crops, Livestock, Veterinary, Fisheries, Poultry and

Horticulture)

30.5 Arts, Humanities and Social Sciences

30.6 Business & Law

30.7 The number ARPs in an area will be decided by UGCBAIF drawing upon

experience from the last two rounds. This number may, however be increased, if it

is found that the number of received CPs for evaluation of a particular

discipline/subject area is overwhelming for evaluation within the prescribed time.

The UGCBAIF will select the additional members in such cases.

30.8 Each proposal will be evaluated by two ARP members who shall belong to the

area of subject/discipline of the proposal to be evaluated. The evaluation will be

done by awarding marks out of a total of 100 following the criteria mentioned at

section 32 below.

30.9 The ARP members and ERs shall receive honorarium for evaluating proposals.26

30.10 If the difference between the evaluation marks of the two ARP evaluators is ≤ 20

then their average will be the final score for the evaluation. In case the evaluation

scores of the two ARP members differ by more than 20 then it will be evaluated

by one external evaluator belonging to the same or allied discipline. The final

score will be the average of the two nearest scores from among the three

evaluations.

30.11 In order to avoid conflict of interest, ARP members and ERs will not be eligible to

evaluate any CP belonging to the same institution where they serve.

31 Functions of Peer Reviewers

31.1 Two ARP members and one ER (if needed) will evaluate the complete proposals

(CPs) according to the evaluation criteria in Table 4. Each of the ARP members

and ER will prepare a structured score-sheet for each proposal they have

evaluated;

31.2 The score sheets along with the evaluated CPs will be collected by UGCAIFS on

the conclusion of evaluation session at UGC for preparing broadsheet on the

result/scores.

32 Evaluation Criteria for Peer Reviewers

32.1 The ARPs and ERs shall evaluate complete proposals (CP) according to the

following criteria in Table 4 below and justify the marks given in the Evaluation

Form included in Annex 9 of this AIFOM.

26

@ Taka 10,000/- per CP.

35

Table 4: Evaluation Criteria for Complete Sub-project Proposals by Peer Reviewers

Broad Evaluation

Criteria Specific Evaluation Criteria Marks

1. Clarity and

quality of

strategic analysis

and proposal

design

20 marks

Clarity and quality of the strategic analysis, objectives and expected

results, and innovative nature of the proposal:

The overall clarity and quality of the strategic analysis and

background data; 5

The clarity of the proposal objectives and expected results; 5

1.3 The overall quality of the proposal design; 5

what extent the proposal and proposed activities reflect

innovation, new management practices and tuning with the student

(or research) needs.

5

2. Quality and

clarity of the

milestones and

performance

indicators

10 marks

Quality and clarity of the milestones and performance indicators to

measure progress, results and impact:

what extent the milestones described indicate the crucial

activities and expected results considered in the proposal;

5

what extent the performance indicators are relevant to the

specific objectives and design of the proposal.

5

3. Relevance to the

country and

benefits

20 marks

Relevance of the proposal to the country and its expected benefits:

what extent the proposal conforms with the objectives of AIF

and relates to the Government’s development objectives for HE

and the country;

5

3.2 To what extent the sub-project (Window-1) will give students

greater access to advanced teaching-learning facilities, updated

curricula, emerging subjects, reduce the current deficiencies in

qualification/skills (including soft skills) and endow the graduates

with the required competencies that the labor market/knowledge

economy demands; or

10

To what extent the sub-project (Window-2) will give postgraduate

students and researchers greater access to advanced research

facilities and opportunities, collaborative research with reputed

foreign universities and contribute to innovation; or

To what extent university-wide innovations (Window-3) would

give greater access to advanced teaching-learning and research

facilities, ICTs, digital library resources, international research

publications, support for converting knowledge generated in the

university system to science and technology led business, and

enhance university’s academic standard and participation in the

global knowledge economy;

what extent the benefits that would accrue to the

institution and the country is realistic in the light of the sub-

project activities;

5

36

4. Justification of

the budget

15 marks

Clarity and justification of the proposal budget:

4.1 To what extent the proposed investments for all the activities (e.g.,

updating of curricula, hiring of additional academic staff,

procurement of equipment/ instruments/ teaching-learning

materials, training of academic staff and students, collection of

books for library, support to researchers, training allowances,

increased capacity for research, and other activities etc.) conform

to the proposal design;

5

4.2 To what extent the proposed investments for all the activities lead

to the stated specific objectives and expected results; 5

4.3 To what extent the amounts requested for each item of expenditure

are rational and justified; 5

5. Quality of the

management

plans 10 marks

Quality and clarity of the proposal work, training, financing and

procurement plans:

he clarity and quality of the work plan and its relevance to the

proposal objectives;

5

what extent the training, financing and procurement plans are

consistent with the proposal design and would produce the

expected results;

5

6. Institutional

engagement and

sub-project

management

5 marks

Institutional commitment and engagement in the proposal and

efficient management of the sub-project:

what extent the fund recipient institution’s commitment and

engagement is reflected in the proposal

5

7. Clarity of impact

analysis

10 marks

Quality and clarity of the impact the sub-project will have on

environment/eco-system, gender inequality, employment, poverty

reduction, academic programs, human development, research,

food security, production innovation, governance and disaster

management etc.:

7.1 The clarity and quality of the impact analysis; 5

7.2 To what extent the impact analysis is realistic and relevant to the

proposal activities; 5

8. Sustainability

10 marks

Academic and financial sustainability of the implementation after

the AIF support has ended:

8.1 To what extent the activities initiated under the sub-project would

continue as part of overall academic improvement impacted by the

AIF;

5

8.2 To what extent institutional commitments would induce future

investments, academic improvement, processes and outcomes

envisaged in the sub-project.

5

Total 100

37

33 UGC Board for AIF (UGCBAIF)

33.1 The UGCBAIF shall act as the apex body for the final selection of AIF sub-

project proposals and awarding of funds. The Board will be composed of the

Chairman and the five full-time members of the UGC. The Project Director of

HEQEP will be invited member and the Coordinator of UGCAIFS will be the

secretary of the UGCBAIF. The UGCBAIF will look into the aggregate

implications of all proposals recommended for funding in a particular round to

make sure that the outcome is generally aligned with the objectives of AIF and

higher education and national development.

33.2 The UGCBAIF shall invite two officials not below the rank of Joint Chief of the

government, each from the Ministry of Education and Socio-Economic

Infrastructure Division of the Planning Commission, and not more than two

representatives from research and professional organizations to attend its

evaluation meetings. These external officials/representatives shall not be

considered as members of UGCBAIF but as specially invited participants for the

purpose of final selection of sub-project proposals during the meeting of the

UGCBAIF. The external officials will not have voting power for selecting a

subproject;

33.3 The quorum of the UGCBAIF meeting will be four members including Chairman;

33.4 The UGCBAIF and invited external participants shall receive honorarium for

attending subproject selection meetings;27

33.5 The UGCBAIF shall hold the authority to adjust the overall priorities of the

innovation fund as may be necessary to maintain appropriate balance over time

between approved funding and the fund’s objectives. However in doing so the

UGC shall consult both the MoE and the World Bank.

34 Terms of Reference of the UGCBAIF

34.1 Ensure that the objectives of the AIF are achieved;

34.2 Ensure equal opportunities to all participating universities in the submission of

proposals;

34.3 Decide on eligibility of the CPs for evaluation on the basis of the checklist

prepared by the UGCAIFS;

34.4 Confirm that the CPs presented for final selection have been evaluated according

to prescribed criteria by the Peer Reviewers;

34.5 Ensure that only fully evaluated proposals are awarded AIF grants;

34.6 Ensure transparent evaluation and selection procedure at all levels;

34.7 Make final selection of the proposals on the basis of evaluation done by ARP

members and ERs;

27

@ of Taka 2,000 per person per meeting.

38

34.8 The UGCBAIF may decide to take the assistance of a set of complementary

selection criteria to facilitate its work. The complementary selection criteria can be

seen in Annex 10. The UGCBAIF shall have the discretion to give additional up to

5 marks to an evaluated CP based on the complementary selection criteria. Thus,

each CP will be finally evaluated out of 105 marks (100 by ARPs/ERs & 05 by

UGCBAIF).

34.9 If the UGCBAIF feels, at any stage of CP screening, evaluation or selection, that

additional opinion is necessary for taking final decision on a CP, it may decide to

send the CP to an expert for his/her opinion.

34.10 Take final decisions at an aggregate level on the awards;

34.11 In case the number of qualified proposals are less than the AIF allocation for the

group, the UGCBAIF will apply its judgment as mentioned in Section 12.7 above;

34.12 Execute the Performance Contract with the concerned university which has been

awarded AIF grants for the selected sub-projects of its departments/

faculties/institutes/ centers or/and by itself;

34.13 Oversee on-going sub-projects’ implementation and assign UGC members and

academics for academic monitoring of subprojects under implementation;

34.14 Hear appeals submitted by an entity if it feels that its proposal has not been fairly

evaluated by the Peer Reviewers; and dispose of such appeals according to the

procedure mentioned at Section 38 of this OM; and

34.15 Review the overall priorities, activities, procedures, guidelines and sustainability

of AIF before launching a proposal round in consultation with the MoE and the

World Bank.

35 Final Selection Period

35.1 The UGCBAIF shall take one week to complete the final selection of proposals.

36. Technical Comments by IDA

36.1 Before the results of final selection of sub-project proposals (CPs) are announced

and published by UGCBAIF, hard copies of selected CPs along with the evaluation

forms duly filled on each CP received from the ARPs/ERs and UGCBAIF shall be

forwarded to the IDA for technical comments. IDA will send back it with

comments in one week time.

37. Sub-project Management

37.1 Immediately after publishing of the list of AIF awardees by UGCAIFS and before

the signing of Performance Contract among the three parties, the SPM shall

establish the sub-project management office. The head of the subproject

implementing entity shall offer necessary cooperation for this.

37.2 There will be a Deputy SPM (DSPM) selected from among the Associate SPMs

who are involved actively in sub-project implementation. The SPM and the DSPM

39

shall be the same persons who have been proposed in the approved sub-project

proposal.

37.3 The DSPM will be actively engaged in sub-project management along with the

SPM and will assist the SPM in the administrative work of the Sub-project. S/he

will take the charge of SPM in the absence of the SPM due to leave, illness or

other reasons. In case the SPM decides to discontinue in his/her position, s/he may

resign, and in that case the entity will nominate another person from amongst the

DSPMs as the new SPM;

37.4 In the event of a SPM goes on preparatory leave to retirement (PLR) during the

implementation of a subproject s/he shall relinquish the charge from the date of

entering the PLR and handover the responsibility to DSPM of the subproject. The

subproject implementing entity then designates another academic as the DSPM.

37.5 The SPM shall be responsible for the implementation of the sub-project and be

accountable to the AIF grant recipient entity and would report to it periodically.

S/he shall liaise with all concerned agencies in respect of sub-project

implementation.

37.6 In a situation when due to unforeseen reasons or/and unavoidable circumstances

the designated SPM or/and the DSPM are unable to perform, or they leave the

position, then the AIF grant recipient entity would replace him/her with another

SPM or/and DSPM, as the case may be, selected from among the Associate

SPMs of the sub-project. In the absence of such Associate SPM, the entity will

designate a new SPM from among the faculty member of the entity;

37.7 The SPM shall hire support staff provisionally as will be required for the

implementation of the sub-project, e.g., office secretary/manager, procurement

officer, accountant, finance officer, data entry operator, messenger, janitor etc.

Such provisionally hired staff shall stand terminated on the date the sub-project

implementation is completed. ;

37.8 The SPM may also recruit support staff from among the regular staff of the

university by giving them additional responsibilities as admissible under university

rules, and pay them financial benefits as allowed under the university rules;

37.9 In public universities the provisionally recruited support staff will get salaries and

allowances according to university’s relevant pay scales for equivalent posts;

37.10 In private universities the provisionally recruited support staff will get salaries and

allowances according to the relevant pay scales for equivalent posts in public

universities;

37.11 The SPM, DSPM and the Members of SPMT, shall receive financial incentives

as described in Annex 4 of this AIFOM28

;

28

Faculty members can be included into sub-project implementation as Members of SPMT. If included as

Members of SPMT, then they will receive incentive mentioned at Annex 4.

40

37.12 No faculty member can be designated as SPM simultaneously for two sub-projects

in a single round or in two rounds consecutively, nor can become a member of

sub-project management team of another sub-project in the same or/and different

entity or/and institution in a single round or in two rounds consecutively.

38 Disposal of Appeal

38.1 If a proposal submitting entity feels that its proposal has not been evaluated

properly by the concerned Peer Reviewers, it may submit an appeal to the

UGCBAIF in writing. This appeal must be channeled through the proposal

sponsoring/endorsing university.

38.2 Appeal should reach the UGCBAIF within two weeks from the day of publication

of the list of finally selected CPs.

38.3 Upon receipt of the appeal, the UGCBAIF shall examine the evaluation marking

thoroughly and redress any inconsistencies, if found.

38.4 UGCAIFS will communicate the decision of the UGCBAIF to the appellant.

39 Performance Contract

39.1 After the final selection of the proposals by UGCBAIF and the publication of the

list of selected and awarded proposals in the national dailies and its hosting on the

websites of the UGC, the UAIFSs of the proposal sponsoring/endorsing public

universities and AIFMU of sponsoring private universities and the sub-project

managers of the awarded proposals will be invited by the UGCAIFS to sign the

Performance Contract. The Contract will be binding on the following three

parties:

i. UGC- the first party, the awarder, represented by its authorized official;

ii. University - the second party, represented by its authorized official;

iii. Proposal submitting entity acting through SPM - the third party.

39.2 The format of the Performance Contract for the public universities is attached at

Annex 11 of this OM.

39.3 The format of the Performance Contract applicable for private universities is

attached at Annex 12 of this OM.

40 Dispute Resolution

40.1 Any dispute that may arise between the parties will be settled amicably. If not

resolved amicably, decision of UGCBAIF will be final.

41 AIF Effectiveness Condition

41.1 The performance will come into effect from the date of signing by the three

parties.

41

42 Duration of AIF Sub-Projects

42.1 The maximum duration of an AIF sub-project will be as follows from the date of

effectiveness:

42.1.1 For Window 1 sub-projects: 2 years;

42.1.2 For Window 2 sub-projects: 3 years; non extendable;

42.1.3 For Window 3, University-wide sub-projects: 2 years;

42.2 In extreme circumstances, sub-project under Window 1 & 3 may be extended for a

maximum of one year, but not exceeding the project (HEQEP) period.

42.3 Such extension proposals will require incontrovertible justification and only

UGCBAIF will decide on the acceptance or rejection of such extension proposals.

Extended sub-projects have to be completed without involving any increase of the

budget including honorarium/incentives.

43. Financial Management

43.1.1 It is expected that the universities which have been awarded AIF resources will

carry out the AIF sub-projects with due diligence and efficiency and in accordance

with sound financial standards and practices satisfactory to the GoB and IDA, in

accordance with the provisions of the Anti-Corruption Guidelines29

applicable to

recipients of IDA financing. The universities will further maintain a financial

system and prepare financial statements in accordance with consistently applied

accounting standards acceptable to GoB and IDA, both in a manner adequate to

reflect the operations, resources and expenditures related to AIF sub-projects. At

the request of IDA or UGC, the university will have such financial statements

audited by independent auditors, in accordance with consistently applied auditing

standards acceptable to the IDA, and promptly furnish the statements as so audited

to the UGC and the IDA.

43.1.2 Availability of funds to sub-projects will depend on sub-projects financing plan,

work plan, procurement plan etc.

43.1.3 Though the private universities are outside the jurisdiction of GoB’s financial and

auditing rules and auditing agencies, in the case of AIF sub-projects they will be

under the purview of GoB’s supervision because of the public nature of the fund.

Therefore the AIF utilizing private universities will have to adhere strictly to the

financial management practices delineated in this OM.

43.1.4 The office of the UAIFS in the public and AIFMU in the private universities shall

be responsible for the coordination of financial management of the AIF sub-

projects because it will act as the secretariat for the AIF funds released by the

HEQEPU and maintain records of the received funds to the individual sub-project

managers. The universities will assign accounting staff with adequate skills to

29

The World Bank’s Anti-Corruption Guidelines is attached as Annex 13;

42

UAIFS/AIFMU for coordinating the financial management tasks related to AIF.

The UAIFS/AIFMU will send all information on AIF grants received and utilized

by the university in prescribed reporting formats periodically to UGCAIFS. The

FM section of the HEQEPU shall be responsible for the supervision of financial

management of the AIF resources allocated to the sub-project. It will provide the

UGCAIFS with all information on the fund released and utilized.

43.2 Fund Flow and Disbursement Arrangements

43.2.1 IDA disburses funds to HEQEP through an arrangement known as Convertible

Taka Special Account (CONTASA). The Bank account of HEQEP for the

project is known as Designated Account (DA). AIF grants to the sub-projects

implemented by a university will be directly disbursed to the sub-project managers

by the HEQEPU from the DA. Each sub-project manager will open an account in

a Bank known as Operating Account (OA) in the form of STD. The sub-project

manager will be solely responsible for maintaining the OA. He will maintain

imprest and make payment against approved vouchers as per delegation of power

of his university. There might be several OAs in a single university if it is awarded

several AIF grants. In such cases the concerned UAIFS/AIFMU shall coordinate

the financial management tasks of the sub-projects in consultation with the SPMs.

43.2.2 HEQEPU will transfer the first tranche of AIF grants to the OAs of sub-projects

on the basis of their six months estimated expenditure drawn on the approved

procurement and work/activities plans. Subsequent grants will be released on the

basis of statement of expenditures (SoEs) and requisition for advance submitted to

the UGCAIFS. The private universities will submit the first fund release proposals

for their sub-projects to UGCAIFS along with the evidence of depositing their full

amount of own mandatory contribution (20%) in the OA. Advances from

Designated Account to the Operating Account will be needed to be adjusted/

reconciled preferably within 30 days, but in no case beyond 90 days.

43.2.3 For all purposes related to fund receipt and expenditure the sub-project managers

shall follow the “Financial Management Guidelines for Subprojects under

Academic Innovation Fund, 2013” published by the HEQEPU and included in

this AIFOM at Annex-15.

43.3 Internal Control: Internal Control comprises the whole system of controls,

financial and operational, established by management in order to carry out project

activities in an orderly and efficient manner; ensures adherence to policies and

procedures; ensures maintenance of complete and accurate accounting records and

safeguards the assets of the project. The existing financial rules, regulations and

procedures will be followed for all sub-project activities. Segregation of duties and

responsibilities in expenditure management cycle and control functions will have

to be clearly defined.

43.4 Economic Codes: In preparing the summary budget estimate and the detailed cost

breakdown of the sub-project GoB’s budget preparation methods and rules will be

43

followed by the proposal submitting entities. For this purpose, proposal submitting

entities shall consult Annex 21 of this AIFOM which describes the Guidelines for

Economic Codes that are mandatory for all government departments, attached

bodies to the Ministries, autonomous institutions and organizations for the

preparation of budget. Items of expenditure not included in the Guidelines for

Economic Codes will not be eligible for inclusion in the budget or/and sub-project

expenditure.

43.5 Re-appropriation/Adjustment of Budget Heads: SPMs shall be allowed to re-

appropriate allocations from one budget head to another if required for cost and

expenditure rationalization. But such re-appropriation should be made with the

concurrence of the HEQEP PD. For this purpose the SPMs shall send the re-

appropriation proposal to PD justifying the changes in the sub-project budget

allocation. The re-appropriation/adjustment of budget for a sub-project can be

made once in a financial year. There will be a final adjustment/revision of budget

at the end of the sub-project, if needed.

43.6 Delegation of Financial Power: In matters of procurement of goods, services and

works SPMs shall follow the Delegation of Financial Powers of respective

university.

43.7 Financial Reporting and Monitoring: HEQEPU will be responsible for

consolidating financial information from the participating HEIs and for preparing

Consolidated Project Financial Statements (CPFS) of the project. For preparing

quarterly interim un-audited financial reports (IUFR), HEQEPU uses specific

formats provided by the World Bank. The IUFR include financial statements

(sources and uses of funds, uses of funds by project components, project cash

withdrawal, DA activity statement, and DA reconciliation statement etc. The

IUFRs are submitted to the World Bank Office Dhaka (WBOD) within 45 days

after the end of each quarter.

43.8 Sub-Project Financial Management Report: The Sub-Project Manager (SPM)

will be required to submit Sub-Project Financial Management Reports (SPFMR)

to the HEQEPU on a quarterly basis within 21 days after the end of each calendar

quarter. The reports included in the SPFMR are sub-project’s (1-A) resources and

uses of fund, (1-B) uses of fund by sub-project activities, (1-C) AIF activity

report, (1-D) OA reconciliation statement, (2A-C) statement of expenditures

(SOE), (3A-B) request for advance etc. Formats for SPFMR are shown in

Annex-15, and also included in the Financial Management Guideline of Sub-

Projects under AIF. The UAIFS/AIFMU shall provide technical assistance to

SPMs in preparing the SPFMR.

43.8.1 HEQEPU will ensure that all project financial information is provided

periodically to the Chief Accounts Officer (CAO) of the MoE by complying with

Project Accounting Manual (PAM). This is to ensure that project funds routed

through DAs are reflected in the GoB accounts as well in the CPFS of the MoE.

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43.9 Disclosure: For ensuring transparency in project management, HEQEPU will

ensure that all the relevant financial information including the AIF grants

disbursed to the universities are posted on HEQEP website on a regular basis. For

emphasizing the impact of audit, audit reports and the actions taken on audit

observations should also be posted on the website.

43.10 Adequacy of Financial Management Arrangement and Action Plan:

43.10.1 Overall financial management of AIF resource utilization will be considered to

be adequate, as long as the financial management staffing arrangements and

their training are complied with.

43.10.2 All functions relating to operation of DA including transfer of funds to the OAs,

scrutinizing the utilization of funds by the HEIs and replenishment to OAs, will

be the responsibility of the PD. Subsequent installments to the sub-project OAs

will be released upon receiving evidence on satisfactory utilization (above 80%)

of the funds released up to the last tranche according to milestones and PIs or

when (for example goods) procurement procedures have reached the payment

phase. Data on fund released and its utilization by each sub-project shall be

collected and recorded/maintained by the UAIFS/AIFMU with the assistance

of the sub-project manager.

43.10.3 In collecting data on fund requirement and utilization the UGCAIFS and

UAIFS/AIFMU shall also take cognizance of the Performance Contracts

signed between the fund’s authorized holder (UGC) and the recipient institution

(University). The Performance Contracts delineate each party’s

responsibilities and obligations. More important, the sub-project proposal

attached to the Contract includes the procurement plan and financing plan.

They also define milestones and performance indicators in sub-project

proposals that, when verified, serve as triggers for the release of next

installments. This enables the flow of funds to be more or less synchronized

with the progress of implementation according to milestones and performance

indicators, an important consideration where the pattern of expenditures may

vary widely among sub-projects. In addition, this arrangement also serves to

emphasize performance and/or accomplishment over mere spending of funds.

43.10.4 The use of sub-project’s financing plan significantly simplifies a project’s

financial administration. The underlying logic is that certain types of approved

expenditures will have to be made in order to achieve the agreed performance

milestones. The fact that the milestone has been achieved can be used in lieu of

the more labor intensive substantiation of each expenditure as having been

made for the purpose approved.

43.10.5 HEQEPU provides monthly and quarterly reports of the project on fund release

and utilization against ADP to the Director, Planning & Development of UGC.

These tasks are carried out in accordance with the information/data provided to

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HEQEPU by the sub-project managers. The sub-project manager will be

required to submit a quarterly report included in Annex 16 and a six-monthly

progress report to the MEU located within HEQEPU. The six-monthly

reporting format has been included in Annex 17.

43.10.6 Financial management of the AIF sub-projects shall primarily be the

responsibility of the sub-project managers. The UAIFS/AIFMU at the HEI

level shall provide assistance, if needed, to SPMs in carrying out these tasks.

43.10.7 The HEQEPU, in consultation with IDA, will arrange training programs on

financial management for all sub-project managers, UAIFSs/AIFMUs and

concerned officials of UGC before the commencement and during the

implementation of AIF activities.

44. Procurement

44.1 The legal framework: Procurement is one of the major important activities of any

development project and most difficult too. The Government of Bangladesh has

made it mandatory for all institutions/organizations/agencies to follow the The

Public Procurement Act 2006 (PPA) and The Public Procurement Rules 2008

(PPR) for the purchase of all kinds of goods, works and services from within the

country and abroad to be made under both the non-development (revenue) as well

as development budgets. However, in conformity with Rule 3(d) of PPR, for IDA

funded projects such as HEQEP, all procurement involving international

competitive bidding (ICB) and national competitive bidding (NCB) above a certain

threshold will follow the World Bank’s Procurement Guidelines for Goods, Works

and Non-Consultancy Services January 2011. All selection of consulting

services/consultants will follow the World Bank’s Consultant Guidelines

January2011. Should there be any conflict between the World Bank’s Guidelines

and the PPA/PPR, the former will prevail and this has been clearly stipulated both

in the PPR and in the Financing Agreement (FA) executed between the IDA and

the GoB. Because of its bulk the PPA and the PPR have not been attached to this

OM. However these documents and other relevant regulations are available on the

website of Central Procurement Technical Unit (CPTU) of the IMED i.e.

www.cptu.gov.bd. World Bank’s Procurement/Consultant Guidelines are available

on its website www.worldbank.org.

44.2 Procurement Methods: The procurement methods to be used for procurement of

goods, works and services, are presented under paragraphs 44.2.1 through 44.2.3

below:

44.2.1 Procurement of Goods: It is presumed that almost all AIF sub-projects will

have to purchase materials, equipment and instruments from the local market, but

a few may need international procurement The bulk of such purchase may be

modest for some and very large for others. University laboratory equipment,

machines/instruments for engineering workshops, chemicals and specimens are

http://www.worldbank.org/

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highly specialized and often not available within Bangladesh. Some highly

specialized medical and biotechnology laboratory equipment may also not be found

in the country. This will inevitably require international procurement and payment

in foreign currency. Generally goods will be procured using ICB, followed by NCB

and national shopping for small valued contracts. Direct contracting will be used

for specialized items of low value / proprietary nature / specialization, with IDA’s

prior concurrence. This is applicable for all procuring entities under the project,

i.e., AIF sub-projects implementers or/and universities, HEQEPU and UGC. The

following procurement thresholds shall be valid for the first 18 months of the 3rd

round of AIF. Thereafter, HEQEPU shall seek World Bank’s clearance for

following these threshold amounts.

i. ICB: Goods and equipment contracts estimated to cost Taka 48.0 million

(US$600,000 equivalent) and above per contract will be procured using ICB.

ii. NCB: Goods and equipment contracts estimated to cost below Taka 48.0 million

(US$600,000 equivalent) per contract may be procured using NCB following

provisions of the PPA and model bidding/tender documents acceptable to the

World Bank. This includes vehicles, computers, office equipment etc. For the

purpose of NCB the following shall apply:

Post bidding negotiations shall not be allowed with the lowest evaluated or any

other bidder;

Bids should be submitted and opened in public in one location immediately

after the deadline for submission;

Lottery in award of contracts shall not be allowed;

Bidders’ qualification/experience requirement shall be mandatory;

Bids shall not be invited on the basis of percentage above or below the

estimated cost and contract award shall be based on the lowest evaluated bid

price of compliant bid from eligible and qualified bidder; and

Single-stage two-envelope procurement system shall not be allowed.

iii. National Shopping (NS): Small goods and equipment contracts may be procured

in accordance with provisions of national shopping (Request for Quotations)

under PPA and PPR, provided those are included in the Procurement Plan

agreed with IDA.

iv. Direct Contracting (DC): Under this project, computer software, books,

analytical services and training materials can be procured following DC

procedures in accordance with the World Bank’s Procurement Guidelines and

with IDA’s prior concurrence. However, this will exclude Direct Cash Purchase

and other purchases where formal contract is not required.

44.2.2 Procurement of Works: Very little amount of civil works are envisaged under

AIF sub-projects and other components of HEQEP. The following procurement

methods can be used just in case AIF resources are used for eligible purposes such

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as renovation/ refurbishing/extension of lecture/study/seminar rooms, laboratories/

workshops etc.:

i. International Competitive Bidding (ICB): ICB will be used for contracts

estimated to cost Taka 400.0 million (US$ 5.0 million equivalent) and above per

contract.

ii. National Competitive Bidding (NCB): Civil works contracts estimated to cost

below Taka 400.0 million (US$ 5.0 million equivalent) per contract may be

procured using NCB in accordance with provisions of the PPA and model

bidding/tender documents acceptable to the World Bank. The exceptions to

PPA/PPR as mentioned in 44.2.1(ii) also apply for works.

iii. National Shopping (NS): Small works may be procured in accordance with

national shopping (Request for Quotations) provisions of PPA and PPR,

provided those are included in the Procurement Plan agreed with IDA.

44.2.3 Consultants’ Services and Training: It is assumed that international technical

assistance/ consulting will not be required as there will be hardly any procurement

of services of complex nature under the AIF. However local technical expertise

may be needed to assist the HEQEPU/UGC to review technical specifications,

schedule of requirements and cost estimates to be submitted by prospective AIF

sub-project managers. Such local consultants may be firms or individuals based on

specific needs and their hiring would follow provisions of the World Bank’s

Consultant Guidelines January 2011. A few sub-projects may also go for

procurement of technical assistance/consulting services.

Major consulting assignments would relate to AIF management, monitoring and

evaluation (M&E), procurement and financial management. Furthermore, there

will be consultants to provide technical assistance to UGC and to the AIF sub-

projects for project implementation and monitoring.

44.2.3.1 Short lists of consulting firms for services estimated to cost less than Taka 24.0

million (US$300,000 equivalent) per contract may be composed entirely of

national consultants in accordance with the provisions of paragraph 2.7 of the

IDA’s Consultant Guidelines. The methods of procurement that can be used are

as follows:

i. Quality and Cost Based Selection/Quality-Based Selection (QCBS/QBS):

Consulting services through firms estimated to cost Taka 24.0 million

(US$300,000 equivalent) and above per contract will be selected following

QCBS/QBS in accordance with IDA’s Consultant Guidelines. .

ii. QCBS/Fixed Budget Selection (FBS): Services through firms estimated to

cost less than Taka 24.00 million (US$300,000 equivalent) per contract may

follow the QCBS/ FBS method in accordance with IDA’s Consultant

Guidelines.

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iii. Selection Based on Consultant Qualification (CQ)/Least Cost Selection

(LCS): Services through firms estimated to cost less than Taka 8.0 million

(US$100,000 equivalent) per contract may be procured following CQ or LCS

in accordance with IDA’s Consultant Guidelines.

iv. Single-Source Selection (SSS): Specific consultants’ services through firms

conforming IDA’s Guidelines (paragraph 3.8 to 3.11) may be procured

following SSS under IDA Guidelines. SSS contracts related to capacity

building and staff training will be prior reviewed by HEQEPU and the Bank

will post review such procurements.

44.2.3.2 Individual Consultants (IC): Services for assignments for which teams of

personnel are not required and the experience and qualifications of the

individual are the paramount requirement, will be procured through individuals

in accordance with Section V of the IDA Guidelines. Individuals will be

selected on the basis of their qualifications for the assignment. Individual

experts on AIF management, procurement, financial management, M&E etc.

will be selected following this method.

44.2.4 All procurement methods for goods, works and services will be specified in the

Procurement Plan and agreed with IDA before procurement process is started by

the sub-projects.

44.3 Use of Standard Bidding and Contract Documents: For ICB procurement of

goods and works, the use of IDA’s Standard Bidding Documents (SBD) is

mandatory. For NCB procurement, HEQEPU/universities may use the

Government’s standard bidding document format with modifications incorporated

and agreed with IDA (model tender documents for goods, works and non-

consultancy services). For selection of any consulting firm, the WB’s Standard

Request for Proposals (RFP), including standard contract form will be used.

Depending on the type of procurement, the Standard Bid/Proposal Evaluation Forms

of the World Bank, and of GoB when those become available, will be followed for

submission of evaluation reports.

44.4 In case of ICBs and prior review contracts, IDA’s no objection will be required for

cancellation of ongoing procurement process and re-bidding. All other rebidding/

re-invitation of proposals of AIF beneficiaries would require no objection from

HEQEPU.

44.5 System for Handling Complaints: A credible system of handling complaints

would be put in place both at the UGC and the universities. The salient features of

the system will be a standard protocol with appropriate triggers for carrying out

investigations, taking actions pursuant to PPA/PPR against parties involved in

inappropriate practices in procurement process, and including submission and

disposal of complaints within the timeline stipulated therein. In its premises, UGC

and universities will introduce a complaint box and during pre-bid meetings,

bidders will be informed of their rights to complain. For ICB/international selection

of consultants the complaint redress mechanism under IDA guidelines will apply.

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44.6 Additional Procurement Risk Mitigation Measures. In addition, the following steps

will be followed as part of procurement and implementation arrangements: (a) by January

31, 2014 all AIF beneficiaries under HEQEP will have at least one person with completed

training on procurement arranged by HEQEPU, and all Sub-Project Managers (SPMs) will

have completed specialized training arranged by HEQEPU and The World Bank on red

flags of fraud and corruption; (b) all bid evaluation reports of contracts awarded by

HEQEPU and sub-projects will cover verification of recommended bidders’ post-

qualification information [for goods and works]; (c) all contract negotiations will be

preceded by additional due diligence by HEQEPU/universities/SPMs on verification of

recommended consultants’ experience and curriculum vitae of key staffs [for consultancy

services] (d) bidders will be made aware about fraud and corruption issues through

bidding documents and pre-bid meetings; (e) contracts will be awarded within the initial

bid validity period, and Universities/SPMs and HEQEPU will closely monitor the timing;

(f) action is taken against corrupt bidders in accordance with Section I of the Bank’s

Procurement/Consultant Guidelines besides provisions of PPA/PPR; (g) records and all

documents regarding public procurement are appropriately maintained, preserved and

archived, in accordance with the Bank Guidelines and PPA/PPR, to facilitate smooth

procurement audit or post-review; (h) contract award information published on CPTU

(where applicable as per PPR, 2008) and universities websites within two weeks of

contract award (and in UNDB and Bank’s external website for ICBs or international

consultancies); and (i) timely payments to the suppliers/ contractors/consultants are

ensured; (j) a Procurement Audit Consultant (PAC)is recruited by HEQEP to review 15-

20% of contracts under AIF (i.e. minimum 500 contracts in four years) with a Terms of

Reference (ToR) acceptable to the Bank and (k) a Procurement Risk Mitigation Plan

(PRMP) by HEQEPU is introduced through reports submitted to IDA on a periodic (semi-

annual) basis with a set of features as mentioned below:

(I) Alert bidders in pre-bid meeting: HEQEPU/SPMs through a notification will alert

bidders during pre-bid meeting on consequences of corrupt practices (fraud and

corruption, collusion, coercion, etc.). The alert message, among others, will include

that if bidders are found to have adopted such practices, there may be remedial actions

including debarment from bidding processes in conformity with the Bank’s Guidelines.

For national competitive bidding, national bidders debarred, if any, under the PPA, will

not be able to participate. In addition, in the pre-bid meeting, the bidders will be

clarified for preparation of bids correctly.

(II) Alert internal officers/staff: HEQEPU/SPMs will issue alert letter(s) notifying on the

fraud and corruption indicators and the possible consequences of corrupt and similar

behavior in procurement practices and action to be taken against the official staff if

they are involved in such practices. Moreover, HEQEPU will highlight that, in case of

noncompliance or material deviation from IDA’s Procurement Guidelines, IDA may

take remedial actions (i.e., withdrawal of funds, declaration of mis-procurement) for

concerned contracts.

(III) Bid opening minutes: During the same day of bid opening, photocopies of the Bid

Opening Minutes (BOM) with readout bid prices of participating bidders will be

submitted by BOC for circulation to all concerned. For prior review packages, such

BOM will be shared with the IDA.

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(IV) Low competition among bidders and high price of bids: The case(s) of low

competition (not solely based on number of bidders) in ICB and NCB cases, coupled

with high-priced bids will be inquired into and further reviewed by HEQEPU. The

review and decision in this regard would be in the context of qualification criteria, the

contract size (too small or too large), location and accessibility of the site, capacity of

the contractors, etc.

(V) Measures to reduce coercive practices: Upon receiving allegations of coercive

practices resulting in low competition, HEQEPU/SPMs will look into the matter and

take appropriate measures. For prior review contracts, observations of HEQEPU will

be shared with IDA, along with the evaluation reports. HEQEPU/SPMs/Universities

may seek assistance from law enforcing agencies to provide adequate security for

bidders during bid submission. For ICB contracts, provision for bid submission

through international/national courier services will be allowed and confirmation of the

receipt of the bid will be informed to the bidders through e-mail.

(VI) Rebidding: In case of re-bidding, HEQEPU will inquire into the matter, record and

highlight the grounds of re-bidding (i.e. corruption or similar, high bid prices etc.)

along with recommended actions to be taken. In case of ICBs and prior review

contracts, IDA’s no objection will be required for re-bidding. All other rebidding/ re-

invitation of proposals of AIF beneficiaries would require no objection from HEQEPU.

(VII) Filing and record-keeping: HEQEPU/SPMs will preserve all records and documents

regarding their public procurement in accordance with provisions of the PPA. These

records will be made readily available on request for audit/investigation/review by the

Development Partners and the Government.

(VIII) Submission of PROMIS report: HEQEPU will submit quarterly report based on The

Government’s PROMIS (Procurement Management Information System) format to

IDA, which is available at the website of CPTU (www.cptu.gov.bd).

(IX) Publication of award of contract: HEQEPU will publish contract award information

within two weeks of contract award on its website, dgMarket/UNDB online, and

CPTU’s (where applicable as per PPR, 2008) websites with the following information:

identity of contract package, date of advertisement, number of bids sold, number of

submitted bids along with names, bid prices as read out at bid opening, name and

evaluated price of each bid, number of responsive bids along with name of bidder,

name of bidders whose bids were rejected and brief reasons for rejection of bids, name

of the winning bidder and the price it offered, proposed completion of date of contract,

as well as a brief description of the contract awarded.

44.7 Procurement Plan: A procurement plan covering all major procurement packages for the

first 18 months of the AF has been prepared. As part of AIF application, participants shall

submit procurement plans for their respective AIF proposals. Common items in such

procurement plans will be agglomerated by HEQEPU and HEQEPU will centrally procure

such items for the AIF beneficiaries. It will also be available in the Project’s database and

in IDA’s external website for this project. The Procurement Plan will be updated in

agreement with HEQEPU, semi-annually, to reflect the actual project implementation

needs and adjustments thereof.

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44.8 Review by IDA of Procurement Decisions: The review by IDA of procurement decisions

and selection of consultants will be governed by Appendix 1 of the Bank’s Guidelines.

For each contract to be financed by credit, the threshold for prior review requirements and

post review contracts will be identified in the Procurement Plan. During the first 18

months of the project, IDA will carry out prior review of the contracts. This prior review

threshold will be updated annually based on the performance of HEQEPU, and the initial

prior-review thresholds of the following contracts for the first 18 months of the AF are

mentioned below:

i. For Goods: All the ICB contracts and direct contracts irrespective of estimated cost.

The NCB contracts estimated to cost equivalent or more than US$ 600,000.

ii. For Works: All the ICB contracts and direct contracts irrespective of estimated cost.

The NCB contracts estimated to cost equivalent or more than US$ 5,000,000.

iii. For Non-consulting service: All the ICB contracts and direct contracts irrespective of

estimated cost. The NCB contracts estimated to cost equivalent or more than US$

500,000.

iv. For Consultant’s Services: All contracts estimated to cost USD 300,000 equivalent or

more for firms and USD 100,000 equivalent or more for individuals, all single-source

contracts. All Terms of References of the consultants are subject to the IDA’s prior

agreement.

44.9 Post Review: For compliance with the Bank’s procurement procedures, the Bank will

carry out sample post review of contracts that are below the prior review threshold. Such

review (ex-post and procurement audit) of contracts below the threshold will constitute a

sample of about 15 percent (fifteen percent) of the post-review contracts in the project.

Procurement post-reviews will be done on semi-annual basis depending on the number of

post-review contracts. Post-review will also include assessment of the performance of

HEQEP’s procurement team, including adequacy of due diligence exercised by HEQEP,

and regularity of procurement-related reporting and record-keeping.

44.10 Electronic government procurement (e-GP): All NCB procurement under AIF sub-

projects covered by the additional financing will be allowed to be done through electronic

government procurement (e-GP). e-GP has been rolled out in June 2011 under The

Government’s Procurement Reform. The Bank has approved the system to use in NCB

contracts under Bank-financed project in Bangladesh. The following steps will be

implemented by HEQEPU in order to implement e-GP.

i. Under the 3rd

round of AIF, the large established Government Universities (DU, CU,

RU, KU, BUET, SUST, CUET, RUET, KUET, BAU) and one private university

(NSU) will follow e-GP, should their departments successfully secure AIF sub-

projects.

ii. All procurement officers of HEQEP will have completed national/international training on

e-GP (by end December 2013).

iii. Under the 3rd

round of AIF implemented with additional financing, invitation to AIF

would accommodate information from prospective beneficiaries regarding readiness to use

e-GP in their own procurement. This readiness will include, among others, computer

hardware, availability of adequate bidders (list of bidders generally participating in

concerned university contracts) and robustness of internet connectivity of the sub-projects.

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During AIF proposal submission, universities ready for e-GP will confirm its readiness,

which will be subsequently assessed by HEQEPU. HEQEP procurement team will assist

universities in compiling this information. Information of e-GP readiness will be

incorporated into the agreed minutes of negotiation of the additional financing.

iv. AIF beneficiaries using e-GP will be provided special training by HEQEPU’s e-GP

trainers. (within three months of selection of successful AIF sub-projects).

v. Training for bidding community will also take place, through e-GP trainers of HEQEPU

and in collaboration with CPTU (by February 2014).

vi. SPMs of AIFs completing 100% of its NCB contracts through e-GP will be eligible for

international training on project management and public procurement, funded from

HEQEP.

44.11 Other Actions: Other actions to be taken during implementation to improve the

procurement governance are:

(a) HEQEPU Procurement Unit officials and other previously trained officers to

work in this project will attend refresher courses organized by CPTU/IMED;

and,

(b) HEQEPU will submit a training plan for all concerned procurement staff in

UGC/HEQEPU that will undergo procurement training (three-week and short

refresher courses) during the tenure of the project.

(c) In addition to the local training under PPRP II, the PD and the PFP may take

overseas procurement training.

44.12 Review of Procurement Performance: IDA will monitor the compliance with the

requirements of procurement methods and performance standards on a continuous

basis. As part of the project’s planned annual review/mid-term review, a

comprehensive assessment of procurement performance will also be carried out.

Based on the review, in consultation with the Government, the WB may revise the

prior review threshold, including the procurement and selection methods.

44.13 Overall Procurement Arrangement. The overall procurement arrangement for

AIF sub-projects is specified under paragraphs 44.14 through 44.22 below:

44.14 It has been already mentioned that all AIF sub-project managers are required to

prepare a Procurement Plan (which can be an update of the version included in the

CP) in accordance with formats prescribed by IDA or/and PPA, 2006/PPR,

2008; and these will have to be reviewed by HEQEPU, and concurred by the

World Bank before implementation and updated regularly on a half-yearly basis.

44.15 The draft procurement plans attached to the CPs will be reviewed in a budget

rationalizing workshop at UGC after the final selection of subprojects has been

made by UGCBAIF. The common items like computers, printers, photocopiers,

cameras, scanners, multi-media projectors and science lab equipment included in

the goods category in the procurement plans shall be identified and separated

from the CP’s for procuring these goods centrally by the HEQEPU. Other goods

included in the procurement plans shall be procured by the SPMs by following

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the relevant procurement rules mentioned in this AIFOM. The procurement unit

officials and procurement specialists of HEQEPU shall provide technical

assistance to the SPMs in rationalizing their respective procurement plans as

explained above during the workshop.

44.16 Excluding the procurement of common items all international and local

procurement will be done by the AIF sub-project managers with the technical

assistance from HEQEPU procurement officials and specialists and their

respective university authorities. AIF sub-project managers and the UAIFSs/

AIFMUs making the purchase will be responsible for the entire procurement

process, e.g., identification of needs, writing of specifications, writing of bid

documents, circulating of invitations of bids, bids evaluation, opening of the letter

of credit (LC) in an authorized bank, award of contracts and finally payment in

foreign currency through bank transactions etc. The procurement specialists

posted at HEQEPU would provide technical assistance to the SPMs in such

international procurement work.

44.17 Majority of the universities and sub-project managers may lack the experience and

expertise in drafting and preparing the request for proposal (RFP), bidding

documents, technical specifications, bill of quantities, schedule of requirement,

bid data, special conditions of contract etc. As already mentioned above an

extensive procurement capacity development building program for them will be

implemented by the UGC/HEQEPU with the assistance of the World Bank to

ensure smooth and timely implementation of the AIF sub-projects as well as to

minimize procurement related risks. As a preparatory measure, five procurement

consultants will be available at the HEQEPU/UGCAIFS who would perform

the following functions: (i) be full members of the bid Evaluation Committee

established by the universities for large scale procurements; (ii) train the

officials of HEQEPU procurement unit on procurement competence such as

rapid procurement capacity assessment of AIF users, need analysis, bidding

documents, estimating, evaluation and drafting of contracts; (iii) produce a

simplified procurement capacity assessment format (questionnaire) for AIF grant

users; (iv) produce model bidding documents and RFP to be used by AIF sub-

project managers for procurements under AIF grants; (v) head the procurement

review team to scrutiny all procurement activities, e.g., bidding documents,

evaluation reports, contracts etc. done by AIF recipients and conduct regular

(quarterly and half-yearly) site visits to ensure that procurement contracts are

fully implemented; and (vi) submit quarterly reports to IDA in PROMIS format.

44.18 Private universities utilizing AIF resource would require to follow the provisions

of PPA/PPR and IDA’s Guidelines on procurement like the public universities.

Concerned officials of the private universities may not possess adequate

knowledge regarding international competitive bidding (ICB) and the relevant

procedure given in the World Bank’s procurement guidelines. The mitigating

measures proposed for such lack of capacity are as follows: (i) each AIF resource

using private university will establish a procurement focal point (PFP) and submit

the names of its staff/members along with its sub-project proposal; (ii) the PFP

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staff will undergo intensive training on procurement organized by

HEQEPU/UGCAIFS so that they are able to prepare bidding documents and

evaluation reports for small scale procurements to be made under the AIF sub-

projects; (iii) the PFPs will report on contract implementation and PRMP

quarterly monitoring reports; assist HEQEPU and procurement consultants to

conduct post reviews and site visits; (v) if needed, PFPs would seek

clarifications/briefings on procurement mattes from CPTU/IDA.

44.19. Regarding formation of evaluation committee following measures will be

undertaken: (i) at the university level the committee will be constituted according

to the relevant provisions of PPA/PPR. (ii) at the sub-project implementation level

the evaluation committee will be constituted according to the relevant provisions

of the PPA/PPR with the inclusion of PFP staff as full members.

44.20 The primary responsibility in respect of procurement, therefore, will lie with the

concerned individual sub-project managers of the AIF grant recipient university.

The IDA will prior review the model documents, capacity assessment form, all

direct contracting and all goods and works contracts exceeding the threshold figure

as specified above. All single source selection and selection of consultants

exceeding a certain threshold as specified above will also be prior reviewed. The

AIF sub-project managers engaged in the implementation of the selected/awarded

projects, public university UAIFSs and the private university PFP staff must

possess copies of the PPA and PPR and IDA’s procurement guidelines, make

themselves thoroughly adept in them and consult the CPTU and procurement

consultants engaged by HEQEPU if they need clarification on any issue/matter

related to procurement.

44.21 With the above arrangements, procurement under the AIF is likely to be effective

and transparent resulting in smooth implementation of the project leading to

achievement of the AIF objectives. However, procurement process and

implementation of the contracts would be reviewed every six months by the UGC/

HEQEPU in collaboration with IDA and adjustments would be made, and

corrective actions would be taken if necessary.

44.22 Strengthening Procurement Capacity at University Level: For procurement

under AIF sub-projects, the SPMs will conduct their own procurement. This

requires significant strengthening of universities’ capacity in undertaking public

procurement. In order to strengthen universities’ procurement capacity following

measures will be taken upfront:

(i) Special Training Course: Prior to implementation of the 3rd

round of AIF,

HEQEPU will arrange a five-day customized training course, covering IDA

Procurement Guidelines and the PPR, 2008. All officials handling

procurement and/or holding membership of BECs are required to participate in

this training program. No academic staff should be allowed to handle

procurement without appropriate procurement training. Furthermore, the

procurement consultant (PC) will provide periodic training to AIF grant

55

recipient universities’ SPMs and procurement officers, who will be designated

upfront during submission of application.

(ii) On an annual basis contracts using AIF grants will be post-reviewed by

independent auditors appointed by HEQEPU and the post-review reports will

be shared with the World Bank for follow-up actions.

45 Monitoring and Evaluation (M&E)

45.1 Monitoring and evaluation are essential functions of any institution/organization

engaged in executing a goal achieving activity. They are specifically important

when as in the case of AIF, one is trying to introduce positive behavioral changes

into an existing institutional or academic culture. Monitoring is the periodic

assessment of programmed activities to determine whether they are proceeding as

planned. Evaluation involves the assessment of progress towards the achievement of

results, milestones and impact of outcomes based on the use of performance

indicators. Both activities require dedicated funds, trained professional staff,

monitoring and evaluation tools, effective data collection and storage facilities and

time for inspection visits in the field.

45.2 At the central level a small M&E unit (MEU) has been established within the

HEQEPU which will be responsible for designing, organizing and managing the

M&E activities of all components of the project. Monitoring of AIF sub-projects

will be the major responsibility of this unit. Progress reports will be submitted by

the respective sub-project managers twice a year in a customized reporting format

developed by HEQEPU included in Annex 17 of this OM. MEU will arrange a

validation survey for 20 percent of the sub-projects and will match the findings with

the self-reported information. Assessment of progress of randomly selected 20

percent of sub-projects towards its goal will also be arranged by the MEU. Experts

from relevant fields may be contracted for assessing the progress of the AIF sub-

projects, if necessary.

45.3 At the field level the offices of the sub-project manager shall be the main agency

for monitoring and evaluation of the AIF sub-projects implemented by the

universities. The sub-project managers shall monitor the projects on a continuous

basis and measure the progress/achievements against the performance indicators

mentioned in the sub-project proposal. The sub-project manager should be

meticulous in maintaining detailed accounts of the funds received by him including

every item of expenditure made under the project according to established

accounting procedure/system. He should also submit the AIF Quarterly Progress

Reports in prescribed formats (Annex 16) to the UAIFS and UGCAIFS. The

reporting formats are attached to this AIFOM. These can also be downloaded from

HEQEPU website.

56

45.4. One of the key outcome indicators of the project is increased level of satisfaction of

students and faculty regarding the quality of teaching and research environment, and

employers regarding the relevance of teaching and research programs. In order to

measure this outcome, Satisfaction Surveys are included in the project design.

45.5. Satisfaction Surveys have been planned targeting students, faculties and employers

of the AIF beneficiary institutes / departments in order to assess how the direct

beneficiaries value the interventions under AIF.

44.6. The impact of the AIF will be assessed through a comparison of outcomes between

the AIF beneficiary population (treatment group) and the population not receiving

the benefits of AIF (control group).

46 Environment Management Framework (EMF)

46.1 All AIF resource users will be required to follow an environmental management

framework (EMF). The major objectives of the EMF are to ensure protection of

physical and social environment, compliance with the legal requirements; and

addressing these issues efficiently and appropriately during all stages of AIF sub-

project implementation. The EMF would address the following issues:

46.1.1 Protect human health;

46.1.2 Minimize environmental degradation as a result of impact of either individual

sub-projects or their cumulative effects;

46.1.3 Enhance positive environmental outcomes; and

46.1.4 Ensure compliance with the GoB and World Bank’s safeguard policies.

46.2 The environmental concerns related to AIF are about the small scale

infrastructure renovation/refurbishing/extension work and research activities that

are expected to be carried out under the AIF sub-projects. The EMF would

provide guidance on the approaches to be taken during AIF sub-project proposal

preparation and implementation for environmental screening. This framework

should be consistent with the GoB’s environmental laws and associated

regulations as well as with World Bank’s safeguard policies.

46.3 The EMF will be based on the following principles:

46.3.1 The AIF sub-projects are likely to include physical infrastructure renovation/

refurbishing/extension and research activities, the detail design of which may not

be known a priori. To ensure effective application of the GoB/World Bank’s

environmental safeguard policies, the EMF would provide guidance on the

approaches to be undertaken during the preparation of the design of subproject,

and the planning of appropriate mitigation measures;

46.3.2 The sub-projects will not require any new building construction and as such no

land acquisition and screening for site selection will be applicable;

57

46.3.3 The sub-projects will follow Bangladesh Building Code to ensure safety of life

and property during renovation/refurbishing/extension of various parts of a

building or any other structures;

46.3.4 The contractors for renovation/refurbishing/extension will meet the requirements/

standards pertaining to air, water and noise prescribed in the GoB’s

Environmental Conservation Act 1995 and Environment Conservation Rules

1997;

46.3.5 This OM will describe the institutional responsibility and process for

environmental screening and related mitigation plans;

46.3.6 The sub-projects will promote sound environmental management and practices

within the higher education institutions during implementation

46.4 Considering the nature and magnitude of potential environmental impacts from

relatively limited scale and magnitude of the infrastructure renovation/

refurbishing/extension works and academic research output, the proposed

operation would be classified as category ‘B’. Since the extent and exact

locations of reconstruction works and research works are not known before the

design and implementation of the sub-projects, the requirement to carry out an

environmental analysis as part of sub-project preparation can be waived, but for

sub-projects with potential adverse impacts, a limited environmental analysis/

screening will be done prior to final selection of a sub-project. Since the potential

environmental impacts are expected to be minimal, an Environmental

Management Plan (EMP) will be prepared for each relevant activity. If any land

filling is required for research site preparation such as earth filling of ponds/water

bodies, full Environmental Impact Assessment (EIA) (not only an EMP) will

have to be conducted by the HEQEPU before awarding of AIF.

46.5 Environmental Screening: The sub-project proposal generating institutions, i.e.,

public and private universities, their faculties, departments, centers and institutes

fulfilling eligibility criteria will be required to submit a checklist to identify any

environmental issues in the infrastructure renovation/refurbishing/extension works.

If there is any environmental issue identified, the sub-project submitting entity will

add an EMP with its proposal. If there is substantive environmental impact, the

proposal submitting entity will submit the mitigation measures for those activities.

46.6 Environmental Review and Clearance: The University Grants Commission will

ensure that a qualified environment expert is assigned during each sub-project

review. The measurable environmental indicators will be used along with other

indicators for assessing the sub-projects. The institution will submit its proposal

for small infrastructure renovation/refurbishing with an environmental checklist

(Annex 18). Similarly, the applicants of research proposal will submit the

environmental checklist (Annex 19) duly reviewed and signed by proposal author.

If there is substantive environmental impact, the applicant will submit the

mitigation measures for the activities. This checklist will be used by the HEQEPU

to identify the potential environment and safety issues and to suggest possible

mitigation measures. HEQEPU will monitor the environmental safeguard issues

58

in the selected sub-projects and publish quarterly report on environmental

compliance of sub-projects based on agreed monitoring indicators.

46.7 Capacity-Building and Monitoring of Safeguard Framework Implementation:

As part of the capacity-building on environmental issues in University Grants

Commission, selected staffs will receive training in EMF application and

environmental management. To assist in this capacity-building, and to provide

subsequent guidance and review of the EMF’s application, the UGCAIFS will

contract specialist services for environmental safeguard, as required, during

supervision of these operations. The World Bank will assess the implementation

of the EMF, and recommend additional strengthening, if required.

46.8 Consultation and Disclosure: The EMF will be shared by the Ministry of

Education with concerned academic institutions and Department of Environment

(DoE). As no potential affected persons are expected under the AIF sub-projects,

field level consultations will not be held. The EMF has been disclosed in both

Bengali and English by the MoE and UGC and it will also be made available at

the World Bank’s InfoShop. Relevant sub-project specific safeguard

documents/mitigation plans prepared subsequently will also be disclosed to the

public.

46.9 Guidelines for preparation of Environmental Management Plan: After the

identification of potential impacts of the relevant sub-project, the next step is the

identification and development of measures aimed at eliminating, offsetting and/or

reducing impacts to levels that are environmentally acceptable during

implementation and operation of the project through the preparation and

implementation of an Environmental Management Plan (EMP). EMP provides an

essential link between the impacts predicted and mitigation measures specified. It

is recognized that the EMP format needs to fit the circumstances in which EMP is

being developed and the requirements, which it is designed to meet. EMPs should

be prepared after taking into account comments from the affected persons, relevant

academic institutions and UGC. Given below are the important elements that

constitute an EMP:

46.9.1 Description of mitigation measures: Feasible and cost effective measures to

minimize adverse impacts to acceptable levels should be specified with reference

to each impact identified. Further, it should provide details on the conditions under

which the mitigation measures should be implemented (e.g., routine or in the event

of contingencies). The EMP also should distinguish between type of solution

proposed (structural & non structural) and the phase in which it should become

operable (design, construction and/or operational). Efforts should also be made to

mainstream environmental and social opportunities as reasonable.

46.9.2 Monitoring program: In order to ensure that proposed mitigation measures have

the intended results and complies with national standards and donor requirements,

an environmental performance monitoring program should be included in the

EMP. The monitoring program should give details of the following;

59

Monitoring indicators to be measured for evaluating the performance of

mitigation measure (for example, national standards, engineering structures,

extent of area replanted, etc).

Monitoring mechanisms and methodologies

Monitoring frequency

Monitoring locations

46.9.3 Institutional arrangements: Institutions/parties responsible for implementing

mitigation measures and for monitoring their performance should be clearly

identified. Where necessary, mechanisms for institutional co-ordination should be

identified as often monitoring tends to involve more than one institution.

46.9.4 Implementing schedules: Timing, frequency and duration of mitigation measures

with links to overall implementation schedule of the project should be specified.

46.9.5 Reporting procedures: Feedback mechanisms to inform the relevant parties on

the progress and effectiveness of the mitigation measures and monitoring itself

should be specified. Guidelines on the type of information wanted and the

presentation of feedback information should also be highlighted.

46.9.6 Cost estimates and sources of funds: Implementation of mitigation measures

mentioned in the EMP will involve an initial investment cost as well as recurrent

costs. The EMP should include cost estimates for each measure and also identify

sources of funding.

47. Social Management Framework

47.1 The project will not require land acquisition, cause the displacement of people

(regardless of title to land) from private or public lands, or have any adverse impacts

on livelihoods. As such World Bank’s OP 4.12 Involuntary Resettlement will not be

triggered for the 3rd round of AIF as was the case for the original project. However,

the project may operate in the areas where ethnic minority people live in the wider

general area (such as in Chittagong) and there may be ethnic minority students and

faculty at the universities. The UGC/Project carried out a social assessment and

identified that the project interventions will have positive impacts to stakeholders of

tertiary education including any ethnic minority groups in Bangladesh who may be

beneficiaries of the project. Based on this finding OP 4.10 Indigenous People would

be triggered for the project and a Social Management Framework has been prepared

and included in the AIFOM (Annex-20). The proposal submitting entities will be

required to submit the filled in Social Screening Form with the CPs.

48 Monitoring of Sub-projects

48.1 Apart from the sub-project manager who would continuously review/monitor the

implementation progress of the sub-project according to milestones reached, UGC

as the implementing agency for the AIF, will monitor and review all on-going AIF

sub-projects on a regular basis during their implementation. The UGC shall take

appropriate measures if they fail to reach the milestones/ performance indicators

mentioned in the project proposals. The UGC will also field supervision teams

60

which will visit samples of projects physically with the objective to monitor their

implementation progress according to milestones/performance indicators.

48.2 At the AIF subproject implementation level in the universities the Vice-Chancellors

shall hold review of all under-implementation subprojects in a quarterly meeting

attended by the Deans, subproject implementing entities, i.e., Departments,

Faculties, Institutes, Centers chairpersons, SPMs and Director of Planning and

Development. The UAIFS shall organize the monitoring meeting chaired by the

VC and provide secretarial services. The concerned member in charge of HEQEP at

UGC and the HEQEP PD and AIF coordinator may be invited by the university to

attend the monitoring meeting. The Director, Planning & Development shall write

the minutes of the monitoring meeting and share it with UGC, HEQEP PD and

World Bank.

48.3 The Implementation, Monitoring and Evaluation Division (IMED) of the Ministry

of Planning will routinely monitor the implementation progress of the projects as

part of its mandated activities. In addition MoE would review the progress in its

monthly ADP review meeting held in the Ministry.

48.4 As practiced for all of its funded projects, the World Bank will field its periodic

supervision missions including mid-term review to assess the progress of

implementation of the AIF and other components of the project.

49 Audit

49.1 External Audit: All development partner assisted development projects have to

undergo periodic audit performed by the Foreign Aided Project Audit Directorate

(FAPAD) under the office of the Comptroller and Auditor General (C&AG) of

Bangladesh. In addition the Audit Wing under the Ministry of Education would

require data/information on expenditures as part of its routine audit activities and

for reporting to the C&AG. The audit will be carried out within six months of the

closing of the financial year and a report submitted to the World Bank by December

31. World Bank’s periodic project review missions would also look into

procurement procedures, the accounts of the AIF funds utilization and into the audit

reports provided by the MoE/UGC during the project implementation period. The

UGC, UGCAIFS, UAIFS/AIFMUs of universities and the AIF sub-project

managers should therefore remain fully prepared with the accounts of the sub-

projects and all relevant documents on fund received and utilized.

49.2 Internal Audit: The project will undertake operational audit on an annual basis by

outsourcing the function to a firm of chartered accountants under agreed ToRs.

This audit will examine the physical, financial and operational aspects of project

implementation and provide timely feedback to project management regarding any

control weaknesses or management improvements required. The scope of the

operational audit would be comprehensive including review of financial

transactions, efficacy of internal control arrangements and evaluation of project

performance against the project objectives.

49.3 Oversight by the Project Audit Committee: To ensure that the audit reports

generated by the Internal Audit and the External Audit of the project are reviewed

61

and to ensure robust follow up of the audit recommendations, a Project Audit

Committee (PAC) has been constituted in the MoE including the Project Director,

HEQEP and Director, Finance of UGC. The Directors of Finance & Accounting or

Comptroller (F&A) as applicable of the participating HEIs will also represent their

institutions in the PAC. The PAC will meet twice a year to review the audit reports

and to follow up on audit recommendations. The PAC will function as a sub-

committee of the Project Steering Committee and will report to the latter on a

periodical basis.

50 Sanctions

50.1 In the instance of non-compliance with the operational procedures stipulated in this

OM, misuse and misappropriation of the AIF grants by the sub-project managers

and universities, beside taking legal action against the persons responsible for such

actions according to penal provisions mentioned in the Performance Contract and

the existing law of the country, UGC may decide to suspend participation of the

offending sub-projects and institutions in AIF temporarily, until corrective measures

have been adopted. Such incidents may occur due to oversight by the concerned

university which would be responsible for the supervision of fund utilization by the

individual sub-project managers.

50.2 In cases where allocated AIF grants or goods procured under the AIF grants for a

sub-project has been misappropriated or/and if a AIF grant recipient university

transfers amounts from its AIF OA to a separate Bank account operated by it;

or/and withdraws money from the AIF OA and spends such withdrawn amount for

purposes not related to AIF sub-project activities, then when directed by the UGC

the university will have to refund the entire transferred or/and withdrawn amount to

UGC’s DA without fail.

50.3 If the university fails to refund such withdrawn/misappropriated amount, then UGC

would debit such amount from the budget of the university with the concurrence of

the MoE.

50.4 When implementation of sub-projects is found to be falling behind the milestones

and plagued with inefficiency not caused by external reasons but for which the sub-

project manager is solely responsible, subsequent disbursement of fund installments

may be suspended until a new work plan including corrective measures is produced

by the project manager and endorsed by the university and accepted by the UGC.

51 Amendment

51.1 This Operations Manual should not be considered as a final document that cannot

be amended, modified or updated to respond to problems that may arise in the course

of sub-project implementation and to reflect the new imperatives and lessons learned

from the AIF experience. It is expected that during the mid-term review of the AIF,

the need for such amendments/modifications will be considered and if required will

be executed by the UGC in consultation with MoE and the World Bank. In the

interim period UGCBAIF will be the final authority to explain/interpret any

ambiguity that may arise.

62

References

1. Jamil Salmi 2009 The Challenge of Establishing World-Class Universities, The

World Bank, Washington DC., USA

2. Michelle Riboud et al (ed.) 2007 The Knowledge Economy and Education and

Training in South Asia, The World Bank, Washington DC., USA

3. Ministry of Education, 2006 Annual Report 2004/5, Dhaka

4. Qimiao Fan et al (ed.) 2009 Innovation for Development and the Role of

Government, The World Bank, Washington DC., USA

5. The World Bank, 2002 Constructing Knowledge Societies: New Challenges for

Tertiary Education, Washington, D.C., USA

6. University Grants Commission of Bangladesh, 32th

Annual Report 2005, Dhaka

7. University Grants Commission of Bangladesh, 33rd












13. University Grants Commission, 2006 Strategic Plan for Higher Education in

Bangladesh 2006-2026, Dhaka

14. UGC, 2010 Operations Manual for Academic Innovation Fund (AIFOM). Higher

Education Quality Enhancement Project (HEQEP), University Grants Commission of

Bangladesh (UGC), Ministry of Education, Dhaka.

15. UGC, 2011 Operations Manual for Academic Innovation Fund (AIFOM) 2nd

Ed.

Higher Education Quality Enhancement Project (HEQEP), University Grants

Commission of Bangladesh (UGC), Ministry of Education, Dhaka.

16. William Saint, 2006 Innovation Funds for Higher Education: A User’s Guide for

World Bank Funded Projects, The World Bank, Washington, D.C., USA

AIFOM: Annex 1

AIFOM: Concept Note on SWOT Analysis

63

University Grants Commission of Bangladesh Higher Education Quality Enhancement Project (HEQEP)

Academic Innovation Fund (AIF)

Concept Note on SWOT Analysis

Definition and Template

SWOT is an acronym for Strengths, Weaknesses, Opportunities and Threats. The

concept of SWOT analysis has been taken from management and generally used for a

firm, industry or company. It is required for doing long term strategic planning for

achieving business goals of a firm. The following four quadrants constitute the SWOT

matrix.

Inte

rnal

Strengths Weaknesses

Ext

ern

al

Opportunities Threats

An overview of the four factors (Strengths, Weaknesses, Opportunities and Threats) is

given below:

Strengths- Strengths are the qualities that enable the staff or personnel of an

organization or institution to achieve its goals. Strengths can be either tangible

or intangible. These are what the staff/personnel have expertise in, the traits and

qualities they possess (individually and as a team) and the distinct features that

give the organization/institution its consistency. Strengths are the beneficial

aspects of the organization/institution or the capabilities of an organization/

institution, which include human competencies, learning capabilities, financial

resources, products and services, and brand renown. Examples of

organizational/ institutional strengths are huge financial resources, excellent

work environment and facilities, skilled and committed staff, innovation

capabilities etc.

Weaknesses- Weaknesses are the qualities that prevent the organization/

institution from achieving its goals and utilizing its full potential. Weaknesses

in an organization/institution will normally depreciate quality of products and

outputs and bad reputation in the market. However, weaknesses are

AIFOM: Annex 1


64

controllable. They can be minimized and eliminated. For instance - to overcome

incompetent human material, new skilled staff can be recruited. Other examples

of organizational/institutional weaknesses are lack of resources to meet the

essential requirements, huge debts, unmotivated staff, complex decision making

process, insufficient research facilities, absence of innovation, poor quality

control standards, shoddy product range, poor decision-making, chaos and

absence of clear vision, conflicting interests among the management etc.

Opportunities- Opportunities are presented by the environment within which

the organization/institution operates. These arise when an organization/

institution can take benefit of conditions in its environment to plan and execute

strategies that enable it to become more efficient to accomplish its goals.

Organizations/institutions can gain competitive advantage by making use of

opportunities. Organization/institution should be careful and recognize the

opportunities and grasp them whenever they appear. Opportunities may arise

from market, competition, industry, government and technology. Increasing

demand for services offered by the organization/institution is a great

opportunity to revamp the existing structure and delivery system and improve

the quality of its products and outputs.

Threats- Threats arise when conditions in external environment jeopardize the

normal functioning of the organization/institution’s business. They compound

the vulnerability of the organization when they relate to the weaknesses. Threats

are generally uncontrollable. When a threat comes, the stability and survival can

be at stake. Examples of threats are- changing technology, increasing

competition leading to excess capacity, new products challenging market share

for same goods, sudden increase of cost of materials, etc.

Advantages of SWOT Analysis

SWOT Analysis is instrumental in strategy formulation and selection. It is a strong tool,

but it involves a great deal of subjective element. It is best when used as a guide, and not

as a prescription. Successful institutions build on their strengths, correct their weakness

and protect against internal weaknesses and external threats. They also keep a watch on

its overall operational environment and recognize and exploit new opportunities faster

than its competitors.

SWOT Analysis helps in strategic planning in following manner:

It is a source of information for strategic planning;

Builds organization’s strengths;

Reverse its weaknesses;

Maximize its response to opportunities;

Overcome threats to organization;

Helps in identifying core competencies of the institution;

AIFOM: Annex 1


65

Helps in setting of objectives for strategic planning;

Helps in knowing past, present and future so that by using past and current data,

future plans can be formulated;

Provides information that helps in synchronizing the institution’s resources and

capabilities with the competitive environment in which it operates.

SWOT Analysis for Academic Institutions

The above definition broadly presents the concept as applicable to business firms or

industry. However it can be used for an academic institution’s strategic analysis purpose

with some modifications in the areas that characterizes its business. The following table

is an example applicable to a Department/Faculty/Institute/University:

Strengths (existing) Weakness (existing)

I n

t e r n

a

l Qualified/competent academic

staff

Talented students

Updated curricula

incorporating latest subjects

Good lecture theaters/study

rooms

Eagerness among the faculty

staff to do research

Eagerness of students in

participating academic

programs

Skewed teacher-student ratio

Absence of strategic plan

Absence of good interpersonal

relationship among the teaching

staff

Lack of collective spirit among the

faculty staff in formulating

development project for the

department

Factionalism among faculty staff

Low level of ICT skills among

faculty members and students

Session congestion

Deadline failure in submission of

score-sheets of exams by faculty

members

Deadline failure in publishing exam

results

Strained teacher-students

relationship

Gender discrimination

Absence of skilled and trained

technicians for operation of lab

equipment

Lack of interest among faculty staff

to undertake advanced research on

emerging subjects

Lack of books and journals in

library

Absence of high performance

broadband connectivity

AIFOM: Annex 1


66

Opportunities (future) Threats (future)

E x t e r n

a l

Availability of talented

academic staff

Availability of external funding

for research

Joint academic

exchange/research programs

with renowned foreign

universities

Improvement of facilities

Improvement of academic

infrastructure

Expanded intake capacity

Availability of high

performance broadband

connectivity

Political unrest

Hooliganism/vandalism by

external/non-academic actors on the

campus

Worsening factional fighting among

the faculty staff

Low level of public funding on

campus development

Hike in tuition fee

Overcrowded lecture rooms

Inability to respond correctly to

labor market demands

The above matrix is indicative and would vary from one institution to other in respect of

SWOT description. The proposal writers can take suggestions from it to produce their

own department/entity specific analysis. Please remember that this analysis should

identify the issues/problems that the sub-project would address. Since most public

universities don’t have a strategic plan or/and quality assurance program, the sub-project

may consider the Mid-term Budgetary Framework (MTBF) for the tertiary education

proposed by the government and the university’s mission statement as the point of

reference for the analysis. The MTBF is available on Finance Division website:

www.mof.gov.bd

http://www.mof.gov.bd/

AIFOM: Annex 2

AIFOM 3rd

Ed: Concept Note on Performance Indicators 67



Concept Note on Performance Indicators

The AIF will support the academic improvement initiative of the GoB in higher education in

Bangladesh. The AIF has based the monitoring and evaluation (M&E) of its AIF sub-

projects and activities according to the national and international quality assurance

references. With those standards, the AIF is expected to promote quality and relevance in

undergraduate, postgraduate programs and research in universities, facilitate a rational

reorganisation of the education programs, promote academic staff development by adopting

well accepted international criteria of excellence, generate employment in international

organizations and provide information on its quality to the public.

All eligible expenses in AIF sub-projects have to be understood as a means of financial

support to develop strategic objectives and achieve specific results and outcomes that will

have impact on the institutional and on national development efforts.

Therefore, the follow-up of AIF sub-projects has to be coherent with these general

assumptions and based on appropriate and effective evaluation processes and performance-

based indicators. One way of categorising indicators are as follows:

1. Institutional

2. Academic staff

3. Academic Exchange

4. Research Funding

5. Citation Impact

6. Undergraduate & Graduate Students

7. Study Programs and Curricula Improvements

8. Scholarships, Infrastructure and Equipment. Use of Resources

Based on experience in project evaluation and M&E, and frequency of use and effectiveness

of indicators, the AIF has selected the following as useful alternatives for the achievement of

results and relevant impact.

1. Institutional

Inclusion of project in the institutional development plan.

2. Academic Staff

N° of total academic staff

N° and % of full time academic staff.

N° of full time academic staff with Ph D and coverage of key disciplines.

Average age of full time academic staff with Ph D

N° of full time academic staff holding Master’s degree

% of academic staff work load in teaching and research

N° and % of academic staff having computer literacy

N° of academic staff upgrading in other institutions as Ph D students/invited professors

AIFOM: Annex 2

AIFOM 3rd


or researchers, post-doctorates or attendants in workshops and symposia.

N° of academic staff members visiting the sub-project as professors, specialists or post-docs.

Nº of academic staff upgrading in own institution

3. Academic Exchange

Nº of academic exchange programs established with foreign universities per year

N° of collaborative research projects established with foreign universities per year

4. Research Funding

Nº of (competitive) research grants received from national or/and international sources

N° of thesis supervised to completion.

N° of prizes

N° of fellowships

N° of ISI publications for research results in refereed journals, per staff member and total

average.

N° of books for research results published as commercial books reviewed by peers

N° of edited books

N° chapters in books

N° of non-ISI publications and relevant work of humanities and social sciences (in other

languages than English)

N° of ISI publications associated to Ph D work and academic exchange.

5. Citation Impact

N° of citations

N° of keynote addresses

N° of conference proceedings

N° of relevant results of interaction with the productive sector (thesis, short visits, projects

and contracts)

Nº of Royalties in Taka

N° of Government missions

N° of patents

N° of inventions

N° of invitations to serve on national and international bodies

N° of editors of journals

6. Undergraduate and Graduate Students

Average score in university’s entrance examination

N° of student applications for admission in undergraduate programs/classes

N° of postgraduate students receiving financial aid/grants/scholarships.

N° of students admitted in first year undergraduate classes and subsequent dropout rates

Nº of new courses introduced in undergraduate programs/classes/subjects

N° of postgraduate students and % of thesis work

N° and % of academic staff having computer literacy

Nº of postgraduate enrolment and retention rates

N° of students graduated/graduation rates

Graduation rates per admitted cohort

Average time for graduation and extra time needed

N° of upgrading visits abroad by gradúate students

N° of participation in scientific events abroad by gradúate students

AIFOM: Annex 2

AIFOM 3rd


N° of ISI publications generated by postgraduate thesis

Employability after six months of graduation (% of graduates employed per year)

Nº of Ph D holders employed in the manufacturing/industrial sector.

7. Study Programs and Curricula Improvement

N° of courses offered

N° of subjects offered to students in thesis

Effective student workload

N° of new courses designed and implemented with competency-based learning principles

% of student work load in existing programs

N° of students per class

N° of Ph D candidates (with approved qualifying exams and thesis subject) and their

retention rates

N° of postgraduate students’ short visits abroad (scientific events).

N° of networks created

N° of new postgraduate programs created and newly added disciplines

N° and level of program accreditation/quality assurance

N° of students in academic exchange programs.

Degree of satisfaction of undergraduate and graduate students

8. Scholarships, Infrastructure, Equipment, Use of Resources

Taka allocated per expenditure category (academic upgrading, consulting, goods and works)

Taka allocated by disciplines, academic objectives, curricula design and management

N° of scholarships allocated and students admitted.

Area (in m²) allotted to the research projects

Area (in m²) allotted to postgraduate student offices, class rooms/study rooms/seminar rooms

Area (in m²) allotted to specialized laboratories

Area (in m²) allotted to specialized libraries and access to information

N° of main text book available in first year

N° of new specialized texts available in the first year

N° of new journals available in the first year

N° of new on-line texts, journals and data bases available in first year

Access to information and knowledge. Management Information System (MIS) available

N° of computers connected to the Internet per student enrolled

N° and Taka invested respectively in scientific instruments and equipment and degree of

satisfaction

Institutional capacity for/on time management of allocated AIF resources.

9. Building indicators

Indicators are key instruments in the process of monitoring and evaluation of performance

based projects, as they contribute to a better design and to the measurement of achievement

of results and effectiveness in the use of funding. The correct definition of indicators allows

the expression of specific activities in terms of periodic measurable quantities, précising

whom they benefit. In addition, during the development of the project, progress in objectives

can be verified, contributing to better information for needed project redesign.

Projects have to define and formulate some indicators and explain with precision their

calculation methodology, origin of base values, measurement periods, periods of analysis and

evaluation, and validation media.

AIFOM: Annex 2

AIFOM 3rd


Project indicators should consider two levels of measurement: a first level corresponding to

crucial activities or milestones that will be achieved during the implementation; and a second

level that considers impact indicators through the periodic measurement of key variables that

can count the effect of the project on the final beneficiaries.

Indicator measurements should consider also short (project) and long term (program) goals.

This means that M&E should be planned beyond formal project activities or ending.

Milestone/Indicator. Define the specific variables that define the indicator. In case of

level 1, define the milestone or crucial activity that has to be accomplished.

Reference to Objectives. Specify the general objective or those specific objectives and

activities consistent with the Gantt Chart/Activities Plan that relate to the defined

Milestone/Indicator. In level 2, not all defined specific objectives have to have associated

indicators.

Critical Activities. In level 1, state what activity or group of activities are critical for the

achievement of the defined milestone.

Calculation Methodology. Explain with precision the calculation formula of the indicator,

with its associated variables. In the case of relations, explain the numerator and

denominator.

Type of variable (variation or accumulation). Variation corresponds to an increase or

decrease of the variable after (for example) one year of project development.

Accumulation corresponds to the value of the variable after the end of any period of

project development

Assumptions. Explain limitations and boundary values to the measurement of variables

involved. For example, the date when annual measurements will be done.

Verification Media. Inform the available information or products that will allow the

validation of the result given by the indicator. This information should be available during

external M&E activities.

Calculation of Base Values. Explain the methodology used in the calculation of the

indicator base value in year X.

Base Value in Year X. Corresponds to the reference initial value of the indicator that will

serve for future measurements in year N.

Desired Value in Year N. Corresponds to the reference final value of the indicator that will be

achieved after project implementation. This value is suggested for indicators that will

measure the effect of a clear strategy considered in the project. For example, to increase the

number of ISI publications (e.g., in Biotechnology) per faculty member from a base value of

3 annual publications to a value of 8 in a period of 5 years.

AIFOM: Annex 3

71 AIFOM 3

rd Ed: Group List of Universities



University Grouping by the Number of Teachers Holding PhD Degree (in alphabetical order)

Groups No. of

teachers

holding

PhD

% of AIF

allocation

in 3rd

Round

Name of University

Group A

(14 Univ.)

≥80 60% 1. Bangladesh Agricultural University (BAU)

2. Bangladesh University of Eng. & Technology (BUET)

3. Islamic University, Kushtia (IU)

4. Jagannath University (JnU)

5. Jahangirnagar University (JU)

6. Khulna University (KU)

7. Shahjalal University of Science & Technology (SUST)

8. University of Chittagong (CU)

9. University of Dhaka (DU)

10. University of Rajshahi (RU)

Group B

(13 Univ)

40-79

30% 1. Ahsanullah University of Science & Technology (AUST)

2. American International University Bangladesh (AIUB)

3. Bangabandhu Sheikh Mujibur Rahman Agril. Univ (BSMRAU) 4. Bangabundhu Sheikh Mujib Medical University (BSMMU)

5. Chittagong University of Engineering & Technology (CUET) 6. Dhaka University of Eng. and Technology (DUET)

7. East-West University (EWU)

8. Hajee Mohammad Danesh Univ of Sci. & Tech (HSTU)

9. Independent University Bangladesh (IUB)

10. Khulna University of Eng. and Technology (KUET)

11. North-South University (NSU)

12. Patuakhali Univ. of Sci. & Tech (PSTU)

13. Rajshahi University of Eng. and Technology (RUET)

14. Sher-e-Bangla Agricultural University (SBAU)

15. Sylhet Agricultural University (SAU)

Group C

(55 Univ.)

<40 10% 1. ASA University Bangladesh (ASAUB) 2. Asian University of Bangladesh (AUB) 3. Atish Dipanker University of Science & Tech. (ADUST) 4. Bangabandhu Sheikh Mujibur Rahman Science and Technology

University, Gopalgang

5. Bangladesh Islamic University (BIU) Dhaka 6. Bangladesh University (BU) Dhaka 7. Bangladesh University of Business & Technology(BUBT) 8. Bangladesh University of Professionals (BUP) 9. Bangladesh University of Textiles, Dhaka (BUTex)

10. Barisal University

11. Begum Rokeya University Rangpur (BRU) 12. BGC Trust University (BGCTU)

http://en.wikipedia.org/wiki/Bangabandhu_Sheikh_Mujibur_Rahman_Science_and_Technology_University

http://en.wikipedia.org/wiki/Bangabandhu_Sheikh_Mujibur_Rahman_Science_and_Technology_University

http://en.wikipedia.org/wiki/Barisal_University

AIFOM: Annex 3

72 AIFOM 3

rd Ed: Group List of Universities

13. BRAC University (BRACU) 14. Chittagong Veterinary and Animal Sci. Univ (CVASU) 15. City University (CU)

16. Comilla University (ComU)

17. Daffodil International University (DIU) Dhaka

18. Darul Ihsan University (DIU)

19. Dhaka International University 20. East Delta University (EDU) 21. Eastern University (EU) 22. Gono Vishvabidyalay

23. Green University of Bangladesh (GUB) 24. IBAIS University (IBAISU) 25. International Islamic University Chittagong (IIUC)

26. International University of Business Agric. & Tech (IUABAT)

27. Jatiya Kabi Kazi Nazrul Islam University (JKKNU) 28. Jessore Science & Technology University (JSTU) 29. Leading University, Sylhet 30. Manarat International University (MIU) 31. Mawlana Bhashani University of Sci. & Tech. (MBSTU) 32. Metropolitan University (MU) Sylhet 33. Noakhali Sci. & Tech. Univ. (NSTU) 34. Northern University Bangladesh (NUB)

35. Pabna Science & Technology University (PSTU) 36. Premier University 37. Presidency University (PU) 38. Prime Asia University (PAU) 39. Prime University (PU) 40. Royal University of Dhaka (RUD) 41. Shanto Mariam University of Creative Technology 42. Sheikh Mujib Maritime University, Chittagong

43. South-East University

44. Southern University Bangladesh (SU) Chittagong 45. Stanford University Bangladesh (SUB)

46. State University of Bangladesh (SUB) 47. Sylhet International University 48. The Millennium University 49. The People’s University of Bangladesh 50. The University of Asia Pacific (TUAP)

51. United International University (UIU)

52. University of Creative Technology 53. University of Development Alternative (UODA) 54. University of Information Technology & Sciences (UITS) 55. University of Liberal Arts Bangladesh (ULAB)

56. University of Science and Technology (USTC) Chittagong

57. University of South Asia (USA) 58. Uttara University (UU)

59. Victoria University of Bangladesh (VUB) Dhaka 60. World University of Bangladesh (WUB)

Total 83

Note: Inclusion of Universities in above three groups doesn’t automatically make them eligible for

accessing AIF. A university will become eligible only if it fulfils the criteria stipulated in the section 15 of

this Operations Manual.

AIFOM: Annex 4

73 AIFOM 3rd Ed: Financial Incentives for SPMs


Academic Innovation Fund Third Round (AIF-III)

Financial Incentives to Members of AIF Sub-project Management Team (SPMT)

Proposal Submitting Entity: Department/Faculty/Center/Institute/University

Designation of the Member Maximum permissible incentive Conditions

Sub-Project Manager (SPM) Four months’ basic salary* per year Incentives will be eligible only

when Performance Indicators

have been achieved;

Under any circumstances the total

financial incentives for sub-project

management team shall not exceed

Taka 1.5 million (Taka 2.0 million for

joint sub-projects between entities

and between universities) or 10% of

the total project cost, whichever is

lower.

Deputy Sub-Project Manager

(DSPM)

Two months’ basic salary* per year

Member of the Sub-Project

Management Team (SPMT)

One month’s basic salary* per year

For private universities, the highest basic salary of the corresponding rank in public universities will apply.

AIFOM: Annex 5

74 AIFOM 3rd Ed: CP for Teaching- Learning

Proposal Identification Number (PIN)……………………..

University Grants Commission of Bangladesh Academic Innovation Fund

(Window 1) Complete Proposal (CP)

Improvement of Teaching-learning at Undergraduate and Master’s Level

1. a. Sub-project Title: ……………………………………………………..…………………

b. Area/Discipline/Subject as per section 19.2 of AIFOM: ………………………

2 Implementation Period:……………………………………………………………………

i. Commencement:……………………………………………

ii. Completion:…………......………………………………….

3. Total cost

i. In taka……………………………………………

ii. In US$....................................................................

4. General Objectives of the Sub-project

Mention the major objectives that are aimed to be achieved:

1.

2.

3.

4.

Note: Please do not write in essay form.

5. Specific Objectives of the Sub-project

Mention with clarity the specific objectives of the sub-project. Each specific objective will

produce results and outcomes that have to be expressed in terms of milestones and be measured

with performance indicators.

1.

2.

3.

4.

5.


6. Sub-project Summary (maximum 250 words)

Summarize the broad components, activities, methods, expected results, outcomes and strategies to be

used in accordance with the specific objectives for implementing the sub-project. The broad impact

expected as a result of the activities carried out must be explicitly stated. Please try to furnish the

information about the above mentioned items under individual paragraph captions.

AIFOM: Annex 5

75 | P a g e

7. Strategic Analysis

Briefly state the strategic plan (or its absence) of the university vis-à-vis the entity regarding infra-

structural, financial and intellectual capacities building for teaching-learning in the proposed field(s).

Also narrate the local, national and international priorities and potentials in the stated field of teaching-

learning. Narrate the SWOT analysis (including the participants) performed to figure out the present

state of development and its expansion possibilities using the strength and opportunity and mitigating

weakness and threats. (Please consult AIFOM Annex 1 on SWOT Analysis)

8. Background Data Substantiating the Strategic Analysis

A. Please provide the information requested in the following table. This information will identify the

availability of human resources and the unit’s teaching capacity in the last five years.

Table 1. Data on Academic Staff and Students in Undergraduate Programs

Items 2008 2009 2010 2011 2012

1. Total enrolment in undergraduate programs/class

2. First year enrollment

3. Average score of first year enrollees in university admission examination

4. First year retention rate of undergraduate students

5. Average pass rate in first year classes/courses

6. Established time-to-degree for the undergraduate programs (in academic sessions/semesters)

7. Actual average time-to-degree (in academic session/semesters)

8. Total number of academic staff for undergraduate courses (fulltime & part-time)

9. Total number of full time-equivalent academic staff for undergraduate courses

10. Total number of full time academic staff

11. Total number of full time academic staff with PhD degrees

12. Total number of full time academic staff with Master’s degrees

13.1

1 Additional data deemed relevant may be added

AIFOM: Annex 5

76 | P a g e

B. Please provide the information requested in the following table. This information will identify the

availability of human resources and the unit’s teaching capacity in the last five years.

Table 2. Data on Academic Staff and Students in Graduate/Master’s Programs

Items 2008 2009 2010 2011 2012

1. Total enrolment in Graduate/Master’s program

2. First year enrollment in Graduate/Master’s program

3. Number of Graduates/Masters passed each year

4. % of students graduating and passing Master’s

program per entry cohort

5. Established time-to-degree for the Graduate/

Master’s program (in academic sessions/semesters)

6. Actual average time-to-degree

(in academic sessions/semesters)

7. Total number of full time academic staff holding PhD

degrees involved in Graduate/Master’s programs

8. Total number of part time academic staff holding PhD

degrees involved in Graduate/ Master’s programs

9. Total number of full time academic staff holding

master’s degrees involved in Graduate/Master’s

programs

10. Total external resources (Taka thousand) captured for

Graduate/Master’s program teaching-learning activities.

10. Average time gap between curricula updating/ revision

11. Total number of thesis/research monographs/

publications by Graduate/Master’s students

12. Average number of publications per academic staff

engaged in graduate/ master’s program

13.2

9. Please submit/attach the “Table of Milestones” and the “Table Performance Indicators” as

per Annex-1; Tables 1 & 2.

10. Relevance:

Describe the relevance of the proposal to the strategic or long-term plan of the university, to the

national development, and to the tertiary education sector development goals of the government:

2 Additional data deemed relevant may be added here

AIFOM: Annex 5

77 | P a g e

11. Benefits (Qualitative and Quantitative)

Describe the net benefits to be gained from the sub-project in terms of its contribution towards better

student learning, institutional and academic quality improvement, and achievement of tertiary education

development goals of the government during the sub-project implementation and after completion.

Justify whether the most cost effective methods have been selected.

12. Operation & Maintenance of Equipment/Instrument

Describe the capacity (technical and financial) of the proposal submitting entity for the operation and

maintenance of equipment/instruments to be procured under this sub-project:

13. Summary of major items and total estimated cost of the sub-project.

Please furnish summary of major items and estimated cost following table 3 below. This table should

mention only the major heads of expenditure and not a detailed list of all goods, services and works that

will be procured under the sub-project. (Please consult section 13 of AIFOM).

Table 3. Summary of Estimated Budget

Type of Sub-Project: Teaching & Learning

Sub-project Title: ……………………………………………………………………………………………………

BDT in Lakh

Economic Code*

Items of Expenditure Unit Quantity Estimated

Cost (Taka) % of

Estimated Cost

(a) Revenue Expenditure

4500 Pay of Officer*

4600 Pay of Staff

4800 Supplies & Services

4900 Repair & Maintenance

Total Revenue Expenditure

(b) Capital Expenditure

6800 Acquisition of Assets

Total Capital Expenditure

Total Cost (a+b)

( c ) Operational Costs/Contingencies (maximum 2% of total cost)

Total Sub-Project Cost (a+b+c)

Economic codes are available in Annex 20 of this AIFOM

AIFOM: Annex 5

78 | P a g e

14. Please submit/attach the “Work/Activities Plan3” as per Annex 2

15. Please submit/attach the “Financing Plan” as per Annex 3

16. Please submit/attach the “Procurement Plan” as per Annex 4

17. Table of “Training Plan” as per Annex 5

18. Please submit/attach the ‘Detail Budget’ as per Annex- 6

Please give justification of any item and its cost if it exceeds 15% of the total budget. Also justify for

inclusion of motor vehicles, if any in budget. Please consult section 13 of AIFOM. Also note that no

CP will be eligible for ARP evaluation without Annex- 6.

19. Sub-project Management Team

Please present the SPMT personnel directly responsible for the management and

implementation of the sub-project in formats given in Annex:9-10.

20. Describe the type of technical assistance/consulting required under the sub-project (if any) and

its Terms of Reference (ToR).

21. Describe the linkages/collaboration (if any) with other university/ Department/

Institute/Center/NGO/Business Corporation/Company/Industry etc.

22. Briefly describe the effect/impact of the proposed sub-project on:

i. Environment (Soil, Water, Air, Bio-diversity, Biomass etc.)

ii. Women & Children

iii. Employment, Poverty Reduction

iv. Institutional Performance

v. Academic Program

3 Please note that the work plan, procurement plan and financing plan should be consistent with each other

and also with the detail budget. Gross difference and inaccuracies among them may lead to

disqualification of the CP by UGCBAIF. Please submit these plans in excel spread sheet.

AIFOM: Annex 5

79 | P a g e

vi. Entity

vii. Research

viii. Human Development

ix. Food Security

x. Production Innovation

xi. Academic Innovation

xii. Quality Assurance Program (if any)

xiii. Governance

xiv. Management Practices

xv. Disaster Management

xvi. Any other (please specify)

23. Sustainability

Please provide a summary of a sustainability analysis for this sub-project, e.g., what

measures and budget provisions the entity/university is likely to commit to sustain the

activities and outcomes after the completion of the sub-project;

24. Please attach environment Safety Checklist and Mitigation Plan under the sub-project in the

format provided in Annex -7. (Please note that absence of the checklist and mitigation plan will

lead to rejection of the CP by UGCBAIF).

25. Please submit/attach “Social Screening Form” as per Annex 8.

26. Please state (i) if project of similar nature was implemented earlier or/and(ii) is under

implementation by the proposal submitting entity or (iii) by any of the members of the Project

Management Team? If so, mention the name of the project, cost, duration and major outcomes.

Also please mention whether there will be duplication of activities and surplus funding for

undertaking the AIF subproject.

AIFOM: Annex 5

80 | P a g e

SPP Annex 1

Table 1: Milestones to Evaluate Sub-project Implementation (Level 1)

Milestones Reference to Specific Objectives Critical Activities Verification

methods

Assumptions

1.

2.

3.

4.

5.

Table 2: Performance Indicators to Evaluate Sub-project Impact (Level 2)

Indicators Reference

to Specific

Objectives

Calculation

method

Assumptions verification

methods

Calculation

of Base

Value

Baseline

Value in

Year 2011

Desired

Standard in

Year....

1

2

3

4

5

Building Tables of Milestones and Indicators:

Milestone/Indicators. Define the specific variables considered in the indicator. In the case of Level 1, define the milestone, stage or

activity to be reached/accomplished in time.

Reference to Objectives. Specify the general and/or specific objectives related to each Milestone/Indicator. In Level 2, it is not

necessary to link all specific objectives defined in the sub-project to a PI.

Critical Activities. In Level 1, indicate which activities are critical for compliance with the defined milestone.

AIFOM: Annex 5

81 | P a g e

Calculation Method. Define the formula used to calculate the indicator, indicating the variables to be considered. In the case of

ratios, identify the numerator and the denominator.

Assumptions. Indicate prior considerations used in measuring the variables involved. For example, state the date on which annual

measurements will be taken.

Verification Methods. Indicate the data or products that will serve to validate the indicator result. The data must be available for

M&E activities proposed in the sub-project.

Base Value, Year 2011/12. This reflects the initial reference value for subsequent annual measurements.

Calculating the Base Value. Specify the method used to obtain the base value of the indicator in 2009/10.

Desired Standard, Year N. This reflects a final reference value for the indicator to be achieved after implementing the sub-project. For

example, increasing the ratio of total number of full time teachers with a PhD in a PhD program, from an initial base value of 7 (no critical

mass) to 10 (sufficient critical mass) over a period of 6 years i.e., 4 years after the completion of the sub-project. And increasing the

annual Ph D graduation from 2 to 4 and decreasing the time-for-PhD degree from 6 to 4 years over the same period.

Performance Indicators (PI)

Describe the performance indicators that will be used for each specific objective and expected results.

Performance indicators are key instruments in the monitoring and evaluation (M&E) of sub-projects since they help to measure the

achievement of goals, the effects of strategies and effectiveness in the use of resources. A small set of independent indicators that can be

well defined and measured periodically is desirable. Proper definition of performance indicators makes it possible to monitor and evaluate

achievements in measurable terms, indicating the benefits.

Please mention the calculation methods, sources and procedures to obtain base values, values committed during and after the

implementation of the sub-project, and verification methods to validate the results obtained.

Proposed indicators must contemplate two levels of measurement: a first level (Level 1) involving sub-project stages or milestones where

critical activities are achieved in time; and a second level (Level 2) involving performance indicators based on the regular measurement of

key variables that will account for the degree to which the sub-project affects its end beneficiaries.

Proposed indicators should take into account and build on measurements included in the indicators set forth in paragraph 7A above “Table

1: Data on Academic Staff and Students in Undergraduate Programs” and, 7B “Table 2: Data on Academic Staff and Students in Master’s

Programs” of this proposal. In addition, if necessary, specific indicators may be used. Please consult Annex 2, Table 1 and Section 8 of the

Operations Manual.

AIFOM: Annex 5

82 | P a g e

SPP Annex 2

Work/Activities Plan

Please list in detail each activity within a time frame that will be carried out during the sub-project implementation period:

Work/Activities Year 1 Year 2

1 2 3 4 5 6 7 8 9 10 11 12 1 2 3 4 5 6 7 8 9 10 11 12

Please submit the plan in excel spread sheet as a Gantt Chart

(for assistance please consult www.ganttchart.com or www.vertex42.com

http://www.ganttchart.com/

http://www.vertex42.com/

AIFOM: Annex 5

83 | P a g e

SPP Annex 3

Financing Plan Type of Sub-Project: Teaching & Learning

Sub-Project Title: ………………………………………………………………………………………………………….. BDT in Lakh

Economic Code

Item of Expenditure /Activity

Year 1 Year 2

Total Qtr 1 Qtr 2 Qtr 3 Qtr 4 Qtr 5 Qtr 6 Qtr 7 Qtr 8

Jan-Mar 2012

Apr-Jun

2012

Jul-Sep 2012

Oct-Dec 2012

Jan-Mar 2013

Apr-Jun 2013

Jul-Sep 2013

Oct-Dec 2013

(a) Revenue Expenditure:

4500 Pay of Officer (Consolidated):

4501 Office Secretary/Manager

4600 Pay of Staff (Consolidated):

4601

Pay for Accountant

Pay for Data Entry/Computer Operator

Pay for MLSS

Sub-Total

Total Consolidated Salary (4500+4600)

4800 Supplies & Services:

4801 Travel Expenses

4817 Web page development & Maintenance

4828 Printing & Stationary

Sub-total

4831 Books & Journals for SPM Office

4833 Advertising & Publicity

4840

Training & Study Tour:

Local: ……..

Foreign: ……..

Sub-total

4842

Conference/Seminar/Workshop:

Conference on …………………..

Seminar on…………………….

Workshop on………………………

Sub-total

4874

Consulting Services:

Consultant for………………………

Travel & hospitality costs for visiting academics

Academic Collaboration

Sub-total

4883

Incentives for sub-project management team:

Honorarium for SPM

Honorarium for DSPM

AIFOM: Annex 5

84 | P a g e

Honorarium for Members SPMT

Sub-total

4899 Other Expenses

Total Supply & Services (4800)


4921

Refurbishing/renovation:

(insert each item individually)

Total Repair & Maintenance (4900)

Total Revenue Expenditure (4500+4600+4800+4900)



6807

Motor Vehicles


Sub-Total

6813

Machinery & Other Equipments:


Sub-Total

6814

Engineering Equipment:


Sub-Total

6815

Computer & IT Equipment:


Sub-Total

6817

Computer Software:


Sub-Total

6819

Office Equipment:


Sub-Total

6820

Teaching & Learning Materials:

Devices

White Board

Books & Journals for Seminar

Sub-total

6821

Furniture & Fixtures:

Furniture & Fixtures for Seminar

Furniture & Fixtures for Lecture Theatre

Furniture & Fixtures for General Purpose

Sub-total

6827

Electrical Equipment:


Sub-Total

Total Capital Expenditure (6800)

Total Cost (a+b)


Total Financing (a+b+c)

AIFOM: Annex 5

85 | P a g e

SPP Annex 4

Table A: Procurement Plan Summary Total estimated

value of

contract (in

"000 US$)

Total estimated

value of prior

review contract

(in "000 US$)

Total number

of packages

Total number

of prior

review

packages

Number of contract

awarded up

to…………… [Date of

Procurement Plan as

per Cover Page]

Total value of contract

awarded up to

…………[Date of

Procurement Plan as

per Cover Page]

1 Goods

2 Works

3 Non-Consulting

Services

4 Consultancy

Services

0.00 0.00 0.00 0.00 0.00 0.00

Project Effectiveness date:

Project Closing date:

AIFOM: Annex 5

86 | P a g e

SPP Annex 4

All dates need to be entered in mm/dd/yyyy format

1 US$ = ……BDT

Table-B: Procurement Plan for Goods Contract

Sl. N

o.

Co

ntr

act

Pac

kag

e N

um

ber

Co

ntr

act

Des

crip

tio

n

Un

it

Qty

/ N

os.

Est

imat

ed P

rice

in

US$

‘0

00

Act

ual

Pri

ce in

co

ntr

act

curr

ency

Pro

ced

ure

Met

ho

d

Pro

cure

men

t G

uid

elin

es

(PP

A /

BG

)

Pri

or

Rev

iew

(

Yes

/ N

o)

Co

ntr

act

Ap

pro

vin

g A

uth

ori

ty*

Pla

nn

ed d

ate

of

IFB

p

ub

lica

tio

n

Act

ual

dat

e o

f IF

B

pu

bli

cati

on

Pla

nn

ed D

ate

of

Bid

O

pen

ing

Act

ual

Dat

e o

f B

id O

pen

ing

Pla

nn

ed D

ate

of

Co

ntr

act

Sign

ing

Act

ual

Dat

e o

f C

on

trac

t Si

gnin

g

Pla

nn

ed D

ate

of

Del

iver

y/C

om

ple

tio

n

Act

ual

Dat

e o

f D

eliv

ery/

Co

mp

leti

on

Nam

e o

f t

he

Sup

pli

er

Pro

gres

s o

f Im

ple

men

tati

on

as

of

……

[D

ate

of

Pro

cure

me

nt

Pla

n a

s p

er

Co

ve

r P

ag

e]

Pro

gres

s o

f P

aym

ent

as o

f …

……

…[D

ate

of

Pro

cure

me

nt

Pla

n a

s p

er

Co

ve

r P

ag

e]

Rem

ark

s

1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23

Total (All packages) 0

Total (All Prior Review

Contracts) 0

Total (All NCB and Shopping/

RFQ Contracts) 0

*as per delegation of financial power

AIFOM: Annex 5

87 | P a g e

SPP Annex 4

All dates need to be entered in mm/dd/yyyy format 1 US$ = ………..BDT

Table-C: Procurement Plan for Works Contract

Sl. N

o.

Co

ntr

act

Pac

kag

e N

um

ber

Co

ntr

act

Des

crip

tio

n

Un

it

Qty

/ N

os.

Est

imat

ed P

rice

in

US$

‘00

0

Act

ual

Pri

ce in

co

ntr

act

curr

ency

Pro

ced

ure

Met

ho

d

Pro

cure

men

t G

uid

elin

es

(PP

A /

BG

)

Pri

or

Rev

iew

(

Yes

/ N

o)

Co

ntr

act

Ap

pro

vin

g A

uth

ori

ty*

Pla

nn

ed d

ate

of

IFB

pu

bli

cati

on

Act

ual

dat

e o

f IF

B p

ub

lica

tio

n

Pla

nn

ed D

ate

of

Bid

Op

enin

g

Act

ual

Dat

e o

f B

id O

pen

ing

Pla

nn

ed D

ate

of

Co

ntr

act

Sign

ing

Act

ual

Dat

e o

f C

on

trac

t Si

gnin

g

Pla

nn

ed D

ate

of

Co

mp

leti

on

Act

ual

Dat

e o

f C

om

ple

tio

n

Nam

e o

f t

he

Co

ntr

acto

r

Pro

gres

s o

f Im

ple

men

tati

on

as

of

……

……

[Da

te o

f P

rocu

rem

en

t P

lan

as

pe

r C

ov

er

Pa

ge

]

Pro

gres

s o

f P

aym

ent

as o

f …

…

[Da

te o

f P

rocu

rem

en

t P

lan

as

pe

r C

ov

er

Pa

ge

]

Rem

ark

s

1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23


Total (All Prior Review Contracts) 0

Total (All NCB and Shopping/RFQ Contracts) 0


AIFOM: Annex 5

88 | P a g e

SPP Annex 4


Table-D: Procurement Plan for Non-consulting Services Contract

Sl. N

o.

Co

ntr

act

Pac

kag

e N

um

ber

Co

ntr

act

Des

crip

tio

n

Un

it

Qty

/ N

os.

Est

imat

ed P

rice

in

US$

‘00

0

Act

ual

Pri

ce in

co

ntr

act

curr

ency

Pro

ced

ure

Met

ho

d

Pro

cure

men

t G

uid

elin

es

(PP

A /

BG

)

Pri

or

Rev

iew

(

Yes

/ N

o)

Co

ntr

act

Ap

pro

vin

g A

uth

ori

ty*

Pla

nn

ed d

ate

of

IFB

pu

bli

cati

on

Act

ual

dat

e o

f IF

B p

ub

lica

tio

n

Pla

nn

ed D

ate

of

Bid

Op

enin

g

Act

ual

Dat

e o

f B

id O

pen

ing

Pla

nn

ed D

ate

of

Co

ntr

act

Sign

ing

Act

ual

Dat

e o

f C

on

trac

t Si

gnin

g

Pla

nn

ed D

ate

of

Co

mp

leti

on

Act

ual

Dat

e o

f C

om

ple

tio

n

Nam

e o

f t

he

Serv

ice

Pro

vid

er

Pro

gres

s o

f Im

ple

men

tati

on

as

of

…..

[Da

te o

f P

rocu

rem

en

t P

lan

as

pe

r C

ov

er

Pa

ge

]

Pro

gres

s o

f P

aym

ent

as o

f …

…

[Da

te o

f P

rocu

rem

en

t P

lan

as

pe

r C

ov

er

Pa

ge

]

Rem

ark

s

1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23



Total (All NCB and Shopping/RFQ

Contracts) 0


AIFOM: Annex 5

89 | P a g e

SPP Annex 4


1 US$ = ……BDT

Table-E: Procurement Plan for Consultancy Services Contract

Sl. N

o.

Co

ntr

act

Pac

kag

e N

um

ber

Co

ntr

act

Des

crip

tio

n

Un

it

Qty

/ N

os.

Est

imat

ed P

rice

in

US$

‘00

0

Act

ual

Pri

ce in

co

ntr

act

curr

ency

Pro

ced

ure

/ M

eth

od

Pro

cure

men

t G

uid

elin

e

(PP

A /

BG

)

Pri

or

Rev

iew

(

Yes

/ N

o)

Co

ntr

act

Ap

pro

vin

g A

uth

ori

ty*

Pla

nn

ed d

ate

of

RE

OI

pu

bli

cati

on

Act

ual

dat

e o

f R

EO

I p

ub

lica

tio

n

Pla

nn

ed P

rop

osa

l Su

bm

issi

on

Dea

dli

ne

Act

ual

Pro

po

sal S

ub

mis

sio

n

Dea

dli

ne

Pla

nn

ed D

ate

of

Co

ntr

act

Sign

ing

Act

ual

Dat

e o

f C

on

trac

t Si

gnin

g

Pla

nn

ed D

ate

of

Co

mp

leti

on

Act

ual

Dat

e o

f C

om

ple

tio

n

Nam

e o

f C

on

sult

ant/

Fir

m

Pro

gres

s o

f Im

ple

men

tati

on

as

of

……

[Da

te o

f P

rocu

rem

en

t P

lan

as

pe

r C

ov

er

Pa

ge

]

Pro

gres

s o

f P

aym

ent

as o

f …

…

[Da

te o

f P

rocu

rem

en

t P

lan

as

pe

r C

ov

er

Pa

ge

]

Rem

ark

s

1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23


Total (All Prior Review

Contracts) 0


AIFOM: Annex 5

90 | P a g e

SPP Annex 5

Training/ Visit/ Study Tour Plan

Subject of

Training Duration Participants

Place/Location/

Institution

Estimated

Cost

Period

From To

Local:

Foreign (visit):

Note: Please do not write name of any participant in this table.

AIFOM: Annex 5

91 | P a g e

SPP Annex 6

Details of Estimated Budget

(Please download softcopy of this format from HEQEP website, fill it in and submit it as excel spread sheet.)

Type of Sub-Project: Teaching & Learning

Sub-Project Title: …………………………………………………………………………………………………………..

BDT in Lakh

Economic Code*

Item of Expenditure /Activity Unit Quantity Rate Estimated

Cost (Taka)

% of Estimated

Cost


4500 Pay of Officer (Consolidated)**:


Sub-Total


4601

Pay for Accountant

Pay for Data Entry/Computer Operator

Pay for MLSS

Sub-Total




4817 Web page development & Maintenance


Sub-total



4840


Local: ……..

Foreign: ……..

Sub-total

4842





Sub-total

4874

Consulting Services: (Not exceeding 10% of total project cost)

Consultant for………………………



Sub-total

4883

Incentives for sub-project management team: (Consult Annex-4 of AIFOM)

Honorarium for SPM

Honorarium for DSPM


Sub-total

4899 Other Expenses

AIFOM: Annex 5

92 | P a g e



4921

Refurbishing/renovation: (Not exceeding 10% of total project cost)






6807

Motor Vehicles


Sub-Total

6813



Sub-Total

6814



Sub-Total

6815



Sub-Total

6817

Computer Software:


Sub-Total

6819

Office Equipment:


Sub-Total

6820


Devices

White Board


Sub-total

6821





Sub-total

6827



Sub-Total


Total Cost (a+b)




** Please consult Annex 4 of this AIFOM

Additional items may be added by extending the no of rows in each component

AIFOM: Annex 5

98 | P a g e

SPP Annex 7

IMPORTANT:

Annexes 7, 8, 9, 10 and 11 and their Attachments will be removed by UGCAIFS before

forwarding the CPs to ARPs/ERs for evaluation. The Environment Safety Checklist shall be

reviewed by an Environment Specialist hired by the project for identifying adverse impact. The

Social Screening Form shall be checked by the AIF Management Specialist for identifying

social issues. After evaluation, these annexes and attachments will be reattached to the CP and it

will become one single document. The UGCAIFS shall put the same Proposal Identification

Number (PIN) on this page that has been stamped on the first page of this CP.

Proposal Identification Number (PIN) ………………….



(Window 1)

Environment and Safety Checklist for Small Infrastructure and

Renovation/Refurbishing Proposal

Title of Sub-project: ____________________________________________________________

______________________________________________________________________________

Implementing Institution: _________________________________________________________

Types of renovation/refurbishing work: ______________________________________________

Estimated cost of renovation/refurbishing work: _______________________________________

Instructions:

The purpose of this checklist is to identify potential environment and safety issues related

to the small infrastructure renovation/refurbishing work. This is a generalized checklist

format for small renovation/refurbishment works.

The concerned faculty member of the respective institution will fill-up the format, which

is expected to be reviewed and signed by an environment professional. However, the

checklist must be reviewed and signed by the respective Head of the proposal submitting

entity. If the checklist shows potential negative environmental impacts, the institution will

submit a separate sheet for mitigation measures for it (Attachment A).

AIFOM: Annex 5

99 | P a g e

Duration of renovation/refurbishing work: ____________________________________________

Tentative Start Date: _____________________________________________________________

______________________________________________________________________________

Brief description of small infrastructure renovation/ refurbishing work (Within 200 words).

AIFOM: Annex 5

100 | P a g e

Checklist

Sl # Screening Questions Yes No Possible Negative

Environmental Impact4

1 Will the renovation work disturb other academic

activities?

2 Will it create major noise?

3 Will it create dust problem around the sites?

4 Will it temporarily stop the water supply and

sanitation system?

5 Will any refrigeration/air conditioning units be

removed/disposed?

6 Will any liquid waste, or an item containing

liquids (including oils), need to be transported

off-site for reuse, recycle or disposal?

7 Will equipment containing polychlorinated

biphenyls (PCB’s) be removed (i.e. transformers,

capacitors, hydraulic and heat transfer systems,

etc.)?

8 Will building materials containing asbestos be

removed/disposed?

9 Will any building materials be removed/disposed

that are coated with lead-based paint?


that contain lead, silver or chrome?

11 Will batteries be removed/disposed (lead-acid or

nickel-cadmium batteries from emergency lights

and other battery-powered or battery-backup

items?

12 Will mercury-containing devices (switches,

gauges, thermostats) be removed/disposed?

13 Will an emergency generator set or other

aboveground storage tank (AST) be installed or

removed?

14 Will the renovation work have any indirect

impact on environment and ecosystem?

4 If the answer of the questionnaire is ‘Yes’, please describe the possible negative environmental impact.

AIFOM: Annex 5

101 | P a g e

The above answers are true and complete. I understand that the University Grants Commission will depend on them to make its decision.

Name of Head of Proposal Submitting Entity and Signature with Date:

Signature with Date ______________________________________

Name: ________________________________________________________________________

Contact Telephone Number and E-mail: ___________________________________________

Please sign below to verify that the information in this document is accurate and complete to the best of your knowledge.

Environment Professional’s Signature & Date:

Signature with Date: _______________________________

Name: ___________________________________________________________

Contact Telephone Number and E-mail: ________________________________

AIFOM: Annex 5

102 | P a g e

SPP Annex 7 (Attachment A)



Environmental Mitigation and Monitoring Plan

Table 1: Typical Environmental Mitigation Plan

Activity/Issue Potential

Environmental

Impacts

Proposed

Mitigation

Measures

Responsible

Partiers

Estimated Cost

Table 2: Typical Environmental Monitoring Plan

Issue Parameters Monitoring

Frequency

Monitoring

Location

Responsible

Parties

AIFOM: Annex 5

103 | P a g e

SPP Annex 8



SOCIAL SCREENING FORM

[This form will be filled up by the Head of proposal submitting entity of the university and shall

constitute an annex to the Complete Proposal (CP)format to be submitted for AIF grants]

Part A: General Information

Screening Date: …………………………………………………………

Name of the Institute: …………………………………………………………..

District: ………………………………… Upazila: ………………………………..

Name of the Principal/Head: …………………………………………………..

Names of Committee Members participated in Screening:

01.

02.

03.

Names of MoE/UGC/HEQEPU Member, if any, Participated in Screening:

01.

02.

03.

AIFOM: Annex 5

104 | P a g e

Part B: Activities

1. Major Activities using the HEQEP fund

2. Click if activities

include any:

[ ] New construction [ ] Improvements [ ] Repair/Renovation

1. Description of the physical works, if any:

Part C: Social Issues

1. Will there be a need for additional lands to carry out the intended works?

[ ] Yes [ ] No

2. Does this activity affect any community groups’ access to any resources that they use for

livelihood?

[ ] Yes [ ] No

3. Does your institute’s catchment area has a significant number of Tribal People (TP)?

[ ] Yes [ ] No

4. Does your proposed activities ensure equal inclusion right to the TP?

[ ] Yes [ ] No

5. Does your proposed activity pose any threat to cultural tradition and way of life?

[ ] Yes [ ] No

6. Does your proposed activity severely restrict access to common property resources and

livelihood activities?

[ ] Yes [ ] No

7. Does your proposed activity affect places/objects of cultural and religious significance

(places of worship, ancestral burial grounds, etc.)

[ ] Yes [ ] No

8. Names of TP community members and organizations which participated in Social Screening

(if any):

9. Any social concerns expressed by TP community and organizations, students and teachers?

10. The TP community and organizations perceive the social outcomes of the activity:

[ ] Positive

[ ] Negative

[ ] Neither positive nor negative

11. In respect of the social impacts and concerns, is there a need to undertake an additional

impact assessment study?

[ ] Yes [ ] No

Prepared by (Name): …………………………………………………

Signature: ……………………………………….. Date: ………………………….

AIFOM: Annex 5

105 | P a g e

SPP Annex- 9

Indicative Organogram of the Sub-project Management Office

Please note that the above organogram is indicative and may be expanded and/or revised as

required by the sub-project.

Sub-project management team includes SPM, DSPM, and Member of SPMT. The support staff

at levels three and four will not be part of SPMT.

Please do not mention name of any member of the management team in this organogram

Sub-Project Manager

Deputy S P M (level 1)

M L S S

(level 4)

Member S P M T (Faculty) (level 2)

Procurement/ Accounts/ Finance Officer (level 3)

Data Entry /Computer Operator

(level 3)

Office Secretary /Manager

(level 3)

Member S P M T (Faculty)

(level 2)

AIFOM: Annex 5

106 | P a g e

SPP Annex 10

Sub-project Management Team*

Name/Designation of

Management and

Support Staff

Position in the

Institution and

Entity

Position in

the Sub-

project

Specific

Responsibilities

Time Dedicated

to the Sub-

project/person-

month**

(Name of Management

Staff)

SPM

DSPM

Member SPMT

(Designation of

Supporting Staff)

Please attach a resume of the SPM and DSPM as per Attachment A & B * Attach Sub-project Management Table of Organization as per Annex 11

** Hours per person per week

AIFOM: Annex 5

107 | P a g e


RESUME of the Sub-project Manager (SPM)

1. PERSONAL DATA

LAST NAME MIDDLE NAME FIRST NAME

DATE OF BIRTH E-MAIL TELEPHONE

(OFFICE) TELEPHONE

(HOME) MOBILE

NUMBER

FAX NUMBER TAXPAYER I.D.

NUMBER (TIN)

CURRENT POSITION

PLACE OF BIRTH NATIONALITY CURRENT RESIDENT ADDRESS IN FULL

WORKING HOURS

(hours per week)

2. ACADEMIC DATA

UNDERGRADUATE UNIVERSITY COUNTRY YEAR

GRADUATE UNIVERSITY COUNTRY YEAR

3. PRIOR EXPERIENCE IN IMPLEMENTING PROJECT/RESEARCH

TITLE OF THE PROJECT/

RESEARCH ACTIVITIES

DONOR/

SPONSOR

POSTION IN

THE PROJECT

YEAR

FROM TO

4. PRIOR POSITIONS

INSTITUTION POSITION FROM TO

5. INSTITUTIONAL ADDRESS

NAME OF INSTITUTION LOCATION & ADDRESS WEBSITE E-MAIL

AIFOM: Annex 5

108 | P a g e

SPP Annex 10 (Attachment B)

RESUME of the Deputy Sub-project Manager (DSPM)

1. PERSONAL DATA



(OFFICE) TELEPHONE

(HOME) MOBILE

NUMBER


NUMBER (TIN)

CURRENT POSITION


WORKING HOURS

(hours per week)

2. ACADEMIC DATA





RESEARCH ACTIVITIES

DONOR/

SPONSOR

POSTION IN

THE PROJECT

YEAR

FROM TO

4. PRIOR POSITIONS




AIFOM: Annex 5

109 | P a g e

SPP Annex 11

Endorsement of the Proposal by University Management

a. Sub-project Title: ……………………………………………………..…………………

b. Proposal Submitting Entity: (If more than one entity, please mention those names)

Department/Faculty/Institute/Center/University:

…………………………………..……………………………………………………

c. Sponsoring /Endorsing University: ……………………………………………….

(Name, Address, Location, website)

d. Total Cost of the Sub-project

i. in Taka:………………………………….……………….

ii. in US$............................................................................

e. Implementation Period:

(i) Commencement: …………………………………

(ii) Completion: …………......………………………

Name & address of Sub-project Manager Name & address of Deputy Sub-project Manager

..................................................................

…………………………….…………….

..................................................................

…………………………………………..

--------------------------------

(Signature of the SPM)

with name, seal and date

----------------------------------

(Signature of the DSPM)


--------------------------------------------------------------------

Signature of the Head of Proposal Submitting Entity

with name, seal and date…………………………………………………………………

Institutional Commitment:

(........Name of the University………) hereby commits to extend all required support to the

implementation of the proposed sub-project and pledges to make efforts for its

sustainability if the sub-project is approved by UGC.

_________________________

Signature of Vice-Chancellor

with Name, Seal and Date

AIFOM: Annex 6

110 | P a g e

University Grants Commission of Bangladesh Academic Innovation Fund

Window 2

Complete Proposal (CP)

Improvement of Research Capabilities for Postgraduate Programs

1. a. Sub-project Title:…………………………………………………………………….…

b. Area/Discipline/Subject as per 19.2 of AIFOM : .........................................................

2. Implementation Period:…………………………………………………………………

i. Commencement:…………………………

ii. Completion:………………….…………

3. Total cost:

i. In Taka…………………………..

ii. In US$..........................................


Briefly mention the major objectives that are aimed to be achieved:

1.

2.

3.

4.



Mention the specific objectives of the sub-project. Please note that each specific objective

will produce results and outcomes and has to be expressed in terms of milestones and

measured with performance indicators.

1.

2.

3.

4.


AIFOM: Annex 6

AIFOM 3

rd Ed: CP for Improvement of Postgraduate Research

111



used in accordance with the specific objectives for implementing the sub-project. The broad impact in

terms of research capacity building expected as a result of the activities carried out must be explicitly

stated. Please try to furnish the information about the above mentioned items under individual

paragraph captions.


Briefly state the strategic plan (or its absence) of the university vis-à-vis the entity regarding infra-

structural, financial and intellectual capacities building for postgraduate research program in the

proposed field(s). Also narrate the local, national and international priorities and potentials in the stated

field of research. Narrate the SWOT analysis performed to figure out the present state of postgraduate

programs and its expansion possibilities using the strength and opportunity and mitigating weakness

and threats. (Please consult Annex1 on SWOT Analysis.)


A. Please provide the information requested in the following table. This information will serve to

analyze the available abilities and capacities of the human resources and the unit’s research capacity,

productivity and outreach in the last five years.

Table 1: Data on Academic Staff in Post-graduate Research Programs

Items 2008 2009 2010 2011 2012

1. Total enrolment in PhD program

2. First year enrollment in PhD Program

3. Number of PhD degrees awarded

4. % of students achieving PhD per entry cohort

5. Stipulated time-to-PhD degree (in academic session/semester) 6. Number of drop-outs in PhD programs

7. Actual average time-for–completion of PhD program (in

academic session/semesters) among PhD awardees

8. Total number of faculty members involved in research

9. Total number of full time faculty members involved in

research

10. Number of Assistants/Fellows involved in Post-graduate

Research

AIFOM: Annex 6

AIFOM 3


112

Items 2008 2009 2010 2011 2012

11. Total number of full time faculty members involved in

supervision of research/Ph D programs

12. Total number of full time faculty members holding PhD

engaged in supervision of research/PhD programs

13. Total external resources (Taka) obtained for research/PhD

14. Total number of publications: books (a) ISI (b) Non-ISI (c) Refereed

15. Total number of publications per Ph D researcher 16. Total number of publications per Ph D holder 17. Total number of Intellectual Properties (IP)/products/processes

created

18 Total number of patents obtained 18.*

*Any additional data deemed relevant

B. Please provide data on existing facilities/ resources available in the entity and the facilities/

resources required to develop the post-graduate research programs.

Table 2: Data on research facilities/resources in the entity

Description of Facilities Unit Existing/

Available

Required Comments

1. Science Lab Equipment

2. Engineering Workshop Equipment/

Instruments

3. Medical lab Equipment/ Instruments

4. Agricultural Lab/Field Equipment/Instruments

5. Veterinary/Fisheries Lab Equipment

6. Chemicals/ Biochemical Specimens

7. Computers

8. Fund/Resources

9. Scholarships

10. Qualified/Trained Supervisors

11. Qualified/Skilled Science Lab Technicians

12. Engineering Machine/Instruments Operator

13. Medical Equipment/ Instrument Technician

14. Other Skilled Technicians/Support Staff

15. *

*Additional items may be included according to the specificity of the institution

AIFOM: Annex 6

AIFOM 3


113

9. Briefly describe the proposed field of research for which capacity building is being planned. If possible,

identify specific areas for postgraduate research students. Show clearly the linkages between the

facilities proposed for development and the research.

10. Please submit/attach the “Table of Milestones” and “Table of Performance Indicators” as per

Annex 1, Tables 1 & 2.

11. Relevance:

Describe the relevance of the proposal to the strategic plan of the university, to national development,

and to the tertiary education sector development goals of the government. Please elaborate the plan for

Ph D intake, if any, specifying the field of research. Clearly show the linkages between the facilities to

be developed under this sub-project and research.

12. Benefits (Qualitative and Quantitative)

Describe the benefits to be gained from the sub-project in terms of its contribution towards a better

research infrastructure and capacity, wider PhD program coverage and higher enrollments and

graduation rates, improvements in research outputs, productivity, industrial and international linkages.

Please also describe the expected improvements in post-graduate programs and institutional

performance and innovation. Justify whether the effective cost methods have been selected.

13. Operation & Maintenance of Equipment/Instrument

Describe the capacity (technical and financial) of the proposal submitting entity for the operation and

maintenance of equipment/instruments to be procured under this sub-project. Please mention the

proposed plan to build required additional capacity:

AIFOM: Annex 6

AIFOM 3


114

14. Summary of major items and total estimated cost of the sub-project.

Please furnish summary of major items and estimated cost following table-3 below. This table should


will be procured under the sub-project. (Please consult section 13 of AIFOM and submit the table in

excel spread sheet).


Type of Sub-Project: Improvement of Postgraduate Research

Sub-Project Title: ……………………………………………………………………………………………………….. BDT in Lakh

Economic Code* Items of Expenditure Unit Quantity Estimated

Cost (Taka)

% of Estimated Cost


4500 Pay of Officer

4600 Pay of Staff







Total Cost (a+b)




15. Please submit/attach the “Work/Activities Plan1” as per Annex-2

16. Please submit/attach the “ Financing Plan” as per Annex-3

17. Please submit/attach the table of “Procurement Plan” as per Annex-4 (Tables A-E)

18. Please submit/attach the “Training Plan” as per Annex-5

1 Please note that the work plan, procurement plan and financing plan should be consistent with each other and also

with the detail budget. Gross differences and inaccuracies among them may lead to disqualification of the CP by

UGCBAIF. Please submit these plans in excel file.

AIFOM: Annex 6

AIFOM 3


115

19. Please submit/attach the ‘Detail Budget’ as per Annex- 6.


inclusion of motor vehicles in budget, if any. (Please consult section 13 of AIFOM). Also note that no


20. Describe the type of technical assistance/consulting required under the sub-project (if

any) and its Terms of Reference (ToR).

21. Describe the linkages/collaboration (if any) with other university/ Department/ Institute/

Center/ NGO/Business Corporation/Company/Industry etc.






v. Academic Program

vi. Entity

vii. Research


ix. Food Security




xiii. Governance




AIFOM: Annex 6

AIFOM 3


116

23. Sustainability

Please provide a summary of a sustainability analysis for this sub-project, e.g., what

measures and budget provisions the entity/university is likely to commit to sustain the

activities and outcomes after the completion of the sub-project;

24. Please attach environment Safety Checklist and Mitigation Plan under the sub-project in

the format provided in Annex -7. (Please note that absence of the checklist and mitigation

plan will lead to rejection of the CP by UGCBAIF)


26. Sub-project Management Team (SPMT)

Please mention the SPMT personnel directly responsible for the management and

implementation of the sub-project in the formats given in Annex-9 &10.

27. Please state if (i) project of similar nature was implemented earlier or/and (ii) is currently

under implementation by the proposal submitting entity, or (iii) by any of the members of

the subproject management team. If so, mention the name of the project, cost, duration and

major outcomes. Also please mention whether there will be duplication of activities and

surplus funds will be available for the entity due to undertaking of this AIF subproject.

28. Please mention name and address of two peers/experts (national/international) in the

proposed field of research and development program:

1: Name …………………………………………….………

Official affiliation (if any) …………………….…………

Corresponding mailing address …………………………

E-mail ………………………………….; Cell No. .………………………………

2: Name …………………………………………….………

Official affiliation (if any) …………………….…………

Corresponding mailing address …………………………

E-mail ………………………………….; Cell No. .………………………………

AIFOM: Annex 6

117 | P a g e

SPP Annex -1


Milestones Reference to Specific

Objectives

Critical Activities Verification methods Assumptions

1.

2.

3.

4.

5.

Table 2: Performance Indicators to Evaluate Sub-project Impact (Level 2)

Indicators Reference to

Specific

Objectives

Calculation

method

Assumptions verification

methods

Calculation

of Base

Value

Baseline

Value in

Year 2010

Desired

Standard in

Year....

1.

2.

3.

4.

5.

Building Tables of Milestones and Indicators

Milestone/Indicators. Define the specific variables considered in the indicator. In the case of Level 1, define the milestone, stage or

activity to be reached/accomplished in time.

Reference to Objectives. Specify the general and/or specific objectives related to each Milestone/Indicator. In Level 2, it is not

necessary to link all specific objectives defined in the sub-project to a PI.


Calculation Method. Define the formula used to calculate the indicator, indicating the variables to be considered. In the case of

ratios, identify the numerator and the denominator.

Assumptions. Indicate prior considerations used in measuring the variables involved. For example, state the date on which annual

measurements will be taken.

AIFOM: Annex 6

118 | P a g e

Verification Methods. Indicate the data or products that will serve to validate the indicator result. The data must be available for

M&E activities proposed in the sub-project.



Desired Standard, Year N. This reflects a final reference value for the indicator to be achieved after implementing the sub-project. For

example, increasing the ratio of total number of full time teachers with a PhD, from an initial base value of 7 (no critical mass) to 10

(sufficient critical mass) over a period of 6 years i.e., 4 years after the completion of the sub-project. And increasing the annual PhD

graduation from 2 to 4 and decreasing the time-for-PhD degree from 6 to 4 years over the same period.

8. Performance Indicators (PI)

Performance indicators are key instruments in the monitoring and evaluation (M&E) of sub-projects since they help to measure the

achievement of goals, the effects of clear strategies and effectiveness in the use of resources. A small set of independent indicators that can

be well defined and measured periodically is desirable. Proper definition of performance indicators makes it possible to monitor and

evaluate achievements in measurable terms, indicating the benefits.

Please mention the calculation methods, sources and procedures to obtain base values, values committed during and after the

implementation of the sub-project, and verification methods to validate the results obtained.

Proposed indications must contemplate two levels of measurement: a first level (Level 1) involving sub-project stages or milestones where

critical activities are achieved in time; and a second level (Level 2) involving performance indicators based on the regular measurement of

key variables that will account for the degree to which the sub-project affects its end beneficiaries.

Proposed indicators should take into account and build on measurements included in the indicators set forth in paragraph 7A above “Table

1: Data on Academic Staff in Post-graduate Programs” of this proposal. In addition, if necessary, specific indicators may be used. Please

consult section 8 of the Operations Manual.

AIFOM: Annex 6

119 | P a g e

SPP Annex -2



Work/Activities Year 1 Year 2 Year 3

1 2 3 4 5 6 7 8 9 10 11 12 1 2 3 4 5 6 7 8 9 10 11 12 1 2 3 4 5 6 7 8 9 10 11 12

Please submit the plan in excel spread sheet as a Gantt Chart

(for assistance please consult www.ganttchart.com or www.vertex42.com )

http://www.ganttchart.com/

http://www.vertex42.com/

AIFOM: Annex 6

120 | P a g e

SPP Annex -3

Financing Plan

Type of Sub-Project: Research Capabilities for Postgraduate Programs Sub-Project Title: …………………………………………………………………………………………………………..

BDT in Lakh

Economic Code


Year 1 Year 2 Year 3

Total Qtr 1 Qtr 2 Qtr 3 Qtr 4 Qtr 5 Qtr 6 Qtr 7 Qtr 8 Qtr 9

Qtr 10

Qtr 11

Qtr 12

Jan-Mar 2012

Apr-Jun

2012

Jul-Sep 2012

Oct-Dec 2012

Jan-Mar 2013

Apr-Jun

2013

Jul-Sep 2013

Oct-Dec 2013

Jan-Mar 2014

Apr-Jun

2014

Jul-Sep 2014

Oct-Dec 2014




Sub-Total 4600 Pay of Staff (Consolidated):

4601

Accountant Data Entry/Computer Operator MLSS

Sub-Total


4800 Supplies & Services: 4801 Travel Expenses 4817 Website development & maintenance

4827 Publication on Research Findings


4829

Financial Support & Allowances:

Financial Support to MS / M Phil/ Ph D Candidates***

Sub-total



4840 Training & Study Tour: Local:

AIFOM: Annex 6

121 | P a g e

Foreign: Sub-total

4842




Workshop on……………………… Sub-total

4852

Chemicals/Reagent etc (insert major items individually) Sub-Total

4874

Consulting Services: Consultant

for………………………….



Sub-total

4883

Incentives for sub-project management team: Honorarium for SPM Honorarium for DSPM Honorarium for Members SPMT

Sub-total 4899 Other Expenses

Total Supply & Services (4800) 4900 Repair & Maintenance

4921

Refurbishing/Renovation: (insert items individually) Total Repair & Maintenance (4900)

Total Revenue Expenditure (4500+4600+4800+4900) (b) Capital Expenditure


6807

Motor vehicle: (insert items individually) Sub-Total

6813

Machinery & Other Equipments: (insert items individually) Sub-Total

6814

Engineering Equipment: (insert items individually) Sub-Total

AIFOM: Annex 6

122 | P a g e

6815

Computer & IT Equipment: (insert items individually) Sub-Total

6817

Computer Software: (insert items individually)

Sub-Total

6819

Office Equipment: (insert items individually) Sub-Total

6820

Teaching & Learning Materials: Devices

White Board Books & Journals for Seminar

Sub-total

6821





Sub-total

6822 Laboratory Equipment/Instrument: (insert items individually)

6827

Electrical Equipment: (insert items individually)

Sub-Total Total Capital Expenditure (6800)

Total Cost (a+b) ( c ) Operational Costs (maximum 2% of total cost)


Please submit the plan in excel spread sheet.

AIFOM: Annex 6

123 | P a g e

SPP Annex -4


value of

contract (in

"000 US$)

Total estimated

value of prior

review contract

(in "000 US$)

Total number

of packages

Total number

of prior

review

packages

Number of contract

awarded up

to…………… [Date of

Procurement Plan as

per Cover Page]


awarded up to

…………[Date of

Procurement Plan as

per Cover Page]

1 Goods

2 Works

3 Non-Consulting

Services

4 Consultancy

Services

0.00 0.00 0.00 0.00 0.00 0.00



AIFOM: Annex 6

124 | P a g e

SPP Annex -4


1 US$ = ……BDT


Sl. N

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1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23




RFQ Contracts) 0


AIFOM: Annex 6

125 | P a g e

SPP Annex -4



Sl. N

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AIFOM: Annex 6

126 | P a g e

SPP Annex -4



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1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23




Contracts) 0


AIFOM: Annex 6

127 | P a g e

SPP Annex -4


1 US$ = ……BDT


Sl. N

o.

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1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23




AIFOM: Annex 6

128 | P a g e

SPP Annex -5


Subject of

Training

Duration Participants Place/Location/I

nstitution

Estimated

Cost

Period

From To

Local:

Foreign:


AIFOM: Annex 6

129 | P a g e

SPP Annex -6


Please attach the detailed cost break-down for each item covering the entire duration of the sub-project in excel

spread sheet. Also mention the economic code for each item. (Please consult section 13 of AIFOM).

Type of Sub-Project: Research Capabilities for Postgraduate Programs

Sub-Project Title: ………………………………………………………………………………………………………….. BDT in Lakh

Economic Code*


Cost (Taka)

% of Estimated

Cost


4500 Pay of Officer (Consolidated)**:


Sub-Total


4601

Accountant

Data Entry/Computer Operator

MLSS

Sub-Total




4817 Website development & maintenance



4829

Financial Support & Allowances:

Financial Support to MS/MPhil/ PhD Candidates***

Sub-total



4840


Local:

Foreign:

Sub-total

4842





Sub-total

4852

Chemicals/Reagent etc

(insert major items individually)

Sub-Total

4874


Consultant for…………….



Sub-total

4883

Incentives for sub-project management team: (Consult Annex-4 of AIFOM)

Honorarium for SPM

Honorarium for DSPM

AIFOM: Annex 6

130 | P a g e


Sub-total

4899 Other Expenses



4921

Refurbishing/Renovation: (Not exceeding 10% of total project cost)

(insert items individually)





6807

Motor vehicle:


Sub-Total

6813



Sub-Total

6814



Sub-Total

6815



Sub-Total

6817

Computer Software:


Sub-Total

6819

Office Equipment:


Sub-Total

6820


Devices

White Board


Sub-total

6821





Sub-total

6822 Laboratory Equipment/Instrument:


6827



Sub-Total


Total Cost (a+b)

( c ) Operational Costs (maximum 2% of total cost)




*** Please consult Section 13 of AIFOM

Additional items may be added by extending the no of rows in each component.

AIFOM: Annex 6

131 | P a g e

SPP Annex -7

IMPORTANT:

Annexes 7, 8, 9, 10 and 11 and their Attachments will be removed by UGCAIFS before

forwarding the CPs to ARPs/ERs for evaluation. The Environment Safety Checklist shall be

reviewed by an Environment Specialist hired by the project for identifying adverse impact. The

Social Screening Form shall be checked by the AIF Management Specialist for identifying

social issues. After evaluation, these annexes and attachments will be reattached to the CP and it

will become one single document. The UGCAIFS shall put the same Proposal Identification

Number (PIN) on this page that has been stamped on the first page of this CP.

Proposal Identification Number (PIN)………………….



(Window 2 & 3)

Environment and Safety Checklist for Research and University-wide Proposal

Title of the AIF Sub-project: ________________________________________________________

Institution: ____________________________________________________________________

Type of Research: Master’s/M Phil//Ph D ____________________________________

Other Activities (Specify) ________________________________________________________

Research Activity: On-going/New Activity

Instructions


to the research proposal. This is a generalized checklist format for all category research

works. However, it is anticipated the research proposals under ‘Arts, Humanities and

Social Sciences’ and ‘Business and Law’ will not have any environment impact and thus

the proposals under these disciplines will not require to submit the checklist unless the

UGC request for such checklist.

The applicant will fill-up the format, which will be reviewed and signed by the Head of

proposal submitting entity. If the checklist shows potential negative environmental

impacts the applicant will submit a separate sheet for mitigation measures for it

(Attachment A).

AIFOM: Annex 6

132 | P a g e

Research Disciplines:

Arts, Humanities and Social Sciences

Business & Law

Physical, Biological, and Earth Sciences

Engineering and Technology

Medical, Health, and Nutritional Sciences

Agriculture, Livestock and Fisheries

Duration of Research Work: _____________ Months

Tentative Start Date: __________________________

Brief Description of Research/University-wide Activity (Within 200 words)

AIFOM: Annex 6

133 | P a g e

Checklist

Sl # Screening Questions Yes No Remarks

1 Will the research work be laboratory based?

[If the answer of question 1 is no, then go to

question 6.]

2 Do the laboratory has

i environment, health and safety protocol or

guidelines?

ii adequate fire safety provision?

iii safety provision for gas cylinder handling?

iv proper waste disposal facilities?

v adequate liquid waste management

facilities?

vi proper storage facilities for hazardous

chemicals, pesticides, acids etc.?

vii adequate ventilation system?

viii first-aid facilities?

ix emergency exit facilities?

x trained professional to guide the

researchers/students about safety

procedures?

3 Will the laboratory based research work

i require procurement of hazardous products

(WHO Hazard Class I & II)?

ii produce hazardous waste materials?

iii generate infectious waste?

iv cause significant emissions of gas harmful

to health?

v generate liquid waste?

vi cause any major noise?

4 Does the applicant have received formal training

on laboratory operation and safety rules?

5 Does the applicant have previous work

experience at laboratory on similar works?

6 Will the research work require interventions at

field level?

7 Will the field based research work

i located at or near an environmentally

sensitive area?

ii require procurement of hazardous products


iii discharge any liquid waste in the

environment?

iv discharge large quantities of waste/used

water?

v generate hazardous waste?

vi impair downstream water quality?

vii have any possible degradation in land and

ecosystem?

AIFOM: Annex 6

134 | P a g e

viii cause local air pollution from any

plant/system operation?

ix generate excessive noise and/or dust?

8 Will medical, biophysical or clinical research be

conducted using human subjects?

9 Will the project have any indirect impact on

environment and ecosystem?

10 Will the research work involve permission or

clearance of any government department or

agency?

11 Will future expansion or implementation of

research finding cause any major environment

problem?

The above answers are true and complete. I understand that the University Grants Commission will

depend on them to make its decision.



Name: ________________________________________________________________________


Please sign below to verify that the information in this document is accurate and complete to the

best of your knowledge.



Name: _______________________________________________________________________

Contact Telephone Number and E-mail: ____________________________________________

AIFOM: Annex 6

135 | P a g e

SPP Annex-7 (Attachment A)






Environmental

Impacts

Proposed

Mitigation

Measures

Responsible

Partiers

Estimated Cost



Frequency

Monitoring

Location

Responsible

Parties

AIFOM: Annex 6

136 | P a g e

SPP Annex-8





constitute an annex to the Complete Proposal (CP) format to be submitted for AIF grants]


Screening Date: …………………………………………………………





01.

02.

03.


01.

02.

03.

AIFOM: Annex 6

137 | P a g e

Part B: Activities



include any:





[ ] Yes [ ] No


livelihood?

[ ] Yes [ ] No


[ ] Yes [ ] No


[ ] Yes [ ] No


[ ] Yes [ ] No



[ ] Yes [ ] No

7. Does your proposed activity affect places/objects of cultural and religious significance

(places of worship, ancestral burial grounds, etc.)

[ ] Yes [ ] No

8. Names of TP community members and organizations which participated in Social Screening

(if any):



[ ] Positive

[ ] Negative


11. In respect of the social impacts and concerns, is there a need to undertake an additional

impact assessment study?

[ ] Yes [ ] No

Prepared by (Name): …………………………………………………

Signature: ……………………………………….. Date: ………………………….

AIFOM: Annex 6

138 | P a g e

SPP Annex-9

Indicative Organogram of the Sub-project

Management Office

Please note that the above organogram is indicative and may be expanded and/or revised as

required by the sub-project.

Sub-project management team includes SPM, DSPM, and Members SPMT


Sub-Project Manager

Deputy S P M

M L S S

Member S P M T

(Faculty)

Procurement/ Accounts/ Finance

Officer

Data Entry /Computer

Operator

Office Secretary

/Manager

Member S P M T

(Faculty)

AIFOM: Annex 6

139 | P a g e

SPP Annex -10


Name/Designation of

Management and

Support Staff

Position in the

Institution and

Entity

Position in

the Sub-

project

Specific

Responsibilities

Time Dedicated

to the Sub-

project/person-

month**

(Name of Management

Staff)

SPM

DSPM

Member SPMT

(Designation of

Supporting Staff)



AIFOM: Annex 6

140 | P a g e

Annex 10 (Attachment –A)

RESUMESub-project Manager (SPM)

1. PERSONAL DATA



(OFFICE) TELEPHONE

(HOME) MOBILE NUMBER


NUMBER (TIN)

CURRENT POSITION


WORKING HOURS

(hours per week)

2. ACADEMIC DATA





RESEARCH ACTIVITY

DONOR/

SPONSOR

POSTION IN

THE PROJECT

YEAR

FROM TO

4. PRIOR POSITIONS




AIFOM: Annex 6

141 | P a g e

Annex 10 (Attachment –B)

RESUME Deputy Sub-project Manager (DSPM)

1. PERSONAL DATA



(OFFICE)

TELEPHONE

(HOME)

MOBILE NUMBER


NUMBER (TIN)

CURRENT POSITION


WORKING HOURS

(hours per week)

2. ACADEMIC DATA





RESEARCH ACTIVITY

DONOR/

SPONSOR

POSTION IN

THE PROJECT

YEAR

FROM TO

4. PRIOR POSITIONS




AIFOM: Annex 6

142 | P a g e

SPP Annex 11

Proposal Endorsement by University Management




…………………………………..……………………………………………………



d. Total Cost of the Sub-project (in Taka):………………………………….……………….


i. Commencement: …………………………………

ii. Completion: …………......………………………


..................................................................

…………………………….…………….

..................................................................

…………………………………………..

--------------------------------



----------------------------------



--------------------------------------------------------------------


with name, seal and date………………………………………………………………..



implementation of the proposed sub-project and pledges to make efforts for its

sustainability if the sub-project is approved by UGC.

_________________________



AIFOM: Annex 7

143 | P a g e


Academic Innovation Fund Window 3


University-wide Innovation

1. Sub-project Title:…………………………………………………..………………

2. a. Total Cost of the Sub-project (in Taka):………………………………………

i. in Taka:………………………………….……………….

ii. In US$............................................................................

3. Implementation Period:…………………………………………………………

i. Commencement:……………………………………………………………..

ii. Completion:………………………………………………………………….


Describe the general objectives that are aimed to be achieved:

1.

2.

3.



Describe with clarity the specific objectives of the sub-project. Each specific objective will

produce results and outcomes that has to be expressed in terms of milestones and measured


1.

2.

3.

4.




used in accordance with the specific objectives for implementing the sub-project. The broad impact

expected as a result of the activities carried out must be explicitly stated. Please try to furnish the

information about the above mentioned items under individual paragraph captions.

AIFOM: Annex 7

AIFOM 3rd

Ed: CP for University-wide Innovations 144


Briefly state the strategic plan of the university regarding infra-structural, financial and intellectual

capacities building in the proposed area of the subproject. Briefly explain the results of the overall

strategic analysis that was performed to prepare this proposal, especially in connection with the

strengths and weaknesses, opportunities and threats (SWOT analysis). This information will clearly

establish the objectives that the sub-project intends to achieve in a manner consistent with institutional

strategic planning/vision (if any), and the priorities established by the university. (Please consult

Annex1 on SWOT Analysis.)


Please provide the information requested in the following tables regarding resources and capacities

developed in the university in relation to ITs, library, major scientific instrumentation or general

academic services.

A. Please provide the data requested in the following table. These data will help justify general IT,

library and student teaching-learning improvements. These will also identify the availability of

human resources and the unit’s teaching capacity in the last five years.

Table 1: Data on Academic Staff and Students in Undergraduate Programs

Items 2008 2009 2010 2011 2012

1. Total enrolment

2. First year enrollment

3. Average HSC GPA score of enrolled students

4. Average score of first year enrollees in admission

examination

5. First year retention rate

5. Average pass rate in first year courses

6. Established time-to-degree for the study program

(in academic session/semesters)

7. Average time taken to complete courses

8. Actual average time-to-degree (in academic

sessions/semesters)

9. Total number of academic staff


11. Total number of full time academic staff with PhD

degrees

12. Number of actually serving fulltime academic staff

out of total employed

12. Teacher-student ratio

13. Total number of full time academic staff with

Master’s degrees

* Please add any other information that you consider relevant for evaluation of the proposal.

AIFOM: Annex 7

AIFOM 3rd


B. Please provide the data requested in the following table. These data will help justify postgraduate

student learning, library and research improvements. Consider adding new rows as needed for MS,

M Phil, and PhD programs. This data will also identify the availability of human resources and the

unit’s teaching capacity, efficiency and effectiveness in the last five years.

Table 2: Data on Academic Staff and Students in Postgraduate Programs and Research

Items 2008 2009 2010 2011 2012

1. Total enrollment in MS, M Phil and Ph D

Programs

2. First year enrollment in Graduate/Master’s

Programs

3. First year enrollment in MS, M Phil and Ph D

Programs

4. Number of Graduates/Master’s passed out,

M Phil and PhD programs

5. Number of MS, M Phil and Ph D candidates

passed

6. Graduation/Master’s rate per entry cohort,

7. MS, M Phil, Ph D rate per entry cohort


Master’s program (in academic sessions/

semesters)

9. Established time-to-degree for MS, M Phil

and Ph D Programs


sessions/semesters)

11. Actual average time-to-degree in MS, M Phil

and Ph D Programs


holding PhD degrees involved in Postgraduate

Programs and Research

13. Total number of part time academic staff




holding Master’s degrees involved in

Graduate/ Master’s Programs

15. Ratio of fulltime-part time teachers

16. Total external (other than GoB) funding

(expressed inTaka) captured for Graduate/

Master’s Program teaching-learning activities.

17. Total number of research projects and

external (other than GoB) funding captured

18. Total number of publications

19. Average publication per academic staff

20. Total number of thesis/research monographs/

publications by Postgraduate students

21 Total number of thesis publications by MS, M

Phil and Ph D candidates

22. Total number of publications per academic

staff engaged in Postgraduate Programs

23


AIFOM: Annex 7

AIFOM 3rd


C. Please provide data on the existing facilities in equipment, materials, manpower and resources

owned by the entity.

Table 3: Data on existing physical facilities/resources available in the university


Available

Required Comments

1. Science Lab equipment


Machines/Tools

3. Medical/Surgical Lab Equipment/

Instruments

4. Agricultural/Horticultural lab Equipment/

Instruments

5. Agricultural/Horticultural Experimental

Field Equipment

6. Classroom/Seminar room/Lecture Theater

Devices/ Instruments/Teaching aids etc.

7. Laboratory Chemicals/Specimens

8. Library Automation/Digitization

9. Computers & Accessories

10. Photocopiers

11. Scanners

12. Printers

13. Multimedia Equipment

14. Fund/Financial resources

15. Survey work/Field visit facilities

16. Qualified Supervisors

17. Qualified Lab Technicians

18. Engineering Machine/Tools Operators

19. Medical Equipment/ Instrument Operators/

Technicians

20. Internet Connectivity/Campus Area

Network/LAN/Intranet

21. Bandwidth Capacity

22. WIMAX/Wireless Connectivity

23. Digital library Access/Subscription

24. Library automation service

25. Telecom/Fax

26. ICT professionals/engineers

27. ICT technicians

28. Other skilled support staff

29.


AIFOM: Annex 7

AIFOM 3rd


9. Please submit/attach the “Table of Milestones” and “Table of Performance” as per Annex- 1.

10. Relevance:

Describe the relevance of the proposal to the strategic or long-term plan of the university, to the national

development, and to the tertiary education sector development goals of the government.

11. Benefits (Qualitative & Quantitative)

Describe the benefits to be gained from the sub-project in terms of its contribution towards better student

learning, research capacity, development of advanced human capital, and production of useful research

results, institutional and academic quality improvement, strengthening of institutional and academic

management and achievement of tertiary education development goals of the government during the

sub-project implementation and after completion. Justify whether the most cost effective methods have

been selected.

12. Summary of major items and estimated cost



will be procured under the sub-project. Please submit the table in excel spread sheet.

Table 4. Summary of Estimated Budget Type of Sub-Project: University Wide Innovation

Sub-Project Title:…………………………………………………………………………………………….. BDT in Lakh

Economic Code* Items of Expenditure Unit Qnty Estimated

Cost (Taka) % of

Estimated Cost


4500 Pay of Officer

4600 Pay of Staff







Total Cost (a+b)

( c ) Operational Costs/Contingencies ( Maximum 2% of total cost)

Total Sub-Project Cost (a+b)


AIFOM: Annex 7

AIFOM 3rd


13. Please submit/attach the “Work/Activities Plan1” as per Annex- 2

14. Please submit/attach the “Financing Plan” as per Annex- 3

15. Please submit/attach the “Procurement Plan” as per Annex- 4 (Tables A-E)

16. Please submit/attach the table of “Training Plan” as per Annex- 5














v. Academic Program

vi. Entity

vii. Research


ix. Food Security


and also with the detail budget. Gross discrimination among them may lead to disqualification of the

CP by UGCBAIF. Please submit these plans in excel spread sheet.

AIFOM: Annex 7

AIFOM 3rd





xiii. Governance




21. Sustainability

Please provide a summary of a sustainability analysis for this sub-project, e.g., what measures

and budget provisions the university is likely to commit to sustain the activities and outcomes

after the completion of the sub-project;

22. Please attach Environment Safety Checklist and Mitigation Plan for major renovation/

refurbishment works (if any) under the sub-project in the format provided in Annex 7. (Please

note that absence of the checklist and mitigation plan will lead to rejection of the CP by

UGCBAIF.)


24. Sub-project Management Team

Please mention the SPMT personnel directly responsible for the management and

implementation in the formats given in r Annex-9 & 10.

25. Please state if project of similar nature was implemented earlier or/and is under implementation

by the proposal submitting entity, or any of the members of the project management team. If so,

mention the name of the project, duration and major outcomes.

AIFOM: Annex 7

AIFOM 3rd


SPP Annex- 1


Milestones Reference o Specific

Objectives


1.

2.

3.

4.

5.

Table 2: Indicators to Evaluate Sub-project Impact (Level 2)


to Specific

Objectives

Calculation

Method

Assumptions Verification

Methods

Calculation

of Base

Value

Vaseline

Value in

Year 2010

Desired

Standard in

Year....

1.

2.

3.

4.

5.


Milestone/Indicators. Define the specific variables considered in the indicator. In the case of Level 1, define the milestone, stage or activity to be

reached/accomplished in time.

Reference to Objectives. Specify the general and/or specific objectives related to each Milestone/Indicator. In Level 2, it is not necessary to link all

specific objectives defined in the sub-project to a PI.


Calculation Method. Define the formula used to calculate the indicator, indicating the variables to be considered. In the case of ratios, identify the

numerator and the denominator.

Assumptions. Indicate prior considerations used in measuring the variables involved. For example, state the date on which annual measurements will be

taken.

AIFOM: Annex 7

AIFOM 3rd


Verification Methods. Indicate the data or products that will serve to validate the indicator result. The data must be available for M&E activities proposed

in the sub-project.



Desired Standard, Year N. This reflects a final reference value for the indicator to be achieved after implementing the sub-project. For example, increasing

the ratio of total number of full time teachers with a Ph D, from an initial base value of 7 (no critical mass) to 10 (sufficient critical mass) over a period of 5

years i.e., 4 years after the completion of the sub-project. And increasing the annual Ph D graduation from 2 to 4 and decreasing the time-for-PhD degree from

6 to 4 years over the same period.

Performance indicators Performance Indicators are key instruments in the monitoring and evaluation (M&E) of sub-projects since they help to measure the achievement of goals, the

effects of clear strategies and effectiveness in the use of resources. A small set of independent indicators that can be well defined and measured periodically is

desirable. Proper definition of performance indicators makes it possible to monitor and evaluate achievements in measurable terms, indicating the benefits.

Please mention the calculation methods, sources and procedures to obtain base values, values committed during and after the implementation of the sub-project,

and verification methods to validate the results obtained.

Proposed indications must contemplate two levels of measurement: a first level (Level 1) involving sub-project stages or milestones where critical activities are

achieved in time; and a second level (Level 2) involving performance indicators based on the regular measurement of key variables that will account for the

degree to which the sub-project affects its end beneficiaries.

Proposed indicators should take into account and build on measurements included in the indicators set forth in paragraph 7A above “Table 1: Data on

Academic Staff and Students in Undergraduate Programs” and paragraph 7B “Table 2. Data on Academic Staff & Students in Post-graduate Programs and

Research” of this proposal. In addition, if necessary, specific indicators may be used. Please consult Table 1 and Section 8 of the Operations Manual

AIFOM: Annex 7

AIFOM 3rd


SPP Annex- 2



Work/

Activities

Year 1 Year 2

1 2 3 4 5 6 7 8 9 10 11 12 1 2 3 4 5 6 7 8 9 10 11 12

This can be submitted in excel spread sheet as a Gantt Chart

(For assistance please consult www.ganttchart.com/www.vertex42.com)

http://www.ganttchart.com/www.vertex42.com

AIFOM: Annex 7

AIFOM 3rd


SPP Annex- 3

Financing Plan

Type of Sub-Project: University Wide Innovation Sub-project Title ……………………………………………………………………………………………………..

BDT in Lakh

Economic Code


Year 1 Year 2


Jan-Mar 2014

Apr-Jun

2014

Jul-Sep 2014

Oct-Dec 2014

Jan-Mar 2015

Apr-Jun 2015

Jul-Sep 2015

Oct-Dec 2015





4601


Sub-Total

Total Consolidated Salary (4500+4600) 4800 Supplies & Services: 4801 Travel Expenses 4817 Website Development & Maintenance 4828 Printing & Stationary 4831 Books & Journals for SPM Office 4833 Advertising & Publicity

4840

Training & Study Tour: Local: …………………… Foreign: ………………… Sub-total

4842

Conference/Seminar/Workshop: Conference on ………………….. Seminar on……………………. Workshop on………………………

Sub-total

AIFOM: Annex 7

AIFOM 3rd


4874

Consulting Services: Consultant for…………………… Travel & hospitality costs for visiting

academics

Academic Collaboration Sub-total

4883

Incentives for sub-project management team: Honorarium for SPM Honorarium for Deputy SPM Honorarium for Members SPMT

Sub-total

4886

Survey:

(mention name of survey) Sub-Total

4887 Copying Charge 4899 Other Expenses


4921

Refurbishing/Renovation: (insert each item individually) Total Repair & Maintenance (4900)


(b) Capital Expenditure 6800 Acquisition of Assets

6807

Motor Vehicle: (insert each item individually) Sub-Total

6813

Machinery & Other Equipments: (insert each item individually) Sub-Total

6814

Engineering Equipment: (insert each item individually) Sub-Total

6815

Computer & IT Equipment: (insert each item individually) Sub-Total

6817 Computer Software:

AIFOM: Annex 7

AIFOM 3rd


(insert each item individually) Sub-Total

6819

Office Equipment: (insert each item individually) Sub-Total

6820



Sub-total

6821





Sub-total

6822

Laboratory equipment/instrument: (insert each item individually) Sub-Total

6827

Electrical Equipment: (insert each item individually)

Sub-Total Total Capital Expenditure (6800

Total Cost (a+b) ( c ) Operational Costs/Contingencies (maximum 2% of total cost)


AIFOM: Annex 7

AIFOM 3rd


SPP Annex -4


value of contract

(in "000 US$)

Total estimated

value of prior

review contract (in

"000 US$)

Total number of

packages

Total number of

prior review

packages

Number of contract

awarded up to……………

[Date of Procurement Plan

as per Cover Page]


awarded up to …………[Date

of Procurement Plan as

per Cover Page]

1 Goods

2 Works

3 Non-Consulting

Services

4 Consultancy

Services

0.00 0.00 0.00 0.00 0.00 0.00



AIFOM: Annex 7

AIFOM 3rd


SPP Annex -4


1 US$ = ……BDT


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1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23



Total (All NCB and Shopping/ RFQ

Contracts) 0


AIFOM: Annex 7

AIFOM 3rd


SPP Annex -4



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AIFOM: Annex 7

AIFOM 3rd


SPP Annex -4



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AIFOM: Annex 7

AIFOM 3rd


SPP Annex -4


1 US$ = ……BDT


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AIFOM: Annex 7

161 | P a g e

SPP Annex 5


Subject of


Place/Location/

Institution

Estimate

d Cost

Period

From To

Local:

Foreign (visit):


AIFOM: Annex 7

162 | P a g e

SPP Annex- 6


Type of Sub-Project: University Wide Innovation

Sub-project Title: ………………………………………………………………………………………………………….. BDT in Lakh

Economic Code*


Cost (Taka)

% of Estimated

Cost


4500 Pay of Officer (Consolidated):**


Sub-Total


4601

Accountant


MLSS

Sub-Total




4817 Website Development & Maintenance




4840


Local: ……………

Foreign: …………

Sub-total

4842





Sub-total

4874


Consultant for……………………



Sub-total

4883

Incentives for sub-project management team: (Consult Annex- 4 of AIFOM)

Honorarium for SPM

Honorarium for Deputy SPM


Sub-total

4886

Survey:

(mention name of survey)

Sub-Total

4887 Copying Charge

4899 Other Expenses


AIFOM: Annex 7

163 | P a g e


4921







6807

Motor Vehicle:


Sub-Total

6813



Sub-Total

6814



Sub-Total

6815



Sub-Total

6817

Computer Software:


Sub-Total

6819

Office Equipment:


Sub-Total

6820


Devices

White Board


Sub-total

6821





Sub-total

6822

Laboratory equipment/instrument:


Sub-Total

6827



Sub-Total

Total Capital Expenditure (6800

Total Cost (a+b)






AIFOM: Annex 7

164 | P a g e

IMPORTANT:

Annexes 7, 8, 9, 10 and 11 and their Attachments will be removed by UGCAIFS before forwarding

the CPs to ARPs/ERs for evaluation. The Environment Safety Checklist shall be reviewed by an

Environment Specialist hired by the project for identifying adverse impact. The Social Screening

Form shall be checked by the AIF Management Specialist for identifying social issues. After

evaluation, these annexes and attachments will be reattached to the CP and it will become one single

document. The UGCAIFS shall put the same Proposal Identification Number (PIN) on this page that

has been stamped on the first page of this CP.

Proposal Identification Number (PIN)………………….

SPP Annex -7



(Window 2 & 3)



Institution: ____________________________________________________________________




Instructions










(Attachment A).

AIFOM: Annex 7

165 | P a g e



Business & Law








AIFOM: Annex 7

166 | P a g e

Checklist




question 6.]



guidelines?





facilities?








procedures?







to health?








field level?



sensitive area?




environment?


water?



AIFOM: Annex 7

167 | P a g e


ecosystem?










agency?



problem?

The above answers are true and complete. I understand that the University Grants Commission will depend

on them to make its decision.



Name: ________________________________________________________________________


Please sign below to verify that the information in this document is accurate and complete to the best of

your knowledge.



Name: _______________________________________________________________________


AIFOM: Annex 7

168 | P a g e







Environmental

Impacts

Proposed

Mitigation

Measures

Responsible

Partiers

Estimated Cost



Frequency

Monitoring

Location

Responsible

Parties

AIFOM: Annex 7

169 | P a g e

SPP Annex-8







Screening Date: …………………………………………………………





01.

02.

03.


01.

02.

03.

AIFOM: Annex 7

170 | P a g e

Part B: Activities



include any:





[ ] Yes [ ] No


livelihood?

[ ] Yes [ ] No


[ ] Yes [ ] No


[ ] Yes [ ] No


[ ] Yes [ ] No



[ ] Yes [ ] No

7. Does your proposed activity affect places/objects of cultural and religious significance (places of

worship, ancestral burial grounds, etc.)

[ ] Yes [ ] No

8. Names of TP community members and organizations which participated in Social Screening (if

any):



[ ] Positive

[ ] Negative


11. In respect of the social impacts and concerns, is there a need to undertake an additional impact

assessment study?

[ ] Yes [ ] No

Prepared by (Name): …………………………………………………

Signature: ……………………………………….. Date: ………………………….

AIFOM: Annex 7

171 | P a g e

SPP Annex- 9


Please note that the above organogram is indicative and may be expanded and/or revised as required

by the sub-project.

Sub-project management team includes SPM, DSPM, and Member of SPMT. The support staff at

levels three and four will not be part of SPMT.


Sub-Project Manager

Deputy S P M

(level 1)

M L S S

(level 4)

Member S P M T (Faculty) (level 2

Procurement/ Accounts/ Finance

Officer(level 3)

Data Entry /Computer

Operator(level

3)

Office Secretary

/Manager(level 3)


(level 2)

AIFOM: Annex 7

172 | P a g e

SPP Annex 10


Name/Designation of

Management and

Support Staff

Position in the

Institution and

Entity

Position in

the Sub-

project

Specific

Responsibilities

Time Dedicated

to the Sub-

project/person-

month**

(Name of Management

Staff)

SPM

DSPM

Member SPMT

(Designation of

Supporting Staff)



AIFOM: Annex 7

173 | P a g e



1. PERSONAL DATA



(OFFICE) TELEPHONE

(HOME) MOBILE

NUMBER


NUMBER (TIN)

CURRENT POSITION


WORKING HOURS

(hours per week)

2. ACADEMIC DATA





RESEARCH ACTIVITIES

DONOR/

SPONSOR

POSTION IN

THE PROJECT

YEAR

FROM TO

4. PRIOR POSITIONS




AIFOM: Annex 7

174 | P a g e



1. PERSONAL DATA



(OFFICE) TELEPHONE

(HOME) MOBILE

NUMBER


NUMBER (TIN)

CURRENT POSITION


WORKING HOURS

(hours per week)

2. ACADEMIC DATA





RESEARCH ACTIVITIES

DONOR/

SPONSOR

POSTION IN

THE PROJECT

YEAR

FROM TO

4. PRIOR POSITIONS




AIFOM: Annex 7

175 | P a g e

SPP Annex 11





…………………………………..……………………………………………………




ii. in Taka:………………………………….……………….

ii. In US$............................................................................



ii. Completion: …………......………………………


..................................................................

…………………………….…………….

..................................................................

…………………………………………..

--------------------------------



----------------------------------



--------------------------------------------------------------------





implementation of the proposed sub-project and pledges to make efforts for its sustainability

if the sub-project is approved by UGC.

_________________________



AIFOM: Annex 8

176 | P a g e

AIFOM 3rd

Ed: CP for TTO


Academic Innovation Fund Window 3


Sub-project on Technology Transfer Office (TTO)

1. Sub-project Title:…………………………………………………..………………

2. a Total Cost of the Sub-project

(i) (in Taka):………………………………………

(ii) (in US$)………………………………………..

b. Implementation Period:…………………………………………………………

i. Commencement:……………………………………………………………..

ii. Completion:………………………………………………………………….


Describe the general objectives that are aimed to be achieved:

1.

2.

3.



Describe with clarity the specific objectives of the sub-project. Each specific objective will

produce results and outcomes that has to be expressed in terms of milestones and measured


1.

2.

3.

4.




used in accordance with the specific objectives for establishing the TTO. The broad impact expected as a

result of the activities carried out must be explicitly stated. Please try to furnish the information about

the above mentioned items under individual paragraph captions.

AIFOM: Annex 8

177 | P a g e

AIFOM 3rd

Ed: CP for TTO


Briefly explain the results of the overall strategic analysis that was performed to prepare this

proposal, especially in connection with the strengths and weaknesses, opportunities and threats

(SWOT analysis). This information will clearly establish the objectives that the sub-project

intends to achieve in a manner consistent with institutional strategic planning/vision (if any),

and the priorities established by the university. Please mention if there are currently any

collaborative/joint research projects with industries. The nature of research projects and the

quality of research and the logistics and expertize available in the entity should be mentioned.

(Please consult AIFOM Annex 1 on SWOT Analysis.)


A. Please provide the data requested in the following table. These data will identify the availability of

human resources and the unit’s capacity for undertaking collaborative research with industry.

Table 1: Data on Academic Staff and Students in Postgraduate Programs and Research

Items 2008 2009 2010 2011 2012 1. Total enrolment in Graduate/Master’s

Programs

Total enrollment in M Phil, M Sc

(engineering), Ph D Programs

2. First year enrollment in Master’s Programs 3. First year enrollment in M Phil, M Sc

(engineering), Ph D Programs

4. Number of Graduates/Master’s passed out,

M Phil and PhD programs

5. Number of M Phil, M Sc (engineering), Ph D

candidates passed

6. Graduation/Master’s rate per entry cohort, 7. M Phil, M Sc(engineering), Ph D rate per

entry cohort


Master’s program (in academic sessions/

semesters)

9. Established time-to-degree for M Phil, M Sc

(engineering), Ph D


sessions/semesters)

11. Actual average time-to-degree in M Phil, M

Sc (engineering), Ph D programs

AIFOM: Annex 8

178 | P a g e

AIFOM 3rd

Ed: CP for TTO

Items 2008 2009 2010 2011 2012 12. Total number of full time academic staff



13. Total number of part time academic staff




holding Master’s degrees involved in

Graduate/ Master’s Programs

17. Total number of research projects and

external (other than GoB) funding captured

18. Total number of research publications in peer

reviewed journals

19. Average publication per academic staff

20. Total number of thesis/research monographs/ publications by Postgraduate students

21 Total number of thesis publications by M

Phil, M Sc(engineering), Ph D candidates

22. Total number of publications per academic

staff engaged in Postgraduate Programs

23 Number of research projects undertaken

jointly with industry

23 Number of patent applications filed

24 Number of patents registered by academics

25 Number of research products commercialized `

26 Number of research output which may be commercialized**

* ……..


** Please attach a list.

B. Please provide data on the existing facilities in equipment, materials, manpower and

resources owned by the entity.

Table 2: Data on existing physical facilities/resources available in the university


Available

Required Comments

1. Science Lab equipment


Machines/Tools

3. Medical/Surgical Lab Equipment/

Instruments

4. Agricultural/Horticultural lab

Equipment/ Instruments

AIFOM: Annex 8

179 | P a g e

AIFOM 3rd

Ed: CP for TTO

5. Agricultural/Horticultural Experimental

Field Equipment

6. Classroom/Seminar room/Lecture

Theater Devices/ Instruments/Teaching

aids etc.

7. Laboratory Chemicals/Specimens

8. Library Automation/Digitization

9. Computers & Accessories

10. Photocopiers

11. Scanners

12. Printers

13. Multimedia Equipment

14. Fund/Financial resources

15. Survey work/Field visit facilities

16. Qualified Supervisors

17. Qualified Lab Technicians

18. Engineering Machine/Tools Operators

19. Medical Equipment/ Instrument

Operators/ Technicians

20. Internet Connectivity/Campus Area

Network/LAN/Intranet

21. Bandwidth Capacity

22. WIMAX/Wireless Connectivity

23. Digital library Access/Subscription

24. Library automation service

25. Telecom/Fax

26. ICT professionals/engineers

27. ICT technicians

28. Other skilled support staff

… ………………………


8. Please submit/attach the “Table of Milestones” and “Table of Performance” as per Annex- 1.

9. Relevance:

Describe the relevance of the proposal to the strategic or long-term plan of the university, to the national

development, and to the tertiary education sector development goals of the government.

AIFOM: Annex 8

180 | P a g e

AIFOM 3rd

Ed: CP for TTO

10. Benefits (Qualitative & Quantitative)

Describe the benefits to be gained from the TTO in terms of its contribution towards better student

learning, research capacity, development of advanced human capital, and production of useful research

outcomes and products, patents registered, products commercialized, institutional and academic quality

improvement, strengthening of institutional management of intellectual property and achievement of

tertiary education development goals of the country. Justify whether the most cost effective methods

have been selected.

11. Summary of major items and estimated cost



will be procured under the sub-project. Please submit the table in excel spread sheet.


Type of Sub-Project: University Wide TTO

Sub-Project Title:……………………………………………………………………………………………..

BDT in Lakh

Economic Code* Items of Expenditure Unit Qnty Estimated

Cost (Taka) % of

Estimated Cost


4500 Pay of Officer

4600 Pay of Staff







Total Cost (a+b)

( c ) Operational Costs/Contingencies ( Maximum 2% of total cost)

Total Sub-Project Cost (a+b)


AIFOM: Annex 8

181 | P a g e

AIFOM 3rd

Ed: CP for TTO

12. Please submit/attach the “Work/Activities Plan1” as per Annex- 2

13. Please submit/attach the “Financing Plan” as per Annex- 3

14. Please submit/attach the “Procurement Plan” as per Annex- 4 (Tables A_E)

15. Please submit/attach the table of “Training Plan” as per Annex- 5









19. Whether project of similar nature was implemented earlier or/and is under implementation by

the proposal submitting entity, or any of the members of the project management team. If so,

mention the name of the project, duration and major outcomes.






v. Academic Program

vi. Entity


and also with the detail budget. Gross discrimination among them may lead to disqualification of the

CP by UGCBAIF. Please submit these plans in excel spread sheet.

AIFOM: Annex 8

182 | P a g e

AIFOM 3rd

Ed: CP for TTO

vii. Research


ix. Food Security




xiii. Governance




21. Sustainability

Please provide a summary of a sustainability analysis for this sub-project, e.g., what measures

and budget provisions the university is likely to commit to sustain the activities and outcomes

after the completion of the sub-project;

22. Please attach Environment Safety Checklist and Mitigation Plan for major renovation/

refurbishment works (if any) under the sub-project in the format provided in Annex 7. (Please

note that absence of the checklist and mitigation plan will lead to rejection of the CP by

UGCBAIF.)


24. Technology Transfer Office Management Team

Please mention the managerial and support staff directly responsible for the management and

implementation of the TTO sub-project as per Annex-9 & 10.

AIFOM: Annex 8

183 | P a g e

AIFOM 3rd

Ed: CP for TTO

SPP Annex- 1


Milestones Reference o Specific

Objectives


1.

2.

3.

4.

5.

Table 2: Indicators to Evaluate Sub-project Impact (Level 2)


to Specific

Objectives

Calculation

Method

Assumptions Verification

Methods

Calculation

of Base

Value

Baseline

Value in

Year 2012

Desired

Standard in

Year....

1.

2.

3.

4.

5.


Milestone/Indicators. Define the specific variables considered in the indicator. In the case of Level 1, define the milestone, stage or activity to be

reached/accomplished in time.

Reference to Objectives. Specify the general and/or specific objectives related to each Milestone/Indicator. In Level 2, it is not necessary to link all

specific objectives defined in the sub-project to a PI.


Calculation Method. Define the formula used to calculate the indicator, indicating the variables to be considered. In the case of ratios, identify the

numerator and the denominator.

Assumptions. Indicate prior considerations used in measuring the variables involved. For example, state the date on which annual measurements will

be taken.

AIFOM: Annex 8

184 | P a g e

AIFOM 3rd

Ed: CP for TTO

Verification Methods. Indicate the data or products that will serve to validate the indicator result. The data must be available for M&E activities

proposed in the sub-project.



Desired Standard, Year N. This reflects a final reference value for the indicator to be achieved after implementing the sub-project. For example,

increasing the ratio of total number of full time teachers with a Ph D, from an initial base value of 7 (no critical mass) to 10 (sufficient critical mass)

over a period of 5 years i.e., 4 years after the completion of the sub-project. And increasing the annual Ph D graduation from 2 to 4 and decreasing the

time-for-PhD degree from 6 to 4 years over the same period.

Performance indicators Performance Indicators are key instruments in the monitoring and evaluation (M&E) of sub-projects since they help to measure the achievement of goals,

the effects of clear strategies and effectiveness in the use of resources. A small set of independent indicators that can be well defined and measured

periodically is desirable. Proper definition of performance indicators makes it possible to monitor and evaluate achievements in measurable terms,

indicating the benefits.

Please mention the calculation methods, sources and procedures to obtain base values, values committed during and after the implementation of the sub-

project, and verification methods to validate the results obtained.

Proposed indications must contemplate two levels of measurement: a first level (Level 1) involving sub-project stages or milestones where critical activities

are achieved in time; and a second level (Level 2) involving performance indicators based on the regular measurement of key variables that will account for

the degree to which the sub-project affects its end beneficiaries.

Proposed indicators should take into account and build on measurements included in the indicators set forth in paragraph 7A above “Table 1: Data on

Academic Staff and Students in Undergraduate Programs” and paragraph 7B “Table 2. Data on Academic Staff & Students in Post-graduate Programs and

Research” of this proposal. In addition, if necessary, specific indicators may be used. Please consult Table 1 and Section 8 of the Operations Manual

AIFOM: Annex 8

185 | P a g e

AIFOM 3rd

Ed: CP for TTO

SPP Annex- 2



Work/

Activities

Year 1 Year 2

1 2 3 4 5 6 7 8 9 10 11 12 1 2 3 4 5 6 7 8 9 10 11 12

This can be submitted in excel spread sheet as a Gantt Chart

(For assistance please consult www.ganttchart.com/www.vertex42.com)

http://www.ganttchart.com/www.vertex42.com

AIFOM: Annex 8

186 | P a g e

AIFOM 3rd

Ed: CP for TTO

SPP Annex- 3

Financing Plan

Type of Sub-Project: University Wide TTO Sub-project Title ……………………………………………………………………………………………………..

BDT in Lakh

Economic Code


Year 1 Year 2


Jan-Mar 2014

Apr-Jun 2014

Jul-Sep 2014

Oct-Dec 2014

Jan-Mar 2015

Apr-Jun 2015

Jul-Sep 2015

Oct-Dec 2015





4601


Sub-Total

Total Consolidated Salary (4500+4600) 4800 Supplies & Services: 4874 Consultancy 4801 Travel Expenses 4817 Website Development & Maintenance 4828 Printing & Stationary



4840

Training & Study Tour: Local : ………. Foreign: ……… Sub-total

4842

Conference/Seminar/Workshop: Conference on ………………….. Seminar on…………………….

AIFOM: Annex 8

187 | P a g e

AIFOM 3rd

Ed: CP for TTO

Workshop on……………………… Sub-total

4874

Consulting Services: Consultant for…………………… Travel & hospitality costs for

visiting academics

Academic Collaboration Sub-total

4883

Incentives for sub-project management team: Honorarium for SPM Honorarium for Deputy SPM Honorarium for Members SPMT

Sub-total

4886

Survey:

(mention name of survey) Sub-Total

4887 Copying Charge 4899 Other Expenses


4921

Refurbishing/Renovation: (insert each item individually) Total Repair & Maintenance (4900)


(b) Capital Expenditure 6800 Acquisition of Assets

6807

Motor Vehicle: (insert each item individually) Sub-Total

6813

Machinery & Other Equipments: (insert each item individually) Sub-Total

6814

Engineering Equipment: (insert each item individually) Sub-Total

6815 Computer & IT Equipment: (insert each item individually)

AIFOM: Annex 8

188 | P a g e

AIFOM 3rd

Ed: CP for TTO

Sub-Total

6817

Computer Software: (insert each item individually)

Sub-Total

6819

Office Equipment: (insert each item individually) Sub-Total

6820



Sub-total

6821





Sub-total

6822

Laboratory equipment/instrument: (insert each item individually) Sub-Total

6827

Electrical Equipment: (insert each item individually)

Sub-Total Total Capital Expenditure (6800

Total Cost (a+b) ( c ) Operational Costs/Contingencies (maximum 2% of total cost)


AIFOM: Annex 8

189 | P a g e

AIFOM 3rd

Ed: CP for TTO

Procurement plan required under PPR 2010; Rule 16 (8) SPP Annex -4


value of contract

(in "000 US$)

Total estimated

value of prior

review contract (in

"000 US$)

Total number of

packages

Total number of

prior review

packages

Number of contract awarded

up to…………… [Date of

Procurement Plan as per

Cover Page]


awarded up to …………[Date

of Procurement Plan as

per Cover Page]

1 Goods

2 Works

3 Non-Consulting

Services

4 Consultancy Services

0.00 0.00 0.00 0.00 0.00 0.00



AIFOM: Annex 8

190 | P a g e

AIFOM 3rd

Ed: CP for TTO

SPP Annex -4


1 US$ = ……BDT


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RFQ Contracts) 0


AIFOM: Annex 8

191 | P a g e

AIFOM 3rd

Ed: CP for TTO

SPP Annex -4



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AIFOM: Annex 8

192 | P a g e

AIFOM 3rd

Ed: CP for TTO

SPP Annex -4



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Contracts) 0


AIFOM: Annex 8

193 | P a g e

AIFOM 3rd

Ed: CP for TTO

SPP Annex -4


1 US$ = ……BDT


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AIFOM: Annex 8

195 | P a g e

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SPP Annex 5


Subject of


Place/Location/

Institution

Estimated

Cost

Period

From To

Local:

Foreign (visit):


AIFOM: Annex 8

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SPP Annex- 6


Type of Sub-Project: University Wide TTO

Sub-project Title: ………………………………………………………………………………………………………….. BDT in Lakh

Economic Code*


Cost (Taka)

% of Estimated

Cost


4500 Pay of Officer (Consolidated):**


Sub-Total


4601

Accountant


MLSS

Sub-Total




4817 Website Development & Maintenance




4840


Local : ……..

Foreign:……

Sub-total

4842





Sub-total

4874


Consultant for……………………



Sub-total

4883

Incentives for sub-project management team: (Consult Annex- 4 of AIFOM)

Honorarium for SPM

Honorarium for Deputy SPM


Sub-total

4886

Survey:

(mention name of survey)

Sub-Total

AIFOM: Annex 8

197 | P a g e

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4887 Copying Charge

4899 Other Expenses



4921







6807

Motor Vehicle:


Sub-Total

6813

Machinery & Other Equipment:


Sub-Total

6814



Sub-Total

6815



Sub-Total

6817

Computer Software:


Sub-Total

6819

Office Equipment:


Sub-Total

6820


Devices

White Board


Sub-total

6821





Sub-total

6822

Laboratory equipment/instrument:


Sub-Total

6827



Sub-Total

Total Capital Expenditure (6800

Total Cost (a+b)






AIFOM: Annex 8

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SPP Annex- 7

IMPORTANT:

Annexes 7, 8, 9, 10 and 11 and their Attachments will be removed by UGCAIFS before forwarding

the CPs to ARPs/ERs for evaluation. The Environment Safety Checklist shall be reviewed by an

Environment Specialist hired by the project for identifying adverse impact. The Social Screening

Form shall be checked by the AIF Management Specialist for identifying social issues. After

evaluation, these annexes and attachments will be reattached to the CP and it will become one single

document. The UGCAIFS shall put the same Proposal Identification Number (PIN) on this page that

has been stamped on the first page of this CP.

Proposal Identification Number (PIN)…………………



(Window 2 & 3)



Institution: ____________________________________________________________________



Instructions










(Attachment A).

AIFOM: Annex 8

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Business & Law








AIFOM: Annex 8

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Checklist




question 6.]



guidelines?





facilities?








procedures?







to health?








field level?



sensitive area?




environment?


water?


AIFOM: Annex 8

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ecosystem?










agency?



problem?

The above answers are true and complete. I understand that the University Grants Commission will depend on

them to make its decision.



Name: ________________________________________________________________________


Please sign below to verify that the information in this document is accurate and complete to the best of

your knowledge.



Name: _______________________________________________________________________


AIFOM: Annex 8

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AIFOM 3rd

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Environmental

Impacts

Proposed

Mitigation

Measures

Responsible

Partiers

Estimated Cost



Frequency

Monitoring

Location

Responsible

Parties

AIFOM: Annex 8

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Ed: CP for TTO

SPP Annex-8







Screening Date: …………………………………………………………





01.

02.

03.


01.

02.

03.

AIFOM: Annex 8

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Ed: CP for TTO

Part B: Activities



include any:





[ ] Yes [ ] No


livelihood?

[ ] Yes [ ] No


[ ] Yes [ ] No


[ ] Yes [ ] No


[ ] Yes [ ] No

6. Does your proposed activity severely restrict access to common property resources and livelihood

activities?

[ ] Yes [ ] No



[ ] Yes [ ] No


any):



[ ] Positive

[ ] Negative



assessment study?

[ ] Yes [ ] No

Prepared by (Name): …………………………………………………

Signature: ……………………………………….. Date: ………………………….

AIFOM: Annex 8

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SPP Annex- 9


Please note that the above organogram is indicative and may be expanded and/or revised as required

by the sub-project.

Sub-project management team includes SPM, DSPM, and Member of SPMT. The support staff at

levels three and four will not be part of SPMT.


Sub-Project Manager

Deputy S P M (level 1)

M L S S

(level 4)

Member S P M T (Faculty) (level 2

Procurement/ Accounts/ Finance Officer (level 3)

Data Entry /Computer Operator

(level 3)

Office Secretary /Manager

(level 3)


(level 2)

AIFOM: Annex 8

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SPP Annex 10


Name/Designation of

Management and

Support Staff

Position in the

Institution and Entity

Position in the

Sub-project

Specific

Responsibilities

Time Dedicated

to the Sub-

project/person-

month**

(Name of Management

Staff)

SPM

DSPM

Member SPMT

(Designation of Supporting

Staff)



AIFOM: Annex 8

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1. PERSONAL DATA



(OFFICE) TELEPHONE

(HOME) MOBILE

NUMBER


NUMBER (TIN)

CURRENT POSITION


WORKING HOURS

(hours per week)

2. ACADEMIC DATA





RESEARCH ACTIVITIES

DONOR/

SPONSOR

POSTION IN

THE PROJECT

YEAR

FROM TO

4. PRIOR POSITIONS




AIFOM: Annex 8

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1. PERSONAL DATA



(OFFICE) TELEPHONE

(HOME) MOBILE

NUMBER


NUMBER (TIN)

CURRENT POSITION


WORKING HOURS

(hours per week)

2. ACADEMIC DATA





RESEARCH ACTIVITIES

DONOR/

SPONSOR

POSTION IN

THE PROJECT

YEAR

FROM TO

4. PRIOR POSITIONS




AIFOM: Annex 8

209 | P a g e

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SPP Annex 11





…………………………………..……………………………………………………




i. in Taka:………………………………….……………….

ii. In US$...................................................................



ii. Completion: …………......………………………


..................................................................

…………………………….…………….

..................................................................

…………………………………………..

--------------------------------



----------------------------------



--------------------------------------------------------------------





implementation of the proposed sub-project and pledges to make efforts for its sustainability if

the sub-project is approved by UGC.

_________________________



AIFOM: Annex 9

AIFOM: Evaluation Form for ARP & ER 210



Evaluation Form for

Area Review Panel Member & External Reviewer

SUB-PROJECT N° : …........................................................

SUB-PROJECT TITLE : ….........................................................

TOTAL MARKS GIVEN: ………………

EVALUATOR*: .......................................................................................

(Name, position, institution)

Mobile Number: ………………………..

E-mail address: …………………………

SIGNATURE:………………………………………..

* Evaluators are requested to complete this form in FULL.

AIFOM: Annex 9


Summary of Distribution of Marks for Evaluation of CPs

[Note: All sub-criteria as set out below will be individually scored. If any sub-criterion is not

scored, the evaluation of the CP will be considered as incomplete. Please award marks for

each item up to one decimal place]

EVALUATION CRITERIA MARKS

1. Clarity and Quality of Strategic Analysis and Proposal Design 20.0

1.1 Strategic analysis and background data 5.0

1.2 Objectives and expected results 5.0

1.3 Proposal design 5.0

1.4 Innovation nature 5.0

2. Quality and Clarity of the Milestones and Performance Indicators 10.0

2.1 Milestones 5.0

2.2 Performance indicators 5.0

3. Relevance to the Country and Benefits 20.0

3.1 Relevance to Higher Education and AIF objectives 5.0

3.2.1 Student access to quality undergrad and graduate education (Window1

Teaching-Learning) OR

10.0

3.2.2 Faculty, postgraduate student and researcher access to quality research

facilities and opportunities (Window 2 Research) OR

3.2.3 Faculty and student access to greater academic and research facilities under

University-wide Innovation (Window 3) OR

Support for converting knowledge generated in the university system to science and

technology led business, and enhance university’s academic standard and

participation in the global knowledge economy (TTO);

3.3 Benefits to the institution and the country 5.0

4. Justification of the Budget 15.0

4.1 Coherence with proposal design and objectives 5.0

4.2 Coherence with expected activities and results 5.0

4.3 Rationale and justification 5.0

5. Quality of the Management Plan 10.0

5.1 Work/Activity plan 5.0

5.2 Training, financial and procurement plans 5.0

6. Institutional Engagement 5.0

6.1 Institutional commitment and engagement 5.0

7. Clarity of Impact Analysis 10.0

7.1 Impact analysis 5.0

7.2 Realism and relevance 5.0

8. Sustainability 10.0

8.1 Institutional commitments for future interventions 5.0

8.2 Institutional commitments for future investments 5.0

Total marks 100.0

AIFOM: Annex 9


EVALUATION QUESTIONNAIRE

EVALUATION CRITERIA MARKS

1. Clarity and quality of the strategic analysis, objectives and expected

results, and innovative nature of the proposal:

20.0

1.1 Strategic analysis and background data 5.0 How is the overall quality of the strategic analysis (strength, weaknesses, opportunities and

threats (SWOT) and how the background data used to establish the dynamics?

1.2 Objectives and expected results 5.0 Are the specific objectives and expected results clear, coherent and realistic?

1.3 Design 5.0 How is the overall quality of the proposal design in terms of coherence between strategic

analysis, problem statement, expected results and outcomes, benefits and overall viability?

1.4 Innovative nature 5.0 To what extent the proposal and proposed activities reflect academic innovation, new

management practices and tuning with the students’ (or researchers’) and teachers’ needs?

2. Quality and clarity of the milestones and performance indicators to

measure progress, results and impact:

10.0

2.1 Milestones 5.0 To what extent the milestones described indicate the crucial activities and expected results

considered in the proposal? How practical are the means of verification ?

2.2 Performance Indicators 5.0 To what extent the performance indicators are relevant to the specific objectives, design of

the proposal and expected results and outcomes? How practical are the means of

verification?

3. Relevance of the proposal to the country and net benefits it is expected to

produce:

20.0

3.1 Relevance to HE and AIF objectives 5.0 In what measure the proposal conforms with the objectives of the AIF and relates to the

Government’s objectives for HE and the country?

3.2.1 Student access to quality (Teaching-Learning) 10.0

To what extent the sub-project (Window-1) will give undergraduate students

greater access to advanced teaching-learning facilities, updated curricula, emerging

subjects, reduce the current deficiencies in academic qualification/skills and endow

the graduates with the required competencies that the labour market/knowledge

economy demand?

AIFOM: Annex 9


3.2.2 Postgraduate student and researcher access to quality (Research) or 10.0

To what extent the sub-project (Window-2) will give postgraduate students and

researchers greater access to advanced research facilities and opportunities,

collaborative research with reputed foreign universities and contribute to

innovation?

3.2.3 University-wide Innovations or 10.0 To what extent university-wide innovations (Window-3) would :

(a) give greater access to advanced teaching-learning and research facilities, ICTs, digital

library resources, international research publications, or

(b) support for converting knowledge generated in the university system to science and

technology led business, and enhance university’s academic standard and participation

in the global knowledge economy (TTO);

3.3 Benefits 5.0 To what extent the net benefits that would accrue to the institution and the country are

realistic in the light of the sub-project activities?

4. Clarity and justification of the budget

15.0

4.1 Coherence with proposal design and objectives 5.0 To what extent the proposed investments for all the activities (e.g., updating of curricula,

academic staff development, procurement of equipment/ instruments/ teaching-learning

materials, training of academic staff and students, collection of books for library,

scholarships and fellowships, funding for research) conform to the proposal design?

4.2 Coherence with expected activities and results 5.0 To what extent the proposed investments for all the activities lead to the stated specific

objectives and proposed expected results?

4.3 Rationale and justification 5.0 To what extent the amounts requested for each item of expenditure in the proposal are

rational and justified?

5. Quality and clarity of the sub-project management plans (activities,

training, financing and procurement ) 10.0

5.1 Work/Activities plan 5.0 How is the clarity and quality of the work plan, its relevance to the proposal objectives and

coherence with proposal activities and actions?

5.2 Training, financial and procurement plans 5.0 To what extent the training, financing and procurement plans are consistent with the

proposal design, would allow a good implementation and produce the expected results?

6. Institutional commitment and engagement 5 .0

AIFOM: Annex 9


6.1 Institutional commitment and engagement 5.0

what extent the fund recipient institution’s commitment and engagement is reflected in

the proposal?

7. Quality and clarity of the impact the sub-project will have on

environment /eco-system, gender inequality, employment, poverty

reduction, academic programs, human development, research, food

security, production innovation, governance and disaster management

10.0

7.1 Impact analysis 5.0 How is the clarity and quality of the impact analysis?

7.2 Realism and relevancy 5.0 To what extent the impact analysis is realistic and relevant to the proposal objectives and

expected results and outcomes?

8. Academic and financial sustainability of the implementation after the AIF

support has ended

10.0

8.1 Institutional commitment for future interventions 5.0 To what extent the activities initiated under the sub-project would continue as part of overall

academic improvement impacted by the AIF?

8.2 Institutional commitments for future investments 5.0 To what extent institutional commitments would induce future investments, academic

improvement, processes and outcomes envisaged in the sub-project?

Total marks obtained out of 100.00

AIFOM: Annex 9


GENERAL COMMENTS

Please give criteria-wise specific comments in the following table. The comments are expected to be in conformity with the evaluation marks.

Evaluation Criteria

1. Clarity and Quality of Strategic Analysis and Proposal Design

2. Quality and Clarity of the Milestones and Performance Indicators

3. Relevance to the Country and Benefits

4. Justification of the Budget

AIFOM: Annex 9


5. Quality of the Management Plan

6. Institutional Engagement and Sub-Project Management

7. Clarity of Impact Analysis

8. Sustainability

Any other comments:

------------------------------

Signature of ARP / ER

AIFOM: Annex 10

217 AIFOM 3

rd Ed: Selection Criteria for UGCBAIF


Academic Innovation Fund Complementary Selection Criteria

for UGCBAIF

Basic Selection Principles 1. All proposals at the university level have been endorsed by the respective Vice-

Chancellor according to AIFOM.

2. All complete proposals have been evaluated by ARPs and ERs according to prescribed

criteria in Table 4 of the AIFOM.

3. Only competent proposals will be considered for approval. Final selection by UGCBAIF

will consider some complementary selection criteria described below. Proposals which

have been disapproved after this review should have clear justifications for being so.

4. No deficient proposal will be considered for approval.

5. Proposal writers would have the right to know ARP and ER evaluation markings and

UGCBAIF final selection making arguments. This will be the basis for improvement and

submission of the disapproved proposals to the next round of AIF proposal call.

6. UGCBAIF may readjust AIF allocation to university groups, individual universities and

between rounds if it finds that equity principles demand such readjustment due to uneven

or less or abundant response to proposal call from the institutions in the third round.

7. UGCBAIF’s decision will be final in respect of a proposal being finally selected for AIF

grant.

Complementary Selection Criteria (UGCBAIF)

1. Relevance to Bangladesh. To what extent is the sub-project relevant to current or likely

future social and economic problems of Bangladesh? Will the sub-project address or

tackle an important Bangladeshi social or economic problem?

2. Education policy. Will the sub-project contribute to the achievement of the government’s

policy goals for tertiary education?

3. Student accessibility of acquired resources. Will the sub-project lead to channels of

greater access to university academic programs by secondary education graduates and

adult learners already in the workplace? Will the sub-project enable the institutions to

respond to the pressures and opportunities of greater access without compromising

academic standards and quality? Does the proposal contain elements that seek to

encourage women’s employment in society and to professional positions? Does the

proposal envisage access to the resources to academics outside the entity itself?

4. Improvement of quality. Will the sub-project lead to overall improvement in the quality

of educational infrastructure, academic programs, research capabilities and services and

diminish national disparities in education quality offered by different universities?

5. Justification of Budget. To what extent the proposed investments will help to achieve

the stated objectives and the budget is commensurate with the work/activities to be

undertaken by the sub-project?

6. Contribution to building of knowledge economy. Will the sub-project enhance

students’, teachers’ and researchers’ access to connectivity, digital library and other ICT

applications and develop their skills for establishing digital Bangladesh?

7. Institutional engagement and sub-project management. The quality and clarity of the

institutional sub-project management set-up;

The UGCBAIF will evaluate the strength of Sub-project Management Team and review the

complete proposal with reference to above seven Complementary Selection Criteria. The

UGCBAIF then shall give marks out of five which will be added with the average score given

by ARP/ERs and the cumulative score will be the basis for final selection.

AIFOM: Annex 11

218

AIFOM 3rd

Ed: Performance Contract for Public University





PERFORMANCE CONTRACT

Between


And

Public University

[....................................name of institution............................................]

Contract No. : -----------------------------------------------------------

Title of Sub-Project : -----------------------------------------------------------

Complete Proposal No. : -----------------------------------------------------------

Total AIF Grant Amount : -----------------------------------------------------------

Duration of the sub-project :From……… To…………………

Contract Date : -----------------------------------------------------------

AIFOM: Annex 11

AIFOM 3rd

Ed: Performance Contract for Public University 219

PERFORMANCE CONTRACT for

Implementation of

Academic Innovation Fund Sub-Project

PREAMBLE

This PERFORMANCE CONTRACT (hereinafter called the CONTRACT) is entered into this

……………… day of …………………………………………….. 2014…………………. between

the University Grants Commission of Bangladesh, (hereinafter called the UGC), acting by and

through its duly authorized representative (hereinafter referred to as the FIRST PARTY) of the one

part AND,

the University of ………………… (hereinafter referred to as the SECOND PARTY) which

endorsed the sub-project, acting by and through its duly authorized representative, AND,

the Department/Faculty/Center/Institute …………….… of ………………... (hereinafter referred

to as the THIRD PARTY), from which the sub-project proposal originated, acting by and through its

duly authorized representative (called the Sub-Project Manager), of the other two PARTIES,

WHEREBY IT IS AGREED AS FOLLOWS:

(a) Whereas the International Development Association (hereinafter called the IDA) and the

Government of Bangladesh (hereinafter called the GoB) have entered into Financing

Agreement dated April 05, 2009 (hereinafter called the FA), whereby IDA is to make a Credit

in an amount equivalent to fifty four million, four hundred thousand Special Drawing Rights

(SDR 54,400,000 ) to the GoB (hereinafter called the Credit) to assist in the financing of the

Higher Education Quality Enhancement Project (hereinafter called the HEQEP) described in

Schedule 1 (Project Description) of the FA and on the terms and conditions otherwise set

forth or referred to in the FA; and whereas pursuant to Section D of the Schedule 2 of the FA,

the GoB is to provide part of the proceeds of the Credit as Grants for sub-projects under this

Contract and whereas the PARTIES hereto wish the terms and conditions hereinafter set

forth to constitute the Contract:

(b) Pursuant to the Development Project Proposal (DPP) of HEQEP approved by the Executive

Committee of National Economic Council (ECNEC) in its meeting held on October 23,

2008;

(c) Pursuant to the Operations Manual (third edition) (hereinafter called the OM) on the

implementation of the Academic Innovation Fund sub-projects under the HEQEP

Component 1;

(d) Pursuant to the UGC Board for AIF (UGCBAIF) meeting held on xx-xx-2014 for

approving grant award to the successful applicants for of the Academic Innovation Fund

(AIF), Window …….dated ……………2014;

(e) Pursuant to the decision no. xx of the xxth meeting of the UGCBAIF for awarding grant to the

successful applicant for AIF award no……….. dated …………..;

(f) Provided, the SECOND PARTY means a public university established under an Act or/and

an Ordinance or/and an Order;

AIFOM: Annex 11

AIFOM 3rd


(g) Provided, Grant means the funds received by the FIRST PARTY from IDA as delineated at

paragraph (a) above of this CONTRACT and disbursed by the FIRST PARTY to the

THIRD PARTY;

(h) Based on the requirements and capacities of the THREE PARTIES to this CONTRACT the

said parties shall undertake a collaborative venture to finance and implement the (sub-project

title) at the (name of institution) in accordance with the terms and conditions stipulated in the

Clauses included in this CONTRACT hereinafter:

The Three PARTIES:

1. FIRST PARTY:

UNIVERSITY GRANTS COMMISSION OF BANGLADESH

Address: 29/1 Agargaon, Dhaka 1207, Bangladesh

Tel: 880-2-811-2629, 880-2-812-4133

Fax: 880-2-812-2948, 880-2-812-2416

Authorized Representative:

Position:

2. SECOND PARTY:

.......................................…….........................……University

Address:

Tel:

Fax:


Position:

3. THIRD PARTY:

Department/Faculty/Center/Institute/ University

Acting through Sub-Project Manager

Name and Designation:

Address:

Tel:

Fax:

E-mail:

Sub-project title: [proposal name]

Contract No: _________

AIFOM: Annex 11

AIFOM 3rd


Clause 1

ASSIGNMENT AND SCOPE OF WORK

1.1 FIRST PARTY, in its capacity as the University Grants Commission of Bangladesh

responsible for allocating AIF Grants received from the IDA, as the implementing agency

appointed by the GoB, through the HEQEP Unit (hereinafter HEQEPU) for AIF sub-

projects:

(a) has awarded a grant to THIRD PARTY to implement the AIF sub-project submitted by

the THIRD PARTY with the endorsement and undertaking of the SECOND PARTY in

accordance with the provisions of the Operations Manual for AIF (third edition). The

contents of the sub-project assignment are described in the sub-project proposal approved

by the UGCBAIF;

(b) confirms that the sub-project proposal (Annex 1), which is attached to this Contract serves

as the Terms of Reference for the AIF sub-project assignment, and forms an integral part

of this legal document;

(c) approves the sub-project work/activities plan, financing plan, procurement plan and

training plan contained in the sub-project proposal submitted by the THIRD PARTY and

endorsed by the SECOND PARTY;

(d) will monitor, review, and evaluate THIRD PARTY’s implementation of the sub-project

assignment and with respect to the scope of work which conform to the provisions and

conditions provided in the Operations Manual for AIF (third edition); and,

1.2 SECOND PARTY, in its capacity as the sponsoring institution for the approved AIF sub-

project proposal:

(a) accepts the grant awarded by FIRST PARTY to the THIRD PARTY to implement the

sub-project;

(b) establishes an University AIF Secretariat (UAIFS) for providing secretarial services for

the implementation of AIF sub-projects awarded to it;

(c) shall facilitate implementation of the sub-project by the sub-project management team of

the THIRD PARTY and shall be responsible for providing to THIRD PARTY, promptly

as needed, the facilities, services, technical assistance and other resources required for the

sub-project implementation and assuring sustainability of the sub-project throughout the

duration of this Contract.

1.3 THIRD PARTY, in its capacity as the implementer of the approved AIF sub-project proposal:

(a) shall implement the sub-project with due diligence and efficiency, and in accordance with

sound educational, scientific, technical, financial, and managerial standards and practices,

aimed at achieving the objectives of AIF sub-project and satisfactory to the GoB and

UGC; and is responsible for reporting on the sub-project implementation to FIRST

PARTY through the UGC AIF Secretariat (hereinafter UGCAIF) as stipulated in this

Contract;

(b) shall be responsible for providing to FIRST PARTY the following: Table of Milestones,

Table of Performance Indicators, Work Plan, Financing Plan, Procurement Plan, and

Training Plan acceptable to FIRST PARTY. Such information provided by THIRD

PARTY constitute indispensable part of the approved sub-project proposal attached to this

Contract. Any authorized modifications to this sub-project proposal will likewise form an

integral part of this Contract.

AIFOM: Annex 11

AIFOM 3rd


Clause 2

DURATION OF CONTRACT

2.1. This contract shall become effective immediately upon signing by all parties and shall remain

valid throughout the implementation period specified in the sub-project proposal. The sub-

project will be implemented for the period beginning from xx-xx-xxxx and will be completed

on xx-xx-xxxx , as specified in the sub-project proposal. The implementation time begins from

the date of the signing of this Performance Contract.

2.2. If the implementation of the sub-project is delayed for any reason, THIRD PARTY must

inform the UGCAIFS through the SECOND PARTY in writing the reasons for the delay, and

if necessary request an extension of the time allowed for implementation. THIRD PARTY

should not exceed the time period specified in the approved sub-project proposal, unless so

authorized in writing by the FIRST PARTY, provided, that the FIRST PARTY shall do so in

accordance with the relevant provisions of the OM (third edition) in respect of duration of

sub-projects.

Clause 3

RESPONSIBILITIES OF FIRST PARTY

3.1 FIRST PARTY through HEQEPU shall be responsible for providing the grants to THIRD

PARTY in accordance with the provisions and conditions mentioned in the Operations Manual

for AIF (third edition) and this Contract.

3.2 The FIRST PARTY reserves the rights adequate to protect its interests and those of the GoB,

including the right to (i) suspend or terminate the right of the SECOND PARTY and the

THIRD PARTY to use the proceeds of the Grant, or to obtain a refund of all or any part of the

amount of the Grant then withdrawn, upon the SECOND PARTY’s and THIRD PARTY’s

failure to comply with any of their obligations under this Performance Contract. In the

instance of non-compliance with the operational procedures, misuse and/or misappropriation of

the AIF grants by the SECOND PARTY and THIRD PARTY, the FIRST PARTY shall take

legal action against the persons responsible for such misdeeds according to the existing relevant

laws of the country.

3.3 Monitor the sub-project implementation through reports required under Clause 4, which shall be

quarterly in the case of financial progress report and six-monthly in case of monitoring report.

Such monitoring will be continuous by FIRST PARTY through the Monitoring & Evaluation

Unit of the HEQEPU, or by its authorized representatives throughout the entire implementation

period of the sub-project.

3.4 Inspect at any time the location and activities of the sub-project, through its authorized

representatives, during its implementation and review any relevant documents and records for

purposes of monitoring or conducting financial or technical audits.

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AIFOM 3rd


Clause 4

RESPONSIBILITIES OF SECOND PARTY

4.1 SECOND PARTY shall:

(a) ensure that the THIRD PARTY shall carry out its sub-project activities with due diligence

and efficiency and in accordance with sound technical, economic, financial, managerial,

environmental and social standards and practices, including in accordance with the

provisions of IDA’s Anti-Corruption Guidelines;

(b) provide, promptly as needed, the facilities required for the purpose;

(c) assist the sub-project manager in procuring the goods, works, and services to be financed

out of the grant in accordance with the provisions of the PPR and World Bank’s

procurement guidelines, where applicable;

(d) maintain policies and procedures adequate to enable it to monitor and evaluate in

accordance with indicators agreed with the FIRST PARTY, the progress of the sub-

project and achievement of its objectives;

(e) assist the sub-project manager to maintain a financial management system and prepare

financial statements in accordance with consistently applied accounting standards, for the

implementation of the AIF sub-project, both in a manner adequate to reflect the operations,

resources and expenditures related to the sub-projects; and (ii) at the FIRST PARTY’s

request, have such financial statements audited by independent auditors, in accordance

with consistently applied auditing standards, and promptly furnish the statements as so

audited to the FIRST PARTY and to IDA;

(f) enable the FIRST PARTY and IDA to inspect the sub-project, its operation and any

relevant records and documents; and

(g) prepare and furnish to the FIRST PARTY and IDA all such information as the FIRST

PARTY or IDA shall reasonably request relating to the foregoing;

4.2 Ensure that the THIRD PARTY submits to FIRST PARTY the quarterly financial progress

reports on all of the expenditures made over each quarter of the implementation period, and the

six-monthly monitoring report;

4.3 Responsible for strict monitoring of the fund utilization by the THIRD PARTY and supervise

every aspect of it by meticulously tracking every instance of expenditure made from the AIF

fund, through the UAIFS;

4.4 The SECOND PARTY shall be held accountable for any non-compliance with operational

procedures given in the AIFOM (third edition), and misuse, transfer and/or misappropriation of

grants received from the FIRST PARTY meant for the implementation of the AIF sub-project.

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Clause 5

RESPONSIBILITIES OF THIRD PARTY

5.1 THIRD PARTY shall be responsible for the overall timely implementation of the sub-project in

accordance with work/activities plan, financing plan, procurement plan, and training plan

included in the approved sub-project proposal;

5.2 THIRD PARTY shall be responsible for submitting to FIRST PARTY and copies to UAIFS the

following reports:

(a) quarterly financial reports in formats provided by the UGCAIFS;

(b) six-monthly progress report in a format provided by the UGCAIFS;

(c) data and information on achievements of the sub-project milestones and performance

indicators;

(d) a Project Completion Report (hereinafter PCR) summarizing all the activities implemented

and the results achieved over the entire period of the sub-project (due within two months of

the completion of all activities specified in the sub-project proposal);

5.3 THIRD PARTY shall be held accountable for any non-compliance with the operational

procedure laid down in the OM of AIF (third edition), and misuse, transfer and/or

misappropriation of AIF funds received from the FIRST PARTY, and mis-procurement with

AIF grants as well as for inefficiency that may cause delay in implementation and non-

attainment of crucial milestones and performance indicators mentioned in the sub-project

proposal.

Clause 6

PROCUREMENT

6.1 THIRD PARTY shall strictly follow The Public Procurement ACT 2006, and The Public

Procurement Rules 2008 together with the World Bank’s Guidelines: Procurement under

IBRD Loans and IDA Credits, May 2004, Revised October 1, 2006 and World Bank’s

Guidelines: Selection and Employment of Consultants by World Bank Borrowers May 2004,

Revised October 1, 2006 and the relevant provisions of AIF Operations Manual (third edition)

in respect of procurement; and will be held accountable for any deviation from the regulations

and procedures in matters of procurement stipulated in the aforementioned documents and pay

fines and indemnity for such lapses determined by the GoB, IDA and FIRST PARTY.

Clause 7

FINANCE

A. Sub-Project Cost and Financing

7.1 The estimated total cost, excluding local taxes, of the sub-project is BDT ….......................…….,

as approved by the UGCBAIF;

7.2 Over the life of the sub-project, FIRST PARTY will provide to THIRD PARTY a grant of up to

BDT ………….. (Total Grant Amount), which represents 100% of the total cost of the sub-

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AIFOM 3rd


project. FIRST PARTY will not be responsible for any financial liabilities which may arise due

to deviation from financial rules and regulations, irregularities in fund utilization and

expenditures and for inefficient implementation of the sub-project by the THIRD PARTY.

B. Financial Management

7.3 The SECOND PARTY and THIRD PARTY shall fully adhere to the principles and procedures

of financial management as stipulated in the relevant section of AIF Operations Manual (third

edition);

7.4 The THIRD PARTY shall open and maintain a separate AIF bank account, in the name of the

sub-project, in a Bank, to be used solely for purposes of depositing AIF funds released by

FIRST PARTY for the sub-project, and such account will be known as operating account

(hereinafter OA). This OA shall be maintained in Bangladesh Taka currency, must be used

exclusively in accordance with the budget included in the sub-project, and must not be diverted

and used for activities not included in the approved sub-project proposal or for any other

purpose. Payments from this account must be solely for the payment of eligible expenditures in

accordance with the categories of eligible expenditure mentioned in the budget and approved by

FIRST PARTY in accordance with the provisions of the Operations Manual (third edition)

and this Contract.

7.5 The financial records relating to the bank accounts referred to in Clause 7.4 above, and to the

sub-project cash book and expenditure accounts and book-keeping ledgers maintained or/and

stored in papers or/and in computer programs described above, as well as the quarterly financial

reports described in Clause 4, may be subject to review and verification by the authorized GoB

auditors or/and by independent auditors, at any time, as required by the GoB, IDA and FIRST

PARTY.

7.6 (a) the term “eligible expenditures” means expenditures for the activities and for procurement of

goods, works and services described in the section 13 of the AIF Operations Manual (third

edition);

(b) the term ‘installments’ means the amount of fund that will be released in a tranche (quarterly)

to THIRD PARTY in accordance with the fund flow procedure mentioned in the section on

the financial management of the AIFOM (third edition) for the utilization by THIRD

PARTY. If the specifically defined sub-project milestones and performance indicators are

not achieved during the implementation of the sub-project, such release of funds may be

withheld by the FIRST PARTY;

7.7 After FIRST PARTY has received evidence satisfactory to it that SECOND PARTY has (i)

established an University AIF Secretariat (UAIFS), and (ii) THIRD PARTY has duly opened

AIF Operating Account in a Bank, disbursement of funds to THIRD PARTY shall be made as

follows:

(a) First installment shall be disbursed, to the OA of the sub-project as advance, upon receipt of

the ‘Request for Advance’ supported by projected cash forecast statement from SPM

containing the estimated expenditures drawn on the approved procurement and work plans

for the first two quarters of the sub-project from the THIRD PARTY. Subsequent amount

will be disbursed in two additional tranches based on FMR and procurement plan.

(b) Subsequent installments will be released, in the amounts indicated, upon receipt of the

statement of expenditure (hereinafter SoE) by the UGCAIFS from the THIRD PARTY

within 21 days of the expiry of the last quarter. A supporting letter to the FIRST PARTY

signed by the head of the UAIFS attesting that the performance milestone and indicators

have been achieved by sub-project, will constitute an additional document for each

successive ‘Request for Advance’ application submitted by the THIRD PARTY.

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AIFOM 3rd


7.8 For each expenditure made out of its AIF sub-project OA opened and maintained by the

THIRD PARTY, the SECOND PARTY shall, at such time as FIRST PARTY shall request,

furnish to FIRST PARTY such documents and other evidence showing that such payment was

made exclusively for eligible expenditures.

7.9 For all expenditures from its AIF sub-project OA, THIRD PARTY shall:

(a) maintain records and accounts adequate to reflect such expenditures in accordance with

sound accounting practices;

(b) retain, until instructed otherwise by FIRST PARTY, all records (bidding documents,

invitations of bids, contracts, orders, invoices, vouchers, cash-memo, bills, pay orders,

receipts, cash books and bank reconciliation statement and other documents) evidencing

such expenditures;

(c) authorize auditors of the GoB and/or independent auditors and representatives of FIRST

PARTY to examine such records.

7.10 Notwithstanding the provisions of Clause 7.7, FIRST PARTY shall not be required to make

further fund release to THIRD PARTY:

(a) if THIRD PARTY have failed to furnish to FIRST PARTY, within the period of time

specified in Clause 4 of this Performance Contract, the reports required to be furnished to

FIRST PARTY pursuant to said Clause;

(b) Thereafter, transfer of AIF grants from the Designated Account maintained by FIRST

PARTY for the AIF sub-projects, shall follow such procedures as FIRST PARTY shall

specify by notice to THIRD PARTY. Further release of funds shall be made only after

and to the extent that FIRST PARTY have been satisfied that all such amounts remaining

in the AIF sub-project OA maintained by THIRD PARTY will be utilized in making

payments for eligible expenditures;

7.11 (a) If FIRST PARTY has the evidence at any time that any amount out of AIF sub-project

operating account maintained by THIRD PARTY:

(i) was made for an expenditure or in an amount not eligible pursuant to section 13 of the

AIF Operations Manual (third edition); or

(ii) was not justified by the financial rules and regulations of the GoB and IDA,

(b) SECOND PARTY shall, promptly upon notice from FIRST PARTY:

(i) provide such additional evidence as FIRST PARTY may request; or

(ii) If FIRST PARTY shall so request, refund to FIRST PARTY an amount equal to the

amount of such payment or the portion thereof not eligible or justified. Unless FIRST

PARTY decides otherwise, no further release of fund by FIRST PARTY into the AIF

operating account maintained by THIRD PARTY shall be made until SECOND

PARTY has made such deposit or refund, as the case may be.

(c) If FIRST PARTY has evidence at any time that any amount outstanding in the AIF sub-

project operating account maintained by THIRD PARTY will not be required to cover

further payments for eligible expenditures, or/and amount deposited in the operating account

maintained by the THIRD PARTY shall remain unutilized or/and unspent, then the

THIRD PARTY shall promptly upon notice from FIRST PARTY, refund such

outstanding or/and unspent amount to FIRST PARTY;

(d) Refunds to FIRST PARTY made pursuant to Clauses 7.111 (a) and (b) shall be credited to

the Designated Account maintained by FIRST PARTY for the implementation of AIF sub-

projects.

AIFOM: Annex 11

AIFOM 3rd


Clause 8

SUB-PROJECT ASSETS AND SERVICES

8.1 Goods, assets and services purchased under this Performance Contract shall be used exclusively

for the purpose of implementation of sub-project;

8.2 All books, journals and printed materials procured under the sub-project must be registered in line

with the coding system of the institution’s library for overall management purposes;

8.3 All goods, instruments, devices, machines and equipment purchased under this Performance

Contract shall become the property of SECOND PARTY and shall be registered in its inventory

as provided in the relevant rules of the institution;

8.4 Any intellectual property produced in the course of research or experimentation conducted in the

course of implementation of an approved sub-project, whether these be products, techniques,

copyright or services, will belong to the institution that sponsored and hosted the respective sub-

project proposal. The SECOND PARTY may patent the property under the Patents, Copyright

and Protection of Intellectual Property Act of the country.

Clause 9

PENALTIES

9.1 In cases where disbursed AIF grants, or goods procured under the AIF grants for a sub-project are

misappropriated by the SECOND PARTY and THIRD PARTY and/or if the SECOND

PARTY and THIRD PARTY transfer amounts deposited in the AIF operating account

maintained by them to a separate bank account, and/or withdraw fund from the AIF operating

account and spend such fund for purposes not included in AIF sub-project proposal, then the

SECOND PARTY and THIRD PARTY shall refund the entire such withdrawn/transferred fund

to the designated account maintained by the FIRST PARTY without fail;

9.2 If the SECOND PARTY and THIRD PARTY do not comply with the provision mentioned

above, then the FIRST PARTY shall take recourse to recover the misappropriated and/or

transferred AIF fund, among others, by deducting such equivalent amount from any other fund

earmarked for the SECOND PARTY and THIRD PARTY that is held by the FIRST PARTY.

Clause 10

SUSPENSION AND TERMINATION

10.1 This Performance Contract may be suspended or terminated prior to its stipulated expiry date

in the following cases:

(a) THIRD PARTY fails to comply fully with the provisions and regulations governing AIF

sub-project implementation, the requirements of GoB’s financial management procedures

and the terms and conditions of the FA, and/or responsibilities assigned under this

Performance Contract. FIRST PARTY, based on the level of violation by THIRD

PARTY, shall give a written decision on suspension or termination of this Contract before

completion;

(b) If delay in the AIF sub-project implementation by THIRD PARTY due to unforeseen

factors such as natural disaster, earthquakes, fires, flood, cyclone or any unexpected

situations beyond human capacity, and these situations are certified to be the direct reasons

AIFOM: Annex 11

AIFOM 3rd


for the delay or obstacle to the implementation of the sub-project and THIRD PARTY has

tried alternatives to overcome these situations, the provisions and conditions regulated in

this Clause may not be applied provided that SECOND PARTY should inform FIRST

PARTY in writing, within seven days after the occurrence of such events, of the reasons

and the applied alternatives, and should inform FIRST PARTY as soon as possible after the

situation has returned to normal.

Clause 11

SETTLEMENT OF DISPUTES

11.1 Decision of UGC shall be final and binding upon the SECOND PARTY and THIRD PARTY

for any dispute that may arise among the THREE PARTIES concerning the provisions of this

Performance Contract or the Operations Manual for AIF (third edition) during the

implementation of sub-project.

Clause 12

OTHERS

12.1 The terms and conditions of this Performance Contract may be reviewed at the request of

either PARTY after the start of implementation of the AIF sub-project. Any modifications of

the contents of this Performance Contract must be agreed upon by all PARTIES and in

writing;

12.2 Any provision relating to the sub-project implementation not covered by this Performance

Contract shall be followed by the PARTIES in accordance with the existing law, rules and

regulations in Bangladesh;

12.3 This Performance Contract will come into effect and will be considered legal and binding on

all parties on the date of signing by the THREE PARTIES;

AIFOM: Annex 11

AIFOM 3rd


Attached to this Performance Contract are the approved sub-project proposal with its

Annexes referred to in Clause 1 paragraph 1.1 (b) of this Contract and constitute an integral

part of this Contract;

IN WITNESS WHEREOF the duly authorized representatives of the PARTIES hereby

commit their signatures below on the day and year indicated in the preamble to this

Performance Contract.

Name, signature and seal of the [FIRST PARTY]

Name, signature and seal of the authorized representative

of the [SECOND PARTY]

Name, signature and seal

of the Sub-Project Manager [THIRD PARTY]

Witnesses

1. ____________________

2. ___________________

3. ____________________

4. ____________________

AIFOM: Annex 11

AIFOM 3rd


Annex 1

Approved Sub-project Proposal

( ............................................... Title of CP ................................................... )

AIFOM: Annex 12

231 | P a g e AIFOM 3

rd Ed: Performance Contract for Private University






Between


And

Private University

………………………[name of institution]………………………

Contract No. : -----------------------------------------------------------

Title of Sub-Project : -----------------------------------------------------------

Complete Proposal No. : -----------------------------------------------------------

Total AIF Grant Amount : -----------------------------------------------------------

Duration of the sub-project :From……… To…………………

Contract Date : -----------------------------------------------------------

AIFOM: Annex 12




for

The Implementation of

Academic Innovation Fund Sub-Project by Private Universities

PREAMBLE

This PERFORMANCE CONTRACT (hereinafter called the CONTRACT) is entered into this

……………… day of …………………………………………….. 2014…………………. between

the University Grants Commission of Bangladesh, (hereinafter called the UGC), acting by and

through its duly authorized representative (hereinafter referred to as the FIRST PARTY) of the one

part AND,

the University of…(hereinafter referred to as the SECOND PARTY) which endorsed the sub

project, acting by and through its duly authorized representative, AND,

the Department/Faculty/Center/Institute ………………….…. of …………………... (hereinafter

referred to as the THIRD PARTY), from which the sub-project proposal originated, acting by and

through its duly authorized representative (called the Sub-Project Manager), of the other two

PARTIES, WHEREBY IT IS AGREED AS FOLLOWS:

(a) Whereas the International Development Association (hereinafter called the IDA) and the

Government of Bangladesh (hereinafter called the GoB) have entered into Financing

Agreement dated April 05, 2009 (hereinafter called the FA), whereby IDA is to make a Credit

to the GoB in an amount equivalent to fifty four million, four hundred thousand Special

Drawing Rights (SDR 54,400,000 ) to the GoB (hereinafter called the Credit) to assist in the

financing of the project described Higher Education Quality Enhancement Project (hereinafter

called the HEQEP) described in Schedule 1 (Project Description) of the FA and on the terms

and conditions otherwise set forth or referred to in the FA; and whereas pursuant to Section D

of the Schedule 2 of the FA, the GoB is to provide part of the proceeds of the Credit as

Grants for sub-projects under this Contract and whereas the PARTIES hereto wish the

terms and conditions hereinafter set forth to constitute the Contract:

(b) Pursuant to the Development Project Proposal (DPP) of HEQEP approved by the Executive

Committee of National Economic Council (ECNEC) in its meeting held on October

23,.2008;

(c) Pursuant to the Operations Manual (third edition) (hereinafter called the OM) on the

implementation of the Academic Innovation Fund sub-projects under the HEQEP

Component 1;

(d) Pursuant to the UGC Board for AIF (UGCBAIF) meeting held on xx-xx-2014 for

approving grant award to the successful applicants for of the Academic Innovation Fund

(AIF), Window ……. dated …………… 2014;

(e) Pursuant to the decision no. xx of xxth meeting of the UGCBAIF for awarding grant to the

successful applicant for AIF award no. ……….. dated ………….. ;

(f) Provided, the SECOND PARTY means a private university established under the

PRIVATE UNIVERSITIES ACT 2010;

AIFOM: Annex 12



(g) Provided, Grant means the funds received by the FIRST PARTY from IDA as delineated at

paragraph (a) above of this CONTRACT and allocated by the FIRST PARTY to the

THIRD PARTY;

(h) Based on the requirements and capacities of the THREE PARTIES to this CONTRACT the

said parties shall undertake a collaborative venture to finance and implement the (sub-project

title) at the (name of institution) in accordance with the terms and conditions stipulated in the

Clauses included in this CONTRACT hereinafter:

The Three PARTIES:

1. FIRST PARTY:

UNIVERSITY GRANTS COMMISSION OF BANGLADESH

Address: 29/1 Agargaon, Dhaka 1207, Bangladesh

Tel: 880-2-811-2629, 880-2-812-4133

Fax: 880-2-812-2948, 880-2-812-2416


Position:

2. SECOND PARTY:

………………………………………………… University

Address:

Tel:

Fax:

Authorized representative:

Position:

3. THIRD PARTY:

Department/Faculty/Center/Institute/University

Acting through Sub-Project Manager

Name and Designation:

Address:

Tel:

Fax:

Email:

Sub-Project title: “[proposal name]”

Contract No: _________

AIFOM: Annex 12



Clause 1

ASSIGNMENT AND SCOPE OF WORK

1.1 FIRST PARTY, in its capacity as the University Grants Commission of Bangladesh

responsible for allocating AIF Grants received from the IDA, as the implementing agency

appointed by the GoB for HEQEP:

(a) has awarded a grant to SECOND PARTY to implement the AIF sub-project submitted by

the THIRD PARTY with the endorsement and undertaking of the SECOND PARTY in

accordance with the provisions of the Operations Manual for AIF (third edition). The

contents of the sub-project assignment are described in the sub-project proposal approved by

the UGCBAIF;

(b) confirms that the sub-project proposal which is attached to this Contract as Annex 1 serves

as the Terms of Reference for the AIF sub-project assignment, and forms an integral part of

this legal document;

(c) approves the sub-project work/activities plan, financing plan, procurement plan and training

plan contained in the sub-project proposal submitted by the THIRD PARTY and endorsed

by the SECOND PARTY;

(d) will monitor, review, and evaluate THIRD PARTY’s implementation of the sub-project

assignment and with respect to the scope of work which conform to the provisions and

conditions provided in the Operations Manual for AIF; and,

1.2 SECOND PARTY, in its capacity as the sponsoring institution for the approved AIF Sub-

project proposal:

(a) accepts the grant awarded by FIRST PARTY for the THIRD PARTY to implement the sub-

project;

(b) established an AIF Management Unit (AIFMU) for the management and implementation of

AIF sub-projects awarded to it;

(c) when finally approved by UGCBAIF shall facilitate implementation of the sub-project

through the indicated AIF sub-project management unit of the THIRD PARTY and shall be

responsible for providing to THIRD PARTY, promptly as needed, facilities, services,

technical assistance and other resources required for the sub-project and assuring

sustainability of the sub-project throughout the implementation of this Contract.

1.3 THIRD PARTY, in its capacity as the implementer of the approved AIF sub-project proposal:

(a) shall implement the sub-project with due diligence and efficiency, and in accordance with

sound educational, scientific, technical, financial, and managerial standards and practices,

aimed at achieving the objectives of AIF within the STRATEGIC PLAN of the University

and satisfactory to the GoB and UGC; and is responsible for reporting on the sub-project

implementation to FIRST PARTY as stipulated in this Contract;

(b) shall be responsible for providing to FIRST PARTY the following: Complete Proposal with

Table of Milestones, Table of Performance Indicators, Work/Activities Plan, Financing Plan,

Procurement Plan, and Training Plan acceptable to FIRST PARTY. Such information

provided by THIRD PARTY constitute indispensable part of the approved sub-project

proposal attached to this Contract. Any authorized modifications to this sub-project proposal

will likewise form an integral part of this Contract.

AIFOM: Annex 12



Clause 2

DURATION OF CONTRACT

2.1. This contract shall become effective immediately upon signing by all parties and shall remain

valid throughout the time specified in the sub-project proposal and in its implementation plan.

The sub-project will be implemented for the period beginning from xx-xx-xxxx and will be

completed on xx-xx-xxxx, as specified in the sub-project proposal. The implementation

time begins from the date of the signing of this Performance Contract.

2.2. If the implementation of the sub-project is delayed for any reason, THIRD PARTY must

inform the FIRST PARTY through the SECOND PARTY in writing the reasons for the

delay, and if necessary request an extension of the time allowed for implementation. THIRD

PARTY should not exceed the time period specified in the approve sub-project proposal,

unless so authorized in writing by the FIRST PARTY, provided, that the FIRST PARTY

shall do so in accordance with the relevant provisions of the OM in respect of duration of sub-

projects.

Clause 3

RESPONSIBILITIES OF FIRST PARTY

3.1 FIRST PARTY shall be responsible for providing the AIF Grant to THIRD PARTY in

accordance with the provisions and conditions mentioned in the Operations Manual for AIF

(third edition) and this Contract.

3.2 The FIRST PARTY reserves the rights adequate to protect its interests and those of the GoB,

including the right to (i) suspend or terminate the right of the SECOND PARTY and the THIRD

PARTY to use the proceeds of the Grant, or to obtain a refund of all or any part of the amount of

the Grant then withdrawn, upon the SECOND PARTY’s and THIRD PARTY’s failure to

comply with any of their obligations under this Performance Contract. In the instance of non-

compliance with the operational procedures, misuse and/or misappropriation of the AIF Grants

by the SECOND PARTY and THIRD PARTY, the FIRST PARTY shall take legal action

against the persons responsible for such misdeeds according to the existing criminal laws of the

country. Moreover, the FIRST PARTY may decide to suspend participation of the offending

SECOND PARTY temporarily as a corrective measure with the objective to restore financial

discipline in that particular institution.

3.3 Monitor the sub-project implementation through reports required under Clause 4, which shall be

monthly for general progress report, quarterly in the case of financial progress report and six-

monthly in case of monitoring report. Such monitoring will be continuous by FIRST PARTY

through the Monitoring & Evaluation Unit of the HEQEPU, or by its authorized representatives

throughout the entire implementation period of the sub-project.

3.4 Inspect at any time the location and activities of the sub-project, through its authorized

representatives, during its implementation and review any relevant documents and records for

purposes of monitoring or conducting financial or technical audits.

AIFOM: Annex 12



Clause 4

RESPONSIBILITIES OF SECOND PARTY

4.1 SECOND PARTY shall:

(a) ensure that the THIRD PARTY shall carry out its sub-project activities with due diligence

and efficiency and in accordance with sound technical, economic, financial, managerial,

environmental and social standards and practices, including in accordance with the provisions

of IDA’s Anti-Corruption Guidelines;

(b) provide, promptly as needed, the resources required for the purpose;

(c) procure the goods, works, and services to be financed out of the grant in accordance with the

provisions of the PPR and World Bank’s procurement guidelines, where applicable;

(d) maintain policies and procedures adequate to enable it to monitor and evaluate in accordance

with indicators agreed with the FIRST PARTY, the progress of the sub-project and

achievement of its objectives;

(e) maintain a financial management system and prepare financial statements in accordance with

consistently applied accounting standards, both in a manner adequate to reflect the operations,

resources and expenditures related to the sub-projects; and (ii) at the FIRST PARTY’s

request, have such financial statements audited by independent auditors, in accordance with

consistently applied auditing standards, and promptly furnish the statements as so audited to

the FIRST PARTY and to IDA;

(f) enable the FIRST PARTY and IDA to inspect the sub-project, its operation and any relevant

records and documents; and

(g) prepare and furnish to the FIRST PARTY and IDA all such information as the FIRST

PARTY or IDA shall reasonably request relating to the foregoing;

4.2 ensure that the THIRD PARTY submits to FIRST PARTY monthly progress, quarterly

financial progress reports on all the expenditures made over each quarter of the implementation

period, and six-monthly monitoring report;

4.3 SECOND PARTY shall be responsible for strict monitoring of the fund utilization by the

THIRD PARTY and supervise every aspect of it by meticulously tracking every instance of

expenditure made from the AIF fund;

4.4 The SECOND PARTY shall be held accountable for any non-compliance with operational

procedures given in the OM of the AIF (third edition), and misuse, transfer and/or

misappropriation of AIF funds received from the FIRST PARTY meant for the implementation

of AIF sub-project.

Clause 5

RESPONSIBILITIES OF THIRD PARTY

5.1 THIRD PARTY shall be responsible for the overall timely implementation of the sub-project in

accordance with the implementation plan/work plan, financing plan, procurement plan, and

training plan included in the approved sub-project proposal;

AIFOM: Annex 12



5.2 THIRD PARTY shall be responsible for submitting to FIRST PARTY and SECOND PARTY

the following reports:

(a) monthly progress report on sub-project implementation in the format provided by

UGCAIFS; (b) quarterly financial reports in formats provided by UGCAIFS; (c) six-monthly

progress reports in a format provided by the UGCAIFS; (d) data and information on

achievements of the sub-project milestones and performance indicators (d) A Project

Completion Report (hereinafter PCR) summarizing all the activities implemented and the

results achieved over the entire period of the sub-project (due within two months of the

completion of all activities specified in the sub-project proposal);

5.3 THIRD PARTY shall be held accountable for any non-compliance with the operational

procedure laid down in the OM of AIF (third edition), and misuse, transfer and/or

misappropriation of AIF funds received from the FIRST PARTY via SECOND PARTY, as

well as for inefficiency that may cause delay in implementation and non-attainment of crucial

milestones and performance indicators mentioned in the sub-project proposal.

Clause 6

PROCUREMENT

6.1 SECOND PARTY and THIRD PARTY shall strictly follow The Public Procurement ACT

2006, and The Public Procurement Rules 2008 together with the World Bank’s Guidelines:

Procurement under IBRD Loans And IDA Credits, May 2004, Revised October 1 ,2006 and

World Bank’s Guidelines: Selection And Employment of Consultants By World Bank

Borrowers May 2004, Revised October 1, 2006 and the relevant provisions of AIF Operations

Manual (third edition) in respect of procurement; And will be held accountable for any

deviation from the regulations and procedures in matters of procurement stipulated in the

aforementioned documents and pay fines and indemnity for such lapses determined by the GoB,

IDA and FIRST PARTY.

Clause 7

FINANCE

A. Sub-Project Cost and Financing

7.1 The estimated total cost, excluding local taxes, of the sub-project is BDT …………, as approved

by the UGCBAIF;

7.2 Over the life of the sub-project, FIRST PARTY will provide to THIRD PARTY a grant of up to

BDT …………… (Total Grant Amount), amounting to 80% of the total cost of the approved

sub-project. FIRST PARTY will not be responsible for any financial liabilities which may

arise due to deviation from financial rules and regulations, irregularities in fund utilization and

expenditures and for inefficient implementation of the sub-project by the THIRD PARTY;

7.3 The SECOND PARTY as a private university established and functioning under the Private

Universities Ordinance 1992 and its Amendment 1998, would provide the remaining 20% of

the total cost of the sub-project, from its own resources as counterpart funding.

B. Financial Management

AIFOM: Annex 12



7.4 The SECOND PARTY and THIRD PARTY shall fully adhere to the principles and

procedures of financial management as stipulated in the relevant section of AIF Operations

Manual (third edition);

7.4 THIRD PARTY shall open and maintain a separate AIF bank account, in a Bank, to be used

solely for purposes of receiving of AIF grants released by FIRST PARTY for the sub-project,

and such account shall be known as Operating Account (OA). This Bank Account shall be

maintained in Bangladesh Taka currency, must be used exclusively for funds received from

FIRST PARTY, and must not be diverted and used for activities not included in the approved

sub-project proposal or for any other purpose. Payments from this account must be solely for

the payment of eligible expenditures in accordance with the categories of eligible expenditure

approved by FIRST PARTY in accordance with the provisions of the Operations Manual

(third edition) and this Contract.

7.5 The sub-project operating account shall be utilized for the sole purpose of making payments

or/and expenditures for the activities mentioned in the sub-project proposal and required for the

implementation of the sub-project;

7.6 The financial records relating to the bank account referred to in Clause 7.5 above, and to the sub-

project income and expenditure accounts and book-keeping ledgers maintained or/and stored in

papers or/and in computer programs described above, as well as the quarterly financial reports

described in Clause 4, may be subject to review and verification by the authorized GoB auditors

or/and by independent auditors, at any time, as required by the GoB, IDA and FIRST PARTY;

7.7 (a) the term “eligible expenditures” means expenditures for the activities and for procurement

of goods, works and services described in the section 13 of the AIF Operations Manual.;

(b) the term ‘installments’ means the amount of fund that will be released quarterly to

SECOND PARTY in accordance with the Guidelines for Fund Release and Utilization

for Development Projects for the utilization by THIRD PARTY. If the specifically

defined sub-project milestones and performance indicators are not achieved during the

implementation of the subproject, such release of funds will be withheld by the FIRST

PARTY;

7.8 After FIRST PARTY has received evidence satisfactory to it that THIRD PARTY has duly

opened AIF Bank Account, transfer of grants to THIRD PARTY shall be made as follows:

(a) First installment shall be disbursed, to the OA of the sub-project as “Imprest” advance, upon

receipt of the withdrawal application containing the estimated expenditures drawn on the

approved procurement and work/activities plans for the first two quarters of the sub-project

from the THIRD PARTY.

(b) Subsequent installments will be released, in the amounts indicated, upon receipt of the

statement of expenditure (hereinafter SoE) by the UGCAIFS from the THIRD PARTY

within 30 days of the expiry of the last quarter. A supporting letter to the FIRST PARTY

signed by the head of the UAIFS attesting that the performance milestone and indicators

have been achieved by sub-project, will constitute an additional document for each

successive withdrawal application submitted by the THIRD PARTY.

7.9 For each expenditure made out of its AIF sub-project Operating Account opened and

maintained by the THIRD PARTY, the SECOND PARTY shall, at such time as FIRST

PARTY shall request, furnish to FIRST PARTY such documents and other evidence

showing that such payment was made exclusively for eligible expenditures;

7.10 For all expenditures from its AIF sub-project Operating Account, THIRD PARTY shall:

AIFOM: Annex 12



(a) maintain records and accounts adequate to reflect such expenditures in accordance with

sound accounting practices;

(b) retain, until instructed otherwise by FIRST PARTY, all records (bidding documents,

invitations of bids, contracts, orders, invoices, vouchers, cash-memo, bills, pay orders,

receipts and other documents) evidencing such expenditures;

(c) authorize auditors of the GoB and/or independent auditors and representatives of FIRST

PARTY to examine such records.

7.11 Notwithstanding the provisions of Clause 7.7, FIRST PARTY shall not be required to make

further fund release to THIRD PARTY:

(a) if THIRD PARTY have failed to furnish to FIRST PARTY, within the period of time

specified in Clause 4 of this Performance Contract, the reports required to be furnished to

FIRST PARTY pursuant to said Clause;

(b) Thereafter, release of AIF grants from the Designated Account maintained by FIRST

PARTY for the AIF sub-projects, shall follow such procedures as FIRST PARTY shall

specify by notice to THIRD PARTY. Further release of funds shall be made only after and

to the extent that FIRST PARTY have been satisfied that all such amounts remaining in

deposit in the AIF sub-project Operating Account maintained by THIRD PARTY will be

utilized in making payments for eligible expenditures;

7.12 (a) If FIRST PARTY has the evidence at any time that any amount out of AIF sub- project

operating account maintained by THIRD PARTY:

(i) was made for an expenditure or in an amount not eligible pursuant to section 13 of

the AIF Operations Manual (third edition); or

(ii) was not justified by the financial rules and regulations of the GoB and IDA,

SECOND PARTY shall, promptly upon notice from FIRST PARTY:

(iii) provide such additional evidence as FIRST PARTY may request; or

(iv) If FIRST PARTY shall so request, refund to FIRST PARTY an amount equal to the

amount of such payment or the portion thereof not so eligible or justified. Unless

FIRST PARTY decides otherwise, no further release of fund by FIRST PARTY

into the AIF operating account maintained by THIRD PARTY shall be made until

THIRD PARTY has made such deposit or refund, as the case may be.

(b) If FIRST PARTY has evidence at any time that any amount outstanding in the AIF sub-

project operating account maintained by THIRD PARTY will not be required to cover

further payments for eligible expenditures, or/and amount deposited in the operating

account maintained by the THIRD PARTY shall remain unutilized or/and unspent,

then the THIRD PARTY shall promptly upon notice from FIRST PARTY, refund

such outstanding or/and unspent amount to FIRST PARTY;

(c) refunds to FIRST PARTY made pursuant to Clauses 7.12 (a) and (b) shall be credited

to the Designated Account maintained by FIRST PARTY for the implementation of

AIF sub-projects.

AIFOM: Annex 12



Clause 8

SUB-PROJECT ASSETS AND SERVICES

8.1 Materials, goods, assets and services purchased under this Performance Contract shall be used

exclusively for the purpose of implementation of sub-project;

8.2 All books, journals and printed materials procured under the sub-project must be registered in

line with the coding system of the institution’s library for overall management purposes;

8.3 All materials and equipment, instruments, devices, machines purchased under this Performance

Contract shall become the property of SECOND PARTY and shall be registered in its

inventory as provided in the relevant rules of the institution;

8.4 Any intellectual property produced in the course of research or experimentation conducted in the

course of implementation of an approved sub-project, whether these be products, techniques,

copyright or services, will belong to the institution that sponsored and hosted the respective sub-

project proposal. The SECOND PARTY may patent the property under the Patents, Copyright

and Protection of Intellectual Property Act of the country.

Clause 9

PENALTIES

9.1 In cases where disbursed AIF grants, or goods procured under the AIF grants for a sub-project

are misappropriated by the SECOND PARTY and THIRD PARTY and/or if the SECOND

PARTY and THIRD PARTY transfer amounts deposited in the AIF operating account

maintained by them to a separate bank account, and/or withdraw fund from the AIF operating

account and spend such fund for purposes not included in AIF sub-project proposal, then the

SECOND PARTY and THIRD PARTY shall refund the entire such withdrawn/transferred

fund to the designated account maintained by the FIRST PARTY without fail;

9.2 If the SECOND PARTY and THIRD PARTY do not comply with the provision mentioned

above, then the FIRST PARTY shall take recourse to the relevant law of the country to recover

the misappropriated and/or transferred AIF fund.

Clause 10

SUSPENSION AND TERMINATION

10.1 This Performance Contract may be suspended or terminated prior to its stipulated expiry

date in the following cases:

(a) THIRD PARTY fails to comply fully with the provisions and regulations governing AIF

sub-project implementation or responsibilities assigned under this Performance Contract.

FIRST PARTY, based on the level of violation by THIRD PARTY, shall give a written

decision on suspension or termination of this Contract before completion;

(b) If delay in the AIF sub-project implementation by THIRD PARTY due to unforeseen

factors such as natural disaster, earthquakes, fires, flood, cyclone or any unexpected

situations beyond human capacity, and these situations are certified to be the direct reasons

for the delay or obstacle to the implementation of the sub-project and THIRD PARTY has

AIFOM: Annex 12



tried alternatives to overcome these situations, the provisions and conditions regulated in

this Clause may not be applied provided that SECOND PARTY should inform FIRST

PARTY in writing, within seven days after the occurrence of such events, of the reasons

and the applied alternatives, and should inform FIRST PARTY as soon as possible after

the situation has returned to normal.

Clause 11

SETTLEMENT OF DISPUTES

11.1 Decision of UGC shall be final and binding upon the SECOND PARTY and THIRD PARTY

for any dispute that may arise among the THREE PARTIES concerning the provisions of

this Performance Contract or the Operations Manual for AIF (third edition) during the

implementation of sub-project;

Clause 12

OTHERS

12.1 The terms and conditions of this Performance Contract may be reviewed at the request of

either PARTY prior to the start of implementation of the AIF sub-project. Any modifications of

the contents of this Performance Contract must be agreed upon by all PARTIES and in

writing;

12.2 Any regulations relating to the sub-project implementation not covered by this Performance

Contract shall be followed by the PARTIES in accordance with the existing rules and

regulations in Bangladesh;

12.3 This Performance Contract will come into effect and will be considered legal and binding on

all parties on the date of signing by the THREE PARTIES;

Attached to this Performance Contract are the approved sub-project proposal with its

Annexes referred to in Clause 1 paragraph 1.1 (b) of this Contract and constitute an integral

part of this Contract;

IN WITNESS WHEREOF the duly authorized representatives of the PARTIES hereby

commit their signatures below on the day and year indicated in the preamble to this

Performance Contract.

AIFOM: Annex 12



Name, signature and seal of the FIRST PARTY

Name, signature and seal of the authorized representative

of the SECOND PARTY

Name, signature and seal

of the Sub-Project Manager [THIRD PARTY]

Witnesses:

1. _______________________

2. _______________________

3. _______________________

4. _______________________

AIFOM: Annex 12



ANNEX 1

Approved AIF Sub-project Proposal

( ............................................... Title of CP ................................................... )

AIFOM: Annex 13

244 AIFOM: Anti-corruption Guidelines

GUIDELINES On Preventing and Combating Fraud and Corruption in Projects

Financed by IBRD Loans and IDA Credits and Grants

Dated October 15, 2006

Purpose and General Principles

1. These Guidelines are designed to prevent and combat fraud and corruption that may occur in connection

with the use of proceeds of financing from the International Bank for Reconstruction and Development

(IBRD) or the International Development Association (IDA) during the preparation and/or

implementation of IBRD/IDA-financed investment projects. They set out the general principles,

requirements and sanctions applicable to persons and entities which receive, are responsible for the

deposit or transfer of, or take or influence decisions regarding the use of, such proceeds.

2. All persons and entities referred to in paragraph 1 above must observe the highest standard of ethics.

Specifically, all such persons and entities must take all appropriate measures to prevent and combat fraud

and corruption, and refrain from engaging in, fraud and corruption in connection with the use of the

proceeds of IBRD or IDA financing.

Legal Considerations

3. The Loan Agreement1 providing for a Loan

2 governs the legal relationships between the Borrower

3 and

the Bank4 with respect to the particular project for which the Loan is made. The responsibility for the

implementation of the project5 under the Loan Agreement, including the use of Loan proceeds, rests with

the Borrower. The Bank, for its part, has a fiduciary duty under its Articles of Agreement to “make

arrangements to ensure that the proceeds of any loan are used only for the purposes for which the loan

was granted, with due attention to considerations of economy and efficiency and without regard to

political or other non-economic influences or considerations.”6 These Guidelines constitute an important

element of those arrangements and are made applicable to the preparation and implementation of the

project as provided in the Loan Agreement.

Scope of Application

4. The following provisions of these Guidelines cover fraud and corruption that may occur in connection

with the use of Loan proceeds during the preparation and implementation of a project financed, in whole

1 References in these Guidelines to “Loan Agreement” include any Guarantee Agreement providing for a guarantee

by the Member Country of an IBRD Loan, Financing Agreement providing for an IDA Credit or IDA Grant,

agreement providing for a project preparation advance, or Institutional Development Fund (IDF) Grant, Trust Fund

Grant Agreement providing for a recipient-executed trust fund Grant in cases where these Guidelines are made

applicable to such agreement, and the Project Agreement with a Project Implementing Entity related to an IBRD

loan or IDA credit or grant. 2 References to “Loans” include IBRD loans as well as IDA credits and grants, project preparation advances, IDF

grants and recipient-executed trust fund grants for projects to which these Guidelines are made applicable under the

agreement providing for such grant, but excludes development policy lending, unless the Bank agrees with the

Borrower on specified purposes for which loan proceeds may be used. 3 References in these Guidelines to the “Borrower” include the recipient of a grant. In some cases, an IBRD Loan

may be made to an entity other than the Member Country. In such cases, references in these Guidelines to

“Borrower” include the Member Country as Guarantor of the Loan, unless the context requires otherwise. In some

cases, the project, or a part of the project, is carried out by a Project Implementing Entity with which the Bank has

entered into a Project Agreement. In such cases, references in these Guidelines to the “Borrower” include the

Project Implementing Entity, as defined in the Loan Agreement.

4 References in these Guidelines to the “Bank” include both IBRD and IDA.

5 References in these Guidelines to the “project” means the Project as defined in the Loan Agreement. 6 IBRD’s Articles of Agreement, Article III, Section 5(b); IDA’s Articles of Agreement, Article V, Section 1(g).

AIFOM: Annex 13


or in part, by the Bank. These Guidelines cover fraud and corruption in the direct diversion of Loan

proceeds for ineligible expenditures, as well as fraud and corruption engaged in for the purpose of

influencing any decision as to the use of Loan proceeds. All such fraud and corruption is deemed, for

purposes of these Guidelines, to occur “in connection with the use of Loan proceeds”.

5. These Guidelines apply to the Borrower and other all persons or entities which either receive Loan

proceeds for their own use (e.g., “end users”), persons or entities such as fiscal agents which are

responsible for the deposit or transfer of Loan proceeds (whether or not they are beneficiaries of such

proceeds), and persons or entities which take or influence decisions regarding the use of Loan proceeds.

All such persons and entities are referred to in these Guidelines as “recipients of Loan proceeds”, whether

or not they are in physical possession of such proceeds.7

6. The Bank’s specific policy requirements on fraud and corruption in connection with the procurement or

execution of contracts for goods, works or services financed out of the proceeds of a Loan from the Bank,

are covered in the Guidelines: Procurement under IBRD Loans and IDA Credits, May 2004, as revised

October 2006 (“Procurement Guidelines”) and the Guidelines: the Selection and Employment of

Consultants by World Bank Borrowers, May 2004, as revised October 2006 (“Consultant Guidelines”).

For ease of reference, the relevant sections of the Procurement Guidelines and Consultant Guidelines are

set forth in the Annex to these Guidelines.

Definitions of Practices Constituting Fraud and Corruption

7. These Guidelines address the following defined practices when engaged in by recipients of Loan

proceeds in connection with the use of such proceeds:8

A “corrupt practice” is the offering, giving, receiving or soliciting, directly or indirectly, of anything of

value to influence improperly the actions of another party.9

A “fraudulent practice” is any act or omission, including a misrepresentation, that knowingly or

recklessly10

misleads, or attempts to mislead, a party to obtain a financial or other benefit or to avoid an

obligation.

A “collusive practice” is an arrangement between two or more parties designed to achieve an improper

purpose, including to influence improperly the actions of another party.

A “coercive practice” is impairing or harming, or threatening to impair or harm, directly or indirectly,

any party or the property of the party to influence improperly the actions of a party.

An “obstructive practice” is (i) deliberately destroying, falsifying, altering or concealing of evidence

material to the investigation or making false statements to investigators in order to materially impede a

Bank investigation into allegations of a corrupt, fraudulent, coercive or collusive practice; and/or

threatening, harassing or intimidating any party to prevent it from disclosing its knowledge of matters

relevant to the investigation or from pursuing the investigation, or (ii) acts intended to materially impede

the exercise of the Bank’s contractual rights of audit or access to information.11

8. The above practices, as so defined, are sometimes referred to collectively in these Guidelines as “fraud

and corruption”.

7 Certain persons or entities may fall under more than one category identified in paragraph 5. A financial

intermediary, for example, may receive payment for its services, will transfer funds to end users and will make or

influence decisions regarding the use of loan proceeds.

8 Unless otherwise specified in the Loan Agreement, whenever these terms are used in the Loan Agreement,

including in the applicable General Conditions, they have the meanings set out in paragraph 7 of these Guidelines.

9 Typical examples of corrupt practice include bribery and “kickbacks”.

10 To act “knowingly or recklessly”, the fraudulent actor must either know that the information or impression being

conveyed is false, or be recklessly indifferent as to whether it is true or false. Mere inaccuracy in such information

or impression, committed through simple negligence, is not enough to constitute fraudulent practice.

11 Such rights include those provided for, inter alia, in paragraph 9(d) below.

AIFOM: Annex 13


Borrower Actions to Prevent and Combat Fraud and Corruption in connection with the Use of Loan Proceeds

9. In furtherance of the above-stated purpose and general principles, the Borrower will:

(a) take all appropriate measures to prevent corrupt, fraudulent, collusive, coercive and obstructive

practices in connection with the use of Loan proceeds, including (but not limited to) (i) adopting

appropriate fiduciary and administrative practices and institutional arrangements to ensure that the

proceeds of the Loan are used only for the purposes for which the Loan was granted, and (ii)

ensuring that all of its representatives12

involved with the project, and all recipients of Loan

proceeds with which it enters into an agreement related to the Project, receive a copy of these

Guidelines and are made aware of its contents;

(b) immediately report to the Bank any allegations of fraud and corruption in connection with the use of

Loan proceeds that come to its attention;

(c) if the Bank determines that any person or entity referred to in (a) above has engaged in corrupt,

fraudulent, collusive, coercive or obstructive practices in connection with the use of Loan proceeds,

take timely and appropriate action, satisfactory to the Bank, to address such practices when they

occur;

(d) include such provisions in its agreements with each recipient of Loan proceeds as the Bank may

require to give full effect to these Guidelines, including (but not limited to) provisions (i) requiring

such recipient to abide by paragraph 10 of these Guidelines, (ii) requiring such recipient to permit

the Bank to inspect all of their accounts and records and other documents relating to the project

required to be maintained pursuant to the Loan Agreement and to have them audited by, or on behalf

of, the Bank, (iii) providing for the early termination or suspension by the Borrower of the

agreement if such recipient is declared ineligible by the Bank under paragraph 11 below; and (iv)

requiring restitution by such recipient of any amount of the loan with respect to which fraud and

corruption has occurred;

(e) cooperate fully with representatives of the Bank in any investigation into allegations of fraud and

corruption in connection with the use of loan proceeds; and

(f) in the event that the Bank declares any recipient of Loan proceeds ineligible as described in

paragraph 11 below, take all necessary and appropriate action to give full effect to such declaration

by, among other things, (i) exercising the Borrower’s right to terminate early or suspend the

agreement between the Borrower and such recipient and/or (ii) seeking restitution.

Other Recipients of Loan Proceeds

10. In furtherance of the above-stated purpose and general principles, each recipient of Loan proceeds which

enters into an agreement with the Borrower (or with another recipient of Loan proceeds) relating to the

Project will:

(a) carry out its project-related activities in accordance with the above-stated general principles and the

provisions of its agreement with the Borrower referred to in paragraph 9 (d) above; and include similar

provisions in any agreements related to the Project into which it may enter with other recipients of

Loan proceeds;

(b) immediately report to the Bank any allegations of fraud and corruption in connection with the use of

loan proceeds that come to its attention;

(c) cooperate fully with representatives of the Bank in any investigation into allegations of fraud and

corruption in connection with the use of loan proceeds;

(d) take all appropriate measures to prevent corrupt, fraudulent, collusive, coercive and obstructive practices

by its representatives (if any) in connection with the use of loan proceeds, including (but not limited

to): (i) adopting appropriate fiduciary and administrative practices and institutional arrangements to

ensure that the proceeds of the loan are used only for the purposes for which the loan was granted, and

12

References in these Guidelines to “representatives” of an entity also include its officials, officers, employees and agents.

AIFOM: Annex 13


(ii) ensuring that all its representatives receive a copy of these Guidelines and are made aware of its

contents;

(e) in the event that any representative of such recipient is declared ineligible as described in paragraph 11

below, take all necessary and appropriate action to give full effect to such declaration by, among other

things, either removing such representative from all duties and responsibilities in connection with the

project or, when requested by the Bank or otherwise appropriate, terminating its contractual

relationship with such representative; and

(f) in the event that it has entered into a project-related agreement with another person or entity which is

declared ineligible as described in paragraph 11 below, take all necessary and appropriate action to give

full effect to such declaration by, among other things, (i) exercising its right to terminate early or

suspend such agreement and/or (ii) seeking restitution.

Sanctions and Related Actions by the Bank in Cases of Fraud and Corruption

11. In furtherance of the above-stated purpose and general principles, the Bank will have the right to take the

following actions:

(a) sanction any recipient of Loan proceeds13

other than the Member Country14

(and/or, if such recipient

is an entity rather than a natural person, any of its representatives); sanctions include (but are not

limited to) declaring such person or entity ineligible to receive the proceeds of any loan made by the

Bank or otherwise to participate further in the preparation or implementation of the project or any

other project financed, in whole or in part, by the Bank, if at any time the Bank determines15

that

such person or entity has engaged in corrupt, fraudulent, collusive, coercive or obstructive practices

in connection with the use of loan proceeds;16

(b) if the Bank determines that any such recipient of Loan proceeds is also a potential provider of goods,

works or services, declare it ineligible under paragraph 1.8 (d) of the Procurement Guidelines or

paragraph 1.11 (e) of the Consultant Guidelines (as appropriate); and

(c) declare a firm, consultant or individual ineligible under paragraph 11 (a) above if such firm,

consultant or individual has been declared ineligible under paragraph 1.14 of the Procurement

Guidelines or under paragraph 1.22 of the Consultant Guidelines.

Miscellaneous

12. The provisions of these Guidelines do not limit any other rights, remedies17

or obligations of the Bank or

the Borrower under the Loan Agreement or any other document to which the Bank and the Borrower are

both parties.

13

As in the case for bidders in the procurement context, the Bank may also sanction persons and entities which

engage in fraud or corruption in the course of applying to become a recipient of Loan proceeds (e.g., a bank which

provides false documentation so as to qualify as a financial intermediary in a Bank-financed project) irrespective of

whether they are successful. 14

Member Country includes officials and employees of the national government or of any of its political or

administrative subdivisions, and government owned enterprises and agencies that are not eligible to bid under

paragraph 1.8(b) of the Procurement Guidelines or participate under paragraph 1.11(b) of the Consultant

Guidelines. 15

The Bank has established a Sanctions Board, and related procedures, for the purpose of making such

determinations. The procedures of the Sanctions Board sets forth the full set of sanctions available to the Bank. 16

he sanction may, without limitation, also include restitution of any amount of the loan with respect to which

sanctionable conduct has occurred. The Bank may publish the identity of any entity declared ineligible under

paragraph 11. 17

The Loan Agreement provides the Bank with certain rights and remedies which it may exercise with respect to the

Loan in the event of fraud and corruption in connection with the use of Loan proceeds, in the circumstances

described therein.

AIFOM: Annex 14

AIFOM 3rd Ed: Financial Management Questionnaire (FMQ) 248



Financial Management Questionnaire (FMQ)

University ___________________________________________________

Topic Yes No N/A Review* Remarks/

Comments**

1. Staffing 1.1 What is the organizational structure of the

accounting/ Finance department? Attach

an organization chart

1.2 Identify the accounts staff, including job

title, responsibilities, educational

background and professional experience.

Attach job description and CVs of key

accounting staff

2. Funds Flow 2.1 Describe the organizational arrangement for

handing the fund flow of the entity. Attach

in a flow chart

3. Accounting Policies and Procedures 3.1 Does the entity have an accounting system

that allows for the proper recording of

project financial transactions, including the

allocation of expenditures in accordance

with the respective components,

disbursement categories, and sources of

funds? Will the project use the entity

accounting system?

3.2 Are General Ledger and subsidiary Ledgers

always balanced?

3.3 Is the chart of accounts of the entity

adequate to properly account for and report

on project activities? Attach a summary of

the chart

4. Segregation of Duties 4.1 Are the following functional responsibilities

performed by different units or persons:

(a) authorization to execute a transaction;

(b) recording of the transaction; and

(c) custody of assets involved in the

transaction?

4.2 Are the functions of ordering, receiving,

accounting for, and paying for goods and

services appropriately segregated?

4.3 Are bank reconciliations prepared by

someone other than those who make or

approve payments?

5. Budgeting System

AIFOM: Annex 14



Comments**

5.1 Who is responsible for preparation and

approval of budgets? Are procedures in

place to plan entity activities with realistic

approach, collect information from the

units in charge of the different components,

and prepare the budgets?

5.2 Are budgets prepared for all significant

activities in sufficient detail to provide a

meaningful tool with which to monitor

subsequent performance

5.3 Are actual expenditures compared to the

budget with reasonable frequency, and

explanations required for significant

variations from the budget?

6. Payments

6.1 Do invoice processing procedures provide

for: (i)Copies of purchase orders and

receiving reports to be obtained directly

from issuing departments? (ii)Comparison

of invoice quantities, prices, and terms,

with those indicated on the purchase order

and with records of goods actually

received? (iii)Comparison of invoice

quantities with those indicated on the

receiving reports? (iv) Checking the

accuracy of calculations?

6.2 Are all invoices stamped PAID, dated,

reviewed and approved, and clearly marked

for account code assignment?

7. Policies And Procedures

7.1 What is the basis of accounting (e.g., cash,

accrual)?

7.2 Are there written policies and procedures

covering all routine financial management

and related administrative activities?

8. Cash and Bank

8.1 Has the entity a defined delegation of

financial authority? Attach the Delegation

of Power approved by the competent

authority.

8.2 Does the project maintain an adequate, up-

to-date cash book, recording receipts and

payments?

8.3 Does the management monitor the cash book

balance and other cash management

aspects periodically?

8.4 Do controls exist for the collection, timely

deposit, and recording of receipts at each

collection location?

8.5 Are bank and cash reconciled on a monthly

basis?

AIFOM: Annex 14



Comments**

8.6 Have the entity prepare a summary of the

bank reconciliations for all cash accounts

with significant balances and all cash

accounts with a high volume of

transactions and verify the clerical

accuracy of the summary?

9. Internal Audit

9.1 Is there an internal audit department in the

entity? To whom does the internal auditor

report?

9.2 Are actions taken on the internal audit

findings? Attach the latest internal audit

report with actions taken.

10. External Audit

10.1 Is the entity financial statement audited

regularly by an independent auditor? Who

is the auditor?

10.2 Are there any delays in audit of the entity?

When is the latest audit reports issued and

for which FY? Attach the report.

10.3 Were there any major accountability issues

brought out in the audit report of the past

three years? If yes, what actions were

taken?

11. Reporting and Monitoring

11.1 Are financial statements prepared for the

entity? In accordance with which

accounting standards?

11.2 What is the frequency of preparation of

interim financial statements? Are the

reports prepared in a timely fashion so as to

useful to management for decision

making?

11.3 Does the entity have established financial

management reporting responsibilities that

specify what reports are to be prepared,

what they are to contain, and how they are

to be used?

12 .Information Systems

12.1 Is the financial management system

computerized?

12.2 If yes, can the system produce the

necessary project financial reports? If no,

is there a plan to have a computerized

system in the near future and is there any

budgetary allocation to procure the system?

8.3 Is the staff adequately trained to maintain

the system? If not, is there an approved

plan to provide appropriate training to the

staff

* This column will be filled in by the World Bank fiduciary staff

** This column will be filled in by the World Bank fiduciary staff

AIFOM: Annex 15

251 | P a g e

AIFOM 3rd Ed: Financial Management Guidelines

FINANCIAL MANAGEMENT GUIDELINES FOR AIF SUB-PROJECTS

Table of Contents Contents Page no Introduction Academic Innovation Fund (AIF) Institutional Arrangements Sub-Project Administration Sub-Project Management Sub-Projects Financial Management Financing of the Sub-Project Budget Re-appropriation of Approved Budget Operating Account Fund Flow to Operating Account Matching Fund From Private University Request for Advance Transfer of AIF to Operating Account Payment from Operating Account Cash Basis Accounting Books of Accounts & Supporting Documents Bank Reconciliation Petty Cash CD VAT Transaction Month End Procedures Year End Procedures Unspent Balance of AIF Documents Retention by SPMO Financial Reporting Consolidated Financial Report Internal Control Categories of Control Audit Internal Audit External Audit Fixed Assets Physical Verification of Fixed Assets

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List of Annexes

FM Annexes Formats Page no

FM Annex 1 Cash Book FM Annex 2 Ledger FM Annex 3 Petty Cash Book FM Annex 4 Cheque Book Register FM Annex 5 Income Tax Register FM Annex 6 VAT Register FM Annex 7 Fund Receipts & Documentation Register FM Annex 8 Suppliers Register FM Annex 9 Fixed Asset Register FM Annex 10 Payroll Register FM Annex 11 Consultants Remuneration Register FM Annex 12 Bank Account Reconciliation Statement FM Annex 13 Consolidated Financial Statement by UAIFS/AIFMU FM Annex 14 Quarterly Financial Management Report

,, Form 1 A ,, Form 1 B ,, Form 1 C ,, Form 1 D ,, Form 2 A ,, Form 2 B (for Public University) ,, Form 2 B (for Private University) ,, Form 2 C (for Public University) ,, Form 2 C (for Private University) ,, Form 3 A (for Public University) ,, Form 3 A (for Private University ,, Form 3 B

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Introduction

The universities which have received AIF awards will implement the AIF sub-projects with

due diligence and efficiency and in accordance with sound financial standards and practices

satisfactory to the GoB and IDA, and take cognizance of the provisions of the Anti-

Corruption Guidelines 1 applicable to recipients of IDA financing. In addition the

Governance and Accountability Action Plan (GAAP) of the project has to be followed.2 The

universities will further maintain a financial system and prepare financial statements in

accordance with consistently applied accounting standards acceptable to GoB and IDA, both

in a manner adequate to reflect the operations, resources and expenditures related to AIF sub-

projects. At the request of IDA or UGC, the university will have such financial statements

audited by independent auditors, in accordance with consistently applied auditing standards

acceptable to the IDA, and promptly furnish the statements so audited to the UGC and the

IDA.

Satisfactory financial management capability of higher education institutions (HEIs) is one of

the important preconditions to have access to Academic Innovation Fund (AIF). A capable

and reliable Financial Management System is also crucial for proper implementation of the

subprojects. Financial Management is an important aspect of project management and it

impacts all activities that an executing agency undertakes in transforming a project from

plans to physical reality, as well as the subsequent operation of the completed project.

Moreover, sound financial management helps project in performing more efficiently by

reducing delays or bottlenecks, speeding disbursements, facilitates achieving stated

milestones and performance indicators on time and assists project monitoring and evaluation.

This Financial Management Guidelines for AIF Subprojects (FMGAIFS) will be the basic

handbook, in addition to the AIF Operations Manual (AIFOM) to be followed by the

Subproject Managers (SMPs) of approved subprojects, concerned entities, UAIFSs/AIFMUs

for carrying out the financial responsibilities of the subprojects.


Academic Innovation Fund (AIF) is the major component of Higher Education Quality

Enhancement Project (HEQEP). The objectives of this component are to: (i) establish

enabling condition to enhance the quality and relevance of teaching, learning and research

and (ii) introduce an efficient instrument for the allocation of public funds with an emphasis

on innovation and accountability. AIF will be used to improve the quality of academic

activities and outcomes, strengthen institutional capacity, support cutting edge research and

PhD programs, promote university-industry research collaboration, commercialization of

research outcomes and processes, and to facilitate universities’ linkages with national

development efforts. The total amount of the AIF will be made available as a non-

reimbursable grant for all eligible public and private universities on a competitive basis.

Institutional Arrangements

The University Grants Commission of Bangladesh (UGC) is the implementing agency of

Higher Education Quality Enhancement Project. The inter-ministerial Project Steering

Committee (PSC) of the project will provide policy directions, oversee overall project

implementations, and carry out quarterly annual reviews of project activities. The Project

Implementation Committee (PIC), chaired by the Chairman, UGC will provide direct

1 The World Bank’s Anti-Corruption Guidelines and GAAP are provided in the AIFOM.

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guidance to the Project Director (PD) and his/her team of professionals and specialists

engaged in implementation of different components and activities of the project and resolve

implementation problems. The PIC sits to monitor the project activities on a monthly basis.

Sub-Projects Administration

Implementation of AIF sub-projects will be the responsibility of the public and private

universities’ Departments/Faculties/Institutes/Centers and the university itself which would

receive AIF grants following a rigorous subproject evaluation and selection process. The AIF

receiving HEIs will establish an University Academic Innovation Fund Secretariat (UAIFS)

in the public universities and Academic Innovation Fund Management Unit (AIFMU) with

required manpower and logistics to provide technical assistance to the subproject

implementing entities and subproject managers (SPMs) to carry out the tasks of financial

management, procurement, and reporting etc. of the sub-project. Establishment of

UAIFS/AIFMU is a precondition for AIF contract to become effective. Additionally, the

officials and specialists posted in HEQEPU shall extend all kinds of support to the subproject

implementing entities.

UGCAIFS in the HEQEPU will function as the central management office for promotion,

mobilization, training, implementation and day to day monitoring of all AIF subprojects

and act as the trouble shooter when needed. The highest authority to take decision on all

matters related to AIF implementation is the UGC Board for AIF (UGCBAIF).

Sub-Project Management

The participating HEIs will establish individual Sub-Project Management Office (SPMO)

headed by Sub-Project Manager (SPM) for every sub-project selected for implementation.

The SPM would be the same person proposed in the approved sub-project proposal and will

be assisted by a Deputy SPM (DSPM). SPM will recruit support staff, i.e., Secretary/Office

Manager, Accountant/Finance Officer, Data Entry Technician, and support staff, i.e.,

Janitor/MLSS etc., provisionally in line with approved sub-project proposal to work in

SPMO. Academic staff of the entity may also be included in the Subproject Management

Team (SPMT) as associate SPMs in Window 1 and 3 subprojects and as researchers in

Window 2 subprojects as proposed in the approved sub-project proposal. The AIF

Operations Manual (AIFOM) will be the basic handbook for use by the UGC, project

implementation unit, universities and SPMs respectively for accessing AIF funds,

subproject proposal processing and selection procedure to be followed, and carrying out the

subprojects’ activities at the institutional level. The FMGAIFS and the AIFOM, therefore,

will be the two main documents that would be indispensable for the management of AIF

subprojects physical and financial activities.

Sub-Project Financial Management

The Sub-Project Manager (SPM) will be primarily responsible for all financial management

activities of his sub-project and will be accountable to UGC/Project for all financial matters

concerning subproject implementation. The accountant/finance staff recruited for the sub-

project will help SPM in maintaining the financial management system of the subproject.

S/he will identify all financial transactions and enter them immediately into the books of

accounts and maintain all documents, registers, records and correspondences.

The main duties and responsibilities of the Accountant/Finance Officer will be to:

Checking invoices for goods, works and services and processing for payment;,

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Maintain Bank Book,, Payroll Registers;

Maintain all ledgers, Registers etc.;

Maintain vouchers/bills/receipts/invoices/contracts/work orders and all other

important financial transaction and procurement documents in a systematic order;

Collect bank statement and reconcile bank balance;

Prepare sub-project’s Quarterly Financial Management Reports (QFMRs);

Prepare reply to the audit observations made by government’s auditors from Foreign

Aided Project Audit Directorate (FAPAD);

Prepare quarterly and annual budget expenditure plans for the sub-project;

Any other financial management related tasks assigned to him/her.

The UAIFS/AIFMU will provide technical assistance to SPM on financial management and

procurement activities of the sub-projects and for preparation and submission of FMR to

HEQEPU. Additionally UGCAIFS officials and specialists will also provide technical

assistance when needed by the subprojects.

Financing of the Sub-Project

The HEQEPU Finance Unit will transfer AIF grants directly to awarded subproject’s

Operating Accounts (OAs) to carry out its implementation activities according to approved

financing and procurement plans included in the approved subproject proposal (CP).

The selected sub-projects in public universities will receive the entire amount of estimated

cost mentioned in the signed Performance Contract as grant from HEQEP, while the private

universities will get 80% of the estimated total cost of the sub-project. The remaining 20% of

estimated cost will be provided by the private universities own resources as their contribution

to the sub-project.

Operating Account (OA)

The Sub-Project Manager (SPM) will open a dedicated operating account (current or STD) in

a convenient commercial bank in the name of the sub-project to be maintained in BDT

currency. The account will be used solely for the purpose of financing sub-project

activities. The sub-project manager will operate the account as single signatory and will act

as the authorized person for utilizing fund. He will be the Drawing and Disbursement Officer

(DDO) of the sub-project.

Immediately after opening of operating account in a Bank, the SPM shall forward the

following information to Project Director, HEQEP to facilitate transfer of AIF funds to

subproject:

1. Name of Account

2. Account Number

3. Name of Bank

4. Branch

5. Full Postal and e-mail Address

Fund Flow to Subproject

The sub-project management will prepare subproject’s financing and procurement plans

according to the work/activities plan and the detailed budget included in the approved

complete subproject proposal (CP) and broadly follow the plans covering the entire duration

of the subproject.

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Soon after signing of the Performance Contract, the HEQEP Finance Unit will disburse the

first tranche of the funds covering subproject’s first two quarters as mentioned in its financing

plan following a request for advance from the SPM. The sub-project manager will submit

“Request for Advance” supported by next two quarters cash forecast statement to the Project

Director, HEQEP using prescribed format.

The Finance Unit of HEQEP will transfer the fund from the project’s Designated Account

(DA) to the operating account (OA) of respective sub-project through bank transfer

(TT/MT/DD etc.) and provide information to respective VCs, SPMs, UAIFS, AIFMU,

UGCAIFS etc. about the transfer of fund. The Sub-Project Manager will send the

acknowledgment of the receipt of fund promptly upon its availability in operating account.

Disbursement of subsequent tranches of funds would depend on the submission of Quarterly

Financial Management Report to HEQEPU Finance Unit documenting amounts spent on

activities according to work/activities plan and supported by a Statement of Expenditures

(SOEs) submitted for documentation of eligible expenditures and upon receiving evidence of

satisfactory utilization (above 80%) of the fund released up to the last tranche according to

milestone.

Disbursement of funds to subprojects will not depend upon government’s fund allocation to

HEQEP through its Annual Development Program (ADP) and not coincide with the Fiscal

Year cycle, i.e., 31st July- 30

th June start and termination dates. Disbursement will be made

by following the subproject’s approved financing plan and may begin on any date in a

calendar year after the Performance Contract becomes effective.

Matching Funds from Private Universities

Private universities will be required to provide counterpart funding amounting to 20% of the

total cost of the awarded sub-project. The remaining 80% of the sub-project cost will be

provided from the AIF resource according to achievement of milestone. Therefore, the

private universities will be required to deposit their own contribution (20%) to the operating

account before sending first request for fund to HEQEPU. The SPM will send first request

for fund release to the Project Director, HEQEP, along with evidence of such deposit to the

operating account in the form of original bank statement, advice or in any other form

acceptable to the project.

Payments from Operating Account:

The SPM should strictly follow the government’s financial rules and regulations in making

expenditures and payments for procurement of goods, works and services and seek the

approval of the university’s head of procuring entity (HOPE) for undertaking procurement.

However the procurement plan of the subproject must be approved by the World Bank prior

to initiation of any procurement, be it direct shopping, NCB and ICB. Procurement done

without World Bank’s prior approval of the procurement plan shall be deemed ineligible

expenditure and the World Bank will not reimburse the amount. Financial and procurement

rules and Guidelines issued by GoB and World Bank will, therefore, be equally applicable for

making expenditure and payment. The SPM would make payment for only those

expenditures which have followed the due procedure and are included in the budget. The

AIFOM provides the examples of indicative eligible expenditures to be made by the

subprojects implemented under the three windows.

Before making any payment, invoices should be checked properly to ensure that:

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1. Specifications and quality of supplied goods, services, or works are as mentioned in

the tender document and its schedule and are according to purchase order/contract;

2. Items and quantities of supplied goods, services, or works supplied are according to

purchase order/contract;

3. Unit price of the procured items are according to purchase order/contract;

4. Delivery of the procured items are within stipulated time/deadline;

5. Procured items have been duly received, checked and entered in stock register;

6. Invoices are free from any arithmetical errors and inconsistencies;

7. The goods, services and works supplied/delivered are chronological from the dates of

invitation of tender, contract and purchase order.

8. The tender documents, tender evaluation report and payment proposal have been

authorized by competent authority and approved by the HOPE and World Bank where

applicable.

9. Any other relevant issues.

In addition to above, and before making payments out of OA , the SPM must ensure that:

That the activity undertaken was included in the Activity/Work, Financing and

Procurement Plans and budget of the subproject;

Duly certified by competent authority as properly executed;

Expenditure are properly documented, verified and approved for payments;

Outcome of the activity/work done can be physically verified, ownership established

and properly safeguarded.

Cash Basis of Accounting

The sub-project will maintain accounts on cash basis in line with the GoB’s accounting

system. Therefore, efforts shall be made to process payments as early as possible so that

expenditures are recorded and paid for in the period in which they are incurred.

Receipts will be recorded when cash is received and payments will be recorded when

disbursements are made, not when liability arises.

Subproject shall employ consistent methods in maintaining records and in preparing

financial statements.

Books of Accounts and Supporting Documents

The SPMO shall maintain books of accounts adequately to record following transactions

relating to the sub-project implementation:

All sums of money received and expended by the subproject and the purposes for which

the receipts and expenditures take place; and

Assets procured by the subproject.

Therefore, the minimum principal books of accounts to be maintained at SPMO for each sub-

project would be:

Cash Book

Petty Cash Book

General Ledger

The books of accounts shall capture all financial data required to generate reports on sub

projects.

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In addition to the above, some registers may also be used to record other important

information, which are deemed necessary for the sub-project. Following are the examples of

some of essential registers to be used:

Check Book Register

Fixed Assets Register

Stock Register

Income Tax Register

VAT Register

Payroll Register

Consultant’s Remuneration Register

Suppliers Registers

Advance Payment Register

Fund Receipts & Documentation Register

Bank Account Reconciliation Register

Bank Reconciliation

Reconciliation of bank account should be carried out regularly on a monthly basis. Bank

Statement of operating account shall be obtained from bank at the beginning of the following

month and the following tasks shall be performed:

1. Entries in the bank statements shall be compared with the entries made in the sub-

project’s Bank Transaction Register (Bank Book),

2. A list of all debits (Bank charges etc.) and credits (interest credited etc.) appearing in

the bank statements but not in the Project’s Bank transaction register (Bank book)

shall be listed. These are usually related to Bank charges, Bank interest and

dishonored checks etc. Appropriate vouchers shall be prepared for these transactions

and after due authorization shall be entered in the Bank book.

3. A list of all the receipts and payments recorded in the Bank book but not appearing in

the Bank statements shall also be prepared for subsequent follow up. These will

usually relate to checks not yet presented by payees, or deposits not yet credited etc.

Bank reconciliation statement shall be prepared taking into account the items listed above and

the balance shown as per the bank statement shall be agreed with the balance shown in the

sub-project’s Bank book.

Petty Cash

Small payments, which are usually required to be paid in cash for day-to-day expenses of the

sub-project, shall be paid out of Petty Cash float maintained under the imprest system. The

limit of petty cash imprest required by the sub-project manager will be as per “Delegation of

Financial Powers for Development Projects”. For better cash management, it is necessary to

maintain a regular interval for payment and replenishment of petty cash fund.

CD VAT Transaction

CD VAT transaction of sub-project, if any, will be done centrally from HEQEPU. The SPM

will therefore, send relevant documents to the PD, HEQEP for taking necessary action, when

customs authority would make assessment.

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End of Month Procedures

At the end of the month, the SPM shall prepare a statement showing opening balance,

receipts during the month, payments made over the same period. A statement of expenditure

is necessary to prepare at the end of the month showing both in detail and summarized heads

of expenditure. Monthly progress reports and other financial reports may be prepared using

above expenditure report.

The following tasks are to be completed at the end of each month to ensure all transactions

have been accounted for correctly:

1. Bank reconciliation

2. Petty cash reconciliation

3. General ledger reconciliation

4. Month end ledger balancing

After performing all month end activities, FMR will be required to be prepared following the

format provided in the AIFOM..

End of Year Procedures

The end of year means the completion of four quarters from the beginning of subproject

implementation. The tasks outlined as end of month activity will be repeated at the end of

implementation year. The sub-project manager shall be required to prepare and submit a

financial statement highlighting unspent balance of the subproject at the end of year. The

statement shall include opening balance, receipts during the year, payments made during the

year and closing balance, which will facilitate HEQEPU to update books of accounts and

ascertain the actual amount of sub-project expenditure for the year. Other financial

statements may also be prepared as required by various stakeholders.

Unspent Balance of AIF

During implementation of the sub-project, there may be unspent balance in the operating

account at the closing of year. The amount of such unspent balance can be carried forward

and utilize under the following year’s budget. The SPM should inform Project Director,

HEQEP promptly about the amount of unspent fund at the end of year so that HEQEPU can

update its books of accounts accordingly.

After completion of sub-project, unspent fund may exist at the operating account. In such

situation, the unspent fund should be transferred to the designated account of HEQEP by the

SPM within a month of the completion of sub-project along with a statement on closing of

accounts.

Re-appropriation of Approved Budget

The Sub-Project Manager may be allowed to re-appropriate allocations from one budget head

to another (if any) with the prior approval of the Project Director, HEQEP. In such situation,

sub-project managers shall send the re-appropriation proposal to the Project Director, HEQEP

justifying the necessary changes. However, no expenditure can be made before approval of

such proposal.

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Documents Retention by SPMO

The SPMO shall retain all payment records and other relevant documents in a systematic

order evidencing eligible expenditures and to enable UGC, HEQEP, GoB auditors and

World Bank representatives to examine such records and also for the purpose of

transparency and accountability in handling of fund. The entity will retain such records at

least for one year after receiving the final audited financial statement of the HEQEP by

World Bank or two years after closing of the subproject, whichever is later.

Financial Reporting

The SPM will be required to prepare and submit sub-project’s Financial Management Report

(FMRs) on every quarter in the format provided in this Guidelines (Annex 13) and in the

AIFOM. The Financial Management Report is a set of reports divided into three parts:

Financial report, Documentation of eligible expenditures and Request for advance. The sub

project manager shall prepare and submit the report to Project Director, HEQEP within 21

days after the end of each quarter.

The FMRs of sub-project will be used particularly for (i) Financial monitoring of the sub-

project, (ii) documentation of eligible expenditures against advance (iii) payment of advance

to Operating Account.

The FMR contains following reports (Format shown in Annex-12):

Part-1 : Financial Report

1-A Sub-Projects Sources and Uses of Fund

1-B Uses of Fund by Sub-Project Activities

1-C AIF Activity Report

1-D Bank Reconciliation Statement

Part -2 : Expenditure Documentation Report

2-A Eligible Expenditure Documentation Report

2-B Statement of Expenditure: Subject to Prior Review

2-C Statement of Expenditure: Not Subject to Prior Review

Part -3 : Request for Advance

3-A Sub-Projects Cash Forecast Statement

3-B Request for Advance

The FMRs will be prepared for each sub-project individually. The first FMR will be required

to be submitted at the end of the first quarter of subproject’s start of implementation.

Following documents are required to be furnished with financial monitoring reports:

1. Bank statement of operating account of the sub-project for the reporting period,

2. Copy of approved invoices for payment shown in “Statement of Expenditures

(SOE): Subject to Prior Review” for the purpose of documentation as eligible

expenditure. The SAP3 number on SOE for the contract issued by World Bank should

also be mentioned.

3 Acronym for “Systems, Applications and Products in Data Processing”.

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Consolidated Financial Report by UAIFS/AIFMU

For multiple subprojects in a HEI, the UAIFS/AIFMU will submit a simple consolidated

financial statement incorporating information from all subprojects in a format (Annex 12).

Internal Control

For effective utilization of resources and as custodian of the assets procured by the

subproject, it is essential to ensure that proper and adequate internal controls are in place.

Internal Control is the whole network of systems that is administrative, operational and

financial at each level of activity of the project to provide reasonable assurance that project

objectives will be achieved, with particular reference to:

The effectiveness of operations,

The economical and efficient use of resources,

Compliance with applicable policies, procedures, laws, and regulations,

The safeguarding of assets and interests from losses of all kinds, including those arising

from fraud, irregularity and corruption, and

The reliability of financial transactions and integrity of supporting staff.

The internal control system embraces concepts of effectiveness, value for money,

compliance, fraud and financial controls.

Categories of Control

In order to achieve accountability and transparency at all level, the internal control system

shall include the following elements:

Segregation of duties

Organizational structures

Authorization and approval

Physical safeguards

Management review and monitoring

Accounting and Arithmetical procedures

Personnel arrangement

Supervision

Audit

Foreign Aided Projects Audit Directorate (FAPAD) under the office of the Comptroller and

Auditor General of Bangladesh (C&AGoB) is mandated to carry out financial audit of

development projects. In addition to FAPAD audit, the project will arrange for internal

audit to be carried out by a firm of Chartered Accountants hired for the purpose in

accordance with the terms of reference (TOR) developed for the audit.

The primary objectives of the audit will be:

1. To verify the accuracy and completeness of accounts to secure that all revenue and

receipts collected are brought to account under the proper head, that all expenditures

and disbursement are authorized, vouched, and correctly classified, and that the final

account represents a complete and true statement of the financial transactions it

purports to exhibit.

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2. Review the underlying internal control systems and procedures to identify any

material risks to complete, accurate and timely financial reporting, and

3. Render the audit opinions required under the project legal agreements.

Therefore AIF subprojects will have to undertake two audits every year, which are:

(i) Internal Audit:

This will be operational audit on an annual basis by engaging an independent firm of

Chartered Accountants. This audit will examine the physical, financial and operational

aspects of subproject implementation and provide timely feedback to subproject management

regarding any control, weakness or management improvements required. The scope of the

operational audit would be comprehensive including review of financial transactions, efficacy

of internal control arrangements and evaluation of the project performance against the

subproject objectives.

(ii) External Audit:

The external audit of the subproject will be carried out by the Foreign Aided Projects Audit

Directorate (FAPAD), the designated unit of the C&AG and shall be in accordance with

standards acceptable to IDA. The subproject should respond to the audit observations with

due regard to the objectivity of the raised matter during the course of audit. The audited

financial statements together with the audit report thereon shall be submitted to IDA within

six months from the end of each fiscal year by FAPAD.

The Annual Financial Statement (AFS) and other enclosures of the subproject shall be

prepared by Finance Unit of HEQEPU enabling FAPAD to complete audit and finalize

reports within the timeline.

Fixed Assets

In order to verify existence, ownership and safe custody of the various fixed assets, the sub-

project manager should have a well-designed system to record acquisition and disposal of

all the fixed assets capable of easily identifying assets, its current location and ascertain its

history and cost. Each asset, as soon as acquired, shall be given a unique identification

number, which should be painted, labeled or tagged to the asset. The HEQEPU will supply

non-removable stickers for pasting on all equipment, machines, devices, implements and

furniture procured by the subproject. Fixed Assets shall be grouped/sub-grouped into

different categories (i.e., Office Equipment, Furniture, Electrical Equipment, Scientific

Instruments, Laboratory Equipment, Machines, Tools, Computers and Peripherals, etc.) as

required by the management for easy reference and identification.

Physical Verification of Fixed Assets

Periodical (at least annual, preferably on the balance sheet date) physical inspection of Fixed

Assets shall be carried out and reconciled with fixed asset register. Discrepancies found shall

be investigated into and appropriate action taken as well as remedial measures to be

introduced to prevent recurrence of discrepancies.

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FMG Annex 1

Cash Book

DEBIT (Receipt) CREDIT (Payment)

Date Voucher

No Particulars

Ledger Folio

Taka Taka Date Voucher

No Particulars (With

cheque No.) Ledger Folio

Taka Taka

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FMG Annex 2

LEDGER

Item of Expenditure: …………… Economic Code: ……… Approved budget as per CP Amount received

Tk. …………………… Tk. …………

Date Voucher

No. Particulars

Folio No

(CR page)

Debit

(receipt)

Tk.

Credit

(payment)

Tk.

Balance

Tk.

Remarks

1 2 3 4 5 6

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FMG Annex 3

Petty Cash Book

Date Particulars (with

cheque No.)

Folio

Page

Debit (receipt)

Taka

Credit (payment)

Taka

Balance

Taka

1 2 3 4 5 6

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FMG Annex 4

Cheque Book Register

Account No. -----------------------------

Date Payee Purpose (including CB page & voucher No.)

Check No. Taka

Signature Remarks

(Issuing authority)

Receiver

1 2 3 4 5 6 7 8

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FMG Annex 5

Income Tax Register

Date Voucher

no.

Receipts by deduction Payment to Govt. Treasury

Balance

Taka Name of Party

Description (Total

amount & IT

percentage)

Taka Check No.

/Cash

Chalan no.

& date Taka

1 2 3 4 5 6 7 8 9

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FMG Annex 6

VAT Register

Date Voucher

no.

Receipts by deduction Payment to Govt. Treasury

Balance

Taka Name of Party

Description (Total

amount & VAT

percentage)

Taka Check No.

/Cash

Chalan no.

& date Taka

1 2 3 4 5 6 7 8 9

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FMG Annex 7

Receipt of Fund and Deduction of Eligible Expenditure

Application No Advance Received from HEQEP

Expenditure Documented

Against Advance

(Taka) Balance

Taka

Date No. Date Taka Submitted

1 2 3 4 5 6

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FMG Annex 8

Supplier’s Register

Name of Supplier:

Date Particulars of Goods Supplied Invoice Amount

Payments (Taka)

Deduction Check No.& Date Total

VAT Income

Tax Others Total

1 2 3 4 5 6 7 8 9

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FMG Annex 9

Fixed Asset Register

Description of Assets:

Group:

Date of Purchase/

Sold Invoice no. Name and address

Voucher/ MR No.

Purchased Sold/Write off Balance

Location Asset ID Signature of receiver

Quantity Value Tk. Quantity Value Tk. Quantity Value Tk.

1 2 3 4 5 6 7 8 9 10 11 12 13

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FMG Annex 10

Payroll Register

Name: Designation

Date of Joining: Pay-scale

Date Month

Salary & Allowances Deductions

Net Payment

Signature Basic Pay

House Rent

Medical Allowance

Others Gross GPF House Rent

Advances Group

Insurance Benevolent

Fund Total

Deductions

1 2 3 4 5 6 7 8 9 10 11 12 13 14 15

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FMG Annex 11

Consultant’s Remuneration Register

Cost Estimate of Services, and Schedule of Rates

Table (1): Remuneration of the Consultant

Gross Rate* (per month/day/hour in currency) Time Spent (number of

month/day/hour)

Total (currency)

Sub-total (1)

Table (2): Reimbursable

Rate (per unit

in currency)

Units Total (currency)

Sub-total (2)

Total Contract Ceiling = Subtotal (1) + Sub-Total (2)

*: The gross amount of consultant's remuneration mentioned in Table 1 includes income tax (IT) @ 10% and value added tax (VAT)

@ 15% as per the existing laws of Bangladesh. Any change in the IT/VAT structure by the Government will be adjusted in a way

that the net remuneration to the consultant is not affected. Breakdown of the consultant’s gross rate is as follows:

Gross A

Deduction of Advanced Income Tax (10%) on Gross B

Deduction of Value Added Tax (15%) on Gross C

Net-rate (Payable to Consultant) A-B-C

AIFOM: Annex 15

266 | P a g e


FMG Annex 12

Bank Reconciliation Statement

As on :_________________________

Account no:

Name of Bank:

Address:

Taka Taka

Add: 1. Amount deducted by bank but not entered in bank book

Date Check no. Particulars Amount

Amount deposited but not credited by bank

Total

Less: 1. Checks issued but not presented for encashment

Date Check no. Particulars Amount

2. Amount deposited but not entered in bank book

Balance as per Bank Book as on…………………………

Prepared by Verified by Approved by

Accountant Office Manager/Secretary Subproject Manager

AIFOM: Annex 15

267 | P a g e


UNIVERSITY AIF SECRETARIAT (UAIFS/AIFMU) FMG Annex 13

Consolidated Financial Statement

Name of Institution________________________________________

For the Quarter: …………………………………

(in Lakh Taka)

Particulars Current Quarter Year to Date Cumulative to Date Approved Budget of the

Subproject IDA Oth

ers

TO

TAL

IDA Oth

ers

TO

TAL

IDA Othe

rs

TOTA

L

1 2 3 4 5 6 7 8 9 10 11

Opening Bank Balance

Add: Receipts

Total Funds Available

Less: Uses of Fund

1 Name of Sub-Project





6

7

8

9

1

0

Total Use of Funds

Closing Balance

Signature…………………………… Signature …………………….

Head of UAIFS/AIFMU Vice-Chancellor

Name: Name:……………

Date: Date:……………….

AIFOM: Annex 15

268 | P a g e


FMG Annex 14/Page 1

Form 1 A

Subproject Quarterly Financial Management Report (Part 1) Statement of Sources & Uses of Fund (For the Quarter____________________________)

Sub-Project Title:

Name of Institution:

CP No. Taka in Lakh

Particulars Current Quarter Financial Year to Date Cumulative to Date Approved Budget

(for sub-projects life) HEQEP Others TOTAL HEQEP Others TOTAL HEQEP Others TOTAL

1 2 3 4 5 6 7 8 9 10 11

Opening Bank Balance

Add: Receipts

AIF Grant

Others (GOB, Private University etc)

Total Receipts

Total Fund Available

Less: Uses of Funds

Pay of Officer

Pay of Staff

Supplies & Services

Repair & Maintenance

Acquisition of Assets

Operational Costs

Total Uses of Fund

Closing Balance

Cash at Bank

Cash in Hand

Total

Countersigned by

Head of the Entity

(Name of University) Sub-Project Manager (Title of Sub-Project)

AIFOM: Annex 15

260

FMG Annex 14/Page 2

Form 1-B Uses of Fund by Sub-Project Activities

For the Quarter: ………………………..

Sub-Project Title:


CP No.

Economic Code

Item of Expenditure/Activities

Actual Expenditure Approved Budget (Sub-

project life)

Budget Balance Current

Quarter

Financial

Year To

Date

Cumulative

To Date

1 2 3 4 5 6 7 (6-5) Revenue Expenditure

4501 Pay of Officer

4601 Pay of Staff

Supplies & Services: 4801 Travel Expenses

4817 Development & maintenance of Website


4828 Printing & Stationary 4829 Financial Support & Allowances 4831 Books & Journals for SPM Office


4840 Training & Study Tour

4842 Conference/Seminar/Workshop

4852 Chemicals/Reagent etc 4874 Consulting Services 4883 Incentives for sub-project MT

4886 Survey

4899 Other Expenses Total Supply & Services (4800)

4921 R/M: Refurbishion/Renovation (a)Total Revenue Expenditure (4500+4600+4800+4900)

Capital Expenditure Acquisition of Assets

6807 Motor Vehicle 6809 Water Transport 6813 Machinery & Other Equipments 6814 Engineering Equipment 6815 Computer & IT Equipment 6817 Computer Software 6819 Office Equipment 6820 Teaching & Learning Materials 6821 Furniture & Fixtures 6822 Laboratory Equipment/Instrument 6827 Electrical Equipment

Total Acquisition of Assets (6800) (b) Total Capital Expenditure (6800)

Total Cost (a+b) ( c ) Operational Cost


Countersigned by Head of the Entity Sub-Project Manager

(Name of University) (Name of Sub-Project)

AIFOM: Annex 15

261

FMG Annex 14/Page 3

Form 1-C AIF Activity Statement

For the Quarter:

Sub-Project Title:

Name of Institution: CP

No.

SL

No Description Amount Total Amount

Part I

1 Total fund received from HEQEP to the end of reporting

quarter

2 Less: Total expenditures documented to the end of reporting

quarter

Total Outstanding Advance

-

Part II

1 Opening AIF Balance at the beginning of quarter

2 Add: AIF Suspense at the beginning of quarter

3 Add: Fund released during the quarter

4 Less: Refund during the quarter (if any)

Outstanding Advance to be accounted for -

-

Part III

1 Closing AIF Balance at the end of quarter

2 Add: AIF Suspense at the end of quarter

(separate list to be provided)

3 Add: Eligible Expenditure documented (form 2-A)

Total Outstanding Advance accounted for -

Countersigned by Head of the Entity Sub-Project Manager (Name of University) (Title of Sub-Project)

AIFOM: Annex 15

262

FMG Annex 14/Page 4

Form 1-D

Bank Reconciliation Statement of Operating Account (OA)

As on --------------------------------

Sub-Project:

CP No.

Account no:

Name of Bank:

Address: Taka Taka

Balance as per Bank statement as on ---------------------------------- -

Add: 1. Amount deducted by bank but not entered in bank book

-

2. Amount deposited but not credited by bank - -

Total -

Less: 1. Checks issued but not presented for encashment

-

2. Amount deposited by bank but not entered in bank book

- -

Balance as per Bank Book as on……………….


AIFOM: Annex 15

263

FMG Annex 14/Page 5

FMR (Part 2) Form 2-A

Eligible Expenditures Documentation Report

For the Quarter:------------------------------------------

Sub-Project Title:


CP No.

Sl.

No Description

Eligible Expenditures Documented

in BDT

Current

Quarter

Current

Financial

Year

Since

inception of

Sub-Project

1 Statement of Expenditures (SOE): Subject

to prior Review (Form 2B Page--- to -----) -

2

Statement of Expenditures (SOE): Not

Subject to prior Review (Form 2C Page--- to

-----)

Total - -

-


AIFOM: Annex 15

264

FMG Annex 14/Page 6

Form 2-B (For Public University)

Statement of Expenditures (SOE): Subject to Prior Review

For the Quarter: ---------------------------------------

Sub-Project Title:


CP No. Figure in BDT

Sl. No

Description Contract No

& Date

Package

No

Selection

Method Contractor’s Name

Contract

Currency

Contract

Value

Amount

Invoiced

Invoice

No &

Date

Amount

Paid from

OA

Contract

Balance

Carried

Forward

1 2 3 4 5 6 7 8 9 10 11 12

Total - - - - -

Countersigned by

Head of the Entity Sub-Project Manager

(Name of University) (Title of Sub-Project)

AIFOM: Annex 15

265

FMG Annex 14/Page 7

Statement of Expenditures (SOE): Subject to Prior Review Form 2 B (Private university)

For the Quarter: ---------------------------------------

Sub-Project Title:


CP No.

Sl. No

Description

Contract

No

& Date

Package

No

Selection

Method

Contractor’s

Name

Contract

Currency

Contract

Value

Amount

Invoiced

Invoice No

& Date

Amount Paid

from OA

Contract

Balance

Eligible for Documentation

% of Financing

Amount Taka

1 2 3 4 5 6 7 8 9 10 11 12 13 14

80.00% -

80.00% -

80.00% -

80.00% -

80.00% -

80.00% -

80.00% -

80.00% -

80.00% -

Total - - - - - - -

Countersigned by

Head of the Entity

Sub-Project Manager

(Name of University) (Title of Sub-Project)

AIFOM: Annex 15

266

FMG Annex 14/Page 8

Form 2-C (For Public University)

Statement of Expenditures (SOE): Not Subject to Prior Review

For the Quarter:……………………………….

Sub-Project Title:


CP No.

Sl. No.

Description Contract Value

Taka

Amount

Invoiced

Taka

Amount Paid

Taka

1 2 3 4 5

Total - - -


AIFOM: Annex 15

267

FMG Annex 14/Page 9

Form 2-C (For Private University)

Statement of Expenditures (SOE): Not Subject to Prior Review

For the Quarter:……………………………….

Sub-Project Title:


CP no.

Sl. No. Description

Contract

Value

Taka

Amount

Invoiced

Taka

Amount

Paid

Taka

Percentage

of Financing

Eligible for Documentation

Taka

1 2 3 4 5 6 7 (5X6)

-

-

-

-

-

-

-

-

Total

-

- - -


AIFOM: Annex 15

268

FMG Annex 14/Page 10

(FMR Part 3)

Form 3-A (For Public University)

Projected Cash Forecast Statement

For the Quarter:____________________________

Sub-Project Title:


CP No.

Sl. No Item of Expenditure

Fund Requirement for the next

quarter -------to-----

Taka



Taka

Total fund requirement

for next 6 months

ending ……………………

Taka 1 2 3 4 5 (3+4)

Total Projected Expenditure

Statement of Required Advance to Operating Account

Sl.no

Particulars Taka

Projected eligible expenditure for the next three months ending-----

Less: Closing Balance of Operating Account and Cash in Hand

Requested amount to be advanced to OA

Requested advance in Taka___________________________________________________________ Countersigned by Head of the Entity Sub-Project Manager (Name of University) (Title of Sub-Project)

AIFOM: Annex 15

269


Form 3-A (For Private University)

Projected Cash Forecast Statement

For the Quarter:____________________________

Sub-Project Title:


CP No.

Sl. No Item of Expenditure



Taka



Taka

Total fund requirement

for next 6 months

ending ……………………

Taka 1 2 3 4 5 (3+4)

Total Projected Expenditure

Projected expenditure to be financed by HEQEP @ 80%

Statement of Required Advance to Operating Account

Sl.no Particulars Taka

Projected eligible expenditure for the next three months ending----- -

Less: Closing Balance of AIF

Requested amount to be advanced to OA

Requested advance in Taka____________________________________________ Countersigned by Head of the Entity Sub-Project Manager (Name of University) (Title of Sub-Project)

AIFOM: Annex 15

270


Form 3B

Request for Advance Requested Advance in Taka Request Number & Date

1 Contract No. and Date :

2 Title of Sub-Project :

3 Complete Proposal No. :

4 Name of Sub-Project Manager :

5 Name of Entity (Dept./Faculty/Institute/Center)

5 Name of University :

6 Bank Account No. :

7 Name of Bank, Branch & Address :

8 Requested Amount in Words :

9 Remarks (if any) :

Countersigned by

Head of the Entity(Dept./Faculty/Institute/Center) Sub-Project Manager (Title of Sub-Project)

AIFOM: Annex 16

271 AIFOM 3

rd Ed: AIF Quarterly Progress Report



AIF Quarterly Progress Report

Reporting Quarter…………………………………………………………………………………..

1 . a) Sub-project Title: ...................................................................

b) Discipline/Subject: .....................................................................

c) Sub-project Implementing Entity: .....................................................................

d) Duration of Sub-project……………………………………………………………

e) Date of Commencement of Sub-project…………………………………..

d) University: ........................................................................

2 Quarterly Financial Progress: (in Lakh Taka)

Head

Fund Received for the Quarter

Expenditure for the Quarter

Current Year’s Expenditure

CD-VAT

Taka Taka Taka

Revenue

Capital

Grand Total

AIFOM: Annex 16

272 AIFOM 3


3. Quarterly Activity-wise Progress*

3.1 Sub-project Title:...................................................................

3.2 Quarterly Activity-wise Progress: ( in Lakh Taka)

Sl. No

Name of the Activity

Unit Cumulative Progress at the Beginning of Quarter

Target in current quarter Progress in Current

Quarter Cumulative Progress at

the End of Quarter Remarks

Physical Financial Physical Financial Physical Financial Physical Financial Qtty % Qtty % Qtty % Qtty %

1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16

Total

*Column 2 can be extended to include all activities/components

AIFOM: Annex 16

273 AIFOM 3


4. Implementation Problems and Suggested Measures

4.1 Sub-project Title: ...................................................................

4.2 Implementation Problems:

Problem

Number

Problem Type Description of Problem (s)

1. Appointment/Hiring of

Provisional Staff

2. Establishment of Sub-project

Management Organization

3. Training

4. Procurement

5. Management

6. Fund Allocation/Release

7. Others (specify)

4.3 Suggested Measures for Improvement: (In brief and specific)

Problem

Number

Measures Suggested

1.

2.

3.

4.

5.

6.

7.

None

4.4 Is the sub-project declared completed Yes No

Sub-Project Manager Head of the Entity

Signature______________ Signature __________ Date_______________ Date_______________

AIFOM: Annex 17

AIFOM 3rd Ed: Six Monthly Sub-project Monitoring Format 274



Six Monthly Sub-project Monitoring Format

Reporting period: .........................................

01. Name and Details of the Sub-Project

Name of the sub-project

Sub-project Number( CP-Number):

Window

Name of the Sub-project Manager with position in the entity

Implementing Unit [Department/ Faculty/Center/Institute/University]

Name of University

Collaborative sub-project or Not: Yes/No

If yes, Please mention the name of partner University/Entity

Sub-project Starting/Inception Date: Completion Date: Original Date: Revised Date (if):

02. Name and Details of Internal/provisional staff/consultants included/hired in the Subproject

Management Unit

Nº of Internal Staff*

Nº of Students (if

any)

Nº of Consultants***

Full Time (how many out of total

staff)

Part time (how many out of total staff)

Nº of Provisional

Staff**

Name of Internal

Staff

Designation (In the Entity)

Hiring Date (In the sub-project)

Type of Contract (Lump sum=1; Daily

Basis= 2; Monthly=3; Others

Duration (Months)

Expected Total Cost (Lakh taka)

Name of Provisional

Staff

Designation Hiring Date Type of Contract

Duration (Months)

Expected Cost (Lakh Taka)

*Academics engaged in sub-project management and included in SPMT

** Support staff recruited temporarily to provide secretarial service to sub-project management e.g., accountant, office secretary, data-entry operator, MLSS etc.

*** Experts appointed following relevant provisions of PPR 2008 or WB Guidelines

AIFOM: Annex 17


03. Summary of the Activities [According to the proposal]

04. Description of the Progress so far according to Work/Activity plan

05. Description of implementation issues/impediments/ Challenges [Issues that may hamper

implementation]

AIFOM: Annex 17


06. Update on Milestone status

Milestone Expectation in Reporting

date

Progress in Reporting

date

Revised Expected Date

Comment/Justification

Note: Copy Milestones from respective SPM’s Table 1 of Final CP.

07. Update on Performance Indicators to Evaluate Sub-project Impact

Indicators Calculation method

verification methods

Calculation of Base Value

Baseline Value in Year 2013

Desired Standard on Terminal Year..........

Present Value as on ………………………….

Note: Copy 1st 6 Columns from respective SPM’s Table 2 of Final CP.

08. Fund utilization

Description Amount

Total Budget of the Sub-project (Tk. In million)

Fund Received up to reporting Date (Tk. In million)

Fund Utilized (Tk. In million)

Percentage (%) of Received Fund Against Total Budget of the Sub-project

Percentage (%) of Utilized Fund Against Total Budget of the Sub-project

AIFOM: Annex 17


09. Comments

10. Declaration

All the information provided above are true and correct. I, as the sub-project manager, have filled up

the form and agree to remain responsible for any misinformation. I also ensure that all the sections

of the forms are filled up.

Signature: ...……………………………………………………..

Name of Sub Project Manager: ………………………………………………………………

Name of the Sub-Project: ………………………………………………………….

Name of Entity/University…………………………………………………………..

Date: ………………………………………………….

AIFOM: Annex 18

AIFOM 3rd

Ed: EMP Checklist for Minor Renovation Works 278



(Window 1)

Environment and Safety Checklist for Small Infrastructure and

Renovation/Refurbishing Proposal

Title of Sub-project: ____________________________________________________________

______________________________________________________________________________

Implementing Institution:

____________________________________________________________

Types of renovation/refurbishing work: ______________________________________________

Estimated cost of renovation/refurbishing work: _______________________________________

Duration of renovation/refurbishing work: ____________________________________________

Tentative Start Date: _____________________________________________________________

______________________________________________________________________________

Instructions:


to the small infrastructure renovation/refurbishing work. This is a generalized checklist

format for small renovation/refurbishment works.

The concerned faculty member of the respective institution will fill-up the format, which

is expected to be reviewed and signed by an environment professional. However, the

checklist must be reviewed and signed by the respective Head of the proposal submitting

entity. If the checklist shows potential negative environmental impacts, the institution will

submit a separate sheet for mitigation measures for it (Attachment A).

AIFOM: Annex 18

AIFOM 3rd


Brief description of small infrastructure renovation/ refurbishing work (Within 200 words).

AIFOM: Annex 18

AIFOM 3rd


Checklist

Sl # Screening Questions Yes No Possible Negative

Environmental Impact1

1 Will the renovation work disturb other academic

activities?

2 Will it create major noise?

3 Will it create dust problem around the sites?

4 Will it temporarily stop the water supply and

sanitation system?

5 Will any refrigeration/air conditioning units be

removed/disposed?

6 Will any liquid waste, or an item containing

liquids (including oils), need to be transported

off-site for reuse, recycle or disposal?

7 Will equipment containing polychlorinated

biphenyls (PCB’s) be removed (i.e.

transformers, capacitors, hydraulic and heat

transfer systems, etc.)?

8 Will building materials containing asbestos be

removed/disposed?


that are coated with lead-based paint?


that contain lead, silver or chrome?

11 Will batteries be removed/disposed (lead-acid or

nickel-cadmium batteries from emergency lights

and other battery-powered or battery-backup

items?

12 Will mercury-containing devices (switches,

gauges, thermostats) be removed/disposed?

13 Will an emergency generator set or other

aboveground storage tank (AST) be installed or

removed?

14 Will the renovation work have any indirect

impact on environment and ecosystem?

1 If the answer of the questionnaire is ‘Yes’, please describe the possible negative environmental impact.

AIFOM: Annex 18

AIFOM 3rd


The above answers are true and complete. I understand that the University Grants Commission will depend on them to make its decision.



Name: ________________________________________________________________________


Please sign below to verify that the information in this document is accurate and complete to the best of your knowledge.



Name: ___________________________________________________________

Contact Telephone Number and E-mail: ________________________________

AIFOM: Annex 18

AIFOM 3rd


Attachment A






Environmental

Impacts

Proposed

Mitigation

Measures

Responsible

Partiers

Estimated Cost



Frequency

Monitoring

Location

Responsible

Parties

AIFOM: Annex 19

AIFOM 3rd

Ed: EMP Checklist for Research Works

283



(Window 2 & 3)



Institution: ____________________________________________________________________






Business & Law







Instructions










(Attachment A).

AIFOM: Annex 19

AIFOM: EMP Checklist for Research Works 284


AIFOM: Annex 19


Checklist




question 6.]



guidelines?





facilities?








procedures?







to health?








field level?



sensitive area?




environment?


water?




ecosystem?




AIFOM: Annex 19








agency?



problem?

Signature:

The above answers are true and complete. I understand that the University Grants Commission will

depend on them to make its decision.



Name: ________________________________________________________________________


Please sign below to verify that the information in this document is accurate and complete to the

best of your knowledge.



Name: _______________________________________________________________________


AIFOM: Annex 19


Attachment A






Environmental

Impacts

Proposed

Mitigation

Measures

Responsible

Partiers

Estimated Cost



Frequency

Monitoring

Location

Responsible

Parties

AIFOM: Annex-20

288 AIFOM 3rd Ed: Six Monthly Sub-project Monitoring Format

Higher Education Quality Enhancement Project (HEQEP)


SOCIAL MANAGEMENT FRAMEWORK (SMF)

Introduction

An interim assessment of project impact was carried out to measure the progress made so far and to

evaluate whether the project is heading towards meeting the PDO. The study was conducted based on a

stocktaking survey in all the AIF beneficiary departments, a satisfaction survey on 971 students and 247

faculty members in 41 departments in 12 universities, 4 Focus Group Discussions (FGDs) and 27 Key

Informant Interviews. The findings of the Study confirm that despite some initial delays in

implementation, the project is on track for achieving its development objective. Satisfaction level of the

stakeholders has achieved the targeted level. A summary of achievements under the first and second

rounds of AIF is: (i) large number of equipment, IT facilities, laboratories, books and journals are being

made available to the students and faculty members; (ii) approximately 65 articles have been published;

and (c) 390 national and international seminars and workshops have been arranged by the universities.

Through the establishment of UGC Digital Library, online journals are now available to teachers and

students free of costs. Improvement of IT infrastructure along with establishment of computer labs and

digital management information system has opened doors to the world of knowledge.

Therefore, it can be seen that the project has brought only positive benefits to the institutions and

students studying there.

Social Safeguard Triggers

There will be no requirement for private land acquisition, displacement of communities or people from

either public or private lands regardless of title and no adverse impacts on livelihoods of any nature.

Therefore the project will not trigger OP 4.12 Involuntary Resettlement. The original project did not

trigger the policy either and lessons learned during its implementation support the fact that it will not be

triggered for this AF either.

The project will be implemented nationwide; no adverse impact on Tribal People or communities is

expected as the project is mainly of a technical assistance nature. The project originally did not trigger

OP 4.10 Tribal People. However, it has been determined that for the AF the policy will be triggered in

order to promote inclusion and make the improvements more demand oriented based on the

recommendations of the Interim Impact Assessment: (i) stronger awareness raising campaign for

increasing the utilization of the facilities made available by HEQEP funding; (ii) initiatives for

establishing Industry-University collaboration for fostering research relevance; (iii) standardized

measurement for quality across the board and establishment of an independent body for monitoring and

facilitating quality assurance; and (iv) initiative for addressing issues with assessment system and soft

skills of the graduates such as IT literacy, communication skills and moral values.

Given that the project only triggers OP/BP 4.10, and since the exact locations of project implementation

are yet to be determined, a Tribal People’s Framework (TPF) has been prepared as part of this SMF to

ensure the participation of all tribal and vulnerable communities in the project in a culturally appropriate

and sensitive manner, that meets the World Bank’s stated requirement of free, informed and prior

consultations with the relevant groups during project preparation and during implementation. This SMF

has been developed in full concurrence with national laws and applicable World Bank Operational

Policies.

AIFOM: Annex-20


Objectives

The SMF provides general policies, guidelines, codes of practice and procedures to be integrated into

the implementation of HEQEP. Consistent with the existing national legislation, the objective is to help

ensure that activities under the proposed project will:

Enhance positive social outcomes;

Prevent negative social impacts as a result of either individual institution or their cumulative

effects;

Ensure compliance with World Bank safeguard policies.

Basic Principles

The Framework is based on an assessment of the nature, scope, and scale of safeguards impacts of the

project components and institutional capacity of universities and institutions and the implementing

agencies to address social safeguards issues. The following principles will apply for selection of

institutions and activities:

All proposed institutes to be funded by the projects will be subject to a social screening in order

to assess the prevalence of Tribal students studying there.

The institutions will not propose to undertake activities that may require land acquisition, or

displacement of communities (regardless of title), or adverse impacts on livelihoods. All

development works will be limited to improvement of the existing infrastructure if needed, and

use their own land which must be free of encumbrances, for any new structures (if applicable).

ENHANCING THE POSITIVE OUTCOMES OF THE PROJECT FOR TRIBAL STUDENTS

Consultation: Consultation is suggested with the Tribal groups representatives to incorporate their

voices, providing them a sense of ownership and their active participation.

Identification of special needs: Special need identification needed to support them effectively and

efficiently. One major issue in this regard can be language skill. As many of the tribal communities are

not fluent in Bangla or English other than Chakma and may not get opportunities to equally like them to

study in urban mainstream educational institutes rather completed schooling in local schools with local

teachers having similar language barriers for actualizing the education materials most efficiently. That

would also help them to icebreaking of their inertia to have inter community interaction as well as

interaction with Bengalis.

Sensitization of the wider student-teacher body regarding tribal communities, culture, customs,

rituals etc.: Get to know each other’s culture always gives space for more interaction, knowledge

sharing and trust building among different communities. Universities can think of a yearly event of day

long cultural activities of all the tribal communities to showcase their cultural elements such as rituals,

dance, music, costumes, and customs etc. which will bond them more and make the wider body having

more interest in these cultures.

Areas identified where tribal students require additional assistance: If the tribal students need any

specific assistance should be taken care of by identifying these areas. These may vary in different

faculties and regions.

TRIBAL PEOPLES PLANS

Once the exact Universities and other academic institutes targeted for the AF are determined, they will

be screened to assess the presence of tribal students according to the screening formats attached. For

institutions where tribal students are found in larger numbers, the above framework will be used as

AIFOM: Annex-20


guidance to prepare Tribal People’s Plans to address the issues of participation, inclusion and

enhancement of positive outcomes for tribal students.

Safeguards Screening & Mitigation Guidelines

Safeguard screening will consist of an examination of requirements of the possible activities, and the

guidelines that will apply in terms funding eligibility and impact mitigation. The following guidelines,

practice codes and requirements will apply in selection, design and implementation of particular

activity:

Negative List. The activities that have characteristics as those described in the ‘Negative List’ will be

ineligible for funding under HEQEP;

Guidelines for Tribal Peoples Plan: Principles and guidelines to identify and deal with adverse impacts

on tribal peoples, and a consultation framework for adoption of mitigation and development measures,

where activities would adversely affect IPs.

Screening and Mitigation Responsibilities

At the institution levels, the Project Implementation Unit will screen the projects to ensure compliance

with the above principles. For location specific sub-projects that trigger OP 4.10the PIU will ensure that

adequate and appropriate consultation modalities are adopted to build consensus among the Tribal

population, identify impacts in the light of their unique needs and way of life and implement mitigation

measures commensurate with their cultural, religious and societal norms. The project mainly works on

the supply side of the higher education quality enhancement and development. The curriculum can be

made more accessible to tribal students by understanding their needs and exploring their career

aspirations. The PIU may conduct a needs assessment survey amongst students, focusing on tribal

students.

Grievance Redress:

The Universities and institutions will set up a procedure to address complaints and grievances regarding

HEQEP procedural irregularities and environmental and social guidelines. The procedure will however

not pre-empt an aggrieved person’s right to seek redress in the courts of law. All complaints will first be

discussed in open meetings. If this fails, the institutes can refer the complaints to the PIU with the

minutes of the hearing taken place at the institutional level. If PIU fails to resolve the matter, it can refer

the case to the DTE, which in turn can send unresolved cases to MoE.

Capacity Building

The PIU has a limited institutional capacity to implement the SMF. Specific capacity-building training

programs for the PIU needs to be planned for the project. Furthermore, DTE should also have a

designated officer who will be responsible contact person for matters related to SMF.

Approval and Disclosure

As required by the World Bank’s project financing policy, the SMF prepared by the GOB will be

subjected to review and clearance by the designated regional sector unit of the Bank and then finalized

before formal appraisal of the project. The SMF, including a Bangla version, will be disclosed to the

public in Bangladesh by the Bank at its Country Office Information Center, and by the MoE at its

website. The Bank will also disclose it in its InfoShop.

NEGATIVE LIST

The negative characteristics of activities, which will make them ineligible for support under HEQEP,

are based on their probable social impacts. With the available implementation experience, it is

apprehended that institutional capacity may not be adequate to manage the impacts listed below.

AIFOM: Annex-20


NEGATIVE SOCIAL ATTRIBUTES

Activities that involve involuntary resettlement of people/households will be ineligible for support

under HEQEP. Such activities are those that

Poses any direct or indirect discriminatory criteria for selection

Require land acquisition

Require involuntary contribution of private lands

Affect private homesteads

Communities are unable to compensate for lands that are available on ‘contribution

against compensation’ basis.

Render households using public lands destitute

Affect mosques, temples, graveyards, cremation grounds, and other places/objects that are

of religious and cultural significance

May significantly restrict access to common property resources and livelihood activities of

groups and communities

Activities that affect tribal peoples with long-term consequences will be ineligible support. These

activities are those that

Poses possibility of exclusion

Threaten cultural tradition and way of life

May severely restrict access to common property resources and livelihood activities

May affect places/objects of cultural and religious significance (places of worship,

ancestral burial grounds, etc.)

Attachment 2


[This form will be filled up by the Principal of the institutes and should submit to the PIU before

being selected]


Screening Date: …………………………………………………………





01.

02.

03.

Names of PIU/DTE/MoE Member, if any, Participated in Screening:

01.

02.

03.

AIFOM: Annex-20


Part B: Activities


2. Click if activities include

any:





[ ] Yes [ ] No


livelihood?

[ ] Yes [ ] No


[ ] Yes [ ] No


[ ] Yes [ ] No


[ ] Yes [ ] No

6. Does your proposed activity severely restrict access to common property resources and livelihood

activities?

[ ] Yes [ ] No



[ ] Yes [ ] No


any):



[ ] Positive

[ ] Negative



assessment study?

[ ] Yes [ ] No

Prepared by (Name): …………………………………………………

Signature: ……………………………………….. Date: ………………………….

293

Attachment 3

GUIDELINES FOR TRIBAL PEOPLES PLAN

Objectives of Tribal Peoples Plan

The main objectives of the Tribal Peoples Plan (TPP) are to ensure that the activities funded

HEQEP do not adversely affect IPs, and that they receive culturally compatible social and

educational benefits. This will require the institutes to carefully screen all proposed activities to

determine presence of TPs in the locality and ensure informed direct participation of the TPs in

the activities. There are approximately 2.5 – 3.0 million tribal/ethnic communities living in

Bangladesh, covering less than 2% of the total population. The largest proportion of the

country’s tribal population lives in Bandarban, Rangamati and Khagrachari in the Chittagong

Hill Tracts (CHT). The Universities and institutions closest to these areas are situated in

Chittagong City where, even if tribal students come to study, they are assimilated with the

mainstream student population. Some tribal people, (TP) can also be found in remote areas of the

north-west and north-eastern regions. Also the project aims to improve the quality of education

and engages mainly on the supply side of academic and administrative processes; it does not aim

to improve access or engage with communities. Given the above scenario the likelihood of

triggering OP 4.10 is very low. Nevertheless the MoE has prepared this current Tribal Peoples

Plan to consult with TPs and identify culturally sensitive and acceptable mitigation measures for

any unforeseen impacts on TPs.

Identifying the Tribal Peoples

Although the TPs of Bangladesh are well recognized locally, the PIU their local representative officials

will examine the following characteristics to make formal identification:

Self-identification as members of a distinct tribal cultural group and recognition of this identity

by others;

Collective attachment to geographically distinct habitats or ancestral territories in the project area

and to the natural resources in these habitats and territories;

Customary cultural, economic, social or political institutions that are separate from those of the

dominant society and culture; and

A tribal language, often different from the official language of the country or region.

Basic Principles

To avoid or minimize adverse impacts and, at the same time, ensure benefits for TPs, the PIU will apply

the following basic principles in selection and design of particular activity:

Ensure that TP communities in general and their organizations are not excluded by any means in

activities selection, design and implementation processes.

Together with TPs, carefully screen the activities for a preliminary understanding of the nature

and magnitude of potential impacts, and explore alternatives to avoid or minimize any adverse

impacts.

Where alternatives are infeasible and adverse impacts on TPs are unavoidable, the MoE, together

with TPs and others knowledgeable of TP culture and concerns, will immediately make an

assessment of the key impact issues.

The MoE will undertake the necessary tasks in order to adopt appropriate mitigation measures.

The most important in this respect is intensive consultation with the TP communities, community

elders/leaders, and formal and informal IP organizations, civil society organizations like NGOs,

and others who are interested in and have knowledge of TP issues.

294

Consultation will include the activity objectives and scope; the likely key adverse impacts

on (and benefits for) TPs; TPs’ own perception of the impacts and feedback; and a

preliminary assessment of economic opportunities which the MoE could promote – in

addition to mitigation of the adverse impacts.

Identifying TP Social Concerns

Impacts on TPs will vary in terms activities and their scopes, presence and size of TP population in the

institution locales, as well as the magnitude of potential adverse impacts and social risks. To the extent

applicable for a particular activity, information on the cultural and socioeconomiccharacteristics and

potential vulnerability will be used to identify the IP social concerns and adopt alternative mitigation

measures.

Impact Mitigation & Development Measures

The universities and institutions will carry out a needs-assessment among TP students to gauge their

academic difficulties and career aspirations in order to make the curriculum more accessible to and

effective for them.

IP Consultation Strategy As required for informed consultation, concerned institutes will provide TPs with all activity-related

information, including that on potential adverse impacts if any. To facilitate consultation the institution

will,

Prepare a time-table for dialogues during activity selection, design and implementation processes,

and consult them in a manner so that they can express their views and preferences freely.

In addition to the communities in general, consult TP organizations, community elders/leaders

and others with adequate gender and generational representation; and civil society organizations

like NGOs and groups knowledgeable of TP issues regarding the university, academic

curriculum, quality of education and marketability of the education i.e. is it helping TPs get jobs?

Consultation will in general concentrate on awareness-raising, garnering feedback on the curriculum and

other aspects of student life (inclusion and participation) as well as exploring additional development

activities that could be promoted under the project. The institutes will keep Minutes of these consultation

meetings in the activity files and make them available for inspection by IDA, GOB officials and other

interested groups and persons.