Final Vesion; December 09, 2009 - heqep-ugc.gov.bd Web viewProfessor Dr. M Shah Nowaz Ali, ......

Higher Education Quality Enhancement ProjectHEQEP

Operations Manualfor

Academic Innovation Fund

(Fourth Edition)

University Grants Commission of Bangladesh

Ministry of EducationGovernment of the People’s Republic of Bangladesh

iAIF Operations Manual: 4th Edition

Operations Manual for Academic Innovation Fund

AIFOM Revision Committee:

Professor Abdul Mannan, Chairman UGCProfessor Dr. Mohammad Yousuf Ali Mollah, Member, UGCProfessor Dr. Dil Afroza Begum, Member, UGCProfessor Dr. Md. Akhtar Hossain, Member, UGCProfessor Dr. M Shah Nowaz Ali, Memner, UGCDr Gauranga Chandra Mohanta ndc, Project Director, HEQEPMr. Sohel Ahmed, Deputy Director & AIF Coordinator, HEQEPProfessor Dr. M. Muhibur Rahman, AIF Management Specialist, HEQEPProfessor Dr. Abutaher M. Ziauddin, AIF Management Specialist, HEQEP

Published by:

Higher Education Quality Enhancement Project (HEQEP)Dhaka Trade Centre (8th Floor), 99 Kazi Nazrul Islam AvenueKarwan Bazar, Dhaka 1215, Phone: 8189020-24, Fax 8189021E-mail: [email protected], Web: www.heqep-ugc.gov.bd

University Grants Commission of Bangladesh (UGC)21/1, Agargaon, Sher-e-Banglanagar, Dhaka 1207Phone: 8112629, 9122011, Fax: 8122948, 9114707E-mail: [email protected], Web: www.ugc.gov.bd

Fourth Edition: December 2016

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:

iiAIF Operations Manual: 4th Edition

mailto:[email protected]

Operations Manual for Academic Innovation FundForewordPrefaceIntroduction

Table of Contents Contents Page No.1 Strategic Context 12 The Higher Education Quality Enhancement Project (HEQEP) 23 The AIF Round - 3 34 AIF Round-4 Cost 45 AIF Coverage in Round-4 66 Specific Objectives of AIF Round-4 67 Beneficiaries and Expected Results 78 Performance Indicators 99 Grouping of Universities 1110 The AIF Round-4Allocation 1211 Indicative Eligible Expenditure 1512 Earning by Sub-projects 1713 Eligibility for Receiving AIF Grants 1714 Matching Funds from Private Universities 1915 Call for Proposals 1916 Proposal Submitting Entities 1917 Submission of Proposals 1918 Institutional Arrangements for Proposal Evaluation/Selection 2019 Proposal Submission & Evaluation Procedure 2020 Institutional Arrangement 2321 Total Proposal Evaluation/Selection Period 2422 University AIF Secretariat (UAIFS) 2623 Proposal Evaluation/Selection Process 2724 AIF Secretariat of UGC (UGCAIFS) 2725 Terms of Reference of UGCAIFS 2726 Functions of UGCAIFS 2827 Pool of Peer Reviewers and Committee of Experts 2928 The Area Review Panels (ARPs) 3029 Functions of Peer Reviewers 3030 Evaluation Criteria for Peer Reviewers 3131 UGC Board for AIF (UGCBAIF) 3432 Terms of Reference of the UGCBAIF 3533 Final Selection Period 3634 Technical Comments by IDA 3635 Sub-project Management 3636 Disposal of Appeal 3737 Performance Contract 3738 Dispute Resolution 3839 AIF Effectiveness Condition 3840 Duration of AIF Sub-projects 3841 Financial Management 3842 Procurement 4243 Monitoring and Evaluation 5244 Environment Management Framework (EMF) 5445 Social Management Framework 5746 Monitoring of Sub-projects 5747 Audit 5848 Sanctions 5949 Amendment 59

REFERENCES 60

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List of Tables Page #

Table 1 Beneficiaries and Expected Results from the AIF 7Table 2 AIF Allocation in Third Round by Windows, Disciplines and Individual

Size of Grants12

Table 3 AIF Allocation to three Groups of Universities in the Third Round 14Table 4Table 5

Evaluation Criteria for Complete Sub-project Proposals by Peer Reviewers

Evaluation Criteria for CPs for Supplementary Funding

3234

List of FiguresFigure 1 Institutional Arrangement for AIF Proposal Evaluation/Selection 24Figure 2 Complete Proposal (CP) Selection Process Flow Chart 25

AnnexesAnnex 1 Concept Note on SWOT Analysis 60Annex 2 Concept Note on Performance Indicators 67Annex 3 Group List of Universities 71Annex 4 AIF Sub-project Management Incentives 73Annex 5 Complete Proposal (CP) Format for Improvement of Teaching-learning at

Undergraduate and Master’s Level74

Annex 6 Complete Proposal (CP) Format for Supplementary Funding to Previously Completed AIF Sub-projects

105

Annex 7 Evaluation Form for ARPs and ERs 204Annex 8 Complementary Selection Criteria for UGCBAIF 211Annex 9 AIF Performance Contract for Public Universities 212Annex 10 AIF Performance Contract for Private Universities 225Annex 11 World Bank Guidelines on preventing and combating fraud and corruption

in Projects 238

Annex 12 Financial Management Questionnaire (FMQ) 242Annex 13 Financial Management Guidelines for AIF Sub-Project 245Annex 14 Formats for Sub-project Quarterly Progress Report 282Annex 15 Formats for Sub-project Six-monthly Monitoring Report 285Annex 16 Environment and Safety Checklist for Minor Renovation Works 289Annex 17 Environment and Safety Checklist for Research and University-wide

Proposal 294

Annex 18Annex 19

Social Management Framework (SMF)

UAIFS-AIFMU Bill Form

299306

Annex 20 Economic Codes for Development Works 307

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Abbreviations & Acronyms

ADP Annual Development ProgramAHSBL Arts, Humanities, Social Science, Business & LawAIF Academic Innovation FundAIFMU AIF Management Unit (in Private Universities)AIFOM Academic Innovation Fund Operations ManualARP Area Review PanelARPs Area Review PanelsBdREN Bangladesh Research and Education NetworkBEC Bid Evaluation Committee BOC Bid Opening CommitteeBOM Bid Opening Minutes C&AG Comptroller & Auditor General of BangladeshCAO Chief Accounts OfficerCD Compact DiscCD-VAT Customs Duty and Value Added TaxCE Committee of ExpertsCGA Comptroller General of Accounts CONTASA Convertible Taka Special Account CP Complete ProposalCPs Complete ProposalsCPFS Consolidated Project Financial Statement CPP Complete Project ProposalCPTU Central Procurement Technical UnitCQ Consultant’s Qualification DA Designated AccountDAIF Directorate of Academic Innovation FundDC Direct Contracting DFA Director, Finance & Accounts (in UGC and Public Universities)DoE Department of Environment DPD Director, Planning & DevelopmentDSPM Deputy Sub-project ManagerEIA Environmental Impact AssessmentEMF Environnent Management FrameworkEMP Environment Management PlanEoI Expression of InterestER External ReviewerFA Financing AgreementFAPAD Foreign Aided Projects Audit DirectorateFBS Fixed Budget Selection FD Finance DivisionFM Financial ManagementFMQ Financial Management Questionnaire FMS Financial Management System GoB Government of BangladeshHEQEP Higher Education Quality Enhancement ProjectHEQEPU Higher Education Quality Enhancement Project UnitHEIs Higher Education InstitutionsIC Individual Consultant ICB International Competitive Bidding

vAIF Operations Manual: 4th Edition

ICT Information & Communication TechnologiesIDA International Development AssociationIFT Invitation for Tender IMED Implementation, Monitoring & Evaluation DivisionIUFR Interim Un-Audited Financial Report LC Letter of CreditLCS Least Cost Selection M&E Monitoring & EvaluationMEU M & E Unit MoE Ministry of EducationMoF Ministry of FinanceMoP Ministry of PlanningMTBF Mid-term Budget FrameworkNCB National Competitive BiddingNOA Notification of AwardNS National Shopping OA Operating AccountOM Operations ManualPA Project AidPAC Project Audit Committee PAM Project Accounting Manual PD Project DirectorPEC Proposal Evaluation CommitteePFP Procurement Focal PointPFPs Procurement Focal PointsPIA Project Implementing AgencyPIM Project Implementation Manual PPA Public Procurement Act 2006PoPA Post Procurement AuditPPR Public Procurement Regulations 2003PPRP Public Procurement Reform ProjectPRMP Procurement Risk Mitigation PlanPRSP Poverty Reduction Strategy PaperQBS Quality-Based SelectionQCBS Quality and Cost Based SelectionRFP Request for ProposalRIBEC Reform in Budgeting and Expenditure ControlSAN Statement of Audit Needs SBD Standard Bidding DocumentSDG Sustainable Development GoalSF Supplementary FundingSoE Statement of ExpenditureSPM Sub-project ManagerSPMT Sub-project Management TeamSPP Sub-project ProposalSSS Single-Source Selection TEC Tender Evaluation Committee TER Tender Evaluation ReportTOC Tender Opening Committee ToR Terms of ReferenceTTO Technology Transfer OfficeUAIFS University Academic Innovation Fund Secretariat (Public Universities)

viAIF Operations Manual: 4th Edition

UGC University Grants Commission of Bangladesh UGCAIFS University Grants Commission Academic Innovation Fund SecretariatUGCBAIF University Grants Commission Board for Academic Innovation FundUNDP United Nations Development ProgramWB World BankWBOD World Bank Office Dhaka

viiAIF Operations Manual: 4th Edition

PREFACEThe quality in higher education has become a global concern as it plays a pivotal role in the overall development of a country. To face the challenge of globalization raising the quality of our higher education to world standard is very important. In 2009 Bangladesh Government has, therefore, taken several steps to develop the qualities of tertiary education. One of these is the Higher Education Quality Enhancement Project (HEQEP). The main objective of the project is to improve the quality and relevance of teaching-learning and research environment in higher education institutions through encouraging innovation within universities and enhancing the technical and institutional capacity of the higher education sector.Under the AIF component of HEQEP, 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. There were three rounds of competition, launched in May 2010, June 2011 and February 2014. UGC is happy to note that the universities responded overwhelmingly to these AIF proposal calls; 32 public and 14 eligible private universities submitted about 2083 proposals in these three rounds of AIF. However, only 345 proposals came out successfully. This number reflected the genuine interest and commitment the Bangladeshi academics have for the quality education, and innovation in the tertiary level education.Inspired by satisfactory implementation and encouraging outcome of these three rounds, it has been decided to launch a fourth round of AIF with a view (a) to minimize the expected quality gap of teaching and learning, observed between entities those enjoyed AIF grants earlier and those were not and (b) to support for sustainable use of equipments procured through earlier AIF sub-projects. We published operations manuals for first, second round, and third rounds of AIF to assist the stakeholders. Based on the experiences of the earlier three rounds, changes have been made in the fourth round which necessitates publishing this revised operations manual. The stakeholders of fourth round AIF are requested to adhere to this 4th edition of AIF operations manual.The UGC is confident to witness a more enthusiastic response to the fourth round proposal call from the universities. We are also on a much firmer ground now with the experiences gained through the processing of preceding three rounds of proposals whose implementation at the universities began in 2011. About 80% 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 invite all our concerned colleagues to internalize the Operations Manual thoroughly in order to successfully complete and gain access to the 4th round of AIF grants offered by UGC. I gratefully acknowledge the excellent cooperation and valuable assistance the UGC and the HEQEP unit have received from the Ministry of Education and the World Bank in the project implementation tasks.

(Professor Abdul Mannan) Chairman


viiiAIF Operations Manual: 4th Edition

FOREWORD

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 is now at the top of the agenda in the government’s concerns and initiatives. The present government has commenced several far-reaching endeavors 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 eight 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 like university-industry collaborative research and establishment of Fabrication Laboratory. Inclusion of Round 4 of AIF in the project has been possible due to reallocation of funding of the World Bank to the expanded design of the project. I thank the World Bank for allowing extended opportunity of funding through the new Round 4 of AIF competition.

We are happy to note that the private sector has also come forward to meet the challenges of enhancing quality of higher education 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.

The 4th Operations Manual (OM) addresses the new issues and concerns that emerged in the course of last three 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 preparing fourth edition of Operations Manual as an excellent guideline. I hope that the project would succeed in achieving the objectives of the component by devoting the higher level of excellence and expertise

Md. Sohorab Hossain

Secretary Ministry of Education

Government of the People’s Republic of Bangladesh

ixAIF Operations Manual: 4th Edition

Introduction

The experience we gained in the course of earlier three rounds of AIF has given us some insight for further improvement of quality teaching-learning and research in the universities. This Operations Manual (4th edition) Innovation Fund reflects two new concept, namely, (i) minimization of the expected quality gap of teaching and learning, observed between entities those enjoyed AIF grants earlier and those were not and (ii) supplementary funding to completed AIF sub-projects in order to help sustainable use of equipments procured through earlier AIF sub-projects. It explains in detail the concept, objectives of improvement of quality teaching-learning ecosystem and supplementary funding, institutional arrangements for sub-project management, proposal submission and selection process, financial management, procurement rules and procedures to be followed, monitoring and evaluation of subproject activities, and reporting requirements.

Regarding important matters concerning AIF management and implementation we request the readers to go through the Manual. 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 proposal preparation and 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.

We would like to express our sincerest thanks to the academics and staff of the universities who participated in the first, second and third 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 congratulate those universities and entities who came out successful in receiving awards in earlier three rounds. This time we also hope that the potential entities from the universities would also respond to this fourth round AIF competition with full enthusiasm.

I owe foremost debt of gratitude to UGC Chairman for his steady engagement towards completion of this important task. Sincere thanks go to the IFOM drafting committee who produced this important document in a short period of time. I am also grateful to my colleagues in HEQEPU who have assisted us enormously in handling the project management and contributing to its successful implementation. I am beholden to the education team of the World Bank who always ready to provide technical support to us for carrying out the difficult jobs of project implementation.

Dr Gauranga Chandra Mohanta ndc Project Director

Higher Education Quality Enhancement Project

xAIF Operations Manual: 4th Edition

University Grants Commission of Bangladesh Higher Education Quality Enhancement ProjectAcademic Innovation Fund Operations Manual (AIFOM)

Education is a powerful weapon which you can use to change the world.

-- Nelson Mandela

1 Strategic Context

1.1 The Changing Scenario

The final decades of the last century 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 20 th

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

1AIF Operations Manual: 4th Edition

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 Sustainable Development Goals (SDGs) and the higher education sector development objectives as in the 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 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

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.


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 20543.16 million).3

3 The AIF Round 33.1 Under the additional funding and DPP III, the estimated total cost of component 1 of

HEQEP: Academic Innovation Fund (AIF) amounts to US$93.2 million (Taka 7762.060 million)4. Under the component 1 a third round of AIF was included in addition to the two rounds that were in the original project design and scheduled to close by December 2015. In the third round, the following activities were undertaken:

(i) 135 subprojects were awarded under W-1, W-2 and W-3 with a total value of BDT 2375.41 million (USD 29.7 million);

(ii) 10 subprojects were awarded under W-4 with a total cost of BDT 646.4 million for collaborative research with industry partners;

(iii) Two subprojects were awarded under window-3 with a total value of TK. 40.0 million for Technology Transfer Office (TTO) proposals.

3.2 Following the joint mid-term review of the project implementation in August 2016, it was noted that a sum of over BDT 1067.65 million will be left unutilized after implementation of all the project activities by December 2018. It was therefore agreed by the World Bank and GoB to undertake the following new activities during the remaining period of the project;

(i) Award of additional AIF subprojects under 3rd round window-4 of for the establishment of FAB Labs in universities, and a sum of BDT 160 million would be earmarked for this purpose. Each subproject would have a maximum cost of BDT 16.0 million.

Following this, 16 Fab Lab proposals have been evaluated by reviewers and eight proposals have been final awarded to seven public and one private universities.

(ii) A new Round-4 of AIF will be organized for the following activities:

(a) window-1 subprojects for those entities of eligible universities which were not awarded window 1 subprojects before;

(b) provide supplementary funding for keeping the equipment operational procured under completed window-1, window-2 and window-3 subprojects.

3.3 This fourth edition of AIFOM will exclusively deal with the new Round 4 of the AIF.5

4. AIF Round 4 Cost3 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.


4.1 The estimated total cost of the AIF Round 4 amounts to US$ 11.22 million (Taka 897.65 million. The project 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.

4.2 Under the AIF Round 4, The AIF will allocate its resources through two categories of competition : (i) Window 1- Improvement of teaching and learning, (ii) Supplementary Funding (SF) to completed W-1, W-2 and W-3 AIF subprojects. The rationale for AIF Round-4 are as follows:

4.3 The Rationale for new Round 4

Objectives of the AIF component of HEQEP are mainly (i) creating enabling conditions for teaching-learning in degree offering entities of the eligible universities through Window-1 subprojects; (ii) creating enabling conditions for research in the fields relevant to the economic development of the country through subprojects under Window-2, and (iii) developing university-wide facilities like libraries, campus network etc. through subprojects under Window-3, (iv) initiating an Innovation Ecosystem in the country by supporting research on specific topics to generate knowledge which can be converted into wealth through collaborative research with an industry (Window-4) and supporting the establishment of FAB Labs in universities to promote innovations. The number of beneficiaries is obviously highest for Window-1 and Window-3 subprojects, since all students and teachers of an entity are benefitted. The primary objective of the universities is to transform the young students of about 18 years of age into mature graduates who have acquired a minimum amount of knowledge in specific fields and are capable of adopting a life-long learning procedure and analyzing any situation or problem in real life and deciding on a solution. This demands a minimum amount of logistics for any program-offering entity. To enhance the quality of higher education in Bangladesh, funds were granted under Window-1 of AIF to program offering entities on a competitive basis, and in the three rounds of competition, 71 entities won the award, although over several hundred entities took part in the competition.

4.4 However, only about one-fifth of the entities in the eligible universities received AIF grants under Window-1. Consequently, a marked difference in the status of the award-winning departments and the non-receiving departments, as well as their students and teachers, resulted. In the long run, this is not really healthy for any university, and with time may even result in differential quality graduates within a university which is not desirable anyway. The spirit of competition is considered healthy and has been appreciated by all, but the losers of the earlier rounds of competition are eagerly waiting for a new round of AIF. To satisfy the

5 The AIF rounds 1, 2 & 3 subprojects are being administered by respectively the first (blue cover), second edition (yellow cover), and third edition (green cover) of AIFOM, published respectively in April 2010, June 2011 and December 2013.


expectations of universities for future subprojects under Window-1, it was agreed to launch another new Round-4 only for those entities which were not awarded any Window-1 subproject in the previous rounds of AIF.

4.5 Supplementary Funding (SF) to Completed W-1, W-2 and W-3 AIF Subprojects:AIF was a new opportunity for the academics of the country, and the preparation of a Complete Proposal (CP) for funding activities for creating enabling conditions for teaching-learning and research demanded a huge amount of academic and market survey exercise. After an initial nucleation period, the interest in AIF grew high among the academics. Since the proposals had to be submitted within a given time, the rather inexperienced academics often misjudged their requirements, and serious lapses in their sub-project design surfaced during the implementation period. The peer reviewers were also inexperienced, and it was not possible for them to point out such lapses. For example,

Important spares and accessories of expensive equipment were not included; Essential supporting equipment was not included; e.g., a fume cupboard was

not included in the list of equipment for a chemistry practical laboratory; Guarantee for the availability of service facilities from the supplier was not

assured, and now service has to be procured at an inflated price; Capacity building for basic repair and maintenance of equipment were not

properly addressed.

Further, in some cases the SPMs were advised to cut down budget drastically during budget rationalization to enable the award of maximum number of subprojects, and they had to omit even some of their essential requirements.

The AIF grant enabled the SPMs to procure a certain amount of consumables for academic activities. Although the UGC has in the meantime increased its budget allocation for universities for maintenance of equipment and procurement of consumables it will require more time till UGC obtains enough fund from the government to satisfy the requirements of the universities. It will be unfortunate if the facilities procured remain under-utilized during the next several years before the UGC succeeds in procuring the necessary funds. A portion of the fund has therefore been allocated to provide supplementary support to previously implemented subprojects of all the three windows. Proposals for SF will be evaluated by UGCBAIF with support from HEQEPU on the basis of previous performance, justification and need.

5 AIF Coverage in Round-45.1 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 Round-4

6.1 Window -1 (Teaching and Learning)

To create enabling conditions for teaching-learning in degree-offering entities in the universities by:

6.1.1 Enhancing the professional skills of the academic staff as well non-academic personnel of the entity;

6.1.2 Modernizing the undergraduate and graduate education programs by formulating a flexible and student-centered curriculum that emphasizes acquisition of language skills, communication skills and IT to enhance employability of the graduates;

6.1.3 Improving 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 including class rooms and laboratories by furnishing them with modern teaching-learning tools and equipment and support facilities.

6.1.4 Enriching the academic culture by regularly arranging seminars on relevant topics with invited resource persons if necessary.

6.2 Supplementary Funding (SF) to Completed Sub-projects

To derive maximum benefit from the previous investment under a completed subproject by:

6.2.1 Procuring some essential equipment, spares and accessories which would supplement the utility of the previously procured equipment;

6.2.2 Procuring consumables necessary for ensuring optimum use of the facilities created under the subproject;

6.2.3 Arranging the servicing and repair of equipment;

6.2.4 Renovating and refurbishing classrooms, libraries and laboratories;

6.2.5 Arranging training workshops for the use and maintenance of equipment;

6.2.6 Holding workshops and seminars on academic issues and research findings;


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 and learning projects.

7 Beneficiaries and Expected Results7.1 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 infrastructure (competencies of teachers, improved classroom and laboratory conditions, collection of books and journals for library, improved Internet connections, student satisfaction etc.);

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

Teaching-Learning

Enhanced capacity and opportunities to launch innovative 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;

Teaching-Learning

Increased opportunities and access to innovative 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


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

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);

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

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;

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 communities/organizations through digital library facilities and REN; Increased opportunities to monetize the intellectual properties through technology transfer office.

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

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, labs/workshops and infrastructure;

Improved opportunities to acquire new scientific knowledge and information; and access to international research communities/organizations through digital library and REN;

Improved access to library, reference books and journals published at home and abroad;

Improved academic contacts with teachers.

Research

Increased opportunities to


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 enhancement problem in teaching-learning and research;

Strategic analysis capacity building through program and design of academic improvement plans and change in management practices.

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 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;

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/organizations through digital library and REN;

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 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 Supplementary Funding to Completed Sub-projects

8.2.2.1 Number of students and faculties using the equipment/facilities;

8.2.2.2 Number of new researches undertaken with supplementary funding;

8.2.2.3 Number of enrolled MS/MPhil/PhD students;

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 Institutional Management

8.2.3.1 Percentage of AIF allocated sub-projects successfully and satisfactorily implemented;

8.2.3.2 Utilization rate of transferred resources by the universities according to the set criteria;

8.2.3.3 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 universities6 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 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 10.7.

9.4 The group formation of universities of the AIF remain same as in the third round and the groups are presented in Annex 3.

10 The AIF Round 4 Allocation

10.1 The total budget envelop for AIF fourth round amounts to US$ 11.22 million7 (Tk 897.65 million). Out of this amount US$8.97 million (Tk 718.12 million, 80% of

6 Dhaka University (1921), Rajshahi University (1953), Bangladesh Agricultural University (1961), Bangladesh University of Engineering & Technology (1962), Chittagong University (1966) and Jahangirnagar University (1970).7 IDA US$ 28.5 million and GoB US$ 1.5 million.


the total) will be allocated for Windows 1 and US$ 2.24 million (Tk 179.53 million, 20% of the total) will be allocated to supplementary funding to previously completed Window 1, Window 2 and Window 3 subprojects.

10.2 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).

10.4 The lower and upper limits of an individual grant for a sub-project in arts, humanities and social sciences under Teaching-Learning (Window 1) will be respectively Tk 3.0 million and Tk 10.0 million, and for sciences-technologies will be respectively Tk 3.0 million and Tk 30.0 million. In case of supplementary funding to completed AIF subprojects, the lower and upper limits will be Tk 3.0 million and Tk 10.0 million, respectively.

10.5 There will be a ceiling of 20% of total AIF resources for all eligible private universities. Other allocation principles however will remain the same for them.

10.6 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 Fourth Round by Windows, Disciplines and Individual Size of Grants (Million Taka) Total allocation: Tk. 897.65 million

Allo

catio

n

Window-1: Teaching-Learning(80%)

Supplementary Funding to previously completed W1, W2 & W3 sub-projects

(20%) AHSBL Sci- Tech Total

% 20 80 100

In Tk. (Million) 143.62 574.50 718.12 179.53

1. Allocation for groups of universities: Group-A: 60%; Group-B: 30% & Group-C: 10%;2. 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 AHSBL 3.0 10.0

Sci-Tech 3.0 30.0


*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.

10.7 In the 4th round, available AIF resources for Window-1 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. Each university in Group A will be allowed to receive a maximum of 25% of the total allocation for the Group, whereas each Group B and Group C university 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.

This grouping of the universities will be applicable only in the case of Window-1 subprojects.

10.8 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 Fourth Round (Million Taka)

University Groups Group A60% of AIF Grant

Taka 538.59 million

Group B30% of AIF Grant

Taka 269.30 million

Group C10% of AIF GrantTaka 89.76 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*

Window 1 (80%) 430.87 107.72 215.44 43.10 71.81 14.36 718.12

Allocation Principles: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:., 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. 6. In the case of supplementary funding, proposals will be awarded only on the basis of merit. The university group will not be considered for

award. * Upper limit of allocation to a university in that category


11 Indicative Eligible Expenditure11.1 Window-1 subprojects11.1.1 Expenses for in-country training of faculty in teaching learning

methodology, training in the use and maintenance of scientific equipment;

11.1.2 Purchase of teaching aids/materials/stationery;

11.1.3 Purchase of laboratory equipment for teaching laboratories;

11.1.4 Renovation of class rooms, seminar rooms and teaching laboratories;

11.1.5 Expenditures for conferences, seminars, workshops held within Bangladesh related to the AIF sub-project activities.

11.1.6 Incentives for Members of the SPMT .8

11.1.7 Remuneration and travel costs of the visiting professors/scholars/experts from abroad and Bangladesh and provisionally hired teachers/scholars/researchers;9 (W-1);

11.1.8 Salary of provisional officers and support staff for the subproject.

11.2. Supplementary Funding to completed subprojects

11.2.1 Purchase of essential equipment, spares and accessories;

11.2.2 Purchase of consumables;

11.2.3 Expenditure for training in the use and maintenance of equipment;

11.2.4 Expenditure for servicing of equipment procured under the completed subproject;

11.2.5 Expenditure for in-country workshops/seminars on teaching methodology, research findings and higher education, etc.

11.2.6 Renovation of class rooms, libraries and laboratories.

11.2.7 Incentives for Members of the SPMT will be same as sub section 11.1.6 above.

11.2.8 Salary of provisional officers and support staff for the subproject.

11.8 Procurement

Goods, works and services shall have to be procured by following PPR 2008 and WB guidelines where applicable.

8 The SPM and DSPM of a subproject will be eligible for receiving incentives @ three months’ and two months’ basic salary, respectively for the duration of the subproject. Other member of the SPMT will be eligible to receive one month’s basic salary for the duration of the subproject as incentive, also mentioned in Annex 4 of this AIFOM. 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.

9 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 20 of AIFOM).


11.8.1 Goods:

11.8.1.1 Collection of books, journals and equipment (microfilming, photocopier, scanner, dehumidifier, laminator, video recorders, projectors, etc.) for library;

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

11.8.1.3 ICT equipment and accessories;

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

11.8.1.5 Chemicals, specimens, coolants, gas and other consumables needed for research/ experiment in laboratory/workshop;

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

11.8.1.7 Publications of research findings;

11.8.1.8 Printing and stationery.

11.8.2 Works:

11.8.2.1 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);10

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

11.8.3 Services:

11.8.3.1 Remuneration/fee of the visiting professors/scholars/experts and provisionally hired teachers/ researcher assistant/lab assistant/technician;

11.8.3.2 Repair/maintenance of laboratory and office equipment;

11.9 Operational Costs

11.9.1 Maximum 2% of sub-project cost to meet operational expenses (e.g. commuting costs of sub-project’s temporary employees, overtime paid to support staff for arduous work, repair of sub-project equipment, hiring of labors for shifting of sub-project furniture/equipment/materials, honorarium, committee expenses and contingencies etc.)

11.10 Non-Eligible Expenditure11

11.10.1 Salary and allowances for the permanent academic and support staff of the university;

11.10.2 Any establishment/recurring/revenue expenditures of the department/ faculty/ institute/ center/ university;

10 Please refer to section on procurement below.11 Non-eligible expenditures will not be reimbursed by the World Bank and will have to be borne by the university.


11.10.3 Civil works like construction of new physical infrastructure i.e., building, road, laboratory, workshop, classroom, auditorium, library, seminar hall/lecture theatre/room/facilities etc.;

11.10.4 Costs not related to AIF sub-project activities and not included in the sub-project work plan, financing and procurement plans and budget.

11.10.5 Cost of vehicle.

11.11 Cost Escalation and Re-appropriation

11.11.1 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 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. The cost escalation proposal must be supported by the bid evaluation report of the tender committee of the concerned university.

11.11.2 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.

12 Earning by Sub-projects12.1 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.

12.2 Earning from bank interest, sale proceeds of bidding documents, etc., shall be deposited to government treasury.

13 Eligibility for Receiving AIF Grants13.1 In order to be an eligible recipient of the AIF resources the universities should

fulfill the following criteria:

13.2 For All Universities

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

13.2.2 In universities which offer only post-graduate programs, minimum intake of 50 students at post-graduate level.


13.3 For Public Universities

13.3.1 An Act which established the institution as a university.

13.3.2 Establishment of University AIF Secretariat (UAIFS) with qualified manpower for providing support to the SPM.

13.4 For Private Universities

13.4.1 A government Provisional Charter allowing a private university to function under the Private Universities Act 2010;

13.4.2 Functioning in a permanent campus owned by the university as stipulated in the Private Universities Act 2010;

13.4.3 Reserve fund in a scheduled bank as stipulated in the Private Universities Act 2010;

13.4.4 Compliance with Private University Act 2010.

13.4.5 Holding of at least one convocation;

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

13.4.7 Establishment of AIF Management Unit (AIFMU) with qualified manpower for providing support to the SPM.

13.5 For Window-1 sub-projects

The following criteria must be fulfilled for submission of Window-1 sub-projects

13.5.1 The entities who received AIF grants earlier under Window-1 are not eligible to apply in this round of competition.

13.6 For Supplementary Funding to completed AIF Sub-projects

The following criteria must be fulfilled for submission of sub-projects of this category

13.6.1 The entities which successfully completed AIF subprojects under Window-1 and Window-3 and submitted Project Completion Report are eligible to apply. Similarly, SPMs/DSPMs/Members of SPMT of those Window-2 subprojects which have been successfully completed and for which PCRs have been submitted are eligible for applying for supplementary funding of the respective subproject.

14 Matching Funds from Private Universities14.1 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.

15 Call for Proposals15.1 The proposal call for the Fourth Round AIF Sub-projects grants will be published

in December 2016 in the national dailies and be posted on UGC and HEQEP websites. Copies of proposal calls will also be sent to all universities from the HEQEPU via e-mail/courier service. The proposal submitting entities shall get eight weeks to prepare the proposals in complete sub-project proposal formats (CP) and submit them to UAIFS/AIFMU by the beginning of 9th week after the publication of the proposal call.

16 Proposal Submitting Entities 16.1 The following entities will be eligible to submit project proposals:16.1.1 Universities;16.1.2 Faculties;16.1.3 Departments;16.1.4 Centers;16.1.5 Institutes;16.1.6 Combination of two or more of the above entities.

16.2 Only teachers are eligible to be SPMs and DSPMs for W-1 and Supplementary Funding.

17 Submission of Proposals17.1 There will be separate formats for complete proposals for Window-1 and for

Supplementary Funding. These are as follows: 12

17.1.1 Complete Proposal (CP) for Improving Teaching-learning at Undergraduate and Master’s level; and

17.1.3 Complete Proposal for Supplementary Funding (CPSF) of previously completed W1, W2 & W3 sub-projects.

The duration of both types of proposals will be 18 (eighteen) months. There will be no scope of extension. The subprojects will be terminated if procurement processes are not completed within 9 (nine) months of inception.

17.2 The Areas/Disciplines/Subjects for Submitting Proposals

17.2.1 Physical, Biological and Earth Sciences17.2.2 Engineering and Technology17.2.3 Medical, Health and Nutritional Sciences17.2.4 Agriculture (includes Crops, Livestock, Veterinary, Fisheries, Poultry and

Horticulture)

12 The two proposal formats are included in the Annexes 5 and Annex 6 of this OM.


17.2.5 Arts, Humanities and Social Sciences17.2.6 Business & Law

18 Institutional Arrangements for Proposal Evaluation/Selection 18.1 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:

18.1.1 University AIF Secretariat (UAIFS) in Public Universities/AIF Management Units (AIFMU) in Private Universities

18.1.2 UGC AIF Secretariat (UGCAIFS)13

18.1.3 Committee of Experts (CE)

18.1.4 Area Review Panels (ARP)

18.1.5 UGC Board for AIF (UGCBAIF)

19 Proposal Submission and Evaluation Procedure 19.1 All eligible proposal submitting entities may submit Complete Sub-project

Proposals (CP) in the appropriate prescribed formats (Annex 5 & Annex 6). All proposals should be submitted in 8 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.

19.2 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).

19.3 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.

19.4 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.

19.5 A Supplementary Funding proposal for a W-1 or W-3 subproject must be formulated with the previous SPM or a faculty nominated by the head of the entity as the SPM. For a Supplementary Funding proposal of a previously completed W-

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


2 sub-project, SPM/DSPM/members of the SPMT may be nominated by the head of the entity from among those faculty members who have been assigned the responsibility of maintaining and using the facilities developed under the subproject. In all cases, the complete proposal will have to be endorsed by the entity.

19.6 An SPMT, including SPM, shall have a total of maximum three members. Officials of Research Centers of universities will be eligible to become members of SPMT but not SPM or DSPM.

19.7 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.

19.8 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.

19.9 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.

19.10 The Vice-Chancellor may recommend any change, modification of scope, budget of the proposals (CP) considering university’s need, strategic plan and development perspective.

19.11 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.

19.12 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.

19.13 UAIFS/AIFMU will ensure that the full version of the CPs in both hard and soft copies is forwarded to UGCAIFS.

19.14 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 CPs14. UGCAIFS will also prepare a Guidelines on CP Evaluation by ARPs following the provisions provided in the AIFOM.

19.15 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.

19.16 Upon receipt of the above materials under Window–1 proposal UGCBAIF shall prepare a distribution matrix of CPs for evaluation by ARPs following recommendations of the CE in this regard. Each CP will be evaluated by two ARPs, and if the marks awarded by them differ by more than 20, it will be evaluated by a third ARP called ER (external reviewer). Thereafter UGCAIFS shall sort out the CPs according to the distribution matrix and make them ready for evaluation by ARPs.

Complete Proposals for Supplementary Funding of previously completed subprojects will be evaluated by the UGCBAIF with the assistance of HEQEPU. A marking system will be adopted for this purpose using evaluation criteria mentioned in Table 5.

19.17 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.

19.18 After the evaluation of CPs by ARPs, tabulation of score sheets will be done by UGCBAIF and CPs that require 3rd evaluation (if needed) 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 and prepare a merit list. It will then 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.

19.19 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.

14 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.


19.20 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 procurement plan and financing plan, as agreed in the workshops, the preliminary selected CPs will be ready for approval.

19.21 HEQEPU shall publish the list of finally selected CPs and the names of concerned institutions by posting 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.

20 Institutional Arrangement 20.1 The schematic diagram of the institutional arrangement for AIF proposal

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


Area Review Panels (ARP)1. Physical, Biological and Earth Sciences2. Medical, Health & Nutritional3. Engineering & Technological4. Agriculture (Crops, Livestock, Veterinary, Poultry, Fisheries and Horticulture)5. Arts, Humanities & Social Sciences6. Business & Law

Committee of Experts (CE) External Reviewers (ER)

University Grants Commission Board for

AIF (UGCBAIF) (UGCBAIF)

UGC AIF Secretariat

(UGCAIFS)

Proposal Submitting EntitiesDepartmentsFacultiesInstitutesCentersUniversitiesCombination of two or more of the above entities

University AIF Secretariat (UAIFS) in Public UniversitiesAIF management Unit (AIFMU) in Private Universities

Figure 1. Institutional Arrangement for AIF Proposal Evaluation/Selection

21 Total Proposal Evaluation/Selection Period 21.1 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.

21.2 The total time required to complete the proposal selection process will be 18 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).


UGCBAIF shares preliminary selected CPs, evaluation score sheets with IDA in 1 day

Completeness checking of CPs by UGCAIFS

in 3 days 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 days week

Distribution matrix of CPs by UGCBAIF for evaluation

by ARPs in 5 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 3 daysPublication of award

in 1 day

Processing of Contracts by UGCAIFS in 1 week

Call for Proposals for 4th round of AIF

Submission of CPs to UAIFS/AIFMU

in 4 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 5 days (if needed)

3rd evaluation of CPs by ERs due to marking gap at ARPs level in 1day if needed)

Preparation of results/scores in a broadsheet by UGCAIFS for UGCBAIF’s review

in 1 week

Final Selection by UGCBAIF in 1 week

Figure 2: Flow Chart on Complete Proposal (CP) Selection Process (11 weeks)


22 University AIF Secretariat (UAIFS) 22.1 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:

22.1.1 Secretarial services to the university authority and faculty staff regarding administration and processing of AIF sub-projects;

22.1.2 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;

22.1.3 Assist sub-project manager in monitoring and evaluation of under-implementation sub-projects;

22.1.4 Assist sub-project manager in submitting monthly progress, quarterly financial progress and six-monthly monitoring reports to the UGCAIFS;

22.1.5 Provide data/information on any aspect of project implementation and management desired by the UGCAIFS in consultation with SPM.

22.2 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 22.1.1 to 22.1.5 above and other directives mentioned in the different sections of this OM under the guidance of the concerned university authority.

22.3 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 22.1.1 to 22.1.5 above.

22.4 Following the proposal call for the 4th round the UAIFS/AIFMU will receive the CPs in prescribed formats (eight 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 to UGCAIFS. These activities will have to be completed within one week of receiving the CPs.

22.5 The UAIFS/AIFMU staff shall receive a block 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 upon submission of bills for the duration of the project. The format of the bill is given in Annex-19. 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.

23 Proposal Evaluation/Selection Process23.1 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.

23.2 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.

24 AIF Secretariat of UGC (UGCAIFS)24.1 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.

25 Terms of Reference of UGCAIFS25.1 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 Contracts executed between the UGC, fund recipient universities and the sub-project managers;

25.2 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.

25.3 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.

26 Functions of the UGCAIFS26.1 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;

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

26.3 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;

26.4 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.

26.5 Prepare a broadsheet on scores for all evaluated CPs.

26.6 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;

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

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

26.9 Establish and maintain a computerized databank on AIF implementation at HEQEPU;

26.10 Coordinate actions and liaise between the fund recipient universities, UGC, MoE and the World Bank in matters of AIF administration and management;

26.11 Disseminate data/information on AIF activities to all concerned agencies, offices and organizations;


26.12 Provide technical and consulting support to the universities, sub-project managers, ARPs and UGCBAIF in matters of AIF;

26.13 Organize and arrange AIF promotion workshops, training programs etc. with the objective to make the stakeholders skilled in writing the proposal, project implementation, procurement, monitoring and evaluation and financial management of AIF sub-projects;

26.14 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;

26.15 Process the Performance Contracts which will be executed between the UGC and AIF grant recipient universities and arrange for their signing;

26.16 Establish and maintain formal contact with the members of ARPs and external reviewers, selected by UGCBAIF in matters of proposal evaluation;

26.17 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;

26.18 Any other task related to the administration and management of AIF resources and sub-project evaluation processing.

27 Pool of Peer Reviewers and Committee of Experts27.1 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.

27.1.1 From the pool, six Area Review Panels (ARPs) will be organized covering six clusters of academic areas.

27.1.2 The rest of the pool members will be designated as External Reviewers (ERs);

27.2 Committee of Experts (CE)

27.2.1 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;

27.2.2 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.


27.2.3 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.

28. The Area Review Panels (ARPs)The ARPs will be organized for each of the following areas:

28.1 Physical, Biological and Earth Sciences28.2 Engineering and Technology28.3 Medical, Health and Nutritional Sciences28.4 Agriculture (includes Crops, Livestock, Veterinary, Fisheries, Poultry and

Horticulture)28.5 Arts, Humanities and Social Sciences28.6 Business & Law

28.7 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.

28.8 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 30 below.

28.9 The ARP members and ERs shall receive honorarium for evaluating proposals.15

28.10 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.

28.11 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.

29 Functions of Peer Reviewers29.1 For Window-1 subprojects, 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. However, separate criteria of evaluation for proposals of Supplementary Funding will be followed using Table 5.

29.2 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.

15 @ Taka 10,000/- per CP.30

AIF Operations Manual: 4th Edition

30 Evaluation Criteria for Peer Reviewers

30.1 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 7 of this AIFOM.


Table 4: Evaluation Criteria for Complete Sub-project Proposals (Window-1) 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; 51.3 The overall quality of the proposal design; 5what 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 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;

10

what extent the benefits that would accrue to the institution and the country is realistic in the light of the sub-project activities;

5


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; 57.2 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


Table 5. Evaluation Criteria for CPs for Supplementary Funding: Serial No.

Evaluation Criteria Marks

1. Timely implementation of the completed subproject 202. Performance Indicators 103. Percentage of planned activities completed (FM &

procurement issues)10

4. Monitoring report/field visit report of the completed subproject

10

5. Management of physical assets (existence, operation & maintenance)

15

6. Environmental mitigation measures adopted 107. Rationale for supplementary funding 158. Efforts for sustainability by the entity 10

Total 100

31 UGC Board for AIF (UGCBAIF)31.1 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.

31.2 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;

31.3 The quorum of the UGCBAIF meeting will be four members including Chairman;

31.4 The UGCBAIF and invited external participants shall receive honorarium for attending subproject selection meetings;16

31.5 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

16 @ of Taka 2,000 per person per meeting.34


between approved funding and the fund’s objectives. However in doing so the UGC shall consult both the MoE and the World Bank.

32 Terms of Reference of the UGCBAIF32.1 Ensure that the objectives of the AIF are achieved;

32.2 Ensure equal opportunities to all participating universities in the submission of proposals;

32.3 Decide on eligibility of the CPs for evaluation on the basis of the checklist prepared by the UGCAIFS;

32.4 Confirm that the CPs presented for final selection have been evaluated according to prescribed criteria by the Peer Reviewers;

32.5 Ensure that only fully evaluated proposals are awarded AIF grants;

32.6 Ensure transparent evaluation and selection procedure at all levels;

32.7 Make final selection of the proposals on the basis of evaluation done by ARP members and ERs;

32.8 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 8. 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).

32.9 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.

32.10 Take final decisions at an aggregate level on the awards;

32.11 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 10.7 above;

32.12 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;

32.13 Oversee on-going sub-projects’ implementation and assign UGC members and academics for academic monitoring of subprojects under implementation;

32.14 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 36 of this OM; and

32.15 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.


33 Final Selection Period33.1 The UGCBAIF shall take one week to complete the final selection of proposals.

34. Technical Comments by IDA 34.1 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.

35. Sub-project Management35.1 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.

35.2 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 shall be the same persons who have been proposed in the approved sub-project proposal.

35.3 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;

35.4 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.

35.5 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.

35.6 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;

35.7 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. ;

35.8 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;

35.9 In public universities the provisionally recruited support staff will get salaries and allowances according to university’s relevant pay scales for equivalent posts;

35.10 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;

35.11 The SPM, DSPM and the Members of SPMT, shall receive financial incentives as described in Annex 4 of this AIFOM17;

35.12 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.

36 Disposal of Appeal36.1 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.

36.2 Appeal should reach the UGCBAIF within two weeks from the day of publication of the list of finally selected CPs.

36.3 Upon receipt of the appeal, the UGCBAIF shall examine the evaluation marking thoroughly and redress any inconsistencies, if found.

36.4 UGCAIFS will communicate the decision of the UGCBAIF to the appellant.

37 Performance Contract37.1 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;17 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.


ii. University - the second party, represented by its authorized official;iii. Proposal submitting entity acting through SPM - the third party.

37.2 The format of the Performance Contract for the public universities is attached at Annex 9 of this OM.

37.3 The format of the Performance Contract applicable for private universities is attached at Annex 10 of this OM.

38 Dispute Resolution38.1 Any dispute that may arise between the parties will be settled amicably. If not

resolved amicably, decision of UGCBAIF will be final.

39 AIF Effectiveness Condition39.1 The performance will come into effect from the date of signing by the three

parties.

40 Duration of AIF Sub-Projects

40.1 The maximum duration of an AIF sub-project will be as follows from the date of effectiveness:

40.1.1 For Window 1 sub-projects: 1.5 years; non extendable

40.1.2 For Supplementary Funding : 1.5 years; non extendable;

41. Financial Management

41.1.1 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 Guidelines18 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.

41.1.2 Availability of funds to sub-projects will depend on sub-projects financing plan, work plan, procurement plan etc.

41.1.3 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.

18 The World Bank’s Anti-Corruption Guidelines is attached as Annex 11;38


Therefore the AIF utilizing private universities will have to adhere strictly to the financial management practices delineated in this OM.

41.1.4 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 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.

41.2 Fund Flow and Disbursement Arrangements

41.2.1 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.

41.2.2 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.

41.2.3 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-13.

41.3 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.

41.4 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 followed by the proposal submitting entities. For this purpose, proposal submitting entities shall consult Annex 20 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.

41.5 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.

41.6 Delegation of Financial Power: In matters of procurement of goods, services and works SPMs shall follow the Delegation of Financial Powers of respective university.

41.7 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.

41.8 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-13, 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.

41.8.1 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.

41.9 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.

41.10 Adequacy of Financial Management Arrangement and Action Plan:

41.10.1 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.

41.10.2 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.

41.10.3 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.

41.10.4 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.

41.10.5 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 HEQEPU by the sub-project managers. The sub-project manager will be required to submit a quarterly report included in Annex 14 and a six-monthly progress report to the MEU located within HEQEPU. The six-monthly reporting format has been included in Annex 15.

41.10.6 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.

41.10.7 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.

42. Procurement42.1 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.

42.2 Procurement Methods: The procurement methods to be used for procurement of goods, works and services, are presented under paragraphs 42.2.1 through 42.2.3 below:

42.2.1 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 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 4 th

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.


http://www.worldbank.org/

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.

42.2.2 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 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 42.2.1(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.

42.2.3 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.


42.2.3.1 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.

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.

42.2.3.2 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.

42.2.4 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.

42.3 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.

42.4 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.

42.5 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.

42.6 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.

(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.

42.7 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.

42.8 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.

42.9 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.

42.10 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.

iii. Under the 4th 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. 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.

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.

42.11 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.

42.12 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.

42.13 Overall Procurement Arrangement. The overall procurement arrangement for AIF sub-projects is specified under paragraphs 42.14 through 42.22 below:

42.14 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.

42.15 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 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.

42.16 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.

42.17 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.

42.18 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 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.

42.19. 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.

42.20 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.

42.21 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.

42.22 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 4th 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 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.

43 Monitoring and Evaluation (M&E)

43.1 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.

43.2 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 15 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.

43.3 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 14) to the UAIFS and UGCAIFS. The reporting formats are attached to this AIFOM. These can also be downloaded from HEQEPU website.

43.4. 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.

43.5. 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.

43.6. 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).

44 Environment Management Framework (EMF)44.1 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:


44.1.1 Protect human health;

44.1.2 Minimize environmental degradation as a result of impact of either individual sub-projects or their cumulative effects;

44.1.3 Enhance positive environmental outcomes; and

44.1.4 Ensure compliance with the GoB and World Bank’s safeguard policies.

44.2 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.

44.3 The EMF will be based on the following principles:

44.3.1 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;

44.3.2 The sub-projects will not require any new building construction and as such no land acquisition and screening for site selection will be applicable;

44.3.3 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;

44.3.4 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;

44.3.5 This OM will describe the institutional responsibility and process for environmental screening and related mitigation plans;

44.3.6 The sub-projects will promote sound environmental management and practices within the higher education institutions during implementation

44.4 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.

44.5 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.

44.6 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 16). Similarly, the applicants of research proposal will submit the environmental checklist (Annex 17) 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 in the selected sub-projects and publish quarterly report on environmental compliance of sub-projects based on agreed monitoring indicators.

44.7 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.

44.8 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.


44.9 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:

44.9.1 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.

44.9.2 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;

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

44.9.3 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.

44.9.4 Implementing schedules: Timing, frequency and duration of mitigation measures with links to overall implementation schedule of the project should be specified.

44.9.5 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.

44.9.6 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.

45. Social Management Framework 45.1 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 4th 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-18). The proposal submitting entities will be required to submit the filled in Social Screening Form with the CPs.

46 Monitoring of Sub-projects46.1 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 which will visit samples of projects physically with the objective to monitor their implementation progress according to milestones/performance indicators.

46.2 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.

46.3 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.

46.4 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.


47 Audit47.1 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.

47.2 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.

47.3 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 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.

48 Sanctions48.1 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.


48.2 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.

48.3 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.

48.4 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.

49 Amendment49.1 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.


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 Annual Report 2006, Dhaka






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

University Grants Commission of BangladeshHigher Education Quality Enhancement Project (HEQEP)

Academic Innovation Fund (AIF)

Concept Note on SWOT Analysis

Definition and TemplateSWOT 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

Exte

rnal 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(4th ed.): Concept Note on SWOT Analysis60

AIFOM: Annex 1

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 AnalysisSWOT 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

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 InstitutionsThe 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

Opportunities (future) Threats (future)


AIFOM: Annex 1

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


AIFOM: Annex 2



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 Exchange4. Research Funding5. Citation Impact6. 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 StaffN° of total academic staffN° 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 DN° of full time academic staff holding Master’s degree% of academic staff work load in teaching and researchN° and % of academic staff having computer literacy N° of academic staff upgrading in other institutions as Ph D students/invited professorsor researchers, post-doctorates or attendants in workshops and symposia.

AIFOM 4th Ed: Concept Note on Performance Indicators64

AIFOM: Annex 2

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 yearN° of collaborative research projects established with foreign universities per year

4. Research FundingNº of (competitive) research grants received from national or/and international

sourcesN° of thesis supervised to completion. N° of prizesN° 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 peersN° of edited booksN° 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 ImpactN° 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 workN° and % of academic staff having computer literacy


AIFOM: Annex 2

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 N° of ISI publications generated by postgraduate thesisEmployability 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 programsN° of students per class N° of Ph D candidates (with approved qualifying exams and thesis subject) and their

retention ratesN° 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 yearAccess to information and knowledge. Management Information System (MIS) availableN° of computers connected to the Internet per student enrolledN° 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


AIFOM: Annex 2

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.

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



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) Dhaka6. Bangladesh University (BU) Dhaka7. Bangladesh University of Business & Technology(BUBT)8. Bangladesh University of Professionals (BUP) 9. Bangladesh University of Textiles, Dhaka (BUTex)10. Barisal University11. Begum Rokeya University Rangpur (BRU)12. BGC Trust University (BGCTU)13. BRAC University (BRACU) 14. Chittagong Veterinary and Animal Sci. Univ (CVASU)15. City University (CU)16. Comilla University (ComU)

AIFOM 4th Ed: Group list of universities 68

AIFOM: Annex 3

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 Vishvabidyalay23. 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) Sylhet33. Noakhali Sci. & Tech. Univ. (NSTU)34. Northern University Bangladesh (NUB)35. Pabna Science & Technology University (PSTU)36. Premier University37. Presidency University (PU)38. Prime Asia University (PAU)39. Prime University (PU) 40. Royal University of Dhaka (RUD)41. Shanto Mariam University of Creative Technology42. Sheikh Mujib Maritime University, Chittagong 43. South-East University44. Southern University Bangladesh (SU) Chittagong 45. Stanford University Bangladesh (SUB)46. State University of Bangladesh (SUB)47. Sylhet International University48. The Millennium University49. The People’s University of Bangladesh 50. The University of Asia Pacific (TUAP)51. United International University (UIU)52. University of Creative Technology53. 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) Chittagong57. University of South Asia (USA)58. Uttara University (UU)59. Victoria University of Bangladesh (VUB) Dhaka60. 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 4th Ed: Group list of universities 69

AIFOM: Annex 4


Academic Innovation Fund Fourth Round

Financial Incentives to Members of AIF Sub-project Management Team (SPMT)

Proposal Submitting Entity: Department/Faculty/Center/Institute/University

Subprojects of

Designation of the Member

Maximum permissible

incentive

Conditions

Window-1 and

Supplementary Funding

Sub-Project Manager (SPM) Three months’ basic salary for the duration of

the sub-project*

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 for the duration of

the subproject* Member of the Sub-Project Management Team (SPMT)

One month’s basic salary for the duration of the

subproject*

For private universities, the highest basic salary of the corresponding rank in public universities will apply.

70AIFOM 4th Ed: Financial Incentives for SPMs

AIFOM: Annex 5

Proposal Identification Number (PIN)……………………..

University Grants Commission of BangladeshAcademic 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 17.2 of AIFOM(4th ed): ………………………

2 Implementation Period:……………………………………………………………………

i. Commencement:……………………………………………ii. Completion:…………......………………………………….

3. Subproject Management Team (i) SPM: …………………………………………….

(ii) DSPM:…………………………..

(iii) Member:……………………………..

4. Total costi. In taka……………………………………………

ii. In US$....................................................................

5. General Objectives of the Sub-projectMention the major objectives that are aimed to be achieved:

1.2.3.4.

Note: Please do not write in essay form.

6. Specific Objectives of the Sub-projectMention 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.


69AIFOM 4th Ed: CP for Teaching- Learning

AIFOM: Annex 5

7. 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.

8. 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 Annex 1 of AIFOM (4th ed.) on SWOT Analysis)

9. 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 2011 2012 2013 2014 20151. Total enrolment in undergraduate programs/class2. First year enrollment 3. Average score of first year enrollees in university

admission examination4. First year retention rate of undergraduate students5. Average pass rate in first year classes/courses6. 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 courses10. Total number of full time academic staff 11. Total number of full time academic staff with

PhD degrees12. Total number of full time academic staff with

Master’s degrees13.19

19 Additional data deemed relevant may be added

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AIFOM: Annex 5

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 2011 2012 2013 2014 20151. Total enrolment in Graduate/Master’s program

2. First year enrollment in Graduate/Master’s program3. Number of Graduates/Masters passed each year4. % of students graduating and passing Master’s

program per entry cohort5. 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/ revision11. Total number of thesis/research monographs/

publications by Graduate/Master’s students12. Average number of publications per academic staff

engaged in graduate/ master’s program13.20

10. Please submit/attach the “Table of Milestones” and the “Table Performance Indicators” as per CP Annex-1; Tables 1 & 2.

11. 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:

12. Benefits (Qualitative and Quantitative)20 Additional data deemed relevant may be added here

71 | P a g e

AIFOM: Annex 5

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.

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:

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 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 11 of AIFOM (4th ed.).

Table 3. Summary of Estimated Budget

Type of Sub-Project: Teaching & Learning

Sub-project Title: ……………………………………………………………………………………………………

BDT in LakhEconomic

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

72 | P a g e

AIFOM: Annex 5

15. Please submit/attach the “Work/Activities Plan21” as per CPAnnex 2

16. Please submit/attach the “Financing Plan” as per CPAnnex 3

17. Please submit/attach the “Procurement Plan” as per CPAnnex 4

18. Table of “Training Plan” as per CPAnnex 5

19. Please submit/attach the ‘Detail Budget’ as per CPAnnex- 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 11 of AIFOM(4th ed.). Also note that no CP will be eligible for ARP evaluation without CPAnnex- 6.

20. Sub-project Management Team

Please present the SPMT personnel directly responsible for the management and implementation of the sub-project in formats given in CPAnnex: 9-10.

21. Describe the type of technical assistance/consulting required under the sub-project (if any) and its Terms of Reference (ToR).

22. Describe the linkages/collaboration (if any) with other university/ Department/ Institute/Center/NGO/Business Corporation/Company/Industry etc.

23. Briefly describe the effect/impact of the proposed sub-project on:i. Environment (Soil, Water, Air, Bio-diversity, Biomass etc.)

ii. Women & Childreniii. Employment, Poverty Reductioniv. Institutional Performancev. Academic Program

vi. Entity21 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.

73 | P a g e

AIFOM: Annex 5

vii. Researchviii. Human Development

ix. Food Securityx. Production Innovation

xi. Academic Innovationxii. Quality Assurance Program (if any)

xiii. Governancexiv. Management Practicesxv. Disaster Management

xvi. Any other (please specify)

24. SustainabilityPlease 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;

25. Please attach environment Safety Checklist and Mitigation Plan under the sub-project in the format provided in CPAnnex -7. (Please note that absence of the checklist and mitigation plan will lead to rejection of the CP by UGCBAIF).

26. Please submit/attach “Social Screening Form” as per CPAnnex 8.

27. 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.

74 | P a g e

AIFOM: Annex 5

CP 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 2015

Desired Standard in Year....

12345

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.

75 | P a g e

AIFOM: Annex 5

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 2014/15. 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 2014/15.

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 CPAnnex 2, Table 1 and Section 8 of the Operations Manual.

76 | P a g e

AIFOM: Annex 5

CP 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

Please submit the plan in excel spread sheet as a Gantt Chart (for assistance please consult www.ganttchart.com or www.vertex42.com

77 | P a g e

http://www.vertex42.com/

http://www.ganttchart.com/

AIFOM: Annex 5

CP Annex 3Financing Plan

Type of Sub-Project: Teaching & LearningSub-Project Title: …………………………………………………………………………………………………………..

BDT in Lakh

Economic Code Item of Expenditure /Activity

Year 1 Year 2

TotalQtr 1 Qtr 2 Qtr 3 Qtr 4 Qtr 5 Qtr 6 Qtr 7 Qtr 8Apr-Jun

2017

Jul-Sep 2017

Oct-Dec 2017

Jan-Mar 2018

Apr-Jun

2018

Jul-Sep 2018

(a) Revenue Expenditure:

4500 Pay of Officer (Consolidated): 4501 Office Secretary cum Accountant 4600 Pay of Staff (Consolidated):

Pay for MLSS Sub-Total

Total Consolidated Salary (4500+4600) 4800 Supplies & Services: 4801 Local Travel Expenses 4828 Printing & Stationery

Sub-total 4831 Books & Journals 4833 Advertising & Publicity 4840 Local Training & Study Tour:

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

Sub-total

4883

Incentives for sub-project management team: Honorarium for SPM

Honorarium for DSPM Honorarium for Member SPMT

Sub-total 4899 Other Expenses

Total Supply & Services (4800)

4900 Repair & Maintenance: (Maximum 10% of total budget)

4921 Refurbishing/renovation: (insert each item individually)

78 | P a g e

AIFOM: Annex 5

Total Repair & Maintenance (4900);

Total Revenue Expenditure (4500+4600+4800+4900) (b) Capital Expenditure


6813Machinery & Other Equipments: (insert each item individually) Sub-Total

6814Engineering Equipment:

(insert each item individually) Sub-Total

6815Computer & IT Equipment: (insert each item individually) Sub-Total

6817Computer Software:


6819Office Equipment:


6820

Teaching & Learning Materials: Devices

White Board Books & Journals for Seminar/library

Sub-total

6821

Furniture & Fixtures: Furniture & Fixtures for Seminar/library Furniture & Fixtures for Lecture Theatre/class room Furniture & Fixtures for General Purpose Sub-total

6827Electrical Equipment:


Total Capital Expenditure (6800) Total Cost (a+b)

( c ) Operational Costs (maximum 2% of total cost)

Total Financing (a+b+c)

79 | P a g e

AIFOM: Annex 5

CP 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:

80 | P a g e

AIFOM: Annex 5

CP Annex 4All dates need to be entered in mm/dd/yyyy format

1 US$ = ……BDTTable-B: Procurement Plan for Goods Contract

Sl. N

o.

Cont

ract

Pac

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eliv

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Im

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as

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over

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arks

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

81 | P a g e

AIFOM: Annex 5

CP Annex 4All dates need to be entered in mm/dd/yyyy format 1 US$ = ………..BDT

Table-C: Procurement Plan for Works Contract

Sl. N

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Cont

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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 packages) 0 Total (All Prior Review Contracts) 0 Total (All NCB and Shopping/RFQ Contracts) 0


82 | P a g e

AIFOM: Annex 5

CP Annex 4All dates need to be entered in mm/dd/yyyy format 1 US$ = ………..BDT

Table-D: Procurement Plan for Non-consulting Services Contract

Sl. N

o.

Cont

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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



83 | P a g e

AIFOM: Annex 5

CP Annex 4All dates need to be entered in mm/dd/yyyy format 1 US$ = ……BDT

Table-E: Procurement Plan for Consultancy Services Contract

Sl. N

o.

Cont

ract

Pac

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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 packages) 0Total (All Prior Review Contracts) 0


84 | P a g e

AIFOM: Annex 5

CP Annex 5

Training/ Visit/ Study Tour Plan

Subject of Training Duration Participants Place/Location/

InstitutionEstimated Cost

PeriodFrom To

Local:

Note: Please do not write name of any participant in this table.

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AIFOM: Annex 5

CP 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 & LearningSub-Project Title: …………………………………………………………………………………………………………..

BDT in Lakh

Economic Code* Item of Expenditure /Activity Unit Quantity Rate

Estimated

Cost(Taka)

% ofEstimated

Cost(a) Revenue Expenditure:

4500 Pay of Officer (Consolidated)**:

4501 Office Secretary cum Accountant

Sub-Total

4600 Pay of Staff (Consolidated): Pay for MLSS

Sub-Total Total Consolidated Salary (4500+4600)

4800 Supplies & Services: 4801 Local Travel Expenses

4828 Printing & Stationery Sub-total

4831 Books & Journals 4833 Advertising & Publicity

4840 Local Training & Study Tour:

Sub-total

4842



Sub-total

4874

Consulting Services:(Not exceeding 10% of total project cost)

Consultant for………………………

Travel & hospitality costs for visiting academics

Sub-total

4883

Incentives for sub-project management team: (Consult Annex-4 of AIFOM)

Honorarium for SPM Honorarium for DSPM Honorarium for Member SPMT

Sub-total 4899 Other Expenses


4900 Repair & Maintenance: (Not exceeding 10% of total project cost)

4921Refurbishing/renovation: (insert each item individually) Total Repair & Maintenance (4900);

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AIFOM: Annex 5

Total Revenue Expenditure (4500+4600+4800+4900)



6813

Machinery & Other Equipments:

(insert each item individually)

Sub-Total

6814

Engineering Equipment: (insert each item individually)

Sub-Total

6815Computer & IT Equipment: (insert each item individually) Sub-Total



6819Office Equipment:


6820


White Board Books & Journals for Seminar

Sub-total

6821

Furniture & Fixtures: Furniture & Fixtures for Seminar/library

Furniture & Fixtures for Lecture Theatre/class room

Furniture & Fixtures for General Purpose

Sub-total

6827Electrical Equipment:


Total Capital Expenditure (6800)

Total Cost (a+b)


Total Sub-Project Cost (a+b+c)

Economic codes are available in Annex 20 of this AIFOM ** Please consult Annex 4 of this AIFOM(4th ed.) Additional items may be added by extending the no of rows in each component

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AIFOM: Annex 5

CP Annex 7IMPORTANT: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) ………………….

University Grants Commission of Bangladesh Higher Education Quality Enhancement Project

Academic Innovation Fund(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: ____________________________________________

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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

Tentative Start Date: _____________________________________________________________

______________________________________________________________________________

Brief description of small infrastructure renovation/ refurbishing work (Within 200 words).

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AIFOM: Annex 5

Checklist

Sl # Screening Questions Yes No Possible Negative Environmental Impact22

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?

10 Will any building materials be removed/disposed 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?

22 If the answer of the questionnaire is ‘Yes’, please describe the possible negative environmental impact.

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AIFOM: Annex 5

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: ________________________________

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AIFOM: Annex 5

CP Annex 7 (Attachment A)

Higher Education Quality Enhancement ProjectAcademic Innovation Fund

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

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AIFOM: Annex 5

CP 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.

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AIFOM: Annex 5

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 [ ] No3. Does your institute’s catchment area has a significant number of Tribal People (TP)?

[ ] Yes [ ] No4. Does your proposed activities ensure equal inclusion right to the TP?

[ ] Yes [ ] No5. Does your proposed activity pose any threat to cultural tradition and way of life?

[ ] Yes [ ] No6. 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 [ ] No8. 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: ………………………….

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AIFOM: Annex 5

CP Annex- 9

Indicative Organogram of the Sub-project Management Office for Window-1 Subproject

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

95 | P a g e

Sub-ProjectManager (SPM)

(Faculty)

M L S S

Member(Faculty)

Office Secretarycum Accountant

DeputySPM

(Faculty)

AIFOM: Annex 5

CP Annex 10Sub-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)

SPMDSPMMember 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 CPAnnex 9

** Hours per person per week

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AIFOM: Annex 5

CP Annex 10 (Attachment A)

RESUME of the Sub-project Manager (SPM)

1. PERSONAL DATALAST 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 DATAUNDERGRADUATE UNIVERSITY COUNTRY YEAR

GRADUATE UNIVERSITY COUNTRY YEAR

3. PRIOR EXPERIENCE IN IMPLEMENTING PROJECT/RESEARCHTITLE OF THE PROJECT/RESEARCH ACTIVITIES

DONOR/SPONSOR

POSTION IN THE PROJECT

YEARFROM TO

4. PRIOR POSITIONSINSTITUTION POSITION FROM TO

5. INSTITUTIONAL ADDRESSNAME OF INSTITUTION

LOCATION & ADDRESS WEBSITE E-MAIL

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AIFOM: Annex 5

CP Annex 10 (Attachment B)

RESUME of the Deputy Sub-project Manager (DSPM)



TELEPHONE (HOME)

MOBILE NUMBER


CURRENT POSITION





3. PRIOR EXPERIENCE IN IMPLEMENTING PROJECT/RESEARCHTITLE OF THE PROJECT/RESEARCH ACTIVITIES

DONOR/SPONSOR


YEARFROM TO




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AIFOM: Annex 5

CP Annex 11

Endorsement of the Proposal by University Managementa. 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-projecti. 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)with name, seal and date

-------------------------------------------------------------------- Signature of the Head of Proposal Submitting Entitywith 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

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AIFOM: Annex 6


Complete Proposal (CPSF)

for

Supplementary Funding to Previously Completed AIF Sub-projects of Window 1, 2 & 3

2. a. Sub-project Title …………… …………………………………… .. …………………………………………………….. … ………………. …..

b. Area/Discipline/Subject as per 17.2 of AIFOM : ................................................... c. Window and CP number: ……………………………….. d. Entity: ………………………………………………………..e. University: ………………………………………………….

3. Subproject Management Team (the designation in the original subproject to be mentioned)(iv) SPM: ……………………………………………. (v) DSPM:…………………………..(vi) Member:……………………………..

4. Implementation Period: i. Commencement:…………………………

ii. Completion:………………….…………iii. Date of Submission of PCR: …………….

(Please attach a copy of the PCR)

5. Total cost (BDT):a.In the original CP …………………………..b. After budget rationalization: ……………………….c.Cost escalation (if any): ………………………………….d. Amount utilized: ………………………………..e.Supplementary Funding applied for : Tk: ………………………

in USD :…………………………….

6. Specific objectives of the CPSF

1.2.3.

7. General Objectives of the completed Sub-project

(a) Major objectives as mentioned in the approved CP:

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AIFOM: Annex 6

1.2.3.4.

(b) Objectives achieved upon implementation:


1.2.3.4.

(c) Objectives which could not be achieved upon implementation:Note: Please do not write in essay form.

1.2.3.4.

8. Specific Objectives of the Completed Sub-project: As mentioned in the approved CP Status of Achievement with reasons for shortfall 1.

2.

3.

9. Impact of Budget Rationalization on Objectives of the Completed subproject:

10. List of teaching aids and laboratory equipment, cost and present status: (completed subproject)

Serial Description Number Total cost Status

AIFOM 4th Ed: CP for Supplementary Funding

101

AIFOM: Annex 6

11. Status of Performance Indicators of the original Subproject:

Serial No. Performance Indicator Base Value Calculation method Value attained

12. Details of servicing/repair of any equipment required:

Sl. No.

Name of major equipment

Cost of equipment when procured(BDT)

Date of commissioning

Type of servicing needed*

Actions taken so far

Estimated cost

123456

*minor servicing/replacing spare parts/major repair/software problem/total replacement/new attachment/etc

13. List of additional items/equipment with estimated cost and justification:

Serial No.

Description Estimated cost Justification

14. List of consumables (chemicals, reagents, cartridge, toner etc) needed for sustainability of the subproject activities.

Sl. No.

Consumables desired with quantity and purpose

Action taken so far Estimated cost

123456

15. Specify proposed in-country training programs mentioning organizer, resource persons, participants, duration, venue and estimated cost:


102

AIFOM: Annex 6

Serial no. Description with duration Organizer Resource persons participants Estimated cost


103

AIFOM: Annex 6

16. Specify proposed workshops/seminars to be organized under the subproject:

Serial No.

Theme and duration of the workshop/seminar

Resource Person Participants Estimated cost

17. Please submit/attach the “Table of Milestones” and “Table of Performance Indicators” as per CP Annex 1, Tables 1 & 2.

18. 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.

19. Benefits (Qualitative and Quantitative)

Describe the benefits to be gained from additional funding of the sub-project in terms of improving the effectiveness of the original subproject in enhancing the quality of higher education in the institution.

20. Operation & Maintenance of Equipment/Instrument

Describe the capacity (technical and financial) of the proposal submitting entity developed under the subproject for the operation and maintenance of equipment/instruments procured and to be procured under this sub-project. Please mention the proposed plan to build required additional capacity:

21. 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 11 of AIFOM (4th ed.) and submit the table in excel spread sheet).


104

AIFOM: Annex 6

Table 3. Summary of Estimated Budget

Type of Sub-Project: Supplementary Funding to Previously Completed AIF Sub-projects

Sub-Project Title: ………………………………………………………………………………………………………..BDT in Lakh

Economic Code* Items of Expenditure Unit QuantityEstimated

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



Total Capital Expenditure

Total Cost (a+b)

( c ) Operational Costs/Contingencies (maximum 2% of total cost)


Economic codes are available in Annex 20 of this AIFOM(4th Ed)

22. Please submit/attach the “Work/Activities Plan23” as per CPAnnex-2

23. Please submit/attach the “ Financing Plan” as per CPAnnex-3

24. Please submit/attach the table of “Procurement Plan” as per CPAnnex-4 (Tables A-E)

25. Please submit/attach the “Training Plan” as per CPAnnex-5

26. Please submit/attach the ‘Detail Budget’ as per CP Annex- 6.

Please give justification of any item and its cost if it exceeds 15% of the total budget. Also note that no CP will be eligible for ARP evaluation without CP Annex- 6.

23 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.


105

AIFOM: Annex 6

27. Describe the type of technical assistance/consulting required under the sub-project (if any) and its Terms of Reference (ToR).

28. Describe the linkages/collaboration (if any) with other university/ Department/ Institute/ Center/ NGO/Business Corporation/Company/Industry etc.

29. Briefly describe the effect/impact of the proposed sub-project on:xvii. Environment (Soil, Water, Air, Bio-diversity, Biomass etc.)

xviii. Women & Childrenxix. Employment, Poverty Reductionxx. Institutional Performance

xxi. Academic Programxxii. Entity

xxiii. Researchxxiv. Human Developmentxxv. Food Security

xxvi. Production Innovationxxvii. Academic Innovation

xxviii. Quality Assurance Program (if any)xxix. Governancexxx. Management Practices

xxxi. Disaster Managementxxxii. Any other (please specify)

30. SustainabilityPlease 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;


106

AIFOM: Annex 6

31. Please attach environment Safety Checklist and Mitigation Plan under the sub-project in the format provided in CP Annex -7. (Please note that absence of the checklist and mitigation plan will lead to rejection of the CP by UGCBAIF)

32. Please submit/attach “Social Screening Form” as per CP Annex 8.

33. 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 CPAnnex-9 &10.

34. 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.


107

AIFOM: Annex 6

CP 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 2015

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. 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.

108 | P a g e

AIFOM: Annex 6

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 2014/15. 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 2014/15.

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 this Operations Manual.

s

109 | P a g e

AIFOM: Annex 6

CP 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 21 2 3 4 5 6 7 8 9 10 11 12 1 2 3 4 5 6

Please submit the plan in excel spread sheet as a Gantt Chart (for assistance please consult www.ganttchart.com or www.vertex42.com )

110 | P a g e

http://www.vertex42.com/

http://www.ganttchart.com/

AIFOM: Annex 6

CP Annex -3Financing Plan

Type of Sub-Project: Supplementary Funding to Previously Completed AIF Sub-projects Sub-Project Title: …………………………………………………………………………………………………………..

BDT in Lakh

Economic Code Item of Expenditure /Activity

Year 1 Year 2

TotalQtr 1 Qtr 2 Qtr 3 Qtr 4 Qtr 5 Qtr 6April

-June 2017

Jul-Sep 2017

Oct-Dec 2017

Jan-Mar 2018

Apr-Jun 2018

Jul-Sep 2018

(a) Revenue Expenditure:

4500 Pay of Officer (Consolidated):

4501 Office Secretary cum Accountant Sub-Total

4600 Pay of Staff (Consolidated): MLSS


4800 Supplies & Services: 4801 Local Travel Expenses 4828 Printing & Stationery 4831 Books & Journals 4833 Advertising & Publicity

4840 Training (mainly on capacity building including repair & maintenance and use of equipment)

4842



Sub-total

4852Chemicals/Reagent etc (insert major items individually) Sub-Total

4874Consulting Services: (Not exceeding 10% of total project cost) Consultant for…………………………. Sub-total

4883

Incentives for sub-project management team: Incentives for sub-project management team: (Consult Annex-4 of AIFOM)

Honorarium for SPM Honorarium for DSPM Honorarium for Member SPMT

Sub-total

111 | P a g e

AIFOM: Annex 6

4888 Computer Accessories4899 Other Expenses


4900Repair & Maintenance: (only for facilities developed/procured through previously completed AIF sub-projects)

4901 Vehicle: (only for the vehicle procured through previously completed

AIF subproject)4911 Computer , ICT & Office Equipment4916 Machinery and Lab Equipment

4927 Refurbishing/Renovation (Lab, class room, lecture gallery, conference room, seminar/library established by earlier sub-project)

4961 Electrical structure (internal wiring etc)Total Repair & Maintenance (4900) ;




(insert items individually) Sub-Total

6820



Sub-total

6821

Furniture & Fixtures (only for class room/lecture theatre and seminar/library):

Furniture & Fixtures for class room/lecture theatre

Furniture & Fixtures for seminar/library Sub-total

6822Minor Laboratory Equipment/Instrument and their attachment/accessories (insert items individually)

Total Capital Expenditure (6800) Total Cost (a+b) ( c ) Operational Costs; (maximum 2% of total cost)

Total Financing (a+b+c) Please submit the plan in excel spread sheet.

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AIFOM: Annex 6

CP 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:

113 | P a g e

AIFOM: Annex 6

CP Annex -4

All dates need to be entered in mm/dd/yyyy format1 US$ = ……BDT

Table-B: Procurement Plan for Goods Contract

Sl. N

o.

Cont

ract

Pac

kage

Num

ber

Cont

ract

Des

crip

tion

Uni

t

Qty

/ N

os.

Est

imat

ed P

rice

in

U

S$

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n

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etho

d

Proc

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ent

G

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lines

(P

PA /

BG

)

Prio

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Yes

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A

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ving

A

utho

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*

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id

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eliv

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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 packages) 0 Total (All Prior Review Contracts) 0 Total (All NCB and Shopping/ RFQ Contracts) 0


114 | P a g e

AIFOM: Annex 6

CP Annex-4

All dates need to be entered in mm/dd/yyyy format 1 US$ = ………..BDTTable-C: Procurement Plan for Works Contract

Sl. N

o.

Cont

ract

Pac

kage

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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



115 | P a g e

AIFOM: Annex 6

CP Annex -4

All dates need to be entered in mm/dd/yyyy format 1 US$ = ………..BDT

Table-D: Procurement Plan for Non-consulting Services Contract

Sl. N

o.

Cont

ract

Pac

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Cont

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Des

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Uni

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date

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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



116 | P a g e

AIFOM: Annex 6

CP Annex -4

All dates need to be entered in mm/dd/yyyy format 1 US$ = ……BDTTable-E: Procurement Plan for Consultancy Services Contract

Sl. N

o.

Cont

ract

Pac

kage

Num

ber

Cont

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Des

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Uni

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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 packages) 0Total (All Prior Review Contracts) 0


117 | P a g e

AIFOM: Annex 6

CP Annex -5

Training/ Visit/ Study Tour Plan

Subject of Training

Duration Participants Place/Location/Institution

Estimated Cost

PeriodFrom To

Local:

Note: Please do not write name of any participant in this table.

118 | P a g e

AIFOM: Annex 6

CP Annex -6

Details of Estimated Budget

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 11 of AIFOM(4th ed.).

Type of Sub-Project: Supplementary Funding to Previously Completed AIF Sub-projectsSub-Project Title: …………………………………………………………………………………………………………..

BDT in Lakh

Economic Code* Item of Expenditure /Activity Unit Quantity Rate

Estimated

Cost (Taka)

% ofEstimated

Cost(a) Revenue Expenditure:

4500 Pay of Officer (Consolidated)**:

4501 Office Secretary cum Accountant Sub-Total

4600 Staff (Consolidated): MLSS


4800 Supplies & Services: 4801 Local Travel Expenses 4828 Printing & Stationery 4831 Books & Journals4833 Advertising & Publicity

4840 Training (mainly on capacity building including repair & maintenance and use of equipment)

4842

Conference/Seminar/Workshop:

Conference on ………………….. Seminar on……………………. Workshop on……………………… Sub-total

4852Chemicals/Reagent etc (insert major items individually) 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 DSPMHonorarium for Member SPMT

Sub-total 4888 Computer Accessories4899 Other Expenses


4900Repair & Maintenance: (only for facilities developed/procured through previously completed AIF sub-project)

4901 Vehicle (only for the vehicle procured through previously completed AIF subproject)

4911 Computer , ICT & Office Equipment

119 | P a g e

AIFOM: Annex 6

4916 Machinery and Lab Equipment

4927 Refurbishing/Renovation (Lab, class room, lecture gallery, conference room, seminar/library established by earlier sub-project)

4961 Electrical structure (internal wiring etc)

Total Repair & Maintenance (4900)





6820



Sub-total

6821

Furniture & Fixtures: (only for class room/lecture theatre and seminar/library):

Furniture & Fixtures for class room/lecture theatre

Furniture & Fixtures for seminar/library

Sub-total

6822

Minor Laboratory Equipment/Instrument and their attachment/ accessories:


Total Capital Expenditure (6800) Total Cost (a+b)



Economic codes are available in Annex 20 of this AIFOM(4th ed.) ** Please consult Annex 4 of this AIFOM(4th ed.) *** Please consult Section 11 of AIFOM(4th ed.) Additional items may be added by extending the no of rows in each component.

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AIFOM: Annex 6

CP Annex -7IMPORTANT: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)………………….



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

Research Disciplines:

121 | P a g e

Instructions

The purpose of this checklist is to identify potential environment and safety issues related 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

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)

122 | P a g e

AIFOM: Annex 6

Checklist

Sl # Screening Questions Yes No Remarks1 Will the research work be laboratory based?

[If the answer of question 1 is no, then go to question 6.]

2 Do the laboratory hasi 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 worki 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 worki located at or near an environmentally

sensitive area?ii require procurement of hazardous products

(WHO Hazard Class I & II)?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?

123 | P a g e

AIFOM: Annex 6

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?




Name: ________________________________________________________________________





Name: _______________________________________________________________________

Contact Telephone Number and E-mail: ____________________________________________

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AIFOM: Annex 6

CP Annex-7 (Attachment A)







Estimated Cost



Monitoring Location

Responsible Parties

125 | P a g e

AIFOM: Annex 6

CP Annex-8University Grants Commission of Bangladesh Higher Education Quality Enhancement Project


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: …………………………………………………………





Names of MoE/UGC/HEQEPU Member, if any, Participated in Screening: 01.02.03.

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AIFOM: Annex 6

Part B: Activities

1. Major Activities using the HEQEP fund

2. Click if activities include any:

[ ] New construction [ ] Improvements [ ] Repair/Renovation








[ ] Yes [ ] No17. Does your proposed activity severely restrict access to common property resources and

livelihood activities?[ ] Yes [ ] No

18. Does your proposed activity affect places/objects of cultural and religious significance (places of worship, ancestral burial grounds, etc.)

[ ] Yes [ ] No19. Names of TP community members and organizations which participated in Social Screening

(if any): 20. Any social concerns expressed by TP community and organizations, students and teachers? 21. The TP community and organizations perceive the social outcomes of the activity:



[ ] Yes [ ] No

Prepared by (Name): …………………………………………………

Signature: ……………………………………….. Date: ………………………….

127 | P a g e

AIFOM: Annex 6

CP Annex-9

Indicative Organogram of the Sub-project Management Office for Supplementary Funding

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 SPMT only Please do not mention name of any member of the management team in this organogram

128 | P a g e

Sub-ProjectManager (SPM)

(Faculty)

M L S S

Member(Faculty)

Office Secretarycum Accountant

DeputySPM

(Faculty)

AIFOM: Annex 6

CP 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)

SPMDSPMMember 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 CPAnnex 9

** Hours per person per week

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AIFOM: Annex 6

CP Annex 10 (Attachment –A)

RESUME Sub-project Manager (SPM)



TELEPHONE (HOME)

MOBILE NUMBER


CURRENT POSITION





3. PRIOR EXPERIENCE IN IMPLEMENTING PROJECT/RESEARCHTITLE OF THE PROJECT/ RESEARCH ACTIVITY

DONOR/SPONSOR


YEARFROM TO




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AIFOM: Annex 6

CP Annex 10 (Attachment –B)

RESUME Deputy Sub-project Manager (DSPM)



TELEPHONE (HOME)

MOBILE NUMBER


CURRENT POSITION





3. PRIOR EXPERIENCE IN IMPLEMENTING PROJECT/RESEARCHTITLE OF THE PROJECT/ RESEARCH ACTIVITY

DONOR/SPONSOR


YEARFROM TO




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AIFOM: Annex 6

CP Annex 11

Proposal Endorsement by University Managementa. 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 (in Taka):(i) Originally approved subproject:(ii) Supplementary funding requested:

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)with name, seal and date

-------------------------------------------------------------------- Signature of the Head of Proposal Submitting Entitywith 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

132 | P a g e

AIFOM: Annex 7


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.

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AIFOM: Annex 7

Summary ofDistribution 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 20.01.1 Strategic analysis and background data 5.01.2 Objectives and expected results 5.01.3 Proposal design 5.01.4 Innovation nature 5.02. Quality and Clarity of the Milestones and Performance Indicators 10.02.1 Milestones 5.02.2 Performance indicators 5.03. Relevance to the Country and Benefits 20.03.1 Relevance to Higher Education and AIF objectives 5.03.2.1 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)

3.3 Benefits to the institution and the country 5.04. Justification of the Budget 15.04.1 Coherence with proposal design and objectives 5.04.2 Coherence with expected activities and results 5.04.3 Rationale and justification 5.05. Quality of the Management Plan 10.05.1 Work/Activity plan 5.05.2 Training, financial and procurement plans 5.06. Institutional Engagement 5.06.1 Institutional commitment and engagement 5.07. Clarity of Impact Analysis 10.07.1 Impact analysis 5.07.2 Realism and relevance 5.08. Sustainability 10.08.1 Institutional commitments for future interventions 5.08.2 Institutional commitments for future investments 5.0

Total marks 100.0

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AIFOM: Annex 7

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 5.0How 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 5.0Are the specific objectives and expected results clear, coherent and realistic?

1.3 Design 5.0How 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 5.0To 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 5.0To 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 5.0To 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) 10.0To 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

135 | P a g e

AIFOM: Annex 7

economy demand?

3.2.2 Postgraduate student and researcher access to quality (Research) or 10.0To 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 10.0To 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 ;

3.3 Benefits 5.0To 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 5.0To 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 5.0To what extent the proposed investments for all the activities lead to the stated specific objectives and proposed expected results?

4.3 Rationale and justification 5.0To 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 5.0How 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 5.0To 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

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AIFOM: Annex 7

6.1 Institutional commitment and engagement 5.0what 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 5.0How is the clarity and quality of the impact analysis?

7.2 Realism and relevancy 5.0To 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 5.0To 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 5.0To 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

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AIFOM: Annex 7

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

5. Quality of the Management Plan

138 | P a g e

AIFOM: Annex 7

6. Institutional Engagement and Sub-Project Management

7. Clarity of Impact Analysis

8. Sustainability

Any other comments:

------------------------------Signature of ARP / ER

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AIFOM: Annex 8

University Grants Commission of Bangladesh Academic Innovation Fund

Complementary Selection Criteria for UGCBAIF

Basic Selection Principles1. 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.

140 | P a g e

AIFOM: Annex 9

Government of the People’s Republic of BangladeshUniversity Grants Commission of Bangladesh


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 : -----------------------------------------------------------

140AIFOM 4th Ed: Performance Contract for Public University

AIFOM: Annex 9

PERFORMANCE CONTRACTfor

Implementation ofAcademic 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-2017 for approving grant award to the successful applicants for of the Academic Innovation Fund (AIF), Window …….dated ……………2017;

(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 4th Ed: Performance Contract for Public University 141

AIFOM: Annex 9

(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: .......................................…….........................……UniversityAddress:

Tel:

Fax:


Position:

3. THIRD PARTY:Department/Faculty/Center/Institute/ UniversityActing through Sub-Project Manager Name and Designation:Address:

Tel:

Fax:

E-mail:

Sub-project title: [proposal name]

Contract No: _________


AIFOM: Annex 9

Clause 1ASSIGNMENT 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 9

Clause 2DURATION 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 3RESPONSIBILITIES 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.


AIFOM: Annex 9

Clause 4RESPONSIBILITIES 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.


AIFOM: Annex 9

Clause 5RESPONSIBILITIES 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 6PROCUREMENT

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 7FINANCE

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-


AIFOM: Annex 9

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.


AIFOM: Annex 9

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 9

Clause 8SUB-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 9PENALTIES

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 10SUSPENSION 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 9

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 11SETTLEMENT 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 12OTHERS

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 9

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 9

Annex 1

Approved Sub-project Proposal

( ............................................... Title of CP ................................................... )


AIFOM: Annex 10

Government of the People’s Republic of Bangladesh

University Grants Commission of BangladeshHigher Education Quality Enhancement Project


PERFORMANCE CONTRACT

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 : -----------------------------------------------------------

153 | P a g eAIFOM 4th Ed: Performance contract for Private university

AIFOM: Annex 10

PERFORMANCE CONTRACTfor

The Implementation ofAcademic 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:

(i) 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:

(j) 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;

(k) 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;

(l) Pursuant to the UGC Board for AIF (UGCBAIF) meeting held on xx-xx-2017 for approving grant award to the successful applicants for of the Academic Innovation Fund (AIF), Window ……. dated …………… 2017;

(m) Pursuant to the decision no. xx of xxth meeting of the UGCBAIF for awarding grant to the successful applicant for AIF award no. ……….. dated ………….. ;

(n) Provided, the SECOND PARTY means a private university established under the PRIVATE UNIVERSITIES ACT 2010;


AIFOM: Annex 10

(o) 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;

(p) 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/UniversityActing through Sub-Project Manager Name and Designation:Address:

Tel:

Fax:

Email:

Sub-Project title: “[proposal name]”

Contract No: _________


AIFOM: Annex 10

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 10

Clause 2

DURATION OF CONTRACT2.1. 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 3RESPONSIBILITIES 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.


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Clause 4RESPONSIBILITIES 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 5RESPONSIBILITIES 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;


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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 6PROCUREMENT

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 7FINANCE

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


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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:


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(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.


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Clause 8SUB-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 9PENALTIES

9.3 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;

9.4 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 10SUSPENSION 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


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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 11SETTLEMENT 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 12OTHERS

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.


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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 10

ANNEX 1

Approved AIF Sub-project Proposal

( ............................................... Title of CP ................................................... )


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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 Agreement24 providing for a Loan25 governs the legal relationships between the

Borrower26 and the Bank27 with respect to the particular project for which the Loan is made. The responsibility for the implementation of the project28 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.”29 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.

24 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.

25 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.

26 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.

27 References in these Guidelines to the “Bank” include both IBRD and IDA.28 References in these Guidelines to the “project” means the Project as defined in the Loan Agreement.29 IBRD’s Articles of Agreement, Article III, Section 5(b); IDA’s Articles of Agreement, Article V, Section

1(g).

166 | P a g eAIFOM 4th Ed: Anti-corruption guidelines

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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 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.30

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:31

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.32

A “fraudulent practice” is any act or omission, including a misrepresentation, that knowingly or recklessly33 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.

30 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.

31 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.

32 Typical examples of corrupt practice include bribery and “kickbacks”.33 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.


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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.34

8. The above practices, as so defined, are sometimes referred to collectively in these Guidelines as “fraud and corruption”.

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 representatives35 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

34 Such rights include those provided for, inter alia, in paragraph 9(d) below. 35 References in these Guidelines to “representatives” of an entity also include its officials, officers, employees and

agents.


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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 (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 proceeds36 other than the Member Country37 (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 determines38 that such person or entity has engaged in corrupt, fraudulent, collusive, coercive or obstructive practices in connection with the use of loan proceeds;39

36 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.

37 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.

38 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.


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(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, remedies40 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.

39 The 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.

40 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.


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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 5.1 Who is responsible for preparation and

approval of budgets? Are procedures in place to plan entity activities with realistic

AIFOM 4th Ed: Financial Management Questionnaire (FMQ) 171

AIFOM: Annex 12


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?

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


AIFOM: Annex 12


transactions and verify the clerical accuracy of the summary?

9. Internal Audit9.1 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 4th ed: Annex 13

FINANCIAL MANAGEMENT GUIDELINESFOR AIF SUB-PROJECTS

Table of ContentsContents Page noIntroductionAcademic Innovation Fund (AIF)Institutional ArrangementsSub-Project AdministrationSub-Project ManagementSub-Projects Financial ManagementFinancing of the Sub-ProjectBudgetRe-appropriation of Approved BudgetOperating AccountFund Flow to Operating AccountMatching Fund From Private UniversityRequest for AdvanceTransfer of AIF to Operating AccountPayment from Operating AccountCash Basis AccountingBooks of Accounts & Supporting DocumentsBank ReconciliationPetty CashCD VAT TransactionMonth End ProceduresYear End ProceduresUnspent Balance of AIFDocuments Retention by SPMOFinancial ReportingConsolidated Financial ReportInternal ControlCategories of ControlAuditInternal AuditExternal AuditFixed AssetsPhysical Verification of Fixed Assets

174 | P a g eAIFOM 4th Ed: Financial Management Guidelines


List of Annexes

FM Annexes Formats Page noFM Annex 1 Cash BookFM Annex 2 LedgerFM Annex 3 Petty Cash BookFM Annex 4 Cheque Book RegisterFM Annex 5 Income Tax RegisterFM Annex 6 VAT RegisterFM Annex 7 Fund Receipts & Documentation RegisterFM Annex 8 Suppliers RegisterFM Annex 9 Fixed Asset RegisterFM Annex 10 Payroll RegisterFM Annex 11 Consultants Remuneration RegisterFM Annex 12 Bank Account Reconciliation StatementFM Annex 13 Consolidated Financial Statement by UAIFS/AIFMUFM 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



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 41 applicable to recipients of IDA financing. In addition the Governance and Accountability Action Plan (GAAP) of the project has to be followed.42 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 guidance to the Project Director (PD) and his/her team of professionals and specialists 41 The World Bank’s Anti-Corruption Guidelines and GAAP are provided in the AIFOM.42



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;, 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 Account2. Account Number3. Name of Bank 4. Branch5. 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.



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- 30th 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:



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.

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.

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 reconciliation2. Petty cash reconciliation3. General ledger reconciliation4. 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.

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 Activities1-C AIF Activity Report1-D Bank Reconciliation Statement

Part -2: Expenditure Documentation Report

2-A Eligible Expenditure Documentation Report2-B Statement of Expenditure: Subject to Prior Review2-C Statement of Expenditure: Not Subject to Prior Review

Part -3: Request for Advance

3-A Sub-Projects Cash Forecast Statement3-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 SAP43 number on SOE for the contract issued by World Bank should also be mentioned.

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

43 Acronym for “Systems, Applications and Products in Data Processing”.



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.

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.



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



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.

BalanceTk.

Remarks

1 2 3 4 5 6



FMG Annex 3

Petty Cash Book

Date Particulars (with cheque No.)

Folio Page

Debit (receipt)Taka

Credit (payment)Taka

BalanceTaka

1 2 3 4 5 6



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



FMG Annex 5

Income Tax Register

Date Voucher no.

Receipts by deduction Payment to Govt. TreasuryBalance

TakaName of PartyDescription (Total

amount & IT percentage)

Taka Check No./Cash

Chalan no. & date Taka

1 2 3 4 5 6 7 8 9



FMG Annex 6

VAT Register

Date Voucher no.

Receipts by deduction Payment to Govt. TreasuryBalance

TakaName of PartyDescription (Total amount & VAT

percentage)Taka Check No.

/CashChalan no.

& date Taka

1 2 3 4 5 6 7 8 9



FMG Annex 7

Receipt of Fund and Deduction of Eligible Expenditure

Application No Advance Received from HEQEPExpenditure Documented

Against Advance(Taka) Balance

Taka

Date No. Date Taka Submitted

1 2 3 4 5 6



FMG Annex 8

Supplier’s Register

Name of Supplier:

Date Particulars of Goods Supplied InvoiceAmount

Payments (Taka)

Deduction Check No.& Date Total

VAT Income Tax Others Total

1 2 3 4 5 6 7 8 9



FMG Annex 9

Fixed Asset Register

Description of Assets: Group:

Date of Purchase/

SoldInvoice no. Name and address Voucher/

MR No.

Purchased Sold/Write off BalanceLocation Asset ID Signature of

receiverQuantity Value Tk. Quantity Value Tk. Quantity Value Tk.

1 2 3 4 5 6 7 8 9 10 11 12 13



FMG Annex 10

Payroll Register

Name:Designation

Date of Joining:Pay-scale

Date Month

Salary & Allowances DeductionsNet

Payment SignatureBasic Pay

House Rent

Medical Allowance Others Gros

s GPF House Rent Advances Group

InsuranceBenevolent

FundTotal

Deductions

1 2 3 4 5 6 7 8 9 10 11 12 13 14 15


AIFOM 4th ed: Annex 13FMG 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 4th ed: Annex 13FMG Annex 12

Bank Reconciliation StatementAs on :_________________________

Account no:Name of Bank:Address:

Taka Taka

Add: 1. Amount deducted by bank but not entered in bank bookDate Check no. Particulars Amount

Amount deposited but not credited by bank

Total

Less: 1. Checks issued but not presented for encashmentDate 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 4th ed: Annex 13 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 SubprojectIDA Oth

ersTO

TALIDA Oth

ersTO

TALIDA Othe

rsTOTA

L1 2 3 4 5 6 7 8 9 10 11

Opening Bank BalanceAdd: ReceiptsTotal Funds AvailableLess: Uses of Fund1 Name of Sub-Project2 Name of Sub-Project3 Name of Sub-Project4 Name of Sub-Project5 Name of Sub-Project678910

Total Use of FundsClosing Balance

Signature…………………………… Signature …………………….Head of UAIFS/AIFMU Vice-ChancellorName: Name:……………Date: Date:……………….



FMG Annex 14/Page 1Form 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

ParticularsCurrent Quarter Financial Year to Date Cumulative to Date Approved Budget

(for sub-projects life)HEQEP Others TOTAL HEQEP Others TOTAL HEQEP Others TOTAL1 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


AIFOM 4th ed: Annex 13Head of the Entity

(Name of University)Sub-Project Manager (Title of Sub-Project)



FMG Annex 14/Page 2Form 1-B

Uses of Fund by Sub-Project ActivitiesFor the Quarter: ………………………..

Sub-Project Title:Name of Institution:CP No.

Economic Code

Item of Expenditure/Activities

Actual Expenditure Approved Budget (Sub-

project life)

Budget BalanceCurrent

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

4827 Publication on Research Findings 4828 Printing & Stationary 4829 Financial Support & Allowances 4831 Books & Journals for SPM Office 4833 Advertising & Publicity 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)

201


FMG Annex 14/Page 3Form 1-C

AIF Activity StatementFor the Quarter:


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 II1 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 III1 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)

202


FMG Annex 14/Page 4Form 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……………….

Countersigned by


203


FMG Annex 14/Page 5

FMR (Part 2) Form 2-AEligible Expenditures Documentation Report

For the Quarter:------------------------------------------


Sl. No Description

Eligible Expenditures Documented in BDT

CurrentQuarter

Current Financial

Year

Since inception of Sub-Project

1 Statement of Expenditures (SOE): Subject to prior Review (Form 2B Page--- to -----) -

2Statement of Expenditures (SOE): Not Subject to prior Review (Form 2C Page--- to -----)

Total - - -

Countersigned by


204


FMG Annex 14/Page 6

Form 2-B (For Public University)

Statement of Expenditures (SOE): Subject to Prior ReviewFor the Quarter: ---------------------------------------

Sub-Project Title:Name of Institution:

CP No.Figure in BDT

Sl. No Description

Contract No

& Date

Package No

Selection Method Contractor’s Name Contract

CurrencyContract

ValueAmount 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


FMG Annex 14/Page 7

205


Statement of Expenditures (SOE): Subject to Prior Review Form 2 B (Private university)

For the Quarter: ---------------------------------------Sub-Project Title:Name of Institution: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

AmountTaka

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 byHead of the Entity

Sub-Project Manager(Name of University) (Title of Sub-Project)

206


FMG Annex 14/Page 8Form 2-C (For Public University)

Statement of Expenditures (SOE): Not Subject to Prior Review

For the Quarter:……………………………….


Sl. No. Description Contract Value

Taka

Amount Invoiced

Taka

Amount PaidTaka

1 2 3 4 5

Total - - -

Countersigned by


207


FMG Annex 14/Page 9Form 2-C (For Private University)

Statement of Expenditures (SOE): Not Subject to Prior Review

For the Quarter:……………………………….

Sub-Project Title:Name of Institution:CP no.

Sl. No. Description

Contract ValueTaka

Amount Invoiced

Taka

Amount PaidTaka

Percentage of

Financing

Eligible for Documentation

Taka1 2 3 4 5 6 7 (5X6)

- - - - - - - -

Total -

- - -

Countersigned by


208


FMG Annex 14/Page 10

(FMR Part 3)Form 3-A (For Public University)

Projected Cash Forecast StatementFor the Quarter:____________________________


Sl. No Item of Expenditure

Fund Requirement for the next

quarter-------to-----

Taka



Taka

Total fund requirement

for next 6 months

ending……………………

Taka1 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


209


FMG Annex 14/Page 11Form 3-A (For Private University)

Projected Cash Forecast StatementFor the Quarter:____________________________


Sl. No Item of Expenditure



Taka



Taka

Total fund requirement

for next 6 months

ending……………………

Taka1 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


210


FMG Annex 14/Page 12

Form 3BRequest 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)

211




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)

HeadFund Received for

the QuarterExpenditure for the

QuarterCurrent Year’s Expenditure CD-VAT

Taka Taka TakaRevenueCapitalGrand Total

212AIFOM 4th Ed: AIF Quarterly Progress Report


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 FinancialQtty % 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

213AIFOM 4th Ed: AIF Quarterly Progress Report


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. Training4. Procurement5. Management6. Fund Allocation/Release7. 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_______________

214




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 entityImplementing 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 UnitNº 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.

215


*** Experts appointed following relevant provisions of PPR 2008 or WB Guidelines

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]

216


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

Calculationmethod

verificationmethods

Calculationof BaseValue

BaselineValue inYear 2013

DesiredStandard on TerminalYear..........

Present Value as on ………………………….

Note: Copy 1st 6 Columns from respective SPM’s Table 2 of Final CP. 08. Fund utilization

Description AmountTotal 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-projectPercentage (%) of Utilized Fund Against Total Budget of the Sub-project

217


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: ………………………………………………….

218



Academic Innovation Fund(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: _____________________________________________________________

______________________________________________________________________________

AIFOM 4th Ed: EMP Checklist for Minor Renovation Works

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).

219


Brief description of small infrastructure renovation/ refurbishing work (Within 200 words).

AIFOM 4th Ed: EMP Checklist for Minor Renovation Works 220


Checklist

Sl # Screening Questions Yes No Possible Negative Environmental Impact44

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?

10 Will any building materials be removed/disposed 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?

44 If the answer of the questionnaire is ‘Yes’, please describe the possible negative environmental impact.






Name: ________________________________________________________________________





Name: ___________________________________________________________

Contact Telephone Number and E-mail: ________________________________



Attachment A







Estimated Cost



Monitoring Location

Responsible Parties





Supplementary Funding under 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

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: __________________________

224

Instructions

The purpose of this checklist is to identify potential environment and safety issues related 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).


Brief Description of Research/University-wide Activity (Within 200 words)

AIFOM 4th ed: EMP Checklist for Research Works and University Wide Work 225


Checklist

Sl # Screening Questions Yes No Remarks1 Will the research work be laboratory based?

[If the answer of question 1 is no, then go to question 6.]

2 Do the laboratory hasi 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 worki 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 worki located at or near an environmentally

sensitive area?ii require procurement of hazardous products

(WHO Hazard Class I & II)?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?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?

Signature:




Name: ________________________________________________________________________





Name: _______________________________________________________________________

Contact Telephone Number and E-mail: ____________________________________________



Attachment A







Estimated Cost



Monitoring Location

Responsible Parties


AIFOM 4th ed: Annex-18

Higher Education Quality Enhancement Project (HEQEP)Academic Innovation Fund

SOCIAL MANAGEMENT FRAMEWORK (SMF)

IntroductionAn 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 TriggersThere 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.

229AIFOM 4th Ed: Social Management Frame Work


ObjectivesThe 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 PLANSOnce 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 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 GuidelinesSafeguard 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 ResponsibilitiesAt 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 BuildingThe 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.

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 communitiesActivities 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 2SOCIAL SCREENING FORM

[This form will be filled up by the Principal of the institutes and should submit to the PIU before being selected]

Part A: General InformationScreening Date: …………………………………………………………





Names of PIU/DTE/MoE Member, if any, Participated in Screening: 01.02.03.

Part B: Activities

1. Major Activities using the HEQEP fund2. Click if activities

include any:[ ] New construction [ ] Improvements [ ] Repair/Renovation








[ ] Yes [ ] No



28. Does your proposed activity severely restrict access to common property resources and livelihood activities?

[ ] Yes [ ] No29. Does your proposed activity affect places/objects of cultural and religious significance

(places of worship, ancestral burial grounds, etc.)[ ] Yes [ ] No

30. Names of TP community members and organizations which participated in Social Screening (if any):

31. Any social concerns expressed by TP community and organizations, students and teachers? 32. The TP community and organizations perceive the social outcomes of the activity:



[ ] Yes [ ] No

Prepared by (Name): …………………………………………………

Signature: ……………………………………….. Date: ………………………….



Attachment 3

GUIDELINES FOR TRIBAL PEOPLES PLAN

Objectives of Tribal Peoples PlanThe 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 PeoplesAlthough 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 PrinciplesTo 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.

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 ConcernsImpacts 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 MeasuresThe 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 StrategyAs 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.



Annex-19

UAIFS/AIFMU Remuneration Bill[Your University Name] DATE

[Date]

[University Address] Bill # [xxxxxx]Billing Period : [From: …...….. To: ……..….]Sub-Project IDs [CP nos: …, ………, & …... ]

BILL TO Project Director PAYMENT DETAILSHigher Education Quality Enhencement Project Cumulative amount

8th Floor, Dhaka Trade Center received todate

99 Kazi Nazrul Islam Avenue, Dhaka-1215 Amount claimed

8189020 but not received Total Bill Claimed this period

Details of Remuneration PAYMENT TERMS

Name and Designation of payee AMOUNT (BDT)


TOTAL

Prepared By

Verified by

Authorized By (Head, UAIFS/AIFMU)

Make all checks payable to [Your University Name].

Address:

Attached: 1. Individual Timesheet for each staff member duly certified by Head, UAIFS/AIFMUAttached: 2. Individual disbursement receipt for each staff member duly certified by Head, UAIFS/AIFMU


Final Vesion; December 09, 2009 - heqep-ugc.gov.bd Web viewProfessor Dr. M Shah Nowaz Ali, ......

Documents

Transcript of Final Vesion; December 09, 2009 - heqep-ugc.gov.bd Web viewProfessor Dr. M Shah Nowaz Ali, ......