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Higher Education Quality Enhancement ProjectAcademic Innovation Fund

Window 4

Operations Manualfor

Fabrication Laboratory

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Ministry of EducationGovernment of the People’s Republic of Bangladesh

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University Grants Commission of BangladeshOperations Manual for FabricationLaboratory

IFFBPreparation Committee:Professor Abdul Mannan, Chairman, UGCProfessor Dr. Mohammad Yousuf Ali Mollah, Member, UGCProfessor Dr. Dil AfrozaBegum, Member, UGCProfessor Dr.Akhtar Hossain, Member, UGCProfessor Dr. M Shah Nowaz Ali Dr Gauranga Chandra Mohanta ndc, Project Director, HEQEPMr. Sohel Ahmed, AIF Coordinator & Deputy Project Director, HEQEPProfessor Dr. Abutaher M. Ziauddin, AIF Management Specialist, HEQEPMr. Gazi Md. Nazrul Islam, Program Officer (Innovation), 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)UGC Bhaban, Plot # E-18/A, Agargaon Administrative AreaSher-e-Bangla Nagar, Dhaka 1207Phone: 8181631, 9118207, 9122011; Fax: 8181615, 8181617, 9114707E-mail: [email protected], Web: www.ugc.gov.bd

DisclaimerThis Operations Manual should not be considered as a final document that cannot be revised, modified or updated to respond to new challenge or issues that may arise in the course of subproject implementation and to reflect the new imperatives and lessons learned from the collaborative research experience. It is expected that during the course of subproject implementation, the need for such revisions/modifications will be considered and if required will be executed by the UGC in consultation with the World Bank. In the interim period UGCBAIF will be the final authority to explain/interpret any ambiguity that may arise.

Copy RightCopyright 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:

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August 2016

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Operations Manual for Fabrication LaboratoryCover Page iTable of Contents iiiAbbreviations & Acronyms viPreface xForeword xiIntroduction xii

Table of Contents1. Strategic Context....................................................................................................................................1

1.1 Research and Innovation................................................................................................................11.2 The Fab Lab Concept.....................................................................................................................11.3 History of Fab Lab.........................................................................................................................21.4 Criteria for Establishment of a Fab Lab.........................................................................................31.5 Fab Lab Foundation.......................................................................................................................31.6 Some Fab Labs around the Globe..................................................................................................41.7 Fab Lab Initiative in Bangladesh...................................................................................................51.8 Maker Fest and Make-a-thon.........................................................................................................61.9 How a Fab Lab can help Boost Innovation and Entrepreneurship................................................61.10 Fabrication Laboratory...................................................................................................................71.11 Key Characteristics of the “Fabrication Laboratory”....................................................................71.12 Fab Lab Equipment Specification..................................................................................................71.13 Fab Lab Allocation........................................................................................................................81.14 Objectives and Expected Benefits of Fabrication Laboratory.......................................................81.15 Performance Indicators..................................................................................................................8

2. Institutional Arrangements for Fab Lab Subproject Management........................................................92.1 Fab Lab Sub Project Manager and Deputy Fab Lab Sub Project Manager...................................92.2 Fab Lab Operators........................................................................................................................102.3 Technical Guru.............................................................................................................................102.4 Support Staff................................................................................................................................10

3. Proposal Submission and Selection Procedure....................................................................................113.1 Call for Proposal..........................................................................................................................113.2 Eligibility.....................................................................................................................................113.3 Duration of Subprojects...............................................................................................................123.4 Submission of Proposals..............................................................................................................12

3.4.1 Generation of Proposal........................................................................................................123.4.2 Proposal Format...................................................................................................................123.4.3 The Areas and Disciplines for Submitting Proposal:...........................................................12

3.5 Institutional Arrangement for Proposal Evaluation and Selection..............................................123.6 Fab Lab Review Panel (FLRP)....................................................................................................123.7 Evaluation and Selection Criteria................................................................................................133.8 Proposal Submission and Evaluation Procedure..........................................................................133.9 Performance Contract..................................................................................................................14

4. Total Proposal Evaluation and Selection Period..................................................................................155. Financial Management.........................................................................................................................17

5.1 Financial Responsibilities............................................................................................................175.2 Eligible Expenditures...................................................................................................................185.3 Non-Eligible Expenditures...........................................................................................................18

5.3.1 Economic Codes..................................................................................................................18

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5.3.2 Operational Costs.................................................................................................................185.4 Re-appropriation and Adjustment of Budget Items.....................................................................195.5 Earnings by Subproject................................................................................................................195.6 Fund Flow and Disbursement Arrangements..............................................................................195.7 Operating Account.......................................................................................................................19

5.7.1 Payments from Operating Account......................................................................................205.8 Cash Basis Accounting................................................................................................................215.9 Books of Account and Supporting Documents............................................................................215.10 Bank Reconciliation.....................................................................................................................215.11 Imprest (Petty Cash)....................................................................................................................225.12 CD VAT Transaction...................................................................................................................225.13 Month End Procedures.................................................................................................................225.14 Quarterly Financial Management Report (FMR)........................................................................22

5.14.1 Subproject Financial Management Report...........................................................................235.14.2 HEQEP Financial Reporting and Monitoring......................................................................23

5.15 Year End Procedures....................................................................................................................235.16 Unspent Balance..........................................................................................................................245.17 Document Retention by FLMT....................................................................................................245.18 Internal Control............................................................................................................................24

6. Procurement Management...................................................................................................................246.1 Primary Responsibility................................................................................................................24

6.1.1 The legal framework............................................................................................................246.2 Procurement Methods..................................................................................................................25

6.2.1 Procurement Methods..........................................................................................................256.3 Procurement of Goods.................................................................................................................26

6.3.1 ICB.......................................................................................................................................266.3.2 NCB.....................................................................................................................................266.3.3 National Shopping (NS).......................................................................................................266.3.4 Direct Contracting (DC)......................................................................................................27

6.4 Procurement of Works.................................................................................................................276.5 Procurement of Consultancy Services and Training....................................................................276.6 Use of Standard Bidding and Contract Documents.....................................................................28

6.6.1 Use of Standard Bidding and Contract Documents.............................................................286.7 Procurement Risk Mitigation Measures.......................................................................................286.8 Procurement Plan.........................................................................................................................29

6.8.1 Procurement Plan.................................................................................................................296.9 Prior Review by IDA of Procurement Decisions.........................................................................306.10 Post Review.................................................................................................................................306.11 Electronic Government Procurement (e-GP)...............................................................................306.12 Other Actions...............................................................................................................................31

6.12.1 Review of Procurement Performance..................................................................................316.12.2 Strengthening Procurement Capacity at University Level...................................................31

7. Monitoring and Evaluation..................................................................................................................328. Reporting Arrangement.......................................................................................................................339. Audit....................................................................................................................................................34

9.1 External Audit..............................................................................................................................349.2 Internal Audit...............................................................................................................................349.3 Fixed Assets Verification.............................................................................................................34

10. Environment Management Framework...............................................................................................3411. Social Management Framework..........................................................................................................3712. Annexes................................................................................................................................................37

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List of FiguresFigure 1: Fab Lab Management Team.......................................................................................................111Figure 2: Institutional Arrangement for Fab Lab Proposal Evaluation and Selection.................................15Figure 3: Flow Chart on Proposal Selection Process (8 weeks)................................................................166

AnnexAnnex 1 Concept Note on Performance Indicators 39Annex 2 Financial Incentives for FLSMT 42Annex 3 Complete Proposal Format for Fab Lab 43Annex 4 Proposal Evaluation Criteria for Fab Lab 79Annex 5 Performance Contract for Fab Lab 80Annex 6 Guidelines on Fraud and Corruption 92Annex 7 Financial Management Guidelines and Formats 96Annex 8 Quarterly Financial Report Format 123Annex 9 Six Monthly Monitoring Report Format 126Annex 10 Subproject Completion Report Format 130Annex 11 Environment and Safety Checklist for Small Infrastructure and Renovation 144Annex 12 Environment and Safety Checklist for Research 148Annex 13 Social Management Framework (SMF) 153Annex 14 Half Yearly Status Report Format for UAIFS/AIFMU 161Annex 15 Guidelines for Economic Codes 162

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Abbreviations & AcronymsADP Annual Development ProgramAHSBL Arts, Humanities, Social Science, Business & LawAIF Academic Innovation FundAIFMU AIF Management Unit (in Private Universities)AIFOM Academic Innovation Fund Operations ManualARCS Audit Report Compliance system BdREN Bangladesh Research and Education NetworkBDT Bangladesh TakaBEC Bid Evaluation Committee BOC Bid Opening CommitteeBOM Bid Opening Minutes C&AG Comptroller & Auditor General of BangladeshCAO Chief Accounts OfficerCBA Center for Bits and AtomsCD 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 QualificationDA Designated AccountDC Direct Contracting DDO Drawing and Disbursement OfficerDFA Director, Finance & Accounts (in UGC and Public Universities)DFLSM Deputy Fab Lab Subproject ManagerDoE Department of Environment DPD Director, Planning & DevelopmentDSPM Deputy Sub-project ManagerEIA Environmental Impact AssessmentEMF Environment Management FrameworkEMP Environment Management PlanEoI Expression of InterestER External ReviewerFA Financing AgreementFAPAD Foreign Aided Projects Audit DirectorateFLOM Fab Lab Operations ManualFLRP Fab Lab Review Panel

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FLSM Fab Lab Subproject ManagerFLSMT Fab Lab Subproject Management Team FLSP Fab Lab SubprojectFBS Fixed Budget Selection FD Finance DivisionFM Financial ManagementFMQ Financial Management Questionnaire FMR Financial Management ReportFMS Financial Management System GoB Government of BangladeshHEIs Higher Education InstitutionsHEQEP Higher Education Quality Enhancement ProjectHEQEPU Higher Education Quality Enhancement Project UnitHOPE Head of Procuring EntityIC Individual Consultant ICB International Competitive BiddingICT Information & Communication TechnologiesIDA International Development AssociationIF Innovation FundIFOM Innovation Fund Operations ManualIFT Invitation for Tender IMED Implementation, Monitoring & Evaluation DivisionIP Intellectual PropertyIUFR Interim Un-Audited Financial Report LC Letter of CreditLCS Least Cost Selection M&E Monitoring & EvaluationMDG Millennium Development GoalsMEU M & E Unit MIT Massachusetts Institute of TechnologyMoE Ministry of EducationMoF Ministry of FinanceMoP Ministry of PlanningMoU Memorandum of UnderstandingMTBF Mid-term Budget FrameworkNCB National Competitive BiddingNOA Notification of AwardNRB Non-Resident BangladeshiNS National Shopping OA Operating AccountOM Operations ManualPA Project AidPAC Project Audit Committee PAM Project Accounting Manual

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PC Procurement ConsultantPCR Project Completion ReportPD Project DirectorPEC Proposal Evaluation CommitteePFP Procurement Focal PointPFPs Procurement Focal PointsPIA Project Implementing AgencyPIM Project Implementation Manual PIN Proposal Identification NumberPoPA Post Procurement AuditPPA Public Procurement Act 2006PPR Public Procurement Regulations 2003PPRP Public Procurement Reform ProjectPRMP Procurement Risk Mitigation PlanPROMIS Procurement Management Information SystemPRSP Poverty Reduction Strategy PaperQBS Quality-Based SelectionQCBS Quality and Cost Based SelectionQFMR Quarterly Financial Management ReportR&D Research and DevelopmentRFP Request for ProposalRIBEC Reform in Budgeting and Expenditure ControlSAN Statement of Audit Needs SBD Standard Bidding DocumentSoE Statement of ExpenditureSPFMR Sub Project Financial Management ReportSPM Sub-project ManagerSPMT Sub-project Management TeamSPP Sub-project ProposalSSS Single-Source Selection STEAM Science, Technology, Engineering, Art and MathematicsSTEM Science, Technology, Engineering and MathematicsSTD Short Term DepositTEC Tender Evaluation Committee TER Tender Evaluation ReportTIES Teaching Institute for Excellence in STEM TOC Tender Opening Committee ToR Terms of ReferenceTTO Technology Transfer OfficeUAIFS University Academic Innovation Fund Secretariat (Public Universities)UGC University Grants Commission of BangladeshUGCAIFS University Grants Commission Academic Innovation Fund SecretariatUGCBAIF University Grants Commission Board for Academic Innovation FundUNDP United Nations Development Program

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VAT Value Added TaxVC Vice ChancellorWB World BankWBOD World Bank Office Dhaka

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PREFACE

Using the power of Internet and open-source hardware and software, products designed with digital fabrication tools can be instantaneously shared, modified and created among collaborators anywhere in the world and even in the rural area. A new model of democratized production is turning consumers into innovators, entrepreneurs and manufacturers. Powered by “makers” (innovators and creators who employ do-it-yourself methodologies to develop unique technology products), this new world of digital fabrication, so-called the third industry revolution, leverages machines such as 3D printers, and laser cutters to transformmanufacturing and innovate in various sectors including health, energy, and water.

Under the ‘Digital Bangladesh’ initiative, Bangladesh has been improving the connectivity environment throughout the country as well as within universities. Yet, this ICT friendly environment has not been fully utilized to build a knowledge economy. The country still suffers from not having enough employment opportunities in manufacturing and organized service sectors.

On the other hand, recently held Make-A-Thon, a hardware prototyping contests organized by the Higher Education Quality Enhancement Project and the World Bank in May 2016 showcased talented students and youth passionately solving country’s problems.32 prototypes, created within 64 hours by 100 participants, addressed issues on healthcare, transport and infrastructure, agriculture, biomedical engineering, energy generation, physical challenges, sustainable energy management and many more.

In this context, the University Grants Commission (UGC) is pleased to launch another round of Academic Innovation Fund to establish digital fabrication laboratories in universities. Originated in Massachusetts Institute of Technology (MIT) in the United States a decade ago, digital fabrication laboratory, “Fab Lab” has a global network of Fab Labs and provide students and faculties with opportunities to invent and innovate using digital prototyping machines such as 3D printers and laser cutters. Fab Labs will also serve a as a node for connecting industry, universities, and citizens to develop products and services solving the country’s issues and provide a base for new manufacturing and entrepreneurship opportunities.

This Operations Manual introduces a concept of Fab Lab, technical specifications of the digital fabrication machines, and operation duties of Fab Labs according to Fab Lab Charter defined by MIT.

I invite all our faculty colleagues to internalize the Manual thoroughly in order to successfully compete and gain access to the Fab Lab grants offered by UGC.

ChairmanUniversity Grants Commission of Bangladesh

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FOREWORD

Under the Vision 2021 and the associated Perspective Plan 2010-2021,development targets for Bangladesh was set and economic growth has been achieved in the past several years. Currently, Bangladesh ranks the 127th out of 140 countries around the world on innovation and technological readiness measured by the Global Competitiveness Index compiled by the World Economic Forum. Higher education and training also ranks at the 122nd out of 140 countries. Higher education institutions can take an important role in making the country more competitive in this global digital economy. In particular, it is the right moment to strengthen its role as a center for innovation harnessing digital technologies.

Under the Higher Education Quality Enhancement Project, implemented by the University Grants Commission (UGC), Academic Innovation Fund (AIF) has been provided to universities to enhance the quality of teaching-learning, research, and encourage inter-institutional collaboration and build management capacities. In order to further promote innovation, university-industry partnership, and multi-disciplinary and inter-university collaboration, the UGC is launching another round of AIF to establish digital fabrication laboratories, ‘Fab Labs’ in universities.

Fab Lab is a new concept in Bangladesh. Thus, various support will be provided during the process of Fab Lab establishment through the UGC and the World Bank. With its unique operation model and global network of Fab Labs, users of Fab Labs will have various opportunities to collaborate with Fab Labs in the world to share and solve issues together. This Operations Manual describes the detail procedures that have to be followed by the UGC and the universities in carrying out the AIF component of the project. I expect that the successful establishment and operation of Fab Labs will accelerate innovation, entrepreneurship and promote university-industry partnership and STEAM (science, technology, engineering, art and mathematics) education especially for female students. I take this opportunity to congratulate the UGC for producing the Manual which was not an easy task considering the subject being a novel idea. I hope that UGC would succeed in achieving the objectives of the component by devoting the same level of excellence and expertise.

Md. Sohorab HossainSecretary

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

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INTRODUCTION

The concept of AIF and the whole organizational set up for its implementation including management at the institutional levels was explained in detail in the previous editions of AIF Operations Manual. That information still remains fully relevant and will be useful to the concerned stakeholders for this extended part of the third round of AIF. So we have decided to not to repeat it here in this new round of AIF Window 4 Fabrication Laboratory Operations Manual (FLOM).

The new Window 4 under AIF was first launched in November 2014 to promote university-industry collaborative research. The expected outcome of this new Window 4 is to build the foundation of a national innovation ecosystem. The philosophy behind this initiative has been explained like this: “Education disseminates known knowledge. Research converts money into new knowledge. Innovation converts knowledge into money.” As far as this education-research-innovation chain is concerned, AIF, established under the HEQEP, has been successful in generating a culture of research, innovation and competition and improving the quality of higher education in Bangladesh. It has also enhanced the quality of the research infrastructure in the selected departments and faculties of universities in Bangladesh. This has provided a solid platform now to raise the aspirations. The next logical step is to increasing the market relevance of research, and to improve the innovation capacity within Bangladesh by fostering productive and progressive university-industry interaction. The ultimate aim is to create and sustain a robust national innovation ecosystem in Bangladesh, which will lead to accelerated growth and development. Considering the special dynamics of the innovation process, this new Window 4was launched to accomplish the aforementioned tasks. Two types of activities have been covered under this initiative, namely, Innovation Fund (for university-industry research collaboration) and establishing Technology Transfer Office (TTO) in the universities.Now a third, activity is being introduced under the Window 4, e.g., Fabrication Laboratory (Fab Lab).

While the previous two activities would foster establishment of the national innovation ecosystem,the Fab Lab initiative has been introduced to complement those activities and facilitate market-based research and innovation, commercialization of research,and university-industry partnerships for a joint project.This activity will aim at establishinguniversity management supervised multi-disciplined digital fabrication laboratories called Fab Lab, which started a decade ago in Massachusetts Institute of Technology (MIT)’s Center for Bits and Atoms in the United States. The objective of setting up Fab Labs is to develop an institutional mechanism for promoting innovation especially through multi-disciplinary collaboration, development of innovation community, and university-industry partnership.

Fab Lab is a physical space with digital fabrication machines such as 3D printers, CNC milling machines, and laser cutters to provide a technical prototyping platform for innovation, invention, and entrepreneurship. These technologies can be applied to various industries to bring about innovation through new design and accelerated product development process. In order to be called as a “Fab Lab,” the lab needs to follow the Fab Charter. Fab Lab is connected to about 500 local Fab Labs around the world as a global network to share knowledge, design and process and learn from each other. Each Fab Lab, however, runs independently in a different format to serve the local needs. A global community of Fab Lab is developed through a hands-on distance education course organized by the Fab Academyand annual festival of Fab Lab where face-to-face interactions among labsoperators take place. Relevant academic disciplines for Fab Lab are engineering, architecture, industrial and fashion design, fine arts, computer science, and can be applied to any other disciplines, including biology, health, energy, agriculture, business, etc. It is encouraged to create a multi-disciplinary operational environment for Fab Lab users to learn and grow. This unique operation model and a global network of Fab Lab will provide the latest trend and knowledge to Bangladesh universities and helps unleash various potential talents that the country possess.

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This Operations Manual explainsin detail the concept of innovation ecosystem, objectives of innovation funding and establishment of Fab Lab, institutional arrangements for subproject management, proposal submission and selection process, financial management, procurement rules and procedures to be followed, monitoring and evaluation of subproject activities, and reporting requirements.

In conclusion, we would like to express our sincerest thanks to the management, faculty and officials of the universities who participated in the first, second and third round AIF competitions for their highly enthusiastic engagement. This reflected the tremendous efforts they put for establishing academic innovation in Bangladesh’s higher education sector and build the innovation ecosystem in the country. We also congratulate those universities and entities who successfully received awards in these three rounds including the Window 4.

I would like to express my sincere thanks to the FLOM drafting committee who produced this important document in a short time and especially to UGC chairman who has been a continuous inspiration behind this endeavor. I am also grateful to my colleagues in HEQEPU whose valuable inputs, help and cooperation have assisted the project management work and contributed to its steady implementation. I also express my sincere gratitude to the education team officials of the World Bank whose technical support to us was crucial for introducing this new activity including the drafting of the Fab Lab Operations Manual.

Dr Gauranga Chandra Mohanta, ndcProject Director (Additional Secretary)

Higher Education Quality Enhancement Project

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FLOM: Operations Manual for Fab Lab

Higher Education Quality Enhancement ProjectOperations Manual for

Window 4 –“Fabrication Laboratory (Fab Lab)”

The real opportunity is to harness the inventive power of the worldto locally design and produce solutions to local problems.

Neil GershenfeldProfessor at MIT, Founder of Fab Lab

1. Strategic Context

1.1 Research and Innovation1.1.1 Innovation has long been acknowledged as central to economic growth and social development. Innovation generally refers to the process of creation, acquisition, diffusion, absorption and use of knowledge, which creates added value in the economy in the form of new or improved products, processes or organizational models. Innovation is a successful exploitation of a new idea. It is not a demonstration of an idea or not merely an invention. It is an idea in practice, in the field, in the market place, in the society. The journey from mind to marketplace is a challenging journey. A community based incubation center is a relatively new concept of innovation where interested people of any age and level of education may join and share new ideas that may be translated to new wealth. The following section explains this concept of innovations in details.

1.2 The Fab Lab Concept

1.2.1 A FabLab (Fabrication Laboratory) can be understood as a physical space with tools and machines for digital fabrication; a community of people that collaborate and share some values and capabilities; and a node in a global network that seeks a balance between being completely independent and local and being completely coordinated and global. Each of these three different natures is important and cannot be taken alone. It is a small-scale workshop offering digital fabrication for invention, innovation, and entrepreneurship with a unique operation. Unlike traditional academic laboratories, Fab Lab is open to the public and is connected to about 565 local Fab Labs around the world as a global network to share knowledge, design, and process to facilitate peer learning. A hands-on distance education course called “how to make almost everything” organized by the Fab Academy and annual Fab Lab conference contributes to sharing knowledge and building community globally.

1.2.2 A Fab Lab is generally equipped with an array of flexible computer controlled tools that cover several different length scales and various materials, with the aim to make "almost anything"2.

Flexible manufacturing equipment within a fab lab can include:

Rapid prototype machine: typically a 3D printer of plastic or plaster parts; 3-axis CNC machines: 3 or more axes, computer-controlled subtractive milling or turning

machines; Printed circuit board milling or etching: two-dimensional, high precision milling to create

circuit traces in pre-clad copper boards; Microprocessor and digital electronics design, assembly, and test stations; and Cutters, for sheet material: laser cutter, plasma cutter, water jet cutter, knife cutter.

2Gershenfeld, Neil A. (2005). Fab: the coming revolution on your desktop—from personal computers to personal fabrication. New York: Basic Books. ISBN 0-465-02745-8.

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https://en.wikipedia.org/wiki/Special:BookSources/0-465-02745-8

https://en.wikipedia.org/wiki/International_Standard_Book_Number

https://en.wikipedia.org/wiki/Neil_Gershenfeld


1.3 History of Fab Lab

1.3.1 Fab Lab started more than a decade ago at Massachusetts Institute of Technology (MIT)’s Center for Bits and Atoms (CBA). The fab lab program was initiated to broadly explore how the content of information relates to its physical representation and how an under-served community can be powered by technology at the grassroots level. The program began as a collaboration between the Grassroots Invention Group and the Center for Bits and Atoms at the Media Lab in the Massachusetts Institute of Technology with a grant from the National Science Foundation (Washington, D.C.) in 2001.

1.3.2 While the Grassroots Invention Group is no longer in the Media Lab, The Center for Bits and Atoms consortium is still actively involved in continuing research in areas related to description and fabrication. The Fab Lab concept also grew out of a popular class at MIT (MAS 863) named "How To Make (Almost) Anything". The class is still offered in the fall semesters.

1.3.3 Fab Labs have spread from inner-city Boston to rural India, from South Africa to the North of Norway. Activities in Fab Labs range from technological empowerment to peer-to-peer project-based technical training to local problem-solving to small-scale high-tech business incubation to grass-roots research. Projects being developed and produced in Fab Labs include solar and wind-powered turbines, thin-client computers and wireless data networks, analytical instrumentation for agriculture and healthcare, custom housing, and rapid-prototyping machines.

1.3.4 MIT maintained a listing of all official Fab Labs, worldwide, until 2014. Nowadays listing of all official Fab Labs maintained by community using site fablabs.io. As of September 2015 there were 107 Fab Labs in the US and Canada, and 270 in Europe (565 in the world in total). Currently there are Fab Labs on every continent except Antarctica.

1.3.5 Originally designed for communities as prototyping platforms for local entrepreneurship, Fab Labs are increasingly being adopted by schools as platforms for project-based, hands-on STEM education. Users learn by designing and creating objects of personal interest or import. Empowered by the experience of making something themselves, they both learn and mentor each other, gaining deep knowledge about the machines, the materials, the design process, and the engineering that goes into invention and innovation. In educational settings, rather than relying on a fixed curriculum, learning happens in an authentic, engaging, personal context, one in which students go through a cycle of imagination, design, prototyping, reflection, and iteration as they find solutions to challenges or bring their ideas to life.

1.3.6 As support for advanced technical education and to provide a training path for new fab lab managers, Fab Academy, an internationally distributed campus for technical education, has emerged from the Fab Lab program. The Fab Academy provides instruction and supervises investigation of mechanisms, applications, and implications of digital fabrication.

1.3.7 In addition to Fab Academy, the network collaboration FabEd is being formed to provide support for formal education and resources for professional development for teachers and educators. The FabEd collaboration is a coordinated effort led by The Fab Foundation and the Teaching Institute for Excellence in STEM (TIES), to build and support the movement of digital fabrication into formal education. They want to keep the magic and joy of what making and digital fabrication bring to the table and make that a part of learning.

1.3.8 Fab Labs are closely aligned with MIT’s Center for Bits and Atoms (CBA) where research into next generation tools and software, as well as fabrication work flows and processes is pushing up against digital-analog boundaries. CBA is charting a research road map that traverses the frontier of digital fabrication: from machines in a Fab Lab that make things, to machines that make parts of

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http://fablabs.io/


machines, to machines that self-reproduce, to building with digital materials, to materials that are programmable and can turn themselves into parts. As they progress along that research path, knowledge and best practices are disseminated throughout the Fab Lab network, making it a cutting edge laboratory for R&D.

1.4 Criteria for Establishment of a Fab Lab

1.4.1 The five qualities and requirements listed below altogether create an enabling environment that is called a Fab Lab. The following are the criteria currently used for defining a Fab Lab.

1.4.2 First and foremost, public access to the Fab Lab is essential . A Fab Lab is about democratizing access to the tools for personal expression and invention. So a Fab Lab must be open to the public for free or in-kind service/barter at least part of the time each week, which is essential.

1.4.3 Fab Labs have to share a common set of tools and processes. A prototyping facility is not the equivalent of a Fab Lab. A 3D printer is not a Fab Lab. The idea is that all the labs can share knowledge, designs, and collaborate across international borders. If someone makes something in Boston and sends the files and documentation, another person should be able to reproduce it there, fairly painlessly. If a person walks into a Fab Lab in Russia, s/he should be able to do the same things that s/he can do in Nairobi, Cape Town, Delhi, Amsterdam or Boston Fab Labs.

1.4.4 The critical machines and materials need to be identified and installed. These could be a laser cutter for 2D/3D design and fabrication, a high precision milling machine for making circuits and molds for casting, a vinyl cutter for making flexible circuits and crafts, a fairly sophisticated electronics workbench for prototyping circuits and programming microcontrollers, and afair resolution 3D printer.

1.4.5 Fab Labs must participate in the larger, global Fab Lab network, that is, one cannot isolate himself/herself. This is about being part of a global, knowledge-sharing community. The public videoconference is one way to connect. Attending the annual Fab Lab meeting is another. Collaborating and partnering with other labs in the network on workshops, challenges or projects is another way. Participating in Fab Academy is yet another way.

1.4.6 Designs and processes developed in Fab Labs can be protected and sold however an inventor chooses, but should remain available for individuals to use and learn from. Commercial activities can be prototyped and incubated in a Fab Lab, but they must not conflict with other uses, they should grow beyond rather than within the lab, and they are expected to benefit the inventors, labs, and networks that contribute to their success.

1.5 Fab Lab Foundation

1.5.1 Formed in 2009 to facilitate and support the growth of the international fab lab network as well as the development of regional capacity-building organizations. The Fab Foundation is a US non-profit organization that emerged from MIT’s Center for Bits & Atoms' Fab Lab Program. Their mission is to provide access to the tools, the knowledge and the financial means to educate, innovate and invent using technology and digital fabrication to allow anyone to make (almost) anything, and thereby creating opportunities to improve lives and livelihoods around the world. Community organizations, educational institutions and non-profit concerns are their primary beneficiaries. The Foundation has three programmatic foci: education (.edu), organizational capacity building and services (.org), and business opportunity (.com). They support creation of new Fab Labs, training for labbers around the world, development of regional networks and foundations, and the development of international projects. It is located at 50 Milk St., 16th Floor, Boston, MA 02109, Tel +1 857 333 7777, Fax +1 857 415 5485, [email protected], http://www.fabfoundation.org.

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http://www.fabfoundation.org/

mailto:[email protected]


1.6 Some Fab Labs around the Globe

1.6.1 Fab Lab needs to reflect the interests and needs of the community that hosts it. So each Fab Lab is different, based on the community where it resides. Below are descriptions of 4 very different Fab Labs and how they function. These labs all try to balance financial sustainability with community needs and challenges.

1) Soshanguve Fab Lab

1.6.2 This fab lab is in a township in South Africa, just outside of Pretoria and is entirely about the community, and the social engineering around the community. During a visit several years ago to the township, it was discovered that a small community health center with a printing/resume service attached to it. It was run by a group of local youth called the Bright Youth Council, a team of young adults from the community who invested the time and fundraising capacity to build the Health Center. This amazing team provides both champions and gurus for the Fab Lab there. The print shop next door continues to provide printing and resume services (small commercial enterprise), but has now dedicated most of its computers to teaching children, teens, and adults to use computers and to design on computers. This is in essence the design center. Once users have designed something that they want to fabricate, they walk next door to the Fab Lab, where a small team of technical gurus helps them learn the machines, the electronics and the fabrication processes and workflows. This lab has recently expanded their services to assist users in prototyping for small business startup ideas. The startup prototyping is organized as fee-for-service, as yet unproved, but the demand for this kind of help, service and education is large in the township. This Fab Lab also plans to use the digital fabrication distributed education program Fab Academy, as an income stream to help sustain the fab lab operations. Fab Sosh currently get its funding from the CSIR/DST (government) and from large manufacturing companies with facilities nearby that are interested in workforce development and in corporate social responsibility.

2) Utrect Fab Lab: Protospace

1.6.3 This fab lab, located in Utrecht, the Netherlands, is based around small businesses and entrepreneurial activities. It is a prototyping facility with a social mission as well. Protospace has 2 full time designer/fabricators on staff, one full time IT person, a full time administrator, plus a part time business manager/fundraiser. Four days a week Protospace provides professional design and fabrication services for small businesses for a fee, A few days a week Protospace is open to the community for free access to the fab lab. Protospace is about 50% self-sustaining.

3) University of Nairobi Science and Technology Park Fab Lab

1.6.4 This lab is about 7 years old (founded in 2009) and is the first Fab Lab to be integrated into a business incubator environment. It is situated on the University campus, but not associated with any one department, rather with the new Science and Technology Park initiative coming out of the government. The users are local inventors and entrepreneurs as well as recent University graduates from engineering. The Fab Lab is a terrific resource for the inventors and students to work on prototypes and ideas, and as importantly, to improve upon ideas already in process. This lab has about 8-10 small business ideas incubating. While only a few ideas originated in the Fab Lab, all of the inventors are improving their designs in the Fab Lab. The Fab Lab is also being used to train non-university people in advanced technical skills through Fab Academy. This lab is successful enough that the government wants to invest in a network of Fab Labs in this same context throughout Kenya. An interesting aspect of this lab is the relationship with the government, which backs the lab so far as to consider policy changes and supports to help it succeed, including import tariffs to protect businesses incubating out of the Fab Lab there. This lab is so far, entirely government funded, with plans to have the incubator take over financial support in the future.

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Videos on Fab Lab Kenya'Fab Lab' Igniting Revolution in Kenyahttps://www.youtube.com/watch?v=ySlmqeetEL0

The Maker Movement: A Model for Innovative Partnerships https://www.youtube.com/watch?v=2EZpgSIoVqM

4) STEM High School Fab Lab in Cleveland, USA

1.6.5 This is a formal education Fab Lab for high school students in Cleveland, USA. Educators have put a full Fab Lab in the center of the specially designed STEM school and trained faculty in the skills to run the machines and design tools. In turn faculty and the principal have designed curriculum that incorporates the Fab Lab tools and processes in every discipline taught at the school (math, science, literature, English, history, technology, engineering, foreign languages). They have designed 10 capstone modules (each module is 10 weeks in duration) that address different overall concepts, and each subject takes both the content and fabrication skills into consideration in teaching the module. For example Electric Light is one capstone. Students design projects around the history of light, the use of light, the speed of light, the cultural uses of light, the technology and science of light, etc. This Fab Lab is co-located on a corporate campus (GE Lighting Company) such that GE engineers can come and work in the lab and help mentor students through projects, and through design, engineering and fabrication processes. In turn the students can apprentice and/or experience a real engineering environment and work with great professional role models for careers in science, engineering and technology. This is a public-private partnership between the GE Electric Company, the Cleveland public school system, with support from private investors.

5) FabFi

1.6.6 One of the larger projects undertaken by fab labs include free community FabFi wireless networks (in Afghanistan, Kenya and the US). The first city-scale FabFi network, set up in Afghanistan, has remained in place and active for three years under community supervision and with no special maintenance. The network in Kenya, (Based in the University of Nairobi (UoN)) building on that experience, started to experiment with controlling service quality and providing added services for a fee to make the network cost-neutral.

1.7 Fab Lab Initiative in Bangladesh

1.7.1 Recently, an undergraduate engineering student from Khulna University of Engineering and Technology (KUET) in Bangladesh developed a mobile application that helps a vision impaired person navigate through streets while enabling family and friends to track his whereabouts. It is an impressive innovation to apply electronics, geographic information system, and programming knowledge to develop a real-life solution. 1.7.2 Like this student, the ability to innovate harnessing existing talent and infrastructure already exists in Bangladesh. Leading universities, like Bangladesh University of Engineering and Technology (BUET) and other engineering, science and technology universities Bangladesh Agricultural University, and University of Dhaka already have analog fabrication labs for molding, casting, wood and metal workshops and robotics. The BUET even has a 3D printer,though it is an early version. What is missing is a transformation from analog to digital to improve precision, design, and speed of fabrication and prototyping, a market-oriented product development, and multi-disciplinary teaching, learning, research, and entrepreneurship to advance innovation. 1.7.3 The innovation ecosystem has been emerging since the HEQEP launched Window 4 in November 2014 and first Fab Lab Maker Meet was held on October 31, 2015 in Dhaka. It has created

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https://en.wikipedia.org/wiki/FabFi


an open access lab focused on the maker community, advocating local innovation and providing a resource for inventors and entrepreneurs. The access to the facilities is open for all age and background through membership. The community of entrepreneurs organized a hardware competition called “Make-a-thon” and connected young entrepreneurs, industries, and professors to jointly make solutions for digital fabrication on October 31, 2015. BRAC has also organized a 36-hour hackathon event called “Bracathon” to provide a platform for the youth to make mobile applications for social innovation.

1.7.3 To foster innovation and university-industry partnership, the Higher Education Quality Enhancement Program (HEQEP), have been supporting Universities with an Academic Innovation Fund (AIF). To accelerate this effort, the project team organized a workshop on the digital fabrication laboratory (Fab Lab) potential to introduce Fab Lab concept. It was held on December 2, 2015 at the University Grants Commission Auditorium.

1.7.4 BRAC University’s architecture department has already noticed the significant value of 3D printers and laser cutters for their architecture students. It helps expand their design capacity and release them from manual model making, which encouraged them to establish a mini-Fab Lab with AIF funding.

1.8 Maker Fest and Make-a-thon

1.8.1 As a preparation for setting up Fab Labs, a community of Fab Labs, including makers, entrepreneurs, inventors, innovators, researchers etc., needed to bemobilized. During the month of May, 2016, the World Bank andHEQEP, throughthe consulting firm Better Stories, hosted Maker Fest and Make-a-thon events to build such a community. The objectives of the event were to: (i) identify passionate and talented makers, (ii) showcase talent of Bangladeshi youth to build potential partnerships with industries and provide incubation opportunities, and (iii) make a community of makers who will lead an establishment of Fab Labs in universities.Maker Fests were implemented in partnership with universities. At each university, faculty members selected as “Fab Lab Guru” and students volunteered as “Campus Ambassadors” helped organize the eventheld at 7 universities. The event consisted of knowledge workshop and showcase of students’ projects such as Mars Rover to create awareness for participating in Make-A-Thon.

1.8.2 During the Make-a-thon, a hardware prototyping contest, selected 100 participants made 32 projects in 64 hours to solve issues such as healthcare, transport and infrastructure, agriculture, biomedical engineering, energy generation, physical challenges, sustainable energy management and more. Consisting of a number of workshops and knowledge sharing sessions, the event successfully developed a community of makers who will be leading activities with Fab Labs and amazing talent was showcased to industries, faculty, and the government.

1.9 How a Fab Lab can help Boost Innovation and Entrepreneurship

1) Multi-disciplinary teaching, learning, research, and entrepreneurship1.9.1 Centrally managed Fab Lab at universities can be a platform to connect disciplines across universities, industries, and users to implement research and incubate prototypes. University-based Fab Lab can also serve as a test center to prototype various innovations. Based on the strength of the universities and local needs, this approach can be applied to industries including energy, medical and pharmaceutical, furniture, leather, garment, and agriculture.

2) Moving up the value chain1.9.2 Access to digital modeling and design tools such as 3D printer and laser cutter can unleash creative talents in Bangladesh. This could help the garment, furniture, and leather industries move up the value chain from assembling and sewing to designing and producing better products.

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http://brac.net/events/bracathon/


3) Prototyping and joint research with Industries1.9.3 Fab Labs could strengthen and expand university-industry partnerships through prototyping joint research or products with digital fabrication machines.

1.10Fabrication Laboratory

1.10.1 The Window 4 (Innovation Fund, ‘IF’) consisted ofone activity, namely, (i) University-Industry Collaborative Research. And now, the IF is adding another new activity “Fabrication Laboratory” to accelerate multi-disciplinary and cross-sectoral innovation, university-industry partnerships on various projects, and commercialization of research. HEQEP has expanded the existing Academic Innovation Fund for establishing Fab Labs at selected universities.The funding will be administered and awarded by the UGC under a rigorous evaluation and selection procedure delineated in this Operations Manual.

1.10.2 AIF will be granted on a competitive basis to establish a Fab Lab in the university as a multi-department and multi-disciplinary lab, which foster university-industry-community collaboration as well as inter-university collaboration. Indicative activities under the Fab Lab will be as follows: (a) establishment of Fab Lab using available spaces in the university, (b) procurement of the necessary tools, and (c) recruit team members for the Fab Lab Subproject Management.

1.10.3 Supplementary capacity development activities include: (a) participation of the Fab Academy distance learning course on “how to make almost everything”; (b) capacity development of Fab Lab operator and administrators; (c) training material and operations manual development of Fab Lab; (d) joint project development with industry using Fab Lab; and (e) access to the innovators.

1.11Key Characteristics of the “Fabrication Laboratory”

1.11.1 The proposals should meet the following four essential characteristics:

i. Dealing with the immediate and critical needs for building the Bangladesh Innovation Ecosystem;

ii. Easily implementable, without any significant loss of time;

iii. Potential of being truly transformative; and

iv. Capable of providing outputs and outcomes that are measurable on an unambiguous and quantitative basis.

1.12Fab Lab Equipment Specification

1.12.1 Fab Labs share core capabilities to facilitate peer learning among Fab Labs. Current capability includes:

A computer-controlled lasercutter, for press-fit assembly of 3D structures from 2D parts A larger (4'x8') numerically-controlled milling machine, for making furniture- (and house-)

sized parts A signcutter, to produce printing masks, flexible circuits, and antennas A precision (micron resolution) milling machine to make three-dimensional molds and

surface-mount circuit boards Programming tools for low-cost high-speed embedded processors

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1.12.3 Please refer to the following links provided by Fab Foundation for the detail specifications for the machines:

The current hardware specification (~$50k equipment and ~$10k materials):

http://fab.cba.mit.edu/about/fab/inv.html

Software:

http://kokompe.cba.mit.edu/downloads.html

1.13Fab Lab Allocation

1.12.1 Fab Labswill be established in maximum of 10 universities and the estimated total cost for this activity amounts to BDT160 million (US$2.0 million). A maximum of BDT 16 million per Fab Lab will be granted to each selected university. Each university can submit only one proposal for Fab Lab. The grant will be used to set up a Fab Lab and develop capacity to use Fab Lab. Applying universities’ management need to identify responsible facultyand constitute a Fab Lab Supervision Committee to oversee all the Fab Lab activities, connect various disciplines, and ensure that the operation of Fab Lab is aligned with the global standard. University shallalso collaborate with industry partners to develop a concept and business model of the Fab Lab.

1.14Objectives and Expected Benefits of Fabrication Laboratory

1.13.1 Fab Lab shares the same objectives and benefits that have been already defined above for the overall implementation of the Innovation Fund, which are to:

Make university research both innovative and relevant at the same time; Create conditions in universities for undertaking researches whose products/processes can be

commercialized; Incentivize researchers to search and identify potential industries who would become partner

in a joint research work for developing a product that can be commercialized; Create conducive environment for increasing inter-university, university-local community,

and university-industry collaboration; Develop a culture of multi-disciplinary and global collaboration for innovation; Promote innovation, STEAM education, and entrepreneurship among students, faculties, and

local communities; Provide the university students and the faculty with access to the sophisticated technologies

through Fab Lab; and Provide access to the innovators those will be interested to transform their ideas into a

prototype and test commercial viability.

1.15Performance Indicators

1.14.1 Indicators are key instruments in the process of monitoring and evaluation of expected results of a project’s planned activities, as they help to measure the achievements and effectiveness of the use of funding. The correct definition of indicators allows the expression of specific objectives in terms of periodic measurable quantities, accurately indicating whom they benefit (Annex -1). In addition, during its implementation, progress in attaining objectives can be verified, leading to improvement of activities.

1.14.2 Performance Indicators: Performance Indicators for the Fab Lab will be monitored by the UGCAIFS include, but not necessarily limited to:

Fab lab is set upwith necessary equipment within the premises of the university in an adequate space accessible to all departments, faculty and students and is in operation;

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http://kokompe.cba.mit.edu/downloads.html

http://fab.cba.mit.edu/about/fab/inv.html


Number of faculty and students took part in Fab Academy distance course and successfully completed;

Number of events and workshops being conducted through Fab Lab for public and community engagement;

Number of industries utilizing or investing in Fab Labs; Number of prototypes produced; Fab Lab is involved in networking with Fab Labs in other countries;

2. Institutional Arrangements for Fab Lab SubprojectManagement

2.1 Immediately after publishing of the list of Fab Lab awardees by UGC and before the signing of Performance Contract among the relevant parties, theawardee university management shall establish the Fab Lab Subproject Management Team (FLSMT).

2.2 The Fab Lab Subproject Management team consists of Fab Lab Subproject Manager, Deputy Fab Lab Sub Project Manager, Fab Lab Operators, Technical Guru, and Provisional Support Staff. The number of Technical Guru and Support Staff can vary according to the needs of the lab. Deputy Fab Lab Sub Project Manager and Fab Lab Sub Project Manager will be responsible for the implementation of the grants, including financial management, procurement, and M&E reporting. Fab Lab Operator will be a full-time position by students who has technical knowledge as well as community development and partnership development skills to connect various industries, universities, and local communities. Technical guru will be a part-time role fulfilled by a couple of students who can teach how to use the machines and also conduct sub projects. Provisional support staff will provide administrative and logistical support for the Fab Lab operation.

2.1 Fab Lab Sub Project Manager and Deputy Fab Lab Sub Project Manager

2.1.1 There will be a Fab Lab Subproject Manager (FLSM) and a Deputy FLSM (DFLSM) approvedby the university authority from among the faculty who together with the FLSMT will be given the responsibility of for establishing the Fab Lab, capacity development, and the Fab Lab subproject implementation. The names and designations of the selected FLSM and DFLSM will be mentioned in the approved subproject proposal.

2.1.2 The FLSM and DFLSM together with the FLSMT will be collectively responsible for carrying out the activities delineated in the FLSP and be accountable to the Fab Lab grant recipient institution (i.e., University) and will report to it periodically. In addition, they are expected to raise funds to secure sustainability of the Fab Lab. The FLSM and DFLSM will liaise with all concerned agencies, including Fab Foundationfor the full operationof Fab Lab and capacity development.

2.1.3 The FLSM and DFLSM should be someone who is open minded, passionate about making multi-disciplinary and multi-sectoral collaboration, and be adept in establishing networks with various stakeholders.

2.1.4 The FLSMalong with the DFLSM shall play a pivotal role in coordinating with the members of Industry, Fab Foundation, and local community and citizens. The DFLSM will take the charge of subproject in the temporary absence (up to 90 days) of the FLSM due to leave, illness, or other reasons. The DFLSM will also assist the FLSMin the administrative work of the Fab Lab development especially when the administrative work involve the members of Industry.

2.1.5 In case either the FLSM or DFLSM decides to discontinue in his/her position or in case the FLSM goes on preparatory leave to retirement, he/she may resign.In such an event, the university authority shall select a new FLSMor DFLSMfrom among the members of faculty.

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2.2 Fab Lab Operators

2.2.1 Fab Lab operators will be a couple of undergraduate students, lab technicians, or volunteers from the industry or community who will run the Fab Lab at the daily basis. The responsibility of the operator includes operation of the lab, community development and management, event and workshop organization and implementation, and partnership development. Fab Lab operators should have a technical background in engineering or understanding of the digital fabrication tools. This role can be taken by one person or multiple people to ensure a smooth operation of the Fab Lab.

2.3 Technical Guru

2.3.1 Technical guru are technical graduates holding Master’s degree who will be working on the prototypes and teaching how to use digital fabrication machines and helping others learn. Technical guru should have a background of engineering or design or possibly architecture, with some experience with electronics and/or computer programming.

2.4 Support Staff

2.4.1 The FLSM shall hire support staff according to the needs of the Fab Lab to ensure effective and efficient implementation of the subproject. Support staff to be hired may include office secretary, procurement officer, finance/accounts officer,accountant,technician, machine operator, messenger,etc. Such provisionally hired staff shall stand terminated on the date that the Fab Lab subproject is completed. The number of support staff to be hired for FLSMT has to be justified according to the workload and complexity of required tasks.

2.4.2 The FLSMmay hire the support staff from among the regular staff of the university by giving them additional responsibilities, and pay them financial benefits as allowed under the university rules. The provisionally hired support staff will get salaries and allowances according to the university’s relevant pay scales for equivalent posts.

2.4.3 The Fab Lab Subproject Manager and the members of Fab Lab Subproject Management Teammust be faculty from the university andwill receive financial incentives as described in Annex 2 of this OM.

2.4.4 No faculty member can be designated as FLSM and DFLSM who is holding the charge of another AIF Round 3 subproject, nor can become a member of another Round 3Subproject Management Team in the same or different entity.

2.4.5 In total, the FLSMT may include a total of 4 – 6 members excluding support staff.

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Figure 1: Fab Lab Management Team

Figure 2

3. Proposal Submission and Selection Procedure

3.1 Call for Proposal

3.1.1 There will be one round of Fab Lab implementation under the AIF Window 4 grants. The round will begin inAugust 2016. The proposal call for the Fab Lab grants will be published in the national dailies and be hosted on UGC, BdREN and HEQEP websites. Copies of proposal calls will also be sent to all universities from the HEQEPU via courier service and or e-mail.The proposal submitting entities shall have three weeks to prepare the proposals in Complete Proposal (CP) format and submit them to UAIFS/AIFMU.

3.2 Eligibility

3.2.1 In order to be an eligible recipient of the AIF resources for Fab Lab,the universities should fulfill the following criteria:

Minimum annual intake of 100 students in STEAM3academic programs; An Act which established the institution as a university; Establishment of University AIF Secretariat (UAIFS) with qualified manpower for providing

support to the FLMT

3.3 Duration of Subprojects

3.3.1 The duration of AIF for Fab Lab subproject implementation will be two yearsfrom the date of signing of the Performance Contract. In all cases, Fab Lab subproject implementation must be 3 STEAM: Science, Technology, Engineering, Arts, and Mathematics

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completed within the project closing date of HEQEP, i.e., December 31, 2018. There will be no scope for extension of the subproject beyond December 31, 2018 but this does not mean that the established Fab Lab will be decommissioned on that date. On the contrary, the university management would ensure all administrative and financial arrangements for Fab Lab’s continuation as an institution within university’s structure.

3.4 Submission of Proposals

3.4.1 Generation of Proposal3.4.1.1 Office of the Vice Chancellor shall be the Fab Lab proposal submitting entity. In consultation with concerned Department heads, Deans, and the Director, Planning and Development, the Vice Chancellor shall designate a Department for locating the Fab Lab on its premises and select a faculty as FLSM. The FLSM shall be responsible for drafting of the Fab Lab Subproject Proposal (FLSP). The designated Fab Lab Subproject Manager in the university and his/her peers in the university shall be the main actors in drafting the subproject proposal for establishing Fab Lab. In order to embark upon the establishment of Fab Lab, the designated FLSM shall:

3.4.1.2 First, identify Fab Lab operators and technical guru for the Fab Lab.

3.4.1.3 Second, identify accessible common space for establishing the Fab Labwith required physical facilities and obtain university authority’s permission to use it as Fab Lab.

3.4.1.4 Third, explore potential industry partners for future collaboration.

3.4.1.5 Forth, the FLSM and DFLSM shall write the proposal in consultation with their peers.

3.4.2 Proposal Format3.4.2.1 The Fab Lab Subproject shall be submitted by a university in a prescribed format. The proposal format is included in Annex 3 of this OM.

3.4.3 The Areas and Disciplines for Submitting Proposal:3.4.3.1 Funding for Fab Lab will be granted to the following disciplines: (1) Biological and Physical Sciences; (2) Engineering and Technology (machine tools, electronics, robotics, mechatronics, aeronautics)and electric appliances); (3) Agriculture (including, but not limited to, Agro-processing, Farm Mechanization, Crops, Seeds, Livestock, Veterinary, Fisheries, Poultry, Apiculture, Floriculture and Horticulture); (4) Information and Communication Technology (ICT), (5) Architecture, (6) Fashion design, (7) Fine Arts (8) Plastics and Ceramics, (9) Industrial design, (10) Energy, and (11) Textile and Leather technologies.

3.5 Institutional Arrangement for Proposal Evaluation and Selection

3.5.1 Following committees and organizations will be responsible for processing the evaluation and selection of Fab Lab subproject proposals at different levels, both at the universities and at the UGC: (a) University AIF Secretariat (UAIFS); (b) UGC AIF Secretariat (UGCAIFS); (c) Fab Lab Review Panel (FLRP)and (d) UGC Board for AIF (UGCBAIF).

3.6 Fab Lab Review Panel (FLRP)

3.6.1 The FLRP will be composed of following experts: (i) Faculty in the Science, Engineering and Technology, Architecture, Agriculture, Fashion, Fine Arts, Glass and Ceramics, Textile and Leather universities and institutes; and (ii) representative of industry. UGCAIFS shall drafta list of experts from the above institutions for the panel. The members of FLRP will be selected by

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UGCBAIF drawing on the list of experts. The number of experts in the FLRP shall not be more than 20.

3.6.2 Each proposal will be evaluated by three members of the FLRP. The evaluation will be done by awarding marks out of a total of 100 following the criteria mentioned in theAnnex 4.

The average of the two closer scores will be taken as the final score. In order to avoid conflict of interest, FLRP evaluators will not be eligible to evaluate any

proposal belonging to the same institution where they serve. The FLRPs shall receive honorarium for evaluating proposals.

3.7 Evaluation and Selection Criteria

3.7.1 The Fab Lab funding will be awarded by evaluating the complete proposalon the basis of the selection criteria especially formulated for the purpose. The criteria is attached in the Annex 4.

3.8 Proposal Submission and Evaluation Procedure

3.8.1 A structured approach with submission and approval deadlines will be followedto evaluate and select the proposals. After the proposal call universities and academic staff will be allowed three (3) weeks to draft the Fab Lab subproject proposal.

3.8.2 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. Only hard copies will be accepted for evaluation purpose and the reviewers would evaluate proposals on the basis of hard copies marked with signatures and dates in the relevant places of the proposal format.

3.8.3 Number (PIN). The PIN bearing page will be removed by UGCAIFS before providing the CPs to FLRP for evaluation and after evaluation it will be reattached to the corresponding CPs for the purpose of final selection by UGCBAIF.

3.8.4 The CP has to be approved in a special meeting convened and chaired by the Vice Chancellor and participated by all Deans for according approval to the draft CP. The special meeting after reviewing the draft FLSP, if satisfied about its appropriateness shall send it to Director, Planning and Developmentor equivalent officials for its submission to PD, HEQEP.

3.8.5 The minutes of the meeting on Fab Lab CP approval shall be attached to the proposal and submitted to UGCAIFS/HEQEPU.

3.8.6 The UGCAIFS shall check each of the received CP to verify whether they have been produced in accordance with the relevant guidelines provided in this OM to present required information including detailed budget in the format, and confirm all the annexes have been properly attached. Then, UGCAIFS will put Proposal Identification Numbers on all the CPs, provide a checklist of major eligibility compliances for each of them according to OM provisions, and prepare a database in a matrix that will cover the profile of all received CPs. UGCAIFS will also prepare a Guideline on CP evaluation by FLRPs following the information provided in the OM.

3.8.7 UGCAIFS shall submit the screened CPs and database along with the eligibility checklist to UGCBAIF. Upon review of the materials, the UGCBAIF may at this stage reject any CP on the ground of critical lapses specified in the checklist or for other reasons.

3.8.8 UGCBAIF will then prepare a distribution matrix of CPs for evaluation by FLRP. Thereafter, UGCAIFS shall sort out the CPs according to the distribution matrix and make them ready for evaluation by FLRP.

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3.8.9 The FLRP shall evaluate the CPs in a closed door evaluation session at UGC organized by UGCBAIF. UGCAIFS shall provide secretarial support and make arrangements for the evaluation at UGC under the guidance of UGCBAIF.

3.8.10 After the evaluation of CPs by FLRP, tabulation of score sheets will be done by UGCBAIF. Subsequently, UGCAIFS shall prepare a tabulation sheet that lists the scores obtained by the evaluated CPs for UGCBAIF’s review. UGCBAIF shall review the evaluation results presented in the tabulation sheet along with the evaluated CPs. 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.

3.8.11 After the final selection, the budget, procurement plan and the financing plan of the selected CPs will be scrutinized and rationalized by the HEQEPU to identify inconsistencies, errors and deficiencies and remove them. HEQEPU shall organize a workshop on budget rationalization at UGC with the participation of all FLSMs and DFLSMs of finally selected subprojects to rectify the inconsistencies, errors and deficiencies in the budget, financing and procurement plans.

3.8.12 HEQEPU shall publish the list of finally selected CPs and the names of concerned institutions by hosting it on HEQEP and UGC websites and communicate the result to the awarded FLSMs and institutions. The finally selected CPs thereafter will become approved subprojects. Immediately thereafter UGCAIFS shall invite the award recipient FLSMs, Directors of UAIFS, and the Vice-Chancellors of the universities to attend the contract signing ceremony to be held at UGC.

3.9 Performance Contract

3.9.1 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 website of the HEQEP and UGC, the UAIFSs of the proposal endorsing public universities and the Fab Lab Subproject Managers of the awarded proposals will be invited by the UGCAIFS to sign the Performance Contract (Annex 5). The Contract shall be binding on the following three parties:

UGC – the first party, the awarder, represented by its authorized official; University – the second party, represented by itsauthorized official; Subproject implementing team represented byFLSM – the third party.

3.9.2 The schematic diagram of the institutional arrangement for Fab Lab proposal evaluation and selection can be seen in Figure 2 below:

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Fab Lab Review Panels (FLRP)(i) industry representativeand

(ii) domain specialists

University Grants Commission Board for AIF

(UGCBAIF)

UGC AIF Secretariat (UGCAIFS)

HEQEPU

Proposal Submitting EntitiesUniversity Management

(Vice Chancellor’s Office)

University AIF Secretariat (UAIFS) in Public and AIFMU

in Private Universities


Figure 3: Institutional Arrangement for Fab Lab Proposal Evaluation and Selection

4. Total Proposal Evaluation and Selection Period

4.1 A structured approach with submission and approval deadlines will be followed to evaluate and select the proposals. After the call for proposal is announced, universities will be allowed threeweeks to conceive and draft the proposal.

4.2 The total time span required to complete the proposal selection process will be about 8 weeks. However if circumstances permit, the total period may be reduced. The schematic diagram in Figure 3 below shows the time required at each stage from proposal call (beginning) to the signing of contract (conclusion).

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UGCBAIF makes and shares preliminary selected CPs, evaluation score sheets with

IDA in 3 days

Completeness checking of CPs by UGCAIFS (HEQEPU)In3 days

Signing of Contracts with the Universities in 1 day

Evaluation of CPs by FLRPs in special closed door evaluation session at UGC In1 day

Distribution matrix of CPs by UGCBAIF for evaluation by FLRPs in 2 days

IDA reviews evaluation and sends comments to UGCBAIFin1week

Final Selection by UGCBAIF and Publication of awardin 2 days

Submission of CPs by UAIFS with VCs endorsement to HEQEPUin 2 days

Rationalization of budgets, financing and procurement plans of selected in 2 days

Proposal call for Fab Lab

Submission of CPs to VC’s Office in 3 Weeks

Universities

UGC, HEQEPU

Preparation of results/scores in a broadsheet by UGCAIFS for UGCBAIF’s review in 2 days

in1 week

Publication of awardin 1 day


Figure 4: Flow Chart on Proposal Selection Process (8 weeks)

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Industries

Processing of Contracts by UGCAIFS in 3 days


5. Financial Management

5.1 Financial Responsibilities

5.1.1 The FLSMs will be primarily responsible for all financial management activities of his/her subproject and will be accountable to UGC/HEQEP for all financial matters concerning subproject implementation. The accountant and finance staff recruited for the subproject will help the FLSM in maintaining the financial management of the subproject. He/she will identify all financial transactions and record them immediately into the books of accounts and maintain all documents, registers, records and correspondences.

5.1.2 The main duties and responsibilities of the Accountant and 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 subproject’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 subproject; Any other financial management related tasks assigned to him/her.

5.1.3 The UAIFS/AIFMU will provide technical assistance to FLSMs on financial management and procurement activities of the subprojects and for preparation and submission of FMR to HEQEPU. Additionally UGCAIFS officials and specialists will also provide technical assistance when needed by the subprojects.4

5.1.4 It is expected that the universities which have been awarded AIF resources will carry out the subproject 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 Guidelines (Annex 6) 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 Fab lab subprojects. 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 IDA, and promptly prepare the audit statements for UGC and IDA.

5.1.5 The office of the UAIFS in the public shall be responsible for the coordination of financial management of the AIF subprojects because it will act as the secretariat for the AIF funds released by the HEQEPU and maintain records of the funds received by the individual subproject managers. The universities will assign accounting staff with adequate skills to UAIFS for coordinating the financial

4The UAIFS/AIFMU will receive a block allocation of Tk. 50000.00 (Tk. Fifty thousand) per subproject implemented by the University as operational cost which includes remuneration to UAIFS/AIFMU officials. The block allocation will be released upon submission of half-yearly report to the HEQEPU as per Annex 15.

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management tasks related to Fab Lab grants. The UAIFS will send all information on AIF grants received and utilized by the university in prescribed reporting formats periodically to UGCAIFS.

5.1.6 The Financial Management section of the HEQEPU shall be responsible for the supervision of financial management of the Fab Lab resources allocated to the subproject. It will provide the UGCAIFS and FLSMs with all information on the fund released and utilized.

5.2 Eligible Expenditures

5.2.1 Under the subproject, the following expenditures will be allowed for the Fab Lab grants, which will be used to finance the proposed activities of Fab Lab.

5.2.2 Expenditures for participation in training courses for university permanent academic staff and students, such as, commercialization of research products, open innovation, human-centered design thinking, business model development,etc., as well as Fab Academy’s distance education course and expenditures for attending conferences, seminars, workshops held within Bangladesh related to the Fab Lab activities.

5.2.3 Procurement of equipment/materials and facilities for setting up Fab Lab; including development of capacity development and operations manual, books and stationery, etc.; operational expenditures for research activities and commercialization of research outputs; honorarium for the Fab Lab operator and Technical Guru5; expenditures related to patent applicationandIncentives for members of FLMT.

5.3 Non-Eligible Expenditures

5.3.1 Expenditure items as shown below are not permitted under AIF subprojects. Salary and allowances for the permanent academic and support staff of the university; Any establishment/recurring/revenue expenditures of the department/ faculty/ institute/ center/

university; Large civil works like construction of new physical infrastructure (i.e., building, road, laboratory,

workshop, classroom, auditorium, library, seminar hall/lecture theatre/room/facilities etc.); and Costs not related to Fab Lab subproject activities and not included in the subproject work plan,

financing and procurement plans and budget.

5.3.1 Economic Codes5.3.1.1 In preparing the summary budget estimate and the detailed cost breakdown of the subproject, GoB’s budget preparation methods and rules will be followed by the proposal submitting entities. For this purpose, proposal submitting entities shall consult Annex 15 of this OM which describes the Guidelines for Economic Codes that are mandatory for all government departments, attached bodies to the Ministries, autonomous institutions and organization for the preparation of budget. Items of expenditure not included in the guideline will not be eligible for inclusion in the budget and subproject expenditures.

5.3.2 Operational Costs5.3.2.1 Maximum 2% of subproject cost to meet operational expenses (e.g., temporary renting of out of site space for subproject activities, charges for electricity, water in out of site subproject office/camp, petrol and lubricants for motor vehicles, motor bikes and speed boats, commuting costs of subproject’s temporary employees, overtime paid to support staff for arduous work, repair of subproject equipment,

5 If budget allows honorarium for Fab Lab Operators will be BDT10,000/- (Ten thousand) and for Technical Guru will be BDT20,000/- (Twenty thousand) per month for fulltime involvement.

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repair and maintenance of motor vehicles, motor bikes and motor boats, motor bikes, bicycles, hiring of labors for shifting of subproject furniture/ equipment/materials, honorarium, committee expenses and contingencies etc.).

5.4 Re-appropriation and Adjustment of Budget Items

5.4.1 FLSMs shall be allowed to re-appropriate allocations from one budget head/item to another if so required for expenditure rationalization. However, such re-appropriation should be made with the concurrence of the HEQEP PD. For this purpose, the FLSMs shall send the re-appropriation proposal to HEQEP PD justifying the changes in the subproject budget allocation. The re-appropriation and adjustment of budget for a subproject can only be made once in a financial year. There will be a final adjustment and revision of budget at the end of subprojects, if needed.

5.5 Earnings by Subproject

5.5.1 A subproject may earn profits by selling its products and services in the market (e.g., it might be a prototype, model, replica, 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 subproject output shall be retained and shared by the concerned subproject implementing entity. However, UGC should be kept informed of such earning by the university/faculty/department during the project period. Earning from bank interest, sale proceeds of bidding documents, etc., shall be deposited to government treasury according to GoB General Financial and Treasury Rules.

5.6 Fund Flow and Disbursement Arrangements

5.6.1 IDA disburses funds to HEQEP through an arrangement known asConvertible Taka Special Account (CONTASA) opened by PD in a commercial bank. The disbursement will be made based on Financial Management Reports (FMRs) that would include six months’ fund requirement forecast. The IUFRs should be submitted within 45 days from the end of reporting period (Calendar quarter).

5.6.2 Each FLSM will open an account, called Operating Account (OA), in a bank in the form of STD. AIF grants to the Fab Lab subprojects implemented by a university will be directly disbursed to the FLSMs by the PD. The FLSMs will be solely responsible for maintaining the OA. The FLSMs will maintain imprest (petty cash) and make payment against approved vouchers according to the FD’s order on Delegation of Financial Power to the Ministries/Divisions/Department Heads/Project Directors published on August 16, 2015. The order is annexed to this OM.

5.6.3 HEQEPU will transfer the first tranche of AIF grants to the OAs of subprojects on the basis of their six-monthly estimated expenditure based on the approved procurement plan and work/activity plan. Subsequent disbursements of the grant will be made on the basis of statement of expenditures (SoEs) and requisition for advance submitted to the UGCAIFS. Private universities will submit the first fund release proposals for their subprojects to UGCAIFS along with the evidence of depositing their full amount of own mandatory contribution of 20% in the OA. Advances from the DA to the OA will need to be adjusted or reconciled preferably within 30 days, but in no case beyond 90 days.

5.7 Operating Account

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5.7.1 The FLSMs will open a dedicated operating account (current or STD) in a convenient commercial bank in the name of the subproject to be maintained in BDT currency. The account will be used solely for the purpose of financing subproject activities. The FLSMs 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 subproject. 5.7.2 Immediately after opening of operating account in a Bank, the FLSPM shall forward the following information to Project Director, HEQEP to facilitate transfer of AIF funds to subproject:

Name of Account Account Number Name of Bank Branch Full Postal and E-mail Address

5.7.1 Payments from Operating Account

5.7.1.1 The FLSMs 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 VC who would be the university’s head of procuring entity (HOPE) and exercise the financial authority bestowed upon him under the FD’s aforementioned order. However the procurement plan of the subproject must be approved by the project prior to initiation of any procurement, be it direct shopping, NCB and ICB. Procurement done without project’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 FLSMs would make payment for only those expenditures which have followed the due procedure and are included in the budget. The OM provides the examples of indicative eligible expenditures to be made by the subprojects implemented under the Window 4.

5.7.1.2 Before making any payment, invoices should be checked properly to ensure that: 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; Items and quantities of supplied goods, services, or works supplied are according to purchase

order/contract; Unit price of the procured items are according to purchase order/contract; Delivery of the procured items are within stipulated time/deadline; Procured items have been duly received, checked and entered in stock register; Invoices are free from any arithmetical errors and inconsistencies; The goods, services and works supplied/delivered are chronological from the dates of invitation

of tender, contract and purchase order; 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.

5.7.1.3 In addition to above, and before making payments out of OA, the FLSM must ensure 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;

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Outcome of the activity/work done can be physically verified, ownership established and properly safeguarded.

5.8 Cash Basis Accounting

5.8.1 The subproject 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.

5.9 Books of Account and Supporting Documents

5.9.1 The FLMT shall maintain books of accounts adequately to record following transactions relating to the subproject 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.

5.9.2 Therefore, the minimum principal books of accounts to be maintained byFLSMT for each subproject would be:

Cash Book Petty Cash Book General Ledger

5.9.3 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 subproject. 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 & Expenditure Register Bank Account Reconciliation Register

5.10Bank Reconciliation

5.10.1 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:

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5.10.2 (i) Entries in the bank statements shall be compared with the entries made in the subproject’s Bank Transaction Register (Bank Book),

5.10.3 (ii) 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.

5.10.4 (iii) 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.

5.10.5 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 subproject’s Bank book.

5.11Imprest (Petty Cash)

5.11.1 Small payments, which are usually required to be paid in cash for day-to-day expenses of the subproject, shall be paid out of Petty Cash float maintained under the imprest system. The limit of petty cash imprest required by the subproject manager will be according to the aforementionedDelegation 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.

5.12CD VAT Transaction

5.12.1 CD VAT transaction of subproject, if any, will be done centrally from HEQEPU. The FLSMs will therefore, send relevant documents to the PD, HEQEP for taking necessary action, when customs authority would make assessment.

5.13Month End Procedures

5.13.1 At the end of the month, the FLSMs 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:

Bank reconciliation Petty cash reconciliation General ledger reconciliation Month end ledger balancing

5.14Quarterly Financial Management Report (FMR)

All the forms and templates related to financial management reporting are in the Annex 7 & Annex 8.

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5.14.1 Subproject Financial Management Report5.14.1.1The FLSMs are required to submit Financial Management Reports (FMR) to the HEQEPU on a quarterly basis within 21 days after the end of each calendar quarter. The reports included in the FMR are:

Part-1: Financial Report1-A Subprojects Sources and Uses of Fund 1-B Uses of Fund by Subproject Activities1-C AIF Activity Report1-D Bank Reconciliation Statement

Part -2: Expenditure Documentation Report2-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 Advance3-A Subprojects Cash Forecast Statement3-B Request for Advance.

5.14.1.2Formats for FMR are provided in Annex 8. The UAIFS shall provide technical assistance to FLSMs in preparing the SPFMR.

5.14.2 HEQEP Financial Reporting and Monitoring5.14.2.1HEQEPU is responsible for consolidating financial reports from the subprojects and 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 within 45 days after the end of each quarter.

5.14.2.2HEQEPU 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 DA are reflected in the GoB accounts as well as in the CPFS of the MoE.

5.14.2.3To ensure transparency in financial 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 audits, audit reports and the actions taken on audit observations should also be posted on the website.

5.15Year End Procedures

5.15.1 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 subproject 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 subproject expenditure for the year. Other financial statements may also be prepared as required by various stakeholders.

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5.16Unspent Balance

5.16.1 During implementation of the subproject, 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 FLSM 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.

5.16.2 After completion of subproject, 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 FLSM within a month of the completion of subproject along with a statement on closing of accounts.

5.17Document Retention by FLMT

5.17.1 The FLMT 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 FLMT 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.

5.18Internal Control

5.18.1 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 subproject activities. Segregation of duties and responsibilities in expenditure management cycle and control functions will have to be clearly defined.

6. Procurement Management

6.1 Primary Responsibility

6.1.1 The primary responsibility in respect of procurement will lie with the concerned individual FLSMs of the Fab Lab grant recipient university.

6.1.1 The legal framework6.1.1.1 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 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) will follow the World Bank’s Procurement Guidelines for Goods, Works and Non-Consultancy Services July 2014, all national competitive bidding will follow PPA/PPR with bidding documents acceptable to IDA. Selection of consulting services/consultants will follow the Guidelines for Selection and Employment of Consultants by World Bank Borrowers, July 2014. 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

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and in the Financing Agreement (FA) executed between the IDA and the GoB. These documents and other relevant regulations are available on the website of Central Procurement Technical Unit (CPTU) i.e. www.cptu.gov.bd, and World Bank’s Procurement/Consultant Guidelines are available on its website www.worldbank.org.

6.1.1.2 A Financial Management Questionnaire (FMQ) has been developed to assess the FM capacities and systems of the universities that would be eligible to submit proposals under the AIF. The FM capability of each university has been assessed on the basis of the responses to the FMQ. The universities having FM capabilities below a benchmark would be required to agree on a Financial Management Action Plan to address the gap, in order for them to be eligible to access funds under the AIF. The FMQ is attached to this FLOM at Annex 7.

6.2 Procurement Methods

6.2.1 Procurement Methods6.2.1.1 The procurement methods to be used for procurement of goods, works and services, are presented under paragraphs below.

6.2.1.2 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 subprojects.

6.2.1.3 As part of regional guidance to simplify operational processes, IDA will not prior review rebidding decisions pertaining to post-review NCB contracts. The implementing agencies will apply adequate due diligence in taking such decisions to re-invite bids for such NCB contracts, and the instances of rebidding will be reviewed as part of the IDA's post-procurement review. IDA will prior-review only those contracts whose estimated cost would cross the threshold amount as given in the table below but HEQEPU shall review all the packages:

Procurement Threshold Table

Expenditure Category

Contract Value Procurement Method Contracts Subject to Prior Review(Threshold)

Goods >=US$ 2,000,000 ICB All contracts valued US$ 1,000,000 or more <US$ 2,000,000 NCB All contracts valued US$ 1,000,000 or more DC All contracts <=US$ 6,000 RFQ/ National Shopping Post review

Works >= US$10,000,000 ICB All contracts valued US$ 10,000,000 or more <US$10,000,000 NCB All contracts valued US$10,000,000 or more <=US$ 12,500 RFQ/ National Shopping Post review DC All contracts

Services >=US$500,000 QCBS / QBS First contract by the project regardless of value in QCBS/QBS and thereafter, all contracts valued US$500,000 or more

<US$500,000 FBS All contracts valued US$500,000 or more

<US$ US$300,000 LCS Post review

<US$ US$300,000 CQ Post review

IC All contracts valued US$200,000 or more [Procurement and Financial Management Consultants are prior review regardless of value]

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http://www.cptu.gov.bd/


SSS All Contracts

6.3 Procurement of Goods

6.3.1 It is presumed that almost all Fab Lab subprojects 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 large for others. Equipment for Fab Laband other supplementary tools and materials required for subprojects may be available within Bangladesh but those not will be procured through ICB.

6.3.2 Generally goods will be procured using NCB, i.e.,national shopping for small valued contracts but as mentioned above some equipment may be valued over the threshold. In such case procurement would follow ICB method and prior-reviewed. 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., Fab Lab subproject implementers or/and universities, HEQEPU and UGC. HEQEPU shall seek World Bank’s clearance for following these threshold amounts.

6.3.1 ICB6.3.1.1 Goods and equipment contracts estimated to cost Taka 48.0 million (US$600,000 equivalent) and above per contract will be procured using ICB.

6.3.2 NCB6.3.2.1 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.

6.3.3 National Shopping (NS)6.3.3.1 Small goods and equipment contracts may be procured in accordance with provisions of national shopping (Request for Quotations) following PPA and PPR and a threshold of BDT 1.5 million per purchase, provided those are included in the Procurement Plan agreed with IDA.

6.3.4 Direct Contracting (DC)6.3.4.1 Under this project, computer software, books, journals, 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.

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6.4 Procurement of Works

6.4.1 As the fab lab establishment requires various purchasing and installation of the equipment, quite a lot of civil works are envisaged under Fab Labsubprojects. The following procurement methods can be used when Fab Lab fund is used for establishing Fab Labs and other associated workshop rooms etc.:

International Competitive Bidding (ICB): ICB will be used for contracts estimated to cost Taka 800.0 million (US$ 10.0 million equivalent) and above per contract.

National Competitive Bidding (NCB): Civil works contracts estimated to cost below Taka 800.0 million (US$ 10.0 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 43.2.1(v) also apply for works.

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.

6.5 Procurement of Consultancy Services and Training

6.5.1 It is assumed that international technical assistance/ consulting will be required as Fab Lab managers from other countries may need to help the setup of Fab Lab. In addition, 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 Fab Lab subproject managers. Such local consultants may be firms or individuals based on specific needs and their hiring would follow provisions of the World Bank’s Guidelines for Selection and Employment of Consultants, January 2011.

6.5.2 Short lists of consulting firms for services estimated to cost less than Taka 40.0 million (US$500,000 equivalent) per contract may be composed entirely of national consultants in accordance with the provisions of paragraph 2.7 of the IDA’s Guidelines for Selection and Employment of Consultants. The methods of procurement that can be used are as follows:

6.5.3 Quality and Cost Based Selection/Quality-Based Selection (QCBS/QBS): Consulting services through firms estimated to cost Taka 40.0 million (US$500,000 equivalent) and above per contract will be selected following QCBS/QBS in accordance with IDA’s Consultant Guidelines.

6.5.4 QCBS/Fixed Budget Selection (FBS): Services through firms estimated to cost less than Taka 40.00 million (US$500,000 equivalent) per contract shall follow the QCBS/ FBS method in accordance with IDA’s Consultant Guidelines.

6.5.5 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.

6.5.6 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. This includes staff training and capacity development in project management and implementation.

6.5.7 Individual Consultants (IC): 27


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 and M&E will be selected following this method.

6.6 Use of Standard Bidding and Contract Documents

6.6.1 Use of Standard Bidding and Contract Documents6.6.1.1 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.

6.7 Procurement Risk Mitigation Measures

6.7.1 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:

6.7.2 (i) Alert bidders in pre-bid meeting: HEQEPU/FLSMs 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.

6.7.3 (ii) Alert internal officers/staff: HEQEPU/FLSMs 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.

6.7.4 (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 BEC for circulation to all concerned. For prior review packages, such BOM will be shared with the IDA.

6.7.5 (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.

6.7.6 (v) Measures to reduce coercive practices: Upon receiving allegations of coercive practices resulting in low competition, HEQEPU/FLSPMs will look into the matter and take appropriate measures.

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For prior review contracts, observations of HEQEPU will be shared with IDA, along with the evaluation reports. HEQEPU/FLSPMs/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.

6.7.7 (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. For prior review of cases, all such detailed reports will be sent to IDA.

6.7.8 (vii) Filing and record-keeping: HEQEPU/FLSPMs 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.

6.7.9 (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).

6.7.10 (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 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.

6.8 Procurement Plan

6.8.1 Procurement Plan6.8.1.1 A procurement plan covering all major procurement packages for the first 18 months of the Fab Lab subproject shall be prepared. Universities shall submit procurement plans for their respective Fab Lab 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.

6.8.1.2 It has been already mentioned that all AIF subproject 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; 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.

6.8.1.3 Common goods (3D printers, computers, CNC milling machines, laser cutters, electronic appliances etc.) under the Fab Lab subprojects shall be centrally procured by HEQEPU.

6.8.1.4 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

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http://www.cptu.gov.bd/


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 FLSMs by following the relevant procurement rules mentioned in this OM. The procurement unit officials and procurement specialists of HEQEPU shall provide technical assistance to the FLSMs in rationalizing their respective procurement plans as explained above during the workshop.Any change in the procurement plan due to budget re-appropriation during the implementation requires prior concurrence of the HEQEPU. (furniture and stationery will be individually procured)

6.9 Prior Review by IDA of Procurement Decisions

6.9.1 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 subproject are mentioned below:

For Goods: All the ICB contracts and direct contracts irrespective of estimated cost. The NCB contracts estimated to cost equivalent or more than US$ 1000,000.

For Works: All the ICB contracts and direct contracts irrespective of estimated cost. The NCB contracts estimated to cost equivalent or more than US$ 10,000,000.

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.

For Consultant’s Services: All contracts estimated to cost USD 500,000 equivalent or more for firms and USD 200,000 equivalent or more for individuals, all single-source contracts. All Terms of References of the consultants are subject to the IDA’s prior agreement.

6.10Post Review

6.10.1 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.

6.11Electronic Government Procurement (e-GP)

6.11.1 All NCB procurement under AIF subprojects covered by the additional financing will 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.

6.11.2 Under the Window 4 Fab lab, the large established government universities (DU, CU, RU, KU, BUET, SUST, CUET, RUET, KUET, BAU) will follow e-GP, should they successfully secure IF subprojects.

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6.11.3 All procurement officers of HEQEP will have completed national/international training on e-GP.Under the 3rd Round of AIF implemented with additional financing, the large government universities have already become ready for e-GP and have done procurement through e-GP. Therefore, the Fab Lab subproject implementing universities would be fully experienced to procure through e-GP.

6.12Other Actions

6.12.1 Review of Procurement Performance6.12.1.1IDA 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.

6.12.1.2Regarding 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 subproject 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.

6.12.1.3The primary responsibility in respect of procurement will lie with the concerned individual FLSMs 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 FLSMs engaged in the implementation of the selected/awarded projects, public university UAIFSs 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.

6.12.2 Strengthening Procurement Capacity at University Level6.12.2.1For procurement under Fab Labsubprojects, the FLSMs 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:

6.12.2.2(i)Special Training Course: Prior to implementation of the Window 4Fab Lab, HEQEPU will arrange a customized training course, covering IDA Procurement Guidelines and the PPR 2010. 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 Fab Lab grant recipient universities’ FLSMs and procurement officers, who will be designated upfront during submission of application.

6.12.2.3(ii) Bid/Proposal Evaluation Committee (BEC/PEC) in the universities shall have at least two members from outside the university;

6.12.2.4(iii) On an annual basis contracts using Fab Lab 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.

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7. Monitoring and Evaluation

7.1 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.

7.2 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 Fab Lab subprojects will be the major responsibility of this unit. Six-Monthly Progress Reports will be submitted in both soft copy and hard copy to MEU by the respective FLSMs twice a year in a customized reporting format developed by HEQEPU included in Annex 10of this OM. Every year the progress of January to June and of July to December will be reported in July and January next year, respectively.

7.3 MEU will arrange a validation survey of the subprojects and will match the findings with the self-reported information. Field visits for assessment of progress of the subprojects towards its goal will also be arranged by the MEU. Experts from relevant fields may be contracted for assessing the progress of the Fab Lab subprojects, if necessary.

7.4 At the field level the offices of the FLSM shall be the main agency for monitoring and evaluation of the Fab Labsubprojects implemented by the universities. The FLSMs shall monitor the projects on a continuous basis and measure the progress/achievements against the performance indicators mentioned in the subproject proposal. The FLSMs should be meticulous in maintaining detailed accounts of the funds received by him/her including every item of expenditure made under the project according to established accounting procedure/system. He/she should also submit the Fab Lab Quarterly Progress Reports for financial and expenditure statements in prescribed formats (Annex 8) to the UAIFS and UGCAIFS. The reporting formats are attached to this OM. These can also be downloaded from HEQEPU website.

7.5 At the end of subproject implementation, the FLSMs shall submit the Project Completion Report(PCR) to summarize all the achievements and expenditure records of his/her subproject. PCR will be submitted to UAIFS, UGCAIFS and MEU within 45 days of project completion in both hard copy and soft copy in prescribed formats (Annex 10). The FLSMs should close all subproject activities, except writing PCR, in the last 90 days before closing the subproject to facilitate timely submission of the PCR. The PCR must be attached with (i) a list of fixed assets, furniture, equipment, etc. procured under the subproject; (ii) a certificate from the head of the entity regarding transfer/receipt of these assets, books of account (such as registers, ledgers, cash book etc.) procurement documents, vouchers etc. (iii) a statement on expenditure covering the entire subproject period. MEU will conduct a verification survey of PCR for selected subprojects within two years after the project completion to verify the actual achievements in the field against reported project outcomes and to evaluate impacts on beneficiaries and changes in institutional capacity created by the subproject. Sustainability of such impacts will also be assessed in the verification survey of PCR.

7.6 Apart from MEU,UGC as the implementing agency for the AIF, will monitor and review all on-going Fab Lab subprojects on a regular basis during their implementation. The UGC shall take

32


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.

7.7 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 and FLMT. 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 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 and World Bank.

7.8 The Implementation, Monitoring and Evaluation Division (IMED) of the Ministry of Planning will routinely monitor the implementation progress of the subprojects as part of its mandated activities. In addition,MoE would review the progress in its monthly ADP review meeting held in the Ministry.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.

7.9 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.

8. Reporting Arrangement

8.1 Reporting is one of the critical part of Fab Lab subproject management that bears significant importance in terms of ensuring high-level accountability of the AIF program and HEQEP. The FLSMs are responsible for making sure all the relevant reports are submitted in proper formats and according to agreed timeline. The FLSMs and UAIFS/AIFMU are required to retain copies of the submitted reports and relevant documents in secure locations for at least five years after and be able to present them readily when and if so required. Reports that Fab Lab subprojects are required to submit during and after its implementation are as below. Procedures associated with each report is describe in respective section of this OM.

8.2 Financial Reporting: Fab Labsubprojects shall submit (1) monthly financial statements as end of month procedures showing opening balance, receipts, payments made, etc.; (2) Financial Management Report (FMR) on every quarter; and (3) yearly financial statements as an end of year procedure.

8.3 Progress Reporting: Fab Labsubprojects are required to submit (1) short Quarterly Progress Report summarizing financial and physical progresses; (2) Six-Monthly Report summarizing outputs and progress of the subproject over six months; and (3) Project Completion Report (PCR) at the completion of the subproject summarizing all the outputs, achievements, and expenditures of the subproject implementation.UAIFS/AIFMU will also submit Half-yearly Status Report (Annex 14) of the subproject to HEQEPU.

9. Audit

9.1 External Audit33


9.1.1 All IDA financeddevelopment 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 Fab Lab funds utilization and into the audit reports provided by the MoE/UGC during the project implementation period. The UGC, UGCAIFS, UAIFS of universities and the Fab Lab subproject managers should therefore remain fully prepared with the accounts of the subprojects and all relevant documents on fund received and utilized.

9.2 Internal Audit

9.2.1 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.

9.3 Fixed Assets Verification

9.3.1 In order to verify existence, ownership and safe custody of the various fixed assets procured, the FLSMs 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.

9.3.2 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.

10.Environment Management Framework

10.1 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 subproject implementation. The EMF would address the following issues:

Protect human health; Minimize environmental degradation as a result of impact of either individual subprojects or their

cumulative effects; Enhance positive environmental outcomes; and Ensure compliance with the GoB and World Bank’s safeguard policies.

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10.2 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 Fab Lab subprojects. The EMF would provide guidance on the approaches to be taken during Fab Lab subproject 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.

10.3 The EMF will be based on the following principles: The Fab Lab subprojects are likely to include physical infrastructure installment 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;

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

The subprojects 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;

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;

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

The subprojects will promote sound environmental management and practices within the higher education institutions during implementation.

10.4 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 subprojects, the requirement to carry out an environmental analysis as part of subproject preparation can be waived, but for subprojects with potential adverse impacts, a limited environmental analysis/ screening will be done prior to final selection of a subproject. 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 Fab Lab Subproject.

10.5 Environmental Screening:The subproject proposal generating institutions 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 subproject 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.

10.6 Environmental Review and Clearance: The University Grants Commission will ensure that a qualified environment expert is assigned during each subproject review. The measurable environmental indicators will be used along with other indicators

35


for assessing the subprojects. The institution will submit its proposal for small infrastructure renovation/refurbishing with an environmental checklist (Annex 11). Similarly, the applicants of research proposal will submit the environmental checklist (Annex 12) 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 subprojects and publish quarterly report on environmental compliance of subprojects based on agreed monitoring indicators.

10.7 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.

10.8 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 Fab Lab subprojects, field level consultations will not be held. The EMF has been disclosed in both Bengali and English by the MoE and UGCand it will also be made available at the World Bank’s InfoShop. Relevant subproject specific safeguard documents/mitigation plans prepared subsequently will also be disclosed to the public.

10.9 Guidelines for preparation of Environmental Management Plan: After the identification of potential impacts of the relevant subproject, 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:

10.10 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.

10.11 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;

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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

10.12 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.

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

10.14 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.

10.15 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.

11.Social Management Framework

11.1 The subproject will not require land acquisition, cause the displacement of people (regardless of title to land) from private or public lands, or have any adverse impacts on livelihoods. As such World Bank’s OP 4.12 Involuntary Resettlement will not be triggered for the 3rd round of AIF as was the case for the original project. However, the project may operate in the areas where ethnic minority people live in the wider general area (such as in ChittagongDivision) 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 FLOM (Annex13). The proposal submitting entities will be required to submit the filled in Social Screening Form with the CPs.

12.Annexes

Annex 1 Concept Note on Performance IndicatorsAnnex 2 Financial Incentives for FLSMTAnnex 3 Complete Proposal Format for Fab Lab Annex 4 Proposal Evaluation Criteria for Fab LabAnnex 5 Performance Contract for Fab LabAnnex 6 Guidelines on Fraud and Corruption Annex 7 Financial Management Guidelines and FormatsAnnex 8 Quarterly Financial Report Format

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Annex 9 Six Monthly Monitoring Report FormatAnnex 10 Subproject Completion Report FormatAnnex 11 Environment and Safety Checklist for Small Infrastructure and RenovationAnnex 12 Environment and Safety Checklist for ResearchAnnex 13 Social Management Framework (SMF)Annex 14 Half Yearly Status Report Format for UAIFS/AIFMUAnnex 15 Guidelines for Economic Codes

38

FLOM: Annex 1

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

Academic Innovation Fund (AIF)

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 Fab Lab subprojects 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 reorganization 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 Fab Lab subprojects 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 Fab Lab subprojects has to be coherent with these general assumptions and based on appropriate and effective evaluation processes and performance-based indicators. One way of categorizing indicators are as follows:

Core performance indicators (select 3 among category 1 to 3)Elective performance indicators (select 3 from all the categories)

1. Institutional2. Fab Lab Operation3. Research Funding4. Academic Exchange5. Scholarships, Infrastructure, 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 Committed staff and university leadership to successfully operate Fab Lab Capacity among staff on Fab Lab operation has been developed Participated in global networking and collaboration opportunities using Fab Lab

2. Fab Lab Operation Business plan has been developed and followed N° of prototypes made in Fab Lab N° of collaboration with industries made N° of collaboration with other universities made N° of community engagement events held N° of workshops held N° of users visited and used a space N° of people participated in the Fab Academy course Effectiveness of established partnership between the proposal submitting entity and an industry

39FLOM: Concept Note on Performance Indicators

FLOM: Annex 1

Research topics which have a direct bearing and an impact on key industrial problem(s) in the areas identified, which can bring game changing innovative solutions to tackle the most urgent problems of Bangladesh and can contribute to socio-economic transformations

3. Research Funding

Nº of (competitive) research grants received from national or/and international sources N° of thesis supervised to completion. N° of prizes N° of fellowships N° of ISI publications for research results in refereed journals, per staff member and total average. N° of books for research results published as commercial books reviewed by peers N° of edited books N° chapters in books N° of non-ISI publications and relevant work of humanities and social sciences (in other

languages than English) N° of ISI publications associated to Ph D work and academic exchange N° of funding received from industries

4. Academic Exchange

Nº of academic exchange programs established with foreign universities per year N° of collaborative research projects established with foreign universities per year

5. 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 Fab Lab related books available Access to information and knowledge Institutional capacity for/on time management of allocated AIF resources.

6. Building indicators

Indicators are key instruments in the process of monitoring and evaluation of performance based projects, as they contribute to a better design and to the measurement of achievement of results and effectiveness in the use of funding. The correct definition of indicators allows the expression of specific activities in terms of periodic measurable quantities, précising whom they benefit. In addition, during the development of the project, progress in objectives can be verified, contributing to better information for needed project redesign.

Projects have to define and formulate some indicators and explain with precision their calculation methodology, origin of base values, measurement periods, periods of analysis and evaluation, and validation media.

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.


FLOM: Annex 1

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.


FLOM: Annex 2

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

Innovation Fund

Financial Incentives to Members of Fab Lab Subproject Management Team (FLSMT)

Proposal Submitting Entity: University

Designation of the Member

Maximum permissible incentive

Conditions

Fab Lab Subproject Manager (FLSM)

Four months’ basic salary* per year

Incentives will be eligible only when Performance Indicators have been achieved;

Under any circumstances the total financial incentives for Fab Lab subproject management team shall not exceed Taka 1.5 million (Taka 2.0 million for joint subprojects between entities and between universities) or 10% of the total project cost, whichever is lower.

Deputy Subproject Manager (DFLSM)

Two months’ basic salary* per year

Member of the Fab Lab Subproject Management Team

(FLSMT)

One month’s basic salary* per year

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

FLOM : Financial Incentives for FLSMT42

FLOM: Annex 3

University Grants Commission of BangladeshWindow 4 – Fabrication Lab

Complete Proposal (CP) Format for

Fab Lab

1. Subproject Title:…………………………………………………………….……………

2. Name of the University: …………………………………………………………………

3. Total cost:i. In Taka…………………………..

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

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

ii. Completion:………………….…………

5. Name(s) of Partner(s) in Industry:…………………………………….....…………………….

A. PROJECT DESIGN

6. General Objectives of the SubprojectDescribe the goals that are aimed to be achieved within the project implementation period

1.2.3.

Note: Please do not write in essay form.

7. Specific Objectives of the SubprojectMention the specific objectives of the subproject. Please note that each specific objective will produce results and outcomes and has to be expressed in terms of milestones and measured with performance indicators. Please mention specifically if applications for patents are envisioned.

1. 2. 3.

Note: Please do not write in essay form.

8. Summary of Project ActivitiesDescribe the project components, activities, methods, and expected results in accordance with the specific objectives described above. Please also describe in detail the groundwork and arrangements made for undertaking the collaborative research with the industry (e.g., meetings held, subject of research identified).

43FLOM: Innovation Fund Complete Proposal

FLOM: Annex 3

B. Fab Lab Design 9. Functions and Services of Fab Lab

Describe in detail the functions and services of Fab Lab, including target users, activities, product development, industry partnerships and etc.

1.2.3.

10. Assessment of Potentiality and Feasibility for Industry Partnerships, Incubation, and Startups using the Fab LabPlease explain potentiality and feasibility for developing industry partnerships, incubation opportunities and production of prototypes using Fab Lab (see CP Annex 7). List potential partners that you could collaborate and approach for finding partners (e.g. hosting events, applying for competitions, participating in networking events, and directly approaching to partners).

11. Assessment of Teachingand Research Potential using Fab Lab Describe the methods of teaching and research that can be promoted through the use of Fab Lab.

12. Assessment of Fab Lab Management Team CapacityPlease describe the experiences and capacity of the Fab Lab Management Team related to the use of digital fabrication machines, project execution experience using digital fabrication,

FLOM: Fab Lab Complete Proposal

44

FLOM: Annex 3

research related to projects using digital fabrication machines, and community engagement activity.

13. Assessment of the University’s Capacity in utilizing Fab Lab Potential for InnovationPlease describe in detail how various departments, institutes, and centers of the university are likely to benefit by utilizing Fab Lab facilities for teaching and learning, research, and innovation.

14. Approach for Community Engagement Please describe in detail how Fab Lab will reach out to various local communities, other schools, industries, NGOs etc.

C. DETAILED PROJECT DESIGN AND INFORMATION

15. Operation & Maintenance of Equipment/InstrumentDescribe the capacity (technical and financial) of the proposal submitting entity for the operation and maintenance of equipment/instruments to be procured under this subproject. Please mention the proposed plan to build required additional capacity:

1. Technical and financial capacity:

2. Experience of maintaining/requiring equipment:

3. Proposed plan to build required additional capacity:

16. Plan for Sustainability of Fab Lab OperationPlease explain in detail how to sustain Fab Lab operation and maintenance after the completion of the subproject.


45

FLOM: Annex 3

1. Source of financing: 2. Continuation of technical manpower:

3. Operation and maintenance:

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

18. Summary of major items and total estimated cost of the subproject.

Please furnish summary of major items and estimated cost inTable 2 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 subproject.The detailed estimated budget should be submitted in the excel format given at CPAnnex 6.


46

FLOM: Annex 3

Table 2. Summary of Estimated Budget

Subproject 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

(b) Capital Expenditure

6800 Acquisition of Assets

Total Capital Expenditure

Total Cost (a+b)

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

Total Subproject Cost (a+b+c)

19. Please submit/attach the “Work/Activities Plan6” as per CPAnnex-2

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

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

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

23. Please submit/attach the ‘Detail Budget’ as per CPAnnex- 6.

24. Safety Checklist and Mitigation PlanPlease attach environment Safety Checklist and Mitigation Plan under the subproject in the format provided in CPAnnex - 8.(Please note that absence of the checklist and mitigation plan will lead to rejection of the CP by UGCBAIF)

25. Social Screening FormPlease attach “Social Screening Form” as per CPAnnex-9.

6Please 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.


47

FLOM: Annex 3

26. Fab Lab Subproject Management Team (FLSMT)

Please mention the FLSMT personnel directly responsible for the management and implementation of the subproject in the formats given in CPAnnex-10&11.

27. Proposal Endorsement by University Management

Please provide endorsement by the head of the proposal submitting entity and VC in CPAnnex 12.

28. Background Data of the Proposal Submitting Entity

A. Please provide the information requested in the following Tables. This information will serve to analyze the size, strength and potential of the human resources and the unit’s research capacity, productivity and outreach in the last five years.

Table 3: Background Data of the Proposal Submitting Entity

Items 2011 2012 2013 2014 20151. Total enrolment in PhD program2. First year enrollment in PhD Program3. Number of PhD degrees awarded4. % of students achieving PhD per entry cohort5. Stipulated time-to-PhD degree (in academic session/semester)6. Number of drop-outs in PhD programs7. Actual average time-for–completion of PhD program (in

academic session/semesters) among PhD awardees8. Total number of faculty members involved in research9. Total number of full time faculty members involved in

research10. Number of Assistants/Fellows involved in Post-graduate

Research11. Total number of full time faculty members involved in

supervision of research/Ph D programs12. Total number of full time faculty members holding PhD

engaged in supervision of research/PhD programs13. Total number of post-doc faculty members 14. Total external resources (Taka) obtained for research/PhD15. Total number of publications: books

(a) ISI(b) Non-ISI(c) Refereed

16. Total number of publications per Ph D researcher17. Total number of publications per Ph D holder18. Total number of Intellectual Properties

(IP)/products/processes created19 Total number of patents obtained


48

FLOM: Annex 3

Items 2011 2012 2013 2014 201520 The number of partnership MOUs signed with industries21 Revenues earned from industry through provision of technical

support and technical services (in Lakh taka)22*

*Any additional data deemed relevant

B. Please provide data on existing facilities/resources available in the entity.

Description of Facilities Unit Existing/Available

Comments

1. Science Lab2. Engineering Workshop 3. Medical lab 4. Agricultural Lab/Field centers5. Veterinary/Fisheries Lab6. Chemicals/ Biochemical Lab7. Computer Lab8. Qualified/Trained Supervisors9. Qualified/Skilled Science Lab Technicians10. Engineering Machine/Instruments Operator11. Medical Equipment/ Instrument Technician12. Other Skilled Technicians/Support Staff13. Please attach a list of state-of-the art scientific

equipment in use in the entity’s lab14. Any Fab Lab equipment as mentioned in section

1.2.2& 1.12.1 of FLOM15. **Additional items may be included according to the specificity of the institution


49

DRAFT

FLOM: Annex 3

CPAnnex-1

Table 1: Milestones to Evaluate Subproject Implementation (Level 1)

Milestones Reference to Specific Objectives

Critical Activities Verification methods Assumptions

1.2.3.4.5.

Table 2: Performance Indicators to Evaluate Subproject Impact (Level 2)

Indicators Reference to Specific

Objectives

Calculation method

Assumptions Verification methods

Calculation of Base Value

Baseline Value in Year….

Desired Standard in

Year....1.2.3.4.5.

Milestones and Performance Indicators

Milestones and Performance indicators are key instruments in the monitoring and evaluation (M&E) of subprojects 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 milestones and performance indicators makes it possible to monitor and evaluate achievements in measurable terms, indicating the benefits.

Proposed indications must contemplate two levels of measurement: Milestones are the activity level (Level 1) indicators by which implementation progress is monitored by completion of key activities; and Performance Indicators are the impact level (Level 2)

50FLOM: Fab Lab Complete Proposal

DRAFT

FLOM: Annex 3

indicators which are measurable variables that will account for the degree of key impacts that the subproject produces for its end beneficiaries (e.g., the number of journal publications/patents, and share of trained researchers/post graduate students, etc) .

Please mention the calculation methods, sources and procedures to obtain base values, values committed during and after the implementation of the subproject, and verification methods to validate the results obtained.

How to make 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 subproject 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. 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 subproject. Base Value, the year of contract signing. 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.

Desired Standard, Year N. This reflects a final reference value for the indicator to be achieved at the completion of the subproject implementation.


DRAFT

FLOM: Annex 3

CPAnnex-2

Work/Activities Plan*

Please list in detail each activity within a time frame that will be carried out during the subproject 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 7 8 9 10 11 12

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


http://www.vertex42.com/

http://www.ganttchart.com/

DRAFT

FLOM: Annex 3

CPAnnex-3Financing Plan

Subproject Title: …………………………………………………………………………………………………………..

BDT in Lakh

Economic Code Item of Expenditure /Activity

Year 1 Year 2 Year 3

TotalQtr 1 Qtr 2 Qtr 3 Qtr 4 Qtr 5 Qtr 6 Qtr 7 Qtr 8 Qtr 9 Qtr

10Qtr 11

Qtr 12

Jan-Mar 2016

Apr-Jun

2016

Jul-Sep 2016

Oct-Dec 2016

Jan-Mar 2017

Apr-Jun

2017

Jul-Sep 2017

Oct-Dec 2017

Jan-Mar2018

Apr-Jun

2018

Jul-Sep 2018

Oct-Dec 2018

(a) Revenue Expenditure:

4500 Pay of Officer (Consolidated):

4501 Office Secretary/Manager

Sub-Total 4600 Pay of Staff (Consolidated):

4601

Accountant Data Entry/Computer Operator

Sub-Total Total Consolidated Salary (4500+4600)

4800Supplies & Services:

4801 Travel Expenses

4817 Website development & maintenance

4827 Publication on Research Findings

4828 Printing & Stationery

4833 Advertising & Publicity

4840 Training & Study Tour at Fab Lab Academy/other Established Fab Labs:

Local:

Foreign:


DRAFT

FLOM: Annex 3

a) For two best Fab Lab student innovators

b) For Fab Lab Operator and Technical Guru (maximum of two person-visits)

Sub-total

4842

Conference/Seminar/Workshop/ Awareness Campaign :

Local:

a) Awareness Campaign7 :

b) Showcasing students’ projects

c) Conference/Seminar/Workshop:

Foreign:

a) For SPMT/Faculty (maximum of 4 person-visits)

Sub-total

4852

Chemicals/Reagent etc.

(insert major items individually)

Sub-Total

4856Raw materials and Spares

Sub-Total

4874

Consulting Services:

Consultant for………………………….

Travel & hospitality costs for visiting academics

Academic Collaboration

Sub-total

4883 Incentives for subproject management team:

Incentive for FLSM

Incentive for Members FLSMT

Sub-total

7 Awareness campaign must be done in early stage of the subproject among the students of local academic institutions and relevant community people to increase Fab Lab users 54


DRAFT

FLOM: Annex 3

Financial Support /honorarium for Technical Guru and Fab Lab Operator and: (see section 5.2.3 of FLOM)

a) Technical Guru:

b) Fab Lab Operator:

Sub-total

4899 Other Expenses

Total Supply & Services (4800)

4900 Repair & Maintenance

4921

Refurbishing/Renovation for Fab Lab (not exceeding 10% of total budget):

(insert items individually)

Total Repair & Maintenance (4900)

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



6814

Engineering Equipment:


Sub-Total

6815 Computer & IT Equipment:

(insert items individually) 55


DRAFT

FLOM: Annex 3

Sub-Total

6817Computer Software for Fab Lab:

(insert items individually) Sub-Total

6819Office Equipment:


6820

Teaching & Learning Materials for Fab Lab: Devices

White Board Books & Journals for Fab Lab

Sub-total

6821

Furniture & Fixtures: Furniture & Fixtures for Fab Lab

Furniture & Fixtures for Fab Lab Office

Sub-total

6822Fab Lab Equipment/Instrument(See section 1.2.2 & 1.12.1 of FLOM): (insert items individually)

6827Electrical Equipment for Fab Lab:


7901 CD/VATSub-Total

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.


DRAFT

FLOM: Annex 3

CPAnnex-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:


DRAFT

FLOM: Annex 3

CPAnnex-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$

‘000

Act

ual P

rice

in c

ontr

act

curr

ency

Proc

edur

e M

etho

d

Proc

urem

ent G

uide

lines

(P

PA /

BG

)

Prio

r R

evie

w (

Yes

/ N

o)

Cont

ract

App

rovi

ng

Aut

hori

ty*

Plan

ned

date

of I

FB

publ

icat

ion

Act

ual d

ate

of IF

B

publ

icat

ion

Plan

ned

Dat

e of

Bid

O

peni

ng

Act

ual D

ate

of B

id O

peni

ng

Plan

ned

Dat

e of

Con

trac

t Si

gnin

g

Act

ual D

ate

of C

ontr

act

Sign

ing

Plan

ned

Dat

e of

D

eliv

ery/

Com

plet

ion

Act

ual D

ate

of

Del

iver

y/Co

mpl

etio

n

Nam

e of

the

Sup

plie

r

Prog

ress

of

Impl

emen

tati

on a

s of

……

[D

ate

of P

rocu

rem

ent

Pla

n a

s p

er C

over

Pag

e]

Prog

ress

of P

aym

ent a

s of

…

……

…[D

ate

of

Pro

cure

men

t P

lan

as

per

Rem

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

CPAnnex-4


DRAFT

FLOM: Annex 3

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

Table-C: Procurement Plan for Works Contract

Sl. N

o.

Con

tract

Pac

kage

Num

ber

Con

tract

Des

crip

tion

Uni

t

Qty

/ Nos

.

Estim

ated

Pric

e in

US$

‘000

Act

ual P

rice

in c

ontra

ct c

urre

ncy

Proc

edur

e M

etho

d

Proc

urem

ent G

uide

lines

(P

PA /

BG

)

Prio

r Rev

iew

(Yes

/ N

o)

Con

tract

App

rovi

ng A

utho

rity*

Plan

ned

date

of I

FB p

ublic

atio

n

Act

ual d

ate

of IF

B p

ublic

atio

n

Plan

ned

Dat

e of

Bid

Ope

ning

Act

ual D

ate

of B

id O

peni

ng

Plan

ned

Dat

e of

Con

tract

Sig

ning

Act

ual D

ate

of C

ontra

ct S

igni

ng

Plan

ned

Dat

e of

Com

plet

ion

Act

ual D

ate

of C

ompl

etio

n

Nam

e of

the

Con

tract

or

Prog

ress

of I

mpl

emen

tatio

n as

of

……

……

[Dat

e of

Pro

cure

men

t Pl

an a

s per

Cov

er P

age]

Prog

ress

of P

aym

ent a

s of

……

[D

ate

of P

rocu

rem

ent P

lan

as p

er

Cov

er P

age]

Rem

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



DRAFT

FLOM: Annex 3

CPAnnex-4

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

Table-D: Procurement Plan for Non-consulting Services 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$ ‘0

00

Act

ual P

rice

in c

ontr

act

curr

ency

Proc

edur

e M

etho

d

Proc

urem

ent G

uide

lines

(P

PA /

BG

)

Prio

r R

evie

w (

Yes

/ N

o)

Cont

ract

App

rovi

ng A

utho

rity

*

Plan

ned

date

of I

FB p

ublic

atio

n

Act

ual d

ate

of IF

B p

ublic

atio

n

Plan

ned

Dat

e of

Bid

Ope

ning

Act

ual D

ate

of B

id O

peni

ng

Plan

ned

Dat

e of

Con

trac

t Si

gnin

g

Act

ual D

ate

of C

ontr

act S

igni

ng

Plan

ned

Dat

e of

Com

plet

ion

Act

ual D

ate

of C

ompl

etio

n

Nam

e of

the

Ser

vice

Pro

vide

r

Prog

ress

of I

mpl

emen

tati

on a

s of

…..

[Dat

e of

Pro

cure

men

t P

lan

as

per

Cov

er P

age]

Prog

ress

of P

aym

ent a

s of

……

[D

ate

of P

rocu

rem

ent P

lan

as

per

Cov

er P

age]

Rem

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



DRAFT

FLOM: Annex 3

CPAnnex-4

All 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

kage

Num

ber

Cont

ract

Des

crip

tion

Uni

t

Qty

/ N

os.

Est

imat

ed P

rice

in U

S$ ‘0

00

Act

ual P

rice

in c

ontr

act

curr

ency

Proc

edur

e/ M

etho

d

Proc

urem

ent G

uide

line

(PPA

/ B

G)

Prio

r R

evie

w (

Yes

/ N

o)

Cont

ract

App

rovi

ng A

utho

rity

*

Plan

ned

date

of R

EO

I pu

blic

atio

n

Act

ual d

ate

of R

EOI

publ

icat

ion

Plan

ned

Prop

osal

Su

bmis

sion

Dea

dlin

e

Act

ual P

ropo

sal S

ubm

issi

on

Dea

dlin

e

Plan

ned

Dat

e of

Con

trac

t Si

gnin

g

Act

ual D

ate

of C

ontr

act

Sign

ing

Plan

ned

Dat

e of

Com

plet

ion

Act

ual D

ate

of C

ompl

etio

n

Nam

e of

Con

sult

ant/

Fir

m

Prog

ress

of I

mpl

emen

tati

on a

s of

……

[Dat

e of

Pro

cure

men

t P

lan

as

per

Cov

er P

age]

Prog

ress

of P

aym

ent a

s of

……

[D

ate

of P

rocu

rem

ent P

lan

as

per

Cov

er P

age]

Rem

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) 0Total (All Prior Review Contracts) 0



DRAFT

FLOM: Annex 3

CPAnnex -5

Training/ Visit/Study Tour Plan

Subject of Training Duration Participants Place/Location/Institution

Estimated Cost

PeriodFrom To

Local:

Foreign: (maximum two weeks)

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


DRAFT

FLOM: Annex 3

CPAnnex -6

Details of Estimated Budget

Please attach the detailed cost break-down for each item covering the entire duration of the subproject in excel spread sheet. Also mention the economic code for each item. (Please consult section 5.2 of Window 4 FLOM)

Subproject 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/Manager Sub-Total

4600 Pay of Staff (Consolidated):

4601

Accountant Data Entry/Computer Operator MLSS

Sub-Total Total Consolidated Salary (4500+4600)

4800 Supplies & Services:






4840

Training & Study Tour at Fab Lab Academy/other established Fab Labs:

Local: Foreign: a) For two best Fab Lab student innovators:b) For Fab Lab Operator and Technical Guru (maximum of two person-visits)

Sub-total 4842 Conference/Seminar/Workshop/Awareness Campaign:

Local: a) Awareness Campaign8 b) Showcasing of students’ projects:


DRAFT

FLOM: Annex 3

c) Conference/seminar/workshop:Foreign:a) For SPMT/Faculty (maximum of 4 person-visits)Sub-total

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

4856Raw Materials and Spares

Sub-Total

4874

Consulting Services: Consultant for…………….

Sub-total

4883

Incentives for subproject management team:(Consult Annex-2 of FLOM)**

Honorarium for FLSM

Honorarium for Members FLSMT

Sub-total

Financial Support /honorarium for Technical Guru and Fab Lab Operator : (see section 5.2.3 of FLOM)

a) Technical Guru:

b) Fab Lab Operator:

Sub-total

4899 Other Expenses


4900Repair & Maintenance(not more that 10% of total budget)

4921

Fab Lab Refurbishing/Renovation(not exceeding 10% of the total Budget):


Total Repair & Maintenance (4900)

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



8 Awareness campaign must be done in early stage of the subproject among the students of local academic institutions and relevant community people to increase Fab Lab users64


DRAFT

FLOM: Annex 3

6814Engineering Equipment:


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

6817Computer Software for Fab Lab:


6819Office Equipment:


6820

Teaching & Learning Materialsfor Fab Lab: Devices

White Board Books & Journals

Sub-total

6821

Furniture & Fixtures:

Furniture & Fixtures for Fab Lab

Furniture & Fixtures for FLSM office Sub-total

6822 Fab Lab Equipment/Instrument (See section 1.2.2 & 1.12.1 of FLOM): (insert items individually)

6827Electrical Equipment:


7901 CD/VATSub-Total

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

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


* Economic codes are available in Annex 15 of this FLOM ** Please consult relevant Annexof this FLOM*** Please consult relevant Sections of FLOMAdditional items may be added by extending the no of rows in each component.


DRAFT

FLOM: Annex 3

CPAnnex-7

Industry/Company Profile

(Please attach documentation (brochure, booklet, website etc.) on the industry/company with whom Fab Lab collaboration has been undertaken and MoU has been signed, if any. Please provide a list of potential industry/company with whom you think the innovations from Fab Lab will be commercialized after having patent, copyright etc.))


DRAFT

FLOM: Annex 3

CPAnnex -8

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

University Grants Commission of Bangladesh Higher Education Quality Enhancement Project

(Window 4 - (Fab Lab))

Environment and Safety Checklist for Fab Lab Proposal

Title of theFab Lab Subproject: ________________________________________________________

Institution: ____________________________________________________________________

Type of Research: Innovation Research ____________________________________

Research Activity: New Activity

Research Disciplines:

Duration of Research Work: _____________ Months

Tentative Start Date: __________________________


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).

DRAFT

FLOM: Annex 3

Brief Description of Research Activity (Within 200 words)


DRAFT

FLOM: Annex 3

ChecklistSl # Screening Questions Yes No Remarks

1 Will the research work be laboratory based?[If the answer of question 1 is no, then go to question 6.]

2 Do the laboratory 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 work

i require procurement of hazardous products (WHO Hazard Class I & II)?

ii produce hazardous waste materials?iii generate infectious waste?iv cause significant emissions of gas harmful to

health?v generate liquid waste? vi cause any major noise?

4 Does the applicant have received formal training on laboratory operation and safety rules?

5 Does the applicant have previous work experience at laboratory on similar works?

6 Will the research work require interventions at field level?

7 Will the field based research 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?


DRAFT

FLOM: Annex 3

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?

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: ____________________________________________


DRAFT

FLOM: Annex 3

CP Annex-8(Attachment A)

Higher Education Quality Enhancement ProjectWindow 4 –Fab Lab

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


DRAFT

FLOM: Annex 3

CP Annex-9University Grants Commission of Bangladesh Higher Education Quality Enhancement Project

Window 4 - Fab Lab

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 Fab Lab

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.


DRAFT

FLOM: Annex 3

Part B: Activities

1. Major Activities using the HEQEP fund

2. Click if activities include any:

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

3. Description of the physical works, if any:

Part C: Social Issues

1. Will there be a need for additional lands to carry out the intended works?

[ ] Yes [ ] No

2. Does this activity affect any community groups’ access to any resources that they use for livelihood?

[ ] Yes [ ] No

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

[ ] Yes [ ] No

4. Does your proposed activities ensure equal inclusion right to the TP?

[ ] Yes [ ] No

5. Does your proposed activity pose any threat to cultural tradition and way of life?

[ ] Yes [ ] No

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

[ ] Yes [ ] No

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

[ ] Yes [ ] No

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

9. Any social concerns expressed by TP community and organizations, students and teachers? 10. The TP community and organizations perceive the social outcomes of the activity:

[ ] Positive

[ ] Negative

[ ] Neither positive nor negative

11. In respect of the social impacts and concerns, is there a need to undertake an additional impact assessment study?

[ ] Yes [ ] No

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

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


DRAFT

FLOM: Annex 3

CP Annex-10

Indicative Organogram of the Subproject Management Office

Please note that the above organogram is indicative and may be expanded and/or revised as required by the subproject.

Subproject management team includes FLSM, DFLSM, and Members FLSMT Please do not mention name of any member of the management team in this organogram


Fab lab Sub-project Manager

(FLSM)

(Faculty)

M L S S

Member

(Industry)

Procurement/

Accounts/Finance Officer

Technician/Machine Operator

Office Secretary/Manager

Member

(Faculty)

Deputy FLSM

DRAFT

FLOM: Annex 3

CP Annex -11

Fab LabSubproject Management Team*

Name/Designation of Management and Support Staff

Faculty or

Industry

Position in the Institution and

Entity

Position in the

Subproject

Specific Responsibilities

Time Dedicated to the

Subproject/person-month**

(Name of Management Staff)

FLSMDFLSMMember FLSMT

(Designation of Supporting Staff)

Please attach a resume of theFLSM and DFLSM as per Attachment A& B * Attach Subproject Management Table of Organization as per CPAnnex 10** Hours per person per week


DRAFT

FLOM: Annex 3

CPAnnex 11 (Attachment –A)

RESUME Fab Lab Subproject Manager(FLSM)

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 ACTIVITY

DONOR/SPONSOR

POSTION IN THE PROJECT

YEARFROM TO

4. PRIOR POSITIONSINSTITUTION POSITION FROM TO

5. INSTITUTIONAL ADDRESSNAME OF INSTITUTION

LOCATION & ADDRESS WEBSITE E-MAIL


DRAFT

FLOM: Annex 3

CP Annex 11 (Attachment –B)

RESUME DeputyFab LabSubproject Manager(DFLSM)

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 ACTIVITY

DONOR/SPONSOR

POSTION IN THE PROJECT

YEARFROM TO

4. PRIOR POSITIONSINSTITUTION POSITION FROM TO

5. INSTITUTIONAL ADDRESSNAME OF INSTITUTION

LOCATION & ADDRESS WEBSITE E-MAIL


DRAFT

FLOM: Annex 3

CP Annex-12

Proposal Endorsement by University Managementa. Subproject 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. Potential Partnering Industry: ……………………………………………….(Name, Address, Location, website)

e. Total Cost of the Subproject (in Taka):………………………………….……………

f. Implementation Period:i. Commencement: …………………………………ii. Completion:…………......………………………

Name & address of Innovation Subproject Manager

Name & address of Deputy Innovation Subproject Manager

..................................................................…………………………….…………….

..................................................................…………………………………………..

--------------------------------(Signature of the FLSM)with name, seal and date

----------------------------------(Signature of the DFLSM)with name, seal and date

--------------------------------------------------------------------Institutional Commitment: (........Name of the University………) hereby commits to extend all required support to the implementation of the proposed subproject and pledges to make efforts for its sustainability if the subproject is approved by UGC.

_________________________ Signature of Vice-Chancellor with Name, Seal and Date


DRAFT

FLOM: Annex 4

Table ofDistribution of Marks for Evaluation of Window 4 Fab Lab Proposal

[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 the Overall Design of the Proposal 20.01.1 Objectives 10.01.2Clarity of Proposed Activities 10.02. Fab Lab Design 40.02.1Functions and Services of Fab Lab 10.02.2 Assessment of potentiality and feasibility for industry partnerships, incubation, and startups using Fab Lab; MOU with industry/company

10.0

2.3. Teaching and research potential using Fab Lab 5.02.4 Fab Lab management team and university capacity 10.02.5. Community engagement 5.03. Operations and Sustainability of Fab Lab 10.03.1 Operations and Maintenance of Equipment/Instrument 5.03.2 Plan for Sustainability;(Business start up, recurrent budget provision by university etc. 5.04. Quality and Clarity of the Milestones and Performance Indicators 10.04.1 Milestones 5.04.2 Performance indicators 5.05. Quality of the Budget 10.05.1 Quality and clarify of budget 10.06. Quality of the Management Plan 10.06.1 Work/Activity plan 5.06.2 Financial, procurement, andtraining plans 5.0Total marks 100.0

FLOM: Proposal Evaluation Criteria for Fab Lab79

FLOM: Annex 5

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

Higher Education Quality Enhancement ProjectAcademic Innovation Fund

PERFORMANCE CONTRACT

Between

University Grants Commission of Bangladesh

And

Public University

[....................................name of institution............................................]

Contract No. : -----------------------------------------------------------

Title of Subproject :-----------------------------------------------------------

Complete Proposal No. : -----------------------------------------------------------

Total AIF Grant Amount : -----------------------------------------------------------

Duration of the subproject :From……… To…………………

Contract Date : -----------------------------------------------------------

80FLOM: Performance Contract

FLOM: Annex 5

PERFORMANCE CONTRACTfor

Implementation ofAcademic Innovation Fund Subproject

PREAMBLE

This PERFORMANCE CONTRACT (hereinafter called the CONTRACT) is entered into this ……………… day of …………………………………………….. 2016…………………. 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 subproject, 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 subproject proposal originated, acting by and through its duly authorized representative (called the Subproject 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 Additional Financing Agreement dated February 10, 2014 (hereinafter called the FA), whereby IDA is to make an additional Credit in an amount equivalent to eighty one million, five hundred thousand Special Drawing Rights (SDR 81.5 million;US$125 million equivalent ) 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 subprojects under this Contract and whereas the PARTIES hereto wish the terms and conditions hereinafter set forth to constitute the Contract:

(b) Pursuant to the revised Development Project Proposal (DPP) of HEQEP approved by the Executive Committee of National Economic Council (ECNEC) in its meeting held on November 14, 2013;

(c) Pursuant to the Operations Manual(third edition) (hereinafter called the OM) on the implementation of the Academic Innovation Fund subprojects under the HEQEP Component 1;

(d) Pursuant to the UGC Board for AIF (UGCBAIF) meeting held on xx-xx-2016 for approving grant award to the successful applicants for of the Academic Innovation Fund (AIF), Window …….dated ……………2016;

(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;

(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 (subproject title) at the (name of institution) in accordance with the terms and conditions stipulated in the Clauses included in this CONTRACT hereinafter:


FLOM: Annex 5

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:

Authorized Representative:

Position:

3. THIRD PARTY:Department/Faculty/Center/Institute/ UniversityActing throughSubproject Manager Name and Designation:Address:

Tel:

Fax:

E-mail:

Subproject title: [proposal name]

Contract No: _________


FLOM: Annex 5

Clause 1ASSIGNMENT AND SCOPE OF WORK

1.1FIRST 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 subprojects:

(a) has awarded a grant to THIRD PARTY to implement the AIF subproject 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 subproject assignment are described in the subproject proposal approved by the UGCBAIF;

(b) confirms that the subproject proposal (Annex 1), which is attached to this Contract serves as the Terms of Reference for the AIF subproject assignment, and forms an integral part of this legal document;

(c) approves the subproject work/activities plan, financing plan, procurement plan and training plan contained in the subproject proposal submitted by the THIRD PARTY and endorsed by the SECOND PARTY;

(d) will monitor, review, and evaluate THIRD PARTY’s implementation of the subproject 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,

1.2SECOND PARTY, in its capacity as the sponsoring institution for the approved AIF subproject proposal:

(a) accepts the grant awarded by FIRST PARTY to the THIRD PARTY to implement the subproject;

(b) establishes an University AIF Secretariat (UAIFS) for providing secretarial services for the implementation of AIF subprojects awarded to it;

(c) shall facilitate implementation of the subproject by the subproject 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 subproject implementation and assuring sustainability of the subproject throughout the duration of this Contract.

1.3 THIRD PARTY, in its capacity as the implementer of the approved AIF subproject proposal:

(a) shall implement the subproject 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 subproject and satisfactory to the GoB and UGC; and is responsible for reporting on the subproject 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 subproject proposal attached to this Contract. Any authorized modifications to this subproject proposal will likewise form an integral part of this Contract.


FLOM: Annex 5

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 subproject proposal. The subproject will be implemented for the period beginning from xx-xx-xxxx and will be completed on xx-xx-xxxx , as specified in the subproject proposal. The implementation time begins from the date of the signing of this Performance Contract.

2.2. If the implementation of the subproject 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 subproject 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 subprojects.

Clause 3RESPONSIBILITIES OF FIRST PARTY

3.1FIRST 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 subproject 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 representativesthroughout the entire implementation period of the subproject.

3.4 Inspect at any time the location and activities of the subproject, through its authorized representatives, during its implementation and review any relevant documents and records for purposes of monitoring or conducting financial or technical audits.

Clause 4RESPONSIBILITIES OF SECOND PARTY

4.1SECOND PARTY shall:

(a) ensure that the THIRD PARTY shall carry out its subproject 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;


FLOM: Annex 5

(c) assist the subproject 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 subproject and achievement of its objectives;

(e) assist the subproject manager to maintain a financial management system and prepare financial statements in accordance with consistently applied accounting standards, for the implementation of the AIF subproject, both in a manner adequate to reflect the operations, resources and expenditures related to the subprojects; 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 subproject, 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 FLOM, and misuse, transfer and/or misappropriation of grants received from the FIRST PARTY meant for the implementation of the AIF subproject.

Clause 5RESPONSIBILITIES OF THIRD PARTY

5.1THIRD PARTY shall be responsible for the overall timely implementation of the subproject in accordance with work/activities plan,financing plan, procurement plan, and training plan included in the approved subproject proposal;

5.2THIRD 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 subproject 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 subproject (due within two months of the completion of all activities specified in the subproject proposal);

5.3THIRD 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 subproject proposal.


FLOM: Annex 5

Clause 6PROCUREMENT

6.1THIRD 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. Subproject Cost and Financing7.1 The estimated total cost, excluding local taxes, of the subproject is BDT ….......................……., as

approved by the UGCBAIF;

7.2 Over the life of the subproject, 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 subproject. 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 subproject by the THIRD PARTY.

B. Financial Management7.3 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);

7.4The THIRD PARTY shall open and maintain a separate AIF bank account, in the name of the subproject, in a Bank, to be used solely for purposes of depositing AIF funds released by FIRST PARTY for the subproject, 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 subproject, and must not be diverted and used for activities not included in the approved subproject 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 subproject 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


FLOM: Annex 5

PARTY. If the specifically defined subproject milestones and performance indicators are not achieved during the implementation of the subproject, 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 PARTYhas 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 subproject as advance , upon receipt of the ‘Request for Advance’ supported by projected cash forecast statement from FLSPM containing the estimated expenditures drawn on the approved procurement and work plans for the first two quarters of the subproject 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 subproject, will constitute an additional document for each successive ‘Request for Advance’ application submitted by the THIRD PARTY.

7.8 For each expenditure made out of its AIF subproject 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 subproject 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 auditorsand 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 subprojects, 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 subproject 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 subproject 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,


FLOM: Annex 5

(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 subproject 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 subprojects.

Clause 8SUBPROJECT ASSETS AND SERVICES

8.1 Goods, assets and services purchased under this Performance Contract shall be used exclusively for the purpose of implementation of subproject;

8.2 All books, journals and printed materials procured under the subproject 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; A certificate for transfer/receipt of such assets from the head of the entity must be submitted along with the Project Completion Report of the Subproject.

8.4 Any intellectual property produced in the course of research or experimentation conducted in the course of implementation of an approved subproject, whether these be products, techniques, technology, copyright or services, will belong to the institution that sponsored and hosted the respective subproject 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 subproject 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 subproject 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


FLOM: Annex 5

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

10.1This Performance Contract may be suspended or terminated prior to its stipulated expiry date in the following cases:

(a) THIRDPARTY fails to comply fully with the provisions and regulations governing AIF subproject 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 subproject 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 subproject 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 or IF during the implementation of subproject.

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 subproject. 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 subproject 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;


FLOM: Annex 5

Attached to this Performance Contract are the approved subproject 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 Fab Lab Subproject Manager [THIRD PARTY]

Witnesses

1. ____________________

2. ___________________

3. ____________________

4. ____________________


FLOM: Annex 5

Annex 1

Approved Subproject Proposal

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


FLOM: Annex 6

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 Agreement19 providing for a Loan10 governs the legal relationships between the Borrower11 and

the Bank12 with respect to the particular project for which the Loan is made. The responsibility for the implementation of the project13 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.”14These Guidelines constitute an important element of those arrangements and are made applicable to the preparation and implementation of the project as provided in the Loan Agreement.

Scope of Application 4. The following provisions of these Guidelines cover fraud and corruption that may occur in connection

with the use of Loan proceeds during the preparation and implementation of a project financed, in whole 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

9 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.

10 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.

11 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.

12 References in these Guidelines to the “Bank” include both IBRD and IDA.13 References in these Guidelines to the “project” means the Project as defined in the Loan Agreement.14 IBRD’s Articles of Agreement, Article III, Section 5(b); IDA’s Articles of Agreement, Article V, Section 1(g).

92FLOM: Guidelines on Fraud and Corruption

FLOM: Annex 6

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.15

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:16

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.17

A “fraudulent practice” is any act or omission, including a misrepresentation, that knowingly or recklessly18 misleads, or attempts to mislead, a party to obtain a financial or other benefit or to avoid an obligation.

A “collusive practice” is an arrangement between two or more parties designed to achieve an improper purpose, including to influence improperly the actions of another party.

A “coercive practice” is impairing or harming, or threatening to impair or harm, directly or indirectly, any party or the property of the party to influence improperly the actions of a party.

An “obstructive practice” is (i) deliberately destroying, falsifying, altering or concealing of evidence material to the investigation or making false statements to investigators in order to materially impede a Bank investigation into allegations of a corrupt, fraudulent, coercive or collusive practice; and/or threatening, harassing or intimidating any party to prevent it from disclosing its knowledge of matters relevant to the investigation or from pursuing the investigation, or (ii) acts intended to materially impede the exercise of the Bank’s contractual rights of audit or access to information.19

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

15 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.

16 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.

17 Typical examples of corrupt practice include bribery and “kickbacks”.18 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.

19 Such rights include those provided for, inter alia, in paragraph 9(d) below. 93

FLOM: Guidelines on Fraud and Corruption

FLOM: Annex 6

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 representatives20 involved with the project, and all recipients of Loan proceeds with which it enters into an agreement related to the Project, receive a copy of these Guidelines and are made aware of its contents;

(b) immediately report to the Bank any allegations of fraud and corruption in connection with the use of Loan proceeds that come to its attention;

(c) if the Bank determines that any person or entity referred to in (a) above has engaged in corrupt, fraudulent, collusive, coercive or obstructive practices in connection with the use of Loan proceeds, take timely and appropriate action, satisfactory to the Bank, to address such practices when they occur;

(d) include such provisions in its agreements with each recipient of Loan proceeds as the Bank may require to give full effect to these Guidelines, including (but not limited to) provisions (i) requiring such recipient to abide by paragraph 10 of these Guidelines, (ii) requiring such recipient to permit the Bank to inspect all of their accounts and records and other documents relating to the project required to be maintained pursuant to the Loan Agreement and to have them audited by, or on behalf of, the Bank, (iii) providing for the early termination or suspension by the Borrower of the agreement if such recipient is declared ineligible by the Bank under paragraph 11 below; and (iv) requiring restitution by such recipient of any amount of the loan with respect to which fraud and corruption has occurred;

(e) cooperate fully with representatives of the Bank in any investigation into allegations of fraud and corruption in connection with the use of loan proceeds; and

(f) in the event that the Bank declares any recipient of Loan proceeds ineligible as described in paragraph 11 below, take all necessary and appropriate action to give full effect to such declaration by, among other things, (i) exercising the Borrower’s right to terminate early or suspend the agreement between the Borrower and such recipient and/or (ii) seeking restitution.

Other Recipients of Loan Proceeds

10. In furtherance of the above-stated purpose and general principles, each recipient of Loan proceeds which enters into an agreement with the Borrower (or with another recipient of Loan proceeds) relating to the Project will:

(a) carry out its project-related activities in accordance with the above-stated general principles and the provisions of its agreement with the Borrower referred to in paragraph 9 (d) above; and include similar provisions in any agreements related to the Project into which it may enter with other recipients of Loan proceeds;

(b) immediately report to the Bank any allegations of fraud and corruption in connection with the use of loan proceeds that come to its attention;

(c) cooperate fully with representatives of the Bank in any investigation into allegations of fraud and corruption in connection with the use of loan proceeds;

(d) take all appropriate measures to prevent corrupt, fraudulent, collusive, coercive and obstructive practices by its representatives (if any) in connection with the use of loan proceeds, including (but not limited to): (i) adopting appropriate fiduciary and administrative practices and institutional arrangements to ensure that the proceeds of the loan are used only for the purposes for which the loan

20 References in these Guidelines to “representatives” of an entity also include its officials, officers, employees and agents.94

FLOM: Guidelines on Fraud and Corruption

FLOM: Annex 6

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 proceeds21 other than the Member Country22 (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 determines 23 that such person or entity has engaged in corrupt, fraudulent, collusive, coercive or obstructive practices in connection with the use of loan proceeds;24

(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, remedies25 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.

21 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.

22 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.

23 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.

24 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.

25 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.

95FLOM: Guidelines on Fraud and Corruption

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FLOM: Annex 7

FINANCIAL MANAGEMENT FORMATSFOR AIF SUBPROJECTS

FMG Annexes

Formats Page no

FMG Annex 1 Cash Book 97

FMG Annex 2 Ledger 98

FMG Annex 3 Petty Cash Book 99

FMG Annex 4 Cheque Book Register 100

FMG Annex 5 Income Tax Register 101

FMG Annex 6 VAT Register 102

FMG Annex 7 Fund Received and Expenditure Register 103

FMG Annex 8 Suppliers Register 104

FMG Annex 9 Fixed Asset Register 105

FMG Annex 10 Payroll Register 106

FMG Annex 11 Consultant’s Remuneration Register 107

FMG Annex 12 Bank Account Reconciliation Statement 108

FMG Annex 13 Consolidated Financial Statement by UAIFS/AIFMU 109

FMG Annex 14 Quarterly Financial Management Report 110

Form 1 A 110

Form 1 B 111

Form 1 C 113

Form 1 D 114

Form 2 A 115

Form 2 B (for Public University) 116

Form 2 B (for Private University) 117

Form 2 C (for Public University) 118

Form 2 C (for Private University) 119

Form 3 A (for Public University) 120

Form 3 A (for Private University) 121

Form 3 B 122

96FLOM: Financial Management Report Formats

DRAFT

FLOM: Annex 7

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


DRAFT

FLOM: Annex 7

FMG Annex 2LEDGER

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


DRAFT

FLOM: Annex 7

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


DRAFT

FLOM: Annex 7

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


DRAFT

FLOM: Annex 7 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


DRAFT

FLOM: Annex 7

FMG Annex 6VAT 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


DRAFT

FLOM: Annex 7

FMG Annex 7

Fund Received and Expenditure Register

Application No Advance Received from HEQEPExpenditure Documented

Against Advance(Taka) Balance

Taka

Date No. Date Taka Submitted

1 2 3 4 5 6


DRAFT

FLOM: Annex 7

FMG Annex 8Suppliers 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


DRAFT

FLOM: Annex 7

FMG Annex 9Fixed 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


DRAFT

FLOM: Annex 7

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 Gross GPF House

RentAdvance

sGroup

InsuranceBenevolent

FundTotal

Deductions

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


DRAFT

FLOM: Annex 7FMG 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


DRAFT

FLOM: Annex 7FMG Annex 12

Bank Account 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 Fab Lab Subproject Manager


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FLOM: Annex 7 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 Subproject2 Name of Subproject3 Name of Subproject4 Name of Subproject5 Name of Subproject678910

Total Use of FundsClosing Balance

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


DRAFT

FLOM: Annex 7

FMG Annex 14/Page 1Form 1 A

Subproject Quarterly Financial Management Report (Part 1) Statement of Sources & Uses of Fund (For the Quarter____________________________)

Subproject Title:Name of Institution:CP No. Taka in Lakh

ParticularsCurrent Quarter Financial Year to Date Cumulative to Date Approved Budget

(for subprojects 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


DRAFT

FLOM: Annex 7

Head of the Entity(Name of University)

Fab Lab Subproject Manager (Title of Fab Lab Subproject)


DRAFT

FLOM: Annex 7

FMG Annex 14/Page 2 Form 1-B

Uses of Fund by Subproject ActivitiesFor the Quarter: ………………………..

Subproject Title:Name of Institution:CP No.

Economic Code Item of Expenditure/Activities

Actual Expenditure Approved Budget

(Subproject 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:


4817 Development & maintenance of Website


4828 Printing & Stationary

4829 Financial Support & Allowances

4831 Books & Journals for SPM Office


4840 Training & Study Tour

4842 Conference/Seminar/Workshop

4852 Chemicals/Reagent etc

4874 Consulting Services

4883 Incentives for subproject MT


DRAFT

FLOM: Annex 7

4886 Survey

4899 Other Expenses


4921 R/M: Refurbishing/Renovation

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

Capital Expenditure

Acquisition of Assets 6807 Motor Vehicle 6809 Water Transport 6813 Machinery & Other Equipment 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 Fab Lab Subproject Manager

(Name of University) (Name of Fab Lab Subproject)


DRAFT

FLOM: Annex 7

FMG Annex 14/Page 3Form 1-C

IF/AIF Activity StatementFor the Quarter:


SL No Description Amount Total AmountPart I

1 Total fund received from HEQEP to the end of reporting quarter 2 Less: Total expenditures documented to the end of reporting quarter

Total Outstanding Advance - Part II

1 Opening AIF Balance at the beginning of quarter 2 Add: AIF Suspense at the beginning of quarter 3 Add: Fund released during the quarter 4 Less: Refund during the quarter (if any)

Outstanding Advance to be accounted for - - Part III

1 Closing AIF Balance at the end of quarter

2 Add: AIF Suspense at the end of quarter (separate list to be provided)

3 Add: Eligible Expenditure documented (form 2-A) Total Outstanding Advance accounted for -

Countersigned by

Head of the Entity Fab Lab Subproject Manager(Name of University) (Title of Subproject)


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FLOM: Annex 7

FMG Annex 14/Page 4Form 1-D

Bank Reconciliation Statement of Operating Account (OA)

As on --------------------------------Subproject:

CP No.Account no:

Name of Bank:Address:

Taka TakaBalance 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



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FLOM: Annex 7

FMG Annex 14/Page 5

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

For the Quarter:------------------------------------------Subproject Title:Name of Institution:CP No.

Sl. No Description

Eligible Expenditures Documented in BDT

CurrentQuarter

Current Financial

Year

Since inception of Subproject

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



DRAFT

FLOM: Annex 7

FMG Annex 14/Page 6Form 2-B (For Public University)

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

Subproject 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

Head of the Entity Fab Lab Subproject Manager

(Name of University) (Title of Fab Lab Subproject)

FMG Annex 14/Page 7117

FLOM: Financial Management Report Formats

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FLOM: Annex 7

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

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

Fab Lab Subproject Manager(Title of Fab Lab Subproject)(Name of University)


DRAFT

FLOM: Annex 7

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

Head of the EntityFab Lab Subproject Manager

(Name of University) (Title of Subproject)


DRAFT

FLOM: Annex 7

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

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

For the Quarter:……………………………….

Subproject Title:Name of Institution:CP no.

Sl. No. DescriptionContract

ValueTaka

Amount Invoiced

Taka

Amount PaidTaka

Percentage of

Financing

Eligible for Documentation

Taka1 2 3 4 5 6 7 (5X6)

- - - - - - - -

Total - - - -

Countersigned by



FLOM: Financial Management Report Formats

DRAFT

FLOM: Annex 7

(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



DRAFT

FLOM: Annex 7

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



DRAFT

FLOM: Annex 7


Form 3BRequest for Advance

Requested Advance in Taka Request Number & Date

1 Contract No. and Date :

2 Title of Subproject :

3 Complete Proposal No. :

4 Name of Subproject 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)

Fab Lab Subproject Manager

(Title of Subproject)


FLOM: Annex 8

University Grants Commission of BangladeshHigher Education Quality Enhancement Project

Academic Innovation Fund Fab Lab

Quarterly Financial Report Format

Reporting Quarter…………………………………………………………………………………..

1. a)Subproject Title: ...................................................................

b) Discipline/Subject: .....................................................................

c) Subproject Implementing Entity: .....................................................................

d) Duration of Subproject……………………………………………………………

e) Date of Commencement of Subproject…………………………………..

d) University: ........................................................................

2. Quarterly Financial Progress: (in Lakh Taka)

HeadFund Received for the Quarter

Expenditure for the Quarter

Current Year’s Expenditure CD-VAT

Taka Taka TakaRevenueCapitalGrand Total

124FLOM: Quarterly Financial Report Format

FLOM: Annex 8

3. Quarterly Activity-wise Progress*

3.1 Subproject Title:...................................................................

3.2 Quarterly Activity-wise Progress:( in Lakh Taka)

Sl. No

Name of the Activ

ity

Unit

Cumulative Progress at the Beginning of

Quarter

Target in current quarter

Progress in Current Quarter

Cumulative Progress at the End of Quarter

Remarks

Physical

Financial

Physical

Financial

Physical Financial

Physical Financial

Qtty

% Qtty

% Qtty

% Qtty

%

1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16

Total

*Column 2 can be extended to include all activities/components


FLOM: Annex 8

4. Implementation Problems and Suggested Measures

4.1 Subproject Title: ...................................................................

4.2 Implementation Problems:

ProblemNumber

Problem Type Description of Problem (s)

1. Appointment/Hiring of Provisional Staff

2. Establishment of Subproject 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 subproject declared completed Yes No

Fab Lab Subproject Manager Head of the Entity Signature______________ Signature _______________ Date _________________ Date_____________________


FLOM: Annex 9

University Grants Commission of BangladeshHigher Education Quality Enhancement Project

Academic Innovation Fund Fab Lab

Six Monthly Monitoring Report Format

Reporting period: .........................................

01. Name and Details of the Subproject

Name of the Subproject

Subproject Number (CP-Number):

Window

Name of the Subproject Manager with position in the entity

Implementing Unit [Department/ Faculty/Center/Institute/University]

Name of University

Collaborative subproject or Not: Yes/No

If yes, Please mention the name of partner University/Entity

Subproject Starting/Inception Date: Completion Date: Original Date: Revised Date (if):

02. Name and Details of Internal/provisional staff/consultants included/hired in the Subproject Management Unit

Nº of Internal Staff*

Nº of Students (if

any)

Nº of Consultants***

Full Time(how many out of

total staff)

Part time (how many out of total

staff)

Nº of Provisional

Staff**

Name of Internal

Staff

Designation (In the Entity)

Hiring Date (In the subproject)

Type of Contract(Lump sum=1; Daily

Basis= 2; Monthly=3; Others

Duration (Months)

Expected Total Cost (Lakh

taka)

Name of Provision

Designation Hiring Date Type of Contract

Duration (Months

Expected Cost (Lakh Taka)

FLOM : Six MonthlyMonitoring Report Format 127

FLOM: Annex 9

al Staff )

*Academics engaged in subproject management and included in FLSPMT/FLSMT

** Support staff recruited temporarily to provide secretarial service to subproject management e.g., accountant, office secretary, data-entry operator, MLSS etc.

*** 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]


FLOM: Annex 9

06. Update on Milestone statusMilestone Expectation

in Reporting date

Progress in Reporting

date

Revised Expected

Date

Comment/Justification

Note: Copy Milestones from respective FLSM/FLSPM’s Table 1 of Final CP.

07. Update on Performance Indicators to Evaluate Subproject Impact

Indicators

Calculationmethod

Verificationmethods

Calculationof BaseValue

BaselineValue inYear 2013

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

Present Value as on ………………………….

Note: Copy 1st 6 Columns from respective FLSM/FLSPM’s Table 2 of Final CP.


FLOM: Annex 9

08. Fund utilization Description Amount

Total Budget of the Subproject (Tk. In million)

Fund Received up to reporting Date (Tk. In million)

Fund Utilized (Tk. In million)

10. Percentage (%) of Received Fund Against Total Budget of the Subproject 11.

12. Percentage (%) of Utilized Fund Against Total Budget of the Subproject 13.

09. Comments

10. DeclarationAll the information provided above are true and correct. I, as the subproject 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 Fab Lab Subproject Manager: ……………………………………………………Name of the Subproject: ………………………………………………………….Name of Entity/University…………………………………………………………..Date: ………………………………………………….


FLOM: Annex 10

Higher Education Quality Enhancement Project (HEQEP)Academic Innovation Fund:Fab Lab

SUBPROJECTCOMPLETION REPORT (PCR):

CP No:A. SUBPROJECT DESCRIPTION:

01. Name of the Subproject /CP No.

02. University (Name, Address, Location, Website)

03. Executing Entity (Departments/Faculty/Institute/Center/University)

04. Objectives of the Subproject as per CP:

4.1 General Objectives of the Subproject

4.2 Specific Objectives of the Subproject

05. Subproject Budget:(In lakh Taka)

Original Latest Revised

(a) Total

(b) AIF Grant

(c) Matching Fund

(d) Other Fund( )

06. Date of Contract Signing and Revising Plan

(a) Original CP(b) Latest Revised Plan

07. Implementation Period:

Date of Commencement Date of Completion

131FLOM: Subproject Completion Report Format

FLOM: Annex 10

(dd/mm/yyyy) (dd/mm/yyyy)(a) Original CP

(b) Latest Revised

(c) Actual

B. IMPLEMENTATION POSITION

01. Implementation Period:

Implementation Period (in number of months) Time Over-run Reasons for Extension of Project Period / Delayed CompletionOriginal CP Latest Revised Actual

1 2 3 4 = 3 - 1 5XX months XX months XX months XX month

02. Cost of the Subproject (Source-wise):(In lakh Taka)

Source (s) Budget Amount (as per the

original CP)

Budget Amount (as per latest revised CP)

Disbursed Amount

Actual Expenditure

Remarks/ Reasons for Cost

Over-run/Re-appropriation/Unde

rutilization(a) (b) (c) (d) (e)

AIF Grant

Matching Fund

Other Fund( )

03. Information regarding Project Management Team:

Names of Project StaffPosition

in the Entity

Position in the

Subproject

Full / Part time

Dates of(dd/mm/yyyy) RemarksJoining the

projectLeaving the

project1 2 3 4 5 6 7

04. Procurement of Goods, Works and Consultancy Services:

04.1 Procurement of Goods and Works of the Project:


FLOM: Annex 10

Package No.

Description of Goods / Services

Price (in Lakh Taka) Completion Date of Works/Supply of Goods

Description of Issues / Challenges (e.g.,

delays, cost over-run, management, etc.)

As per the original CP

Actual Contract


Actual completion

1 2 3 4 7 8 9

04.2 Procurement of Consultancy Services:

Package No.

Description of Consultancy

Price (in Lakh Taka) Man Months Description of Issues / Challenges (e.g., delays,

cost over-run, management, etc.)


Actual Contract


Actual completion

1 2 3 4 5 6 7a) Foreign Consultants

b) Local Consultants

05. Equipment and Facilities:

05.01. Number of Procured Equipment & Machineries:

Description of Equipment As per the original CP Actual Remarks1 2 3 7

(a) ICT/Digital Fabrication Equipment1. Desktop Computers2. Laptop Computers3. Server Computers4. Multimedia Projectors5. Interactive boards6. Cameras (SLR/Video etc.)7. LED/LCD Television8. Printers9. Scanner10. Photocopier11. Specialized Computer Software12. High speed broadband internet connection13. Large Scale Router/Wifi system14. High Resolution CNC Milling


FLOM: Annex 10

15. NC Knife/vinyl Cutter16. Laser Cutter17. 3D Printers18. Surface Mount Electronics Workbench19. Tools and consumables20. Others, specify: (b) Major Laboratory/Engineering/Medical/Agricultural EquipmentPlease specify key items1. 2. 3. (c) Library Materials1. Books2. Journals3. Online journal subscription4. Others, specify:

(d) Furniture & Fixture1.2.

Note: The PCR must be attached with a certificate from the Head of the Entity/VC regarding transfer of, i) fixed assets including a list of items; ii) books of account (registers, ledgers, cash books, etc.); & iii) purchase documents, vouchers etc.

05.02. Number of Established / Renovated Facilities:

Description of Facilities Newly Established Upgraded/Refurbished RemarksAs per the

original CPActual As per the

original CPActual

1. Classrooms

2. Conference Rooms

3. Lecture Theaters

4. Auditorium

3. Computer Labs

4. Language Labs

5. Laboratories

6. Libraries

7. Others, specify:


FLOM: Annex 10

06. Description of Updated/Created/New Courses, Curricula, and Syllabus

Subject and Title of Courses/Curricula/Syllabus Remarks (description of contents, revisions and approval status)

1.2.3.

07. Training/ Study Tour / Workshop / Seminar/ Conference Organized by the Fab Lab Subproject:

Titles and Description of Training /Study

tour/Workshop/Seminar/conference

As per the original CP Actual RemarksNumber of

participantsDuration

(in days/weeks/

months)

Number of participan

ts

Duration(in days/weeks/

months)

1 2 3 4 5 6(a) Overseas Training

(b) In-Country Training

(c) Study tour

(d) Workshop/seminar

(e) Conference (please mention national or international)

08. URL of University/Departmental/Subproject Website Developed under the Fab Lab Subproject

URL Remarks

C. FINANCIAL AND PHYSICAL PROGRESS:

01. Allocation and Progress: (In Lakh Taka)

Financial Allocation and Target according to the original CP

Actual Expenditure & Physical Progress

Year(Qtrly)

Total AIF Matching Fund

Physical %

Disbursed fund

Total AIF Matching Fund

Physical %

1 2 3 4 5 6 7 8 9 10


FLOM: Annex 10

Y-1, Q-1

Y-1, Q-2

Total (2015-16)

Y-2, Q-3

Y-2, Q-4

Y-2, Q-5

Y-2, Q-6

Total (2016-17)

Y-3, Q-7

Y-2, Q-8

Y-2, Q-9

Y-2, Q-10

Total (2017-18)

Total for the Subproject

Life

02. Total Component-wise Expenditure (Please follow the detailed budget items annexed to the CP):(In lakh Taka)

Economic Code

Items of Expenditure/Activities Budget Allocation(as per the

original CP)

Actual Expenditure

Reasons for deviation (±)

1 3 5 7

(A) Revenue Expenditure

4500 Pay of Officer

4600 Pay of Staff

Supplies & Services





4829 Financial Support & Allowances

4831 Books & Journals for FLSPM/FLSM Office


4840 Training& Study Tour

4842 Conference/Seminar/Workshop

4852 Chemicals/Reagent etc


FLOM: Annex 10

4874 Consulting Services

4883 Incentives for subproject MT

4886 Survey

4899 Other Expenses


4921 R/M: Refurbishment/Renovation

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

(B) Capital Expenditure

Acquisition of Assets

6807 Motor Vehicle

6813 Machinery & Other Equipment

6814 Engineering Equipment

6815 Computer & Accessories

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)

Misc. Capital Expenditure

7901 CD VAT for Capital Expenditure

7981 Other Capital Expenditure

Total Misc. Capital Expenditure (7900)

(B) Total Capital Expenditure (6800+7900)

Total Cost (A+B)

(C) Operational Cost

Total Subproject Cost (A+B+C)


FLOM: Annex 10

D. ACHIEVEMENT OF OBJECTIVES OF THE SUBPROJECT

01. Achievement of Subproject Objectives

Specific Objectives as per the original CP

Status(% Achieved)

Description of Achievements Made

Reasons for shortfall, if any

02. Milestone Achievement

Milestones as per the original CP Status(% Achieved)

Reasons for Underachievement, if any

1

2

34

03. Performance Indicators

Indicators as per the original CP Baseline Value as per CP

Target Value as per CP

Current Standard at Project End

Reasons for Differences, if any

1

2

34

E. BENEFIT ANALYSIS01. Beneficiaries

01.1 Direct Beneficiaries

Beneficiary Number of current

beneficiaries

Cumulative total of beneficiaries during the

project period

Description of Benefits

(a) (b) (c)a) Students:

Undergraduate

M.S/ M.Sc.

MPhil & PhD

b) Faculty Members:


FLOM: Annex 10

Academic staff

Non-academic staff

c) Others:please specify

01.2 Indirect Beneficiaries

Beneficiary Number of current

beneficiaries

Cumulative total of beneficiaries during the

project period

Description of Benefits

(a) (b) (c)

* Indirect beneficiaries may include faculty members, students, community members, or industry personnel who are not directly involved in the subproject, but are benefited from the subproject’s investment.

02. Enrollment of Postgraduate Students in the Department(s) under the Subproject

Students Currently Enrolled

Students Completed the Degree during the

Subproject

Remarks

Master’s

MPhil

PhD

03. Publications made under the Subproject

Publication Number of Publication Remarks (e.g., paper title, conference

name, etc.)In preparation

Completed / Published during Subproject

Master’s ThesisPhD DissertationsJournal PublicationsOther ArticlesAcademic Conference/Seminar/Workshop ProceedingsAcademic Conference PresentationsBooksOther, please specify:


FLOM: Annex 10

04. University-Industry Collaborations / University-University Collaborations Established related to the Subproject

Description of Collaborations (types and forms of collaborations)

Name of Partners Purposes and Achievements of the Collaboration

a) Collaboration with other Universities or Researchers

b) Collaboration with Industry and Practitioners

05. Impacts of the SubprojectPlease describe the impacts of the subproject, includes much quantitative figures and real-life stories as possible, avoiding general statements

05.01. Impacts on Teaching and Learning

05.02. Impacts on Research Works

05.03. Impacts on Students’ Job Placement

05.04 Notable Project Outcomes& Invented Products (Please mention if the research outcome is an engineering or electronic or electrical technology, design, tool, device or agricultural instrument or farm machinery, pharmaceutical product, e.g., drug, vaccine etc.)

06 Intellectual Property and Technology Transferred


FLOM: Annex 10

06.01 Intellectual Property (Please mention if the subproject has created any intellectual property and secured its ownership rights by patenting or acquiring copyright).

06.02 Technology Transferred/Licensed/Commercialized (Please mention if the subproject has transferred any technology innovated by a Window 2 (research), Window 4 (university-industry collaborative research and Fab Lab) and TTO subproject to an industry, or licensed it to a business firm for commercialization. Also please mention if the subproject facilitated to start up a business venture by a faculty of the university).

F. MONITORING AND AUDITING

01. Monitoring Visits:

Name of the Officials Agencies of the Officials

Date ofMonitoring Visit Remarks

1 2 3 4

02. Auditing during and after Implementation:

2.1. Internal Audit:

Auditor Audit Period Date of Audit Major

findings/objections

How objections were

resolved

1 2 3 4 5

2.2. External Audit:

Auditor Audit period Date of Audit Major

findings/Objections

How Objections were

resolved

1 2 3 4 5

G. DESCRIPTIVE REPORT

1. Analysis of the Post-Implementation situation and result of the subproject141

FLOM: Subproject Completion Report Format

FLOM: Annex 10

Particulars of Item Remarks

1 Impact of the subproject1.1 Direct

1.2 Indirect

2 Plans for future utilization of facilities created by the subproject

3 Operation and maintenance of facilities and equipment procured/established by the subproject

4 Challenges in the sustainability of facilities and equipment created by the subproject

5 Innovative technologies created under the project and potentiality of technology transfer and patenting

6 Possibility of further development and application of research outputs to practical use and/or commercialization

7 Further collaboration with other universities and industries and government entities (please specify the areas of possible collaboration)

8 Potential future impact on Socio-Economic activity and poverty reduction in Bangladesh

9 Impact on management and governance of the entity

10 Impact on quality assurance

11 Impact on environment (soil, air, water, biodiversity, etc)

12 Other noteworthy impact on the entity (department, university)

2. Problems encountered during Implementation

Items Remarks(Please use separate rows for each problem)

1 Subproject Management (Financial management, Procurement execution)

2 Project Director/AIF unit/Procurement unit HEQEPU

3 Environmental Hazards

Support from University/Department Authority

5 Consultancy


FLOM: Annex 10

6 Contractor

7 Manpower for FLSPMT/FLSMT

8 Law & Order, Political Interference

9 Tender Process (e.g. tender box snatching)

9 Natural Calamity (e.g. flood, cyclone, fire, earthquake

10 Project Financing, Allocation and Release

11 Design Formulation and Approval

12 Project Fund Disbursement

13 Mission of the development partners.

14 Time & Cost Over-run

15 Project Supervision/Inspection

16 Delay in Decision-making

17 Transport

18 Training

19 Approval Procedure

20 Others 3. Recommendations of the FLSPM/FLSM:

Date: .............................. Signature and seal of the FLSPM/FLSM

4. Remarks/Comments of Head of Entity

Date: .................................. Signature and Seal of Head of Entity

Pictures of the subproject (before and after implementation pictures, instruments purchased, refurbished labs, research results, facilities built, workshop, training etc) (Please use jpeg format for copying photos):


FLOM: Annex 10


FLOM: Annex 11


Academic Innovation Fund Fab Lab(Window 4)

Environment and Safety Checklist for Small Infrastructure and Renovation/RefurbishingProposal

Title of Subproject: ____________________________________________________________

Implementing Institution: ________________________________________________________

Types of renovation/refurbishing work: ______________________________________________

Estimated cost of renovation/refurbishing work: _______________________________________

Duration of renovation/refurbishing work: ____________________________________________

Tentative Start Date: _____________________________________________________________

______________________________________________________________________________

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


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).

FLOM: Annex 11

Checklist

Sl # Screening Questions Yes No Possible Negative Environmental Impact26

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?

26 If the answer of the questionnaire is ‘Yes’, please describe the possible negative environmental impact.146

FLOM: Subproject Completion Report Format

FLOM: Annex 11




Name: ________________________________________________________________________





Name: ___________________________________________________________

Contact Telephone Number and E-mail: ________________________________


FLOM: Annex 11

Attachment A

Higher Education Quality Enhancement ProjectAcademic Innovation Fund Fab Lab






Estimated Cost



Monitoring Location

Responsible Parties


FLOM: Annex 12


Academic Innovation Fund Fab Lab(Window 4)

Environment and Safety Checklist for Research

Title of the Subproject: ___________________________________________________

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: __________________________

149FLOM: Environment and Safety Checklist for Research

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).

FLOM: Annex 12

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


FLOM: Annex 12

ChecklistSl # Screening Questions Yes No Remarks

1 Will the research work be laboratory based?[If the answer of question 1 is no, then go to question 6.]

2 Do the laboratory has

i environment, health and safety protocol or guidelines?

ii adequate fire safety provision?

iii safety provision for gas cylinder handling?

iv proper waste disposal facilities?

v adequate liquid waste management facilities?

vi proper storage facilities for hazardous chemicals, pesticides, acids etc.?

vii adequate ventilation system?

viii first-aid facilities?

ix emergency exit facilities?

x trained professional to guide the researchers/students about safety procedures?

3 Will the laboratory based research 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 work

i 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?


FLOM: Annex 12

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: ____________________________________________


FLOM: Annex 12

Attachment A







Estimated Cost



Monitoring Location

Responsible Parties


FLOM: Annex 13


SOCIAL MANAGEMENT FRAMEWORK (SMF)

Introduction

An interim assessment of project impact was carried out to measure the progress made so far and to evaluate whether the project is heading towards meeting the PDO. The study was conducted based on a stocktaking survey in all the AIF beneficiary departments, a satisfaction survey on 971 students and 247 faculty members in 41 departments in 12 universities, 4 Focus Group Discussions (FGDs) and 27 Key Informant Interviews. The findings of the Study confirm that despite some initial delays in implementation, the project is on track for achieving its development objective. Satisfaction level of the stakeholders has achieved the targeted level. A summary of achievements under the first and second rounds of AIF is: (i) large number of equipment, IT facilities, laboratories, books and journals are being made available to the students and faculty members; (ii) approximately 65 articles have been published; and (c) 390 national and international seminars and workshops have been arranged by the universities. Through the establishment of UGC Digital Library, online journals are now available to teachers and students free of costs. Improvement of IT infrastructure along with establishment of computer labs and digital management information system has opened doors to the world of knowledge.

Therefore, it can be seen that the project has brought only positive benefits to the institutions and students studying there.

Social Safeguard Triggers

There will be no requirement for private land acquisition, displacement of communities or people from either public or private lands regardless of title and no adverse impacts on livelihoods of any nature. Therefore the project will not trigger OP 4.12 Involuntary Resettlement. The original project did not trigger the policy either and lessons learned during its implementation support the fact that it will not be triggered for this AF either.

The project will be implemented nationwide; no adverse impact on Tribal People or communities is expected as the project is mainly of a technical assistance nature. The project originally did not trigger OP 4.10 Tribal People. However, it has been determined that for the AF the policy will be triggered in order to promote inclusion and make the improvements more demand oriented based on the recommendations of the Interim Impact Assessment: (i) stronger awareness raising campaign for increasing the utilization of the facilities made available by HEQEP funding; (ii) initiatives for establishing Industry-University collaboration for fostering research relevance; (iii) standardized measurement for quality across the board and establishment of an independent body for monitoring and facilitating quality assurance; and (iv) initiative for addressing issues with assessment system and soft skills of the graduates such as IT literacy, communication skills and moral values.

154FLOM: Social Management Framework

FLOM: Annex 13

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.

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 group 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


FLOM: Annex 13

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 subprojects 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


FLOM: Annex 13

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 DisclosureAs 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 communities

Activities that affect tribal peoples with long-term consequences will be ineligible support. These activities are those that

Poses possibility of exclusion Threaten cultural tradition and way of life May severely restrict access to common property resources and livelihood activities May affect places/objects of cultural and religious significance (places of worship,

ancestral burial grounds, etc.)

Attachment 1


FLOM: Annex 13

SOCIAL 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: …………………………………………………………

Name of the Institute: …………………………………………………………..

District: ………………………………… Upazila: ………………………………..

Name of the Principal/Head: …………………………………………………..

Names of Committee Members participated in Screening: 01.02.03.

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

Part B: Activities

1. Major Activities using the HEQEP fund

2. Click if activities include any:

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

3. Description of the physical works, if any:

Part C: Social Issues

1. Will there be a need for additional lands to carry out the intended works?

[ ] Yes [ ] No

2. Does this activity affect any community groups’ access to any resources that they use for livelihood?

[ ] Yes [ ] No

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

[ ] Yes [ ] No

4. Does your proposed activities ensure equal inclusion right to the TP?

[ ] Yes [ ] No

5. Does your proposed activity pose any threat to cultural tradition and way of life?


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[ ] Yes [ ] No

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

[ ] Yes [ ] No

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

[ ] Yes [ ] No

8. Names of TP community members and organizations which participated in Social Screening (if any): 9. Any social concerns expressed by TP community and organizations, students and teachers? 10. The TP community and organizations perceive the social outcomes of the activity:

[ ] Positive

[ ] Negative

[ ] Neither positive nor negative

11. In respect of the social impacts and concerns, is there a need to undertake an additional impact assessment study?

[ ] Yes [ ] No

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

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

Attachment 2

GUIDELINES FOR TRIBAL PEOPLES PLAN


FLOM: Annex 13

Objectives of Tribal Peoples Plan

The main objectives of the Tribal Peoples Plan (TPP) are to ensure that the activities funded HEQEP do not adversely affect IPs, and that they receive culturally compatible social and educational benefits. This will require the institutes to carefully screen all proposed activities to determine presence of TPs in the locality and ensure informed direct participation of the TPs in the activities. There are approximately 2.5 – 3.0 million tribal/ethnic communities living in Bangladesh, covering less than 2% of the total population. The largest proportion of the country’s tribal population lives in Bandarban, Rangamati and Khagrachari in the Chittagong Hill Tracts (CHT). The Universities and institutions closest to these areas are situated in Chittagong City where, even if tribal students come to study, they are assimilated with the mainstream student population. Some tribal people, (TP) can also be found in remote areas of the north-west and north-eastern regions. Also the project aims to improve the quality of education and engages mainly on the supply side of academic and administrative processes; it does not aim to improve access or engage with communities. Given the above scenario the likelihood of triggering OP 4.10 is very low. Nevertheless the MoE has prepared this current Tribal Peoples Plan to consult with TPs and identify culturally sensitive and acceptable mitigation measures for any unforeseen impacts on TPs.

Identifying the Tribal Peoples

Although the TPs of Bangladesh are well recognized locally, the PIU their local representative officials will examine the following characteristics to make formal identification:

Self-identification as members of a distinct tribal cultural group and recognition of this identity by others;

Collective attachment to geographically distinct habitats or ancestral territories in the project area and to the natural resources in these habitats and territories;

Customary cultural, economic, social or political institutions that are separate from those of the dominant society and culture; and

A tribal language, often different from the official language of the country or region.

Basic Principles

To avoid or minimize adverse impacts and, at the same time, ensure benefits for TPs, the PIU will apply the following basic principles in selection and design of particular activity:

Ensure that TP communities in general and their organizations are not excluded by any means in activities selection, design and implementation processes.

Together with TPs, carefully screen the activities for a preliminary understanding of the nature and magnitude of potential impacts, and explore alternatives to avoid or minimize any adverse impacts.

Where alternatives are infeasible and adverse impacts on TPs are unavoidable, the MoE, together with TPs and others knowledgeable of TP culture and concerns, will immediately make an assessment of the key impact issues.

The MoE will undertake the necessary tasks in order to adopt appropriate mitigation measures. The most important in this respect is intensive consultation with the TP communities, community elders/leaders, and formal and informal IP organizations, civil society organizations like NGOs, and others who are interested in and have knowledge of TP issues. 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.


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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.


FLOM: Annex 14

Higher Education Quality Enhancement ProjectUniversity Grants Commission of Bangladesh

Name of University:------------------------------- Reporting Time:-------------July/December------

Half Yearly Status Report Format for UAIFS/AIFMU

CP No.

Name of

SPM

Contract Amount(in lakh Taka)

Cumulative amount received (in lakh Taka)

Cumulative

amount spent

(in lakh Taka)

Procurement status as on: 30 July/ 31 December; 2016/17/18 Status of Project

completion report (PCR, if applicabl

e)

Remarks

Goods Works Services

Total no. of

packages in the

procurement plan

No. of packages completed

Total no. of

packages in the

procurement plan


Total no. of

packages in the

procurement plan


Signature of Head UAIFS/AIFMU DateSeal

162FLOM: Half Yearly Status Report Format for UAIFS/AIFMU

FLOM: Annex 15

163FLOM:Guidelines for Economic Codes

FLOM: Annex 15
