ट ट म ऱभ त अन स ध न स स थ न

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1 ट ट म ऱभ त अन स ध न स स थ न TATA INSTITUTE OF FUNDAMENTAL RESEARCH 1, ह म भ भ र ड, क ऱ ब, म बई , Homi Bhabha Road, Colaba, Mumbai भ रत सरक र क न भभक य व ज ञ न ए गण त क र ष ट र य कर ए समव श व द य ऱय National Centre of the Government of India for Nuclear Science and Mathematics and a Deemed University द रभ ष/Telephone : व बस इट/Website: फ क स/Fax : ईम ल/ director@tifr.res.in OFFICE ORDER OD-P April 12, 2017 Guidelines for Knowledge Based Revenue / Consultancy / Patents / Adjunct faculty positions / Examinerships / Lectures / Talks / Book Writing (Approved at the 186 th Council Meeting held on February 20, 2017) 1. Knowledge-based Revenue. a) The main goal of the Institute is creation of new scientific knowledge: The Institute is also involved in teaching and training of students and other young researchers, including fostering new opportunities in science education and human resource development, and engaging with the public to bring the excitement of science to the wider society. These activities have the potential for generating revenue in various ways such as licensing or sale of intellectual property, consultancy fees, royalties on books, license fees for use of software or knowledge, subscription fees for consortium membership fees resulting from electronic distribution of advanced knowledge or software, etc. All such forms or revenue would be referred to as knowledge-based revenue. b) Sharing knowledge-based revenue: The revenue so generated would be shared between the faculty member (referred to as member hereafter) and the Institute as per the guidelines described below. The guidelines are based on the spirit that the member s primary affiliation belongs entirely to TIFR and therefore the member s share of the knowledge-based revenue stands vis-à-vis that of members earning at TIFR. c) Member s discretion regarding his/her share of the knowledge-based revenue: The member of the Institute responsible for generating such revenue would have the freedom to distribute a suitable portion of his/her share of the revenue to students or employees of the Institute participating in the work. d) Institute s share of the knowledge-based revenue: The Institute may distribute a suitable portion of its share of the revenue to the other members of the Institute.

2 2. Consultancy. Consultative practices fall under three broad categories: (a) individual consultancy (b) Institute consultancy (c) consultancy relating to Central or State Government. In all these cases the proposal must be forwarded through the respective Department Chairperson / Dean of Faculty for a prior approval from the Director (or the person to whom the authority to grant such permission has been delegated) before accepting any kind of consultative practice. a) Individual Consultative Practice. Cases where the consultancy does not involve Institute facilities fall under this category. An approval to undertake consultancy must be obtained from the Director (or the person to whom this authority is delegated). While seeking permission, the individual concerned must provide the entire terms of agreement with the external agency, mentioning in particular the financial commitments being made by the external agency in the form of reimbursement, consultancy fees etc. A letter should be given to the consultancy firm asking them to forward the details of all the financial payments being made to the Institute member. Any developments/changes taking place between the member and the external firm during the term of the contract should be approved by the Director, TIFR. A separate letter should also go to the individual asking him to disclose all the payments he/she receives from the consultancy throughout the year. Following terms and conditions will apply. (1) The faculty member can spend up to maximum of 1 day per week on such assignment(s). (2) The distribution of the amount after the taxes will be as follows:- (a) The Institute will keep 20% of the amount as overhead charges. (b) From the remaining amount the faculty member can retain all the expenses related to travel and stay in connection with the consultancy and the part of the consultancy fees not exceeding an amount equal to 35% of his/her salary (Basic Pay + GP + DA as per VI CPC or Basic Pay + DA as per VII CPC). (c) From the amount excess of (b) above up to Rupees 3 lakhs can be used by the member as contingency amount for upgrading his/her laboratory, office, books and conference related travel of his/her group members including self.

3 Example: Consultancy Fees (CF) = X X taxes = Y Institute s share = 20% of Y Member s share = [Travel expenses + 35% of (Basic Pay + GP + DA)] or 80% of Y whichever is lower = Z 80% of Y Z = Institute s R&D Fund out of which member can utilize up to Rupees 3 lakh as contingency grant. The remaining amount, if any, will go to into a separate account created for the Institute s R&D fund. b) Consultative Practice/Technology Transfer by the Institute. Cases where the Institute facilities are involved and the work will be carried out in the Institute fall under this category. An approval to undertake the consultancy/project must be obtained from the Director (or the person to whom this authority is delegated). An agreement between the Institute, represented by the Director (or the person to whom such authority is delegated), and the external agency must accompany such a consultative activity/project. The agreement should clearly mention in detail the equipment, infrastructure, manpower, and space requirement if any. The terms for sharing the IPR which include the patents and earnings that come out of research generated must be clearly specified. The agreement should also give the details of the amount the Institute will receive as reimbursements for consumables and other costs (e.g. salaries for staff specially appointed to carry out this work), and the consultancy fees for the member of the Institute acting as the consultant. If the amount received by the TIFR is subject to any taxes, then the provision for all such taxes must be done in the project budget. The project must also include minimum 20% overhead if the project is in collaboration with or sponsored by a private company. For government agencies the overhead amount will be up to the maximum that is offered by the funding agency.

4 Following terms and conditions will apply. (1) The faculty member can spend up to maximum of 1 day a week on such assignment(s). (2) The distribution of the amount after the taxes will be as follows. (a) The Institute will keep 20% (or % stipulated in the agreement whichever is higher) of the amount as overhead charges. (b) From the amount under budget head of Consultancy Fees the faculty member can retain all the expenses related to travel and stay in connection with the consultancy and the part of the consultancy fees not exceeding an amount equal to 35% of his/her salary (Basic Pay + GP + DA as per VI CPC or Basic Pay + DA as per VII CPC). (c) From the amount in excess of (b) above under budget head of Consultancy Fees up to Rupees 3 lakhs can be used by the member as contingency amount for upgrading his/her laboratory, office, books and conference related travel of his/her group members including self. Example: Total Project amount inclusive of consumables, capital equipment, manpower if any, and Consultancy Fees (CF) = X X taxes = Y Institute s share = 20% of Y (Higher %age will apply as the case may be) Member s share = [Travel expenses + 35% of (Basic Pay + GP + DA)] or 80% of CF whichever is lower = Z Anything in excess of Member s share (Z) from CF will go to the Institute R&D fund, a separate account for which can be created. The concerned faculty member can use up to Rupees 3 lakhs as contingency amount for upgrading his/her laboratory, office, books and conference related travel of his/her group members including self. (d) Manpower engaged in the project (students/jrf/project staff) must be hired within the departmental cap approved by the Institute. When such a consultancy project is undertaken by the Institute, the agreement with the external agency should be accompanied by the internal document of the Institute which would give each member s share along with their consent. If the consultative work requires the use of certain common/central/national facilities existing in the Institute, these services can be offered with a suitable charge to the external user. These charges should be approved by a committee suitably constituted by the Director.

5 c) Consultancy for Central and State Government: The question of remuneration does not generally arise here. If it does, the same terms and conditions outlined in (a) and (b) above will apply. 3. Adjunct Faculty positions. The Institute members are encouraged to accept the Adjunct Faculty positions offered by the peer academic institutes. An approval to undertake the Adjunct Faculty positions must be obtained from the Director (or the person to whom this authority is delegated). While seeking permission, the individual concerned must provide the entire terms of agreement with the external peer Institute, mentioning in particular the financial commitments being made by the external agency in the form of reimbursement, honorarium, etc. Following terms and conditions will apply: (1) The faculty member can spend up to maximum of 1 day/week on such assignment(s). (2) The distribution of the amount after the taxes will be as follows: (a) From the remaining amount the faculty member can retain all the expenses related to travel and stay in connection with the adjunct position and the part of the honorarium not exceeding an amount equal to 35% of his/her salary (Basic Pay + GP + DA as per VI CPC or Basic Pay + DA as per VII CPC). (b) From the amount excess of (a) above up to Rupees 3 lakhs can be used by the member as contingency amount for upgrading his/her laboratory, office, books and conference related travel of his/her group members including self. Example: Honorarium (H) = X X taxes = Y Member s share = [Travel expenses + 35% of (Basic Pay + GP + DA)] or Y whichever is lower = Z Y Z = Institute s R&D Fund out of which member can utilize up to Rupees 3 lakh as contingency. The remaining amount, if any, will go to the Institute s R&D fund, a separate account for which can be created.

6 4. Adjunct Faculty positions for external faculty. Following Table may be used to fix the honorarium for the academic members from the Indian peer academic institutes to whom the Institute would like to offer the Adjunct Faculty position. Such proposals should be discussed within relevant Departments/Faculties and forwarded to the Director, TIFR for approval. Table of honorarium Post Adjunct Assistant Professor Adjunct Associate Professor Adjunct Professor Honorarium for ONE day/week Rs./p.m Rs./p.m Rs./p.m. 5. Patents. Any invention made by the staff member in a field of interest to the Institute utilizing the facilities of the Institute, is patentable by the Institute. The inventor shall submit a Disclosure Form for Salient Features of Patent Application, to the Director. The Disclosure Form would be available with the Member Secretary, IPR-Consultancy Recommendation Committee. A committee will then be constituted (possibly with one representative from DAE) to examine the suitability of applying for a patent. After approval the patent application would be forwarded to DAE, IPR Cell for filing of the patent. The royalty accruing shall be shared on an annual account between the Institute and inventor on a 50:50 basis. If DAE does not decide to take a patent in its own name, or no decision is taken by DAE in the matter for six months after submission of relevant documents by the inventor, the member concerned could take a patent at his own expense through appropriate agencies, with the knowledge of the Institute. In such cases, the Institute will retain only 20% share of the royalty (over and above the royalty accruing to the extent of the total expenditure incurred on the cost of patenting and its protection), as against 50% in cases where the patent is taken by the Institute.

7 6. Examinerships. a) When members accept examinership for an external agency/institution, they should ensure that the frequency of such examinership and the period for which they have to be away from the Institute, do not affect their normal working at the Institute. The period spent on examinership will be treated as on duty. Members accepting examinership could retain the full amount of the honorarium received. b) The Institute would not incur any expenditure (including the cancellation charges for tickets already booked) towards the traveling and halting allowances of members for attending these examinations. 7. Delivering lectures in institutions outside Headquarters. Members are encouraged to give courses or lectures, if invited to do so, at universities or technological and research institutions during the vacation months of the Institute. The member concerned should meet all his expenses for travel and stay from the honorarium and travel grant that he would get from the Institution he visits. All information about the acceptance of invitation should be communicated to the Chairperson of the concerned Department. 8. Popular and semi-popular articles and radio talks. Staff members are free to write scientific or technical articles or give radio talks. Any articles and radio talks under the affiliation of the Institute that are in conflict with the policies of the Institute should only be undertaken with prior permission of the competent authority. Any information that can have a commercial value should be disseminated only after approval of the competent authority. In all cases the member concerned may keep the full honorarium derived there from. 9. Review articles and chapters of books. Writing of review articles and chapters of books often leads to monetary benefit. As this has not posed any special problem so far, the Institute member may continue to engage in this activity and the author(s) may retain the full honorarium. Sd/- (Sandip Trivedi) Director Registrar - for circulation