Guidelines for processing Research Proposals

1.1 Financial support under the scheme of " Payment of Professional Service in respect of Research Studies/ Sample Surveys and Related Activities" is given for research/study proposals having direct bearings on the development of official statistics, methodologies of data collection, analysis , processing as well as organization of short duration conferences/seminars/workshops and printing of reports based on time series data or results of research studies/ sample surveys conducted in the areas of gender issues, environment and other topics of importance and relevance. Operations of the institutions that receive financial assistance from government are governed by a set of rules, which are listed in the relevant Chapter of " General Financial Rules (GFRs) released by Ministry of Finance. The Ministry of Statistics and Programme Implementation (MOS&PI) as the Administrative Ministry for the implementation of the scheme is responsible to the Government for ensuring compliance by the institution receiving the financial assistance with the prescribed General Financial Rules. Guidelines given here pertain to operation of the scheme of " Payment of Professional Service in respect of Research Studies/ Sample Surveys and Related Activities" and do not list the requirements of "General Financial Rules".

1.1 The financial assistance under the scheme is given to an eligible institution. An institution is deemed to be eligible by virtue of its openness to scrutiny at a public forum, or by qualifying for annual recurring grants by specific establishments of Government or by successful execution of research studies/projects for certain institutions of Central Government which have been established for financing research.

1.2 An institution is deemed to be eligible if one of the following conditions is fulfilled :

The Annual Report of the research institution is placed on the Table of Lok Sabha by a Ministry of Central Government, or
The research institution has received annual recurring grants from UGC or ICSSR during the past three years or
The institution is registered as Society/Non Governmental Organisation whose audit is being done regularly or
Consultancy organization who has executed successfully, a research project for which assistance of Rs. five lakhs or more was released to that Institution during the recent five years period by ICAR, ICMR, CSIR or similar Central Government organization set up primarily, for the purpose of funding research work or data collection. Successful execution of the research project is determined by acceptance of utilization certificate by the Department or Office that released financial assistance for the research project.
Eminent academicians/ researchers can also submit proposal through registered society/ institution of repute whose audit is being done regularly.

2. Internal and external proposals GO TOP

2.1 Secretary, Ministry of Statistics and Programme Implementation or Director General (DG), Central Statistical Organisation may invite research proposal from an eligible institution for work which the Ministry wish to undertake on the recommendations of the technical advisory committee, technical working group or meeting of experts convened by him. The eligibility of an institution for a particular work can be decided by Secretary, MOS&PI/DG, CSO depending upon the expertise of past work done in the relevant area.

2.2 The proposals invited by the Ministry are the internal proposals, and can be processed in consultation with Internal Finance Division after obtaining approval of DG, CSO or Secretary, MOS& PI.

2.3 Normally the findings of the study should be discussed with the administrative Ministry/concerned state governments and there should be attempt to integrate the research findings with the revamping or refinement of existing policies and programmes. The findings can be used for change in methodology of data collection, restructuring sample design etc.

2.5 External Proposals

The erstwhile Department of Statistics issued an advertisement in four major cities in October , 1997 inviting research proposals for financing. These proposals are known as external proposals. These external proposals as per the advertisement are sent to Director in charge of the scheme for further processing or obtaining the decision of the Standing Research Advisory Committee (SRAC) of the Ministry of Statistics & PI for financing.

2.6 The external proposals should have direct bearings on the development of official statistics, methodology of data collection, analysis /processing. The proposals for funding are examined by the SRAC in its various meetings.

3. Examination of Proposals and Decision: GO TOP

3.1 The external proposals under the scheme are considered by the Standing Research Advisory Committee (SRAC) of the Ministry headed by Secretary, Ministry of Statistics and Programme Implementation and comprising the representatives of various Ministries/Central Organisations and non official experts.

3.2 The external proposals received from researchers are submitted to the SRAC for appropriate decision. The SRAC short lists proposals found to be worth funding and recommends for further processing. The proposals which are found not the worthy and not recommended for further processing, the decision will be communicated to researcher by the Ministry accordingly.

3.3 The short listed proposals will be sent to one or two outside experts after obtaining the approval of DG, CSO /Secretary, MOS & PI or any particular organization/experts if SRAC makes specific recommendations. A copy of the proposals may be referred to the Internal Finance Division for obtaining their views from the financial angle.

3.4 After obtaining the experts comments a decision needs to be taken on file whether the concerned researcher will be invited for making presentation before the SRAC. Thereafter, the researcher will be invited for making presentation in the meeting of the SRAC, for which MOS & PI will not pay any travel cost, per diem incidentals etc. No proposal will be considered in absentia by the SRAC. On the basis of presentation made, the Committee will recommend the suitable proposal for funding. The concerned researcher will be informed about the decision of the SRAC.

3.5 The proposals for organizing seminar/workshop will not be referred to the experts. The Committee itself will recommend the suitability of the theme and amount of financial assistance. In these cases even presentation by the researchers can be waived. The MOS & PI can decide on the quantum of funding support to be provided either full or part.

3.6 The Committee in exceptional cases can waive the condition for referring the proposal to outside experts for expert comments depending upon the expertise of the known expert who is the principal investigator of the research study. The shortlisting of the proposal can also be waived off by the chairman of the SRAC at his discretion.

4. Amount of financial support and its disbursement:- GO TOP

4.1 The institution will maintain a subsidiary account for the amount received for the project from the Ministry of Statistics and Programme Implementation. All expenditures connected with the project have to be adjusted against the various item heads given under the project proposal. A token sum can be kept aside for getting the accounts audited by Chartered Accountant by the research institutions or it can be adjusted in overheads.

4.2.1 The total cost of the study should not exceed generally Rs. 5 lakhs. However, in few exceptional cases, the assistance of higher value limited to maximum of Rs.10 lakhs can be considered if properly justified. Normally no enhancement of cost beyond this ceiling will be permitted. However, if such situation arises, the matter will be placed before SRAC for appropriate recommendation and the decision of Secretary, MOS & PI /DG,CSO will be final in this regard.

4.2.2 As regards, financing of the seminar/workshop, for the internal proposals, the total cost of organizing of the seminar need to be reimbursed by the Ministry. In this case, the list of invitees for the workshop as well as topics of the workshop needs to be approved by the Ministry. The amount to be paid to the experts for preparation of the papers and travel cost will be governed by the rules of the institutions. However, in case of the experts travel by air , financial rules applicable to the Government are to be kept in mind. For these workshops the travel cost from the outside India will not be met in any case.

4.3 For external proposals for organizing seminars/workshops will be considered only on topics/themes or research schemes useful for the Ministry of Statistics and Programme Implementation. The annual meeting of the various societies will not be funded. The quantum of financial support to seminars/workshops will also be recommended by the SRAC, to be finally decided by MOS & PI.

4.4 Duration of the research study should be generally one year. However, in exceptional cases, the studies up to 18 months can be permitted. The SRAC can suggest to take up the study in phases also. However, initially only first phase will be funded. On getting the results of first phase, the funding of second phase can be considered. However, a separate proposal would need to be submitted for the same i.e. each phase will be treated as a separate proposal, unless a decision otherwise is taken in the beginning itself.

4.5 Payment of the financial assistance for research studies will be disbursed in 3 installments of 40%. 40% and 20% of the total cost . The first installment will be released after the approval of the project by SRAC and on receipt of the bond in the prescribed form from the research institution. The second installment will be released after receiving the audited statement of expenditure from the research agencies or a certificate from the Registrar/Accounts Officer of the of the Research Institutions /universities. The satisfactory progress of the scheme need to be certified by the Monitoring Officer/Monitoring Committee appointed by the Ministry of Statistics and Programme Implementation. The last instalment will be released only after the receipt of the final accounts duly certified by Chartered Accountant and acceptance of the final report and receiving the stipulated number of copies.

4.6 In case of organizing the workshop/ preparation of concept paper, the amount can be released either in full or part as considered appropriate by the Ministry. The researchers are required to submit initially three copies of the draft report. The draft reports will be referred to two outside experts for their comments and these experts would be paid an honorarium of Rs.1,000/- for examining the reports. The researchers will modify the report on the basis of experts comments. The revised report will be submitted to the Secretary, MOS&PI/DG, CSO for acceptance.

4.7 The researcher will submit 8 copies of the final report (which could involve a revision in the report based on experts comments so received) including three copies bound in hard cover alongwith 25 copies in summary form to the Ministry. The final report received would be widely disseminated and a short summary of the study will be put on the website of the Ministry.

5. Dissemination of completed work: GO TOP

5.1 Central Statistical Organisation /Ministry of Statistics and Programme Implementation (MOS&PI) is not responsible for the findings or opinions expressed in a document/report prepared with financial support provided by the Ministry under the scheme. This responsibility rests with the institutions that receive the financial support under the scheme.

5.2 The fact that CSO/MOS&PI provided financial support under the scheme "Payment of Professional Services in respect of Research Studies/Sample Surveys" will be acknowledged on any document and the disclaimer as provided in the earlier paragraph will be prominently displayed on such documents.

5.3. Similarly, for organizing the workshop or seminar funded by MOS&PI, the name of the Ministry of Statistics and Programme Implementation may be prominently displayed on the banners and other documents prepared by the organization for the seminar/ workshop.

6 Other conditions for acceptance of the research proposals by the CSO/MOS & PI

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6.1 According to the Standing practice, the CSO/MOS & PI sanctions the amount of the financial assistance in favour of the institutions or universities with which the Director/Principal research worker in charge of the project is associated/employed. As such all sanctions of the Ministry will be isued in favour of the institution or university or NGO and not to an individual.

6.2 The institution or the Director In charge of the project will not accept any financial assistance from any other sources for the project without the prior permission of CSO / DOS and PI.

6.3 The institution will require to obtain from the Director/Principal research worker in charge of the project a monthly progress report in the prescribed proforma (Annex II) giving the financial and physical progress of the project. The report will be submitted to the Monitoring Officer as well as the Joint Director in charge of the scheme.

6.4 The persons employed in the project will be treated as the employees of the institutions and not of the Government and the conditions of their service will be governed in accordance with the rules and order of the institution applicable to such persons. In regard to traveling and daily allowances, the scale appropriate to the respective classes of employees of the above named institution will be applicable to them.

6.5 No capital expenditure will be incurred without the approval of the Ministry of Statistics and Implementation. The equipments which are being purchased from the financial assistance will be returned to the MOS&PI if the Ministry so desire.

6.6 The institution will provide infrastructure facilities such as accommodation, furniture, research facilities, library , laboratory equipments, ministerial and managerial staff and material and ministerial assistance required for the project for which a project provision will be made under over heads. The over heads will be normally 5% of the total project cost or the percentage fixed by the Government from time to time and in only exceptional cases it can go upto a maximum of 10% only . The institution or the Director /Principal research worker in charge of the project will not make available data collected for the project to any other person without the prior approval of the MOS & PI.

6.7 Data collected for the project shall not be used by the Director In charge or his associates for the preparation of their doctoral thesis or for other degrees or diploma etc. till the report is published.

6.8 The institution or the Director In charge of the project shall make suitable arrangement for the safe custody of data such as filled in schedules, tabulation or working sheets, tapes, floppies, manuscript of the report etc. relating to the project for the period of three years after the completion of the research study. If the scholar associated with the project leaves the institution after a part of sanctioned grant has been received, the institution would have no objection to the project being transferred to a new institution if the MOS & PI so desire , however, it should continue to be responsible for submitting the statement of accounts and utilization certificate of the financial assistance received by it for the project.

6.9 The institution will have to execute a bond in favour of the MOS &PI on a judicial stamp paper of Rs.50/- in the prescribed format (Annex I).

7. Provision of free supply of data GO TOP

7.1 According to the National Policy of Dissemination of Statistical Data and subsequent decisions taken by the Standing Research Advisory Committee (SRAC), Ministry of Statistics and Programme Implementation (MOS & PI), the unit level statistical data can also be supplied free of cost under the following cases.

7.2 Data can be supplied free of cost to approved research institutes and universities for research purposes who have signed a Memorandum of Understanding with the MOS&PI.

7.3 All the Government officers (including officers of Indian Statistical Service) and research students, attached to recognized institutions desirous of getting data free of cost, may submit their research proposals, duly approved/forwarded by their Head of Department, wherever they are attached, to the MOS&PI for approval of the SRAC. After the SRAC's approval, the data will be supplied to them free of cost. While using the data thus supplied, they will have to observe following conditions:

a) The source of data has to be explicitly acknowledged in the final paper/report.

b) Free supply of data does not entitle the researchers to use the data for any purpose other than it was taken for nor will they pass on the data to other users with or without any consideration.

c) These researchers will not be entitled for any financial assistance for the research work under the Plan Scheme “Payment of professional services.” However, assistance in kind, to ISS officers viz. processing of data by the Computer Centre could be considered by the SRAC for generation of tables on the basis of tabulation plan submitted to and approved by the SRAC.

Guidelines for preparation and Submission of research proposal under the Scheme of Payment of professional Services in respect of research studies / sample surveys and related activities

Payment of Professional services in respect of research proposal on any statistical problem having direct bearing on official statistical system, methodology of data collection and filling up identified gaps in data required for plan formulation or implementation is entrusted by the Ministry of Planning & Programme Implementation (MOS&PI) for financial support. It is required to be received from a University or an autonomous registered institution.. The Project Director can draw TA/DA and out-station expenses from the project fund as he is supposed to work in an honorary capacity. Ongoing research studies or those commenced without MOS & PI prior approval are not considered for being financed. Generally short duration studies designed for quick feed back are favoured. The proposals for grant-in-aid have to conform to guidelines prescribed by MOS & PI for this scheme. A copy of the guidelines, in force, can be obtained from Director, MOS&PI (Telephone No. 011 3361685, FAX 011 3342384).

2. The research grants given by MOS&PI are institution based.

Outline of Research Study proposal GO TOP

Outline of the Research work proposed should be drawn as per the following guidelines.
Objectives:- The focus and orientation of the study may be indicated and specific objectives spelt out.
Hypotheses to be tested:- The hypotheses to be tested may be indicated and specific objectives spelt out.
Type and method:- The extent to which the proposed study is reflective or empirical may be indicated. It may also be clarified whether it is intended to utilize data already available or whether collection of primary data is aimed at . In the former case it may be indicated whether the available data are in published from or whether they are still unpublished. Relevant sources of data may be listed in all cases. Where collection of primary data aimed at, the approach should be spelt out as to whether it would be a sample survey or a case study.
Relevance of the study to improve plan formulation and implementation should be discussed in concrete terms.
Major variable for data collection and analysis: The important variables on which data are to be collected and their sources should be indicated . Concepts and definitions to be followed in the study should be defined and important lines of analysis spelt out.
Statistical design:- In case fresh survey is to be taken up for primary data. sampling design as well as broad content of the schedules and questionnaire may be given.
Tabulation arrangements:- Time phasing of the tabulation programme where primary data are proposed to be collected and also where secondary data are proposed to be utilized may be drawn up.
For case study: the number of units proposed to be studied and the method and justification for their selection may be indicated.
Synopsis: Synopsis of chapter plan of the report may also be given , if possible.
Project Duration:- The time required for competing the proposed study and submission of the report may be indicated . While doing this, the period required for (a) preliminary arrangements; b) data collection; (c) data tabulation, d) drafting of the report may be indicated.
Staffing pattern:- The supporting staff and the period for which required and the remuneration to be paid to each of them may be indicated.
Budget: The proposal should indicate the financial requirements broken down under different items such as a) salaries and allowances for staff, b) traveling allowances, c) stationery, d) printing of forms, e) tabulation f) computer processing and g) overheads.
Five per cent of the local itemized cost can be shown as overhead, which may accrue to the institute through which the study would be undertaken for meeting expenses other than those clearly specified. In exceptional cases MOS& PI may consider a provision of overheads upto ten per cent of the cost of study.
No amount should be provided for publication of the report as it is separately considered on merits after receiving the draft report.
Bio-data of the Project Director: Broad details of academic qualifications and research experience of the Project Director may be indicated.
A brief note indicating the activities of the Institution during the last three years, its constitution, research expertise available with it for conducting studies and infra-structural facilities to conduct research work, should also be appended.

Format for submission of proposals for Research proposal for financial assistance.

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Subject: Forwarding Form for Research proposal from the Institution / Universities.

1.Name of the Project

2. Name of the Institution

3. Name of the Project Director / Principal Research Worker

4. Terms and conditions of Employment/Association of the person in item 2 with the Institution.

5. Other activities or personal time granted/proposed to be granted by the Institution to Project Director/ Principal Research Worker till the completion of the proposed Research work.

6. Total Budget: Rs.

7. Certificate

I am forwarding the research proposal for financial support to the Ministry of Statistics and Programme Implementation (MOS&PI).

The Institution agrees to administer the project, manage its finance, provide accommodation, furniture and the research facilities such as library , etc. required for project and also provide the material and managerial assistance for the project.

It is certified that this proposal has not been submitted to any other agency department, for funding purposes.

It is certified that the Project Director/Principal Research Worker -------------------------------- will /is likely to continue with this Institution till the completion of the proposal study. In the instance of the Project Director/Principal Research Worker leaving the Institution without completing the study, the Institution undertakes to get the study completed, without any additional financial liability on the part of the MOS&PI and within the stipulated time. However, if the MOS&PI desires to transfer the project to some other Institution, this Institution will have no objection to the same.

A brief resume of the activities and financial position of the Institution is enclosed.

A brief resume of the activities of the Project Director/ Principal Research Worker during duration of project/ study and till its submission to MOS&PI is enclosed.

Signature and Seal of the Administrator/

Head of the Institution

A Time Budget

Sl. Item Months Days

Preparatory work including
Selection of the staff and their
Training.
Pilot Study: if any, required
Drawing of sample
Schedule Construction-their
Pre-testing And printing.
Data collection
Data processing
Data Analysis
Report writing, typing, binding etc

------------------------------

Total Duration

Date from which research personnel will be in position to commence work in the event of approval of research work by Ministry of Statistics and Programme Implementation.

Date:

Name and signature of the                                                                   Name and Signature of the
Project Director /Principal Research                                                    Head of the Institution
Worker                                                                                              (Official seal)

Note: 1. Justification for financial and time budget must be distinctly indicated in the proposal submitted for approval.

2. The project is to be planned in suitable convenient stages and the time required for completion of each stage should be indicated.

B Financial Budget

ITEMS OF PROPOSED EXPENDITURE

1.SALARIES

Research and other staff categorywise

Job Tasks to Monthly Duration Annual
Be done SALARY (In Rs. )

1.   Project                  Honorary
      Director
2    Research /
             Faculty Staff
            1.
            2.
            3.

3 Field Staff

4 Secretarial
Staff

Total ------------------------------------------------------------

II Travel

III Data processing including computation/ computer work

IV Stationery, printing, photocopying, postage etc.

V Books and journals

VI Equipment, if any (Please give details of the requirement proposed to be purchased. Purchase of small value equipment is permissible)

VII Any other (to be specified)

Total (I to VII)

VIII Overheads

Total (I to VIII)

Terms and conditions GO TOP

1. Head of the Institution is requested to execute a bond in favour of the President of India to the effect that he will abide by the term and conditions attached to the financial assistance and to the rules/ guidelines and that in case he fails to abide by the same, he will refund to the Government the total financial assistance sanctioned to him for the purpose with interest thereon.

2. The Organisation will maintain separate accounts in respect of this financial assistance. The accounts will remain open to inspection to the representatives of the Government of India including the Comptroller and Auditor General of India. At the end of the period, the Organisation will have the accounts of the assistance audited by a Government Auditor or a Chartered Accountant and supply a copy of the audited accounts, together with a utilization certificate to this Department within six months of the date of acceptance/clearance of the project report. The periodical audited statement will be submitted to the MOS&PI by the organization before release of each installment except in case of research institution set up by an act of Parliament whose report is laid on the table of Parliament or universities. If regular process of audit takes more time the accounts may be got audited by a Chartered Accountant and the Audit Fee may be charged under Sub-head "Contingency" of the project. Any unspent balance out of this grant will be refunded by the Organisation immediately.

3. The salaries of the staff are consolidated and may not be revised during the course of the project.

4. Except the Project ;Director who is honorary all other staff should be employed on whole time basis.

5. The Project Director will furnish monthly/ quarterly progress depicting the physical and financial progress of the work done in the preceding quarter.

6. The actual date of commencement of the project may be intimated. The duration of the project is for months as detailed below:-

Preparation ……………. Months
Data collection………….months
Data processing and analysis……months
Report writing …………………months

______________________________________
Total months

7. The project Director must furnish 8 copies ( out of which three bound in hard board cover) of the main report and 25 copies of the summary report to this Ministry on completion of the project.

ANNEX 1

FORMAT OF BOND

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KNOW ALL MEN BY THESE PRESENTS THAT we the ------------------------------------------------------------------------------------------------------an association registered under the Societies Registration Act, 1860 (21 of 1860) and having its office at ------------------------------------------------------------------------------------------------------------------------------------------in the State of -------------------------------------------------------------------------(hereinafter called the Obligors) are held and firmly bound to President of India (hereinafter called the Government in the sum of Rs.--------------- only)-----------------------------------------------------------------------------------------------------------only) well and truly to be paid to the President on demand and without demur for which payment we bind ourselves and our successors and assignees by these presents.

2. SIGNED this-----------------------day of ---------------------------------in the year two thousand and -----------------------------------.

3. WHEREAS on the Obligors request, the Government has as per Union Ministry of Statistics and Programme Implementation letter No.--------------------------------------------------dated ----------(hereinafter referred to as the ‘letter of Sanction’ which forms an integral part of these presents and a copy thereof in annexed hereto as Annexure-A) agreed to make in favour of the Obligors a grant of Rs.----------------------(Rupees -------------------------------------------------------------------------------------------only) out of which Rs.----------------(Rupees---------------------------------------------only) have already been received by the obligors on condition of the Obligors executing a bond in the terms and manner contained hereinafter and which the Obligors have agreed to.

4. Now the condition of the above written obligation is that case the Obligors duly fulfill and comply with the conditions mentioned in the letter of Sanction the above written bond or obligation shall be void and of no effect. But otherwise it shall remain in full force and virtue. If a part of the grant is left unspent after the expiry of the period within which it is required to be spent, the obligors agree to refund the unspent balance alongwith interest thereon at the prevailing rate of the Government of India unless it is allowed to be carried over, the amount of grant to be refunded and interest thereon will be recoverable as arrears of land revenue.

5. The Obligor agrees and undertakes to surrender/pay to Government the monetary value of all such pecuniary or other benefits which it may receive or derive/have received or derived through/upon unauthorised user (such as letting out the premises for adequate or less than adequate consideration or use of the equipment premises for any purpose other than that for which the grant was intended) of the property/building created/acquired/constructed largely from out of Government grant. The decision of the Secretary to the Government of India in the Ministry of Statistics & Programme Implementation or the administrative Head of the Department concerned as regards the monetary value of aforementioned to be surrendered/paid to the Government will be final and binding on the society/trust.

AND THESE PRESENTS ALSO WITNESS THAT

i) The decision of the Secretary to the Government of India in the Ministry of Statistics & Programme Implementation on the question whether there has been breach or violation of any of the terms or conditions mentioned in the letter of Sanction shall be final and binding on the Obligors; and

ii) The Government shall bear the stamp duty payable on these presents.

In witness whereof these presents have been executed as under on behalf of the Obligors on the day herein above written in pursuance of the Resolution No.-------------------------------------------dated -----------------------passed by the Governing Body of the obligor, a copy whereof is annexed hereto as Annexure-B and accepted by -------------------------for and on behalf of the President of India on the date appearing below.

SIGNED FOR AND ON BEHALF OF

(Name of the Obligor Association)

in the presence of

Witness Name and Address

-----------------------------------------------------------------------------------------------------------

----------------------------------------------------------------------------------------------------------

Accepted for and on behalf of the President of India

Witness

Name & Address ----------------------

Date---------------------------

Designation --------------------

ANNEX 2

Monthly progress report of the monitoring the projects GO TOP

1. Name of the project:

2. Name of Project Director:

Report for the Month:----------------------------
Progress:

A: Financial:

Head	Total budgeted as per project proposal (Rs.)	Expenditure during the month (Rs.)	Cumulative expenditure upto the month	Reasons for excess/shortfall if any

B: Physical:

Activities	Target as per project proposal		Target achieved		Reasons for shortfall/excess if any
	Monthly	cumulative	During the month	cumulative

5. Signature: GO TOP

(Project Director)

Remarks of the monitoring officer:

Eligible Institutions	Internal and external proposals	Proposals Examintion & Decision	Amount of financial support	Dissemination of completed work	Other conditions for acceptance
Provision of free supply of data	Outline of Research Study proposal	Format for submission of proposals	Terms & conditions	ANNEX 1	ANNEX 2