Academic Research Fund (AcRF) Tier 2 Research

Transcription

1 Academic Research Fund (AcRF) Tier 2 Research Grants What you need to know Briefing session by Research Support Office on 4 Briefing session by Research Support Office on 4 Jan 08, 9:30 am at LT 20

2 Workshop Objectives and Agenda Objectives To highlight the dos and don ts of preparing a AcRF Tier 2 grant. To highlight and address pertinent grant management issues during the project tenure stage through list of FAQs

3 Schedule Agenda Start of session Preparation for submission of AcRF Tier 2 grant Q&A FAQs for project tenure stage for holders of existing AcRF Tier 2 grants Q&A End of session Time 9:30 am 9:30 am to 10:15 am 10:15 am to 10:30 am 10:30 am to 10:50 am 10:50 am to 11:00 am 11:00 am

4 Workshop Objectives and Agenda Preparation for submission of AcRF Tier 2 grant What you need to know about a AcRF Tier 2 grant Dos and don ts when preparing a AcRF Tier 2 grant Common mistakes made by PIs learning from past submissions Submission i process within the Colleges and Schools

5 Workshop Objectives and Agenda cont d FAQs for the project tenure stage for holders of existing AcRF Tier 2 grants Administrative Guidelines (Aug 07 version) Accepting a AcRF Tier 2 grant Ethics Approval Extension of time requests Grant variation requests Change of PI requests Submission of Progress Reports Submission of Completed Reports

6 Workshop Objectives and Other information Agenda cont d Comments from Expert Panel RSS headcount Queries Financial information Indirect costs Project funds Cashflow projections Communication

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8 What you need to know about AcRF Tier 2 projects

9 Preparation for submission of AcRF Tier 2 grant What you need to know about AcRF Tier 2 research grants AcRF Tier 2 grants are competitive across Singapore based universities iti The project value of each proposal would be between $500,000 to $1,000,000 excluding research scholarships (RSS). Exception to this is a lowered project value of exceeding $250,000 which applies to research proposals in the Accountancy, Business, Humanities and Social Sciences discipline

10 Preparation for submission of AcRF Tier 2 grant What you need to know about AcRF Tier 2 research grants AcRF Tier 2 projects span over a 3 year period AcRF funding supports research that has academic significance and a good potential for creating new knowledge that will benefit the larger academic community Research outcome should also drive future research. potentially leading to innovations and discoveries

11 Preparation for submission of AcRF Tier 2 grant What you need to know about AcRF Tier 2 research grants AcRF communicates MOE s mission of training of postgraduate research (PGR) manpower to support the national R&D activities by funding PGR scholarships. PGR training i is regarded d as superior over other manpower requests in AcRF Tier 2 funding Research proposals are classified into 4 discipline clusters

12 Preparation for submission of AcRF Tier 2 grant What you need to know about AcRF Tier 2 research grants Priority will be given to PIs who are full-time faculty of Singapore-based universities. Co-PIs and collaborators have to be fully based in Singapore. Research has to be conducted in Singapore

13 Preparation for submission of AcRF Tier 2 grant What you need to know about AcRF Tier 2 research grants Proposals reviewed by an Expert Panel. Approval of proposals p by the Academic Research Board. Frequency of grant call: Feb and Aug of every year.

14 Preparation for submission of AcRF Tier 2 grant What you need to know about AcRF Tier 2 research grants Submission of research proposals fall into 3 categories: New submissions; Re-submissions and Renewals

15 Dos and don ts when Dos and don ts when preparing a AcRF Tier 2 grant

16 Preparation for submission of AcRF Tier 2 grant Dos when preparing a AcRF Tier 2 grants Conceive the scientific thoughts EARLY. This includes: the conceptual framework of your research proposal assembling the relevant expertise required for your project team firming up a list of resources required and updating your C.V. Decide on the appropriate discipline cluster for the research proposal Do regard the announcement of the grant call as a call to FINALISE your research proposal (If you start the preparation upon receiving i the announcement, then it is likely that it is too late to start and you will have to rush through the preparation)

17 Preparation for submission of AcRF Tier 2 grant Dos when preparing a AcRF Tier 2 grants Original research idea Do make sure that the conceptual research idea and the science are original i ideas. Recycling a previously rejected AcRF Tier 2 proposal is out-of-thequestion (MOE does not allow rejected proposals to be re-submitted, albeit with refinements to the proposal, in subsequent grant calls) Parallel submissions to other grantor agencies are not allowed by MOE. The research idea is not an application of a research project that you have completed. Reason being applied research projects are not supported by the MOE

18 Preparation for submission of Dos when preparing a AcRF Tier 2 grants AcRF Tier 2 grant Disciplines clusters do p make sure that you have selected the correct discipline cluster to submit in

19 Preparation for submission of AcRF Tier 2 grant Dos when preparing a AcRF Tier 2 grants Research proposals are evaluated on these criteria: Significance ifi of research Approach Investigator Environment Milestones Overall assessment In this case it is imperative that your research proposal is a In this case, it is imperative that your research proposal is a ROBUST one, with adequate justification and elaboration on the areas mentioned above

20 Preparation for submission of AcRF Tier 2 grant Dos when preparing a AcRF Tier 2 grants In putting forth the details of the research proposal, do adhere to the guidelines from MOE

21 Preparation for submission of AcRF Tier 2 grant Dos when preparing a AcRF Tier 2 grants Be aware of the administration requirements. As MOE is extremely strict t about compliance with the administration i ti requirements (compared to some other grantor agencies), it is paramount that every PI makes effort to comply with each requirement from the MOE A list of common mistakes is shown at the later part of this presentation as a learning experience for all avoid making these mistakes at all costs!!

22 Preparation for submission of AcRF Tier 2 grant Dos when preparing a AcRF Tier 2 grants Do approach your School Administrators for their assistance in checking for mistakes that t you may not have spotted. The research proposals submitted to RSO should be free from administration mistakes

23 Preparation for submission of AcRF Tier 2 grant Dos when preparing a AcRF Tier 2 grants Be aware of the budgetary requirements. MOE expects the PIs to adhere to the University s it budgetary guidelines on certain items, for example EOM, conference travel Do make sure that you have observed the recommended budgetary guidelines to be issued by RSO at the announcement of every grant call. Any non compliance with the guidelines will put you to disadvantage d (MOE would be able to spot a deviation if all other PIs from NTU reflect the same EOM figure, for example)

24 Preparation for submission of AcRF Tier 2 grant Dos when preparing a AcRF Tier 2 grants Do make sure that you have put forth justification for all the requested items as MOE reserves the right not to fund items that are not well justified Do make sure that quotations are attached for equipment and consumable items (where applicable), to justify the costs requested Do make sure that the quotations are arranged in sequential order for the easy reference of the reviewers at MOE

25 Preparation for submission of AcRF Tier 2 grant Dos when preparing a AcRF Tier 2 grants Do make sure that the quotations furnished are up-to-date (RSO has seen quotations ti that t are past their validity dates) Do make sure that the role and contribution of each manpower requirement for the project has been clearly stated When preparing the budget, do make sure that you have read through the list of fundable and non fundable item guidelines issued by the MOE

26 Preparation for submission of AcRF Tier 2 grant Dos when preparing a AcRF Tier 2 grants Do make sure that you have not included any item that is prohibited i.e. listed as non fundable under the guidelines Do make sure that you have made declaration of the research grants you are current holding as well grants pending approval Do make sure your School Administrators help you in this section of the form. RSO has found too many occurrences of the mistakes!

27 Preparation for submission of AcRF Tier 2 grant Source of funding Name of Grant Source of funding ARFTi AcRF Tier 1, 1ARFTi AcRF Tier 2, MOE (i.e. AcRF) SUG (issued by RSO up till FY 07), RGM, SEP SUG (issued by COE) School level research grants NTU (i.e. non AcRF) NTU (i.e. non AcRF) Others NRF, ASTAR, As per the grantor agency NMRC, EWI, (i.e. non AcRF) MINDEF,DSTA,DSO etc

28 Preparation for submission of AcRF Tier 2 grant Dos when preparing a AcRF Tier 2 grants Do make sure that you have updated your Curriculum Vitae (C.V.) and included d relevant publications for MOE s reference Do make sure the C.V.s of the project team are kept to 2 pages per applicant as required by MOE

29 Preparation for submission of AcRF Tier 2 grant Dos when preparing a AcRF Tier 2 grants Do make sure that your application form is self contained, that t is supporting documents relevant to your application have been attached

30 Preparation for submission of AcRF Tier 2 grant For re-submission cases Do make sure you have quoted the official grant application number assigned by MOE on pg 2 of the application form Do make sure you furnish a rebuttal to the issues raised by the Expert Panel while keeping to the number of words and font size stipulated by MOE

31 Preparation for submission of AcRF Tier 2 grant Don ts when preparing a AcRF Tier 2 grants Do not start preparation for the Tier 2 grant after receiving the grant call announcement. Preparations should have started at least 3 months before the grant call Do not submit external/internal reviewers reports to MOE. However, you may use these reports if so required by your Division/School/College Do not re-submit an amended or improved version of a rejected proposal (not allowed by MOE)

32 Preparation for submission of AcRF Tier 2 grant Don ts when preparing a AcRF Tier 2 grants Do not ask your HOD or School management to endorse your research proposal if they are part of your project team. There is a conflict of interest! In such an instance, ask the HOD s or the School management s equivalent or higher authority to endorse the proposal. For example, HOD is part of the research team. In this case, another HOD or the ACR of the School can endorse the proposal under the section for HOD

33 Preparation for submission of AcRF Tier 2 grant Don ts when preparing a AcRF Tier 2 grants Under section 10 of the application form, try not to have zero PhD or Masters students t trained. MOE has already stated t that the training of PGR students is a priority and we do not know whether a nil entry for this section will disadvantage the PI. From the University ss stand point, we also encourage PIs to engage in PGR training.

34 Preparation for submission of AcRF Tier 2 grant Don ts when preparing a AcRF Tier 2 grants Under the publication output of section 10 of the application form, do not make UNREALISTIC projections for the publication output arising from the project. Reason being the PI will be held accountable for the delivery of the projected output at the completion of the project. Further, at the acceptance stage of the project, MOE does not allow the PI to make any adjustments to the projected output which means PI is held to the information presented in the application form (unless there are genuine reasons like a cut in budget makes the projected output unachievable)

35 Preparation for submission of AcRF Tier 2 grant Don ts when preparing a AcRF Tier 2 grants Do not include the cost of a RSS under the budgetary items. Wef Aug 07 grant call, the direct costs requested from MOE is exclusive of RSS costs

36 Preparation for submission of AcRF Tier 2 grant Don ts when preparing a AcRF Tier 2 grants for HODs and School management Do not block any faculty s submission i to MOE unless you have specific approval from Provost to do so Do not make comments that will jeopardise the PI s standing. Any concerns should be addressed internally within the School/College. For example, if HOD has a concern about the heavy workload of the PI, this should be reflected off-line to the PI, rather than on the application form

37 Preparation for submission of AcRF Tier 2 grant Don ts when preparing a AcRF Tier 2 grants for HODs and School management D t t d lik li ti d l t i th Do not put words like application or development in the comments in case this creates an impression that the proposal is application oriented

38 Common mistakes made by PIs in AcRF Tier 2 submissions

39 AcRF Tier 2 Aug 07 grant call Start date too early Start t date too early

40 AcRF Tier 2 Aug 07 grant call Exceeded 300 words for Abstract Exceeded 300 words

41 AcRF Tier 2 Aug 07 grant call Number of students trained at item 10 does not coincide with the number of RSS requested at item 14 Numbers do not coincide

42 AcRF Tier 2 Aug 07 grant call Did not request for RSS at item 14 but indicated that students will be trained at item 10 No request for RSS

43 AcRF Tier 2 Aug 07 grant call Under declaration of funding, PIs often do not know that Tier 1 projects are funded by MOE Tier 1 projects are funded by MOE, should be entered under AcRF

44 AcRF Tier 2 Aug 07 grant call Calculation mistakes Total should be $92,189.20

45 AcRF Tier 2 Aug 07 grant call PIs requesting for RSS when the instructions from MOE and RSO has indicated not to do so Not required to budget for RSS

46 AcRF Tier 2 Aug 07 grant call Typographical errors After GST should be $2,780.81*1.07= $2,975.47

47 AcRF Tier 2 Aug 07 grant call Exceeded the guidelines for conference travel Exceeded the University's guidelines of $30,000

48 AcRF Tier 2 Aug 07 grant call Did not include GST for items Did not include 7% GST, amount should be $11,288*1.07=$12,078.16$

49 AcRF Tier 2 Aug 07 grant call Requesting for items listed under non fundable items Non fundable Non fundable items

50 AcRF Tier 2 Aug 07 grant call Inconsistent use of Research Assistants and Research Associates at EOM table and explanatory page

51 AcRF Tier 2 Aug 07 grant call Incorrect entry under cost per head for EOM items Incorrect cost per head, should be $75,000 Incorrect cost per head, should be $60,000

52 AcRF Tier 2 Aug 07 grant call Did not enter start and end dates No start and No start and end dates

53 AcRF Tier 2 Aug 07 grant call Did not attach the ethics approval form but indicated that the form was attached

54 AcRF Tier 2 Aug 07 grant call School s management endorsed the application form when they were part of the project team Y X Conflict of Interest X

55 Preparation for submission of AcRF Tier 2 grant Submission process within the Colleges and Schools Each College and School is to work out a submission process best for its internal use. The Colleges and Schools are to make sure that the internal g submission to RSO is on time (i.e. compliant with the internal deadline set by RSO).

56 Preparation for submission of AcRF Tier 2 grant Submission process within the Colleges and Schools The College and School Administrators are to ensure that there are no administration errors in the application forms, otherwise the PI s submission is delayed due to the need for changes.

57 Preparation for submission of AcRF Tier 2 grant Submission process within the Colleges and Schools In terms of technical merit of the proposals, the Colleges and Schools take responsibility for the integrity and robustness of the scientific contents. As there is no short listing process, RSO takes it that the Colleges and Schools have done its due diligence to make sure that t the proposals are of high h quality for submission to MOE and are not recycled ideas or rejected proposals.

58 Preparation for submission of AcRF Tier 2 grant Submission process within the Colleges and Schools Colleges and School are encouraged to initiate the internal submission process EARLY, way before the start of the grant call. Referee reports may be collated for discussion within the College and School as required by the management of the College and School.

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60 Project tenure stage (including acceptance of project)

61 Project tenure stage Implementing the project The responsibility of implementing the AcRF Tier 2 project in accordance to MOE s terms and conditions falls on the PI PIs may discuss with the Colleges/Schools on how to put forth a system of checks and balances, in view of the many obligations and time lines to be adhered to.

62 Project tenure stage Administrative Guidelines (Aug 07 version) MOE released the latest version of the Administrative Guidelines at the Aug 07 grant call. The guidelines were disseminated by RSO to all academic staff and School Administrators in Aug 07. All PIs are strongly advised to familiarise themselves with the contents t of the guide. PIs who are unsure about the contents t of the guidelines can approach their School Administrators.

63 Project tenure stage ethics approval Ethics Approval For PIs whose projects require ethics approval, please note that they cannot start the project until the Ethics Approval is obtained from NTU s Ethics Committee. In this regard, PIs are advised to submit their Ethics Approval Form early to avoid delays to their projects.

64 Project tenure stage acceptance of project Acceptance of project PIs will be notified by RSO if their projects have been approved by MOE. Thereafter, if the PI intends to accept the terms and conditions of the MOE grant (including any reduced budget, if any), he has to make an acceptance of the project and furnish the duly completed forms: Acceptance letter stating PI does not intend to leave NTU within the next 2 years Budget Phasing Form Project Milestone Form

65 Acceptance Letter Project milestone form

66 Budget Phasing Form

67 Project tenure stage acceptance of project Acceptance of project PIs need to be aware that MOE expects them to turn in the same projections for project output (number of students trained, publication output ) and the project implementation schedule. PI does not have liberty to make amendments to the project output t at the acceptance stage For PIs whose budget were reduced by MOE, they are advised to adhere to MOE s instructions about the adjustments to budgetary items. Any deviations would have to be justified adequately for MOE s consideration

68 Project tenure stage acceptance of project Acceptance of project PIs are advised to request for a REALISTIC start date of the project (allow MOE time to review the budget phasing forms, get approval and for Office of Finance to create the project accounts). College and School Administrators are advised to assist in the checking of the integrity of the information, especially the revised budget.

69 Project tenure stage acceptance of project Acceptance of project A note of caution regarding the quotations that are to accompany the budget phasing forms. RSO has encountered instances whereby the PIs submit quotations that have past their validity period. PIs should ensure that the quotations are valid and they make apt explanation if there are substantial ti differences between the quotations during the application stage and the acceptance stage

70 Project tenure stage acceptance of project Acceptance of project PIs and School Administrators are advised to check for administrative errors (especially for calculation mistakes) before submission of the acceptance documents to MOE. If MOE has requested for the PIs to furnish additional details regarding their projects, PIs are to ensure that they have submitted their write up to RSO, in addition to the other documents (acceptance letter, budget phasing form and project milestone form).

71 Project tenure stage acceptance of project Acceptance of project PIs may only commence their project upon MOE s approval and the creation of the research account by the Office of Finance. PIs will be notified by RSO regarding MOE s approval, as well as the start date of the project.

72 Project tenure stage extension of time requests Extension of time requests PIs may seek an extension of time from MOE (through RSO) to complete their project, provided there are strong justification for the request. PIs are to note that the extension of time, if granted, will be capped at six months (according to the Administrative Guidelines, para 13.2).

73 Project tenure stage extension of time requests Extension of time requests PIs are to submit for a request for grant extension at least 3 months before the project s expiry date using Form RGF 1. The form is to be submitted to MOE through RSO. The PIs are to monitor closely for the expiry of the project tenure, and should not submit a request for extension of time after the project has expired.

74 Project tenure stage grant variation requests Grant variation requests Schools have been informed about the new grant variation amounts effective Aug 07. Grant variation amounts across categories: <= $10,000 approved by Director of Research subject to $20,000 cumulative to be monitored by Colleges and Schools > $10,000 but <= $50,000 approved by President of NTU or his nominee through RSO > $50,000 approved by MOE

75 Project tenure stage grant variation Requests Grant variation requests Grant variation amounts within categories: <= $20,000 approved by Director of Research > $20,000 approved by MOE Variation of RSS is not allowed regardless of variation amount PIs are to submit grant variation requests using Form RGF 2

76 Project tenure stage grant variation Requests Grant variation requests Please note that PIs are not to proceed with any purchases until MOE/President/RSO has granted approval for the variation (RSO has found cases whereby the PI had already bought the equipment prior to raising the grant variation form)

77 Project tenure stage change of fpi requests Change of PI requests Change of PI requests could arise due to the following scenarios: PI wishes to transfer to another University PI s contract has expired PI s contract with the University has been terminated PIs are to submit a request for change of PIs through q g g their Schools (Chairs, HODs) and RSO. Details of the expertise of the nominee and other details are to be furnished in Form RGF 1

78 Project tenure stage change of PI requests Change of PI requests Approval for change of PIs are from MOE (not RSO). In the event that MOE disagrees with the proposed change of PIs, the project has to be terminated In the event that no suitable PIs can be found, the project has to be terminated

79 Project tenure stage submission i of progress reports Submission of Progress Reports According to MOE s Administrative Guidelines, the University is to submit Progress Reports to MOE by 31 st Aug every year. In this regard, all Schools are required to adhere to RSO s internal deadlines for submission of Progress Reports The Progress Reports are to be submitted using Form g p g RGF 4

80 Project tenure stage submission i of progress reports Submission of Progress Reports Colleges and Schools are advised to improve their internal process and make advance plans for collation of reports as RSO has found that Schools were not able to adhere to the internal deadlines for most cases

81 Project tenure stage submission i of completed reports Submission of Completed Reports Completed reports are to submitted within 3 months of the completion of the project The research account for the project is supposed to be closed within 3 months from the completion of the project

82 Project tenure stage submission i of completed reports Submission of Completed Reports PIs are strongly advised to submit their completed reports to RSO no later than 2 months from the completion of the project, and to ensure that t no further charges to be made to the research account RSO will advise Office of Finance to close the research account upon receipt of the completed report

83 Project tenure e stage other information Other information for noting For re-submission cases and rejected cases, comments from MOE s Expert Panel are available to the PIs PIs are advised to review the Expert Panel s comments to assist them in submitting a more robust proposal p the next time

84 Project tenure e stage other Information Other information for noting For PIs who have approved RSS headcounts, please ensure that the number of headcounts is strictly adhered to RSO has found more than 1 instance whereby PIs y recruited more than the number of RSS allowed. One PI even reflected this in the completed report!

85 Project tenure e stage other Information Other information for noting PIs are to ensure that they adhere to the number of headcounts approved by MOE at any given time of the project PIs are to immediately reverse out any unauthorised charges of RSS if so pointed out by RSO or the School

86 Project tenure stage queries Who to direct queries to? Please direct to School Administrators who may have the answers If the School Administrators do not have the answer, they can direct queries to: RSO- AcRF Tier 2 queries

87 Project tenure e stage administrative forms Access to administrative forms The administrative forms are available in the Public Folder as already informed to all School Administrators Public folder->all public folders->staff public folders- >Schools and Departments->Research Support Office- >NTU forms for AcRF Tier 2

88 Project tenure e stage financial information Indirect costs Wef 1/2007 batch of AcRF Tier 2 projects, indirect costs are awarded by MOE (applicable on all approved costs less exceptional items). The rate is 20% Indirect costs are not disbursed to the University upfront. The amount disbursed is based on the actual expenditure of the project

89 Project tenure e stage financial information Indirect costs MOE has given the University the autonomy to allocate the indirect costs to appropriate research related areas. The allocation and usage of funds from indirect costs will be decided by University s management

90 Project tenure e stage financial information Project funds The money for each project is first paid by the University, and later claimed by the University from MOE i.e. on reimbursement basis PIs are to ensure that they adhere to the list of fundable y and non fundable items, lest any non fundable items cannot be claimed from MOE

91 Project tenure e stage financial information Project funds Remaining project funds after completion of project must be returned to MOE. That is, PI may not use the balance project funds for any other purpose PIs are to note that there should be no more charging to the project account once the project is completed and the final report has been submitted to MOE (through RSO)

92 Project tenure e stage financial information Cashflow projection The University is required to submit the cashflow projection for AcRF Tier 2 projects twice a year (in November and April) The purpose p of the exercise is to allow MOE to set aside sufficient funds for the upcoming financial years and to monitor usage for the current year

93 Project tenure e stage financial information Cashflow projection All PIs of AcRF Tier 2 projects will be required by RSO to make cashflow projections for their projects twice a year PIs are to ensure that they make accurate projections to the best of their knowledge, bearing in mind MOE s requirement that the utilisation rate of projection should be at least 95%

94 Project tenure e stage financial information Cashflow projection PIs are to note that any over-spending or underspending in the current year will affect the cashflow projection of subsequent years. Hence PIs are strongly urged to monitor the utilisation of funds closely MOE have a penalty framework for under-utilisation of MOE have a penalty framework for under-utilisation of projections

95 Communication Communication PIs should not communicate direct with MOE on any occasion (para 2.4 of the Administrative Guideline) Any communication with MOE should be done by RSO

96 Thank you!